Regulation - BZX

Rule Filings for 2008

Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.

Pending Rule Changes:

  • File number: SR-BATS-2010-018
  • Date filed:June 30, 2010
  • Description:

    BATS is proposing to amend BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) to add securities included in the Russell 1000 Index and specified Exchange Traded Products to the pilot rule.

  • File number: SR-BATS-2010-016
  • Date filed:June 17, 2010
  • Description:

    BATS is proposing to amend BATS Rule 11.17 (Clearly Erroneous Executions) to make various modifications to the Exchange's handling of clearly erroneous execution reviews, including in the context of securities subject to an individual stock trading pause and multi-stock events involving twenty or more securities.

Approved and Immediately Effective Rule Changes:

  • File number: SR-BATS-2008-013
  • Date filed:December 11, 2008
  • Description:

    Amendments to BATS Rules and Corporate Documents to Reflect Name Change of BATS Holdings, Inc. to BATS Global Markets, Inc.

  • File number: SR-BATS-2008-012
  • Date filed:December 9, 2008
  • Description:

    Amendments to Fee Schedule for BATS Exchange (effective December 12, 2008).

  • File number: SR-BATS-2008-011
  • Date filed:November 25, 2008
  • Description:

    BATS is proposing to amend Rule 8.15.01 (List of Exchange Rule Violations and Recommended Fine Schedule Pursuant to Rule 8.15) to expand the list of violations eligible for disposition under the Exchange's Minor Rule Violation Plan.

  • File number: SR-BATS-2008-010
  • Date filed:November 19, 2008
  • Description:

    BATS is proposing to amend Rule 11.17 (Clearly Erroneous Executions) with respect to fees of other market centers related to clearly erroneous rulings.

  • File number: SR-BATS-2008-009
  • Date filed:October 21, 2008
  • Description:

    Initial Fee Schedule for BATS Exchange.

  • File number: SR-BATS-2008-008
  • Date filed:October 20, 2008
  • Description:

    BATS is proposing to amend its Rule 11.16 ("Limitation of Liability").

  • File number: SR-BATS-2008-007
  • Date filed:October 10, 2008
  • Description:

    BATS is proposing to amend its Rule 11.13 ("Order Execution") to provide the Exchange's Outbound Router with additional flexibility when routing orders away from the Exchange.

  • File number: SR-BATS-2008-005
  • Date filed:September 19, 2008
  • Description:

    BATS is proposing amendments to its rules to add definitions of Market Maker and Market Maker Authorized Trader and to add rules regarding the registration and obligations of Market Makers.

  • File number: SR-BATS-2008-004
  • Date filed:September 17, 2008
  • Description:

    BATS is proposing to amend its Rule 14.1 ("Unlisted Trading Privileges") to consolidate into a single rule certain requirements for trading products on the Exchange pursuant tounlisted trading privileges.

  • File number: SR-BATS-2008-003
  • Date filed:September 12, 2008
  • Description:

    BATS is proposing to amend its Rule 11.5 ("Orders and Modifiers") to add a new order type - Modified Destination Specific Order.

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