Regulation
Rule Filings
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-2010-002 Amendment 1
- Date filed:February 22, 2010
- Description:
Partial amendment to SR-BATS-2010-002.
- File number:SR-BATS-2010-002
- Date filed:February 2, 2010
- Description:
BATS is proposing to offer certain new BATS Exchange data products to Members of the Exchange and other market data recipients.
Approved and Immediately Effective Rule Changes:
- File number:SR-BATS-2009-032 Amendment 1
- Date filed:February 9, 2010
- Description:
Partial amendment to SR-BATS-2009-032.
- File number:SR-BATS-2009-032
- Date filed:December 18, 2009
- Description:
BATS is proposing to impose fees for physical ports used to connect to the Exchange's systems if any Member or non-Member wishes to obtain more than 4 physical ports at either of the Exchange's data center sites.
- File number:SR-BATS-2009-031 Amendment 1
- Date filed:January 20, 2010
- Description:
Partial amendment to SR-BATS-2009-031.
- File number:SR-BATS-2009-031
- Date filed:November 10, 2009
- Description:
BATS is proposing to adopt rules to govern the trading of options on BATS Exchange, Inc.
- File number:SR-BATS-2009-030
- Date filed:September 28, 2009
- Description:
BATS is proposing to amend BATS Rule 11.17 ("Clearly Erroneous Executions").
- File number:SR-BATS-2009-029
- Date filed:September 8, 2009
- Description:
Amendments to Fee Schedule for BATS Exchange.
- File number:SR-BATS-2009-028
- Date filed:August 21, 2009
- Description:
BATS is proposing to amend BATS Rule 11.9 ("Orders and Modifiers") and 11.13 ("Order Execution") to remove an order type and a pre-routing processing method through which a marketable order is displayed to Exchange Users (and market data recipients) for a brief period of time designated by the Exchange prior to being routed, cancelled or posted to the BATS Book.
- File number:SR-BATS-2009-027
- Date filed:July 28, 2009
- Description:
Amendments to Fee Schedule for BATS Exchange.
- File number:SR-BATS-2009-026, Amendment 1
- Date filed:August 27, 2009 Amendment 1
- Description:
Partial amendment to SR-BATS-2009-026.
- File number:SR-BATS-2009-026
- Date filed:July 21, 2009
- Description:
BATS is proposing to impose fees for ports used for order entry and receipt of market data.
- File number:SR-BATS-2009-025
- Date filed:July 20, 2009
- Description:
BATS is proposing to amend BATS Rule 11.9 to eliminate the ability of Exchange Users to execute market orders on the Exchange outside of Regular Trading Hours.
- File number:SR-BATS-2009-023
- Date filed:July 9, 2009
- Description:
BATS is proposing to modify BATS Rule 15.1 to allow the Exchange to pass on certain, specific fees that it is charged by the company that operates the data center where the Exchange's System is located
- File number:SR-BATS-2009-022
- Date filed:July 6, 2009
- Description:
BATS is proposing to make modifications to the existing technology that the Exchange provides to a User that wishes to avoid trading against orders from that same User ("Member Match Trade Prevention" or "MMTP").
- File number:SR-BATS-2009-021
- Date filed:June 29, 2009
- Description:
Amendments to Fee Schedule for BATS Exchange.
- File number:SR-BATS-2009-020
- Date filed:June 29, 2009
- Description:
BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") and BATS Rule 11.12 ("Priority of Orders") to permit Users of the Exchange to use a Replace Message to modify certain types of information originally submitted with an order without modifying the priority of such order.
- File number:SR-BATS-2009-019
- Date filed:June 26, 2009
- Description:
BATS rule filing related to Sponsored Access Risk Management Tool.
- File number:SR-BATS-2009-018
- Date filed:May 28, 2009
- Description:
BATS is proposing to amend the by-laws of the Exchange as they relate to the compositional requirements of the Exchange Nominating Committee.
- File number:SR-BATS-2009-017
- Date filed:May 28, 2009
- Description:
Amendments to Fee Schedule for BATS Exchange.
- File number:SR-BATS-2009-016
- Date filed:May 21, 2009
- Description:
Amendments to Fee Schedule for BATS Exchange to add references to RECYCLE routing.
- File number:SR-BATS-2009-015
- Date filed:May 19, 2009
- Description:
BATS is proposing to amend Rule 11.13 ("Order Execution") to provide Users of the Exchange with another option with respect to the Exchange’s method of processing the unfilled balance of a limit order that is posted to the BATS Book after being routed away to one or more away Trading Centers for execution.
- File number:SR-BATS-2009-014, Amendment 1
- Date filed:May 29, 2009
- Description:
Partial amendment to SR-BATS-2009-014
- File number:SR-BATS-2009-014
- Date filed:May 22, 2009
- Description:
BATS is proposing to amend Rules 11.9 ("Orders and Modifiers") and 11.13 ("Order Execution") to add a new order type (a BATS Only BOLT Order) and a pre-routing processing method that will each include an optional display period through which a marketable order will be displayed to Exchange Users (and market data recipients) for a brief period of time designated by the Exchange prior to being routed, cancelled or posted to the BATS Book.
- File number:SR-BATS-2009-013
- Date filed:May 12, 2009
- Description:
BATS is proposing to amend Rule 11.13 ("Order Execution") to provide Users of the Exchange with another option with respect to the Exchange's method of processing the unfilled balance of a limit order that returns to the Exchange after being routed away to one or more away Trading Centers for execution.
- File number:SR-BATS-2009-012
- Date filed:May 20, 2009
- Description:
BATS is proposing to amend BATS Rules in order to begin offering an After Hours Trading Session that will last from 4:00 p.m. to 5:00 p.m. EST.
- File number:SR-BATS-2009-011
- Date filed:May 1, 2009
- Description:
Amendments to Fee Schedule for BATS Exchange.
- File number:SR-BATS-2009-010
- Date filed:April 30, 2009
- Description:
Amendments to Fee Schedule for BATS Exchange.
- File number:SR-BATS-2009-009
- Date filed:April 14, 2009
- Description:
Amendments to Fee Schedule for BATS Exchange.
- File number:SR-BATS-2009-008
- Date filed:March 31, 2009
- Description:
Amendments to Fee Schedule for BATS Exchange.
- File number:SR-BATS-2009-007
- Date filed:March 2, 2009
- Description:
Amendments to Fee Schedule for BATS Exchange.
- File number:SR-BATS-2009-006
- Date filed:February 20, 2009
- Description:
BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") to provide for a new order type, a Partial Post Only at Limit Order, and to eliminate the Exchange order processing behavior described in Rule 11.9 as the "price sliding process".
- File number:SR-BATS-2009-005
- Date filed:January 23, 2009
- Description:
Amendments to Fee Schedule for BATS Exchange.
- File number:SR-BATS-2009-003
- Date filed:January 16, 2009
- Description:
BATS is proposing to amend BATS Rules to permit qualification and registration of Authorized Traders of Members pursuant to certain foreign examination modules equivalent to the Series 7 examination.
- File number:SR-BATS-2009-002
- Date filed:January 15, 2009
- Description:
BATS is proposing to amend Rule 11.8 ("Obligations of Market Makers") to provide Exchange functionality to Market Makers who wish to have the Exchange automatically enter certain orders on their behalf to facilitate compliance with the continuous two-sided quoting requirement applicable to Market Makers.
- File number:SR-BATS-2009-001
- Date filed:January 12, 2009
- Description:
BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") to provide Exchange system functionality that will cancel any portion of a BATS Market Order that would otherwise execute outside of certain thresholds.
