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-2010-005
- Date filed:February 25, 2010
- Description:
Amendments to Fee Schedule for BATS Exchange.
- File number:SR-BATS-2010-003
- Date filed:February 11, 2010
- Description:
BATS is proposing to amend BATS Rule 5.5 ("Information Barrier Procedures") to modify the Exchange's rule regarding information barrier procedures required of certain Exchange Members and to add new Exchange Rule 12.13 ("Trading Ahead of Research Reports").
- File number:SR-BATS-2010-001
- Date filed:January 29, 2010
- Description:
Amendments to Fee Schedule for BATS Exchange.