Regulation - BZX

Rule Filings for 2012

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-2011-038
  • Date filed:September 27, 2011
  • Description:

    BATS is proposing to modify BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).

Approved and Immediately Effective Rule Changes:

  • File number: SR-BATS-2012-018
  • Date filed:May 17, 2012
  • Description:

    BATS is proposing to amend BATS Rules 11.9 and 21.1 to modify the operation of BATS Post Only orders and to make an unrelated change to match trade prevention functionality.

  • File number: SR-BATS-2012-017
  • Date filed:May 11, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-016
  • Date filed:April 25, 2012
  • Description:

    BATS is proposing to modify BATS Rules 11.9 and 21.1 to allow optional attribution of orders submitted to the Exchange.

  • File number: SR-BATS-2012-015
  • Date filed:April 2, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-014
  • Date filed:March 19, 2012
  • Description:

    BATS is proposing to amend the Certificate of Incorporation of BATS Global Markets, Inc.

  • File number: SR-BATS-2012-013
  • Date filed:March 8, 2012
  • Description:

    BATS is proposing to make permanent the rule related to BATS Trading, Inc.'s status as inbound router.

  • File number: SR-BATS-2012-012
  • Date filed:March 8, 2012
  • Description:

    BATS is proposing to amend Rule 14.3 to include additional requirements for the listing of securities that are issued by the Exchange or any of its affiliates.

  • File number: SR-BATS-2012-011
  • Date filed:February 8, 2012
  • Description:

    BATS is proposing to adopt incentives in connection with its Competitive Liquidity Provider program.

  • File number: SR-BATS-2012-010
  • Date filed:February 8, 2012
  • Description:

    BATS is proposing to amend the fees applicable to securities listed on the Exchange.

  • File number: SR-BATS-2012-009
  • Date filed:February 3, 2012
  • Description:

    BATS is proposing to allow certain Opening Auction orders to participate in an IPO Auction on the Exchange.

  • File number: SR-BATS-2012-008
  • Date filed:February 1, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-007
  • Date filed:February 1, 2012
  • Description:

    BATS is proposing to add additional variations of the TRIM routing strategy.

  • File number: SR-BATS-2012-006
  • Date filed:February 1, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-004
  • Date filed:January 24, 2012
  • Description:

    BATS is proposing to list and trade shares of the iShares MSCI Denmark Capped Investable Market Index Fund as Index Fund Shares.

  • File number: SR-BATS-2012-003
  • Date filed:January 24, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-002
  • Date filed:January 6, 2012
  • Description:

    BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).

  • File number: SR-BATS-2012-001
  • Date filed:January 6, 2012
  • Description:

    BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).

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