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BATS Exchange, Inc. (BATS) Rulemaking
We encourage the public to submit comments on the following BATS Exchange, Inc. (BATS) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Fourth Quarter | Third Quarter |
Second Quarter | First Quarter
BATS File Number List for 2009
Additional Archives
2009 | 2008
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-BATS-2009-030 |
| 34-60759 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.17, entitled "Clearly Erroneous Executions."
Comments due: October 29, 2009
 Submit comments on SR-BATS-2009-030
|
| Third Quarter |
SR-BATS-2009-029 |
| 34-60683 |
Sep. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: October 16, 2009
Submit comments on SR-BATS-2009-029
|
SR-BATS-2009-026 |
| 34-60586 |
Aug. 28, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data
See also: Notice: Rel. No. 34-60364
|
SR-BATS-2009-028 |
| 34-60569 |
Aug. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers," and BATS Rule 11.13, entitled "Order Execution."
Comments due: September 22, 2009
Submit comments on SR-BATS-2009-028
|
SR-BATS-2009-027 |
| 34-60464 |
Aug. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 8, 2009
Submit comments on SR-BATS-2009-027
|
SR-BATS-2009-025 |
| 34-60387 |
Jul. 24, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers"
Comments due: August 21, 2009
|
SR-BATS-2009-026 |
| 34-60364 |
Jul. 22, 2009 |
Notice of Filing of Proposed Rule Change to Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data
Comments due: August 18, 2009
See also: Order: Rel. No. 34-60586
|
SR-BATS-2009-023 |
| 34-60313 |
Jul. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc
Comments due: August 12, 2009
|
SR-BATS-2009-022 |
| 34-60266 |
Jul. 9, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BATS Rule 11.9, Entitled "Orders and Modifiers"
Comments due: August 5, 2009
|
SR-BATS-2009-019 |
| 34-60236 |
Jul. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish its New Sponsored Access Risk Management Tool Service
Comments due: August 4, 2009
|
SR-BATS-2009-021 |
| 34-60214 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 30, 2009
|
SR-BATS-2009-020 |
| 34-60204 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers," and BATS Rule 11.12, entitled "Priority of Orders."
Comments due: July 30, 2009
|
| Second Quarter |
SR-BATS-2009-017 |
| 34-60041 |
Jun. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 1, 2009
|
SR-BATS-2009-014 |
| 34-60040 |
Jun. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend BATS Rule 11.13, entitled “Order Execution”
Comments due: July 1, 2009
Comments received are available for this notice.
|
SR-BATS-2009-018 |
| 34-60019 |
Jun. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Criteria for Becoming a Member of the Nominating Committee
Comments due: June 29, 2009
|
SR-BATS-2009-016 |
| 34-59990 |
May 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 25, 2009
|
SR-BATS-2009-015 |
| 34-59967 |
May 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.13, entitled "Order Execution"
Comments due: June 19, 2009
|
SR-BATS-2009-012 |
| 34-59963 |
May 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules to Offer an After Hours Trading Session
Comments due: June 19, 2009
|
SR-BATS-2009-013 |
| 34-59934 |
May 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.13, entitled "Order Execution"
Comments due: June 12, 2009
|
SR-BATS-2009-010 |
| 34-59890 |
May 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 4, 2009
|
SR-BATS-2009-011 |
| 34-59889 |
May 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 4, 2009
|
SR-BATS-2009-009 |
| 34-59782 |
Apr. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: May 15, 2009
|
SR-BATS-2009-008 |
| 34-59709 |
Apr. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: May 4, 2009
|
| First Quarter |
SR-BATS-2009-007 |
| 34-59516 |
Mar. 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 1, 2009
|
SR-BATS-2009-006 |
| 34-59457 |
Feb. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled “Orders and Modifiers”
Comments due: March 25, 2009
|
SR-BATS-2009-005 |
| 34-59312 |
Jan. 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: February 24, 2009
|
SR-BATS-2009-003 |
| 34-59292 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 2.5, entitled “Restrictions,” and BATS Rule 11.4, entitled “Authorized Traders”
Comments due: February 20, 2009
|
SR-BATS-2009-002 |
| 34-59284 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.8, entitled "Obligations of Market Makers"
Comments due: February 18, 2009
|
SR-BATS-2009-001 |
| 34-59258 |
Jan. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled “Orders and Modifiers.”
Comments due: February 17, 2009
|
| Release No. |
Date |
Details |
SR-BATS-2009-030 |
| 34-60759 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.17, entitled "Clearly Erroneous Executions."
Comments due: October 29, 2009
Submit comments on SR-BATS-2009-030
|
SR-BATS-2009-029 |
| 34-60683 |
Sep. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: October 16, 2009
Submit comments on SR-BATS-2009-029
|
SR-BATS-2009-028 |
| 34-60569 |
Aug. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers," and BATS Rule 11.13, entitled "Order Execution."
Comments due: September 22, 2009
Submit comments on SR-BATS-2009-028
|
SR-BATS-2009-027 |
| 34-60464 |
Aug. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 8, 2009
Submit comments on SR-BATS-2009-027
|
SR-BATS-2009-026 |
| 34-60586 |
Aug. 28, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data
|
| 34-60364 |
Jul. 22, 2009 |
Notice of Filing of Proposed Rule Change to Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data
Comments due: August 18, 2009
|
SR-BATS-2009-025 |
| 34-60387 |
Jul. 24, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers"
Comments due: August 21, 2009
|
SR-BATS-2009-023 |
| 34-60313 |
Jul. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc
Comments due: August 12, 2009
|
SR-BATS-2009-022 |
| 34-60266 |
Jul. 9, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BATS Rule 11.9, Entitled "Orders and Modifiers"
Comments due: August 5, 2009
|
SR-BATS-2009-021 |
| 34-60214 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 30, 2009
|
SR-BATS-2009-020 |
| 34-60204 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers," and BATS Rule 11.12, entitled "Priority of Orders."
Comments due: July 30, 2009
|
SR-BATS-2009-019 |
| 34-60236 |
Jul. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish its New Sponsored Access Risk Management Tool Service
Comments due: August 4, 2009
|
SR-BATS-2009-018 |
| 34-60019 |
Jun. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Criteria for Becoming a Member of the Nominating Committee
Comments due: June 29, 2009
|
SR-BATS-2009-017 |
| 34-60041 |
Jun. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 1, 2009
|
SR-BATS-2009-016 |
| 34-59990 |
May 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 25, 2009
|
SR-BATS-2009-015 |
| 34-59967 |
May 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.13, entitled "Order Execution"
Comments due: June 19, 2009
|
SR-BATS-2009-014 |
| 34-60040 |
Jun. 3, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend BATS Rule 11.13, entitled “Order Execution”
Comments due: July 1, 2009
Comments received are available for this notice.
|
SR-BATS-2009-013 |
| 34-59934 |
May 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.13, entitled "Order Execution"
Comments due: June 12, 2009
|
SR-BATS-2009-012 |
| 34-59963 |
May 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules to Offer an After Hours Trading Session
Comments due: June 19, 2009
|
SR-BATS-2009-011 |
| 34-59889 |
May 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 4, 2009
|
SR-BATS-2009-010 |
| 34-59890 |
May 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 4, 2009
|
SR-BATS-2009-009 |
| 34-59782 |
Apr. 17, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: May 15, 2009
|
SR-BATS-2009-008 |
| 34-59709 |
Apr. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: May 4, 2009
|
SR-BATS-2009-007 |
| 34-59516 |
Mar. 5, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 1, 2009
|
SR-BATS-2009-006 |
| 34-59457 |
Feb. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled “Orders and Modifiers”
Comments due: March 25, 2009
|
SR-BATS-2009-005 |
| 34-59312 |
Jan. 28, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: February 24, 2009
|
SR-BATS-2009-003 |
| 34-59292 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 2.5, entitled “Restrictions,” and BATS Rule 11.4, entitled “Authorized Traders”
Comments due: February 20, 2009
|
SR-BATS-2009-002 |
| 34-59284 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.8, entitled "Obligations of Market Makers"
Comments due: February 18, 2009
|
SR-BATS-2009-001 |
| 34-59258 |
Jan. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled “Orders and Modifiers.”
Comments due: February 17, 2009
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http://www.sec.gov/rules/sro/bats.shtml
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