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.
The Exchange proposes to amend the Opening Auction Process provided under Rule 11.23(b)(2)(B) to delay the Opening Auction under certain market conditions in order to improve price discovery and allow executions to occur at prices that better reflect current market conditions.
The Exchange proposes to amend Rule 14.11(j) to eliminate the requirement that the Exchange distribute an information circular prior to the commencement of trading in each UTP Derivative Security.
The Exchange proposes to amend Exchange Rule 11.23(d)(2)(B) (Extending the Quote-Only Period for Initial Public Offering (“IPO”) Auctions) to: (1) delineate between BZX-listed corporate securities and exchange-traded product (“ETP”) IPO Securities; and (2) expand the circumstances under which the Exchange may extend the Quote-Only Period for IPO Auctions in an ETP IPO Security.
The Exchange proposes a rule change to modify fees as they apply to the Equity Options Platform for connectivity and its communication and routing service known as Bats Connect.
The Exchange proposes a rule change to BZX Rule 14.11(i), Managed Fund Shares, to list shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETF.
The Exchange proposes a rule change to amend the market data section of its fee schedule to adopt fees for BZX Summary Depth and amend fees for BZX Depth.
The Exchange proposes a rule change to amend Exchange Rule 11.27(b) regarding the data collection requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program.
The Exchange proposes a rule change to BZX Rule 11.23, Auctions, to amend how the official auction prices are calculated and add additional specificity regarding the handling of RHO orders during an opening auction for a BZX listed security.
The Exchange proposes a rule change to BZX Rule 8.11, Effective Date of Judgment and to add BZX Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information.
The Exchange proposes a rule change to amend EDGX Rule 2.5, Restrictions, regarding Members and associated persons of Members who are or become subject to a statutory disqualification.
The Exchange proposes a rule change to amend Exchange Rule 11.23, Auctions, to enhance the reopening auction process following a trading halt declared pursuant to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS.
The Exchange proposes a rule change to update BZX Rules 21.1, 21.7 and 21.9 to align the Exchange's rules and functionality applicable to the Exchange's Options Platform, BZX Options, with the Exchange's affiliated Options Platform, EDGX Options, which is operated by Bats EDGX Exchange, Inc.
The Exchange proposes a rule change to amend Rule 11.27(b) regarding the data collection requirements of the Regulation NMS Plan to implement a Tick Size Pilot Program.
The Exchange proposes a rule change to Rule 14.11(c)(4) to list and trade shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust.
The Exchange proposes a rule change to BZX Rule 11.26(a), stating it will utilize IEX market data from the CQS/UQDF
for purposes of order handling, routing, and related compliance processes
The Exchange proposed a rule change to BZX Rule 14.11(i), Managed Fund Shares, to list and trade shares of the JPMorgan Global Bond Opportunities ETF of the J.P. Morgan Exchange-Traded Fund Trust.
The Exchange proposed a rule change to BZX Rule 14.11(i), Managed Fund Shares, to list and trade shares of the ProShares Crude Oil Strategy ETF, a series of ProShares.
The Exchange proposes to add Interpretation and Policy .01 to Rule 16.1 to specify the manner in which the
Exchange calculates average daily order submissions for purposes of counting Professional orders.
The Exchange proposed a rule change to adopt paragraph (c) to Exchange Rule 11.27 to describe changes to system functionality necessary to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.
The Exchange proposed a rule change to add subparagraph (5) to Rule 21.1(h) modifying the operation of orders subject to the display price sliding process when a contra-side Post Only Order is received by the Bats BZX Exchange Options Platform.
The Exchange proposed a rule change to Rule 14.11, Managed Fund Shares, to list and trade shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust.
The Exchange proposed a rule change to Rule 14.3 regarding the requirements for the listing of securities that are issued by the Exchange or any of its affiliates.
The Exchange proposes a rule change to list and trade under BZX Rule 14.11(c)(4) shares of the following series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF.
The Exchange is filing a proposed rule change to amend Rule 11.27(b), Compliance with Data Collection Requirements, relating to the Regulation NMS Plan to implement a Tick Size Pilot Program.
The Exchange is filing a proposed a rule change to amend its rules as well as certain corporate documents of the Exchange to reflect a legal name change by BATS Global Markets, Inc. and the legal names of certain subsidiaries.
Bats BZX Exchange, Inc. (f/k/a BATS Exchange, Inc.) proposes a rule change to amend Rule 11.23, Auctions, to lengthen the auction information dissemination periods for the opening and closing auctions in BZX listed securities.
BATS Exchange, Inc. proposes a rule change to Rule 11.13(b)(3)(H), Order Execution and Routing, to amend the operation of Non-Displayed Orders and Reserve Orders.
The Exchange proposes a rule change to list and trade shares of the Pointbreak Diversified Commodity Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares.
BATS Exchange, Inc. proposes a rule change to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, to amend the Minor Rule Violation Plan.
The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares, to list and trade shares of the SPDR DoubleLine Short Term Total Return Tactical ETF of the SSgA Active Trust.
The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares, to list and trade the shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust.
