Issuer Services

We're here to help. As an Issuer, you are given direct access to Bats team members, who are available for quick answers, idea generation and assistance.

Our Issuer Services Department focuses on three main components:

1PROVIDING you with Dedicated Resources Pre-launch and Post-launch

  • Application Support Team: Drafts your application for you.
  • Legal Support Team: Completes your 19b-4 draft and advocates on your behalf with the SEC.
  • Issuer Resource Desk: Monitors trading activity in your symbols and is your resource for detailed trade information; also reserves new symbols.
  • Listing Surveillance Department: Reviews your ETF's compliance with continued listings standards and disseminates corporate action information.
  • Investor Education Experts / Distribution: Introduces you to audiences that will help your products grow and partners with you to educate your customers on market structure and Bats.
  • Marketing Team: Promotes your ETF at launch and continues to help grow awareness for your firm and Bats-listed ETFs.
  • Communications Team: Provides expertise with media relations and drafts/assists with press releases.

2SIMPLIFYING Your Listing Process

  • Application Support Team assists with drafting and completion of your listing application.
  • Resources available through each step of the application and filing process.
  • Application typically drafted within one business day upon receiving all necessary information.

3SAVING YOU TIME & MONEY Getting Your Product to Market

  • 19b-4 draft completed for you at no cost and typically in two weeks with estimated approval in three months.
  • Your advocate in dealing with the SEC, especially with new product types.
  • Potential savings of thousands in legal fees because of our hands-on approach, doing much of the work for you.

Questions?

For more information about listing on Bats, please contact the Listing Services Department at listings@bats.com