Bats BZX 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-BatsBZX-2017-59
Date filed: September 19, 2017
Description:

The Exchange proposes to list and trade shares of the CBOE S&P 500 Market-Neutral Option Income ETF under the ETF Series Solutions Trust, under Rule 14.11(c)(3), Index Fund Shares.

File number: SR-BatsBZX-2017-58
Date filed: September 19, 2017
Description:

The Exchange proposed a rule change to list and trade shares of the CBOE S&P 500 Dividend Aristocrats Target Income Index ETF under the ETF Series Solutions Trust, under Rule 14.11(c)(3), Index Fund Shares.

File number: SR-BatsBZX-2017-56
Date filed: August 22, 2017
Description:

The Exchange proposes a rule change to list and trade shares of each series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series under the Academy Funds Trust, under Rule 14.11(c)(3), Index Fund Shares

File number: SR-BatsBZX-2017-55
Date filed: August 23, 2017
Description:

The Exchange proposes a rule change to harmonize the governance framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated.

File number: SR-BatsBZX-2017-54
Date filed: September 7, 2017
Description:

The Exchange proposes to list and trade shares of the iShares Inflation Hedged Corporate Bond ETF, a series of the iShares U.S. ETF Trust, under Rule 14.11(i), Managed Fund Shares.

File number: SR-BatsBZX-2017-53
Date filed: August 18, 2017
Description:

The Exchange proposes a rule change to list and trade shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a series of the WisdomTree Trust, under Rule 14.11(c)(3), Index Fund Shares.

File number: SR-BatsBZX-2017-46 Amendment No.1
Date filed: August 31, 2017
Description:

The Exchange proposes an amendment to SR-BatsBZX-2017-46.

File number: SR-BatsBZX-2017-46
Date filed: July 10, 2017
Description:

The Exchange proposes to list and trade shares of the Aptus Fortified Value ETF, a series of ETF Series Solutions, under Rule 14.11(c), Index Fund Shares.

File number: SR-BatsBZX-2017-37 Amendment No. 1
Date filed: August 25, 2017
Description:

The Exchange proposes an amendment to SR-BatsBZX-2017-37.

File number: SR-BatsBZX-2017-37
Date filed: May 15, 2017
Description:

The Exchange proposes to modify requirements for the collection of information that is duplicative of information intended to be collected for the consolidated audit trail adopted pursuant to the National Market System Plan Governing the Consolidated Audit Trail.

File number: SR-BatsBZX-2017-34
Date filed: May 5, 2017
Description:

The Exchange proposes to introduce Bats Market Close, a closing match process for non-BZX Listed Securities under new Exchange Rule 11.28.

File number: SR-BatsBZX-2017-30
Date filed: May 31, 2017
Description:

The Exchange proposed to list and trade shares of the following under proposed Rule 14.11(k); ClearBridgeAppreciation ETF; ClearBridge Large Cap ETF; ClearBridge MidCap Growth ETF; ClearBridge Select ETF; andClearBridge All Cap Value ETF.

File number: SR-BatsBZX-2016-30 Amendment No. 2
Date filed: February 22, 2017
Description:

The Exchange proposes a second amendment to SR-BatsBZX-2016-30.

File number: SR-BatsBZX-2016-30 Amendment No. 1
Date filed: October 20, 2016
Description:

The Exchange proposes an amendment to SR-BatsBZX-2016-30.

File number: SR-BatsBZX-2016-30
Date filed: June 30, 2016
Description:

The Exchange proposed a rule change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to list and trade Winklevoss Bitcoin Shares issued by the Winklevoss Bitcoin Trust.

Approved and Immediately Effective Rule Changes

File number: SR-BatsBZX-2017-61
Date filed: September 20, 2017
Description:

The Exchange proposed a rule change to provide interpretation with respect to the meaning, administration, or enforcement of Rule 14.11, Other Securities and 14.12, Failure to Meet Listing Standards.

File number: SR-BatsBZX-2017-60
Date filed: September 20, 2017
Description:

The Exchange proposed a rule change to Rule 11.9, Orders and Modifiers, to add new optional functionality to Minimum Quantity Orders.

File number: SR-BatsBZX-2017-57
Date filed: September 6, 2017
Description:

The Exchange proposes a rule change to amend Rule 11.13, Order Execution and Routing, to account for IEX as a primary listing market and to amend certain rules to reflect the name change of NYSE MKT to NYSE American.

File number: SR-BatsBZX-2017-52
Date filed: August 2, 2017
Description:

The Exchange proposes a rule change to amend Rule 21.2, Days and Hours of Business.

File number: SR-BatsBZX-2017-51
Date filed: July 31, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BatsBZX-2017-48
Date filed: July 25, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBZX-2017-47
Date filed: July 24, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to Equity and the Equity Options Platforms.

File number: SR-BatsBZX-2017-45
Date filed: July 3, 2017
Description:

The Exchange proposed a rule change to BZX Rule 14.13, Company Listing Fees, to amend the fees applicable to securities listed on the Exchange.

File number: SR-BatsBZX-2017-44
Date filed: July 12, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBZX-2017-43
Date filed: June 16, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBZX-2017-42
Date filed: June 1, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBZX-2017-41
Date filed: June 1, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BatsBZX-2017-40
Date filed: June 13, 2017
Description:

The Exchange proposes a rule change to Rule 21.5 of Bats BZX Exchange, Inc. to extend through December 31, 2017, the Penny Pilot Program in options classes in certain issues.

File number: SR-BatsBZX-2017-39 Amendment No. 1
Date filed: August 24, 2017
Description:

The Exchange proposes an amendment to SR-BatsBZX-2017-39.

File number: SR-BatsBZX-2017-39
Date filed: May 23, 2017
Description:

The Exchange proposes to adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution, to establish the procedures for resolving potential disputes related to CAT Fees charged to Industry Members.

File number: SR-BatsBZX-2017-38
Date filed: May 23, 2017
Description:

The Exchange proposes to amend fees for its Equities Platform and to amend fees for its Options Platform to establish the fees for Industry Members related to the National Market System Plan Governing the Consolidated Audit Trail.

File number: SR-BatsBZX-2017-36
Date filed: May 17, 2017
Description:

The Exchange proposes to amend the Market Data section of its fee schedule to adopt fees for a new market data product called the ETF Implied Liquidity Feed.

File number: SR-BatsBZX-2017-35
Date filed: May 5, 2017
Description:

The Exchange proposes to amend Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors. Rule 20.6 relates to the adjustment and nullification of transactions that occur on the Exchange's equity options platform.

File number: SR-BatsBZX-2017-31
Date filed: May 4, 2017
Description:

The Exchange proposes a change to Rule 11.27 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.

File number: SR-BatsBZX-2017-29
Date filed: May 1, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BatsBZX-2017-28
Date filed: May 1, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBZX-2017-26
Date filed: May 12, 2017
Description:

The Exchange proposes a change to Rule 14.11, Other Securities, to provide for the inclusion of cash in an index underlying a series of Index Fund Shares.

File number: SR-BatsBZX-2017-25
Date filed: April 28, 2017
Description:

The Exchange proposes a change to Rule 11.22, Data Products, to adopt a new market data product known as the ETF Implied Liquidity Feed.

File number: SR-BatsBZX-2017-24
Date filed: April 25, 2017
Description:

The Exchange proposes a rule change to rule 11.15 of Bats BZX Exchange, Inc. to authorize the Exchange to share any of the user’s risk settings with the clearing member that clears transactions on behalf of the user.

File number: SR-BatsBZX-2017-23
Date filed: April 12, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BatsBZX-2017-22
Date filed: April 12, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBZX-2017-19
Date filed: March 8, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBZX-2017-17
Date filed: March 1, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BatsBZX-2017-15
Date filed: February 28, 2017
Description:

The Exchange filed a proposal to amend Rule11.27 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.

File number: SR-BatsBZX-2017-14 Amendment No. 5
Date filed: April 24, 2017
Description:

The Exchange proposes a fifth amendment to SR-BatsBZX-2017-14.

File number: SR-BatsBZX-2017-14 Amendment No. 4
Date filed: April 19, 2017
Description:

The Exchange proposes a fourth amendment to SR-BatsBZX-2017-14.

File number: SR-BatsBZX-2017-14 Amendment No. 3
Date filed: April 7, 2017
Description:

The Exchange proposes a third amendment to SR-BatsBZX-2017-14.

File number: SR-BatsBZX-2017-14 Amendment No. 2
Date filed: March 30, 2017
Description:

The Exchange proposes a second amendment to SR-BatsBZX-2017-14.

File number: SR-BatsBZX-2017-14
Date filed: February 17, 2017
Description:

The Exchange proposes a rule change to list and trade shares of the Amplify YieldShares Oil Hedged MLP Fund, a series of the Amplify ETF Trust , under Rule 14.11(i), Managed Fund Shares.

File number: SR-BatsBZX-2017-13
Date filed: February 8, 2017
Description:

The Exchange proposes a rule change to amend its Option Regulatory Fees as they relate to the equity options platform.

File number: SR-BatsBZX-2017-12
Date filed: February 1, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BatsBZX-2017-11
Date filed: February 1, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBZX-2017-10 Amendment No. 2
Date filed: March 30, 2017
Description:

The Exchange proposes a second amendment to SR-BatsBZX-2017-10.

File number: SR-BatsBZX-2017-10 Amendment No. 1
Date filed: March 28, 2017
Description:

The Exchange proposes an amendment to SR-BatsBZX-2017-10.

File number: SR-BatsBZX-2017-10
Date filed: January 31, 2017
Description:

The Exchange proposes a rule change to list and trade shares of the iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT-Free Muni Bond ETF, and iShares iBonds Dec 2026 AMT-Free Muni Bond ETF of the iShares U.S. ETF Trust under Bats Rule 14.11(i), Managed Fund Shares.

File number: SR-BatsBZX-2017-08
Date filed: January 30, 2017
Description:

The Exchange proposes a rule change to adopt Rules 4.5 through 4.16 to implement the compliance rule regarding the National Market System Plan governing the Consolidated Audit Trail.

File number: SR-BatsBZX-2017-05
Date filed: January 20, 2017
Description:

The Exchange proposes a rule change to adopt a new type of logical port known as a Purge Port.

File number: SR-BatsBZX-2017-03
Date filed: January 13, 2017
Description:

The Exchange proposes to convert the listing of the shares of the SPDR DoubleLine Short Term Total Return Tactical ETF and the SPDR DoubleLine Emerging Markets Fixed Income ETF, both of which are a Series of the SSGA Active Trust, pursuant to BZX Rule 14.11(i), Managed Fund Shares.

File number: SR-BatsBZX-2017-01
Date filed: January 3, 2017
Description:

The Exchange proposes rule changes to fees as they apply to the Equity Options Platform.