Bats EDGX 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-BatsEDGX-2016-26
Date filed: June 29, 2016
Description:

The Exchange proposed a rule change to adopt paragraph (c) to Exchange Rule 11.22 to describe changes to system functionality necessary to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.

Approved and Immediately Effective Rule Changes:

File number: SR-EDGX-2016-16
Date filed: March 1, 2016
Description:

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

File number: SR-EDGX-2016-14
Date filed: February 26, 2016
Description:

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.

File number: SR-EDGX-2016-12
Date filed: February 18, 2016
Description:

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

File number: SR-EDGX-2016-10
Date filed: February 10, 2016
Description:

EDGX Exchange, Inc. proposes rule changes related to fees as they apply to the Equity Options Platform.

File number: SR-EDGX-2016-08
Date filed: February 10, 2016
Description:

EDGX Exchange, Inc. proposes a rule change to Rule 11.6, Definitions, to amend the operation of Orders with a Non-Displayed Instruction and Orders with Reserve Quantity.

File number: SR-EDGX-2016-06 Amendment No. 1
Date filed: February 12, 2016
Description:

The Exchange proposes an amendment to SR-EDGX-2016-06.

File number: SR-EDGX-2016-06
Date filed: February 2, 2016
Description:

The Exchange proposes a rule change to adopt an Early Trading Session and three new Time-in-Force instructions.

File number: SR-EDGX-2016-04
Date filed: February 9, 2016
Description:

The Exchange proposes to amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.

File number: SR-EDGX-2016-03
Date filed: February 10, 2016
Description:

EDGX 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, amending the Exchange's Minor Rule Violation Plan.

File number: SR-EDGX-2016-02
Date filed: January 25, 2016
Description:

EDGX Exchange, Inc. proposes a rule change to amend Rule 21.16, Risk Monitor Mechanism, relating to the EDGX Equity Options Trading Platform.

File number: SR-EDGX-2016-01
Date filed: January 21, 2016
Description:

EDGX Exchange, Inc. proposes a rule change to Rule 21.1, Definitions, relating to the operation of the Attribution Feature of EDGX Options.

File number: SR-BatsEDGX-2016-50
Date filed: August 25, 2016
Description:

The Exchange proposes a rule change to amend Rule 19.6, Series of Options Contracts Open for Trading, to allow Wednesday expirations for SPY options.

File number: SR-BatsEDGX-2016-49
Date filed: August 22, 2016
Description:

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

File number: SR-BatsEDGX-2016-48
Date filed: August 22, 2016
Description:

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

File number: SR-BatsEDGX-2016-46
Date filed: August 17, 2016
Description:

The Exhange propses a rule change to EDGX Rule 21.8, Order Display and Book Processing.

File number: SR-BatsEDGX-2016-45
Date filed: August 11, 2016
Description:

The Exchange proposes a rule change to amend Rule 13.8, EDGX Book Feeds, to adopt a new market data product known as EDGX Summary Depth.

File number: SR-BatsEDGX-2016-42
Date filed: August 5, 2016
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsEDGX-2016-40
Date filed: August 1, 2016
Description:

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

File number: SR-BatsEDGX-2016-36
Date filed: July 26, 2016
Description:

The Exchange proposes a rule to reflect the dissolution of one of the Exchange's intermediate holding companies, Direct Edge Holdings LLC.

File number: SR-BatsEDGX-2016-35
Date filed: July 22, 2016
Description:

The Exchange filed a proposal to amend Rule 11.21, Retail Orders, to conform to the rules of Bats BZX Exchange, Inc. and Bats BYX Exchange, Inc..

File number: SR-BatsEDGX-2016-33
Date filed: July 20, 2016
Description:

The Exchanged proposed a rule change to adopt an Options Regulatory Fee.

File number: SR-BatsEDGX-2016-32
Date filed: July 11, 2016
Description:

The Exchange proposed a rule change related to fees as they apply to the recently adopted Step Up Mechanism on its Equity Options Platform.

File number: SR-BatsEDGX-2016-30
Date filed: July 5, 2016
Description:

The Exchange proposed a rule change to EDGA Rule 13.4(a), stating it will utilize IEX market data from the CQS/UQDF for purposes of order handling, routing, and related compliance processes

File number: SR-BatsEDGX-2016-29
Date filed: July 11, 2016
Description:

The Exchange is filing this proposal related to functionality offered by EDGX Options to: (i) modify various rules to eliminate the display-price sliding option; (ii) modify various rules to eliminate Price Improving Orders, as defined below; and (iii) adopt the Step Up Mechanism.

File number: SR-BatsEDGX-2016-28
Date filed: June 30, 2016
Description:

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.

File number: SR-BatsEDGX-2016-27
Date filed: July 1, 2016
Description:

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

File number: SR-BatsEDGX-2016-25
Date filed: June 17, 2016
Description:

The Exchange proposes to amend rule 13.8(b) to identify certain transactions as the Bats One Opening Price or the Bats One Closing Price.

File number: SR-BatsEDGX-2016-24
Date filed: June 9, 2016
Description:

The Exchange proposed a rule change to Rule 11.7, Opening Process.

File number: SR-BatsEDGX-2016-23
Date filed: June 8, 2016
Description:

The Exchange proposed a rule change related to fees.

File number: SR-BatsEDGX-2016-22
Date filed: June 3, 2016
Description:

The Exchange proposes a rule change to extend the Penny Pilot Program.

File number: SR-BatsEDGX-2016-21
Date filed: June 1, 2016
Description:

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

File number: SR-BatsEDGX-2016-19
Date filed: May 13, 2016
Description:

The Exchange proposed a rule change to Rule 11.7, Opening Process.

File number: SR-BatsEDGX-2016-18
Date filed: May 17, 2016
Description:

The Exchange proposed a rule change to the Market Data section of its fee schedule.

File number: SR-BatsEDGX-2016-17
Date filed: May 3, 2016
Description:

The Exchange proposed a rule change to amend the description of Price Improving Orders under subparagraph (6) to Rule 21.1(d) and add subparagraph (4) 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 EDGX Exchange Options Platform.

File number: SR-BatsEDGX-2016-15
Date filed: May 2, 2016
Description:

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

File number: SR-BatsEDGX-2016-14
Date filed: May 2, 2016
Description:

The Exchange proposed a rule change to adopt Exchange Rule 11.22(a) to implement the quoting and trading provisions of the Regulation NMS Plan to implement a Tick Size Pilot Program.

File number: SR-BatsEDGX-2016-13
Date filed: April 29, 2016
Description:

The Exchange proposes rule changes related to fees.

File number: SR-BatsEDGX-2016-12
Date filed: April 13, 2016
Description:

The Exchange proposed a rule change to adopt Exchange Rule 14.10 setting forth additional requirements for the listing of securities that are issued by the Exchange or any of its affiliates.

File number: SR-BatsEDGX-2016-11
Date filed: April 11, 2016
Description:

The Exchange proposes rule changes related to fees.

File number: SR-BatsEDGX-2016-10
Date filed: April 8, 2016
Description:

The Exchange proposes to amend the Certificate of Incorporation of its ultimate parent company, Bats Global Markets, Inc.

File number: SR-BatsEDGX-2016-09
Date filed: April 7, 2016
Description:

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

File number: SR-BatsEDGX-2016-07
Date filed: April 7, 2016
Description:

The Exchange proposes a non-substantive correction to Rule 11.27.

File number: SR-BatsEDGX-2016-05
Date filed: March 31, 2016
Description:

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

File number: SR-BatsEDGX-2016-04
Date filed: March 30, 2016
Description:

The Exchange proposes a rule change to adopt Rule 8.17 to provide a process for an expedited suspension proceeding and Rule 12.15 to prohibit layering and spoofing.

File number: SR-BatsEDGX-2016-03
Date filed: March 24, 2016
Description:

The Exchange proposes rule changes in connection with the Equity Options Platform.

File number: SR-BatsEDGX-2016-02
Date filed: March 17, 2016
Description:

The Exchange proposes rule changes related to fees.

File number: SR-BatsEDGX-2016-01
Date filed: March 15, 2016
Description:

The Exchange proposes a rule change to adopt Exchange Rule 11.27 to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.