Bats Options 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-2017-14
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-2017-10
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-2017-07
Date filed: January 27, 2017
Description:

The Exchange proposes to list and trade the shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust.

File number: SR-BatsBZX-2017-06
Date filed: January 20, 2017
Description:

The Exchange proposes to amend the listing rules under Rule 14.8, in order to adopt listing standards for closed-end funds.

File number: SR-BatsBZX-2016-80
Date filed: November 18, 2016
Description:

The Exchange proposes rule changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards.

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-2017-13
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-2017-05
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.