Cboe BZX Options Exchange 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-BATS-2015-95
Date filed: October 23, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rule 14.11, Managed Fund Shares, to list and trade shares of the SPDR DoubleLine Short Term Total Return Tactical ETF of the SSgA Active Trust.

File number: SR-BATS-2015-94
Date filed: October 23, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rule 14.11, Managed Fund Shares, to list and trade shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust.

File number: SR-BATS-2015-69
Date filed: September 1, 2015
Description:

BATS Exchange, Inc. proposes a Rule Change to amend Rules 1.5(r), 11.1(a), 11.23, 14.6, 14.11, and 14.12 and adopt Rule 11.1(a)(1)

File number: SR-BATS-2015-57-Amendment-No-1
Date filed: August 11, 2015
Description:

Amendment to SR-BATS-2015-57

File number: SR-BATS-2015-57
Date filed: July 30, 2015
Description:

BATS Exchange, Inc. proposes to adopt new Rule 8.17 to provide a process for an expedited suspension proceeding and Rule 12.15 to prohibit Layering and Spoofing.

File number: SR-BATS-2015-56 Amendment No. 2
Date filed: September 4, 2015
Description:

Second amendment to SR-BATS-2015-56.

File number: SR-BATS-2015-56 Amendment No. 1
Date filed: August 19, 2015
Description:

Amendment to SR-BATS-2015-56.

File number: SR-BATS-2015-56
Date filed: July 30, 2015
Description:

BATS Exchange, Inc. proposes to list and trade shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust under BATS Rule 14.11

Approved and Immediately Effective Rule Changes

File number: SR-BATS-2015-96
Date filed: October 27, 2015
Description:

BATS Exchange, Inc. proposal to extend the pilot period for the Exchange's Supplemental Competitive Liquidity Provider Program.

File number: SR-BATS-2015-93
Date filed: October 21, 2015
Description:

BATS Exchange, Inc. proposes a rule change to delete Rule 22.10, Limitations on Dealings.

File number: SR-BATS-2015-92
Date filed: October 28, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rules 21.2, 21.6, and 21.7, as they Relate to Order Acceptance Time.

File number: SR-BATS-2015-91
Date filed: October 20, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors.

File number: SR-BATS-2015-90
Date filed: October 14, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.25, Retail Order Attribution Program.

File number: SR-BATS-2015-89
Date filed: October 13, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to LMM Incentives.

File number: SR-BATS-2015-87
Date filed: October 9, 2015
Description:

BATS Exchange, Inc.proposes to amend Rule 11.13, Order Execution and Routing.

File number: SR-BATS-2015-86
Date filed: October 2, 2015
Description:

BATS Exchange, Inc.; proposes a rule change to adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems.

File number: SR-BATS-2015-85
Date filed: October 2, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-83
Date filed: October 1, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-82
Date filed: September 30, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-80
Date filed: September 30, 2015
Description:

Proposal to adopt an Issuer Incentive Program applicable to securities listed on BATS Exchange, Inc.

File number: SR-BATS-2015-79
Date filed: September 30, 2015
Description:

BATS Exchange, Inc.; proposed a rule change to amend Rule 3.22, Gratuities.

File number: SR-BATS-2015-78
Date filed: September 24, 2015
Description:

BATS Exchange, Inc. proposes to delete Rule 2.13, Fidelity Bonds.

File number: SR-BATS-2015-77
Date filed: September 23, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 3.13, Payment Designed to Influence Market Prices, Other than Paid Advertising.

File number: SR-BATS-2015-76
Date filed: September 21, 2015
Description:

BATS Exchange, Inc. proposes to to restructure and amend Rule 11.17, Clearly Erroneous Executions.

File number: SR-BATS-2015-74
Date filed: September 9, 2015
Description:

BATS Exchange, Inc. proposes a rule change related to fees to adopt a Tape B Volume Tier.

File number: SR-BATS-2015-71
Date filed: September 2, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-65
Date filed: August 18, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.26 relating to the reactivation of NSX.

File number: SR-BATS-2015-64
Date filed: August 24, 2015
Description:

Proposal to adopt fees for a market data product known as BZX Book Viewer.

File number: SR-BATS-2015-63
Date filed: August 12, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-62
Date filed: August 7, 2015
Description:

Proposal to amend Rule 11.22 to describe the market data product BZX Book Viewer.

File number: SR-BATS-2015-60
Date filed: August 7, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-58
Date filed: August 3, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-55
Date filed: July 23, 2015
Description:

BATS Exchange, Inc. proposes to extend the pilot period of the Supplemental Competitive Liquidity Provider Program.

File number: SR-BATS-2015-54
Date filed: July 23, 2015
Description:

BATS Exchange, Inc. proposes to Delay Implementation of SR-BATS-2015-51.

File number: SR-BATS-2015-53
Date filed: July 6, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-52
Date filed: July 1, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-51
Date filed: June 30, 2015
Description:

BATS Exchange, Inc. proposes to amend to Rule 21.1(d)(9), (h) and (i) to modify the operation of BATS Post Only Orders on its Options platform.

File number: SR-BATS-2015-50
Date filed: June 29, 2015
Description:

BATS Exchange, Inc. proposes to extend the Penny Pilot Program for BATS Options through June 30, 2016.

File number: SR-BATS-2015-48
Date filed: July 1, 2015
Description:

BATS Exchange proposes to amend the market data section of its fee schedule.

File number: SR-BATS-2015-47
Date filed: June 16, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.9 to modify its Price Adjust functionality.

File number: SR-BATS-2015-46
Date filed: June 19, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-45
Date filed: June 9, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-44
Date filed: June 9, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-43
Date filed: June 5, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 19.3(i) with respect to BATS Options.

File number: SR-BATS-2015-40
Date filed: May 27, 2015
Description:

BATS Exchange, Inc. proposes to adopt Rule 13.8 describing a communication and routing service known as BATS Connect.

File number: SR-BATS-2015-39
Date filed: May 22, 2015
Description:

BATS Exchange, Inc. proposes to amend fees applicable to securities listed on its Exchange pursuant to BATS Rule 14.13.

File number: SR-BATS-2015-38
Date filed: May 6, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-37-Amendment-No-1
Date filed: May 15, 2015
Description:

Amendment to SR-BATS-2015-37

File number: SR-BATS-2015-37
Date filed: May 5, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.2 to state that the Exchange will not designate for trading any security admitted to unlisted trading privileges on the Exchange unless that security satisfies certain liquidity requirements.

File number: SR-BATS-2015-35
Date filed: May 1, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-33
Date filed: April 16, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-31
Date filed: April 1, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.23, Auctions.

File number: SR-BATS-2015-30
Date filed: April 1, 2015
Description:

Proposal to: (i) amend Rule 3.5, Advertising Practices; and (ii) repeal Rule 3.20, Initial or Partial Payments to conform with the comparable FINRA rules

File number: SR-BATS-2015-29
Date filed: April 6, 2015
Description:

Proposal to amend the content of the BATS One Feed under Rule 11.22(j) to include consolidated volume for all listed equity securities.

File number: SR-BATS-2015-28
Date filed: April 1, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-26
Date filed: April 1, 2015
Description:

Proposal to amend Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors, to adopt a new provision to account for erroneous trades occurring from disruptions and/or malfunctions of Exchange systems.

File number: SR-BATS-2015-25
Date filed: March 26, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 4.3, Record of Written Complaints.

File number: SR-BATS-2015-24
Date filed: March 17, 2015
Description:

BATS Exchange, Inc. proposes to amend the fees for the BATS One Market Data Product.

File number: SR-BATS-2015-23
Date filed: March 17, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-22
Date filed: March 13, 2015
Description:

BATS Exchange, Inc. proposes to adopt new Rule 21.17, Exchange Sharing of User Designated Risk Settings.

File number: SR-BATS-2015-20
Date filed: March 2, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-17
Date filed: February 20, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.13, Order Execution, to delete references to the ROLF routing option, which routed order to LavaFlow ECN.

File number: SR-BATS-2015-16
Date filed: March 3, 2015
Description:

BATS Exchange, Inc. proposes to adopt Rule 12.14, Front Running of Block Transactions.

File number: SR-BATS-2015-15
Date filed: February 18, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.22 to update the names of certain market data products.

File number: SR-BATS-2015-14
Date filed: February 12, 2015
Description:

BATS Exchange, Inc. proposes to eliminate 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."

File number: SR-BATS-2015-13
Date filed: February 10, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-12
Date filed: February 5, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 8.15 entitled Imposition of Fines for Minor Violation(s) of Rules.

File number: SR-BATS-2015-11
Date filed: February 3, 2015
Description:

BATS Exchange, Inc. proposes to establish fees for the BATS One Feed, and amend fees for BZX Top and BZX Last Sale.

File number: SR-BATS-2015-09
Date filed: January 30, 2015
Description:

BATS Exchange, Inc. proposes to amend rules 11.9, 11.12 and 11.13.

File number: SR-BATS-2015-08
Date filed: January 22, 2015
Description:

Amendments to the fee schedule to adopt an Options Regulatory Fee (ORF), effective February 2, 2015.

File number: SR-BATS-2015-07
Date filed: January 22, 2015
Description:

BATS Exchange, Inc. proposes to amend Rules 2.5(c)(4) and 11.5 to harmonize with EDGA and EDGX Rules, its membership requirements applicable to clearing agencies that clear transactions for members.

File number: SR-BATS-2015-06
Date filed: January 22, 2015
Description:

BATS Exchange, Inc. proposes to amend the fees applicable to securities listed on its Exchange pursuant to Rule 14.13.

File number: SR-BATS-2015-05
Date filed: January 14, 2015
Description:

BATS Exchange, Inc. proposes to amend Chapter IX of its rulebook to incorporate certain rules of NASDAQ and FINRA relating to arbitration and mediation.

File number: SR-BATS-2015-04
Date filed: January 7, 2015
Description:

BATS Exchange, Inc. proposed to clarify the use of certain data feeds.

File number: SR-BATS-2015-02
Date filed: January 2, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-01
Date filed: January 2, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc.