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-CboeBZX-2019-067
Date filed: July 18, 2019
Description:

The Exchange proposes a rule change to list and trade shares of the Innovator-100 Buffer, Power Buffer, and Ultra Buffer ETF Series and the Innovator Russell 2000 Buffer, Power Buffer, and Ultra Buffer ETF Series under the Innovator ETFs Trust under Rule 14.11(i) (“Managed Fund Shares”).

File number: SR-CboeBZX-2019-057
Date filed: June 5, 2019
Description:

The Exchange proposes a rule change to list and trade shares of the following under currently proposed Rule 14.11(k): American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF.

File number: SR-CboeBZX-2019-053
Date filed: June 3, 2019
Description:

The Exchange proposes a rule change to amend Rule 14.11, Other Securities in order to make changes to the continued listing standards applicable to ETPs listed on the Exchange.

File number: SR-CboeBZX-2019-047
Date filed: June 5, 2019
Description:

The Exchange proposes a rule change to adopt BZX Rule 14.11(k) to permit the listing and trading of Managed Portfolio Shares, which are shares of actively managed exchange-traded funds for which the portfolio is disclosed in accordance with standard mutual fund disclosure rules.

File number: SR-CboeBZX-2019-044
Date filed: May 15, 2019
Description:

The Exchange proposes a rule change to allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust to hold certain instruments in a manner that may not comply with Rule 14.11(i), Managed Fund Shares.

File number: SR-CboeBZX-2019-023
Date filed: April 3, 2019
Description:

The Exchange proposes a rule change to amend Exchange Rule 14.11(c), Index Fund Shares, to adopt generic listing standards for Index Fund Shares based on an index of municipal bond securities.

File number: SR-CboeBZX-2019-004
Date filed: January 30, 2019
Description:

The Exchange proposes a rule change to list and trade shares of SolidX Bitcoin Shares issued by the VanEck SolidX Bitcoin Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.

Approved and Immediately Effective Rule Changes

File number: SR-BatsBZX-2016-92
Date filed: December 30, 2016
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBZX-2016-91
Date filed: December 15, 2016
Description:

The Exchange proposes a rule change to adopt a Participant Fee applicable to Options Members of its equity options platform.

File number: SR-BatsBZX-2016-90
Date filed: December 27, 2016
Description:

The Exchange proposes a rule change to modify fees as they apply to the Equity Options Platform for connectivity and its communication and routing service known as Bats Connect.

File number: SR-BatsBZX-2016-89
Date filed: December 27, 2016
Description:

The Exchange proposes a rule change to modify fees for connectivity and its communication and routing service known as Bats Connect.

File number: SR-BatsBZX-2016-88
Date filed: December 13, 2016
Description:

The Exchange proposes a rule change to BZX Rule 14.11(i), Managed Fund Shares, to list shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETF.

File number: SR-BatsBZX-2016-87
Date filed: December 14, 2016
Description:

The Exchange proposes a rule change to amend the market data section of its fee schedule to adopt fees for BZX Summary Depth and amend fees for BZX Depth.

File number: SR-BatsBZX-2016-84
Date filed: November 30, 2016
Description:

Proposed rule change to Rule 21.5 to extend through June 30, 2017, the Penny Pilot Program in options classes in certain issues

File number: SR-BatsBZX-2016-83
Date filed: November 30, 2016
Description:

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

File number: SR-BatsBZX-2016-82
Date filed: November 30, 2016
Description:

The Exchange proposes a rule change to amend Exchange Rule 11.27(b) regarding the data collection requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program.

File number: SR-BatsBZX-2016-81
Date filed: November 30, 2016
Description:

The Exchange proposes a rule change to BZX Rule 11.23, Auctions, to amend how the official auction prices are calculated and add additional specificity regarding the handling of RHO orders during an opening auction for a BZX listed security.

File number: SR-BatsBZX-2016-80 Amendment No. 2
Date filed: March 3, 2017
Description:

The Exchange proposes a second amendment to SR-BatsBZX-2016-80.

File number: SR-BatsBZX-2016-80 Amendment No. 1
Date filed: March 1, 2017
Description:

The Exchange proposes an amendment to SR-BatsBZX-2016-80.

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-2016-79
Date filed: November 29, 2016
Description:

The Exchange proposes a rule change to make several non-substantive changes to the fee schedule as it applies to the Equity Options Platform.

File number: SR-BatsBZX-2016-78
Date filed: November 29, 2016
Description:

The Exchange proposes a rule change to make several non-substantive changes to the fee schedule.

File number: SR-BatsBZX-2016-77
Date filed: November 16, 2016
Description:

The Exchange proposes a rule change to make ministerial and corrective changes to Exchange Rules 11.13, 11.16, 11.22, and 11.27.

File number: SR-BatsBZX-2016-76
Date filed: November 7, 2016
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBZX-2016-75
Date filed: November 7, 2016
Description:

The Exchange proposes a rule change to extend the pilot period for the Supplemental Competitive Liquidity Provider Program.

File number: SR-BatsBZX-2016-73
Date filed: November 3, 2016
Description:

The Exchange proposes a rule change to BZX Rule 8.11, Effective Date of Judgment and to add BZX Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information.

File number: SR-BatsBZX-2016-71
Date filed: October 28, 2016
Description:

The Exchange proposes a rule change to extend the pilot period for the Supplemental Liquidity Provider Program.

File number: SR-BatsBZX-2016-69
Date filed: October 27, 2016
Description:

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

File number: SR-BatsBZX-2016-68
Date filed: November 2, 2016
Description:

The Exchange proposes a rule change in connection with the proposed corporate transaction involving Bats Global Markets, Inc. and CBOE Holdings, Inc.

File number: SR-BatsBZX-2016-67
Date filed: October 24, 2016
Description:

The Exchange proposes a rule change to amend EDGX Rule 2.5, Restrictions, regarding Members and associated persons of Members who are or become subject to a statutory disqualification.

File number: SR-BatsBZX-2016-66
Date filed: September 30, 2016
Description:

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

File number: SR-BatsBZX-2016-65
Date filed: October 12, 2016
Description:

The Exchange proposes a rule change to BZX Rule 11.13, Order Execution and Routing.

File number: SR-BatsBZX-2016-64
Date filed: September 28, 2016
Description:

The Exchange proposes a rule change related to fees to make a clarifying change related to the Tape B Quoting Tier.

File number: SR-BatsBZX-2016-62
Date filed: September 28, 2016
Description:

The Exchange proposes a rule change to Rule 22.3, Continuing Options Market Maker Registration.

File number: SR-BatsBZX-2016-61 Amendment 1
Date filed: January 24, 2017
Description:

The Exchange proposes an amendment to SR-BatsBZX-2016-61.

File number: SR-BatsBZX-2016-61
Date filed: October 13, 2016
Description:

The Exchange proposes a rule change to amend Exchange Rule 11.23, Auctions, to enhance the reopening auction process following a trading halt declared pursuant to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS.

File number: SR-BatsBZX-2016-59
Date filed: September 19, 2016
Description:

The Exchange proposes a rule change to update BZX Rules 21.1, 21.7 and 21.9 to align the Exchange's rules and functionality applicable to the Exchange's Options Platform, BZX Options, with the Exchange's affiliated Options Platform, EDGX Options, which is operated by Bats EDGX Exchange, Inc.

File number: SR-BatsBZX-2016-57
Date filed: August 31, 2016
Description:

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

File number: SR-BatsBZX-2016-56
Date filed: August 31, 2016
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBZX-2016-55
Date filed: August 26, 2016
Description:

The Exchange proposes a rule change to amend Rule 11.27(b) regarding the data collection requirements of the Regulation NMS Plan to implement a Tick Size Pilot Program.

File number: SR-BatsBZX-2016-53
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-BatsBZX-2016-52
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-BatsBZX-2016-50
Date filed: August 11, 2016
Description:

The Exchange proposes a rule change to amend Rule 11.22, Data Products, to adopt a new market data product known as BZX Summary Depth.

File number: SR-BatsBZX-2016-48 Amendment No. 2
Date filed: October 26, 2016
Description:

The Exchange proposes a second amendment to SR-BatsBZX-2016-48.

File number: SR-BatsBZX-2016-48 Amendment No. 1
Date filed: October 6, 2016
Description:

The Exchange proposes an amendment to SR-BatsBZX-2016-48.

File number: SR-BatsBZX-2016-48
Date filed: August 9, 2016
Description:

The Exchange proposes a rule change to Rule 14.11(c)(4) to list and trade shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust.

File number: SR-BatsBZX-2016-47
Date filed: August 2, 2016
Description:

The Exchange proposed a rule change to establish a closing contingency procedure.

File number: SR-BatsBZX-2016-46
Date filed: July 28, 2016
Description:

The Exchange proposes a rule change to extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program.

File number: SR-BatsBZX-2016-45
Date filed: July 29, 2016
Description:

The Exchange proposed a rule change related to fees.

File number: SR-BatsBZX-2016-44
Date filed: July 29, 2016
Description:

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

File number: SR-BatsBZX-2016-43
Date filed: July 25, 2016
Description:

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

File number: SR-BatsBZX-2016-41
Date filed: July 13, 2016
Description:

The Exchange proposes a rule change related to fees

File number: SR-BatsBZX-2016-37
Date filed: July 5, 2016
Description:

The Exchange proposes a rule change to BZX Rule 11.26(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-BatsBZX-2016-36
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-BatsBZX-2016-35 Amendment No. 3
Date filed: October 4, 2016
Description:

The Exchange proposes a third amendment to SR-BatsBZX-2016-35.

File number: SR-BatsBZX-2016-35 Amendment No. 2
Date filed: October 3, 2016
Description:

The Exchange proposes a second amendment to SR-BatsBZX-2016-35.

File number: SR-BatsBZX-2016-35 Amendment No. 1
Date filed: August 30, 2016
Description:

The Exchange proposes an amendment to SR-BatsBZX-2016-35.

File number: SR-BatsBZX-2016-35
Date filed: July 1, 2016
Description:

The Exchange proposed a rule change to BZX Rule 14.11(i), Managed Fund Shares, to list and trade shares of the JPMorgan Global Bond Opportunities ETF of the J.P. Morgan Exchange-Traded Fund Trust.

File number: SR-BatsBZX-2016-34 Amendment No. 2
Date filed: September 15, 2016
Description:

The Exchange proposes an amendment to SR-BatsBZX-2016-34.

File number: SR-BatsBZX-2016-34 Amendment No. 1
Date filed: August 19, 2016
Description:

The Exchange proposes an amendment to SR-BatsBZX-2016-34.

File number: SR-BatsBZX-2016-34
Date filed: July 1, 2016
Description:

The Exchange proposed a rule change to BZX Rule 14.11(i), Managed Fund Shares, to list and trade shares of the ProShares Crude Oil Strategy ETF, a series of ProShares.

File number: SR-BatsBZX-2016-33
Date filed: July 1, 2016
Description:

The Exchange filed a proposal to amend its Fee Schedule to adopt a new tier under footnote 1 called the Cross-Asset Add Volume Tier.

File number: SR-BatsBZX-2016-31
Date filed: July 1, 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-BatsBZX-2016-29 Amendment No. 1
Date filed: September 1, 2016
Description:

The Exchange proposes an amendment to SR-BatsBZX-2016-29.

File number: SR-BatsBZX-2016-29
Date filed: June 29, 2016
Description:

The Exchange proposed a rule change to adopt paragraph (c) to Exchange Rule 11.27 to describe changes to system functionality necessary to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.

File number: SR-BatsBZX-2016-28
Date filed: June 23, 2016
Description:

The Exchange proposes a rule change to remove Interpretation and Policy .01 from Rule 11.13, Order Execution and Routing.

File number: SR-BatsBZX-2016-27
Date filed: June 17, 2016
Description:

The Exchange proposed a rule change to Rule 11.22(j) identifying certain transactions as the Bats One Opening Price or the Bats One Closing Price.

File number: SR-BatsBZX-2016-26 Amendment No. 1
Date filed: September 30, 2016
Description:

The Exchange proposes and amendment to SR-BatsBZX-2016-26.

File number: SR-BatsBZX-2016-26
Date filed: June 23, 2016
Description:

The Exchange proposed a rule change to BZX Rule 14.11(d), to add the EURO STOXX 50 Volatility Futures to the definition of Futures Reference Asset.

File number: SR-BatsBZX-2016-25
Date filed: June 9, 2016
Description:

The Exchange proposed a rule change to Rule 11.24, Opening Process.

File number: SR-BatsBZX-2016-24
Date filed: June 8, 2016
Description:

The Exchange proposed a rule change related to fees.

File number: SR-BatsBZX-2016-23
Date filed: June 3, 2016
Description:

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

File number: SR-BatsBZX-2016-22
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-BatsBZX-2016-20
Date filed: May 20, 2016
Description:

The Exchange proposed a rule change to amend Rule 14.13, Company Listing Fees.

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

The Exchange proposed a rule change to Rule 11.24, Opening Process for Non-BZX-Listed Securities.

File number: SR-BatsBZX-2016-18
Date filed: May 11, 2016
Description:

The Exchange proposed a rule change to Rules 15.1(a) and (c) in order to implement a Tape B Quoting Tier.

File number: SR-BatsBZX-2016-17
Date filed: May 16, 2016
Description:

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

File number: SR-BatsBZX-2016-16
Date filed: May 3, 2016
Description:

The Exchange proposed a rule change to add subparagraph (5) 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 BZX Exchange Options Platform.

File number: SR-BatsBZX-2016-14
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-BatsBZX-2016-13
Date filed: May 2, 2016
Description:

The Exchange proposed a rule change to Rule 11.13, Order Execution and Routing, to delete references to the TRIM3 routing option.

File number: SR-BatsBZX-2016-12
Date filed: April 29, 2016
Description:

The Exchange proposes rule changes related to fees.

File number: SR-BatsBZX-2016-11
Date filed: April 22, 2016
Description:

The Exchange proposes a rule change to extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program.

File number: SR-BatsBZX-2016-09 Amendment No. 1
Date filed: July 19, 2016
Description:

The Exchange proposes an amendment to SR-BatsBZX-2016-09.

File number: SR-BatsBZX-2016-09
Date filed: April 15, 2016
Description:

The Exchange proposed a rule change to Rule 14.11, Managed Fund Shares, to list and trade shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust.

File number: SR-BatsBZX-2016-08
Date filed: April 13, 2016
Description:

The Exchange proposed a rule change to Rule 14.3 regarding the requirements for the listing of securities that are issued by the Exchange or any of its affiliates.

File number: SR-BatsBZX-2016-07
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-BatsBZX-2016-06
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-BatsBZX-2016-04
Date filed: March 31, 2016
Description:

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

File number: SR-BatsBZX-2016-02
Date filed: March 24, 2016
Description:

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

File number: SR-BatsBZX-2016-01 Amendment No. 8
Date filed: July 13, 2016
Description:

The Exchange proposes an eighth amendment to SR-BatsBZX-2016-01.

File number: SR-BatsBZX-2016-01 Amendment No. 7
Date filed: July 12, 2016
Description:

The Exchange proposed a seventh amendment to SR-BatsBZX-2016-01.

File number: SR-BatsBZX-2016-01 Amendment No. 6
Date filed: July 8, 2016
Description:

The Exchange proposes a sixth amendment to SR-BatsBZX-2016-01.

File number: SR-BatsBZX-2016-01 Amendment No. 4
Date filed: July 7, 2016
Description:

The Exchange proposed a fourth amendment to SR-BatsBZX-2016-01.

File number: SR-BatsBZX-2016-01 Amendment No. 3
Date filed: June 23, 2016
Description:

The Exchange proposes a third amendment to SR-BatsBZX-2016-01.

File number: SR-BatsBZX-2016-01 Amendment No. 2
Date filed: June 14, 2016
Description:

The Exchange proposes a second amendment to SR-BatsBZX-2016-01.

File number: SR-BatsBZX-2016-01 Amendment No. 1
Date filed: June 1, 2016
Description:

The Exchange proposes an amendment to SR-BatsBZX-2016-01.

File number: SR-BatsBZX-2016-01
Date filed: March 29, 2016
Description:

The Exchange proposes a rule change to list and trade under BZX Rule 14.11(c)(4) shares of the following series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF.

File number: SR-BATS-2016-27
Date filed: March 2, 2016
Description:

The Exchange is filing a proposed rule change to amend Rule 11.27(b), Compliance with Data Collection Requirements, relating to the Regulation NMS Plan to implement a Tick Size Pilot Program.

File number: SR-BATS-2016-26
Date filed: March 1, 2016
Description:

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

File number: SR-BATS-2016-25
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-BATS-2016-24
Date filed: February 25, 2016
Description:

Bats BZX Exchange, Inc. (f/k/a BATS Exchange, Inc.) proposes a rule change to amend Rule 11.23, Auctions, to lengthen the auction information dissemination periods for the opening and closing auctions in BZX listed securities.

File number: SR-BATS-2016-23
Date filed: February 24, 2016
Description:

Bats BZX Exchange, Inc. (f/k/a BATS Exchange, Inc.) proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BATS-2016-18
Date filed: February 10, 2016
Description:

BATS Exchange, Inc. proposes a rule change to Rule 11.13(b)(3)(H), Order Execution and Routing, to amend the operation of Non-Displayed Orders and Reserve Orders.

File number: SR-BATS-2016-17 Amendment No. 1
Date filed: February 22, 2016
Description:

The Exchange proposes an amendment to SR-BATS-2016-17.

File number: SR-BATS-2016-17
Date filed: February 10, 2016
Description:

The Exchange proposes a rule change to amend its rules regarding the Auction Process for Securities Subject to an Initial Public Offering.

File number: SR-BATS-2016-16 Amendment No. 3
Date filed: June 17, 2016
Description:

The Exchange proposed a third Amendment to SR-BATS-2016-16.

File number: SR-BATS-2016-16 Amendment No. 2
Date filed: April 14, 2016
Description:

The Exchange proposes a second amendment to SR-BATS-2016-16.

File number: SR-BATS-2016-16 Amendment No. 1
Date filed: April 8, 2016
Description:

The Exchange proposes an amendment to SR-BATS-2016-16.

File number: SR-BATS-2016-16
Date filed: March 7, 2016
Description:

The Exchange proposes a rule change to list and trade shares of the Pointbreak Diversified Commodity Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares.

File number: SR-BATS-2016-15
Date filed: February 4, 2016
Description:

BATS Exchange, Inc. proposes a rule change related to fees.

File number: SR-BATS-2016-14 Amendment No. 1
Date filed: April 11, 2016
Description:

The Exchange proposes an amendment to SR-BATS-2016-14.

File number: SR-BATS-2016-14
Date filed: February 12, 2016
Description:

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

File number: SR-BATS-2016-12
Date filed: January 28, 2016
Description:

BATS Exchange, Inc. proposes a rule change to extend the pilot period for the Exchange's Supplemental Competitive Liquidity Provider Program.

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

BATS 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, to amend the Minor Rule Violation Plan.

File number: SR-BATS-2016-07
Date filed: January 26, 2016
Description:

BATS Exchange, Inc. proposes rule change to amend Chapter XXI of BZX Options to further align the rules with those of EDGX Options.

File number: SR-BATS-2016-06
Date filed: January 25, 2016
Description:

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

File number: SR-BATS-2016-04 Amendment No. 2
Date filed: March 24, 2016
Description:

The Exchange proposes a second amendment to SR-BATS-2016-04.

File number: SR-BATS-2016-04
Date filed: February 4, 2016
Description:

The Exchange proposes a rule change to Rule 14.11(i), 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-2016-03 Amendment No. 3
Date filed: March 22, 2016
Description:

The Exchange proposes a third amendment to SR-BATS-2016-03.

File number: SR-BATS-2016-03 Amendment No. 1
Date filed: February 3, 2016
Description:

The Exchange proposes an amendment to SR-BATS-2016-03.

File number: SR-BATS-2016-03
Date filed: February 1, 2016
Description:

The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares, to list and trade the shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust.