2009 BZX Exchange Regulatory Circulars

File number: BATS_RC_2009-006
Date filed: November 20, 2009
Description:

Notice regarding a reminder to Members with FINRA OATS reporting requirements of the correct manner to report orders sent to the Exchange.

File number: BATS_RC_2009-005
Date filed: October 1, 2009
Description:

Notice Regarding Changes to Clearly Erroneous Executions Rule.

File number: BATS_RC_2009-004
Date filed: May 21, 2009
Description:

Notice Regarding New Disclosure Requirement Applicable to BATS Members that Accept Orders from Customers Outside of Regular Trading Hours.

File number: BATS_RC_2009-003
Date filed: March 30, 2009
Description:

Notice Regarding Regulatory Obligations Applicable to Sponsoring Members and Sponsored Participants and Regarding Sponsored Access Risk Management Tools Recently Made Available through the Exchange.

File number: BATS_RC_2009-002
Date filed: January 30, 2009
Description:

Notice Regarding Foreign Examination Modules Equivalent to Series 7 Examination Accepted by BATS Exchange.

File number: BATS_RC_2009-001
Date filed: January 12, 2009
Description:

Notice Regarding Market Order Thresholds the Exchange Intends to Implement on Friday, January 16, 2009.