2010 BZX Exchange Regulatory Circulars

File number: BATS_RC_2010-011
Date filed: November 10, 2010
Description:

Approval of Amendments to Market Maker Quotation Rules and BATS Market Maker Quoter Functionality

File number: BATS_RC_2010-010
Date filed: September 29, 2010
Description:

Principal Registration Requirement for Chief Compliance Officers

File number: BATS_RC_2010-009
Date filed: September 10, 2010
Description:

Notice Regarding an Extension of Contrary Exercise Advice (CEA) Submission Cut-Off Time

File number: BATS_RC_2010-008
Date filed: August 23, 2010
Description:

Notice Regarding Registration Requirements for BATS Exchange, Inc. and BATS Y-Exchange, Inc.

File number: BATS_RC_2010-007
Date filed: August 3, 2010
Description:

Notice Regarding Member Obligation to Comply with Intermarket Sweep Order Obligations

File number: BATS_RC_2010-006
Date filed: July 20, 2010
Description:

Notice Regarding SEC Approval of Principal Registration Rule and Requirement to Register Principals via Web CRD

File number: BATS_RC_2010-005
Date filed: July 20, 2010
Description:

Reminder to Update Form U4 for Series 4 Registered Options Principals

File number: BATS_RC_2010-004
Date filed: April 30, 2010
Description:

Notice Regarding Penny Pilot Expansion.

File number: BATS_RC_2010-003
Date filed: April 22, 2010
Description:

Notice of Proposed Principal Registration Requirement Rule and Reminder Regarding Existing Registration Rules

File number: BATS_RC_2010-002
Date filed: February 26, 2010
Description:

Notice Regarding Approved Changes to Information Barrier Rule, New Rule Regarding Trading Ahead of Research Reports and Guidance Regarding Procedures Related to the Misuse of Material, Non-Public Information.

File number: BATS_RC_2010-001
Date filed: February 12, 2010
Description:

Notice Regarding Filing of Annual Audit Reports with BATS Exchange.