2014 BZX Exchange Regulatory Circulars

File number: BATS_RC_14-009
Date filed: December 8, 2014
Description:

Amendments to Restrictions on Market Makers in UTP Derivative Securities

File number: BATS_RC_14-008
Date filed: November 21, 2014
Description:

Notice of Early Expiring Exercise Declaration Decision Cut-Off Time on November 28, 2014

File number: BATS_RC_14-007
Date filed: November 5, 2014
Description:

Amendments to Compensation Claims

File number: BATS_RC_14-006
Date filed: October 20, 2014
Description:

Notice Regarding Integration of BATS Global Markets Holdings, Inc. Data Agreement and Direct Edge Exchange Data Vendor Agreement, and Amendments to BATS U.S. Market Data Policies

File number: BATS_RC_14-005
Date filed: September 15, 2014
Description:

Notice Regarding Amendments to BATS Global Markets Holdings, Inc. U.S. Market Data Policies

File number: BATS_RC_14-003
Date filed: May 20, 2014
Description:

Amendment to FINRA Rule 8312 Regarding BrokerCheck Disclosure

File number: BATS_RC_14-002
Date filed: April 10, 2014
Description:

Expiring Exercise Declaration Procedures on April 17, 2014

File number: BATS_RC_14-001
Date filed: February 5, 2014
Description:

Notice Regarding Filing of Annual Audited Reports with BATS Exchange and BATS YExchange