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This document details a proposed rule change by BATS Exchange to adopt Rule 3.23 regarding telemarketing, codifying provisions similar to FTC rules that prevent deceptive telemarketing practices.

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How to fill out sr-bats-2012-028

How to fill out SR-BATS-2012-028

01

Gather all required personal information including name, address, and contact details.

02

Obtain the relevant transaction details that need to be reported.

03

Carefully fill out each section of the SR-BATS-2012-028 form as per the guidelines provided.

04

Double-check all entries for accuracy and completeness before submission.

05

Submit the completed form through the designated channel, ensuring that any necessary attachments are included.

Who needs SR-BATS-2012-028?

01

Individuals or entities engaged in transactions that require compliance with the reporting requirements outlined in SR-BATS-2012-028.

02

Compliance officers or regulatory teams within organizations that are obligated to report transaction details.

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What is SR-BATS-2012-028?

SR-BATS-2012-028 is a filing requirement implemented by the BATS Exchange related to the reporting of certain trade information for compliance purposes.

Who is required to file SR-BATS-2012-028?

Entities that execute trades on the BATS Exchange are required to file SR-BATS-2012-028.

How to fill out SR-BATS-2012-028?

To fill out SR-BATS-2012-028, traders must provide specific trade data as outlined in the form's instructions, ensuring all fields are completed accurately.

What is the purpose of SR-BATS-2012-028?

The purpose of SR-BATS-2012-028 is to enhance transparency and regulatory oversight by requiring trading entities to report detailed trade execution data.

What information must be reported on SR-BATS-2012-028?

Reporting on SR-BATS-2012-028 must include details such as trade date, time, price, volume, and executing broker information.

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