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This document is a proposal to extend a pilot program related to BATS Rule 11.17, concerning clearly erroneous executions, submitted to the Securities and Exchange Commission.
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Obtain the SR-BATS-2011-026 form from the relevant regulatory authority or website.
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Provide details regarding the specific transaction or activity related to SR-BATS-2011-026.
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Submit the form to the appropriate authority by the designated deadline, either electronically or via mail.
Who needs SR-BATS-2011-026?
01
Individuals or organizations involved in trading activities that fall under the jurisdiction of the SR-BATS-2011-026 rule.
02
Market participants who are required to report transactions to comply with regulatory requirements.
03
Compliance officers and regulatory affairs professionals within trading firms.
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What is SR-BATS-2011-026?
SR-BATS-2011-026 is a proposed rule filing submitted to the Securities and Exchange Commission (SEC) by BATS Exchange, Inc. that outlines changes related to various operational and regulatory aspects of trading on the exchange.
Who is required to file SR-BATS-2011-026?
Entities engaged in trading on the BATS Exchange, including brokers, dealers, and market participants, are required to file SR-BATS-2011-026 as part of compliance with regulatory requirements.
How to fill out SR-BATS-2011-026?
To fill out SR-BATS-2011-026, filers need to provide detailed information as specified within the form, which typically includes transaction details, market data compliance, and adherence to SEC regulations.
What is the purpose of SR-BATS-2011-026?
The purpose of SR-BATS-2011-026 is to ensure transparency, efficiency, and compliance with regulatory standards in trading practices on the BATS Exchange.
What information must be reported on SR-BATS-2011-026?
The information that must be reported on SR-BATS-2011-026 includes trade execution details, participant identifiers, timestamps, and any relevant compliance data that supports regulatory oversight.
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