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This document outlines a proposed rule change to amend Rule 11.23 governing auctions for equity securities listed on the BATS Exchange, aiming to improve transparency, reduce erroneous executions,
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How to fill out sr-bats-2012-046
How to fill out SR-BATS-2012-046
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Obtain the SR-BATS-2012-046 form from the appropriate regulatory website or office.
02
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Submit the form according to the provided submission guidelines, either electronically or by mail.
Who needs SR-BATS-2012-046?
01
Individuals or entities involved in trading activities covered by the regulatory framework.
02
Compliance officers in financial institutions managing trading operations.
03
Investors seeking to report trading information in accordance with regulatory requirements.
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What is SR-BATS-2012-046?
SR-BATS-2012-046 is a regulatory filing submitted by BATS Exchange regarding the implementation of a new trading rule or modification to existing rules, aimed at enhancing market regulations.
Who is required to file SR-BATS-2012-046?
Entities operating on the BATS Exchange, including broker-dealers and trading participants, who are affected by the proposed rule change are required to file SR-BATS-2012-046.
How to fill out SR-BATS-2012-046?
To fill out SR-BATS-2012-046, follow the prescribed format provided by the BATS Exchange, ensuring to include details about the rule change, justification, and any relevant data as required in the filing instructions.
What is the purpose of SR-BATS-2012-046?
The purpose of SR-BATS-2012-046 is to inform the Securities and Exchange Commission and the public about proposed changes to trading rules, ensuring transparency and facilitating regulatory oversight.
What information must be reported on SR-BATS-2012-046?
SR-BATS-2012-046 must report information including the specific rule changes proposed, the rationale for the changes, any anticipated effects on the market, and the effective date of the proposed rules.
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