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This document outlines a proposed rule change to the fee schedule applicable to members and non-members of BATS Exchange, Inc. regarding equities routing fees, effective August 2, 2013.
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How to fill out SR-BATS-2013-042
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Begin by obtaining the SR-BATS-2013-042 form from the relevant regulatory website.
02
Read the instructions carefully before starting to ensure compliance with the requirements.
03
Fill in your personal information in the designated sections, including your name, address, and contact details.
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Provide relevant financial information as requested, including income sources and any applicable account details.
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Submit the completed form as instructed, ensuring that you keep a copy for your records.
Who needs SR-BATS-2013-042?
01
Individuals or entities engaged in activities involving securities trading on the BATS Exchange who need to provide regulatory compliance information.
02
Firms and brokers that must report trading activities as part of their regulatory obligations.
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What is SR-BATS-2013-042?
SR-BATS-2013-042 is a regulatory filing submitted to the Securities and Exchange Commission (SEC) related to trading practices and market operations by the BATS Global Markets.
Who is required to file SR-BATS-2013-042?
Firms that engage in trading activities on the BATS exchange are required to file SR-BATS-2013-042 as part of their compliance with SEC regulations.
How to fill out SR-BATS-2013-042?
To fill out SR-BATS-2013-042, firms must provide specific trading data, including details about their transactions, prices, and volumes, according to the instructions outlined by the SEC.
What is the purpose of SR-BATS-2013-042?
The purpose of SR-BATS-2013-042 is to ensure transparency in trading activities and to enable regulatory oversight of market operations to protect investors and maintain fair trading practices.
What information must be reported on SR-BATS-2013-042?
Firms must report information including transaction dates, security identifiers, trade prices, quantity of shares traded, and any relevant broker identifiers or compliance details on SR-BATS-2013-042.
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