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This document outlines the proposed changes to the BATS Exchange rules regarding the examination and continuing education fees for proprietary traders. It details the implementation of fees for the
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Individuals or entities involved in trading activities subject to the regulations set forth by the BATS exchange.
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Compliance officers and legal teams who need to report specific transactions or activities to the regulatory bodies.
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Firms and participants trading on the BATS platform that require documentation for regulatory compliance.
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SR-BATS-2013-047 is a filing submitted to the Securities and Exchange Commission (SEC) which pertains to changes in rules or practices regarding trading on the BATS Exchange.
Firms that are members of the BATS Exchange and are impacting changes in their trading practices or operational rules are required to file SR-BATS-2013-047.
SR-BATS-2013-047 should be filled out by providing detailed information as per the prescribed format, including descriptions of rule changes and impacts on trading operations.
The purpose of SR-BATS-2013-047 is to inform the SEC and the public about proposed rule changes that may affect market operations or trading practices.
The information reported on SR-BATS-2013-047 must include a description of the proposed rule change, its purpose, and any impact it may have on market participants or trading activities.
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BATS Exchange Securities Exchange Commission fee amendment Proprietary Trader Series 56 continuing education regulatory fees financial regulations self-regulatory organization examination fees

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