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This document outlines enhancements to the Electronic Blue Sheet submissions for BATS Exchange and BATS Y-Exchange, including new required fields and submission formats, along with an extended deadline
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How to fill out BZX Regulatory Circular 12-005, BYX Regulatory Circular 12-004
01
Obtain a copy of BZX Regulatory Circular 12-005 and BYX Regulatory Circular 12-004 from the official website.
02
Read through the introductory sections for an overview of the purpose and requirements detailed in the circulars.
03
Identify the specific sections relevant to your organization or trading activities.
04
Gather necessary documentation required for compliance as outlined in the circulars.
05
Complete any forms or checklists included in the circulars as per the provided guidelines.
06
Ensure all information is accurate and complete before submission.
07
Submit the completed forms to the designated regulatory body along with any required fees, if applicable.
08
Keep a copy of the submitted documents for your records and follow up for confirmation of receipt.
Who needs BZX Regulatory Circular 12-005, BYX Regulatory Circular 12-004?
01
Broker-dealers operating on the BZX and BYX exchanges.
02
Traders engaged in activities related to listed securities on these exchanges.
03
Compliance officers responsible for ensuring adherence to regulatory standards.
04
Firms looking to understand obligations and procedures regarding market operations.
05
Legal advisors seeking to guide clients on compliance with these regulations.
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What is BZX Regulatory Circular 12-005, BYX Regulatory Circular 12-004?
BZX Regulatory Circular 12-005 and BYX Regulatory Circular 12-004 are regulatory guidelines issued by the BZX and BYX exchanges, respectively, providing information on specific operational procedures and compliance requirements for market participants.
Who is required to file BZX Regulatory Circular 12-005, BYX Regulatory Circular 12-004?
Market participants, including brokers and dealers that operate on the BZX and BYX exchanges, are required to file under BZX Regulatory Circular 12-005 and BYX Regulatory Circular 12-004.
How to fill out BZX Regulatory Circular 12-005, BYX Regulatory Circular 12-004?
To fill out BZX Regulatory Circular 12-005 and BYX Regulatory Circular 12-004, market participants should carefully follow the instructions provided in the circular, ensuring that all required fields are accurately completed and submitted within the specified deadline.
What is the purpose of BZX Regulatory Circular 12-005, BYX Regulatory Circular 12-004?
The purpose of BZX Regulatory Circular 12-005 and BYX Regulatory Circular 12-004 is to establish clear communication of regulatory expectations, promote compliance among market participants, and ensure the integrity of trading on the exchanges.
What information must be reported on BZX Regulatory Circular 12-005, BYX Regulatory Circular 12-004?
The information required to be reported on BZX Regulatory Circular 12-005 and BYX Regulatory Circular 12-004 typically includes details related to trading activities, compliance measures, and any relevant operational changes affecting market participants.
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