BZX Exchange (previously BATS Exchange)

This review provides detailed eligible market due diligence for BZX Exchange (previously BATS Exchange).

BZX Exchange (previously BATS Exchange). is located in United States and is regulated by the Securities and Exchange Commission (SEC) and FINRA.

This review will allow users to establish if a market is UCITS eligible and whether BZX Exchange (previously BATS Exchange). is regulated, operates regularly, and is open to the public.

Exchange Reviews

Included within the due diligence review is information on:

General Country Information

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    Is the US Dollar (USD) freely convertible?
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    Is the United States an OECD or FATF member country?
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    What is the corruption score for the United States?
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    Ease of repatriation of capital.

Market Regulations

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    Is Securities and Exchange Commission (SEC) and FINRA. a statutory body?
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    What complaints mechanisms are in place?
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    Market Surveillance.

Listing Rules

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    What are the capital requirements for companies listed on BZX Exchange (previously BATS Exchange)?
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    Do companies listed on BZX have to publish a prospectus and audited annual financial statements?
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    Does BZX Exchange (previously BATS Exchange) have the power to delist securities?

Broker and Member Rules

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    How are brokers supervised on BZX Exchange (previously BATS Exchange)?
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    Does BZX have a guarantee fund?
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    What sanctions can be imposed on brokers?
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    What are the capital requirements for brokers on BZX?

Market Transparency & Trading

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    What are the trading hours for BZX Exchange (previously BATS Exchange)?
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    What instruments are listed on BZX?
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    Is there daily market information available?

Clearing and Settlement

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    What is the settlement cycle on BZX Exchange (previously BATS Exchange)? (e.g T+2, T+3, T+4)
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    What is the settlement method on BZX? (DVP, FOP)
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    Is there a Central Counterparty?
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    Are securities dematerialized?
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    RTGS v Netting?
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    How are securities registered?

Liquidity

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    No. of Listed Securities
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    Market Capitalisation
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    Market Concentration
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    Market Trading
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    Share Turnover Velocity
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    Trades Per Day

Key Risks

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    What are the key risks of the market?
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