CERTBATS exchange certifications of listing approval (BATS)

CERTBATS filings from 2012 to 2019: BATS Exchange certifications that it approved a class of securities for listing and registration.

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75filings on EDGAR

2012first filed

2019-11-01latest filing

curl -H "Authorization: Bearer $SECFEED_KEY" \
  "https://secfeedapi.com/v1/filings?query=formType:%22CERTBATS%22&size=2"

import os, requests

r = requests.get(
    "https://secfeedapi.com/v1/filings",
    params={'query': 'formType:"CERTBATS"', 'size': '2'},
    headers={"Authorization": f"Bearer {os.environ['SECFEED_KEY']}"},
)
print(r.json())

What is CERTBATS?

When a company registers a class under Section 12(b) on Form 8-A, the exchange must certify to the SEC that it has approved the securities for listing and registration. CERTBATS records those certifications from the BATS exchanges.

After BATS was acquired by Cboe, the exchanges were renamed, and the CERTBATS type stops in 2019.

Who files

Filed by the exchange, recorded under the listed issuer.

When it is filed

When the exchange approves a listing, around the time of the issuer's Form 8-A.

Filings per year

Every CERTBATS filing on EDGAR, counted from the SecFeed index. Updated daily.

What is inside

Section	Contents
Exchange	The certifying exchange.
Securities	The class approved for listing.
Issuer	The company whose securities are listed.

Get CERTBATS data with SecFeed

Search the filings with formType:"CERTBATS", read any document as text or PDF, and use these APIs for structured data:

Filing Search API

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Document Download API

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Get every new EDGAR filing seconds after it is accepted, over Server-Sent Events or webhooks, filtered by form type and CIK.

Latest CERTBATS filings

Company	Form	Filed
Strategy Shares	`CERTBATS`	2019-11-01	EDGAR ↗
Innovator ETFs Trust	`CERTBATS`	2019-10-30	EDGAR ↗
FlexShares Trust	`CERTBATS`	2019-10-08	EDGAR ↗
FlexShares Trust	`CERTBATS`	2019-10-08	EDGAR ↗
Innovator ETFs Trust	`CERTBATS`	2019-08-30	EDGAR ↗
Cambria ETF Trust	`CERTBATS`	2019-07-24	EDGAR ↗
Active Weighting Funds ETF Trust	`CERTBATS`	2017-10-16	EDGAR ↗
EXCHANGE TRADED CONCEPTS TRUST	`CERTBATS`	2017-10-16	EDGAR ↗

Use cases

Track new listings, especially ETPs
Exchange listing history

Related forms

8-A12BExchange listing registration

Form 8-A12B: short form registrations of a class of securities under Exchange Act Section 12(b), filed when securities list on an exchange.

CERTBSEBoston Stock Exchange certification

CERTBSE filings from 2002 to 2007: Boston Stock Exchange certifications approving a class of securities for listing and registration.

CERTExchange listing certification

Form CERT: a national securities exchange's certification that it has approved a class of securities for listing and registration.

FAQ

What is an exchange certification?

The exchange's notice to the SEC that it approved a class of securities for listing and registration.

Why does CERTBATS stop in 2019?

The BATS exchanges were renamed after being acquired by Cboe.

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