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EDGA Exchange Rulemaking

We encourage the public to submit comments on the following EDGA Exchange (EDGA) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

EDGA File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-EDGA-2014-33
34-73892 Dec. 19, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Convert Direct Edge, Inc., the Parent Company of EDGA Exchange, Inc., from a Delaware Corporation to a Delaware Limited Liability Company
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C

SR-EDGA-2014-32
34-73797 Dec. 9, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 1.5 and 11.3 of EDGA Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-EDGA-2014-31
34-73781 Dec. 8, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-EDGA-2014-29
34-73761 Dec. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Reference to the EdgeRisk Gateway in Rule 13.10 of EDGA Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5A;  Exhibit 5B

SR-EDGA-2014-30
34-73759 Dec. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the EdgeBook Cloud Service on EDGA Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-EDGA-2014-28
34-73746 Dec. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.1(c)(5) of EDGA Exchange, Inc. to Harmonize its Restrictions on Market Makers in UTP Derivative Securities with NYSE Arca, Inc. and Nasdaq Stock Market LLC
Comments due: 21 days after publication in the Federal Register

SR-EDGA-2014-25
34-73596 Nov. 14, 2014 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Establish a New Market Data Product called the BATS One Feed
Comments due: December 11, 2014
Comments received are available for this proposal.

SR-EDGA-2014-20
34-73592 Nov. 13, 2014 Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend EDGA Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions
Comments due: December 10, 2014
See also: Notice: Rel. No. 34-73217; Notice: Rel. No. 34-72812

SR-EDGA-2014-26
34-73564 Nov. 7, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.
Comments due: December 5, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-16
34-73549 Nov. 6, 2014 Notice of Withdrawal of Proposed Rule Changes to Establish a New Market Data Product Called the BATS One Feed
Additional File Nos.: SR-BATS-2014-028, SR-BYX-2014-011, SR-EDGX-2014-19

SR-EDGA-2014-24
34-73477 Oct. 30, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.12, Limitation of Liability
Comments due: November 26, 2014
Additional Materials: Exhibit 5
Third Quarter

SR-EDGA-2014-20
34-73217 Sep. 25, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Include Additional Specificity within Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions
Comments due: 21 days after publication in the Federal Register
See also: Notice: Rel. No. 34-73592; Notice: Rel. No. 34-72812

SR-EDGA-2014-16
34-73098 Sep. 15, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
See also: Notice: Rel. No. 34-72689

SR-EDGA-2014-23
34-73006 Sep. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: October 2, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-22
34-72844 Aug. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: September 10, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-20
34-72812 Aug. 11, 2014 Notice of Filing of Proposed Rule Change Relating to Include Additional Specificity within Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions
Comments due: September 8, 2014
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-73592; Notice: Rel. No. 34-73217
Comments received are available for this proposal.

SR-EDGA-2014-16
34-72689 Jul. 28, 2014 Notice of Filing of Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
Comments due: August 22, 2014
See also: Notice: Rel. No. 34-73098
Comments received are available for this proposal.

SR-EDGA-2014-17
34-72682 Jul. 28, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of EDGA Exchange, Inc.
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-EDGA-2014-18
34-72675 Jul. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retire the EDGE Routed Liquidity Report
Comments due: August 21, 2014
Additional Materials: Exhibit 5A, Exhibit 5B

SR-EDGA-2014-15
34-72533 Jul. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: July 31, 2014
Additional Materials: Exhibit 5
Second Quarter

SR-EDGA-2014-11
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72047

SR-EDGA-2014-14
34-72375 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: July 9, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-13
34-72100 May 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: June 2, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-12
34-72089 May 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.5 Regarding the Route Peg Order
Comments due: May 29, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-11
34-72047 Apr. 30, 2014 Notice of Filing of a Proposed Rule Change to Amend Rule 11.13, entitled "Clearly Erroneous Executions"
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434

SR-EDGA-2014-09
34-72001 Apr. 23, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: May 20, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-10
34-71962 Apr. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its ROOC Routing Option under EDGA Rule 11.9(b)(2)(n)
Comments due: May 14, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-08
34-71917 Apr. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: May 6, 2014
Additional Materials: Exhibit 5
First Quarter

SR-EDGA-2014-007
34-71811 Mar. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 12.6 to Conform to FINRA Rule 5320, BATS Rule 12.6 and BATS-Y Rule 12.6 Relating to Trading Ahead of Customer Orders
Comments due: April 22, 2014
Additional Materials:  Exhibit 5

SR-EDGA-2014-006
34-71808 Mar. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for EDGA Exchange, Inc.
Comments due: April 22, 2014
Additional Materials:  Exhibit 5

SR-EDGA-2014-05
34-71776 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Reference to Rule 10C-1 Under the Exchange Act in EDGA Rule 14.1 Concerning Unlisted Trading Privileges
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-EDGA-2014-04
34-71691 Mar. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-EDGA-2014-02
34-71621 Feb. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: March 26, 2014
Additional Materials:  Exhibit 5

SR-EDGA-2013-34
34-71449 Jan. 30, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC
Additional File No.: SR-EDGX-2013-43
See also:  Notice: Rel. No. 34-71046

SR-EDGA-2014-01
34-71444 Jan. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter IX of its Rulebook
Comments due: February 26, 2014


EDGA File Number List for 2014
Release No. Date Details

SR-EDGA-2014-33
34-73892 Dec. 19, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Convert Direct Edge, Inc., the Parent Company of EDGA Exchange, Inc., from a Delaware Corporation to a Delaware Limited Liability Company
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C

SR-EDGA-2014-32
34-73797 Dec. 9, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 1.5 and 11.3 of EDGA Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-EDGA-2014-31
34-73781 Dec. 8, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-EDGA-2014-30
34-73759 Dec. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the EdgeBook Cloud Service on EDGA Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-EDGA-2014-29
34-73761 Dec. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Reference to the EdgeRisk Gateway in Rule 13.10 of EDGA Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5A;  Exhibit 5B

SR-EDGA-2014-28
34-73746 Dec. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.1(c)(5) of EDGA Exchange, Inc. to Harmonize its Restrictions on Market Makers in UTP Derivative Securities with NYSE Arca, Inc. and Nasdaq Stock Market LLC
Comments due: 21 days after publication in the Federal Register

SR-EDGA-2014-26
34-73564 Nov. 7, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.
Comments due: December 5, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-25
34-73596 Nov. 14, 2014 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Establish a New Market Data Product called the BATS One Feed
Comments due: December 11, 2014
Comments received are available for this proposal.

SR-EDGA-2014-24
34-73477 Oct. 30, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.12, Limitation of Liability
Comments due: November 26, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-23
34-73006 Sep. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: October 2, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-22
34-72844 Aug. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: September 10, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-20
34-73592 Nov. 13, 2014 Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend EDGA Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions
Comments due: December 10, 2014
34-73217 Sep. 25, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Include Additional Specificity within Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions
Comments due: 21 days after publication in the Federal Register
34-72812 Aug. 11, 2014 Notice of Filing of Proposed Rule Change Relating to Include Additional Specificity within Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions
Comments due: September 8, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-EDGA-2014-18
34-72675 Jul. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retire the EDGE Routed Liquidity Report
Comments due: August 21, 2014
Additional Materials: Exhibit 5A, Exhibit 5B

SR-EDGA-2014-17
34-72682 Jul. 28, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of EDGA Exchange, Inc.
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-EDGA-2014-16
34-73549 Nov. 6, 2014 Notice of Withdrawal of Proposed Rule Changes to Establish a New Market Data Product Called the BATS One Feed
Additional File Nos.: SR-BATS-2014-028, SR-BYX-2014-011, SR-EDGX-2014-19
34-73098 Sep. 15, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
34-72689 Jul. 28, 2014 Notice of Filing of Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-EDGA-2014-15
34-72533 Jul. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: July 31, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-14
34-72375 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: July 9, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-13
34-72100 May 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: June 2, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-12
34-72089 May 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.5 Regarding the Route Peg Order
Comments due: May 29, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-11
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
34-72047 Apr. 30, 2014 Notice of Filing of a Proposed Rule Change to Amend Rule 11.13, entitled "Clearly Erroneous Executions"
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-10
34-71962 Apr. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its ROOC Routing Option under EDGA Rule 11.9(b)(2)(n)
Comments due: May 14, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-09
34-72001 Apr. 23, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: May 20, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-08
34-71917 Apr. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: May 6, 2014
Additional Materials: Exhibit 5

SR-EDGA-2014-007
34-71811 Mar. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 12.6 to Conform to FINRA Rule 5320, BATS Rule 12.6 and BATS-Y Rule 12.6 Relating to Trading Ahead of Customer Orders
Comments due: April 22, 2014
Additional Materials:  Exhibit 5

SR-EDGA-2014-006
34-71808 Mar. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for EDGA Exchange, Inc.
Comments due: April 22, 2014
Additional Materials:  Exhibit 5

SR-EDGA-2014-05
34-71776 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Reference to Rule 10C-1 Under the Exchange Act in EDGA Rule 14.1 Concerning Unlisted Trading Privileges
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-EDGA-2014-04
34-71691 Mar. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-EDGA-2014-02
34-71621 Feb. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: March 26, 2014
Additional Materials:  Exhibit 5

SR-EDGA-2014-01
34-71444 Jan. 30, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter IX of its Rulebook
Comments due: February 26, 2014

 

http://www.sec.gov/rules/sro/edga.shtml


Modified: 12/22/2014