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EDGA Exchange Rulemaking Archive: 2013

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 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-EDGA-2013-37
34-71059 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: January 8, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-37

SR-EDGA-2013-36
34-71061 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.12, Limitations of Liability
Comments due: January 8, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-36

SR-EDGA-2013-35
34-71047 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: January 7, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-EDGA-2013-35

SR-EDGA-2013-34
34-71046 Dec. 11, 2013 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, in Connection with the Proposed Business Combination involving BATS Global Markets, Inc. and Direct Edge Holdings LLC
Comments due: January 7, 2014
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f, Exhibit 5g, Exhibit 5h, Exhibit 5i, Exhibit 5j, Exhibit 5k
Comments received are available for this proposal.
See also: Order: Rel. No. 34-71449

SR-EDGA-2013-32
34-70837 Nov. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 3.5 (Advertising Practices) and to Repeal Rule 3.20 (Initial or Partial Payments) to Conform with the Rules of the Financial Industry Regulatory Authority, Inc.
Comments due: December 6, 2013
* Submit comments on SR-EDGA-2013-32

SR-EDGA-2013-33
34-70812 Nov. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: December 3, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-33

SR-EDGA-2013-31
34-70715 Oct. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 4.3, Record of Written Complaints, to Conform to Financial Industry Regulatory Authority, Inc. Rule 4513
Comments due: November 15, 2013
* Submit comments on SR-EDGA-2013-31

SR-EDGA-2013-29
34-70625 Oct. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rules 3.2, 13.3, and Adopt Rule 12.14, Front Running of Block Transactions to Conform with the Rules of Other Self-Regulatory Organizations
Comments due: November 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-29

SR-EDGA-2013-30
34-70600 Oct. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: November 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-30
Third Quarter

SR-EDGA-2013-28
34-70512 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.13, Clearly Erroneous Executions
Comments due: October 23, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-28

SR-EDGA-2013-27
34-70383 Sep. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the EDGA Exchange, Inc. Fee Schedule
Comments due: October 9, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-27

SR-EDGA-2013-26
34-70364 Sep. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: October 7, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-26

SR-EDGA-2013-25
34-70231 Aug. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate EDGA Rule 13.4
Comments due: September 13, 2013
* Submit comments on SR-EDGA-2013-25

SR-EDGA-2013-24
34-70163 Aug. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2.5 to Outline the Continuing Education Requirements for Series 56 Licensees and its Fee Schedule to Include Fees for the Series 56 Examination and its Related Continuing Education Requirements
Comments due: September 6, 2013
Additional Materials: Exhibit 5A, Exhibit 5B
* Submit comments on SR-EDGA-2013-24

SR-EDGA-2013-21
34-70146 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: September 4, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-21

SR-EDGA-2013-23
34-70144 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: September 4, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-23

SR-EDGA-2013-19
34-70135 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: September 4, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-19

SR-EDGA-2013-18
34-69900 Jul. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: July 29, 2013
Additional Materials: Exhibit 5
Second Quarter

SR-EDGA-2013-17
34-69876 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.5(c), NBBO Offset Peg Order
Comments due: July 24, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-13
34-69871 Jun. 27, 2013 Order Approving a Proposed Rule Change Relating to the EDGA Exchange, Inc.'s Routing Broker Dealer, as Described in EDGA Rule 2.12(b)
See also: Notice: Rel. No. 34-69613

SR-EDGA-2013-16
34-69856 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer and Establish Fees for a New Exchange Service, EdgeRisk Gateways
Comments due: July 22, 2013
Additional Materials:  Exhibit 5A, Exhibit 5B

SR-EDGA-2013-15
34-69724 Jun. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: July 5, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-14
34-69669 May 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: June 26, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-13
34-69613 May 21, 2013 Notice of Filing of Proposed Rule Change Relating to the EDGA Exchange, Inc.'s Routing Broker Dealer, as Described in EDGA Rule 2.12(b)
Comments due: June 18, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-69871

SR-EDGA-2013-12
34-69505 May 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: May 30, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-11
34-69481 Apr. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: May 28, 2013
Additional Materials: Exhibit 5
First Quarter

SR-EDGA-2013-10
34-69066 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: April 3, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-09
34-69043 Mar. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: April 2, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-08
34-69002 Feb. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rules 1.5, 11.5, 11.8, 11.9 and 11.14 in connection with the implementation of the National Market System Plan to Address Extraordinary Market Volatility
Comments due: March 26, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-04
34-68884 Feb. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.14 to Extend the Operation of the Single Stock Circuit Breaker Program
Comments due: March 7, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-07
34-68877 Feb. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: March 7, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-03
34-68830 Feb. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: March 4, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-06
34-68813 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.13 to Extend the Operation of a Pilot Pursuant to Rule 11.13 until September 30, 2013
Comments due: February 28, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-05
34-68806 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of Changes to the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Comments due: February 27, 2013

SR-EDGA-2013-02
34-68783 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to EDGA Rule 13.9
Comments due: February 27, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-01
34-68714 Jan. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for EdgeBook AttributedSM
Comments due: February 20, 2013
Additional Materials: Exhibit 5

SR-EDGA-2012-47
34-68595 Jan. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.5(c) (NBBO Offset Peg Order)
Comments due: February 1, 2013
Additional Materials: Exhibit 5


EDGA File Number List for 2013
Release No. Date Details

SR-EDGA-2013-37
34-71059 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: January 8, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-37

SR-EDGA-2013-36
34-71061 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.12, Limitations of Liability
Comments due: January 8, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-36

SR-EDGA-2013-35
34-71047 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: January 7, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-EDGA-2013-35

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
34-71046 Dec. 11, 2013 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, in Connection with the Proposed Business Combination involving BATS Global Markets, Inc. and Direct Edge Holdings LLC
Comments due: January 7, 2014
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f, Exhibit 5g, Exhibit 5h, Exhibit 5i, Exhibit 5j, Exhibit 5k
Comments received are available for this proposal.

SR-EDGA-2013-33
34-70812 Nov. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: December 3, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-33

SR-EDGA-2013-32
34-70837 Nov. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 3.5 (Advertising Practices) and to Repeal Rule 3.20 (Initial or Partial Payments) to Conform with the Rules of the Financial Industry Regulatory Authority, Inc.
Comments due: December 6, 2013
* Submit comments on SR-EDGA-2013-32

SR-EDGA-2013-31
34-70715 Oct. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 4.3, Record of Written Complaints, to Conform to Financial Industry Regulatory Authority, Inc. Rule 4513
Comments due: November 15, 2013
* Submit comments on SR-EDGA-2013-31

SR-EDGA-2013-30
34-70600 Oct. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: November 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-30

SR-EDGA-2013-29
34-70625 Oct. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rules 3.2, 13.3, and Adopt Rule 12.14, Front Running of Block Transactions to Conform with the Rules of Other Self-Regulatory Organizations
Comments due: November 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-29

SR-EDGA-2013-28
34-70512 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.13, Clearly Erroneous Executions
Comments due: October 23, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-28

SR-EDGA-2013-27
34-70383 Sep. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the EDGA Exchange, Inc. Fee Schedule
Comments due: October 9, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-27

SR-EDGA-2013-26
34-70364 Sep. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: October 7, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-26

SR-EDGA-2013-25
34-70231 Aug. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate EDGA Rule 13.4
Comments due: September 13, 2013
* Submit comments on SR-EDGA-2013-25

SR-EDGA-2013-24
34-70163 Aug. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2.5 to Outline the Continuing Education Requirements for Series 56 Licensees and its Fee Schedule to Include Fees for the Series 56 Examination and its Related Continuing Education Requirements
Comments due: September 6, 2013
Additional Materials: Exhibit 5A, Exhibit 5B
* Submit comments on SR-EDGA-2013-24

SR-EDGA-2013-23
34-70144 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: September 4, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-23

SR-EDGA-2013-21
34-70146 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: September 4, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-21

SR-EDGA-2013-19
34-70135 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: September 4, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-EDGA-2013-19

SR-EDGA-2013-18
34-69900 Jul. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: July 29, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-17
34-69876 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.5(c), NBBO Offset Peg Order
Comments due: July 24, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-16
34-69856 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer and Establish Fees for a New Exchange Service, EdgeRisk Gateways
Comments due: July 22, 2013
Additional Materials:  Exhibit 5A, Exhibit 5B

SR-EDGA-2013-15
34-69724 Jun. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: July 5, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-14
34-69669 May 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: June 26, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-13
34-69871 Jun. 27, 2013 Order Approving a Proposed Rule Change Relating to the EDGA Exchange, Inc.'s Routing Broker Dealer, as Described in EDGA Rule 2.12(b)
34-69613 May 21, 2013 Notice of Filing of Proposed Rule Change Relating to the EDGA Exchange, Inc.'s Routing Broker Dealer, as Described in EDGA Rule 2.12(b)
Comments due: June 18, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-12
34-69505 May 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: May 30, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-11
34-69481 Apr. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: May 28, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-10
34-69066 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: April 3, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-09
34-69043 Mar. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: April 2, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-08
34-69002 Feb. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rules 1.5, 11.5, 11.8, 11.9 and 11.14 in connection with the implementation of the National Market System Plan to Address Extraordinary Market Volatility
Comments due: March 26, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-07
34-68877 Feb. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: March 7, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-06
34-68813 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.13 to Extend the Operation of a Pilot Pursuant to Rule 11.13 until September 30, 2013
Comments due: February 28, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-05
34-68806 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of Changes to the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Comments due: February 27, 2013

SR-EDGA-2013-04
34-68884 Feb. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.14 to Extend the Operation of the Single Stock Circuit Breaker Program
Comments due: March 7, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-03
34-68830 Feb. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule
Comments due: March 4, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-02
34-68783 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to EDGA Rule 13.9
Comments due: February 27, 2013
Additional Materials: Exhibit 5

SR-EDGA-2013-01
34-68714 Jan. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for EdgeBook AttributedSM
Comments due: February 20, 2013
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/edgaarchive/edga2013.shtml


Modified: 01/31/2014