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EDGX Exchange Rulemaking

We encourage the public to submit comments on the following EDGX Exchange (EDGX) 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

EDGX File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-EDGX-2014-25
34-73597 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: 21 days after publication in the Federal Register

SR-EDGX-2014-26
34-73563 Nov. 7, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-EDGX-2014-19
34-73549 Nov. 6, 2014 Notice of Withdrawal of Proposed Rule Changes to Establish a New Market Data Product Called the BATS One Feed
Comments due: 21 days after publication in the Federal Register
Additional File Nos.: SR-BATS-2014-028, SR-BYX-2014-011, SR-EDGA-2014-16

SR-EDGX-2014-24
34-73476 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-EDGX-2014-18
34-73468 Oct. 29, 2014 Notice of Filing of Amendment Nos. 1 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to Amend EDGX Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions
Comments due: November 25, 2014
See also: Notice: Rel. No. 34-72676
Third Quarter

SR-EDGX-2014-19
34-73099 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. 34-72691

SR-EDGX-2014-18
34-73083 Sep. 11, 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
See also: Notice/Order: Rel. No. 34-73468, Notice: Rel. No. 34-72676

SR-EDGX-2014-23
34-73005 Sep. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: October 2, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-05
34-72955 Sep. 2, 2014 Notice of Withdrawal of Proposed Rule Change to Adopt a New Order Type Called the Mid-Point Discretionary Order
See also:   Order: Rel. No. 34-72445; Notice: Rel. No. 34-72086; Notice: Rel. No. 34-71747

SR-EDGX-2014-22
34-72814 Aug. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: September 8, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-19
34-72691 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. 34-73099

SR-EDGX-2014-20
34-72683 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 EDGX Exchange, Inc.
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-EDGX-2014-18
34-72676 Jul. 25, 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: August 21, 2014
Additional Materials: Exhibit 5A, Exhibit 5B
See also: Notice/Order: Rel. No. 34-73468, Notice: Rel. No. 34-73083
Comments received are available for this proposal.

SR-EDGX-2014-21
34-72674 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-EDGX-2014-17
34-72532 Jul. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: July 31, 2014
Additional Materials: Exhibit 5
Second Quarter

SR-EDGX-2014-05
34-72445 Jun. 20, 2014

Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a New Order Type Called the Mid-Point Discretionary Order
Comments due: July 17, 2014
Rebuttal comments due: July 31, 2014
See also:  Notice: Rel. No. 34-72955, Notice: Rel. No. 34-72086, Notice: Rel. No. 34-71747


SR-EDGX-2014-12
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-EDGA-2014-11, 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. 34-72048

SR-EDGX-2014-16
34-72374 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: July 9, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-13
34-72292 Jun. 2, 2014 Order Approving Proposed Rule Change to Amend Footnote 4 of the Exchange's Fee Schedule to Permit Members to Designate their Retail Orders to be Identified as Retail on the EDGX Book Feed
See also: Notice: Rel. No. 34-72016

SR-EDGX-2014-15
34-72101 May 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: June 2, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-14
34-72088 May 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.5 Regarding the Route Peg Order
Comments due: May 29, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-05
34-72086 May 2, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt a New Order Type Called the Mid-Point Discretionary Order
See also: Notice: Rel. No. 34-72955, Order: Rel. No. 34-72445, Notice: Rel. No. 34-71747

SR-EDGX-2014-12
34-72048 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-EDGX-2014-13
34-72016 Apr. 24, 2014 Notice of Filing of Proposed Rule Change to Amend Footnote 4 of the Exchange's Fee Schedule to Permit Members to Designate their Retail Orders to be Identified as Retail on the EDGX Book Feed
Comments due: May 21, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72292

SR-EDGX-2014-10
34-72002 Apr. 23, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: May 20, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-11
34-71963 Apr. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its ROOC Routing Option under EDGX Rule 11.9(b)(2)(n)
Comments due: May 14, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-09
34-71918 Apr. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: May 6, 2014
Additional Materials: Exhibit 5
First Quarter

SR-EDGX-2014-008
34-71812 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-EDGX-2014-007
34-71809 Mar. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for EDGX Exchange, Inc.
Comments due: April 22, 2014
Additional Materials:  Exhibit 5

SR-EDGX-2014-06
34-71777 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 EDGX Rule 14.1 Concerning Unlisted Trading Privileges
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-EDGX-2014-05
34-71747 Mar. 19, 2014

Notice of Filing of Proposed Rule Change to Adopt a New Order Type Called the Mid-Point Discretionary Order
Comments due: April 15, 2014
See also:  Notice: Rel. No. 34-72955, Notice: Rel. No. 34-72955, Order: Rel. No. 34-72445, Notice: Rel. No. 34-72086


SR-EDGX-2014-04
34-71692 Mar. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-EDGX-2014-02
34-71622 Feb. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: March 26, 2014
Additional Materials:  Exhibit 5

SR-EDGX-2013-43
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-EDGA-2013-34
See also:  Notice: Rel. No. 34-71045

SR-EDGX-2014-01
34-71445 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


EDGX File Number List for 2014
Release No. Date Details

SR-EDGX-2014-26
34-73563 Nov. 7, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-EDGX-2014-25
34-73597 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: 21 days after publication in the Federal Register

SR-EDGX-2014-24
34-73476 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-EDGX-2014-23
34-73005 Sep. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: October 2, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-22
34-72814 Aug. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: September 8, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-21
34-72674 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-EDGX-2014-20
34-72683 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 EDGX Exchange, Inc.
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-EDGX-2014-19
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-EDGA-2014-16
34-73099 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
34-72691 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

SR-EDGX-2014-18
34-73468 Oct. 29, 2014 Notice of Filing of Amendment Nos. 1 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to Amend EDGX Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions
Comments due: November 25, 2014
34-73083 Sep. 11, 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
34-72676 Jul. 25, 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: August 21, 2014
Additional Materials: Exhibit 5A, Exhibit 5B
Comments received are available for this proposal.

SR-EDGX-2014-17
34-72532 Jul. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: July 31, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-16
34-72374 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: July 9, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-15
34-72101 May 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: June 2, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-14
34-72088 May 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.5 Regarding the Route Peg Order
Comments due: May 29, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-13
34-72292 Jun. 2, 2014 Order Approving Proposed Rule Change to Amend Footnote 4 of the Exchange's Fee Schedule to Permit Members to Designate their Retail Orders to be Identified as Retail on the EDGX Book Feed
34-72016 Apr. 24, 2014 Notice of Filing of Proposed Rule Change to Amend Footnote 4 of the Exchange's Fee Schedule to Permit Members to Designate their Retail Orders to be Identified as Retail on the EDGX Book Feed
Comments due: May 21, 2014
Additional Materials: Exhibit 5
Second Quarter

SR-EDGX-2014-12
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-EDGA-2014-11, 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
34-72048 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-EDGX-2014-11
34-71963 Apr. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its ROOC Routing Option under EDGX Rule 11.9(b)(2)(n)
Comments due: May 14, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-10
34-72002 Apr. 23, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: May 20, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-09
34-71918 Apr. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: May 6, 2014
Additional Materials: Exhibit 5

SR-EDGX-2014-008
34-71812 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-EDGX-2014-007
34-71809 Mar. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for EDGX Exchange, Inc.
Comments due: April 22, 2014
Additional Materials:  Exhibit 5

SR-EDGX-2014-06
34-71777 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 EDGX Rule 14.1 Concerning Unlisted Trading Privileges
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-EDGX-2014-05
34-72955 Sep. 2, 2014 Notice of Withdrawal of Proposed Rule Change to Adopt a New Order Type Called the Mid-Point Discretionary Order
34-72445 Jun. 20, 2014

Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a New Order Type Called the Mid-Point Discretionary Order
Comments due: July 17, 2014
Rebuttal comments due: July 31, 2014

34-72086 May 2, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt a New Order Type Called the Mid-Point Discretionary Order
34-71747 Mar. 19, 2014 Notice of Filing of Proposed Rule Change to Adopt a New Order Type Called the Mid-Point Discretionary Order
Comments due: April 15, 2014

SR-EDGX-2014-04
34-71692 Mar. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-EDGX-2014-02
34-71622 Feb. 27, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule
Comments due: March 26, 2014
Additional Materials:  Exhibit 5

SR-EDGX-2014-01
34-71445 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/edgx.shtml


Modified: 11/17/2014