SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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
First Quarter

EDGX File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Second Quarter

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: 21 days after publication in the Federal Register
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

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-2014-11
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: 21 days after publication in the Federal Register
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
34-71747 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: 04/18/2014