National Securities Exchanges
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-70714 | Oct 18, 2013 | SR-EDGX-2013-39 | EDGX Exchange (EDGX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX Rule 4.3, Record of Written Complaints, To Conform to Financial Industry Regulatory Authority, Inc. Rule 4513 |
| 34-70669 | Oct 11, 2013 | SR-EDGX-2013-38 | EDGX Exchange (EDGX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule See Also - Exhibit 5 |
| 34-70626 | Oct 8, 2013 | SR-EDGX-2013-36 | EDGX Exchange (EDGX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGX 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 See Also - Exhibit 5 |
| 34-70601 | Oct 2, 2013 | SR-EDGX-2013-37 | EDGX Exchange (EDGX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule See Also - Exhibit 5 |
| 34-70511 | Sep 26, 2013 | SR-EDGX-2013-35 | EDGX Exchange (EDGX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX Rule 11.13, Clearly Erroneous Executions See Also - Exhibit 5 |
| 34-70384 | Sep 12, 2013 | SR-EDGX-2013-34 | EDGX Exchange (EDGX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the EDGX Exchange, Inc. Fee Schedule See Also - Exhibit 5 |
| 34-70363 | Sep 10, 2013 | SR-EDGX-2013-33 | EDGX Exchange (EDGX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule See Also - Exhibit 5 |
| 34-70230 | Aug 19, 2013 | SR-EDGX-2013-32 | EDGX Exchange (EDGX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate EDGX Rule 13.4 |
| 34-70162 | Aug 12, 2013 | SR-EDGX-2013-31 | EDGX Exchange (EDGX) | 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 See Also - Exhibit 5A, Exhibit 5B |
| 34-70145 | Aug 8, 2013 | SR-EDGX-2013-27 | EDGX Exchange (EDGX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule See Also - Exhibit 5 |