National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-71059 | Dec 12, 2013 | SR-EDGA-2013-37 | EDGA Exchange (EDGA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule See Also - Exhibit 5 |
| 34-71061 | Dec 12, 2013 | SR-EDGA-2013-36 | EDGA Exchange (EDGA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.12, Limitations of Liability See Also - Exhibit 5 |
| 34-71047 | Dec 11, 2013 | SR-EDGA-2013-35 | EDGA Exchange (EDGA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule View Received Comments See Also - Exhibit 5 |
| 34-71046 | Dec 11, 2013 | SR-EDGA-2013-34 | EDGA Exchange (EDGA) | 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 View Received Comments See Also - Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f, Exhibit 5g, Exhibit 5h, Exhibit 5i, Exhibit 5j, Exhibit 5k, Rel. No. 34-71449 |
| 34-70837 | Nov 8, 2013 | SR-EDGA-2013-32 | EDGA Exchange (EDGA) | 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. |
| 34-70812 | Nov 5, 2013 | SR-EDGA-2013-33 | EDGA Exchange (EDGA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule See Also - Exhibit 5 |
| 34-70715 | Oct 18, 2013 | SR-EDGA-2013-31 | EDGA Exchange (EDGA) | 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 |
| 34-70625 | Oct 8, 2013 | SR-EDGA-2013-29 | EDGA Exchange (EDGA) | 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 See Also - Exhibit 5 |
| 34-70600 | Oct 2, 2013 | SR-EDGA-2013-30 | EDGA Exchange (EDGA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule See Also - Exhibit 5 |
| 34-70512 | Sep 26, 2013 | SR-EDGA-2013-28 | EDGA Exchange (EDGA) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend EDGA Rule 11.13, Clearly Erroneous Executions See Also - Exhibit 5 |