National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-72044 | Apr 30, 2014 | SR-BATS-2014-014 | BATS Exchange (BATS), EDGA Exchange (EDGA), Financial Industry Regulatory Authority (FINRA), Nasdaq ISE, LLC (ISE), The Nasdaq Stock Market LLC (NASDAQ), Nasdaq BX, Inc. (BX), New York Stock Exchange LLC (NYSE), NYSE Arca (NYSEARCA), NYSE MKT (NYSEMKT), Nasdaq PHLX LLC (Phlx), Chicago Stock Exchange, Inc. (CHX), National Stock Exchange (NSX), EDGA Exchange (EDGA), BATS Y-Exchange (BYX), EDGX Exchange (EDGX) | Notice of Filing of a Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions" See Also - Exhibit 5 |
| 34-72016 | Apr 24, 2014 | SR-EDGX-2014-13 | EDGX Exchange (EDGX) | 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 See Also - Exhibit 5, Rel. No. 34-72292 |
| 34-72002 | Apr 23, 2014 | SR-EDGX-2014-10 | 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 |
| 34-71963 | Apr 17, 2014 | SR-EDGX-2014-11 | EDGX Exchange (EDGX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its ROOC Routing Option Under EDGX Rule 11.9(b)(2)(n) See Also - Exhibit 5 |
| 34-71918 | Apr 9, 2014 | SR-EDGX-2014-09 | 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 |
| 34-71809 | Mar 26, 2014 | SR-EDGX-2014-007 | EDGX Exchange (EDGX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for EDGX Exchange, Inc. See Also - Exhibit 5 |
| 34-71812 | Mar 26, 2014 | SR-EDGX-2014-008 | EDGX Exchange (EDGX) | 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 See Also - Exhibit 5 |
| 34-71777 | Mar 24, 2014 | SR-EDGX-2014-06 | EDGX Exchange (EDGX) | 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 See Also - Exhibit 5 |
| 34-71747 | Mar 19, 2014 | SR-EDGX-2014-05 | EDGX Exchange (EDGX) | Notice of Filing of Proposed Rule Change To Adopt a New Order Type Called the Mid-Point Discretionary Order See Also - Rel. No. 34-72955, Rel. No. 34-72955, Rel. No. 34-72445, Rel. No. 34-72086 |
| 34-71692 | Mar 11, 2014 | SR-EDGX-2014-04 | 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 |