2013 EDGX Rule Filings


File Number: SR-EDGX-2013-46
Date Filed: 
12/06/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: SR-EDGX-2013-45
Date Filed: 
12/06/2013
Description:
EDGX Exchange, Inc. proposes to amend Rule 11.12, Limitations of Liability.                                                                                                   

File Number: SR-EDGX-2013-44
Date Filed: 
11/29/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: SR-EDGX-2013-43, Amendment No. 2
Date Filed: 
01/29/2014
Description:
EDGX Exchange, Inc. proposes to amend SR-EDGX-2013-43                                                                                                                                            

File Number: SR-EDGX-2013-43, Amendment No. 1
Date Filed: 
12/09/2013
Description:
EDGX Exchange, Inc. proposes to amend SR-EDGX-2013-43                                                                                                                                            

File Number:
SR-EDGX-2013-43
Date Filed:
11/29/2013
Description:
EDGX Exchange, Inc. is filing a proposed rule change in connection with the proposed business combination involving Direct Edge Holdings LLC and
BATS Global Markets, Inc. 

File Number: SR-EDGX-2013-42
Date Filed: 
11/01/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: SR-EDGX-2013-41
Date Filed:
10/31/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: SR-EDGX-2013-40
Date Filed:
10/28/2013
Description:
EDGX Exchange, Inc. proposes to amend 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.

File Number:
SR-EDGX-2013-39
Date Filed:
10/15/2013
Description:
EDGX Exchange, Inc. proposes to amend Rule 4.3, Record of Written Complaints, to conform with the rules of the Financial Industry Regulatory
Authority, Inc.

File Number:
SR-EDGX-2013-38
Date Filed:
10/02/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number:
SR-EDGX-2013-37
Date Filed:
09/30/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number:
SR-EDGX-2013-36
Date Filed:
09/26/2013
Description:
EDGX Exchange, Inc. proposes to amend Rules 3.22 and 13.3, as well as adopt a new Rule 12.14, to conform with the rules of the Financial Industry Regulatory Authority.

File Number:
SR-EDGX-2013-35
Date Filed:
09/25/2013
Description:
EDGX Exchange, Inc. proposes to extend a pilot program related to Rule 11.13, entitled, Clearly Erroneous Transactions, and to remove
certain references to individual stock trading pauses contained in Rule 11.13(c)(4).

File Number:
SR-EDGX-2013-34
Date Filed:
09/03/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: 
SR-EDGX-2013-33
Date Filed:
08/30/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates
applicable to Members of the Exchange pursuant to EDGX Rule
15.1(a) and (c). 

File Number:
SR-EDGX-2013-32
Date Filed:
08/07/2013
Description: 
EDGX Exchange, Inc. proposes to eliminate Rule 13.4, “Assigning of Registered Securities in the Name of a Member or Member Organization.” 

File Number:
SR-EDGX-2013-31
Date Filed:
08/06/2013
Description:
EDGX Exchange, Inc. proposes 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.

File Number:
SR-EDGX-2013-30
Date Filed:
08/05/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: 
SR-EDGX-2013-29 - WITHDRAWN
Date Filed:
08/05/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: 
SR-EDGX-2013-28 - WITHDRAWN
Date Filed:
08/01/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: 
SR-EDGX-2013-27
Date Filed:
08/01/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: 
SR-EDGX-2013-26
Date Filed:
07/30/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: 
SR-EDGX-2013-25
Date Filed:
07/01/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: 
SR-EDGX-2013-24
Date Filed:
06/26/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number:
SR-EDGX-2013-23
Date Filed:
06/24/2013
Description:
EDGX Exchange, Inc. proposes to amend Rule 11.5(c) which describes the manner in which the NBBO Offset Peg Order operates.

File Number:
SR-EDGX-2013-22 - WITHDRAWN
Date Filed:
06/24/2013
Description:
EDGX Exchange, Inc. proposes to amend Rule 11.5(c), which describes the manner in which the NBBO Offset Peg Order operates.

File Number: 
SR-EDGX-2013-21
Date Filed:
06/14/2013
Description:
EDGX Exchange, Inc. is filing a proposed rule change to offer and establish fees for a new service, EdgeRisk Gateway, as a risk management tool available to its members and non-members. 

File Number:  SR-EDGX-2013-20
Date Filed:
06/13/2013
Description:
EDGX Exchange, Inc. proposes to amend Footnote 4 of its fee schedule regarding Retail Orders.                                                                                

File Number: 
SR-EDGX-2013-19
Date Filed:
06/03/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: 
SR-EDGX-2013-18
Date Filed: 
05/21/2013
Description:
EDGX Exchange, Inc. proposes to add EdgeRisk Ports to the list of Direct Logical Ports currently offered by the Exchange to its Members and
non-Members. 

File Number: 
SR-EDGX-2013-17
Date Filed:
05/16/2013
Description
EDGX Exchange, Inc. proposes to make permanent the existing pilot program that permits its inbound router to receive inbound routes of
equities orders through Direct Edge ECN LLC d/b/a DE Route, its routing broker dealer, from EDGA Exchange, Inc.                                               

File Number: 
SR-EDGX-2013-16
Date Filed: 
05/01/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: 
SR-EDGX-2013-15
Date Filed:
05/01/2013
Description: 
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number:  SR-EDGX-2013-14
Date Filed:  04/23/2013 
Description:  EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number: 
SR-EDGX-2013-13
Date Filed:
04/05/2013
Description:
EDGX Exchange, Inc. proposes to amend Footnote 4 of the  Exchange’s fee schedule regarding Retail Orders.                                       

File Number:  SR-EDGX-2013-12
Date Filed:  04/01/2013 
Description:  EDGX Exchange, Inc. proposes to amend its fees and rebates  applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number:
SR-EDGX-2013-11
Date Filed:
03/01/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).                

File Number:
SR-EDGX-2013-10
Date Filed:
02/28/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number:
SR-EDGX-2013-09 - WITHDRAWN
Date Filed:
02/28/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number:  SR-EDGX-2013-08
Date Filed:  02/13/2013
Description:  EDGX Exchange, Inc. proposes to amend EDGX Rules 1.5, 11.5, 11.8, 11.9 and 11.14 regarding the implementation of the National Market System
Plan to Address Extraordinary Market Volatility.

File Number:
SR-EDGX-2013-07
Date Filed:
01/31/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c). 

File Number:  SR-EDGX-2013-06
Date Filed:  01/31/2013
Description:  EDGX Exchange, Inc. proposes to amend EDGX Rule 11.13 to extend the operation of a pilot pursuant to Rule 11.13 until September 30,
2013.                                                                                                                                                                                                                      

File Number:  SR-EDGX-2013-05
Date Filed:  01/31/2013
Description:  EDGX Exchange, Inc. proposes to delay the operative date of the pilot in Rule 11.14 which provides for methodology for determining when 
to halt trading in all stocks due to extraordinary market volatility.

File Number: 
SR-EDGX-2013-04
Date Filed:  01/30/2013
Description:  EDGX Exchange, Inc. proposes to amend EDGX Rule 11.14 to extend the operation of the single stock circuit breaker pilot program. 

File Number:   SR-EDGX-2013-03
Date Filed:
01/30/2013
Description:
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule
15.1(a) and (c).                                                                                                                                                                                                       

File Number:  
SR-EDGX-2013-02
Date Filed:
01/22/2013
Description:
EDGX Exchange, Inc. proposes to amend Rule 13.9 to allow  Members the option to opt-out their routed orders from inclusion in
the Edge Routed Liquidity ReportSM on a market participant identifier(s)  basis.                                                                                                            

File Number:
SR-EDGX-2013-01
Date Filed:
01/15/2013
Description:
EDGX Exchange, Inc. is filing a proposed rule change relating to fees for EdgeBook Attributed.                                            
2013 Wall Street Letter
Institutional Trading Awards:

Best Exchange Client Service
2013 Markets Choice Awards:
Most Innovative Exchange
2013 Institutional Investor
“Trading Technology 40”:

Saro Jahani, Chief Information
Officer, #29