General Information Circulars

2014
Circular No: Description
EDGA-2014-07
EDGX-2014-08
Member Representative Director Candidates for BATS Exchange, Inc., BATS Y-Exchange, Inc., EDGA Exchange, Inc. and/or EDGX, Exchange, Inc.
EDGA-2014-05 EDGX-2014-06 Revocation of Suspension of Grace Financial Group, LLC effective March 18, 2014
EDGA-2014-03 EDGX-2014-04 Summary Suspension of Grace Financial Group, LLC effective February 18, 2014.
EDGA-2014-01
EDGX-2014-02 Summary Suspension of Algo Engineering Execution Services, LLC effective February 18, 2014.


2013
Circular No: Description
EDGA-2013-17 EDGX-2013-18 Cancellation of SpeedRoute, LLC's Membership effective October 1, 2013.
EDGA-2013-15
EDGX-2013-16 Summary Suspension of SpeedRoute, LLC effective September 9, 2013. 
EDGA-2013-13
EDGX-2013-14 Cancellation of Tafferer Trading, LLC's Membership effective July 15, 2013.
EDGA-2013-11
EDGX-2013-12
Petition Process for Additional Candidates for Exchange Member Director Position on the Board of Directors of EDGA Exchange, Inc.and EDGX Exchange, Inc.
EDGA-2013-09 EDGX-2013-10 Summary Suspension of Tafferer Trading, LLC effective June 15, 2013.
EDGA-2013-07
EDGX-2013-08
Cancellation of Penson Financial Services Inc.'s Membership effective March 26, 2013.
EDGA-2013-05
EDGX-2013-06
Summary Suspension of Penson Financial Services, Inc. effective February 26, 2013.
EDGA-2013-03 EDGX-2013-04
Cancellation of Gardner Rich, LLC's Membership effective January 26, 2013.
EDGA-2013-01
EDGX-2013-02
Cancellation of Rodman & Renshaw, LLC's Membership effective January 26, 2013.


2012
Circular No: 2012-24
Description: Summary Suspension of Gardner Rich, LLC with EDGX Exchange, Inc. effective December 26, 2012.
Circular No: 2012-23
Description: Summary Suspension of Gardner Rich, LLC with EDGA Exchange, Inc. effective December 26, 2012.
Circular No: 2012-22
Description: Summary Suspension of Rodman & Renshaw, LLC with EDGX Exchange, Inc. effective December 26, 2012.
Circular No: 2012-21
Description: Summary Suspension of Rodman & Renshaw, LLC with EDGA Exchange, Inc. effective December 26, 2012.
Circular No: 2012-20
Description: Cancellation of ThinkEquity LLC’s Membership with EDGX Exchange Inc. effective December 6, 2012.
Circular No: 2012-19
Description: Cancellation of ThinkEquity LLC’s Membership with EDGA Exchange Inc. effective December 6, 2012.
Circular No: 2012-18
Description: Summary Suspension of Infinium Securities, Inc. with EDGA Exchange, Inc. effective November 26, 2012.
Circular No: 2012-17
Description: Summary Suspension of Infinium Securities, Inc. with EDGX Exchange, Inc. effective November 26, 2012.
Circular No: 2012-16
Description: Summary Suspension of ThinkEquity LLC with EDGA Exchange, Inc. effective November 6, 2012.
Circular No: 2012-15
Description: Summary Suspension of ThinkEquity LLC with EDGX Exchange, Inc. effective November 6, 2012.
Circular No: 2012-14
Description: Summary Suspension of Hold Brothers On-Line Investment Services, LLC with EDGA Exchange, Inc. effective September 27, 2012.
Circular No: 2012-13
Description: Summary Suspension of Hold Brothers On-Line Investment Services, LLC with EDGX Exchange, Inc. effective September 27, 2012
Circular No: 2012-12
Description: Cancellation of Hunter Capital Markets, LLC’s Membership with EDGA Exchange and EDGX Exchange
Circular No: 2012-11
Description: Cancellation of Navpoint, LLC’s Membership with EDGA Exchange and EDGX Exchange
Circular No: 2012-10
Description: Cancellation of Hunter Capital Markets, LLC’s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.
Circular No: 2012-09
Description: Summary Suspension of Penserra Securities, LLC’s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.
Circular No: 2012-08
Description: Summary Suspension of Navpoint, LLC’s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.
Circular No: 2012-07
Description: Cancellation of Surge Trading, Inc.’s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.
Circular No: 2012-06
Description: Summary Suspension of Hunter Capital Markets, LLC’s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.
Circular No: 2012-05
Description: Summary Suspension of Surge Trading, Inc.’s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.
Circular No: 2012-04
Description: Cancellation of WJB Capital Group, Inc.'s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.
Circular No: 2012-03
Description: Registration, qualification and continuing education requirements for Authorized Traders of Members that engage solely in proprietary trading
Circular No: 2012-02
Description: Cancellation of MF Global, Inc.'s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.
Circular No: 2012-01
Description: Summary Suspension of WJB Capital Group, Inc.'s Membership with EDGA Exchange and EDGX Exchange.
2011
Circular No: 2011-07
Description: Summary Suspension of MF Global, Inc.'s Membership with EDGA Exchange and EDGX Exchange.
Circular No: 2011-06
Description: Annual Membership Fees
Circular No: 2011-05
Description: Market Maker Registration Requirement
Circular No: 2011-04
Description: Notice Regarding Rule Inconsistency of Non-Displayed Orders on EDGA
Circular No: 2011-03
Description: Notice Regarding Filing of Annual Audited Reports with EDGA Exchange, Inc. and EDGX Exchange, Inc.
Circular No: 2011-02
Description: Notice Regarding Voluntary Terminations of Rights as a Member of EDGA or EDGX
Circular No: 2011-01
Description: Notice Regarding Foreign Examination Modules Equivalent to Series 7 Examination Accepted by EDGA/EDGX Exchanges
2010
Circular No: 2010-04
Description: Exclusion for Destination-On-Open Orders from Market Collar Rule
Circular No: 2010-03
Description: FIX Order Message Translation Issue & Compliance With Exchange Published Specifications
Circular No: 2010-02
Description: Principal Registration Requirement
Circular No: 2010-01
Description: FINRA CRD membership approval / reminder to update U4 for authorized traders
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