2019 EDGA Exchange Regulatory Circulars

File number: RC19-017
Date filed: June 18, 2019
Description:

Regulatory Division Contacts for Market Maker Quoting Issues and Late Withdrawals/Terminations

File number: RC19-015
Date filed: June 10, 2019
Description:

Mandatory Participation in Disaster Recovery Testing

File number: RC19-012
Date filed: May 1, 2019
Description:

Consolidated Audit Trail Registration Deadline, Technical Specifications and Other Events

File number: RC19-010
Date filed: March 1, 2019
Description:

Consolidated Audit Trail Clock Synchronization Notice to Industry Members

File number: RC19-009
Date filed: February 12, 2019
Description:

Industry Outreach on the Consolidated Audit Trail

File number: RC19-008
Date filed: February 4, 2019
Description:

CAT Transitioning to New Plan Processor

File number: RC19-007
Date filed: January 29, 2019
Description:

CAT Reporting Requirements Presentations Rescheduled

File number: RC19-006
Date filed: January 15, 2019
Description:

Nomination of Representative Directors for Election at 2019 Annual Meeting

File number: RC19-004
Date filed: January 14, 2019
Description:

Filing of Annual Audits

File number: RC19-003
Date filed: January 11, 2019
Description:

Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements

File number: RC 19-015
Date filed: June 10, 2019
Description:

Mandatory Participation in Disaster Recovery Testing