2018 EDGX Exchange Regulatory Circulars

File number: RC 18-018
Date filed: September 25, 2018
Description:

SEC Staff Issues Guidance on Third-Party Recordkeeping Services
File number: RC 18-017
Date filed: September 19, 2018
Description:

Securities Industry Essentials Examination
File number: RC 18-016
Date filed: September 11, 2018
Description:

Expiration of Tick Pilot
File number: RC 18-015
Date filed: September 11, 2018
Description:

Enhancements under Consideration for the Securities Industry Continuing Education Program
File number: RC 18-014
Date filed: September 5, 2018
Description:

Consolidated Audit Trail – Industry Member Technical Specifications
File number: RC 18-013
Date filed: August 14, 2018
Description:

FLEX Conversion
File number: RC 18-012
Date filed: August 8, 2018
Description:

Consolidated Audit Trail Webcast Alert
File number: RC 18-011
Date filed: August 6, 2018
Description:

Options Regulatory Fee Billing Update
File number: RC 18-010
Date filed: July 27, 2018
Description:

Option Regulatory Fee Billing Update (Updates RC 18-004)

File number: RC 18-008
Date filed: July 11, 2018
Description:

Prearranged Trades
File number: RC 18-007
Date filed: July 3, 2018
Description:

Mandatory Participation in Disaster Recovery Testing
File number: RC 18-006
Date filed: July 3, 2018
Description:

Position and Exercise Limit Increases for Options on Certain Exchange Traded Funds and Resumption of SPY Position and Exercise Limits
File number: RC 18-004
Date filed: July 2, 2018
Description:

Decrease in the Options Regulatory Fee and Update
File number: RC 18-003
Date filed: March 12, 2018
Description:

Consolidated Audit Trail Clock Synchronization Notice to Industry Members
File number: RC 18-002
Date filed: February 14, 2018
Description:

Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements
File number: RC 18-001
Date filed: February 14, 2018
Description:

Filing of Annual Audits