2018 EDGA Exchange Regulatory Circulars

File number: RC18-019
Date filed: November 2, 2018
Description:

Consolidated Audit Trail – Industry Member Technical Specifications –Updated

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 18-012
Date filed: August 8, 2018
Description:

Consolidated Audit Trail Webcast Alert

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 18-003
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