2012 EDGX Exchange General Circulars

File number: 2012-24
Date filed: December 26, 2012
Description:

Summary Suspension of Gardner Rich, LLC with EDGX Exchange, Inc. effective December 26, 2012.

File number: 2012-22
Date filed: December 26, 2012
Description:

Summary Suspension of Rodman & Renshaw, LLC with EDGX Exchange, Inc. effective December 26, 2012.

File number: 2012-20
Date filed: December 6, 2012
Description:

Cancellation of ThinkEquity LLC's Membership with EDGX Exchange Inc. effective December 6, 2012.

File number: 2012-17
Date filed: November 26, 2012
Description:

Summary Suspension of Infinium Securities, Inc. with EDGX Exchange, Inc. effective November 26, 2012.

File number: 2012-15
Date filed: November 6, 2012
Description:

Summary Suspension of ThinkEquity LLC with EDGX Exchange, Inc. effective November 6, 2012.

File number: 2012-13
Date filed: September 27, 2012
Description:

Summary Suspension of Hold Brothers On-Line Investment Services, LLC with EDGX Exchange, Inc. effective September 27, 2012

File number: 2012-12
Date filed: June 11, 2012
Description:

Cancellation of Hunter Capital Markets, LLC's Membership with EDGA Exchange and EDGX Exchange

File number: 2012-11
Date filed: June 11, 2012
Description:

Cancellation of Navpoint, LLC's Membership with EDGA Exchange and EDGX Exchange

File number: 2012-10
Date filed: June 11, 2012
Description:

Cancellation of Hunter Capital Markets, LLC's Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.

File number: 2012-09
Date filed: May 9, 2012
Description:

Summary Suspension of Penserra Securities, LLC's Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.

File number: 2012-08
Date filed: May 9, 2012
Description:

Summary Suspension of Navpoint, LLC's Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.

File number: 2012-07
Date filed: May 9, 2012
Description:

Cancellation of Surge Trading, Inc.'s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.

File number: 2012-06
Date filed: May 9, 2012
Description:

Summary Suspension of Hunter Capital Markets, LLC's Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.

File number: 2012-05
Date filed: April 9, 2012
Description:

Summary Suspension of Surge Trading, Inc.'s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.

File number: 2012-04
Date filed: February 6, 2012
Description:

Cancellation of WJB Capital Group, Inc.'s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.

File number: 2012-03
Date filed: February 2, 2012
Description:

Registration, qualification and continuing education requirements for Authorized Traders of Members that engage solely in proprietary trading

File number: 2012-02
Date filed: January 24, 2012
Description:

Cancellation of MF Global, Inc.'s Membership with EDGA Exchange, Inc. and EDGX Exchange, Inc.

File number: 2012-01
Date filed: January 6, 2012
Description:

Summary Suspension of WJB Capital Group, Inc.'s Membership with EDGA Exchange and EDGX Exchange.