2012 EDGX Exchange Regulatory Circulars

File number: 12-10
Date filed: December 6, 2012
Description:

Consolidated Audit Trail: SROs Publish RFP Concepts Document on CAT NMS Website

File number: 12-09
Date filed: December 3, 2012
Description:

Consolidated Audit Trail In-Person Event on December 10, 2012 in New York, NY

File number: 12-08
Date filed: November 29, 2012
Description:

Enhanced Electronic Blue Sheet Submissions Update

File number: 12-07
Date filed: November 21, 2012
Description:

Consolidated Audit Trail Industry Call and WebEx

File number: 12-06
Date filed: November 19, 2012
Description:

Revised and New FINRA CRD Fees Effective January 2, 2013

File number: 12-05
Date filed: October 1, 2012
Description:

Consolidated Audit Trail Industry Event

File number: 12-04
Date filed: September 12, 2012
Description:

Direct Edge to Participate in CAT Industry Call on September 19th at 4:15 p.m. ET

File number: 12-03
Date filed: May 15, 2012
Description:

Telemarketing Rules - Effective June 29, 2012

File number: 12-02
Date filed: February 1, 2012
Description:

Enhancements to Electronic Blue Sheets Submissions

File number: 12-01
Date filed: January 5, 2012
Description:

Market Making Rules and Obligations