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This document details the proposed rule change by EDGX Exchange, Inc. regarding amendments to its fee schedule applicable to Members, including specific routing strategies and their associated fees.
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How to fill out SR-EDGX-2011-02
01
Obtain the SR-EDGX-2011-02 form from the appropriate regulatory website.
02
Clearly enter your firm’s name and address at the top of the form.
03
Fill in the date in the designated section.
04
Provide your firm's registration details as required.
05
Review the instructions for specific sections to ensure compliance with regulations.
06
Complete each section of the form truthfully and accurately.
07
Attach any necessary supporting documents.
08
Review the entire form for any errors or missing information.
09
Sign and date the form at the bottom.
10
Submit the form to the appropriate regulatory body by the deadline.
Who needs SR-EDGX-2011-02?
01
Registered broker-dealers
02
Financial firms operating in the securities market
03
Companies subject to SEC regulations
04
Entities that participate in the EDGX Exchange
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What is SR-EDGX-2011-02?
SR-EDGX-2011-02 is a proposed rule change submitted by EDGX Exchange, Inc. to amend its rules related to the trading of securities on its platform.
Who is required to file SR-EDGX-2011-02?
Members of the EDGX Exchange that engage in trading activities are required to file SR-EDGX-2011-02.
How to fill out SR-EDGX-2011-02?
To fill out SR-EDGX-2011-02, members must provide accurate information regarding their trading activities and compliance with the new rules set forth in the filing.
What is the purpose of SR-EDGX-2011-02?
The purpose of SR-EDGX-2011-02 is to enhance market structure and ensure fair trading practices by addressing specific operational procedures and compliance requirements.
What information must be reported on SR-EDGX-2011-02?
Information that must be reported on SR-EDGX-2011-02 includes trading volumes, activity types, compliance with rules, and any relevant changes in operational procedures.
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