Self-Regulatory Organizations; EDGA Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend EDGA Rules Regarding Market Access, 52097-52098 [2012-21109]
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Federal Register / Vol. 77, No. 167 / Tuesday, August 28, 2012 / Notices
Sponsoring Members and Sponsored
Participants under the Exchange’s rules,
the financial and regulatory risk
management controls and supervisory
procedures required by Rule 15c3–5
under the Act 25 apply broadly to all
forms of market access by broker-dealers
that are exchange members or
alternative trading system (‘‘ATS’’)
subscribers, including sponsored access,
direct market access, and more
traditional agency brokerage
arrangements with customers, as well as
proprietary trading.26 The application of
appropriate risk management controls
and supervisory procedures required by
Rule 15c3–5 under the Act 27 is
critically important to maintaining a
robust market infrastructure supporting
the protection of investors, investor
confidence, and fair, orderly, and
efficient markets for all participants.
IV. Conclusion
It is therefore ordered, pursuant to
Section 19(b)(2) of the Act,28 that the
proposed rule change (SR–EDGX–2012–
24), as modified by Amendment No. 1
thereto, is approved.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.29
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2012–21108 Filed 8–27–12; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–67712; File No. SR–EDGA–
2012–27]
Self-Regulatory Organizations; EDGA
Exchange, Inc.; Order Approving a
Proposed Rule Change, as Modified by
Amendment No. 1 Thereto, To Amend
EDGA Rules Regarding Market Access
August 22, 2012.
srobinson on DSK4SPTVN1PROD with NOTICES
I. Introduction
On June 22, 2012, EDGA Exchange,
Inc. (‘‘Exchange’’ or ‘‘EDGA’’) filed with
the Securities and Exchange
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) of the Securities
Exchange Act of 1934 (‘‘Act’’) 1 and Rule
19b–4 thereunder,2 a proposed rule
change to amend EDGA rules regarding
market access for Sponsored
25 17
CFR 240.15c3–5.
Market Access Rule Adopting Release,
supra note 19, 75 FR at 69798.
27 17 CFR 240.15c3–5.
28 15 U.S.C. 78s(b)(2).
29 17 CFR 200.30–3(a)(12).
1 15 U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
26 See
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16:39 Aug 27, 2012
Jkt 226001
Participants.3 The proposed rule change
was published for comment in the
Federal Register on July 9, 2012.4 The
Commission received no comment
letters regarding the proposed rule
change. On July 31, 2012, the Exchange
filed Amendment No. 1 to the proposed
rule change.5 This order approves the
proposed rule change, as modified by
Amendment No. 1 thereto.
II. Description of the Proposal
EDGA Rule 11.3(b) sets forth the
requirements for Sponsored Participants
to obtain authorized access to the
Exchange’s System.6 A Sponsored
Participant may obtain authorized
access by entering into and maintaining
customer agreements with one or more
Sponsoring Members 7 through which
the Sponsored Participant may trade on
the Exchange’s System.8 The customer
agreements must incorporate the
provisions of Rule 11.3(b)(2).9 In
addition, the Sponsoring Member must
provide EDGA with a written statement
identifying each Sponsored Participant
by name and acknowledging its
responsibility for the orders, executions,
and actions of the Sponsored
Participants.10
EDGA proposes to amend Rule 1.5(z),
defining Sponsored Participant, and
Rule 11.3(b), related to access by
Sponsored Participants, to clarify the
obligations of Sponsoring Members and
Sponsored Participants. EDGA proposes
to define Sponsored Participant as ‘‘a
person which has entered into an
arrangement with one or more
Sponsoring Members whereby such
person obtains authorized access to the
System in accordance with Rule
11.3.’’ 11 In addition, EDGA proposes to
3 EDGA Rule 1.5(z) defines ‘‘Sponsored
Participant’’ as ‘‘a person which has entered into a
sponsorship arrangement with a Sponsoring
Member pursuant to Rule 11.3.’’ As discussed
below, the Exchange proposes to amend the
definition of Sponsored Participant as part of the
instant proposed rule change.
4 See Securities Exchange Act Release No. 67332
(July 2, 2012), 77 FR 40396 (‘‘Notice’’).
5 In Amendment No. 1, the Exchange made a
technical change to Rule 1.5(z) in Exhibit 5.
Because Amendment No. 1 does not materially alter
the substance of the proposed rule change,
Amendment No. 1 is not subject to notice and
comment.
6 EDGA Rule 1.5(cc) defines ‘‘System’’ as ‘‘the
electronic communications and trading facility
designated by the Board through which securities
orders of Users are consolidated for ranking,
execution and, when applicable, routing away.’’
7 EDGA Rule 1.5(aa) defines ‘‘Sponsoring
Member’’ as ‘‘a Member that is a registered brokerdealer and that has been designated by a Sponsored
Participant to execute, clear and settle transactions
resulting from the System.’’
8 See EDGA Rule 11.3(b).
9 See Notice, supra note 4, at 40397.
10 See EDGA Rule 11.3(b)(3).
11 See EDGA Rule 1.5(z); Amendment No. 1 at 4.
PO 00000
Frm 00133
Fmt 4703
Sfmt 4703
52097
delete certain contractual provisions
under Rule 11.3(b) that EDGA believes
are no longer necessary given the
obligations applicable to Sponsoring
Members under Rule 15c3–5 under the
Act (‘‘Market Access Rule’’).12 The
Exchange also proposes to amend Rule
11.3(a) to require that only Members,13
and not Users 14 (which includes
Members as well as their Sponsored
Participants), enter into agreements with
the Exchange to obtain authorized
access to EDGA’s System.15 Sponsored
Participants, in turn, must enter into
and maintain sponsored or direct access
arrangements with one or more
Sponsoring Members establishing the
proper relationship(s) and account(s)
through which the Sponsored
Participants may trade on the
Exchange’s System.16
EDGA also proposes amendments to
maintain transparency into who is
accessing the Exchange’s System.17
Sponsoring Members will need to
maintain a list of Sponsored
Participants authorized to access the
Exchange’s System pursuant to Rule
11.3, update that list as necessary, and
provide the list to the Exchange upon
request.18 In addition, the Exchange
proposes to require that Sponsoring
Members shall comply with all
requirements of Rule 15c3–5 under the
Act 19 with regard to market access
arrangements with Sponsored
Participants.20
12 17 CFR 240.15c3–5. See Notice, supra note 4,
at 40397. EDGA proposes to delete the provisions
in Rule 11.3(b)(2)(A)–(I), the second sentence of
Rule 11.3(b)(1), and Rule 11.3(b)(3).
13 EDGA Rule 1.5(n) defines ‘‘Member’’ as ‘‘any
registered broker or dealer, or any person associated
with a registered broker or dealer, that has been
admitted to membership in the Exchange.’’
14 EDGA Rule 1.5(ee) defines ‘‘User’’ as ‘‘any
Member or Sponsored Participant who is
authorized to obtain access to the System pursuant
to Rule 11.3.’’
15 See EDGA Rule 11.3(a).
16 See EDGA Rule 11.3(b)(1).
17 See Notice, supra note 4, at 40397.
18 See EDGA Rule 11.3(b)(2). EDGA is retaining
the requirement in Rule 11.4(a) that all Members
maintain a list of Authorized Traders who may
obtain access to the System on behalf of the
Member or the Member’s Sponsored Participants,
and provide that list to the Exchange upon request.
See Notice, supra note 4, at 40397.
19 See 17 CFR 240.15c3–5. Rule 15c3–5 is
designed to ensure that broker-dealers appropriately
control the risks associated with market access, so
as not to jeopardize their own financial condition,
that of other market participants, the integrity of
trading on the securities markets, or the stability of
the financial system. See Risk Management Controls
for Brokers or Dealers with Market Access,
Securities Exchange Act Release No. 63241
(November 3, 2010), 75 FR 69792 (November 15,
2010) (‘‘Market Access Rule Adopting Release’’).
20 See EDGA Rule 11.3(b)(3).
E:\FR\FM\28AUN1.SGM
28AUN1
52098
Federal Register / Vol. 77, No. 167 / Tuesday, August 28, 2012 / Notices
srobinson on DSK4SPTVN1PROD with NOTICES
III. Discussion and Commission’s
Findings
After careful review, the Commission
finds that the proposed rule change, as
modified by Amendment No. 1 thereto,
is consistent with the requirements of
the Act and the rules and regulations
thereunder applicable to a national
securities exchange.21 In particular, the
Commission finds that the proposed
rule change is consistent with Section
6(b)(5) of the Act,22 which requires,
among other things, that the rules of a
national securities exchange be
designed to prevent fraudulent and
manipulative acts and practices, to
promote just and equitable principles of
trade, to remove impediments to and
perfect the mechanism of a free and
open market and a national market
system, and, in general, to protect
investors and the public interest.
The Commission finds that the instant
proposed rule change is consistent with
the Act. The Commission notes that the
Exchange believes the proposal should
serve to eliminate potential confusion
regarding the obligations of Sponsoring
Members and Sponsored Participants
under Exchange rules. In addition, the
Commission notes that the Exchange
proposes to require Sponsoring
Members to comply with Rule 15c3–5
under the Act 23 with regard to market
access arrangements with Sponsored
Participants.24 In this regard, the
Commission notes that although the
proposal relates to obligations of
Sponsoring Members and Sponsored
Participants under the Exchange’s rules,
the financial and regulatory risk
management controls and supervisory
procedures required by Rule 15c3–5
under the Act 25 apply broadly to all
forms of market access by broker-dealers
that are exchange members or
alternative trading system (‘‘ATS’’)
subscribers, including sponsored access,
direct market access, and more
traditional agency brokerage
arrangements with customers, as well as
proprietary trading.26 The application of
appropriate risk management controls
and supervisory procedures required by
Rule 15c3–5 under the Act 27 is
critically important to maintaining a
robust market infrastructure supporting
the protection of investors, investor
21 In approving this proposed rule change, the
Commission has considered the proposed rule’s
impact on efficiency, competition, and capital
formation. See 15 U.S.C. 78c(f).
22 15 U.S.C. 78f(b)(5).
23 17 CFR 240.15c3–5.
24 See EDGA Rule 11.3(b)(3).
25 17 CFR 240.15c3–5.
26 See Market Access Rule Adopting Release,
supra note 19, 75 FR at 69798.
27 17 CFR 240.15c3–5.
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16:39 Aug 27, 2012
Jkt 226001
confidence, and fair, orderly, and
efficient markets for all participants.
IV. Conclusion
It is therefore ordered, pursuant to
Section 19(b)(2) of the Act,28 that the
proposed rule change (SR–EDGA–2012–
27), as modified by Amendment No. 1
thereto, is approved.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.29
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2012–21109 Filed 8–27–12; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–67714; File No. SR–
NYSEArca–2012–87]
Self-Regulatory Organizations; NYSE
Arca, Inc.; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change Amending NYSE Arca
Options Rule 6.40 To Expand the
Existing Market Maker Risk Limitation
Mechanism Making It Available for
Orders From Market Makers as Well as
Non-Market Maker OTP Firms and OTP
Holders, and To Provide for Two
Additional Risk Limitation Mechanisms
August 22, 2012.
Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934 (the
‘‘Act’’) 2 and Rule 19b-4 thereunder,3
notice is hereby given that, on August
10, 2012, NYSE Arca, Inc. (the
‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with
the Securities and Exchange
Commission (the ‘‘Commission’’) the
proposed rule change as described in
Items I and II below, which Items have
been prepared by the self-regulatory
organization. The Commission is
publishing this notice to solicit
comments on the proposed rule change
from interested persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to amend
NYSE Arca Options Rule 6.40 to expand
the existing Market Maker Risk
Limitation Mechanism to make it
available for orders from Market Makers
as well as non-Market Maker OTP Firms
and OTP Holders, and to provide for
two additional risk limitation
28 15
U.S.C. 78s(b)(2).
CFR 200.30–3(a)(12).
1 15 U.S.C.78s(b)(1).
2 15 U.S.C. 78a.
3 17 CFR 240.19b–4.
29 17
PO 00000
Frm 00134
Fmt 4703
Sfmt 4703
mechanisms. The text of the proposed
rule change is available on the
Exchange’s Web site at www.nyse.com,
at the principal office of the Exchange,
and at the Commission’s Public
Reference Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
self-regulatory organization included
statements concerning the purpose of,
and basis for, the proposed rule change
and discussed any comments it received
on the proposed rule change. The text
of those statements may be examined at
the places specified in Item IV below.
The Exchange has prepared summaries,
set forth in sections A, B, and C below,
of the most significant parts of such
statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The Exchange adopted the existing
Market Maker Risk Limitation
Mechanism to provide a transactionbased mechanism for limiting a Market
Maker’s risk during periods of increased
and significant trading activity on the
Exchange in the Market Maker’s
appointment.4 The Exchange now
proposes to expand the existing Market
Maker Risk Limitation Mechanism to
make it available for orders from Market
Makers as well as orders from nonMarket Maker OTP Firms and OTP
Holders (‘‘non-Market Makers’’),5 and to
provide for two additional risk
limitation mechanisms (collectively, the
‘‘Risk Limitation Mechanisms’’). The
Exchange is proposing these changes to
permit Market Makers and non-Market
Makers to better manage the risk of
multiple, nearly simultaneous
executions against their proprietary
interest that, in today’s highly
automated and electronic trading
environment, can occur across multiple
series of different option classes.
Consistent with the ability to better
manage risk, the Exchange anticipates
that these changes could enhance the
Exchange’s overall market quality as a
result of narrowed quote widths and
4 See Securities Exchange Act Release No. 54238
(July 28, 2006), 71 FR 44758 (August 7, 2006) (SR–
NYSEArca–2006–13).
5 The Exchange proposes to specify within NYSE
Arca Options Rule 6.40(a) that non-Market Maker
OTP Firms and OTP Holders will be referred to as
‘‘non-Market Makers’’ for purposes of NYSE Arca
Options Rule 6.40.
E:\FR\FM\28AUN1.SGM
28AUN1
Agencies
[Federal Register Volume 77, Number 167 (Tuesday, August 28, 2012)]
[Notices]
[Pages 52097-52098]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-21109]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-67712; File No. SR-EDGA-2012-27]
Self-Regulatory Organizations; EDGA Exchange, Inc.; Order
Approving a Proposed Rule Change, as Modified by Amendment No. 1
Thereto, To Amend EDGA Rules Regarding Market Access
August 22, 2012.
I. Introduction
On June 22, 2012, EDGA Exchange, Inc. (``Exchange'' or ``EDGA'')
filed with the Securities and Exchange Commission (``Commission''),
pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ a proposed rule change to
amend EDGA rules regarding market access for Sponsored Participants.\3\
The proposed rule change was published for comment in the Federal
Register on July 9, 2012.\4\ The Commission received no comment letters
regarding the proposed rule change. On July 31, 2012, the Exchange
filed Amendment No. 1 to the proposed rule change.\5\ This order
approves the proposed rule change, as modified by Amendment No. 1
thereto.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
\3\ EDGA Rule 1.5(z) defines ``Sponsored Participant'' as ``a
person which has entered into a sponsorship arrangement with a
Sponsoring Member pursuant to Rule 11.3.'' As discussed below, the
Exchange proposes to amend the definition of Sponsored Participant
as part of the instant proposed rule change.
\4\ See Securities Exchange Act Release No. 67332 (July 2,
2012), 77 FR 40396 (``Notice'').
\5\ In Amendment No. 1, the Exchange made a technical change to
Rule 1.5(z) in Exhibit 5. Because Amendment No. 1 does not
materially alter the substance of the proposed rule change,
Amendment No. 1 is not subject to notice and comment.
---------------------------------------------------------------------------
II. Description of the Proposal
EDGA Rule 11.3(b) sets forth the requirements for Sponsored
Participants to obtain authorized access to the Exchange's System.\6\ A
Sponsored Participant may obtain authorized access by entering into and
maintaining customer agreements with one or more Sponsoring Members \7\
through which the Sponsored Participant may trade on the Exchange's
System.\8\ The customer agreements must incorporate the provisions of
Rule 11.3(b)(2).\9\ In addition, the Sponsoring Member must provide
EDGA with a written statement identifying each Sponsored Participant by
name and acknowledging its responsibility for the orders, executions,
and actions of the Sponsored Participants.\10\
---------------------------------------------------------------------------
\6\ EDGA Rule 1.5(cc) defines ``System'' as ``the electronic
communications and trading facility designated by the Board through
which securities orders of Users are consolidated for ranking,
execution and, when applicable, routing away.''
\7\ EDGA Rule 1.5(aa) defines ``Sponsoring Member'' as ``a
Member that is a registered broker-dealer and that has been
designated by a Sponsored Participant to execute, clear and settle
transactions resulting from the System.''
\8\ See EDGA Rule 11.3(b).
\9\ See Notice, supra note 4, at 40397.
\10\ See EDGA Rule 11.3(b)(3).
---------------------------------------------------------------------------
EDGA proposes to amend Rule 1.5(z), defining Sponsored Participant,
and Rule 11.3(b), related to access by Sponsored Participants, to
clarify the obligations of Sponsoring Members and Sponsored
Participants. EDGA proposes to define Sponsored Participant as ``a
person which has entered into an arrangement with one or more
Sponsoring Members whereby such person obtains authorized access to the
System in accordance with Rule 11.3.'' \11\ In addition, EDGA proposes
to delete certain contractual provisions under Rule 11.3(b) that EDGA
believes are no longer necessary given the obligations applicable to
Sponsoring Members under Rule 15c3-5 under the Act (``Market Access
Rule'').\12\ The Exchange also proposes to amend Rule 11.3(a) to
require that only Members,\13\ and not Users \14\ (which includes
Members as well as their Sponsored Participants), enter into agreements
with the Exchange to obtain authorized access to EDGA's System.\15\
Sponsored Participants, in turn, must enter into and maintain sponsored
or direct access arrangements with one or more Sponsoring Members
establishing the proper relationship(s) and account(s) through which
the Sponsored Participants may trade on the Exchange's System.\16\
---------------------------------------------------------------------------
\11\ See EDGA Rule 1.5(z); Amendment No. 1 at 4.
\12\ 17 CFR 240.15c3-5. See Notice, supra note 4, at 40397. EDGA
proposes to delete the provisions in Rule 11.3(b)(2)(A)-(I), the
second sentence of Rule 11.3(b)(1), and Rule 11.3(b)(3).
\13\ EDGA Rule 1.5(n) defines ``Member'' as ``any registered
broker or dealer, or any person associated with a registered broker
or dealer, that has been admitted to membership in the Exchange.''
\14\ EDGA Rule 1.5(ee) defines ``User'' as ``any Member or
Sponsored Participant who is authorized to obtain access to the
System pursuant to Rule 11.3.''
\15\ See EDGA Rule 11.3(a).
\16\ See EDGA Rule 11.3(b)(1).
---------------------------------------------------------------------------
EDGA also proposes amendments to maintain transparency into who is
accessing the Exchange's System.\17\ Sponsoring Members will need to
maintain a list of Sponsored Participants authorized to access the
Exchange's System pursuant to Rule 11.3, update that list as necessary,
and provide the list to the Exchange upon request.\18\ In addition, the
Exchange proposes to require that Sponsoring Members shall comply with
all requirements of Rule 15c3-5 under the Act \19\ with regard to
market access arrangements with Sponsored Participants.\20\
---------------------------------------------------------------------------
\17\ See Notice, supra note 4, at 40397.
\18\ See EDGA Rule 11.3(b)(2). EDGA is retaining the requirement
in Rule 11.4(a) that all Members maintain a list of Authorized
Traders who may obtain access to the System on behalf of the Member
or the Member's Sponsored Participants, and provide that list to the
Exchange upon request. See Notice, supra note 4, at 40397.
\19\ See 17 CFR 240.15c3-5. Rule 15c3-5 is designed to ensure
that broker-dealers appropriately control the risks associated with
market access, so as not to jeopardize their own financial
condition, that of other market participants, the integrity of
trading on the securities markets, or the stability of the financial
system. See Risk Management Controls for Brokers or Dealers with
Market Access, Securities Exchange Act Release No. 63241 (November
3, 2010), 75 FR 69792 (November 15, 2010) (``Market Access Rule
Adopting Release'').
\20\ See EDGA Rule 11.3(b)(3).
---------------------------------------------------------------------------
[[Page 52098]]
III. Discussion and Commission's Findings
After careful review, the Commission finds that the proposed rule
change, as modified by Amendment No. 1 thereto, is consistent with the
requirements of the Act and the rules and regulations thereunder
applicable to a national securities exchange.\21\ In particular, the
Commission finds that the proposed rule change is consistent with
Section 6(b)(5) of the Act,\22\ which requires, among other things,
that the rules of a national securities exchange be designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and,
in general, to protect investors and the public interest.
---------------------------------------------------------------------------
\21\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
\22\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------
The Commission finds that the instant proposed rule change is
consistent with the Act. The Commission notes that the Exchange
believes the proposal should serve to eliminate potential confusion
regarding the obligations of Sponsoring Members and Sponsored
Participants under Exchange rules. In addition, the Commission notes
that the Exchange proposes to require Sponsoring Members to comply with
Rule 15c3-5 under the Act \23\ with regard to market access
arrangements with Sponsored Participants.\24\ In this regard, the
Commission notes that although the proposal relates to obligations of
Sponsoring Members and Sponsored Participants under the Exchange's
rules, the financial and regulatory risk management controls and
supervisory procedures required by Rule 15c3-5 under the Act \25\ apply
broadly to all forms of market access by broker-dealers that are
exchange members or alternative trading system (``ATS'') subscribers,
including sponsored access, direct market access, and more traditional
agency brokerage arrangements with customers, as well as proprietary
trading.\26\ The application of appropriate risk management controls
and supervisory procedures required by Rule 15c3-5 under the Act \27\
is critically important to maintaining a robust market infrastructure
supporting the protection of investors, investor confidence, and fair,
orderly, and efficient markets for all participants.
---------------------------------------------------------------------------
\23\ 17 CFR 240.15c3-5.
\24\ See EDGA Rule 11.3(b)(3).
\25\ 17 CFR 240.15c3-5.
\26\ See Market Access Rule Adopting Release, supra note 19, 75
FR at 69798.
\27\ 17 CFR 240.15c3-5.
---------------------------------------------------------------------------
IV. Conclusion
It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\28\ that the proposed rule change (SR-EDGA-2012-27), as modified
by Amendment No. 1 thereto, is approved.
---------------------------------------------------------------------------
\28\ 15 U.S.C. 78s(b)(2).
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\29\
---------------------------------------------------------------------------
\29\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-21109 Filed 8-27-12; 8:45 am]
BILLING CODE 8011-01-P