Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Edge Routed Liquidity Report, 55248-55251 [2012-22015]
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55248
Federal Register / Vol. 77, No. 174 / Friday, September 7, 2012 / Notices
21, 2012, EDGA Exchange, Inc. (the
‘‘Exchange’’ or ‘‘EDGA’’) filed with the
Securities and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Items I and II
below, which items have been prepared
by the Exchange. The Commission is
publishing this notice to solicit
comments on the proposed rule change
from interested persons.
[FR Doc. 2012–22022 Filed 9–6–12; 8:45 am]
BILLING CODE 8011–01–C
SECURITIES AND EXCHANGE
COMMISSION
[File No. 500–1]
eHydrogen Solutions, Inc., and
ChromoCure, Inc.; Order of
Suspension of Trading
September 5, 2012.
It appears to the Securities and
Exchange Commission that there is a
lack of current and accurate information
concerning the securities of eHydrogen
Solutions, Inc. (EHYD) because of
questions concerning the adequacy of
publicly available information about the
company.
It appears to the Securities and
Exchange Commission that there is a
lack of current and accurate information
concerning the securities of
ChromoCure, Inc. (KKUR) because of
questions concerning the adequacy of
publicly available information about the
company.
The Commission is of the opinion that
the public interest and the protection of
investors require a suspension of trading
in the securities of the above-listed
companies.
Therefore, it is ordered, pursuant to
Section 12(k) of the Securities Exchange
Act of 1934, that trading in the
securities of the above-listed companies
is suspended for the period from 9:30
a.m. e.d.t., on September 5, 2012
through 11:59 p.m. e.d.t., on September
18, 2012.
By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2012–22168 Filed 9–5–12; 4:15 pm]
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–67765; File No. SR–EDGA–
2012–38]
srobinson on DSK4SPTVN1PROD with NOTICES
Self-Regulatory Organizations; EDGA
Exchange, Inc.; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change Relating to Edge Routed
Liquidity Report
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (the
‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on August
1 15
2 17
U.S.C. 78s(b)(1).
CFR 240.19b–4.
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17:04 Sep 06, 2012
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
Exchange 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 these
statements may be examined at the
places specified in Item IV below. The
self-regulatory organization has
prepared summaries, set forth in
Sections A, B and C below, of the most
significant aspects of such statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, Proposed Rule
Change
BILLING CODE 8011–01–P
August 31, 2012.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to offer a new
Exchange market data product, Edge
Routed Liquidity Report (‘‘Edge Routed
Liquidity Report’’ or the ‘‘Service’’) to
Members 3 and non-Members of the
Exchange (collectively referred to as
‘‘Subscribers’’). The Exchange proposes
to add a description of the Edge Routed
Liquidity Report to new Rule 13.9. The
text of the proposed rule change is
attached as Exhibit 5 and is available on
the Exchange’s Web site at
www.directedge.com, at the Exchange’s
principal office, and at the Public
Reference Room of the Commission.
1. Purpose
The purpose of the proposed rule
change is to begin offering Edge Routed
Liquidity Report, a data feed that
contains historical order information for
orders routed to away destinations by
the Exchange. Edge Routed Liquidity
Report will be a data feed product that
provides routed order information to
Subscribers on the morning of the
following trading day (T + 1), including:
Limit price, routed quantity, symbol,
side (bid/offer), time of routing, and the
National Best Bid and Offer (NBBO) at
the time of routing.
3 A Member is any registered broker or dealer that
has been admitted to membership in the Exchange.
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The Exchange will make Edge Routed
Liquidity Report available to all
Subscribers via subscription through
secure Internet connections. Edge
Routed Liquidity Report will be offered
as either a standard report (the
‘‘Standard Report’’) or a premium report
(the ‘‘Premium Report’’). Both the
Standard Report and the Premium
Report will provide Subscribers with a
view of all marketable orders that are
routed to away destinations by the
Exchange. However, the Premium
Report will also identify the routing
destination as either directed to a
destination that is not an exchange
(‘‘Non-Exchange Destination’’) or
directed to another exchange. For orders
that are routed to a Non-Exchange
Destination, the Premium Report will
indicate the nature of any liquidity the
originating routing strategy seeks.
Purchasers of Edge Routed Liquidity
Report will be able to elect to obtain
data on a rolling thirty (30) day
subscription or a calendar month
request for as many months as desired.
The Exchange is proposing to charge
Subscribers a fee in the amount of
$500.00/month for a rolling thirty (30)
day Standard Report and $500.00/
month for a calendar month request.
With respect to the Premium Report, the
Exchange is proposing to charge
Subscribers a fee in the amount of
$1,500.00/month for a rolling thirty (30)
day Premium Report and $1,500.00/
month for a calendar month request.
Edge Routed Liquidity Report will be
provided to Subscribers for internal use
only, and thus, no redistribution will be
permitted. Edge Routed Liquidity
Report can be used by market
participants to improve their trading
and order routing strategies by being
able to discern missed trading
opportunities if a Member had been
present on the EDGA book.
Edge Routed Liquidity Report will
provide an indication of the quantity/
quality of the order flow that Members
of the Exchange could have interacted
with if they had additional posted
liquidity on the Exchange’s book. The
purpose of Edge Routed Liquidity
Report is to allow Subscribers to
identify missed opportunities so that
they can make the necessary trading
system changes to better interact with
missed liquidity. By making the Edge
Routed Liquidity Report data available,
the Exchange enhances market
transparency and fosters competition
among orders and markets.
Historical data can be used for a
variety of purposes, such as to support
financial market research and analysis
as well as back-testing of new trading
strategies to gauge effectiveness. The
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Federal Register / Vol. 77, No. 174 / Friday, September 7, 2012 / Notices
Exchange notes that various historical
data products are offered by the
Exchange and other market centers as
discussed below.4
The Exchange intends to implement
the proposed rule change on or about
September 4, 2012 and will announce
its availability via an information
circular to be posted on the Exchange’s
Web site.
2. Statutory Basis
srobinson on DSK4SPTVN1PROD with NOTICES
The proposed rule change is
consistent with the requirements of the
Act 5 and the rules and regulations
thereunder that are applicable to a
national securities exchange. The bases
under the Act for the proposed rule
change are: (1) The requirement under
Section 6(b)(4) 6 that an exchange have
rules that provide for the equitable
allocation of reasonable dues, fees and
other charges among its members and
other persons using its facilities; and (2)
the requirement under Section 6(b)(5) 7
that the rules of an exchange be
designed to promote just and equitable
principles of trade and not to permit
unfair discrimination between
customers, issuers, brokers or dealers.
Indeed, the Exchange believes that the
proposed change is consistent with
Section 6(b)(4) of the Act 8 because it
provides an equitable allocation of
reasonable dues, fees and other charges
among the Subscribers of the Exchange
data. Edge Routed Liquidity Report is
optional and fees charged for the
Service will be the same for both
Member and non-Member Subscribers.
Furthermore, as the Service will be
provided in multiple packages, the
Exchange intends to allow the purchase
of such access in the manner that best
meets the needs of, and is most cost
efficient for, each respective Subscriber.
4 See Securities Exchange Act Release No. 61885
(April 9, 2010), 75 FR 20018 (April 16, 2010) (SR–
BATS–2010–002) (adopting BATS market data
products, including BATS Historical Data
Products); see also, NYSE Technologies, Market
Data, www.nyxdata.com (providing information
regarding historical data products offered by the
New York Stock Exchange (‘‘NYSE’’); see also,
NASDAQ Rules 7022 and 7023 (establishing fees for
Historical Research and Administrative Reports and
NASDAQ Depth-of-Book Data); see also, Securities
Exchange Act Release No. 61416 (January 25, 2010),
75 FR 5821 (February 4, 2010) (SR–NASDAQ–
2010–010) (relating to NASDAQ rule governing
Historical ModelView product); see also, Securities
Exchange Act Release No. 66403 (February 15,
2012), 77 FR 10593 (February 22, 2012) (SR–EDGA–
2012–05) (adopting EdgeBook Cloud service); see
also, Securities Exchange Act Release No. 66402
(February 15, 2012), 77 FR 10595 (February 22,
2012) (SR–EDGX–2012–05) (adopting EdgeBook
Cloud service).
5 15 U.S.C. 78f.
6 15 U.S.C. 78f(b)(4).
7 15 U.S.C. 78f(b)(5).
8 15 U.S.C. 78f(b)(4).
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The fees for Edge Routed Liquidity
Report are uniform except with respect
to reasonable distinctions with respect
to Standard Report and the Premium
Report. The Exchange proposes charging
more for the Premium Report than for
the Standard Report because of the
additional features provided on the
Premium Report, as described above.
The fees reflect the differing offerings
that a Subscriber may choose and are
reasonable in light of the benefits of
market transparency and additional
information to aid Subscribers in
developing or modifying their trading
strategies.
The revenue generated by Edge
Routed Liquidity Report will pay for the
development, marketing, technical
infrastructure and operating costs of the
Service, an important tool for market
participants to use for purposes of
analysis, research and testing. Profits
generated above these costs will help
offset the costs that the Exchange incurs
in operating and regulating a highly
efficient and reliable platform for the
trading of U.S. equities. This increased
revenue stream will allow the Exchange
to offer an innovative Service at a
reasonable rate, consistent with other
self-regulatory organizations (‘‘SROs’’)
who provide similar types of historical
market data products.9 Furthermore, the
fees are fair and reasonable because
competition provides an effective
constraint on the market data fees that
the Exchange has the ability and
incentive to charge for its market data
products.10
The Exchange believes that the
proposed rule change is also consistent
with the objectives of Section 6(b)(5) of
the Act,11 which requires, among other
things, that the Exchange’s rules are not
designed to unfairly discriminate
between customers, issuers, brokers or
dealers and are designed to prevent
9 See Securities Exchange Act Release No. 61885
(April 9, 2010), 75 FR 20018 (April 16, 2010) (SR–
BATS–2010–002) (adopting BATS market data
products, including BATS Historical Data
Products); see also, NYSE Technologies, Market
Data, www.nyxdata.com (providing information
regarding historical data products offered by the
NYSE; see also, NASDAQ Rules 7022 and 7023
(establishing fees for Historical Research and
Administrative Reports and NASDAQ Depth-ofBook Data); see also, Securities Exchange Act
Release No. 61416 (January 25, 2010), 75 FR 5821
(February 4, 2010) (SR–NASDAQ–2010–010)
(relating to NASDAQ rule governing Historical
ModelView product); see also, Securities Exchange
Act Release No. 66403 (February 15, 2012), 77 FR
10593 (February 22, 2012) (SR–EDGA–2012–05)
(adopting EdgeBook Cloud service); see also,
Securities Exchange Act Release No. 66402
(February 15, 2012), 77 FR 10595 (February 22,
2012) (SR–EDGX–2012–05) (adopting EdgeBook
Cloud service).
10 Id.
11 15 U.S.C. 78f(b)(5).
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55249
fraudulent and manipulative acts and
practices, to promote just and equitable
principles of trade, to foster cooperation
and coordination with persons engaged
in regulating, clearing, settling,
processing information with respect to,
and facilitating transactions in
securities, 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
Exchange believes that this proposal is
in keeping with those principles by
promoting increased transparency
through the dissemination of an
additional market data product and by
announcing its availability via
information circular. In addition, the
Exchange is making a voluntary
decision to make this Service available
and through the dissemination of such
market data, the Exchange will provide
market participants with the
opportunity to obtain additional data in
furtherance of their investment
decisions. Purchase of the Service is not
a prerequisite for participation on the
Exchange, nor is membership to the
Exchange a prerequisite to purchase of
the Service. Only those Subscribers that
deem this market data product to be of
sufficient overall value and usefulness
will purchase it. Moreover, the fees will
apply uniformly to all Subscribers of the
Standard Report and Premium Report,
respectively, irrespective of whether the
Subscriber is a Member of the Exchange.
The Exchange is not required by the
Act in the first instance to make the
Service available. The Exchange chooses
to make the Service available as
proposed in order to improve market
quality, to attract order flow, and to
increase market transparency. Once this
filing becomes effective, the Exchange
will be required to continue making the
Service available until such time as the
Exchange changes its rule.
In adopting Regulation NMS, the
Commission granted SROs and brokerdealers (‘‘BDs’’) increased authority and
flexibility to offer new and unique
market data services to the public. The
Commission believed this authority
would expand the amount of data
available to market participants, and
also spur innovation and competition
for the provision of market data. Edge
Routed Liquidity Report appears to be
precisely the sort of market data service
that the Commission envisioned when it
adopted Regulation NMS.12 The Service
12 See Securities Exchange Act Release No. 51808
(June 9, 2005), 70 FR 37496 (June 29, 2005)
(‘‘[E]fficiency is promoted when broker-dealers who
do not need the data beyond the prices, sizes,
market center identifications of the NBBO and
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Federal Register / Vol. 77, No. 174 / Friday, September 7, 2012 / Notices
srobinson on DSK4SPTVN1PROD with NOTICES
will offer routed order-specific data in a
form not previously available to market
data consumers, yet the Service will act
in a manner functionally similar to
market data products offered by the
Exchange and other market centers.13
The Service offers a new, alternative,
innovative, useful and cost-effective
market data product that is consistent
with existing historical type market data
products. It will allow market
participants to purchase useful
historical data from the Exchange while
at the same time enabling the Exchange
to better cover its infrastructure costs
and to improve its market technology
and services. Finally, Edge Routed
Liquidity Report will better enable
market participants to conduct trading/
investment analyses and discern useful
market data concerning routed order
flow to better meet their needs.
By removing unnecessary regulatory
restrictions on the ability of exchanges
to sell their own data, Regulation NMS
advanced the goals of the Act and the
principles reflected in its legislative
history. If the free market should
determine whether proprietary data is
sold to BDs at all, it follows that the
price at which such data is sold should
be set by the market as well.
The recent decision of the United
States Court of Appeals for the District
of Columbia Circuit in NetCoalition v.
SEC, 615 F.3d 525 (DC Cir. 2010),
upheld the Commission’s reliance upon
competitive markets to set reasonable
and equitably allocated fees for market
data. ‘‘In fact, the legislative history
indicates that the Congress intended
that the market system ‘evolve through
the interplay of competitive forces as
unnecessary regulatory restrictions are
removed’ and that the SEC wield its
consolidated last sale information are not required
to receive (and pay for) such data. The Commission
also believes that efficiency is promoted when
broker-dealers may choose to receive (and pay for)
additional market data based on their own internal
analysis of the need for such data.’’).
13 See Securities Exchange Act Release No. 61885
(April 9, 2010), 75 FR 20018 (April 16, 2010) (SR–
BATS–2010–002) (adopting BATS market data
products, including BATS Historical Data
Products); see also, NYSE Technologies, Market
Data, www.nyxdata.com (providing information
regarding historical data products offered by the
NYSE; see also, NASDAQ Rules 7022 and 7023
(establishing fees for Historical Research and
Administrative Reports and NASDAQ Depth-ofBook Data); see also, Securities Exchange Act
Release No. 61416 (January 25, 2010), 75 FR 5821
(February 4, 2010) (SR–NASDAQ–2010–010)
(relating to NASDAQ rule governing Historical
ModelView product); see also, Securities Exchange
Act Release No. 66403 (February 15, 2012), 77 FR
10593 (February 22, 2012) (SR–EDGA–2012–05)
(adopting EdgeBook Cloud service); see also,
Securities Exchange Act Release No. 66402
(February 15, 2012), 77 FR 10595 (February 22,
2012) (SR–EDGX–2012–05) (adopting EdgeBook
Cloud service).
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17:04 Sep 06, 2012
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regulatory power ‘in those situations
where competition may not be
sufficient,’ such as in the creation of a
‘consolidated transactional reporting
system.’ 14 The court agreed with the
Commission’s conclusion that
‘‘Congress intended that ‘competitive
forces should dictate the services and
practices that constitute the U.S.
national market system for trading
equity securities.’ ’’ 15
The Court in NetCoalition, while
upholding the Commission’s conclusion
that competitive forces may be relied
upon to establish the fairness of prices,
nevertheless concluded that the record
in that case did not adequately support
the Commission’s conclusions as to the
competitive nature of the market for
NYSEArca’s data product at issue in
that case. The Exchange believes that
there is substantial evidence of
competition in the marketplace for data
that was not in the record in the
NetCoalition case, and that the
Commission is entitled to rely upon
such evidence in concluding that the
fees established in this filing are the
product of competition, and therefore in
accordance with the relevant statutory
standards.16 Moreover, the Exchange
further notes that the product at issue in
this filing, a historical data product that
is functionally similar to other historical
data products whose fees have been
reviewed and filed with the
Commission,17 is quite different from
14 NetCoalition,
at 535 (quoting H.R. Rep. No. 94–
229, at 92 (1975), as reprinted in 1975 U.S.C.C.A.N.
321, 323).
15 Id.
16 It should also be noted that Section 916 of the
Dodd-Frank Wall Street Reform and Consumer
Protection Act of 2010 (‘‘Dodd-Frank Act’’) has
amended paragraph (A) of Section 19(b)(3) of the
Act, 15 U.S.C. 78s(b)(3), to make it clear that all
exchange fees, including fees for market data, may
be filed by exchanges on an immediately effective
basis. Although this change in the law does not
alter the Commission’s authority to evaluate and
ultimately disapprove exchange rules if it
concludes that they are not consistent with the Act,
it unambiguously reflects a conclusion that market
data fee changes do not require prior Commission
review before taking effect, and that a proceeding
with regard to a particular fee change is required
only if the Commission determines that it is
necessary or appropriate to suspend the fee and
institute such a proceeding.
17 See Securities Exchange Act Release No. 61885
(April 9, 2010), 75 FR 20018 (April 16, 2010) (SR–
BATS–2010–002) (adopting BATS market data
products, including BATS Historical Data
Products); see also, NYSE Technologies, Market
Data, www.nyxdata.com (providing information
regarding historical data products offered by the
NYSE; see also, NASDAQ Rules 7022 and 7023
(establishing fees for Historical Research and
Administrative Reports and NASDAQ Depth-ofBook Data); see also, Securities Exchange Act
Release No. 61416 (January 25, 2010), 75 FR 5821
(February 4, 2010) (SR–NASDAQ–2010–010)
(relating to NASDAQ rule governing Historical
ModelView product); see also, Securities Exchange
Act Release No. 66403 (February 15, 2012), 77 FR
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the NYSEArca depth-of-book data
product at issue in NetCoalition.
Accordingly, any findings of the court
with respect to that product may not be
relevant to the product at issue in this
filing.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
The Exchange does not believe that
the proposed rule change will result in
any burden on competition that is not
necessary or appropriate in furtherance
of the purposes of the Act, as amended.
There is significant competition for
the provision of market data to market
participants, as well as competition for
the orders that generate that data. In
introducing the proposed Service, the
Exchange would be providing an
additional market data product to those
already offered by other market
centers.18
The Service is purely optional and
can be used by Subscribers who see
value in the format in which the Service
presents historical data. Given this, the
Exchange does not believe that the
Service will result in any burden on
competition that is not necessary or
appropriate in furtherance of the
purposes of the Act.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants or Others
The Exchange has not solicited, and
does not intend to solicit, comments on
this proposed rule change. The
Exchange has not received any
unsolicited written comments from its
Members or other interested parties.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule
change does not: (i) Significantly affect
the protection of investors or the public
interest; (ii) impose any significant
burden on competition; and (iii) become
operative for 30 days from the date on
which it was filed, or such shorter time
as the Commission may designate, it has
become effective pursuant to Section
19(b)(3)(A) of the Act19 and Rule 19b–
4(f)(6) thereunder.20
At any time within 60 days of the
filing of the proposed rule change, the
10593 (February 22, 2012) (SR–EDGA–2012–05)
(adopting EdgeBook Cloud service); see also,
Securities Exchange Act Release No. 66402
(February 15, 2012), 77 FR 10595 (February 22,
2012) (SR–EDGX–2012–05) (adopting EdgeBook
Cloud service).
18 Id.
19 15 U.S.C. 78s(b)(3)(A).
20 17 CFR 240.19b–4(f)(6).
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Federal Register / Vol. 77, No. 174 / Friday, September 7, 2012 / Notices
be submitted on or before September 28,
2012.
Commission summarily may
temporarily suspend such rule change if
it appears to the Commission that such
action is necessary or appropriate in the
public interest, for the protection of
investors, or otherwise in furtherance of
the purposes of the Act.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.21
Kevin M. O’Neill,
Deputy Secretary.
IV. Solicitation of Comments
[FR Doc. 2012–22015 Filed 9–6–12; 8:45 am]
Interested persons are invited to
submit written data, views and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
BILLING CODE 8011–01–P
Electronic Comments
Self-Regulatory Organizations; EDGX
Exchange, Inc.; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change Relating to Edge Routed
Liquidity Report
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
EDGA–2012–38 on the subject line.
srobinson on DSK4SPTVN1PROD with NOTICES
Paper Comments
• Send paper comments in triplicate
to Elizabeth M. Murphy, Secretary,
Securities and Exchange Commission,
100 F Street NE., Washington, DC
20549.
All submissions should refer to File
Number SR–EDGA–2012–38. This file
number should be included on the
subject line if email is used. To help the
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
Internet Web site (https://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for Web site viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE.,
Washington, DC 20549, on official
business days between the hours of 10
a.m. and 3 p.m. Copies of such filing
also will be available for inspection and
copying at the principal office of EDGA.
All comments received will be posted
without change; the Commission does
not edit personal identifying
information from submissions. You
should submit only information that
you wish to make available publicly. All
submissions should refer to File
Number SR–EDGA–2012–38 and should
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SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–67766; File No. SR–EDGX–
2012–37]
August 31, 2012.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (the
‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on August
21, 2012, EDGX Exchange, Inc. (the
‘‘Exchange’’ or ‘‘EDGX’’) filed with the
Securities and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Items I and II
below, which items have been prepared
by the Exchange. 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 offer a new
Exchange market data product, Edge
Routed Liquidity Report (‘‘Edge Routed
Liquidity Report’’ or the ‘‘Service’’) to
Members 3 and non-Members of the
Exchange (collectively referred to as
‘‘Subscribers’’). The Exchange proposes
to add a description of the Edge Routed
Liquidity Report to new Rule 13.9. The
text of the proposed rule change is
attached as Exhibit 5 and is available on
the Exchange’s Web site at
www.directedge.com, at the Exchange’s
principal office, and at the Public
Reference Room of the Commission.
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
Exchange included statements
21 17
CFR 200.30–3(a)(12).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
3 A Member is any registered broker or dealer that
has been admitted to membership in the Exchange.
1 15
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55251
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 these
statements may be examined at the
places specified in Item IV below. The
self-regulatory organization has
prepared summaries, set forth in
Sections A, B and C below, of the most
significant aspects of such statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, Proposed Rule
Change
1. Purpose
The purpose of the proposed rule
change is to begin offering Edge Routed
Liquidity Report, a data feed that
contains historical order information for
orders routed to away destinations by
the Exchange. Edge Routed Liquidity
Report will be a data feed product that
provides routed order information to
Subscribers on the morning of the
following trading day (T + 1), including:
Limit price, routed quantity, symbol,
side (bid/offer), time of routing, and the
National Best Bid and Offer (NBBO) at
the time of routing.
The Exchange will make Edge Routed
Liquidity Report available to all
Subscribers via subscription through
secure Internet connections. Edge
Routed Liquidity Report will be offered
as either a standard report (the
‘‘Standard Report’’) or a premium report
(the ‘‘Premium Report’’). Both the
Standard Report and the Premium
Report will provide Subscribers with a
view of all marketable orders that are
routed to away destinations by the
Exchange. However, the Premium
Report will also identify the routing
destination as either directed to a
destination that is not an exchange
(‘‘Non-Exchange Destination’’) or
directed to another exchange. For orders
that are routed to a Non-Exchange
Destination, the Premium Report will
indicate the nature of any liquidity the
originating routing strategy seeks.
Purchasers of Edge Routed Liquidity
Report will be able to elect to obtain
data on a rolling thirty (30) day
subscription or a calendar month
request for as many months as desired.
The Exchange is proposing to charge
Subscribers a fee in the amount of
$500.00/month for a rolling thirty (30)
day Standard Report and $500.00/
month for a calendar month request.
With respect to the Premium Report, the
Exchange is proposing to charge
Subscribers a fee in the amount of
$1,500.00/month for a rolling thirty (30)
day Premium Report and $1,500.00/
month for a calendar month request.
E:\FR\FM\07SEN1.SGM
07SEN1
Agencies
[Federal Register Volume 77, Number 174 (Friday, September 7, 2012)]
[Notices]
[Pages 55248-55251]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-22015]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-67765; File No. SR-EDGA-2012-38]
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change Relating to
Edge Routed Liquidity Report
August 31, 2012.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on August 21, 2012, EDGA Exchange, Inc. (the ``Exchange'' or
``EDGA'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which items have been prepared by the Exchange. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
The Exchange proposes to offer a new Exchange market data product,
Edge Routed Liquidity Report (``Edge Routed Liquidity Report'' or the
``Service'') to Members \3\ and non-Members of the Exchange
(collectively referred to as ``Subscribers''). The Exchange proposes to
add a description of the Edge Routed Liquidity Report to new Rule 13.9.
The text of the proposed rule change is attached as Exhibit 5 and is
available on the Exchange's Web site at www.directedge.com, at the
Exchange's principal office, and at the Public Reference Room of the
Commission.
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\3\ A Member is any registered broker or dealer that has been
admitted to membership in the Exchange.
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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 Exchange 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 these statements may be examined at the places specified in
Item IV below. The self-regulatory organization has prepared summaries,
set forth in Sections A, B and C below, of the most significant aspects
of such statements.
A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, Proposed Rule Change
1. Purpose
The purpose of the proposed rule change is to begin offering Edge
Routed Liquidity Report, a data feed that contains historical order
information for orders routed to away destinations by the Exchange.
Edge Routed Liquidity Report will be a data feed product that provides
routed order information to Subscribers on the morning of the following
trading day (T + 1), including: Limit price, routed quantity, symbol,
side (bid/offer), time of routing, and the National Best Bid and Offer
(NBBO) at the time of routing.
The Exchange will make Edge Routed Liquidity Report available to
all Subscribers via subscription through secure Internet connections.
Edge Routed Liquidity Report will be offered as either a standard
report (the ``Standard Report'') or a premium report (the ``Premium
Report''). Both the Standard Report and the Premium Report will provide
Subscribers with a view of all marketable orders that are routed to
away destinations by the Exchange. However, the Premium Report will
also identify the routing destination as either directed to a
destination that is not an exchange (``Non-Exchange Destination'') or
directed to another exchange. For orders that are routed to a Non-
Exchange Destination, the Premium Report will indicate the nature of
any liquidity the originating routing strategy seeks.
Purchasers of Edge Routed Liquidity Report will be able to elect to
obtain data on a rolling thirty (30) day subscription or a calendar
month request for as many months as desired.
The Exchange is proposing to charge Subscribers a fee in the amount
of $500.00/month for a rolling thirty (30) day Standard Report and
$500.00/month for a calendar month request. With respect to the Premium
Report, the Exchange is proposing to charge Subscribers a fee in the
amount of $1,500.00/month for a rolling thirty (30) day Premium Report
and $1,500.00/month for a calendar month request. Edge Routed Liquidity
Report will be provided to Subscribers for internal use only, and thus,
no redistribution will be permitted. Edge Routed Liquidity Report can
be used by market participants to improve their trading and order
routing strategies by being able to discern missed trading
opportunities if a Member had been present on the EDGA book.
Edge Routed Liquidity Report will provide an indication of the
quantity/quality of the order flow that Members of the Exchange could
have interacted with if they had additional posted liquidity on the
Exchange's book. The purpose of Edge Routed Liquidity Report is to
allow Subscribers to identify missed opportunities so that they can
make the necessary trading system changes to better interact with
missed liquidity. By making the Edge Routed Liquidity Report data
available, the Exchange enhances market transparency and fosters
competition among orders and markets.
Historical data can be used for a variety of purposes, such as to
support financial market research and analysis as well as back-testing
of new trading strategies to gauge effectiveness. The
[[Page 55249]]
Exchange notes that various historical data products are offered by the
Exchange and other market centers as discussed below.\4\
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\4\ See Securities Exchange Act Release No. 61885 (April 9,
2010), 75 FR 20018 (April 16, 2010) (SR-BATS-2010-002) (adopting
BATS market data products, including BATS Historical Data Products);
see also, NYSE Technologies, Market Data, www.nyxdata.com (providing
information regarding historical data products offered by the New
York Stock Exchange (``NYSE''); see also, NASDAQ Rules 7022 and 7023
(establishing fees for Historical Research and Administrative
Reports and NASDAQ Depth-of-Book Data); see also, Securities
Exchange Act Release No. 61416 (January 25, 2010), 75 FR 5821
(February 4, 2010) (SR-NASDAQ-2010-010) (relating to NASDAQ rule
governing Historical ModelView product); see also, Securities
Exchange Act Release No. 66403 (February 15, 2012), 77 FR 10593
(February 22, 2012) (SR-EDGA-2012-05) (adopting EdgeBook Cloud
service); see also, Securities Exchange Act Release No. 66402
(February 15, 2012), 77 FR 10595 (February 22, 2012) (SR-EDGX-2012-
05) (adopting EdgeBook Cloud service).
---------------------------------------------------------------------------
The Exchange intends to implement the proposed rule change on or
about September 4, 2012 and will announce its availability via an
information circular to be posted on the Exchange's Web site.
2. Statutory Basis
The proposed rule change is consistent with the requirements of the
Act \5\ and the rules and regulations thereunder that are applicable to
a national securities exchange. The bases under the Act for the
proposed rule change are: (1) The requirement under Section 6(b)(4) \6\
that an exchange have rules that provide for the equitable allocation
of reasonable dues, fees and other charges among its members and other
persons using its facilities; and (2) the requirement under Section
6(b)(5) \7\ that the rules of an exchange be designed to promote just
and equitable principles of trade and not to permit unfair
discrimination between customers, issuers, brokers or dealers.
---------------------------------------------------------------------------
\5\ 15 U.S.C. 78f.
\6\ 15 U.S.C. 78f(b)(4).
\7\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------
Indeed, the Exchange believes that the proposed change is
consistent with Section 6(b)(4) of the Act \8\ because it provides an
equitable allocation of reasonable dues, fees and other charges among
the Subscribers of the Exchange data. Edge Routed Liquidity Report is
optional and fees charged for the Service will be the same for both
Member and non-Member Subscribers.
---------------------------------------------------------------------------
\8\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------
Furthermore, as the Service will be provided in multiple packages,
the Exchange intends to allow the purchase of such access in the manner
that best meets the needs of, and is most cost efficient for, each
respective Subscriber. The fees for Edge Routed Liquidity Report are
uniform except with respect to reasonable distinctions with respect to
Standard Report and the Premium Report. The Exchange proposes charging
more for the Premium Report than for the Standard Report because of the
additional features provided on the Premium Report, as described above.
The fees reflect the differing offerings that a Subscriber may choose
and are reasonable in light of the benefits of market transparency and
additional information to aid Subscribers in developing or modifying
their trading strategies.
The revenue generated by Edge Routed Liquidity Report will pay for
the development, marketing, technical infrastructure and operating
costs of the Service, an important tool for market participants to use
for purposes of analysis, research and testing. Profits generated above
these costs will help offset the costs that the Exchange incurs in
operating and regulating a highly efficient and reliable platform for
the trading of U.S. equities. This increased revenue stream will allow
the Exchange to offer an innovative Service at a reasonable rate,
consistent with other self-regulatory organizations (``SROs'') who
provide similar types of historical market data products.\9\
Furthermore, the fees are fair and reasonable because competition
provides an effective constraint on the market data fees that the
Exchange has the ability and incentive to charge for its market data
products.\10\
---------------------------------------------------------------------------
\9\ See Securities Exchange Act Release No. 61885 (April 9,
2010), 75 FR 20018 (April 16, 2010) (SR-BATS-2010-002) (adopting
BATS market data products, including BATS Historical Data Products);
see also, NYSE Technologies, Market Data, www.nyxdata.com (providing
information regarding historical data products offered by the NYSE;
see also, NASDAQ Rules 7022 and 7023 (establishing fees for
Historical Research and Administrative Reports and NASDAQ Depth-of-
Book Data); see also, Securities Exchange Act Release No. 61416
(January 25, 2010), 75 FR 5821 (February 4, 2010) (SR-NASDAQ-2010-
010) (relating to NASDAQ rule governing Historical ModelView
product); see also, Securities Exchange Act Release No. 66403
(February 15, 2012), 77 FR 10593 (February 22, 2012) (SR-EDGA-2012-
05) (adopting EdgeBook Cloud service); see also, Securities Exchange
Act Release No. 66402 (February 15, 2012), 77 FR 10595 (February 22,
2012) (SR-EDGX-2012-05) (adopting EdgeBook Cloud service).
\10\ Id.
---------------------------------------------------------------------------
The Exchange believes that the proposed rule change is also
consistent with the objectives of Section 6(b)(5) of the Act,\11\ which
requires, among other things, that the Exchange's rules are not
designed to unfairly discriminate between customers, issuers, brokers
or dealers and are designed to prevent fraudulent and manipulative acts
and practices, to promote just and equitable principles of trade, to
foster cooperation and coordination with persons engaged in regulating,
clearing, settling, processing information with respect to, and
facilitating transactions in securities, 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 Exchange believes that this proposal is in keeping with those
principles by promoting increased transparency through the
dissemination of an additional market data product and by announcing
its availability via information circular. In addition, the Exchange is
making a voluntary decision to make this Service available and through
the dissemination of such market data, the Exchange will provide market
participants with the opportunity to obtain additional data in
furtherance of their investment decisions. Purchase of the Service is
not a prerequisite for participation on the Exchange, nor is membership
to the Exchange a prerequisite to purchase of the Service. Only those
Subscribers that deem this market data product to be of sufficient
overall value and usefulness will purchase it. Moreover, the fees will
apply uniformly to all Subscribers of the Standard Report and Premium
Report, respectively, irrespective of whether the Subscriber is a
Member of the Exchange.
---------------------------------------------------------------------------
\11\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------
The Exchange is not required by the Act in the first instance to
make the Service available. The Exchange chooses to make the Service
available as proposed in order to improve market quality, to attract
order flow, and to increase market transparency. Once this filing
becomes effective, the Exchange will be required to continue making the
Service available until such time as the Exchange changes its rule.
In adopting Regulation NMS, the Commission granted SROs and broker-
dealers (``BDs'') increased authority and flexibility to offer new and
unique market data services to the public. The Commission believed this
authority would expand the amount of data available to market
participants, and also spur innovation and competition for the
provision of market data. Edge Routed Liquidity Report appears to be
precisely the sort of market data service that the Commission
envisioned when it adopted Regulation NMS.\12\ The Service
[[Page 55250]]
will offer routed order-specific data in a form not previously
available to market data consumers, yet the Service will act in a
manner functionally similar to market data products offered by the
Exchange and other market centers.\13\ The Service offers a new,
alternative, innovative, useful and cost-effective market data product
that is consistent with existing historical type market data products.
It will allow market participants to purchase useful historical data
from the Exchange while at the same time enabling the Exchange to
better cover its infrastructure costs and to improve its market
technology and services. Finally, Edge Routed Liquidity Report will
better enable market participants to conduct trading/investment
analyses and discern useful market data concerning routed order flow to
better meet their needs.
---------------------------------------------------------------------------
\12\ See Securities Exchange Act Release No. 51808 (June 9,
2005), 70 FR 37496 (June 29, 2005) (``[E]fficiency is promoted when
broker-dealers who do not need the data beyond the prices, sizes,
market center identifications of the NBBO and consolidated last sale
information are not required to receive (and pay for) such data. The
Commission also believes that efficiency is promoted when broker-
dealers may choose to receive (and pay for) additional market data
based on their own internal analysis of the need for such data.'').
\13\ See Securities Exchange Act Release No. 61885 (April 9,
2010), 75 FR 20018 (April 16, 2010) (SR-BATS-2010-002) (adopting
BATS market data products, including BATS Historical Data Products);
see also, NYSE Technologies, Market Data, www.nyxdata.com (providing
information regarding historical data products offered by the NYSE;
see also, NASDAQ Rules 7022 and 7023 (establishing fees for
Historical Research and Administrative Reports and NASDAQ Depth-of-
Book Data); see also, Securities Exchange Act Release No. 61416
(January 25, 2010), 75 FR 5821 (February 4, 2010) (SR-NASDAQ-2010-
010) (relating to NASDAQ rule governing Historical ModelView
product); see also, Securities Exchange Act Release No. 66403
(February 15, 2012), 77 FR 10593 (February 22, 2012) (SR-EDGA-2012-
05) (adopting EdgeBook Cloud service); see also, Securities Exchange
Act Release No. 66402 (February 15, 2012), 77 FR 10595 (February 22,
2012) (SR-EDGX-2012-05) (adopting EdgeBook Cloud service).
---------------------------------------------------------------------------
By removing unnecessary regulatory restrictions on the ability of
exchanges to sell their own data, Regulation NMS advanced the goals of
the Act and the principles reflected in its legislative history. If the
free market should determine whether proprietary data is sold to BDs at
all, it follows that the price at which such data is sold should be set
by the market as well.
The recent decision of the United States Court of Appeals for the
District of Columbia Circuit in NetCoalition v. SEC, 615 F.3d 525 (DC
Cir. 2010), upheld the Commission's reliance upon competitive markets
to set reasonable and equitably allocated fees for market data. ``In
fact, the legislative history indicates that the Congress intended that
the market system `evolve through the interplay of competitive forces
as unnecessary regulatory restrictions are removed' and that the SEC
wield its regulatory power `in those situations where competition may
not be sufficient,' such as in the creation of a `consolidated
transactional reporting system.' \14\ The court agreed with the
Commission's conclusion that ``Congress intended that `competitive
forces should dictate the services and practices that constitute the
U.S. national market system for trading equity securities.' '' \15\
---------------------------------------------------------------------------
\14\ NetCoalition, at 535 (quoting H.R. Rep. No. 94-229, at 92
(1975), as reprinted in 1975 U.S.C.C.A.N. 321, 323).
\15\ Id.
---------------------------------------------------------------------------
The Court in NetCoalition, while upholding the Commission's
conclusion that competitive forces may be relied upon to establish the
fairness of prices, nevertheless concluded that the record in that case
did not adequately support the Commission's conclusions as to the
competitive nature of the market for NYSEArca's data product at issue
in that case. The Exchange believes that there is substantial evidence
of competition in the marketplace for data that was not in the record
in the NetCoalition case, and that the Commission is entitled to rely
upon such evidence in concluding that the fees established in this
filing are the product of competition, and therefore in accordance with
the relevant statutory standards.\16\ Moreover, the Exchange further
notes that the product at issue in this filing, a historical data
product that is functionally similar to other historical data products
whose fees have been reviewed and filed with the Commission,\17\ is
quite different from the NYSEArca depth-of-book data product at issue
in NetCoalition. Accordingly, any findings of the court with respect to
that product may not be relevant to the product at issue in this
filing.
---------------------------------------------------------------------------
\16\ It should also be noted that Section 916 of the Dodd-Frank
Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank
Act'') has amended paragraph (A) of Section 19(b)(3) of the Act, 15
U.S.C. 78s(b)(3), to make it clear that all exchange fees, including
fees for market data, may be filed by exchanges on an immediately
effective basis. Although this change in the law does not alter the
Commission's authority to evaluate and ultimately disapprove
exchange rules if it concludes that they are not consistent with the
Act, it unambiguously reflects a conclusion that market data fee
changes do not require prior Commission review before taking effect,
and that a proceeding with regard to a particular fee change is
required only if the Commission determines that it is necessary or
appropriate to suspend the fee and institute such a proceeding.
\17\ See Securities Exchange Act Release No. 61885 (April 9,
2010), 75 FR 20018 (April 16, 2010) (SR-BATS-2010-002) (adopting
BATS market data products, including BATS Historical Data Products);
see also, NYSE Technologies, Market Data, www.nyxdata.com (providing
information regarding historical data products offered by the NYSE;
see also, NASDAQ Rules 7022 and 7023 (establishing fees for
Historical Research and Administrative Reports and NASDAQ Depth-of-
Book Data); see also, Securities Exchange Act Release No. 61416
(January 25, 2010), 75 FR 5821 (February 4, 2010) (SR-NASDAQ-2010-
010) (relating to NASDAQ rule governing Historical ModelView
product); see also, Securities Exchange Act Release No. 66403
(February 15, 2012), 77 FR 10593 (February 22, 2012) (SR-EDGA-2012-
05) (adopting EdgeBook Cloud service); see also, Securities Exchange
Act Release No. 66402 (February 15, 2012), 77 FR 10595 (February 22,
2012) (SR-EDGX-2012-05) (adopting EdgeBook Cloud service).
---------------------------------------------------------------------------
B. Self-Regulatory Organization's Statement on Burden on Competition
The Exchange does not believe that the proposed rule change will
result in any burden on competition that is not necessary or
appropriate in furtherance of the purposes of the Act, as amended.
There is significant competition for the provision of market data
to market participants, as well as competition for the orders that
generate that data. In introducing the proposed Service, the Exchange
would be providing an additional market data product to those already
offered by other market centers.\18\
---------------------------------------------------------------------------
\18\ Id.
---------------------------------------------------------------------------
The Service is purely optional and can be used by Subscribers who
see value in the format in which the Service presents historical data.
Given this, the Exchange does not believe that the Service will result
in any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants or Others
The Exchange has not solicited, and does not intend to solicit,
comments on this proposed rule change. The Exchange has not received
any unsolicited written comments from its Members or other interested
parties.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act\19\ and Rule 19b-
4(f)(6) thereunder.\20\
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\19\ 15 U.S.C. 78s(b)(3)(A).
\20\ 17 CFR 240.19b-4(f)(6).
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At any time within 60 days of the filing of the proposed rule
change, the
[[Page 55251]]
Commission summarily may temporarily suspend such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.
IV. Solicitation of Comments
Interested persons are invited to submit written data, views and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:
Electronic Comments
Use the Commission's Internet comment form (https://www.sec.gov/rules/sro.shtml); or
Send an email to rule-comments@sec.gov. Please include
File Number SR-EDGA-2012-38 on the subject line.
Paper Comments
Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549.
All submissions should refer to File Number SR-EDGA-2012-38. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (https://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of EDGA. All comments
received will be posted without change; the Commission does not edit
personal identifying information from submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-EDGA-2012-38 and should be
submitted on or before September 28, 2012.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\21\
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\21\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2012-22015 Filed 9-6-12; 8:45 am]
BILLING CODE 8011-01-P