National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-82128 | Nov 20, 2017 | SR-GEMX-2017-51 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders See Also - Exhibit 5 |
| 34-82131 | Nov 20, 2017 | SR-GEMX-2017-52 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Directed Order Functionality See Also - Exhibit 5 |
| 34-82049 | Nov 9, 2017 | SR-PHLX-2017-37, SR-PEARL-2017-20, SR-NYSEMKT-2017-26, SR-NYSEArca-2017-52, SR-NYSE-2017-22, SR-NASDAQ-2017-046, SR-MRX-2017-04, SR-MIAX-2017-18, SR-ISE-2017-45, SR-IEX-2017-16, SR-GEMX-2017-17, SR-FINRA-2017-011, SR-CHX-2017-08, SR-CBOE-2017-040, SR-C2-2017-017, SR-BX-2017-023, SR-BOX-2017-16, SR-BatsEDGX-2017-22, SR-BatsEDGA-2017-13, SR-BatsBZX-2017-38, SR-BatsBYX-2017-11 | NASDAQ OMX PHLX, Nasdaq PHLX LLC (Phlx), MIAX PEARL, LLC (PEARL), NYSE MKT (NYSEMKT), NYSE Arca (NYSEARCA), New York Stock Exchange LLC (NYSE), The Nasdaq Stock Market LLC (NASDAQ), Nasdaq MRX, LLC (MRX), Miami International Securities Exchange, LLC (MIAX), Nasdaq ISE, LLC (ISE), Investors Exchange LLC (IEX), Nasdaq GEMX, LLC (GEMX), Financial Industry Regulatory Authority (FINRA), Chicago Stock Exchange, Inc. (CHX), Cboe Exchange, Inc. (CBOE), Cboe C2 Exchange, Inc. (C2), Nasdaq BX, Inc. (BX), BOX Exchange LLC (BOX), Bats EDGX Exchange, Inc. (BatsEDGX), Bats EDGA Exchange, Inc. (BatsEDGA), Bats BZX Exchange, Inc. (BatsBZX), Bats BYX Exchange, Inc. (BatsBYX) | Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail View Received Comments See Also - Rel. No. 34-80821, Rel. No. 34-81067, Rel. No. 34-80822, Rel. No. 34-80784, Rel. No. 34-82267, Rel. No. 34-80786, Rel. No. 34-80785, Rel. No. 34-82253, Rel. No. 34-80715, Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail, Rel. No. 34-82255, Rel. No. 34-80726, Rel. No. 34-80696, Rel. No. 34-80697, Rel. No. 34-80713, Rel. No. 34-80693, Rel. No. 34-80698, Rel. No. 34-80694, Rel. No. 34-80725, Rel. No. 34-82252, Rel. No. 34-82266, Rel. No. 34-80675, Rel. No. 34-82254, Rel.No. 34-82251, Rel. No. 34-80809, Rel. No. 34-80721, Rel. No. 34-82270, Rel. No. 34-82272, Rel. No. 34-80710, Rel. No. 34-80676, Rel. No. 34-82287, Rel. No. 34-82286, Rel. No. 34-82260, Rel. No. 34-82264, Rel. No. 34-82262, Rel. No. 34-82271, Rel. No. 34-82273, Rel. No. 34-82256, Rel. No. 34-82261, Rel. No. 34-82265, Rel. No. 34-82263, Rel. No. 34-80691, Rel. No. 34-82257 |
| 34-81970 | Oct 27, 2017 | SR-GEMX-2017-50 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection See Also - Exhibit 5 |
| 34-81935 | Oct 24, 2017 | SR-GEMX-2017-49 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 To Remove Obsolete Rule Text See Also - Exhibit 5 |
| 34-81902 | Oct 19, 2017 | SR-GEMX-2017-48 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees See Also - Exhibit 5 |
| 34-81881 | Oct 16, 2017 | SR-GEMX-2017-44 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees To Increase the Monthly Cap on the Fees Assessed for Specialized Quote Feed and SQF Purge Ports That Market Makers Utilize To Connect to the Exchange See Also - Exhibit 5 |
| 34-81802 | Oct 3, 2017 | SR-GEMX-2017-37 | Nasdaq GEMX, LLC (GEMX) | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges View Received Comments See Also - Rel. No. 34-81422 |
| 34-81770 | Sep 29, 2017 | SR-GEMX-2017-43 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 716(c) on the Block Order Mechanism See Also - Exhibit 5 |
| 34-81756 | Sep 28, 2017 | SR-GEMX-2017-40 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Make It Clear That the Nasdaq GEMX Trades Feed Is a Free Offering of the Exchange See Also - Exhibit 5 |