National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-84791 | Dec 11, 2018 | SR-GEMX-2018-41 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete GEMX Section 22 of the Rulebook See Also - Exhibit 5 |
| 34-84745 | Dec 7, 2018 | SR-GEMX-2018-40 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Supplementary Material .02 to Rule 715 See Also - Exhibit 5 |
| 34-84730 | Dec 6, 2018 | SR-GEMX-2018-39 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials See Also - Exhibit 5 |
| 34-84581 | Nov 14, 2018 | SR-GEMX-2018-37 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules Related to Market Maker Quoting Obligations See Also - Exhibit 5 |
| 34-84570 | Nov 9, 2018 | SR-GEMX-2018-36 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules See Also - Exhibit 5 |
| 34-84448 | Oct 18, 2018 | SR-GEMX-2018-33 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Registration, Qualification Examination and Continuing Education Rules See Also - Exhibit 5 |
| 34-84423 | Oct 15, 2018 | SR-GEMX-2018-35 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration, Under Chapter 18 |
| 34-84283 | Sep 25, 2018 | SR-GEMX-2018-29 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Schedule of Fees See Also - Exhibit 5 |
| 34-84238 | Sep 20, 2018 | SR-GEMX-2018-32 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections See Also - Exhibit 5 |
| 34-84202 | Sep 19, 2018 | SR-GEMX-2018-31 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions to Those of an Affiliate Exchange See Also - Exhibit 5 |