National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-99365 | Jan 17, 2024 | SR-GEMX-2024-02 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing of a Proposed Rule Change to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail; Suspension of and Order Instituting Proceedings to Determine W Comments Due: by March 5, 2024. Rebuttal comments should be submitted by March 19, 2024. View Received Comments See Also - Exhibit 5 Submit a Comment on SR-GEMX-2024-02
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| 34-99190 | Dec 15, 2023 | SR-GEMX-2023-19 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 6 Comments Due: January 11, 2024 See Also - Exhibit 5 |
| 34-99172 | Dec 14, 2023 | SR-GEMX-2023-20 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees for Options on the Nasdaq 100 Index in the Exchange's Pricing Schedule at Options 7 Comments Due: January 10, 2024 See Also - Exhibit 5 |
| 34-99129 | Dec 11, 2023 | SR-GEMX-2023-17 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its GPS Antenna Fees at General 8, Section 1 Comments Due: January 5, 2024 See Also - Exhibit 5 |
| 34-98924 | Nov 14, 2023 | SR-GEMX-2023-14 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX Options 7, Section 4 to Amend Route-Out Fees Comments Due: December 11, 2023 |
| 34-98866 | Nov 6, 2023 | SR-GEMX-2023-13 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule at Options 7 to Specify Pricing Related to Unrelated Market or Marketable Interest Comments Due: December 4, 2023 See Also - Exhibit 5 |
| 34-98749 | Oct 13, 2023 | SR-GEMX-2023-12 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its GPS Antenna Fees at General 8, Section 1 Comments Due: November 9, 2023 See Also - Exhibit 5 |
| 34-98444 | Sep 20, 2023 | SR-GEMX-2023-11 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 13 Related to PIM Comments Due: October 17, 2023 See Also - Exhibit 5 |
| 34-98090 | Aug 8, 2023 | SR-GEMX-2023-10 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Stockholders' Agreement by and Among Nasdaq, Inc., Adenza Parent, LP, and the Other Parties Thereto Comments Due: September 5, 2023 |
| 34-98056 | Aug 4, 2023 | SR-GEMX-2023-09 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce GEMX's Options Regulatory Fee Comments Due: August 31, 2023 See Also - Exhibit 5 |