National Securities Exchanges
We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
---|---|---|---|---|
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 |
34-83789 | Aug 7, 2018 | SR-GEMX-2018-27 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee See Also - Exhibit 5 |
34-83731 | Jul 27, 2018 | SR-GEMX-2018-26 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Protocol Definitions That Members Use To Enter Quotes and Orders See Also - Exhibit 5 |