National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-91764 | May 4, 2021 | SR-GEMX-2021-04 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings Comments Due: June 1, 2021 Submit a Comment on SR-GEMX-2021-04
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| 34-91756 | May 4, 2021 | SR-GEMX-2021-03 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Comments Due: June 1, 2021 See Also - Exhibit 5 |
| 34-91672 | Apr 26, 2021 | SR-GEMX-2021-02 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange Membership Rules and Incorporate by Reference the Membership Rules of The Nasdaq Stock Market LLC Comments Due: May 21, 2021 See Also - Exhibit 5 |
| 34-91408 | Mar 25, 2021 | SR-GEMX-2021-01 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Rules in Options 3 Comments Due: April 21, 2021 See Also - Exhibit 5 |
| 34-90755 | Dec 21, 2020 | SR-GEMX-2020-21 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize Exchange Rule General 3, Section 2 With Recent Changes by the Financial Industry Regulatory Authority, Inc. |
| 34-89576 | Aug 17, 2020 | SR-GEMX-2020-19 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 5 (Transfer of Positions) See Also - Exhibit 5 |
| 34-89391 | Jul 24, 2020 | SR-GEMX-2020-18 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3 See Also - Exhibit 5 |
| 34-89162 | Jun 26, 2020 | SR-GEMX-2020-16 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options See Also - Exhibit 5 |
| 34-89071 | Jun 15, 2020 | SR-GEMX-2020-15 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the GEMX Disciplinary Rules in General 5 To Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules View Received Comments See Also - Exhibit 5 |
| 34-89048 | Jun 11, 2020 | SR-GEMX-2020-14 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule at Options 7, Sections 3 and 4 See Also - Exhibit 5 |