National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-87818 | Dec 20, 2019 | SR-GEMX-2019-17 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled "Off-Exchange RWA Transfers" at GEMX Options 6, Section 6 See Also - Exhibit 5 |
| 34-87753 | Dec 16, 2019 | SR-GEMX-2019-19 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 (Minimum Trading Increments) See Also - Exhibit 5 |
| 34-87413 | Oct 29, 2019 | SR-GEMX-2019-15 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, the Exchange's Kill Switch Risk Protection See Also - Exhibit 5 |
| 34-87371 | Oct 21, 2019 | SR-GEMX-2019-16 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility See Also - Exhibit 5 |
| 34-87231 | Oct 4, 2019 | SR-GEMX-2019-14 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Rulebook and By-Laws See Also - Exhibit 5 |
| 34-87180 | Oct 1, 2019 | SR-GEMX-2019-13 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Submission of Quotes and Orders See Also - Exhibit 5 |
| 34-86946 | Sep 12, 2019 | SR-GEMX-2019-10 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Priority of Quotes and Orders Rule See Also - Exhibit 5 |
| 34-86426 | Jul 22, 2019 | SR-GEMX-2019-09 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules) See Also - Exhibit 5 |
| 34-86346 | Jul 10, 2019 | SR-GEMX-2019-08 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From Its Current Rulebook Into Its New Rulebook Shell See Also - Exhibit 5 |
| 34-86149 | Jun 19, 2019 | SR-GEMX-2019-07 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend a Pilot Program See Also - Exhibit 5 |