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 |
|---|---|---|---|---|
| 34-86063 | Jun 7, 2019 | SR-GEMX-2019-06 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions See Also - Exhibit 3, Exhibit 5 |
| 34-85737 | Apr 26, 2019 | SR-GEMX-2019-05 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange Registration Rules and Incorporate by Reference The Nasdaq Stock Market Rules at General 4 See Also - Exhibit 5 |
| 34-85609 | Apr 11, 2019 | SR-GEMX-2019-04 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility See Also - Exhibit 5 |
| 34-85481 | Apr 2, 2019 | SR-GEMX-2019-03 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Term "Professional Customer" See Also - Exhibit 5 |
| 34-85462 | Mar 29, 2019 | SR-GEMX-2019-02 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710 To Specify Replacement Issues That May Be Added to the Penny Pilot on a Quarterly Basis Without Altering the Expiration Date of the Pilot See Also - Exhibit 5 |
| 34-85140 | Feb 14, 2019 | SR-GEMX-2019-01 | 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 |
| 34-85024 | Feb 1, 2019 | SR-GEMX-2018-45 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations See Also - Exhibit 5 |
| 34-84955 | Dec 26, 2018 | SR-GEMX-2018-44 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program See Also - Exhibit 5 |
| 34-84934 | Dec 21, 2018 | SR-GEMX-2018-43 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 View Received Comments See Also - Exhibit 5 |
| 34-84860 | Dec 19, 2018 | SR-GEMX-2018-42 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers Trading in Non-Appointed Options Classes See Also - Exhibit 5 |