National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-92227 | Jun 22, 2021 | SR-GEMX-2021-05 | Nasdaq GEMX, LLC (GEMX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options 2, Section 4 (Obligations of Market Makers) Comments Due: July 19, 2021 See Also - Exhibit 5 Submit a Comment on SR-GEMX-2021-05
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| 34-92207 | Jun 17, 2021 | SR-PHLX-2021-25, SR-NASDAQ-2021-029, SR-MRX-2021-05, SR-ISE-2021-08, SR-GEMX-2021-03, SR-CboeEDGX-2021-024, SR-CboeEDGA-2021-010, SR-CboeBZX-2021-034, SR-CboeBYX-2021-011, SR-CBOE-2021-030, SR-C2-2021-008, SR-BX-2021-018 | Nasdaq PHLX LLC (Phlx), NASDAQ OMX PHLX, The Nasdaq Stock Market LLC (NASDAQ), Nasdaq MRX, LLC (MRX), Nasdaq ISE, LLC (ISE), Nasdaq GEMX, LLC (GEMX), Cboe EDGX Exchange, Inc. (CboeEDGX), Cboe EDGA Exchange, Inc. (CboeEDGA), Cboe BZX Exchange, Inc. (CboeBZX), Cboe BYX Exchange, Inc. (CboeBYX), Cboe Exchange, Inc. (CBOE), Cboe C2 Exchange, Inc. (C2), Nasdaq BX, Inc. (BX) | Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes 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: July 15, 2021 Rebuttal comments due: July 29, 2021 |
| 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 |
| 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 |