Nasdaq BX, Inc. Rulemaking
We encourage the public to submit comments on the following Nasdaq BX, Inc. (BX) 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.
Chronological List
Fourth Quarter |
Third Quarter | Second Quarter | First Quarter
Additional Archives
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009
Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-BX-2019-040 | ||
| 34-87487 | Nov. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2019-039 | ||
| 34-87468 | Nov. 5, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Rules from its Current Rulebook into its New Rulebook Shell
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2019-038 | ||
| 34-87368 | Oct. 21, 2019 | 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
Comments due: November 15, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-037 | ||
| 34-87359 | Oct. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Rule 11890
Comments due: November 14, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-035 | ||
| 34-87271 | Oct. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Equity 7, Section 118(a)
Comments due: November 7, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-033 | ||
| 34-87270 | Oct. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Rules at Chapter VI, Section 6
Comments due: November 7, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-032 | ||
| 34-87213 | Oct. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX's By-Laws
Comments due: October 30, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-034 | ||
| 34-87208 | Oct. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 4121
Comments due: October 30, 2019 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-BX-2019-031 | ||
| 34-87093 | Sep. 24, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule, at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2019-029 | ||
| 34-86840 | Aug. 30, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019
Comments due: September 27, 2019 |
| SR-BX-2019-028 | ||
| 34-86624 | Aug. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Inadvertent Error in a Recent Filing and Amend the BX Options Rules at Chapter 1, Section 1 Definitions
Comments due: September 5, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-027 | ||
| 34-86508 | Jul. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BX Pricing at Options 7, Section 3 Titled BX Options Market - Ports and Other Services
Comments due: August 23, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-026 | ||
| 34-86447 | Jul. 24, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a)
Comments due: August 20, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-025 | ||
| 34-86444 | Jul. 23, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Governing Give Ups on the BX Options Market
Comments due: August 19, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-BX-2019-022 | ||
| 34-86425 | Jul. 22, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange's Existing Membership Rules and to Incorporate by Reference the Membership Rules of The Nasdaq Stock Exchange, LLC
Comments due: August 16, 2019 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-BX-2019-023 | ||
| 34-86221 | Jun. 27, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the BX Options Rules at Chapter IV, Securities Traded on BX
Comments due: July 24, 2019 |
| SR-BX-2019-021 | ||
| 34-86203 | Jun. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize the Exchange's By-Law Provisions Regarding the Size of the Exchange's Board of Directors to Those of the Other Nasdaq, Inc.-owned U.S. Exchanges
Comments due: July 23, 2019 |
| SR-BX-2019-011 | ||
| 34-86194 | Jun. 25, 2019 | Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, Rule 4780, Which is Set to Expire on June 30, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS
Comments due: July 22, 2019 |
| SR-BX-2019-020 | ||
| 34-86137 | Jun. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 (Minimum Increments), to extend through December 31, 2019
Comments due: July 15, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-019 | ||
| 34-86120 | Jun. 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend the Exchange's Credits at Equity 7, Section 118(a)
Comments due: July 12, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-017 | ||
| 34-86060 | Jun. 6, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Routing Rule in BX Chapter VI, Section 11
Comments due: July 3, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-002 | ||
| 34-86051 | Jun. 6, 2019 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: July 3, 2019 |
| SR-BX-2019-016 | ||
| 34-86027 | Jun. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a) to Adopt Pricing for the Recently Adopted SCAR Routing Strategy
Comments due: July 1, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-015 | ||
| 34-85950 | May 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM
Comments due: June 25, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-013 | ||
| 34-85912 | May 22, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a)
Comments due: June 19, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-011 | ||
| 34-85811 | May 9, 2019 | Notice of Filing of Proposed Rule Change to Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, which is Set to Expire on June 30, 2019
Comments due: June 5, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2019-010 | ||
| 34-85726 | Apr. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange's Current Registration, Qualification and Continuing Education Rules
Comments due: May 23, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2019-002 | ||
| 34-85691 | Apr. 18, 2019 | Notice of Filing of Proposed Rule Change to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: May 15, 2019 Comments received are available for this proposal. |
| SR-BX-2019-006 | ||
| 34-85627 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Equity 7, Section 118(a)
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-007 | ||
| 34-85622 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-009 | ||
| 34-85613 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Clearly Erroneous Transactions
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-008 | ||
| 34-85585 | Apr. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 7, 2019 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-BX-2018-025 | ||
| 34-85500 | Apr. 3, 2019 | Notice of Withdrawal of Proposed Rule Change, As Modified By Amendment No. 1, to Make Permanent the Retail Price Improvement Program Pilot, Which is Set to Expire on June 30, 2019 |
| SR-BX-2019-005 | ||
| 34-85454 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5, "Minimum Increments"
Comments due: April 25, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-004 | ||
| 34-85368 | Mar. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New SCAR Routing Option Under Rule 4758
Comments due: April 16, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-003 | ||
| 34-85298 | Mar. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: April 9, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2018-066 | ||
| 34-85213 | Feb. 27, 2019 | Notice of Withdrawal of a Proposed Rule Change to Amend the Exchange's Port Fee Schedule |
| SR-BX-2018-066 | ||
| 34-85152 | Feb. 15, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Exchanges' Port Fee Schedules
Comments due: March 15, 2019 Rebuttal comments due: March 29, 2019 Additional File No.: SR-Phlx-2018-83 |
| SR-BX-2019-001 | ||
| 34-85131 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 2
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2018-069 | ||
| 34-85042 | Feb. 1, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: February 19, 2019 Additional Materials: Exhibit 5 |
Nasdaq BX, Inc. File Number List for 2019
| Release No. | Date | Details |
|---|---|---|
| SR-BX-2019-040 | ||
| 34-87487 | Nov. 7, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2019-039 | ||
| 34-87468 | Nov. 5, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Rules from its Current Rulebook into its New Rulebook Shell
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2019-038 | ||
| 34-87368 | Oct. 21, 2019 | 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
Comments due: November 15, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-037 | ||
| 34-87359 | Oct. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Rule 11890
Comments due: November 14, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-035 | ||
| 34-87271 | Oct. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Equity 7, Section 118(a)
Comments due: November 7, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-034 | ||
| 34-87208 | Oct. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 4121
Comments due: October 30, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-033 | ||
| 34-87270 | Oct. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Rules at Chapter VI, Section 6
Comments due: November 7, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-032 | ||
| 34-87213 | Oct. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX's By-Laws
Comments due: October 30, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-031 | ||
| 34-87093 | Sep. 24, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule, at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2019-029 | ||
| 34-86840 | Aug. 30, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019
Comments due: September 27, 2019 |
| SR-BX-2019-028 | ||
| 34-86624 | Aug. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Inadvertent Error in a Recent Filing and Amend the BX Options Rules at Chapter 1, Section 1 Definitions
Comments due: September 5, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-027 | ||
| 34-86508 | Jul. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BX Pricing at Options 7, Section 3 Titled BX Options Market - Ports and Other Services
Comments due: August 23, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-026 | ||
| 34-86447 | Jul. 24, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a)
Comments due: August 20, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-025 | ||
| 34-86444 | Jul. 23, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Governing Give Ups on the BX Options Market
Comments due: August 19, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-BX-2019-023 | ||
| 34-86221 | Jun. 27, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the BX Options Rules at Chapter IV, Securities Traded on BX
Comments due: July 24, 2019 |
| SR-BX-2019-022 | ||
| 34-86425 | Jul. 22, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange's Existing Membership Rules and to Incorporate by Reference the Membership Rules of The Nasdaq Stock Exchange, LLC
Comments due: August 16, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-021 | ||
| 34-86203 | Jun. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize the Exchange's By-Law Provisions Regarding the Size of the Exchange's Board of Directors to Those of the Other Nasdaq, Inc.-owned U.S. Exchanges
Comments due: July 23, 2019 |
| SR-BX-2019-020 | ||
| 34-86137 | Jun. 18, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 (Minimum Increments), to extend through December 31, 2019
Comments due: July 15, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-019 | ||
| 34-86120 | Jun. 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend the Exchange's Credits at Equity 7, Section 118(a)
Comments due: July 12, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-017 | ||
| 34-86060 | Jun. 6, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Routing Rule in BX Chapter VI, Section 11
Comments due: July 3, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-016 | ||
| 34-86027 | Jun. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a) to Adopt Pricing for the Recently Adopted SCAR Routing Strategy
Comments due: July 1, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-015 | ||
| 34-85950 | May 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM
Comments due: June 25, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-013 | ||
| 34-85912 | May 22, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a)
Comments due: June 19, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-011 | ||
| 34-86194 | Jun. 25, 2019 | Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, Rule 4780, Which is Set to Expire on June 30, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS
Comments due: July 22, 2019 |
| 34-85811 | May 9, 2019 | Notice of Filing of Proposed Rule Change to Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, which is Set to Expire on June 30, 2019
Comments due: June 5, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2019-010 | ||
| 34-85726 | Apr. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange's Current Registration, Qualification and Continuing Education Rules
Comments due: May 23, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2019-009 | ||
| 34-85613 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Clearly Erroneous Transactions
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-008 | ||
| 34-85585 | Apr. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 7, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-007 | ||
| 34-85622 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-006 | ||
| 34-85627 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Equity 7, Section 118(a)
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-005 | ||
| 34-85454 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5, "Minimum Increments"
Comments due: April 25, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-004 | ||
| 34-85368 | Mar. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New SCAR Routing Option Under Rule 4758
Comments due: April 16, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-003 | ||
| 34-85298 | Mar. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: April 9, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2019-002 | ||
| 34-86051 | Jun. 6, 2019 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: July 3, 2019 |
| 34-85691 | Apr. 18, 2019 | Notice of Filing of Proposed Rule Change to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: May 15, 2019 Comments received are available for this proposal. |
| SR-BX-2019-001 | ||
| 34-85131 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 2
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |