Nasdaq BX, Inc. Rulemaking
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Chronological List
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First Quarter
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Chronological List for 2021
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| Release No. | Date | Details |
|---|---|---|
| Second Quarter | ||
| SR-BX-2021-022 | ||
| 34-91864 | May 12, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of BX's Request for PRISM
Comments due: 21 days after publication in the Federal Register |
| SR-BX-2021-020 | ||
| 34-91838 | May 11, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Rules at Options 3, Section 7, Types of Orders and Order and Quote Protocols, and Options 3, Section 15, Risk Protections
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2021-012 | ||
| 34-91830 | May 10, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate its Equity and General Rules from its Current Rulebook into its New Rulebook Shell
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-BX-2021-019 | ||
| 34-91773 | May 5, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of BX's Rule Amendment to Limit Short Term Options Series Intervals to July 1, 2021
Comments due: June 1, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-018 | ||
| 34-91750 | May 4, 2021 | 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 Additional Materials: Exhibit 5 |
| SR-BX-2021-015 | ||
| 34-91671 | Apr. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 2, "BX Options Market- Fees and Rebates"
Comments due: May 21, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-017 | ||
| 34-91658 | Apr. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust
Comments due: May 20, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-014 | ||
| 34-91639 | Apr. 22, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118
Comments due: May 19, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-013 | ||
| 34-91610 | Apr. 19, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 10, Order Book Allocation
Comments due: May 14, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-016 | ||
| 34-91575 | Apr. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Equity 11, Rule 11890 to the Close of Business on October 20, 2021
Comments due: May 12, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-009 | ||
| 34-91473 | Apr. 5, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Options 7, Section 1, "General Provisions," and Options 7, Section 2, "BX Options Market- Fees and Rebates"
Comments due: April 30, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-008 | ||
| 34-91458 | Apr. 1, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the End of Day Summary Message on Nasdaq Last Sale Plus
Comments due: April 28, 2021 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-BX-2021-006 | ||
| 34-91370 | Mar. 19, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Books and Records Rules and Update Obsolete NASD References in its Rulebook
Comments due: April 15. 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-005 | ||
| 34-91334 | Mar. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 Regarding Reserve Orders
Comments due: April 12, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-003 | ||
| 34-91226 | Mar. 1, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various BX Options Rules
Comments due: March 26, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-002 | ||
| 34-91139 | Feb. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: March 15, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2020-033 | ||
| 34-91124 | Feb. 12, 2021 | Order Granting Approval of a Proposed Rule Change to Utilize the FIX Protocol to Submit Orders to BX's Price Improvement Auction Mechanism |
| SR-BX-2020-032 | ||
| 34-91125 | Feb. 12, 2021 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Options 4, Section 5, to Limit Short Term Options Series Intervals between Strikes That Are Available for Quoting and Trading on BX
Comments due: March 12, 2021 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-BX-2021-001 | ||
| 34-90936 | Jan. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the BX Options Pricing Schedule
Comments due: February 12, 2021 Additional Materials: Exhibit 5 |
File Number List for 2020
| Release No. | Date | Details |
|---|---|---|
| SR-BX-2021-022 | ||
| 34-91864 | May 12, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of BX's Request for PRISM
Comments due: 21 days after publication in the Federal Register |
| SR-BX-2021-020 | ||
| 34-91838 | May 11, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Rules at Options 3, Section 7, Types of Orders and Order and Quote Protocols, and Options 3, Section 15, Risk Protections
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2021-019 | ||
| 34-91773 | May 5, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of BX's Rule Amendment to Limit Short Term Options Series Intervals to July 1, 2021
Comments due: June 1, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-018 | ||
| 34-91750 | May 4, 2021 | 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 Additional Materials: Exhibit 5 |
| SR-BX-2021-017 | ||
| 34-91658 | Apr. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust
Comments due: May 20, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-016 | ||
| 34-91575 | Apr. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Equity 11, Rule 11890 to the Close of Business on October 20, 2021
Comments due: May 12, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-015 | ||
| 34-91671 | Apr. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 2, "BX Options Market- Fees and Rebates"
Comments due: May 21, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-014 | ||
| 34-91639 | Apr. 22, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118
Comments due: May 19, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-013 | ||
| 34-91610 | Apr. 19, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 10, Order Book Allocation
Comments due: May 14, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-012 | ||
| 34-91830 | May 10, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate its Equity and General Rules from its Current Rulebook into its New Rulebook Shell
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-BX-2021-009 | ||
| 34-91473 | Apr. 5, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Options 7, Section 1, "General Provisions," and Options 7, Section 2, "BX Options Market- Fees and Rebates"
Comments due: April 30, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-008 | ||
| 34-91458 | Apr. 1, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the End of Day Summary Message on Nasdaq Last Sale Plus
Comments due: April 28, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-006 | ||
| 34-91370 | Mar. 19, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Books and Records Rules and Update Obsolete NASD References in its Rulebook
Comments due: April 15, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-005 | ||
| 34-91334 | Mar. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 Regarding Reserve Orders
Comments due: April 12, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-003 | ||
| 34-91226 | Mar. 1, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various BX Options Rules
Comments due: March 26, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2021-002 | ||
| 34-91139 | Feb. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: March 15, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2021-001 | ||
| 34-90936 | Jan. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the BX Options Pricing Schedule
Comments due: February 12, 2021 Additional Materials: Exhibit 5 |