Nasdaq BX, Inc. Rulemaking
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Chronological List for 2018
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-BX-2018-025 | ||
| 34-84974 | Dec. 26, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Make Permanent the Exchange's Retail Price Improvement Program |
| SR-BX-2018-066 | ||
| 34-84965 | Dec. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 115
Comments due: February 21, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2018-067 | ||
| 34-84952 | Dec. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5
Comments due: February 21, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2018-064 | ||
| 34-84932 | Dec. 21, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 8
Comments due: January 22, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2014-048 | ||
| 34-84846 | Dec. 18, 2018 | Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Price Improvement Program Until June 30, 2019 |
| SR-BX-2018-063 | ||
| 34-84847 | Dec. 18, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Price Improvement Program Until June 30, 2019
Comments due: January 16, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2018-062 | ||
| 34-84833 | Dec. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118
Comments due: January 11, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2018-061 | ||
| 34-84753 | Dec. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Defined Terms "In-the-Money" and "Out-of-the-Money" in BX Options Rules at Chapter I, Section 1
Comments due: January 2, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-060 | ||
| 34-84749 | Dec. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Port Fees
Comments due: January 2, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-058 | ||
| 34-84674 | Nov. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4756(c)(2)
Comments due: December 26, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-057 | ||
| 34-84668 | Nov. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118
Comments due: December 26, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-056 | ||
| 34-84659 | Nov. 27, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Options Exercise and Delivery Rules
Comments due: December 24, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-055 | ||
| 34-84590 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Long-Term Options Contracts
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-052 | ||
| 34-84572 | Nov. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 8 of the Exchange's Rules
Comments due: December 7, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-051 | ||
| 34-84546 | Nov. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Derivative Securities Traded Under Unlisted Trading Privileges
Comments due: December 5, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-049 | ||
| 34-84540 | Nov. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open
Comments due: November 30, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-050 | ||
| 34-84520 | Nov. 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Definitions to Chapter I, Section 1, Titled General Provisions and Also Amend Chapter VI, Section 18, Titled Risk Protections
Comments due: November 28, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-048 | ||
| 34-84476 | Oct. 24, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Current Rules on Arbitration
Comments due: November 20, 2018 |
| SR-BX-2018-025 | ||
| 34-84472 | Oct. 23, 2018 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Retail Price Improvement Program Pilot, Which is Set to Expire on December 31, 2018
Comments due: November 19, 2018 Rebuttal comments due: December 3, 2018 |
| SR-BX-2018-042 | ||
| 34-84354 | Oct. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC
Comments due: October 30, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-047 | ||
| 34-84353 | Oct. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend, Reorganize and Enhance Membership, Registration and Qualification Rules, and to Make Conforming Changes to Certain Other Rules
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2018-046 | ||
| 34-84326 | Oct. 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Pricing Schedule Rules
Comments due: October 26, 2018 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-BX-2018-045 | ||
| 34-84227 | Sep. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Equity Rule 6950 Series Concerning the Order Audit Trail System to Make Conforming and Technical Changes
Comments due: October 16, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2018-044 | ||
| 34-84215 | Sep. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC
Comments due: October 16, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-043 | ||
| 34-84114 | Sep. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees at Rule 7018(a)
Comments due: October 10, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-025 | ||
| 34-84013 | Aug. 31, 2018 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Make Permanent the Exchange's Retail Price Improvement Program, Which is Set to Expire on December 31, 2018 |
| SR-BX-2018-040 | ||
| 34-84012 | Aug. 31, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide New Optional Functionality to Minimum Quantity Orders
Comments due: September 28, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-038 | ||
| 34-83869 | Aug. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Definitions of the Protocols to Enter Quotes and Orders
Comments due: September 13, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-037 | ||
| 34-83833 | Aug. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 7018(a) of the Exchange's Rules
Comments due: September 7, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-036 | ||
| 34-83810 | Aug. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate BX Rule 7039 into the Market Data Enterprise License Proposed by the Nasdaq Stock Market LLC
Comments due: September 5, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-035 | ||
| 34-83770 | Aug. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Options Rules at Chapter I, Section 1 to Define Certain Terms
Comments due: August 30, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-033 | ||
| 34-83700 | Jul. 24, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Rule Concerning Handling of No Bid Options and to Clarify the Operation of Chapter V, Section 3, Entitled "Trading Halts"
Comments due: August 20, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-025 | ||
| 34-83681 | Jul. 20, 2018 | Notice of Filing of Proposed Rule Change to Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program
Comments due: August 16, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2018-032 | ||
| 34-83680 | Jul. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 7018(a) of the Exchange's Rules
Comments due: August 16, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-029 | ||
| 34-83642 | Jul. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Rules at Chapter VII, Section 6 Related to Market Maker Quotations, Section 14 Related to Lead Market Maker Quotations and Section 15 Related to Directed Market Maker Quotations
Comments due: August 10, 2018 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-BX-2018-026 | ||
| 34-83539 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program Until December 31, 2018
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-024 | ||
| 34-83535 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-027 | ||
| 34-83526 | Jun. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Penny Pilot Program
Comments due: July 23, 2018 |
| SR-BX-2018-022 | ||
| 34-83423 | Jun. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Position Limits and Exercise Limits for Options on the SPDR Exchange-Traded Fund
Comments due: July 10, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-021 | ||
| 34-83346 | May 30, 2018 | Notice of Filing and Immediate Effectiveness of the Proposed Rule Change to amend the descriptions of certain data feeds within Chapter VI, Section 19 entitled "Data Feeds and Trade Information."
Comments due: June 26, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2018-019 | ||
| 34-83229 | May 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Order Spread Protection and Reorganize Rule Chapter VI, Seciton 18 Entitled, "Order Price Protections"
Comments due: June 8, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-018 | ||
| 34-83224 | May 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a) to Establish a New Fee for Orders with Midpoint Pegging that Execute at a Price Better than the Midpoint of the NBBO
Comments due: June 8, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-016 | ||
| 34-83199 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Its Order and Execution Information into Chapter VI, Section 19, Entitled Data Feeds
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-017 | ||
| 34-83192 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reorganize and Amend Chapter XV, Section 3, entitled BX Options Market - Ports and Other Services
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-015 | ||
| 34-83081 | Apr. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules into the Rules of Nasdaq BX
Comments due: May 17, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-014 | ||
| 34-83064 | Apr. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarify the Requirements for Delivery of a Contrary Exercise Advice
Comments due: May 16, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-013 | ||
| 34-83059 | Apr. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Duplicative Rules Related to the Consolidated Audit Trail from Its Rulebook
Comments due: May 14, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-012 | ||
| 34-83047 | Apr. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error Within Chapter VI, Section 9 of the BX Rules
Comments due: May 10, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-011 | ||
| 34-83045 | Apr. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018
Comments due: May 10, 2018 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-BX-2018-010 | ||
| 34-82919 | Mar. 22, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5701 Regarding the Requirements for Securities Listed on the Exchange Issued By Nasdaq, Inc. or Its Affiliates.
Comments due: April 17, 2018 |
| SR-BX-2018-009 | ||
| 34-82810 | Mar. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Its Data Feed Offerings
Comments due: March 30, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-008 | ||
| 34-82704 | Feb. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: March 13, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-006 | ||
| 34-82628 | Feb. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 7030, 7034, and 7051
Comments due: March 2, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-007 | ||
| 34-82597 | Jan. 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 23, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-004 | ||
| 34-82574 | Jan. 23, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter IV, Section 3
Comments due: February 20, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-005 | ||
| 34-82567 | Jan. 23, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees at Rule 7023
Comments due: February 20, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-001 | ||
| 34-82545 | Jan. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 4765 and Commentary Thereto to Codify Participant Risk Settings and to Authorize the Exchange to Share those Risk Settings with the Clearing Member that Clears Transactions on behalf of the Participant
Comments due: February 16, 2018 |
| SR-BX-2017-027 | ||
| 34-82524 | Jan. 17, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-BX-2017-023 | ||
| 34-82503 | Jan. 16, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37 |
Nasdaq BX, Inc. File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| 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 |
| SR-BX-2018-067 | ||
| 34-84952 | Dec. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5
Comments due: February 21, 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 |
| 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 |
| 34-84965 | Dec. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 115
Comments due: February 21, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2018-064 | ||
| 34-84932 | Dec. 21, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 8
Comments due: January 22, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2018-063 | ||
| 34-84847 | Dec. 18, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Price Improvement Program Until June 30, 2019
Comments due: January 16, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2018-062 | ||
| 34-84833 | Dec. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118
Comments due: January 11, 2019 Additional Materials: Exhibit 5 |
| SR-BX-2018-061 | ||
| 34-84753 | Dec. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Defined Terms "In-the-Money" and "Out-of-the-Money" in BX Options Rules at Chapter I, Section 1
Comments due: January 2, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-060 | ||
| 34-84749 | Dec. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Port Fees
Comments due: January 2, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-058 | ||
| 34-84674 | Nov. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4756(c)(2)
Comments due: December 26, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-057 | ||
| 34-84668 | Nov. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118
Comments due: December 26, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-056 | ||
| 34-84659 | Nov. 27, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Options Exercise and Delivery Rules
Comments due: December 24, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-055 | ||
| 34-84590 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Long-Term Options Contracts
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-052 | ||
| 34-84572 | Nov. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 8 of the Exchange's Rules
Comments due: December 7, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-051 | ||
| 34-84546 | Nov. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Derivative Securities Traded Under Unlisted Trading Privileges
Comments due: December 5, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-050 | ||
| 34-84520 | Nov. 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Definitions to Chapter I, Section 1, Titled General Provisions and Also Amend Chapter VI, Section 18, Titled Risk Protections
Comments due: November 28, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-049 | ||
| 34-84540 | Nov. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open
Comments due: November 30, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-048 | ||
| 34-84476 | Oct. 24, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Current Rules on Arbitration
Comments due: November 20, 2018 |
| SR-BX-2018-047 | ||
| 34-84353 | Oct. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend, Reorganize and Enhance Membership, Registration and Qualification Rules, and to Make Conforming Changes to Certain Other Rules
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2018-046 | ||
| 34-84326 | Oct. 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Pricing Schedule Rules
Comments due: October 26, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-045 | ||
| 34-84227 | Sep. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Equity Rule 6950 Series Concerning the Order Audit Trail System to Make Conforming and Technical Changes
Comments due: October 16, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2018-044 | ||
| 34-84215 | Sep. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC
Comments due: October 16, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-043 | ||
| 34-84114 | Sep. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees at Rule 7018(a)
Comments due: October 10, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-042 | ||
| 34-84354 | Oct. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC
Comments due: October 30, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-040 | ||
| 34-84012 | Aug. 31, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide New Optional Functionality to Minimum Quantity Orders
Comments due: September 28, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-038 | ||
| 34-83869 | Aug. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Definitions of the Protocols to Enter Quotes and Orders
Comments due: September 13, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-037 | ||
| 34-83833 | Aug. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 7018(a) of the Exchange's Rules
Comments due: September 7, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-036 | ||
| 34-83810 | Aug. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate BX Rule 7039 into the Market Data Enterprise License Proposed by the Nasdaq Stock Market LLC
Comments due: September 5, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-035 | ||
| 34-83770 | Aug. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Options Rules at Chapter I, Section 1 to Define Certain Terms
Comments due: August 30, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-033 | ||
| 34-83700 | Jul. 24, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Rule Concerning Handling of No Bid Options and to Clarify the Operation of Chapter V, Section 3, Entitled "Trading Halts"
Comments due: August 20, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-032 | ||
| 34-83680 | Jul. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 7018(a) of the Exchange's Rules
Comments due: August 16, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-029 | ||
| 34-83642 | Jul. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Rules at Chapter VII, Section 6 Related to Market Maker Quotations, Section 14 Related to Lead Market Maker Quotations and Section 15 Related to Directed Market Maker Quotations
Comments due: August 10, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-027 | ||
| 34-83526 | Jun. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Penny Pilot Program
Comments due: July 23, 2018 |
| 34-83539 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program Until December 31, 2018
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| 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 |
| 34-84974 | Dec. 26, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Make Permanent the Exchange's Retail Price Improvement Program |
| 34-84472 | Oct. 23, 2018 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Retail Price Improvement Program Pilot, Which is Set to Expire on December 31, 2018
Comments due: November 19, 2018 Rebuttal comments due: December 3, 2018 |
| 34-84013 | Aug. 31, 2018 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Make Permanent the Exchange's Retail Price Improvement Program, Which is Set to Expire on December 31, 2018 |
| 34-83681 | Jul. 20, 2018 | Notice of Filing of Proposed Rule Change to Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program
Comments due: August 16, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2018-024 | ||
| 34-83535 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-022 | ||
| 34-83423 | Jun. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Position Limits and Exercise Limits for Options on the SPDR Exchange-Traded Fund
Comments due: July 10, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-021 | ||
| 34-83346 | May 30, 2018 | Notice of Filing and Immediate Effectiveness of the Proposed Rule Change to amend the descriptions of certain data feeds within Chapter VI, Section 19 entitled "Data Feeds and Trade Information."
Comments due: June 26, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2018-019 | ||
| 34-83229 | May 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Order Spread Protection and Reorganize Rule Chapter VI, Seciton 18 Entitled, "Order Price Protections"
Comments due: June 8, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-018 | ||
| 34-83224 | May 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a) to Establish a New Fee for Orders with Midpoint Pegging that Execute at a Price Better than the Midpoint of the NBBO
Comments due: June 8, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-017 | ||
| 34-83192 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reorganize and Amend Chapter XV, Section 3, entitled BX Options Market - Ports and Other Services
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-016 | ||
| 34-83199 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Its Order and Execution Information into Chapter VI, Section 19, Entitled Data Feeds
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-015 | ||
| 34-83081 | Apr. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules into the Rules of Nasdaq BX
Comments due: May 17, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-014 | ||
| 34-83064 | Apr. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarify the Requirements for Delivery of a Contrary Exercise Advice
Comments due: May 16, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-013 | ||
| 34-83059 | Apr. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Duplicative Rules Related to the Consolidated Audit Trail from Its Rulebook
Comments due: May 14, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-012 | ||
| 34-83047 | Apr. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error Within Chapter VI, Section 9 of the BX Rules
Comments due: May 10, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-011 | ||
| 34-83045 | Apr. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018
Comments due: May 10, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-010 | ||
| 34-82919 | Mar. 22, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5701 Regarding the Requirements for Securities Listed on the Exchange Issued By Nasdaq, Inc. or Its Affiliates.
Comments due: April 17, 2018 |
| SR-BX-2018-009 | ||
| 34-82810 | Mar. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Its Data Feed Offerings
Comments due: March 30, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-008 | ||
| 34-82704 | Feb. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: March 13, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-007 | ||
| 34-82597 | Jan. 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 23, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-006 | ||
| 34-82628 | Feb. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules 7030, 7034, and 7051
Comments due: March 2, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-005 | ||
| 34-82567 | Jan. 23, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees at Rule 7023
Comments due: February 20, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-004 | ||
| 34-82574 | Jan. 23, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter IV, Section 3
Comments due: February 20, 2018 Additional Materials: Exhibit 5 |
| SR-BX-2018-001 | ||
| 34-82545 | Jan. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 4765 and Commentary Thereto to Codify Participant Risk Settings and to Authorize the Exchange to Share those Risk Settings with the Clearing Member that Clears Transactions on behalf of the Participant
Comments due: February 16, 2018 |