Nasdaq BX, Inc. Rulemaking Archive: 2020
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Chronological List for 2020
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-BX-2020-033 | ||
| 34-90815 | Dec. 29, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Utilize the FIX Protocol to Submit Orders to BX's Price Improvement Auction Mechanism |
| SR-BX-2020-032 | ||
| 34-90796 | Dec. 23, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Options 4, Section 5, to Limit Short Term Options Series Intervals between Strikes Which are Available for Quoting and Trading on BX |
| SR-BX-2020-037 | ||
| 34-90655 | Dec. 14, 2020 | Notice of Filing of Proposed Rule Change to Amend BX Options 7, Section 2 and Section 3
Comments due: January 8, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2020-034 | ||
| 34-90607 | Dec. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 4613, 4702, and 4703
Comments due: January 4, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2020-032 | ||
| 34-90384 | Nov. 9, 2020 | Notice of Filing of Proposed Rule Change to Amend Options 4, Section 5, to Limit Short Term Options Series Intervals between Strikes Which are Available for Quoting and Trading on BX
Comments due: December 7, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2020-033 | ||
| 34-90383 | Nov. 9, 2020 | Notice of Filing of Proposed Rule Change to Utilize the FIX Protocol to Submit Orders to BX's Price Improvement Auction Mechanism
Comments due: December 7, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-030 | ||
| 34-90218 | Oct. 19, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Amendments to the Options Listing Rules
Comments due: November 13, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-031 | ||
| 34-90206 | Oct. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Rule 11890
Comments due: November 12, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-029 | ||
| 34-90145 | Oct. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Rule 4121
Comments due: November 5, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-028 | ||
| 34-90120 | Oct. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the fee for BX's TradeInfo Interface in Options 7
Comments due: November 5, 2020 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-BX-2020-026 | ||
| 34-89871 | Sep. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: October 13, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-025 | ||
| 34-89860 | Sep. 14, 2020 | 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: October 9, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-027 | ||
| 34-89819 | Sep. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decommission TradeInfo
Comments due: October 7, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-024 | ||
| 34-89783 | Sep. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: October 5, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-023 | ||
| 34-89759 | Sep. 3, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Rules in Connection with a Technology Migration to Enhanced Nasdaq, Inc. Functionality
Comments due: October 1, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-016 | ||
| 34-89731 | Sep. 1, 2020 | Order Approving Proposed Rule Change to Amend BX's Opening Process in Connection with a Technology Migration |
| SR-BX-2020-019 | ||
| 34-89662 | Aug. 25, 2020 | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations
Comments due: September 21, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-022 | ||
| 34-89614 | Aug. 19, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Pricing Schedule at Options 7, Section 2, and Options 7, Section 3
Comments due: September 15, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-020 | ||
| 34-89578 | Aug. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5 (Transfer of Positions)
Comments due: September 11, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-018 | ||
| 34-89554 | Aug. 14, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits, at Equity 7, Section 118(a)
Comments due: September 10, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-015 | ||
| 34-89513 | Aug. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4764 and Rule 4765
Comments due: September 4, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-017 | ||
| 34-89476 | Aug. 4, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various BX Rules in Connection with a Technology Migration
Comments due: August 31, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-016 | ||
| 34-89356 | Jul. 21, 2020 | Notice of Filing of Proposed Rule Change to Amend BX's Opening Process in Connection with a Technology Migration
Comments due: August 17, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-014 | ||
| 34-89330 | Jul. 16, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX's Routing Functionality
Comments due: August 12, 2020 |
| Second Quarter | ||
| SR-BX-2020-013 | ||
| 34-89169 | Jun. 26, 2020 | 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
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2020-012 | ||
| 34-89150 | Jun. 25, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 9, Sections 13 and 15 to Increase the Position and Exercise Limits for Options on the SPDR® S&P 500® ETF Trust
Comments due: July 22, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-011 | ||
| 34-89114 | Jun. 22, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118
Comments due: July 17, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-007 | ||
| 34-89010 | Jun. 4, 2020 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA under the Exchanges Authority and Supervision |
| SR-BX-2020-009 | ||
| 34-88938 | May 26, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the BX Disciplinary Rules and Incorporate by Reference the Disciplinary Rules of The Nasdaq Stock Market LLC
Comments due: June 22, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2020-008 | ||
| 34-88857 | May 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits and Fees, at Equity 7, Section 118(a)
Comments due: June 8, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-007 | ||
| 34-88746 | Apr. 24, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA under the Exchange's Authority and Supervision
Comments due: May 21, 2020 |
| First Quarter | ||
| SR-BX-2020-006 | ||
| 34-88672 | Apr. 16, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule Titled Transfer of Positions within Options 6, Section 5
Comments due: May 13, 2020 |
| SR-BX-2020-005 | ||
| 34-88505 | Mar. 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Rule 11890 Comments due: April 23, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2020-004 | ||
| 34-88428 | Mar. 19, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4121(b)
Comments due: April 15, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-003 | ||
| 34-88322 | Mar. 5, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct and Clarify Rules 4702(b)(3)(B) and 4703(d)
Comments due: April 1, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2020-002 | ||
| 34-88215 | Feb. 14, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Order Types and Times-in-Force Provisions
Comments due: March 12, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-001 | ||
| 34-88174 | Feb. 11, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Listing Rule and Other Amendments
Comments due: March 10, 2020 Additional Materials: Exhibit 5 |
File Number List for 2020
| Release No. | Date | Details |
|---|---|---|
| SR-BX-2020-037 | ||
| 34-90655 | Dec. 14, 2020 | Notice of Filing of Proposed Rule Change to Amend BX Options 7, Section 2 and Section 3
Comments due: January 8, 2021 Additional Materials: Exhibit 5 |
| SR-BX-2020-034 | ||
| 34-90607 | Dec. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 4613, 4702, and 4703
Comments due: January 4, 2021 Additional Materials: Exhibit 5 |
| 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 |
| 34-90815 | Dec. 29, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Utilize the FIX Protocol to Submit Orders to BX's Price Improvement Auction Mechanism |
| 34-90383 | Nov. 9, 2020 | Notice of Filing of Proposed Rule Change to Utilize the FIX Protocol to Submit Orders to BX's Price Improvement Auction Mechanism
Comments due: December 7, 2020 Additional Materials: Exhibit 5 |
| 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 |
| 34-90796 | Dec. 23, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Options 4, Section 5, to Limit Short Term Options Series Intervals between Strikes Which are Available for Quoting and Trading on BX |
| 34-90384 | Nov. 9, 2020 | Notice of Filing of Proposed Rule Change to Amend Options 4, Section 5, to Limit Short Term Options Series Intervals between Strikes Which are Available for Quoting and Trading on BX
Comments due: December 7, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2020-031 | ||
| 34-90206 | Oct. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Rule 11890
Comments due: November 12, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-030 | ||
| 34-90218 | Oct. 19, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Amendments to the Options Listing Rules
Comments due: November 13, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-029 | ||
| 34-90145 | Oct. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Rule 4121
Comments due: November 5, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-028 | ||
| 34-90120 | Oct. 9, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the fee for BX's TradeInfo Interface in Options 7
Comments due: November 5, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-027 | ||
| 34-89819 | Sep. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decommission TradeInfo
Comments due: October 7, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-026 | ||
| 34-89871 | Sep. 15, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: October 13, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-025 | ||
| 34-89860 | Sep. 14, 2020 | 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: October 9, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-024 | ||
| 34-89783 | Sep. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: October 5, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-023 | ||
| 34-89759 | Sep. 3, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Rules in Connection with a Technology Migration to Enhanced Nasdaq, Inc. Functionality
Comments due: October 1, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-022 | ||
| 34-89614 | Aug. 19, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Pricing Schedule at Options 7, Section 2, and Options 7, Section 3
Comments due: September 15, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-020 | ||
| 34-89578 | Aug. 17, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5 (Transfer of Positions)
Comments due: September 11, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-019 | ||
| 34-89662 | Aug. 25, 2020 | Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations
Comments due: September 21, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-018 | ||
| 34-89554 | Aug. 14, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits, at Equity 7, Section 118(a)
Comments due: September 10, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-017 | ||
| 34-89476 | Aug. 4, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various BX Rules in Connection with a Technology Migration
Comments due: August 31, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-016 | ||
| 34-89731 | Sep. 1, 2020 | Order Approving Proposed Rule Change to Amend BX's Opening Process in Connection with a Technology Migration |
| 34-89356 | Jul. 21, 2020 | Notice of Filing of Proposed Rule Change to Amend BX's Opening Process in Connection with a Technology Migration
Comments due: August 17, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-015 | ||
| 34-89513 | Aug. 10, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4764 and Rule 4765
Comments due: September 4, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-014 | ||
| 34-89330 | Jul. 16, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX's Routing Functionality
Comments due: August 12, 2020 |
| SR-BX-2020-013 | ||
| 34-89169 | Jun. 26, 2020 | 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
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BX-2020-012 | ||
| 34-89150 | Jun. 25, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 9, Sections 13 and 15 to Increase the Position and Exercise Limits for Options on the SPDR® S&P 500® ETF Trust
Comments due: July 22, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-011 | ||
| 34-89114 | Jun. 22, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118
Comments due: July 17, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-009 | ||
| 34-88938 | May 26, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the BX Disciplinary Rules and Incorporate by Reference the Disciplinary Rules of The Nasdaq Stock Market LLC
Comments due: June 22, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2020-008 | ||
| 34-88857 | May 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits and Fees, at Equity 7, Section 118(a)
Comments due: June 8, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-007 | ||
| 34-89010 | Jun. 4, 2020 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA under the Exchanges Authority and Supervision |
| 34-88746 | Apr. 24, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA under the Exchange's Authority and Supervision
Comments due: May 21, 2020 |
| SR-BX-2020-006 | ||
| 34-88672 | Apr. 16, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule Titled Transfer of Positions within Options 6, Section 5
Comments due: May 13, 2020 |
| SR-BX-2020-005 | ||
| 34-88505 | Mar. 27, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Rule 11890 Comments due: April 23, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2020-004 | ||
| 34-88428 | Mar. 19, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4121(b)
Comments due: April 15, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-003 | ||
| 34-88322 | Mar. 5, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct and Clarify Rules 4702(b)(3)(B) and 4703(d)
Comments due: April 1, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BX-2020-002 | ||
| 34-88215 | Feb. 14, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Order Types and Times-in-Force Provisions
Comments due: March 12, 2020 Additional Materials: Exhibit 5 |
| SR-BX-2020-001 | ||
| 34-88174 | Feb. 11, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Listing Rule and Other Amendments
Comments due: March 10, 2020 Additional Materials: Exhibit 5 |