Nasdaq GEMX, LLC Rulemaking
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We encourage the public to submit comments on the following Nasdaq GEMX, LLC, 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
Nasdaq GEMX File Number List for 2018
Additional Archives
Chronological List for 2018
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-GEMX-2018-40 | ||
| 34-84745 | Dec. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Supplementary Material .02 to Rule 715
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-GEMX-2018-39 | ||
| 34-84730 | Dec. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-GEMX-2018-37 | ||
| 34-84581 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Rules Related to Market Maker Quoting Obligations
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-36 | ||
| 34-84570 | 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-GEMX-2018-33 | ||
| 34-84448 | Oct. 18, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Registration, Qualification Examination and Continuing Education Rules
Comments due: November 14, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-35 | ||
| 34-84423 | Oct. 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Current Rules on Arbitration, under Chapter 18
Comments due: November 9, 2018 |
| Third Quarter | ||
| SR-GEMX-2018-29 | ||
| 34-84283 | Sep. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Schedule of Fees
Comments due: October 22, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-32 | ||
| 34-84238 | Sep. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections
Comments due: October 17, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-31 | ||
| 34-84202 | Sep. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform By-Law's CRO Provisions to Those of an Affiliate Exchange
Comments due: October 16, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-27 | ||
| 34-83789 | Aug. 7, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: September 4, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-26 | ||
| 34-83731 | Jul. 27, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Protocol Definitions That Members Use to Enter Quotes and Orders
Comments due: August 23, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-24 | ||
| 34-83704 | Jul. 25, 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 Associated Rules of Nasdaq BX, Inc.
Comments due: August 21, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-25 | ||
| 34-83641 | Jul. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Improvement Orders Entered into the Price Improvement Mechanism
Comments due: August 10, 2018 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-GEMX-2018-23 | ||
| 34-83533 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Penny Pilot Program
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-22 | ||
| 34-83514 | Jun. 25, 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 20, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-20 | ||
| 34-83445 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Certain Route-Out Fees Set Forth in Section II.A of the Schedule of Fees
Comments due: July 11, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-18 | ||
| 34-83369 | Jun. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Reorganize Chapter IV of the GEMX Schedule of Fees
Comments due: June 29, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-17 | ||
| 34-83365 | Jun. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Memorialize Order and Execution Information into GEMX Rule 718
Comments due: June 29, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-09 | ||
| 34-83279 | May 17, 2018 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Introduce the ATR Protection for Orders that are Routed to Away Markets
Comments due: June 13, 2018 |
| SR-GEMX-2018-16 | ||
| 34-83270 | May 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .03 to Rule 804 to Enhance Anti-Internalization Functionality
Comments due: June 13, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-15 | ||
| 34-83237 | May 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material to Rule 706 to Harmonize Its Sponsored Access Rules with Those of Its Affiliates
Comments due: June 11, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-09 | ||
| 34-83118 | Apr. 26, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets
Comments due: days after publication in the Federal Register |
| SR-GEMX-2018-13 | ||
| 34-83083 | 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 GEMX
Comments due: May 17, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-12 | ||
| 34-83050 | Apr. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify Within Rule 718 the Data Feeds on GEMX
Comments due: May 10, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-11 | ||
| 34-82988 | Apr. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter IV of the Exchange's Schedule of Fees
Comments due: May 1, 2018 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-GEMX-2018-09 | ||
| 34-82847 | Mar. 9, 2018 | Notice of Filing of Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets
Comments due: April 4, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-GEMX-2018-07 | ||
| 34-82728 | Feb. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 100
Comments due: March 16, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-06 | ||
| 34-82713 | Feb. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Port Fees
Comments due: March 14, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-04 | ||
| 34-82708 | Feb. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees
Comments due: March 14, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-05 | ||
| 34-82698 | Feb. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Memorialize Functionality Which is Designed to Assist Members in the Event that They Lose Communication
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-GEMX-2018-02 | ||
| 34-82598 | 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-GEMX-2018-01 | ||
| 34-82516 | Jan. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Orders
Comments due: February 13, 2018 |
| SR-GEMX-2017-17 | ||
| 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-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, 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 |
| SR-GEMX-2017-63 | ||
| 34-82466 | Jan. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees at Chapter V, Section H, entitled "Nasdaq GEMX Trades Feed"
Comments due: February 6, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-62 | ||
| 34-82460 | Jan. 8, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers' Regulatory Fees
Comments due: February 2, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-60 | ||
| 34-82449 | Jan. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Fees and Rebates Set Forth in Section I of the Exchanges Schedule of Fees
Comments due: February 1, 2018 Additional Materials: Exhibit 5 |
Nasdaq GEMX File Number List for 2018
| Release No. | Date | Details |
| SR-GEMX-2018-40 | ||
| 34-84745 | Dec. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Supplementary Material .02 to Rule 715
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-GEMX-2018-39 | ||
| 34-84730 | Dec. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-GEMX-2018-37 | ||
| 34-84581 | Nov. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Rules Related to Market Maker Quoting Obligations
Comments due: December 11, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-36 | ||
| 34-84570 | 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-GEMX-2018-35 | ||
| 34-84423 | Oct. 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Current Rules on Arbitration, under Chapter 18
Comments due: November 9, 2018 |
| SR-GEMX-2018-33 | ||
| 34-84448 | Oct. 18, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Registration, Qualification Examination and Continuing Education Rules
Comments due: November 14, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-32 | ||
| 34-84238 | Sep. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections
Comments due: October 17, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-31 | ||
| 34-84202 | Sep. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform By-Law's CRO Provisions to Those of an Affiliate Exchange
Comments due: October 16, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-29 | ||
| 34-84283 | Sep. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Schedule of Fees
Comments due: October 22, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-27 | ||
| 34-83789 | Aug. 7, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: September 4, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-26 | ||
| 34-83731 | Jul. 27, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Protocol Definitions That Members Use to Enter Quotes and Orders
Comments due: August 23, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-25 | ||
| 34-83641 | Jul. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Improvement Orders Entered into the Price Improvement Mechanism
Comments due: August 10, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-24 | ||
| 34-83704 | Jul. 25, 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 Associated Rules of Nasdaq BX, Inc.
Comments due: August 21, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-23 | ||
| 34-83533 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Penny Pilot Program
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-22 | ||
| 34-83514 | Jun. 25, 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 20, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-20 | ||
| 34-83445 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Certain Route-Out Fees Set Forth in Section II.A of the Schedule of Fees
Comments due: July 11, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-18 | ||
| 34-83369 | Jun. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Reorganize Chapter IV of the GEMX Schedule of Fees
Comments due: June 29, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-17 | ||
| 34-83365 | Jun. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Memorialize Order and Execution Information into GEMX Rule 718
Comments due: June 29, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-16 | ||
| 34-83270 | May 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .03 to Rule 804 to Enhance Anti-Internalization Functionality
Comments due: June 13, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-15 | ||
| 34-83237 | May 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material to Rule 706 to Harmonize Its Sponsored Access Rules with Those of Its Affiliates
Comments due: June 11, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-13 | ||
| 34-83083 | 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 GEMX
Comments due: May 17, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-12 | ||
| 34-83050 | Apr. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify Within Rule 718 the Data Feeds on GEMX
Comments due: May 10, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-11 | ||
| 34-82988 | Apr. 4, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter IV of the Exchange's Schedule of Fees
Comments due: May 1, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-09 | ||
| 34-83279 | May 17, 2018 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Introduce the ATR Protection for Orders that are Routed to Away Markets
Comments due: June 13, 2018 |
| 34-83118 | Apr. 26, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets
Comments due: days after publication in the Federal Register |
| 34-82847 | Mar. 9, 2018 | Notice of Filing of Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets
Comments due: April 4, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-GEMX-2018-07 | ||
| 34-82728 | Feb. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 100
Comments due: March 16, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-06 | ||
| 34-82713 | Feb. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Port Fees
Comments due: March 14, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-05 | ||
| 34-82698 | Feb. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Memorialize Functionality Which is Designed to Assist Members in the Event that They Lose Communication
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-GEMX-2018-04 | ||
| 34-82708 | Feb. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees
Comments due: March 14, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-02 | ||
| 34-82598 | 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-GEMX-2018-01 | ||
| 34-82516 | Jan. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Orders
Comments due: February 13, 2018 |