Nasdaq GEMX, LLC Rulemaking
| ISE Gemini (ISEGemini) has changed its name to Nasdaq GEMX, LLC. All filings by Nasdaq GEMX, LLC, will be posted to the Nasdaq GEMX, LLC page. Filings filed with "ISEGemini" as part of the file number will be posted on the ISE Gemini page. |
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
Third Quarter |
Second Quarter
Nasdaq GEMX File Number List for 2017
Additional Archives
Chronological List for 2017
| Release No. | Date | Details |
|---|---|---|
| Third Quarter | ||
| SR-GEMX-2017-42 | ||
| 34-81632 | Sep. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees to Offer Monthly Subscriptions for Open and Close Trade Profile Information
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-GEMX-2017-24 | ||
| 34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80970 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| SR-GEMX-2017-38 | ||
| 34-81436 | Aug. 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening
Comments due: September 14, 2017 |
| SR-GEMX-2017-39 | ||
| 34-81431 | Aug. 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create the Market Access and Routing Subsidy Program
Comments due: September 14, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-37 | ||
| 34-81422 | Aug. 17, 2017 | Notice of Filing of Proposed Rule Change to Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges
Comments due: September 13, 2017 Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e Comments received are available for this proposal. |
| SR-GEMX-2017-36 | ||
| 34-81354 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-31 | ||
| 34-81342 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX's Schedule of Fees With Respect to the Options Regulatory Fee
Comments due: September 5. 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-GEMX-2017-24 | ||
| 34-81180 | Jul. 20, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 912
See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-80970 |
| SR-GEMX-2017-32 | ||
| 34-81174 | Jul. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations
Comments due: August 16, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-30 | ||
| 34-81147 | Jul. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Outdated Language in the Exchange's Rulebook and Fee Schedule
Comments due: August 10, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-29 | ||
| 34-81136 | Jul. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Assess Connectivity Fees
Comments due: August 9, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-28 | ||
| 34-81109 | Jul. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify an Exception to the Manner In Which Market Maker Immediate-or-Cancel Orders Will Be Handled
Comments due: August 4, 2017 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-GEMX-2017-17 | ||
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 See also: Notice: Rel. No. 34-80713 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-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 Comments received are available for this proposal. |
| SR-GEMX-2017-25 | ||
| 34-81023 | Jun. 26, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Non-Priority Customer License Surcharge
Comments due: July 21, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-24 | ||
| 34-80970 | Jun. 19, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 912
Comments due: July 14, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-81180 Comments received are available for this proposal. |
| SR-GEMX-2017-23 | ||
| 34-80921 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-21 | ||
| 34-80826 | May 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend a pilot program to quote and to trade certain options classes in penny increments
Comments due: June 27, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-20 | ||
| 34-80808 | May 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: June 26, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-16 | ||
| 34-80761 | May 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Cancel and Replace Rule
Comments due: June 21, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-10 | ||
| 34-80747 | May 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Opening Process
Comments due: June 20, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-17 | ||
| 34-80713 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Section VI of the GEMX Fee Schedule
Comments due: June 14, 2017 Additional Materials: Exhibit 3, Exhibit 5 See also: Order: Rel. No. 34-81067 Comments received are available for this proposal. |
| SR-GEMX-2017-13 | ||
| 34-80722 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees to Offer the Historical GEMX Open/Close Trade Profile
Comments due: June 14, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-07 | ||
| 34-80649 | May 10, 2017 | Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish INET Ports
Comments due: June 6, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-05 | ||
| 34-80636 | May 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Schedule of Fees to Amend Pricing Related to Options Overlying NDX and MNX
Comments due: June 6, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-04 | ||
| 34-80573 | May 2, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation
Comments due: May 30, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-03 | ||
| 34-80482 | Apr. 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rulebook and Schedule of Fees to Incorporate Certain Name Changes
Comments due: May 15, 2017 Additional Materials: Exhibit 5 |
Nasdaq GEMX File Number List for 2017
| Release No. | Date | Details |
| SR-GEMX-2017-42 | ||
| 34-81632 | Sep. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees to Offer Monthly Subscriptions for Open and Close Trade Profile Information
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-GEMX-2017-39 | ||
| 34-81431 | Aug. 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create the Market Access and Routing Subsidy Program
Comments due: September 14, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-38 | ||
| 34-81436 | Aug. 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening
Comments due: September 14, 2017 |
| SR-GEMX-2017-37 | ||
| 34-81422 | Aug. 17, 2017 | Notice of Filing of Proposed Rule Change to Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges
Comments due: September 13, 2017 Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e Comments received are available for this proposal. |
| SR-GEMX-2017-36 | ||
| 34-81354 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-32 | ||
| 34-81174 | Jul. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations
Comments due: August 16, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-31 | ||
| 34-81342 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX's Schedule of Fees With Respect to the Options Regulatory Fee
Comments due: September 5. 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-GEMX-2017-30 | ||
| 34-81147 | Jul. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Outdated Language in the Exchange's Rulebook and Fee Schedule
Comments due: August 10, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-29 | ||
| 34-81136 | Jul. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Assess Connectivity Fees
Comments due: August 9, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-28 | ||
| 34-81109 | Jul. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify an Exception to the Manner In Which Market Maker Immediate-or-Cancel Orders Will Be Handled
Comments due: August 4, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-25 | ||
| 34-81023 | Jun. 26, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Non-Priority Customer License Surcharge
Comments due: July 21, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-24 | ||
| 34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80970 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| 34-81180 | Jul. 20, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 912 |
| 34-80970 | Jun. 19, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 912
Comments due: July 14, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-GEMX-2017-23 | ||
| 34-80921 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-21 | ||
| 34-80826 | May 31, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend a pilot program to quote and to trade certain options classes in penny increments
Comments due: June 27, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-20 | ||
| 34-80808 | May 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees
Comments due: June 26, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-17 | ||
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: 21 days after publication in the Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 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-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 Comments received are available for this proposal. |
| 34-80713 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Section VI of the GEMX Fee Schedule
Comments due: June 14, 2017 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-GEMX-2017-16 | ||
| 34-80761 | May 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Cancel and Replace Rule
Comments due: June 21, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-13 | ||
| 34-80722 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees to Offer the Historical GEMX Open/Close Trade Profile
Comments due: June 14, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-10 | ||
| 34-80747 | May 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Opening Process
Comments due: June 20, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-07 | ||
| 34-80649 | May 10, 2017 | Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish INET Ports
Comments due: June 6, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-05 | ||
| 34-80636 | May 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Schedule of Fees to Amend Pricing Related to Options Overlying NDX and MNX
Comments due: June 6, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-04 | ||
| 34-80573 | May 2, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation
Comments due: May 30, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-03 | ||
| 34-80482 | Apr. 18, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rulebook and Schedule of Fees to Incorporate Certain Name Changes
Comments due: May 15, 2017 Additional Materials: Exhibit 5 |