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
Fourth Quarter |  Third Quarter |  Second Quarter

Nasdaq GEMX File Number List for 2017

Additional Archives

Chronological List for 2017

Release No. Date Details
Fourth Quarter
SR-GEMX-2017-17
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
See also: Notice: Rel. No. 34-80713, Order: Rel. No. 34-81067
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-2017-50
34-81970 Oct. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection
Comments due: November 24, 2017
Additional Materials: Exhibit 5
SR-GEMX-2017-49
34-81935 Oct. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 723 to Remove Obsolete Rule Text
Comments due: November 20, 2017
Additional Materials: Exhibit 5
SR-GEMX-2017-48
34-81902 Oct. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees
Comments due: November 15, 2017
Additional Materials: Exhibit 5
SR-GEMX-2017-44
34-81881 Oct. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees to Increase the Monthly Cap on the Fees Assessed for Specialized Quote Feed and SQF Purge Ports that Market Makers Utilize to Connect to the Exchange
Comments due: November 13, 2017
Additional Materials: Exhibit 5
SR-GEMX-2017-37
34-81802 Oct. 3, 2017 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges
See also: Notice: Rel. No. 34-81422
Third Quarter
SR-GEMX-2017-43
34-81770 Sep. 29, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 716(c) on the Block Order Mechanism
Comments due: October 26, 2017
Additional Materials: Exhibit 5
SR-GEMX-2017-40
34-81756 Sep. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Make It Clear That the Nasdaq GEMX Trades Feed Is a Free Offering of the Exchange
Comments due: October 25, 2017
Additional Materials: Exhibit 5
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: October 12, 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
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
See also: Order: Rel. No. 34-81802
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, Notice: Rel. No. 34-82049
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, Notice: Rel. No. 34-82049
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-2017-50
34-81970 Oct. 27, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection
Comments due: November 24, 2017
Additional Materials: Exhibit 5
SR-GEMX-2017-49
34-81935 Oct. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 723 to Remove Obsolete Rule Text
Comments due: November 20, 2017
Additional Materials: Exhibit 5
SR-GEMX-2017-48
34-81902 Oct. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Fees
Comments due: November 15, 2017
Additional Materials: Exhibit 5
SR-GEMX-2017-44
34-81881 Oct. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Fees to Increase the Monthly Cap on the Fees Assessed for Specialized Quote Feed and SQF Purge Ports that Market Makers Utilize to Connect to the Exchange
Comments due: November 13, 2017
Additional Materials: Exhibit 5
SR-GEMX-2017-43
34-81770 Sep. 29, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 716(c) on the Block Order Mechanism
Comments due: October 26, 2017
Additional Materials: Exhibit 5
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: October 12, 2017
Additional Materials: Exhibit 5
SR-GEMX-2017-40
34-81756 Sep. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees to Make It Clear That the Nasdaq GEMX Trades Feed Is a Free Offering of the Exchange
Comments due: October 25, 2017
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
34-81802 Oct. 3, 2017 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges
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
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes 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
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