Nasdaq GEMX, LLC Rulemaking Archive: 2017
| 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. |
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Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter
Nasdaq GEMX File Number List for 2017
Additional Archives
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Chronological List for 2017
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-GEMX-2017-57 | ||
| 34-82356 | Dec. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 16, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-GEMX-2017-56 | ||
| 34-82326 | Dec. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations
Comments due: January 10, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-55 | ||
| 34-82319 | Dec. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy Program
Comments due: January 10, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-17 | ||
| 34-82286 | Dec. 11, 2017 | Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Adopt Rule 7004 and Chapter XV, Section 11
Comments due: January 4, 2018 Additional Materials: Exhibit 3, Exhibit 4, Exhibit 5 See also: Notice: Rel. No. 34-80713, Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049 Comments received are available for this proposal. |
| SR-GEMX-2017-54 | ||
| 34-82171 | Nov. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the GEMX Rulebook
Comments due: December 26, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-53 | ||
| 34-82159 | Nov. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Delay of Qualified Contingent Cross Order Functionalities
Comments due: December 26, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-52 | ||
| 34-82131 | Nov. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Directed Order Functionality
Comments due: December 15, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-51 | ||
| 34-82128 | Nov. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders
Comments due: December 18, 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
See also: Notice: Rel. No. 34-80713, Order: Rel. No. 34-81067, Notice: Rel. No. 34-82286 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, Notice: Rel. No. 34-82286 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, Notice: Rel. No. 34-82286 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-2017-63 | ||
| 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 |
| SR-GEMX-2017-57 | ||
| 34-82356 | Dec. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 16, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-GEMX-2017-56 | ||
| 34-82326 | Dec. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations
Comments due: January 10, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-55 | ||
| 34-82319 | Dec. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy Program
Comments due: January 10, 2018 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-54 | ||
| 34-82171 | Nov. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Shell Structure for the GEMX Rulebook
Comments due: December 26, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-53 | ||
| 34-82159 | Nov. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Delay of Qualified Contingent Cross Order Functionalities
Comments due: December 26, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-52 | ||
| 34-82131 | Nov. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Directed Order Functionality
Comments due: December 15, 2017 Additional Materials: Exhibit 5 |
| SR-GEMX-2017-51 | ||
| 34-82128 | Nov. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders
Comments due: December 18, 2017 Additional Materials: Exhibit 5 |
| 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 | ||
| 34-82503 | 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 |
| 34-82286 | Dec. 11, 2017 | Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Adopt Rule 7004 and Chapter XV, Section 11
Comments due: January 4, 2018 Additional Materials: Exhibit 3, Exhibit 4, Exhibit 5 Comments received are available for this proposal. |
| 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 |