Nasdaq GEMX, LLC Rulemaking: 2019
| 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. |
Chronological List
Fourth Quarter |
Third Quarter | Second Quarter | First Quarter
Nasdaq GEMX File Number List for 2019
Additional Archives
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017
Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-GEMX-2019-18 | ||
| 34-87844 | Dec. 23, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook
Comments due: January 21, 2020 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-17 | ||
| 34-87818 | Dec. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule Titled "Off-Exchange RWA Transfers" at GEMX Options 6, Section 6
Comments due: January 21, 2020 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-19 | ||
| 34-87753 | Dec. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 3 (Minimum Trading Increments)
Comments due: January 10, 2020 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-15 | ||
| 34-87413 | Oct. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 17, the Exchange's Kill Switch Risk Protection
Comments due: November 25, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-16 | ||
| 34-87371 | Oct. 21, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 15, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-14 | ||
| 34-87231 | Oct. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX's Rulebook and By-Laws
Comments due: October 31, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-13 | ||
| 34-87180 | Oct. 1, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Submission of Quotes and Orders
Comments due: October 28, 2019 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-GEMX-2019-10 | ||
| 34-86946 | Sep. 12, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Priority of Quotes and Orders Rule
Comments due: October 9, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-09 | ||
| 34-86426 | Jul. 22, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules)
Comments due: August 16, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-08 | ||
| 34-86346 | Jul. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Rules from Its Current Rulebook into Its New Rulebook Shell
Comments due: August 6, 2019 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-GEMX-2019-07 | ||
| 34-86149 | Jun. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend a Pilot Program
Comments due: July 16, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-06 | ||
| 34-86063 | Jun. 7, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions
Comments due: July 5, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-GEMX-2019-05 | ||
| 34-85737 | Apr. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange Registration Rules and Incorporate by Reference The Nasdaq Stock Market Rules at General 4
Comments due: May 23, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-04 | ||
| 34-85609 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for Certain Options Market Rules that are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-03 | ||
| 34-85481 | Apr. 2, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the Term "Professional Customer"
Comments due: April 29, 2019 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-GEMX-2019-02 | ||
| 34-85462 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .01 to Rule 710 to Specify Replacement Issues that May Be Added to the Penny Pilot on a Quarterly Basis Without Altering the Expiration Date of the Pilot
Comments due: April 25, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-01 | ||
| 34-85140 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2018-45 | ||
| 34-85024 | Feb. 1, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Provisions for Excluding a Day from Its Volume Calculations
Comments due: February 22, 2019 Additional Materials: Exhibit 5 |
Nasdaq GEMX File Number List for 2019
| Release No. | Date | Details |
| SR-GEMX-2019-19 | ||
| 34-87753 | Dec. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 3 (Minimum Trading Increments)
Comments due: January 10, 2020 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-18 | ||
| 34-87844 | Dec. 23, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook
Comments due: January 21, 2020 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-17 | ||
| 34-87818 | Dec. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule Titled "Off-Exchange RWA Transfers" at GEMX Options 6, Section 6
Comments due: January 21, 2020 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-16 | ||
| 34-87371 | Oct. 21, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 15, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-15 | ||
| 34-87413 | Oct. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 17, the Exchange's Kill Switch Risk Protection
Comments due: November 25, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-14 | ||
| 34-87231 | Oct. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX's Rulebook and By-Laws
Comments due: October 31, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-13 | ||
| 34-87180 | Oct. 1, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Submission of Quotes and Orders
Comments due: October 28, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-10 | ||
| 34-86946 | Sep. 12, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Priority of Quotes and Orders Rule
Comments due: October 9, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-09 | ||
| 34-86426 | Jul. 22, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules)
Comments due: August 16, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-08 | ||
| 34-86346 | Jul. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Rules from Its Current Rulebook into Its New Rulebook Shell
Comments due: August 6, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-07 | ||
| 34-86149 | Jun. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Extend a Pilot Program
Comments due: July 16, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-06 | ||
| 34-86063 | Jun. 7, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions
Comments due: July 5, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-GEMX-2019-05 | ||
| 34-85737 | Apr. 26, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange Registration Rules and Incorporate by Reference The Nasdaq Stock Market Rules at General 4
Comments due: May 23, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-04 | ||
| 34-85609 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot for Certain Options Market Rules that are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-03 | ||
| 34-85481 | Apr. 2, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the Term "Professional Customer"
Comments due: April 29, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-02 | ||
| 34-85462 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Supplementary Material .01 to Rule 710 to Specify Replacement Issues that May Be Added to the Penny Pilot on a Quarterly Basis Without Altering the Expiration Date of the Pilot
Comments due: April 25, 2019 Additional Materials: Exhibit 5 |
| SR-GEMX-2019-01 | ||
| 34-85140 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |
There are no file number entries at this time.