Nasdaq GEMX, LLC Rulemaking

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 2020

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Chronological List for 2020

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Release No. Date Details
Fourth Quarter
SR-GEMX-2020-21
34-90755 Dec. 21, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize Exchange Rule General 3, Section 2 with Recent Changes by the Financial Industry Regulatory Authority, Inc.
Comments due: January 19, 2021
Third Quarter
SR-GEMX-2020-19
34-89576 Aug. 17, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5 (Transfer of Positions)
Comments due: September 11, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-18
34-89391 Jul. 24, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 3
Comments due: August 20, 2020
Additional Materials: Exhibit 5
Second Quarter
SR-GEMX-2020-16
34-89162 Jun. 26, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 3 to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-GEMX-2020-15
34-89071 Jun. 15, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the GEMX Disciplinary Rules in General 5 to Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules
Comments due: July 10, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-GEMX-2020-14
34-89048 Jun. 11, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX's Pricing Schedule at Options 7, Sections 3 and 4
Comments due: July 8, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-13
34-89030 Jun. 8, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 7, Types of Orders, to Add Other Existing Order Types to the List of Order Types
Comments due: July 6, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-12
34-88940 May 26, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX's Pricing Schedule
Comments due: June 22, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-09
34-88730 Apr. 22, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX Rules at Options 3, Section 8, Titled Options Opening Process
Comments due: May 19, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-10
34-88671 Apr. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule Titled Transfer of Positions within Options 6, Section 5
Comments due: May 13, 2020
Additional Materials: Exhibit 5
First Quarter
SR-GEMX-2020-08
34-88472 Mar. 25, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 8, Opening
Comments due: April 21, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-07
34-88457 Mar. 23, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules
Comments due: April 16, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-05
34-88296 Feb. 27, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 7, "Types of Orders" to Permit the Exchange to Determine the Availability of Order Types and Time-In-Force Provisions
Comments due: March 25, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-04
34-88293 Feb. 26, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 3, Titled Regular Order Fees and Rebates
Comments due: March 24, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-06
34-88273 Feb. 24, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program)
Comments due: March 20, 2020

File Number List for 2020

Release No. Date Details
SR-GEMX-2020-21
34-90755 Dec. 21, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize Exchange Rule General 3, Section 2 with Recent Changes by the Financial Industry Regulatory Authority, Inc.
Comments due: January 19, 2021
SR-GEMX-2020-19
34-89576 Aug. 17, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5 (Transfer of Positions)
Comments due: September 11, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-18
34-89391 Jul. 24, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 3
Comments due: August 20, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-16
34-89162 Jun. 26, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 3 to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-GEMX-2020-15
34-89071 Jun. 15, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the GEMX Disciplinary Rules in General 5 to Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules
Comments due: July 10, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-GEMX-2020-14
34-89048 Jun. 11, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX's Pricing Schedule at Options 7, Sections 3 and 4
Comments due: July 8, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-13
34-89030 Jun. 8, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 7, Types of Orders, to Add Other Existing Order Types to the List of Order Types
Comments due: July 6, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-12
34-88940 May 26, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX's Pricing Schedule
Comments due: June 22, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-10
34-88671 Apr. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule Titled Transfer of Positions within Options 6, Section 5
Comments due: May 13, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-09
34-88730 Apr. 22, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX Rules at Options 3, Section 8, Titled Options Opening Process
Comments due: May 19, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-08
34-88472 Mar. 25, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 8, Opening
Comments due: April 21, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-07
34-88457 Mar. 23, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules
Comments due: April 16, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-06
34-88273 Feb. 24, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program)
Comments due: March 20, 2020
SR-GEMX-2020-05
34-88296 Feb. 27, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 7, "Types of Orders" to Permit the Exchange to Determine the Availability of Order Types and Time-In-Force Provisions
Comments due: March 25, 2020
Additional Materials: Exhibit 5
SR-GEMX-2020-04
34-88293 Feb. 26, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 3, Titled Regular Order Fees and Rebates
Comments due: March 24, 2020
Additional Materials: Exhibit 5