National Securities Exchanges
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National Securities Exchanges Table
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Release Number
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File Number
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SRO Organization
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Details
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| Release Number:34-91408 | SEC Issue Date:Mar 25, 2021 | File Number:SR-GEMX-2021-01 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Rules in Options 3 Comments Due: April 21, 2021 See Also - Exhibit 5 Submit a Comment on SR-GEMX-2021-01
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| Release Number:34-90755 | SEC Issue Date:Dec 21, 2020 | File Number:SR-GEMX-2020-21 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: 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. |
| Release Number:34-89576 | SEC Issue Date:Aug 17, 2020 | File Number:SR-GEMX-2020-19 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 5 (Transfer of Positions) See Also - Exhibit 5 |
| Release Number:34-89391 | SEC Issue Date:Jul 24, 2020 | File Number:SR-GEMX-2020-18 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3 See Also - Exhibit 5 |
| Release Number:34-89162 | SEC Issue Date:Jun 26, 2020 | File Number:SR-GEMX-2020-16 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: 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 See Also - Exhibit 5 |
| Release Number:34-89071 | SEC Issue Date:Jun 15, 2020 | File Number:SR-GEMX-2020-15 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: 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 View Received Comments See Also - Exhibit 5 |
| Release Number:34-89048 | SEC Issue Date:Jun 11, 2020 | File Number:SR-GEMX-2020-14 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule at Options 7, Sections 3 and 4 See Also - Exhibit 5 |
| Release Number:34-89030 | SEC Issue Date:Jun 8, 2020 | File Number:SR-GEMX-2020-13 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: 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 See Also - Exhibit 5 |
| Release Number:34-88940 | SEC Issue Date:May 26, 2020 | File Number:SR-GEMX-2020-12 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule See Also - Exhibit 5 |
| Release Number:34-88730 | SEC Issue Date:Apr 22, 2020 | File Number:SR-GEMX-2020-09 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX Rules at Options 3, Section 8, Titled Options Opening Process See Also - Exhibit 5 |