National Securities Exchanges
We encourage the public to submit comments on the following 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.
National Securities Exchanges Table
|
Release Number
|
File Number
|
SRO Organization
|
Details
|
|
|---|---|---|---|---|
| Release Number:34-88671 | SEC Issue Date:Apr 16, 2020 | File Number:SR-GEMX-2020-10 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled Transfer of Positions Within Options 6, Section 5 See Also - Exhibit 5 |
| Release Number:34-88472 | SEC Issue Date:Mar 25, 2020 | File Number:SR-GEMX-2020-08 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8, Opening See Also - Exhibit 5 |
| Release Number:34-88457 | SEC Issue Date:Mar 23, 2020 | File Number:SR-GEMX-2020-07 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules See Also - Exhibit 5 |
| Release Number:34-88296 | SEC Issue Date:Feb 27, 2020 | File Number:SR-GEMX-2020-05 | 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 Permit the Exchange To Determine the Availability of Order Types and Time-In-Force Provisions See Also - Exhibit 5 |
| Release Number:34-88293 | SEC Issue Date:Feb 26, 2020 | File Number:SR-GEMX-2020-04 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3, Titled Regular Order Fees and Rebates See Also - Exhibit 5 |
| Release Number:34-88273 | SEC Issue Date:Feb 24, 2020 | File Number:SR-GEMX-2020-06 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program) |
| Release Number:34-87844 | SEC Issue Date:Dec 23, 2019 | File Number:SR-GEMX-2019-18 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook See Also - Exhibit 5 |
| Release Number:34-87818 | SEC Issue Date:Dec 20, 2019 | File Number:SR-GEMX-2019-17 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: 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 See Also - Exhibit 5 |
| Release Number:34-87753 | SEC Issue Date:Dec 16, 2019 | File Number:SR-GEMX-2019-19 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 (Minimum Trading Increments) See Also - Exhibit 5 |
| Release Number:34-87413 | SEC Issue Date:Oct 29, 2019 | File Number:SR-GEMX-2019-15 | SRO Organization:Nasdaq GEMX, LLC (GEMX) |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, the Exchange's Kill Switch Risk Protection See Also - Exhibit 5 |