|
Rule Filings
rulebook-rulefilings-gemx-menurulebook-rulefilings-gemx-menu
- GEMX 2024
- 2023
- 2022
- 2021
- 2020
- 2019
- 2018
- 2017
- 2016
- 2015
rulebook-rulefilings-gemx-2024rulebook-rulefilings-gemx-2024| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-GEMX-2024-08
Notice & Approval
| A proposal to amend the Exchange's Cabinet Proximity Option Fee at General 8, Section 1. | Approved | Yes | 4/16/2024 | 3/26/2024 | SR-GEMX-2024-07
Notice & Approval
| A proposal to amend its Rules at Options 7, Section 6, C, Ports and Other Services. | Approved | Yes | 4/16/2024 | 3/26/2024 | SR-GEMX-2024-05
Notice & Approval
| A proposal to amend the Exchange's fees for connectivity and co-location services. | Approved | Yes | 4/11/2024 | 3/21/2024 | SR-GEMX-2024-04
Notice & Approval
| A proposal to expand the Exchange's Cabinet Proximity Option program. | Approved | Yes | 3/27/2024 | 3/6/2024 | SR-GEMX-2024-02
Suspension
| A proposal to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan") incurred prior to January 1, 2022. | Suspended | No | | |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-GEMX-2023-20
Notice & Approval
| A proposal to amend the transaction fees for Nasdaq 100 Index options in the Exchange's Pricing Schedule at Options 7, Section 3. | Approved | Yes | 1/10/2024 | 12/20/2023 | SR-GEMX-2023-17
Notice & Approval
| A proposal to amend the Exchanges GPS antenna fees at General 8, Section 1. | Approved | Yes | 1/5/2024 | 12/15/2023 | SR-GEMX-2023-14
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 4, Other Options Fees and Rebates | Approved | Yes | 12/11/2023 | 11/20/2023 | SR-GEMX-2023-13
Notice & Approval
| A proposal to amend its Pricing Schedule at Options 7 to specify pricing related to unrelated market or marketable interest. | Approved | Yes | 12/4/2023 | 11/13/2023 | SR-GEMX-2023-11
Notice & Approval
| A proposal to amend Options 3, Section 7, Types of Orders and Order and Quote Protocols; Options 3, Section 11, Auction Mechanisms; and Options 3, Section 13, Price Improvement Mechanism for Crossing Transactions. | Approved | Yes | 10/17/2023 | 9/26/2023 | SR-GEMX-2023-10
Notice & Approval
| A proposed rule change regarding a stockholders' agreement by and among the Exchange's parent corporation, Nasdaq, Inc. ("Nasdaq"), Adenza Parent, LP, a Delaware limited partnership ("Seller"), and the other parties thereto ("Stockholders' Agreement"). | Approved | Yes | 9/5/2023 | 8/14/2023 | SR-GEMX-2023-09
Notice & Approval
| A proposal to amend GEMX's Options Regulatory Fee. | Approved | Yes | 8/31/2023 | 8/10/2023 | SR-GEMX-2023-08
Notice & Approval
| A proposal to amend Options 3, Section 15 (Risk Protections) to adopt an active quote protection. | Approved | Yes | 8/14/2023 | 7/24/2023 | SR-GEMX-2023-07
Notice & Approval
| A proposal to amend GEMX's Pricing Schedule at Options 7, Section 3, "Regular Order Fees and Rebates". | Approved | Yes | 6/13/2023 | 5/23/2023 | SR-GEMX-2023-05
Notice & Approval
| A proposal to amend GEMX's Pricing Schedule at Options 7. | Approved | Yes | 5/19/2023 | 4/28/2023 | SR-GEMX-2023-04
Notice & Approval
| A proposal to delay the implementation of certain trading functionality rule changes. | Approved | Yes | 4/7/2023 | 3/17/2023 | SR-GEMX-2023-03
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 3. | Approved | Yes | 3/14/2023 | 2/21/2023 | SR-GEMX-2023-02
Notice & Approval
| A proposal to amend its rules in connection with a technology migration to enhanced Nasdaq, Inc. ("Nasdaq") functionality. | Approved | Yes | 3/3/2023 | 2/10/2023 | SR-GEMX-2023-01
Notice & Approval
| A proposal to amend ISO functionality. | Approved | Yes | 2/28/2023 | 2/7/2023 |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-GEMX-2022-14
Notice & Approval
| A proposal to amend GEMX's Pricing Schedule at Options 7, Section 5 to reduce the GEMX Options Regulatory Fee or 'ORF'. | Approved | Yes | 1/30/2023 | 1/9/2023 | SR-GEMX-2022-13
Notice & Approval
| A proposal to amend GEMX Functionality in Connection with a Technology Migration. | Approved | Yes | 1/12/2023 | 12/22/2022 | SR-GEMX-2022-12
Notice & Approval
| A proposal to amend GEMX Pricing Schedule at Options 7, Section 5, Legal & Regulatory, to reflect adjustments to FINRA Registration Fees and Fingerprinting Fees. | Approved | Yes | 1/9/2023 | 12/19/2022 | SR-GEMX-2022-11
Notice & Approval
| Amend the Definition of Short Term Option Series | Approved | Yes | 12/27/2022 | 12/6/2022 | SR-GEMX-2022-10
Notice & Approval
| A proposal to amend certain rules in connection with a technology migration to enhanced Nasdaq, Inc. ('Nasdaq') functionality. | Approved | Yes | 12/16/2022 | 11/25/2022 | SR-GEMX-2022-09
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7. | Approved | Yes | 11/9/2022 | 10/19/2022 | SR-GEMX-2022-08
Notice & Approval
| A proposal to amend the Exchange's port-related fees at Options 7, Section 6. | Approved | Yes | 10/11/2022 | 9/20/2022 | SR-GEMX-2022-07
Notice & Approval
| A proposed rule change to amend the Amended and Restated Certificate of Incorporation of its parent corporation, Nasdaq, Inc., to increase Nasdaq's authorized share capital. | Approved | Yes | 6/13/2022 | 5/23/2022 | SR-GEMX-2022-06
Notice & Approval
| A proposal to amend GEMX's Pricing Schedule at Options 7, Section 3 (Regular Order Fees and Rebates). | Approved | Yes | 6/10/2022 | 5/20/2022 | SR-GEMX-2022-05
Notice & Approval
| A proposal to harmonize various processes and procedures under Options 3, Section 20 with those of its affiliated options exchanges. | Approved | Yes | 4/13/2022 | 3/23/2022 | SR-GEMX-2022-04
Notice & Approval
| A proposal to amend Options 3, Section 20 (Nullification and Adjustment of Options Transactions including Obvious Errors). | Approved | Yes | 2/28/2022 | 2/7/2022 | SR-GEMX-2022-03
Notice & Approval
| A proposal to amend GEMX's Pricing Schedule at Options 7, Section 5 to reduce the GEMX Options Regulatory Fee or 'ORF'. While the changes proposed herein are effective upon filing, the Exchange has designated the amendments become operative on February 1, 2022. | Approved | Yes | 2/22/2022 | 2/1/2022 | SR-GEMX-2022-02
Notice & Approval
| A proposal to amend GEMX's Pricing Schedule at Options 7, Section 5, Legal & Regulatory, to reflect adjustments to FINRA Continuing Education Fees. | Approved | Yes | 2/18/2022 | 1/28/2022 | SR-GEMX-2022-01
Notice & Approval
| A proposal to amend GEMX's Pricing Schedule at Options 7, Section 3, titled 'Regular Order Fees and Rebates.' | Approved | Yes | 2/15/2022 | 1/25/2022 |
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-GEMX-2021-10
Notice
& Approval
|
A proposal to amend GEMX's Pricing Schedule at Options 7, Section 5, Legal and Regulatory, to
reflect adjustments to FINRA Registration Fees. Additionally, this rule change amends the Continuing
Education Fees. |
Approved |
Yes |
12/13/2021 |
11/22/2021 |
SR-GEMX-2021-09
Notice
& Approval
|
A proposal to decommission the Exchange's quote removal Kill Switch functionality
at Options 3, Section 17. |
Approved |
Yes |
10/12/2021 |
9/21/2021 |
SR-GEMX-2021-08
Notice
& Approval
|
A proposal to amend GEMX's Pricing Schedule at Options 7, Section 5 related to the Options
Regulatory Fee or 'ORF'. |
Approved |
Yes |
9/14/2021 |
8/24/2021 |
SR-GEMX-2021-07
Notice
& Approval
|
A proposal to the amendments to GEMX Options 3, Section 8 definition of Valid
Width Quote. |
Approved |
Yes |
8/20/2021 |
7/30/2021 |
SR-GEMX-2021-06
Notice
& Approval
|
A proposal to amend Options 2, Section 5, Market Maker Quotations. |
Approved |
Yes |
8/9/2021 |
7/19/2021 |
SR-GEMX-2021-05
Notice
& Approval
|
A proposal to amend Options 2, Section 4, Obligations of Market Makers. The
Exchange also proposes to add a new Options 4C. |
Approved |
Yes |
7/19/2021 |
6/28/2021 |
SR-GEMX-2021-04
Notice
& Approval
|
A proposal to extend the expiration date of the temporary amendments concerning video conference
hearings from April 30, 2021, to August 31, 2021. |
Approved |
Yes |
6/1/2021 |
5/10/2021 |
SR-GEMX-2021-02
Notice
& Approval
|
A proposal to delete the Exchanges membership rules currently under the General 3
title, incorporate by reference The Nasdaq Stock Market LLCs rules in the General 3 Rule 1000
Series, and other related changes. |
Approved |
Yes |
5/21/2021 |
4/30/2021 |
SR-GEMX-2021-01
Notice
& Approval
|
A proposal to amend various rules in Options 3. |
Approved |
Yes |
4/21/2021 |
3/31/2021 |
rulebook-rulefilings-gemx-2020rulebook-rulefilings-gemx-2020
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-GEMX-2020-21
Notice
& Approval
|
A proposal to harmonize Exchange Rule General 3, Section 2 with recent changes by the Financial
Industry Regulatory Authority, Inc. ('FINRA'). This amendment would temporarily grant the Exchange
Review Council ('ERC') authority to conduct hearings in connection with appeals of Membership
Application Program decisions by video conference, if warranted by the current COVID-19-related
public health risks posed by an in-person hearing. As proposed, the temporary amendment would be in
effect through April 30, 2021. |
Approved |
Yes |
1/19/2021 |
12/29/2020 |
SR-GEMX-2020-19
Notice
& Approval
|
A proposal to amend Options 6, Section 5, titled 'Transfer of Positions.' |
Approved |
Yes |
9/11/2020 |
8/21/2020 |
SR-GEMX-2020-18
Notice
& Approval
|
A proposal to amend Options 7, Section 3, Regular Order Fees and Rebates, and Options 7, Section 4,
Other Options Fees and Rebates. |
Approved |
Yes |
8/20/2020 |
7/30/2020 |
SR-GEMX-2020-16
Notice
& Approval
|
A proposal 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 (the 'OLPP'). |
Approved |
Yes |
7/23/2020 |
7/2/2020 |
SR-GEMX-2020-15
Notice
& Approval
|
A proposed Rule Change to Amend the GEMX Disciplinary Rules in General 5 |
Approved |
Yes |
7/10/2020 |
6/19/2020 |
SR-GEMX-2020-14
Notice
& Approval
|
A proposal to amend GEMX's Pricing Schedule at Options 7, Section 3, 'Regular
Order Fees and Rebates,' and Options 7, Section 4, 'Other Options Fees and Rebates,' regarding the
Market Access and Routing Subsidy. |
Approved |
Yes |
7/8/2020 |
6/17/2020 |
SR-GEMX-2020-13
Notice
& Approval
|
A proposal to amend Options 3, Section 7, 'Types of Orders,' to add other existing order types to
the list of order types. |
Approved |
Yes |
7/6/2020 |
6/12/2020 |
SR-GEMX-2020-12
Notice
& Approval
|
A proposal to amend GEMX's Pricing Schedule. Specifically, the Exchange proposes
to amend Options 7, Section 3, titled 'Regular Order Fees and Rebates.' |
Approved |
Yes |
6/22/2020 |
6/1/2020 |
SR-GEMX-2020-10
Notice
& Approval
|
Proposal to adopt a new rule titled 'Transfer of Positions' within Options 6, Section 5. |
Approved |
Yes |
5/13/2020 |
4/22/2020 |
SR-GEMX-2020-09
Notice
& Approval
|
Proposal to amend GEMX Rules at Options 3, Section 8, titled Options Opening
Process. |
Approved |
Yes |
5/19/2020 |
4/28/2020 |
SR-GEMX-2020-08
Notice
& Approval
|
A proposal to amend GEMX Rules at Options 3, Section 8, titled Opening. |
Approved |
Yes |
4/21/2020 |
3/31/2020 |
SR-GEMX-2020-07
Notice
& Approval
|
Related to the Removal of Obsolete Listing Rules |
Approved |
Yes |
4/16/2020 |
3/26/2020 |
SR-GEMX-2020-06
Notice
& Approval
|
A proposed rule to amend Options 9, Section 21, Anti-Money Laundering Compliance Program |
Approved |
Yes |
3/20/2020 |
2/28/2020 |
SR-GEMX-2020-05
Notice
& Approval
|
Proposed rule 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. |
Approved |
Yes |
3/25/2020 |
3/4/2020 |
SR-GEMX-2020-04
Notice
& Approval
|
Proposal to amend Options 7, Section 3, titled Regular Order Fees and Rebates |
Approved |
Yes |
3/24/2020 |
3/3/2020 |
rulebook-rulefilings-gemx-2019rulebook-rulefilings-gemx-2019
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-GEMX-2019-19
Notice
& Approval
|
Proposal to amend Options 3, Section 3 (Minimum Trading Increments) to extend through June 30, 2020
('Penny Pilot') |
Approved |
Yes |
1/9/2020 |
12/19/2019 |
SR-GEMX-2019-18
Notice
& Approval
|
A proposal to adopt a Mass Cancellation rule and amend other sections of the
Rulebook. |
Approved |
Yes |
1/20/2020 |
12/29/2019 |
SR-GEMX-2019-17
Notice
& Approval
|
A proposal to adopt a new rule titled 'Off-Exchange RWA Transfers' at GEMX Options 6, Section 6.
|
Approved |
Yes |
1/20/2020 |
12/29/2019 |
SR-GEMX-2019-16
Notice
& Approval
|
A proposal to make permanent certain options market rules that are linked to the
equity market Plan to Address Extraordinary Market Volatility. |
Approved |
Yes |
11/14/2019 |
10/24/2019 |
SR-GEMX-2019-15
Notice
& Approval
|
Proposal to amend Options 3, Section 17, which sets forth the Exchanges optional Kill Switch risk
protection. |
Approved |
Yes |
11/24/2019 |
11/3/2019 |
SR-GEMX-2019-14
Notice
& Approval
|
Proposal to amend its Rulebook and By-Laws |
Approved |
Yes |
10/30/2019 |
10/9/2019 |
SR-GEMX-2019-13
Notice
& Approval
|
Proposal to amend Options 3 at Section 4, 'Acceptance of Quotes and Orders,' adopt a new Section 5,
'Entry and Display of Orders,' Section 7, 'Types of Order,' at Supplementary Material .03 and
Section 22 titled 'Limitations on Orders.' The Exchange proposes to amend Options 3, Section 15,
'Simple Order Risk Protections.' |
Approved |
Yes |
10/27/2019 |
10/6/2019 |
SR-GEMX-2019-10
Notice
& Approval
|
Proposed rule change to amend GEMX's Priority of Quotes and Orders rule. |
Approved |
Yes |
10/8/2019 |
9/17/2019 |
SR-GEMX-2019-09
Notice
& Approval
|
A proposal to amend Options 2 Options Market Participants and Options 3 Options Trading Rules
relating to certain order types |
Approved |
Yes |
8/15/2019 |
7/25/2019 |
SR-GEMX-2019-08
Notice
& Approval
|
Proposal to relocate rules from its current Rulebook into its new Rulebook shell
|
Approved |
Yes |
8/5/2019 |
7/15/2019 |
SR-GEMX-2019-07
Notice
& Approval
|
Proposal to Extend the Penny Pilot Program to December 31, 2019 |
Approved |
Yes |
7/15/2019 |
6/24/2019 |
SR-GEMX-2019-06
Notice
& Approval
|
Proposal to amend its rules governing the give up of a Clearing Member by a Member
on Exchange transactions. |
Approved |
Yes |
7/4/2019 |
6/12/2019 |
SR-GEMX-2019-05
Notice
& Approval
|
Proposal to delete the Exchange Registration Rules and incorporate by reference The Nasdaq Stock
Exchange rules at General 4 |
Approved |
Yes |
5/22/2019 |
5/1/2019 |
SR-GEMX-2019-04
Notice
& Approval
|
A proposal to extend the pilot to the close of business on October 18, 2019, for
certain options market rules that are linked to the equity market Plan to Address Extraordinary
Market Volatility. |
Approved |
Yes |
5/7/2019 |
4/16/2019 |
SR-GEMX-2019-03
Notice
& Approval
|
Proposed rule change to adopt the term 'Professional Customer' and reorganize the Rulebook as well
as other technical amendments. |
Approved |
Yes |
4/28/2019 |
4/7/2019 |
SR-GEMX-2019-02
Notice
& Approval
|
Proposal 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 which is June 30 2019 |
Approved |
Yes |
4/24/2019 |
4/3/2019 |
SR-GEMX-2019-01
Notice
& Approval
|
A proposal to revise GEMX's Pricing Schedule to amend its Options Regulatory Fee or 'ORF'. |
Approved |
Yes |
3/13/2019 |
2/20/2019 |
rulebook-rulefilings-gemx-2018
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-GEMX-2018-45
Notice
& Approval
|
A proposed rule change to amend the Exchange's provisions for excluding a day from its volume
calculations for purposes of determining pricing tiers. |
Approved |
Yes |
2/22/2019 |
2/7/2019 |
SR-GEMX-2018-44
Notice
& Approval
|
Proposed Rule Change to Extend the Penny Pilot Program |
Approved |
Yes |
2/21/2019 |
1/31/2019 |
SR-GEMX-2018-43
Notice
& Approval
|
A proposal to delete the Exchange's existing rules on colocation, connectivity, and direct
connectivity, under General 8, and incorporate by
reference into General 8 The Nasdaq Stock Market LLC's ("Nasdaq's") rules on colocation,
connectivity, and direct |
Approved |
Yes |
1/22/2019 |
12/31/2018 |
SR-GEMX-2018-42
Notice
& Approval
|
Proposal to amend Rule 805(b) relating to Market Makers trading in non-appointed
options classes. |
Approved |
Yes |
1/17/2019 |
12/27/2018 |
SR-GEMX-2018-41
Notice
& Approval
|
Proposal to delete GEMX Section 22 of the Rulebook entitled "Rate-Modified Foreign Currency Options
Rules." |
Approved |
Yes |
1/7/2019 |
12/17/2018 |
SR-GEMX-2018-40
Notice
& Approval
|
A proposal to amend Supplementary Material .02 to Rule 715 regarding Cancel and
Replace Orders. |
Approved |
Yes |
1/2/2019 |
12/12/2018 |
SR-GEMX-2018-39
Notice
& Approval
|
Proposal to amend GEMX Rule 701, entitled "Opening," GEMX Rule 803, entitled "Obligations of Market
Makers" and GEMX Rule 100, entitled "Definitions." |
Approved |
Yes |
1/2/2019 |
12/12/2018 |
SR-GEMX-2018-37
Notice
& Approval
|
A proposal to amend its rules related to Market Maker (i.e., Primary Market Maker
and Competitive Market Maker) quoting obligations. |
Approved |
Yes |
12/11/2018 |
11/20/2018 |
SR-GEMX-2018-36
Notice
& Approval
|
A proposal to clarify General 8 of the Exchange's Rules, as further described below. This proposal
does not increase or add any fees. |
Approved |
Yes |
12/7/2018 |
11/16/2018 |
SR-GEMX-2018-35
Notice
& Approval
|
A proposal to delete the current rules on arbitration ("Current Arbitration
Rules"), under Chapter 18, and incorporate by reference The Nasdaq Stock Market LLC's ("Nasdaq")
rules on arbitration at General 6 ("Proposed Arbitration Rules"), into General 6 o |
Approved |
Yes |
11/9/2018 |
10/19/2018 |
SR-GEMX-2018-33
Resubmission 1
Resubmission 2
Resubmission 3
Notice
& Approval
|
Amendments to the Exchange's Registration, Qualification Examination and Continuing Education Rules
|
Approved |
Yes |
11/14/2018 |
10/24/2018 |
SR-GEMX-2018-32
Notice
& Approval
|
Proposal to amend GEMX Rules 100(a)(5) which contains definitions, Rule 711,
Acceptance of Quotes and Orders and Rule 714, Automatic Execution of Orders |
Approved |
Yes |
10/17/2018 |
9/26/2018 |
SR-GEMX-2018-31
Notice
& Approval
|
Proposal to conform the Exchange's By-Law provisions regarding the Chief Regulatory Officer to those
of its affiliate, Nasdaq PHLX LLC. |
Approved |
Yes |
10/16/2018 |
9/25/2018 |
SR-GEMX-2018-29
Resubmission
Notice
& Approval
|
Proposal to (a) relocate the GEMX Schedule of Fees and current Rule 209 to the
Exchange's rulebook's shell structure, and (b) make conforming cross-reference changes throughout
the Rulebook. |
Approved |
Yes |
10/22/2018 |
10/1/2018 |
SR-GEMX-2018-27
Notice
& Approval
|
A proposal to revise GEMXs Schedule of Fees to amend its Options Regulatory Fee or "ORF" |
Approved |
Yes |
9/4/2018 |
8/13/2018 |
SR-GEMX-2018-26
Notice
& Approval
|
Proposed rule change to codify the definitions of the protocols that Members can
use to enter quotes and orders on the Exchange. |
Approved |
Yes |
8/23/2018 |
8/2/2018 |
SR-GEMX-2018-25
Notice
& Approval
|
Proposal to amend GEMX Rule 723, to expand the types of Improvement Orders that may be entered into
the Price Improvement Mechanism. |
Approved |
Yes |
8/10/2018 |
7/20/2018 |
SR-GEMX-2018-24
Resubmission
Notice
& Approval
|
Proposal to align GEMX's existing investigatory and disciplinary processes and
related rules with the investigatory and disciplinary processes and associated rules of Nasdaq BX,
Inc. |
Approved |
Yes |
|
7/31/2018 |
SR-GEMX-2018-23
Notice
& Approval
|
Proposal to amend Exchange rules to extend through December 31, 2018 a pilot program to quote and to
trade certain options classes in penny increments ("Penny Pilot Program"). |
Approved |
Yes |
7/24/2018 |
7/3/2018 |
SR-GEMX-2018-22
Notice
& Approval
|
A proposal to relocate the Exchange's rules pertaining to co-location and direct
connectivity,which are presently at Section IV, subsections D (co-location) and E-G (direct
connectivity) of the Exchange's Schedule of Fees, to the Exchange's new rulebook s |
Approved |
Yes |
7/20/2018 |
6/29/2018 |
SR-GEMX-2018-20
Notice
& Approval
|
A proposal to increase certain route-out fees set forth in Section II.A of the Schedule of Fees.
|
Approved |
Yes |
7/11/2018 |
6/20/2018 |
SR-GEMX-2018-18
Notice
& Approval
|
A proposal to amend and reorganize Chapter IV of the GEMX Schedule of Fees. |
Approved |
Yes |
6/29/2018 |
6/8/2018 |
SR-GEMX-2018-17
Resubmission
Notice
& Approval
|
A proposal to memorialize its order and execution information into GEMX Rule 718, entitled "Data
Feeds." |
Approved |
Yes |
6/29/2018 |
6/8/2018 |
SR-GEMX-2018-16
Notice
& Approval
|
Proposed rule change to amend Supplementary Material .03 to Rule 804 to enhance
anti-internalization functionality. |
Approved |
Yes |
6/13/2018 |
5/23/2018 |
SR-GEMX-2018-15
Resubmission
Notice
& Approval
|
A proposal to amend Supplementary Material to Rule 706 to harmonize its sponsored access rules with
those of its affiliates, The Nasdaq Stock Market LLC ("NQX"), Nasdaq BX, Inc. ("BX") and Nasdaq PHLX
LLC ("PHLX," and together with NQX and BX, "Nasdaq Exc |
Approved |
Yes |
6/11/2018 |
5/21/2018 |
SR-GEMX-2018-13
Notice
& Approval
|
A proposal to incorporate by reference The Nasdaq Stock Market LLC's ("Nasdaq")
rule at General 7, entitled "Consolidated Audit Trail Compliance" into GEMX's General 7. |
Approved |
Yes |
|
4/26/2018 |
SR-GEMX-2018-12
Notice
& Approval
|
A proposed rule change to codify within Rule 718, which rule is currently reserved, the data feeds
that are currently offered on GEMX |
Approved |
Yes |
|
4/19/2018 |
SR-GEMX-2018-11
Notice
& Approval
|
Proposal to amend Chapter IV of the Exchange's Schedule of Fees to harmonize it
with the rules of Nasdaq BX, Inc. |
Approved |
Yes |
|
4/10/2018 |
SR-GEMX-2018-09
Notice
Amendment
1
SEC Extension
Approval
|
Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets.
|
Approved |
Yes |
|
3/14/2018 |
SR-GEMX-2018-07
Notice
& Approval
|
A proposal to amend Rule 100 to include Monday and Wednesday expirations for
options listed pursuant to the Short Term Option Series Program. |
Approved |
Yes |
3/16/2018 |
2/23/2018 |
SR-GEMX-2018-06
Notice
& Approval
|
a proposal to amend Port Fees at Section IV, E to indicate those fees are not prorated. |
Approved |
Yes |
3/14/2018 |
2/21/2018 |
SR-GEMX-2018-05
Notice
& Approval
|
Proposal to memorialize functionality which is designed to assist Members in the
event that they lose communication with their assigned Specialized Quote Feed, Financial Information
eXchange, or Ouch to Trade Options Ports due to a loss of connectivity. |
Approved |
Yes |
3/13/2018 |
2/20/2018 |
SR-GEMX-2018-04
Notice
& Approval
|
A proposal to amend the Exchange's Schedule of Fees to eliminate obsolete text related to Gateway
Fees |
Approved |
Yes |
3/14/2018 |
2/21/2018 |
SR-GEMX-2018-02
Notice
& Approval
|
Proposal to relocate the Exchange's Consolidated Audit Trail Compliance rules.
|
Approved |
Yes |
2/23/2018 |
2/2/2018 |
SR-GEMX-2018-01
Notice
& Approval
|
Proposal to amend GEMX Rule 805 to permit Market Makers to enter additional order types in the
options classes to which they are appointed. |
Approved |
Yes |
2/13/2018 |
1/23/2018 |
rulebook-rulefilings-gemx-2017rulebook-rulefilings-gemx-2017
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-GEMX-2017-63
Notice
& Approval
|
Proposal to amend the Exchange's Schedule of Fees at Chapter V, Section H, to introduce a monthly
fee of $500 for unlimited internal and/or external distribution of the Nasdaq GEMX Trade Feed. |
Approved |
Yes |
2/6/2018 |
1/16/2018 |
SR-GEMX-2017-62
Notice
& Approval
|
Proposal to amend the Exchange's Schedule of Fees to (i) eliminate the annual
regulatory fee currently assessed to Market Makers and (ii) make a number of non-substantive
clean-up changes to update the Table of Contents. |
Approved |
Yes |
2/2/2018 |
1/12/2018 |
SR-GEMX-2017-60
Notice
& Approval
|
A proposal to amend various fees and rebates set forth in Section I of the Exchanges Schedule of
Fees. |
Approved |
Yes |
2/1/2018 |
1/11/2018 |
SR-GEMX-2017-57
Notice
& Approval
|
Proposed rule change to extend the Exchange's Penny Pilot Program. |
Approved |
Yes |
1/16/2018 |
12/26/2017 |
SR-GEMX-2017-56
Notice
& Approval
|
Proposal to amend Rule 701 to specify the obligations of a Primary Market Maker when entering Valid
Width Quotes during the Opening Process. |
Approved |
Yes |
1/10/2018 |
12/20/2017 |
SR-GEMX-2017-55
Notice
& Approval
|
Proposal to amend a subsidy program, the Market Access and Routing Subsidy, for
GEMX Members that provide certain order routing functionalities to other GEMX Members and/or use
such functionalities themselves. |
Approved |
Yes |
1/10/2018 |
12/20/2017 |
SR-GEMX-2017-54
Notice
& Approval
|
Proposal to amend the structure of the GEMX rulebook. |
Approved |
Yes |
12/26/2017 |
12/5/2017 |
SR-GEMX-2017-53
Notice
& Approval
|
Proposal to delay the implementation of Qualified Contingent Cross Order
functionalities on GEMX. |
Approved |
Yes |
12/26/2017 |
12/4/2017 |
SR-GEMX-2017-52
Notice
& Approval
|
Proposal to remove Directed Order functionality on GEMX. |
Approved |
Yes |
12/15/2017 |
11/24/2017 |
SR-GEMX-2017-51
Notice
& Approval
|
Proposal to amend Rule 713 to delete Supplementary Material .02, which no longer
is applicable. |
Approved |
Yes |
12/18/2017 |
11/27/2017 |
SR-GEMX-2017-50
Notice
& Approval
|
Proposal to memorialize an optional Kill Switch protection. |
Approved |
Yes |
11/24/2017 |
11/2/2017 |
SR-GEMX-2017-49
Notice
& Approval
|
Proposal to amend Rule 723 (Price Improvement Mechanism for Crossing Transactions)
to remove obsolete rule text. |
Approved |
Yes |
11/20/2017 |
10/30/2017 |
SR-GEMX-2017-48
Notice
& Approval
|
Proposal to amend the Exchange's Schedule of Fees to: (i) delete fees and descriptions thereof for
connectivity no longer used by the Exchange; and (ii) add new fees for co-location services, direct
circuit connections to the Exchange, connections to thir |
Approved |
Yes |
11/15/2017 |
10/25/2017 |
SR-GEMX-2017-44
Notice
& Approval
|
Amend Port Cap Fees |
Approved |
Yes |
11/13/2017 |
10/20/2017 |
SR-GEMX-2017-43
Notice
& Approval
|
Proposed rule change to amend Rule 716(c) to more accurately describe the allocation methodology
used in the Block Order Mechanism, and add language regarding how the block execution price is
determined. |
Approved |
Yes |
10/26/2017 |
10/5/2017 |
SR-GEMX-2017-42
Notice
& Approval
|
A proposal to amend its Schedule of Fees to offer monthly subscriptions for Open
and Close Trade Profile Information. |
Approved |
Yes |
10/12/2017 |
9/21/2017 |
SR-GEMX-2017-40
Resubmission
Notice
& Approval
|
A 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. |
Approved |
Yes |
10/25/2017 |
10/4/2017 |
SR-GEMX-2017-39
|
Proposal to create a subsidy program, the Market Access and Routing Subsidy, for
GEMX Members that provide certain order routing functionalities to other GEMX Members and/or use
such functionalities themselves. |
Approved |
No |
|
|
SR-GEMX-2017-38
Resubmission 1
Resubmission 2
|
Proposal to amend GEMX Rule 701, entitled "Opening." |
Approved |
No |
|
|
SR-GEMX-2017-37
Notice
Amendment
1
Approval
|
Proposal to adopt new organizational documents that set forth a corporate
governance framework and related processes substantially similar to those of the Nasdaq Exchanges.
|
Approved |
Yes |
9/13/2017 |
8/23/2017 |
SR-GEMX-2017-36
Notice
& Approval
|
A proposal to amend Rule 720, Nullification and Adjustment of Options Transactions including Obvious
Errors. |
Approved |
Yes |
9/5/2017 |
8/14/2017 |
SR-GEMX-2017-32
Notice
& Approval
|
Proposal to amend Exchange Rule 804, entitled "Market Maker Quotations." |
Approved |
Yes |
8/16/2017 |
7/26/2017 |
SR-GEMX-2017-31
Resubmission
Notice
& Approval
|
Proposal to revise GEMX's Schedule of Fees to: (i) more closely reflect the manner in which GEMX
assesses and collects its ORF; and (ii) remove rule text related to the timing when the Exchange may
increase or decrease the amount of the ORF. |
Approved |
Yes |
9/5/2017 |
8/14/2017 |
SR-GEMX-2017-30
Notice
& Approval
|
Proposal to remove outdated rule text from GEMX's Rulebook and Fee Schedule. |
Approved |
Yes |
8/10/2017 |
7/20/2017 |
SR-GEMX-2017-29
Notice
& Approval
|
Proposal to amend the Schedule of Fees to assess fees for OTTO Port, CTI Port, FIX Port, FIX Drop
Port and Disaster Recovery Port connectivity, and to provide monthly cap on those fees of $7,500.
|
Approved |
Yes |
8/9/2017 |
7/19/2017 |
SR-GEMX-2017-28
Notice
& Approval
|
Proposal to amend GEMX Rule 715(b)(3) to specify an exception to the manner in
which Immediate-or-Cancel Orders is handled by the System when entered through the Specialized Quote
Feed protocol. |
Approved |
Yes |
8/4/2017 |
7/14/2017 |
SR-GEMX-2017-25
Notice
& Approval
|
A proposal to apply the Non-Priority Customer license surcharge set forth in Section I of the
Schedule of Fees to orders that are routed to away markets. |
Approved |
Yes |
7/21/2017 |
6/30/2017 |
SR-GEMX-2017-24
Notice
SEC
Extension
Amendment 1
Approval
|
Proposal to adopt Rule 912 (Consolidated Audit Trail - Fee Dispute Resolution) to
establish the procedures for resolving potential disputes related to CAT Fees charged to Industry
Members. |
Approved |
Yes |
7/14/2017 |
6/23/2017 |
SR-GEMX-2017-23
Notice
& Approval
|
Proposal to amend the Exchange's Fee Schedule to add a percentage measurement as an alternative way
of qualifying for Tiers 2 - 4 of the Total Affiliated Member ADV for purposes of calculating a
member's fees and rebates for purposes of Section I. |
Approved |
Yes |
7/11/2017 |
6/20/2017 |
SR-GEMX-2017-21
Notice
& Approval
|
A proposed rule change to amend its rules to extend a pilot program to quote and
to trade certain options classes in penny increments ("Penny Pilot Program"). |
Approved |
Yes |
6/27/2017 |
6/6/2017 |
SR-GEMX-2017-20
Notice
& Approval
|
Proposed rule change to amend the Schedule of Fees to assess fees for SQF and SQF Purge Ports that
members will use to connect to the Exchange. |
Approved |
Yes |
6/26/2017 |
6/5/2017 |
SR-GEMX-2017-16
Notice
& Approval
|
Proposal to conform Exchange's cancel and replace rule change with that of Nasdaq
ISE, LLC, which was recently filed. |
Approved |
Yes |
6/21/2017 |
5/31/2017 |
SR-GEMX-2017-13
Notice
& Approval
|
A proposal to amend the Exchange's Schedule of Fees to offer the historical GEMX Open/Close Trade
Profile, which will offer historical opening and closing trade data for each GEMX-listed option on
both an intraday and end-of-day basis. |
Approved |
Yes |
6/14/2017 |
5/24/2017 |
SR-GEMX-2017-10
Resubmission
Notice
& Approval
|
Proposal to amend Rule 701, entitled "Opening." |
Approved |
Yes |
6/20/2017 |
5/30/2017 |
SR-GEMX-2017-07
Notice
& Approval
|
A proposed rule change to establish ports that members use to connect to the Exchange with the
migration of the Exchange's trading system to the Nasdaq INET architecture. |
Approved |
Yes |
6/6/2017 |
5/16/2017 |
SR-GEMX-2017-05
Notice
& Approval
|
A proposal to amend the Exchange's Schedule of Fees to amend pricing related to
options overlying NDX and MNX. |
Approved |
Yes |
6/6/2017 |
5/16/2017 |
SR-GEMX-2017-04
Resubmission
Notice
& Approval
|
Proposal to amend GEMX Rule 804(h) regarding quote mitigation. |
Approved |
Yes |
5/30/2017 |
5/8/2017 |
SR-GEMX-2017-03
Resubmission
Notice
& Approval
|
A proposal to amend the Rulebook and Schedule of Fees to incorporate certain name
changes. |
Approved |
Yes |
5/15/2017 |
4/24/2017 |
SR-ISEGemini-2017-14
Amendment 1
Notice & Approval
|
A proposed rule change to amend Supplementary Material .03 to Rule 713 to change the allocation
entitlement for Preferred PMMs. |
Approved |
Yes |
4/10/2017 |
3/20/2017 |
SR-ISEGemini-2017-13
Notice & Approval
|
Proposal to amend the Exchange's Constitution, Second Amended and Restated LLC
Agreement, Rule Book, and Fee Schedule to rename itself Nasdaq GEMX, LLC. |
Approved |
Yes |
4/11/2017 |
3/21/2017 |
SR-ISEGemini-2017-12
Notice & Approval
|
Proposal to decommission Exchange's "Tick-Worse" functionality and to amend Rule 713 relating to the
priority of split price transactions. |
Approved |
Yes |
4/6/2017 |
3/16/2017 |
SR-ISEGemini-2017-11
Notice & Approval
|
Proposal to amend Rule 705 to harmonize Exchange liability caps and related
reimbursement requirements with those of NASDAQ BX, Inc., NASDAQ PHLX LLC and The NASDAQ Stock
Market LLC. |
Approved |
Yes |
4/6/2017 |
3/16/2017 |
SR-ISEGemini-2017-10
Notice & Approval
|
Proposed rule change to amend the Schedule of Fees to adopt fees for the new ports that members will
use to connect to the Exchange following the migration of the Exchange's trading system to the
Nasdaq INET architecture. |
Approved |
Yes |
4/6/2017 |
3/16/2017 |
SR-ISEGemini-2017-09
Notice & Approval
|
Proposed rule change to amend the Schedule of Fees to eliminate fees and rebates
for trades in Calpine Corporation executed on February 27 - 28, 2017, and modify the Exchange's
average daily volume calculation for March 2017. |
Approved |
Yes |
4/5/2017 |
3/15/2017 |
SR-ISEGemini-2017-08
Notice & Approval
|
Proposal to provide that All-Or-None Orders may only be entered into the trading system with a
time-in-force designation of Immediate-Or-Cancel. |
Approved |
Yes |
3/23/2017 |
3/2/2017 |
SR-ISEGemini-2017-07
Notice & Approval
|
Proposal to define the manner in which cancel and replace orders will be handled
with the transition of the Exchange's technology migration to INET. |
Approved |
Yes |
3/23/2017 |
3/2/2017 |
SR-ISEGemini-2017-05
Notice & Approval
|
Proposal to delay the implementation of the Block Order Mechanism functionality on ISE Gemini. |
Approved |
Yes |
3/23/2017 |
3/2/2017 |
SR-ISEGemini-2017-04
Notice
Amendment 1
Approval
|
Proposed rule change to adopt Chapter 9 and the rules contained therein to
implement the compliance rule regarding the National Market System Plan Governing the Consolidated
Audit Trail. |
Approved |
Yes |
3/2/2017 |
2/9/2017 |
SR-ISEGemini-2017-01
Notice & Approval
|
Proposed rule to amend the Schedule of Fees to eliminate the Performance Routing Program. |
Approved |
Yes |
2/13/2017 |
1/23/2017 |
rulebook-rulefilings-gemx-2016rulebook-rulefilings-gemx-2016
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-ISEGemini-2016-25
Notice & Approval
|
A proposal to amend its rules to extend the Penny Pilot, a pilot program to quote and to trade
certain options classes in penny increments. |
Approved |
Yes |
1/31/2017 |
1/10/2017 |
SR-ISEGemini-2016-24
Resubmission
Notice & Approval
|
A proposal to amend ISE Gemini Rule 803 at Supplementary Material .02 in
connection with business continuity and disaster recovery plans testing requirements for certain
Members in connection with Regulation Systems Compliance and Integrity ("Reg SCI"). |
Approved |
Yes |
1/17/2017 |
12/27/2016 |
SR-ISEGemini-2016-23
Notice
Approval
|
A proposal to amend Rule 723 to make the Price Improvement Mechanism pilot ("PIM Pilot") permanent,
and to change the requirements for providing price improvement for Agency Orders of less than 50
option contracts. |
Approved |
Yes |
1/9/2017 |
12/19/2016 |
SR-ISEGemini-2016-22
Notice & Approval
|
A proposal to adjust qualifying tier thresholds and fees and rebates under the
Schedule of Fees. |
Approved |
Yes |
1/18/2017 |
12/28/2016 |
SR-ISEGemini-2016-20
Notice & Approval
|
A proposal to remove direct debit for market data products. |
Approved |
Yes |
1/11/2016 |
12/21/2016 |
SR-ISEGemini-2016-18
Resubmission 1
Resubmission 2
Notice
Amendment 1
Approval
|
A proposal to amend the opening process. |
Approved |
Yes |
1/19/2017 |
12/29/2016 |
SR-ISEGemini-2016-17
Resubmission 1
Resubmission 2
Notice
Amendment 1
Amendment 2
Approval
|
A proposal to amend various rules in connection with a system migration to Nasdaq INET technology.
|
Approved |
Yes |
1/19/2017 |
12/29/2016 |
SR-ISEGemini-2016-16
Resubmission
Amendment 1
Amendment 2
Notice
Approval
|
Proposal to (1) permit the Exchange to receive inbound orders in options routed
through Nasdaq Execution Services, LLC and (2) grant the Exchange an exemption to permit NES, an
affiliate of the Exchange, to become a Member of the Exchange. |
Approved |
Yes |
1/19/2017 |
12/29/2016 |
SR-ISEGemini-2016-14
Notice
Approval
|
Amend Rules 716 (Block Trades) and 723 (Price Improvement Mechanism for Crossing Transactions) to
reduce the response times in the Block Order Mechanism, Facilitation Mechanism, Solicited Order
Mechanism, and Price Improvement Mechanism. |
Approved |
Yes |
12/16/2016 |
11/25/2016 |
SR-ISEGemini-2016-13
Notice & Approval
|
Proposal to correct typographical errors and delete obsolete rule text imported
from the International Securities Exchange rulebook. |
Approved |
Yes |
12/5/2016 |
11/14/2016 |
SR-ISEGemini-2016-12
Amendment 1
Resubmission
Notice & Approval
|
A proposal to adopt a new Rule 209 entitled, "Collection of Exchange Fees and Other Claims" to
require Members to provide a clearing account number at the National Securities Clearing
Corporation. |
Approved |
Yes |
10/27/2016 |
10/6/2016 |
SR-ISEGemini-2016-11
Resubmission
Notice & Approval
|
Proposal to amend a current billing practice with respect to billing disputes.
|
Approved |
Yes |
11/3/2016 |
10/13/2016 |
SR-ISEGemini-2016-10
Notice
Amendment 1
Approval
|
A proposed rule change with respect to amendments of the By-Laws of its parent corporation, Nasdaq,
Inc., to implement proxy access. |
Approved |
Yes |
10/26/2016 |
10/5/2016 |
SR-ISEGemini-2016-08
Notice & Approval
|
A proposal to amend Exchange Rule 100(a)(37C) (Definitions) to add specificity to
the definition of a Professional. |
Approved |
Yes |
10/5/2016 |
9/14/2016 |
SR-ISEGemini-2016-07
Notice & Approval
|
Proposed rule change to extend the PIM pilot. |
Approved |
Yes |
8/11/2016 |
7/21/2016 |
SR-ISEGemini-2016-06
Notice & Approval
|
Proposal to extend the penny pilot. |
Approved |
Yes |
7/28/2016 |
7/7/2016 |
SR-ISEGemini-2016-05
|
Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent |
Approved |
No |
|
|
SR-ISEGemini-2016-04
|
Proposed Rule Change to Amend the Schedule of Fees |
Approved |
No |
|
|
SR-ISEGemini-2016-03
Notice
Approval
|
Proposed Rule Change Related to Market Wide Risk Protection |
Approved |
Yes |
4/27/2016 |
4/6/2016 |
SR-ISEGemini-2016-02
|
Proposed Rule Change to Limit Mandatory Participation in Scheduled Functional and
Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified
Criteria |
Approved |
No |
|
|
SR-ISEGemini-2016-01
|
Proposed Rule Change to Correct the Text of ISE Gemini Rule 306 |
Approved |
No |
|
|
rulebook-rulefilings-gemx-2015rulebook-rulefilings-gemx-2015
|