rulebook-banner
Nasdaq Rulebook Search Banner
rulebook-rulefilings-menu
BSECC  | BX  | GEMX  | ISE  | MRX  | Nasdaq  | PHLX  | SCCP  
Print   Copy Link Subscribe
Search in
Search
Print | Copy Link |
Home > The Nasdaq Stock Market Rule Filings
Rulebook    |   Rule Filings    |   Advanced Search
Rule Filings
rulebook-rulefilings-gemx-menurulebook-rulefilings-gemx-menu
rulebook-rulefilings-gemx-2021rulebook-rulefilings-gemx-2021
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
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-2021-03
Notice & Approval
Suspension
A proposed to the rule change to adopt a fee schedule to establish fees for Industry Members related to the National Market System Plan Governing the Consolidated Audit Trail (the 'CAT NMS Plan' or 'Plan'). Suspended 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-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-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-2015
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-ISEGemini-2015-28
Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories Approved No
SR-ISEGemini-2015-26
Proposed Rule Change to Amend the Schedule of Fees Approved No
SR-ISEGemini-2015-23
Notice & Approval
Proposed Rule Change to Comply with the Requirements of Rule 1004 of Regulation SCI Approved No
SR-ISEGemini-2015-22
Proposed Rule Change to Extend the Limit Up-Limit Down Obvious Error Pilot Approved No
SR-ISEGemini-2015-21
Proposed Rule Change to Amend the Schedule of Fees Approved No
SR-ISEGemini-2015-20
Proposed Rule Change to Amend the Schedule of Fees Approved No
SR-ISEGemini-2015-19
Proposed Rule Change to Amend the Schedule of Fees Approved No
SR-ISEGemini-2015-17
Notice
SEC Extension 1
OIP
SEC Extension 1
Disapproval
Proposed Rule Change to Amend Rule 804(g) Disapproved Yes 12/21/2015 11/30/2015
SR-ISEGemini-2015-16
Proposed Rule Change to Amend the Schedule of Fees Approved No
SR-ISEGemini-2015-14
Proposed Rule Change Adopting a Principles-Based Approach to Prohibit the Misuse of Material, Non-public Information by Market Makers by Deleting Rule 810 Approved No
SR-ISEGemini-2015-13
Proposed Rule Change to Extend the Price Improvement Mechanism Pilot Program (PIM Pilot) Approved No
SR-ISEGemini-2015-12
Proposed Rule Change to Extend the Penny Pilot Program Approved No
SR-ISEGemini-2015-11
Proposed Rule Change Related to the Nullification and Adjustment of Options Transactions including Obvious Errors Approved No
SR-ISEGemini-2015-10
Notice & Approval
Proposed Rule Change Amending its Information Barrier Rules Approved Yes 5/18/2015 4/27/2015
SR-ISEGemini-2015-09
Notice & Approval
Proposed Rule Change to Amend the Schedule of Fees to Introduce a New "Retail" Designation for Priority Customer Orders Approved Yes 6/10/2015 5/20/2015
SR-ISEGemini-2015-08
Proposed Rule Change to Share Member-Designated Risk Settings in the Trading System with Clearing Members Approved No
SR-ISEGemini-2015-07
Proposed Rule Change to Amend the Schedule of Fees Approved No
SR-ISEGemini-2015-06
Proposed Rule Change to Amend the Schedule of Fees Approved No
SR-ISEGemini-2015-05
Proposed Rule Change to Extend the Limit Up-Limit Down Obvious Error Pilot Approved No
SR-ISEGemini-2015-04
Notice & Approval
Proposed Rule Change to Amend the Schedule of Fees Approved Yes 3/30/2016 3/9/2015
SR-ISEGemini-2015-03
Notice & Approval
Proposed Rule Change to Amend the Schedule of Fees Approved Yes 3/3/2015 2/10/2015
SR-ISEGemini-2015-02
Notice & Approval
Proposed Rule Change to Amend the Schedule of Fees Approved Yes 2/18/2015 1/28/2015
 
home_footer_links
Copyright_statement
App Store       Google Play       Listing Center Content RSS Feed
The Nasdaq Stock Market, Nasdaq, The Nasdaq Global Select Market, The Nasdaq Global Market, The Nasdaq Capital Market, ExACT and Exchange Analysis and Compliance Tracking system are trademarks of Nasdaq, Inc.
FINRA® and Financial Industry Regulatory Authority, Inc.® are registered trademarks of Financial Industry Regulatory Authority, Inc. OTCBBTM and OTC Bulletin BoardTM are trademarks of FINRA