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Rule Filings
rulebook-rulefilings-mrx-menurulebook-rulefilings-mrx-menu
- MRX 2024
- 2023
- 2022
- 2021
- 2020
- 2019
- 2018
- 2017
- 2016
rulebook-rulefilings-mrx-2024rulebook-rulefilings-mrx-2024| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-MRX-2024-42
| A proposal to increase the Exchange's port fees in Options 7, Section 6. | Pending | No | | | SR-MRX-2024-41
| A proposal to amend the Exchange's fees for connectivity and co-location services. | Pending | No | | | SR-MRX-2024-40
| A proposal to allow unlimited external distribution of Derived Data from MRX Options Trade Outline. | Pending | No | | | SR-MRX-2024-39
| A proposal to amend MRX's Pricing Schedule at Options 7, Section 5C, Options Regulatory Fee. | Pending | No | | | SR-MRX-2024-37
Notice & Approval
| A proposal to establish fees for its expanded co-location services. | Approved | Yes | 11/1/2024 | 10/11/2024 | SR-MRX-2024-36
Notice & Approval
| A proposal to expand its co-location services. | Approved | Yes | 10/15/2024 | 9/24/2024 | SR-MRX-2024-35
Notice & Approval
| A proposal to Initiate Distributor Fees for MRX Options Trade Outline. | Approved | Yes | 10/8/2024 | 9/17/2024 | SR-MRX-2024-33
Notice & Approval
| A proposal to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail incurred prior to January 1, 2022. | Approved | Yes | 10/3/2024 | 9/12/2024 | SR-MRX-2024-32
Notice & Approval
| A proposed rule change to establish fees for Industry Members related to reasonably budgeted CAT costs of the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan") for the period from July 16, 2024 through December 31, 2024. | Approved | Yes | 9/26/2024 | 9/5/2024 | SR-MRX-2024-31
Notice & Approval
| A proposal to introduce MRX Options Trade Outline. | Approved | Yes | 9/17/2024 | 8/27/2024 | SR-MRX-2024-30
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 3. | Approved | Yes | 9/9/2024 | 8/19/2024 | SR-MRX-2024-29
Notice & Approval
| A Proposal to Amend Options 7, Section 3 | Approved | Yes | 8/22/2024 | 8/1/2024 | SR-MRX-2024-27
Notice & Approval
| A proposal to amend Options 2, Sections 5, 6 and 10; and Options 3, Sections 7 and 17; and Options 7, Section 6. | Approved | Yes | 8/23/2024 | 8/2/2024 | SR-MRX-2024-25
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7 | Approved | Yes | 8/19/2024 | 7/29/2024 | SR-MRX-2024-19
Notice & Approval
| A proposal to launch Proximity-On-Demand, a managed colocation solution. | Approved | Yes | 8/6/2024 | 7/16/2024 | SR-MRX-2024-12
Notice & Approval
| A proposal to amend the Exchange's Cabinet Proximity Option Fee at General 8, Section 1. | Approved | Yes | 6/18/2024 | 5/28/2024 | SR-MRX-2024-08
Notice & Approval
| A proposal to amend the regular taker fees in the MRX Pricing Schedule at Options 7, Section 3. | Approved | Yes | 4/16/2024 | 3/26/2024 | SR-MRX-2024-03
Notice & Approval
| A proposal to expand the Exchange's Cabinet Proximity Option program. | Approved | Yes | 3/27/2024 | 3/6/2024 |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-MRX-2023-24
Notice & Approval
| A proposal to amend the Exchange's GPS antenna fees at General 8, Section 1. | Approved | Yes | 1/5/2024 | 12/15/2023 | SR-MRX-2023-22
Notice & Approval
| A proposal to amend Options 3, Section 7, Types of Orders and Order and Quote Protocols, and Options 3, Section 16, Complex Order Risk Protection. | Approved | Yes | 1/2/2024 | 12/12/2023 | SR-MRX-2023-20
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 5, Other Options Fees and Rebates. | Approved | Yes | 12/11/2023 | 11/20/2023 | SR-MRX-2023-18
Notice & Approval
| A proposal to amend Options 3, Section 11, Auction Mechanisms, and Options 3, Section 13, Price Improvement Mechanisms for Crossing Transactions. | Approved | Yes | 10/25/2023 | 10/4/2023 | SR-MRX-2023-17
Notice & Approval
| A proposal to amend its Pricing Schedule at Options 7 to specify pricing related to unrelated market or marketable interest. | Approved | Yes | 10/20/2023 | 9/29/2023 | SR-MRX-2023-16
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-MRX-2023-15
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 3 (Regular Order Fees and Rebates). | Approved | Yes | 9/8/2023 | 8/18/2023 | SR-MRX-2023-14
Notice & Approval
| A proposal to amend Options 3, Section 15 (Risk Protections) to adopt an active quote protection. | Approved | Yes | 9/15/2023 | 8/25/2023 | SR-MRX-2023-12
Notice & Approval
| A proposed rule change regarding a stockholders' agreement by and among the Exchange's parent corporation, Nasdaq, Inc., Adenza Parent, LP, a Delaware limited partnership, and the other parties thereto. | Approved | Yes | 9/5/2023 | 8/14/2023 | SR-MRX-2023-11
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 3 (Regular Order Fees and Rebates). | Approved | Yes | 7/21/2023 | 6/30/2023 | SR-MRX-2023-10
Notice & Approval
| A proposal to amend Options 3, Section 7, Types of Orders and Order and Quote Protocols; Options 3, Section 11, Auction Mechanisms; Options 3, Section 12, Crossing Orders, Section 13, Price Improvement Mechanisms for Crossing Transactions; Options 3, Section 14, Complex Orders; Options 3, Section 15, Simple Order Risk Protections; and Options 3, Section 16, Complex Order Risk Protections. | Approved | Yes | 7/12/2023 | 6/21/2023 | SR-MRX-2023-08
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 3 (Regular Order Fees and Rebates). | Approved | Yes | 6/1/2023 | 5/11/2023 | SR-MRX-2023-07
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 3 (Regular Order Fees and Rebates). | Approved | Yes | 4/11/2023 | 3/21/2023 | SR-MRX-2023-06
Notice & Approval
| A proposal to amend MRX's Pricing Schedule at Options 7, Section 7. | Approved | Yes | 3/16/2023 | 2/23/2023 | SR-MRX-2023-05
Notice & Approval
| A proposal to amend MRX's Pricing Schedule at Options 7, Section 6. | Approved | Yes | 3/3/2023 | 2/10/2023 | SR-MRX-2023-03
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 4 (Complex Order Fees). | Approved | Yes | 3/14/2023 | 2/21/2023 |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-MRX-2022-26
Notice & Approval
| A proposal to amend MRX's Pricing Schedule at Options 7, Section 5, Other Options Fees and Rebates, to reflect adjustments to FINRA Registration Fees and Fingerprinting Fees. | Approved | Yes | 1/9/2023 | 12/19/2022 | SR-MRX-2022-25
Notice & Approval
| A proposal to amend Options 1, General Provisions. The Exchange also proposes amendments within Options 7, Pricing Schedule and General 2, Organization and Administration. | Approved | Yes | 12/27/2022 | 12/6/2022 | SR-MRX-2022-24
Notice & Approval
| A proposal to amend MRX's Pricing Schedule at Options 7, Section 5 related to Membership Fees | Approved | Yes | 12/6/2022 | 11/15/2022 | SR-MRX-2022-23
Notice & Approval
| A proposal related to intermarket sweep order (ISO) functionality. | Approved | Yes | 11/22/2022 | 11/1/2022 | SR-MRX-2022-21
Notice & Approval
| A proposal to amend MRX's Pricing Schedule at Options 7. | Approved | Yes | 11/17/2022 | 10/27/2022 | SR-MRX-2022-18
Notice & Approval
| A proposal to amend MRX rules in connection with a technology migration to enhanced Nasdaq functionality. | Approved | Yes | 11/1/2022 | 10/11/2022 | SR-MRX-2022-16
Notice & Approval
| A proposal to amend certain rules in connection with a technology migration to enhanced Nasdaq, Inc. functionality. | Approved | Yes | 10/13/2022 | 9/22/2022 | SR-MRX-2022-15
Notice & Approval
| A proposal to amend the Exchange's port-related fees at Options 7, Section 6. | Approved | Yes | 10/12/2022 | 9/21/2022 | SR-MRX-2022-10
Notice
SEC Extension
Amendment 1
Approval
| A proposal to amend Options 3, Section 7, Types of Orders and Order and Quote Protocols; Options 3, Section 10, Priority of Quotes and Orders; Options 3, Section 13, Price Improvement Mechanisms for Crossing Transactions; Options 3, Section 14, Complex Orders; and Options 3, Section 16, Complex Risk Protections. | Approved | Yes | 8/19/2022 | 7/29/2022 | SR-MRX-2022-05
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-MRX-2022-03
Notice & Approval
| A proposal to harmonize various processes under Options 3, Section 20 across the affiliated Nasdaq options exchanges. | Approved | Yes | 4/13/2022 | 3/23/2022 | SR-MRX-2022-02
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-MRX-2022-01
Notice & Approval
| A proposal to amend MRX's Pricing Schedule at Options 7, Section 5, Other Options Fees and Rebates, to reflect adjustments to FINRA Continuing Education Fees. | Approved | Yes | 2/18/2022 | 1/28/2022 |
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-MRX-2021-12
Notice
& Approval
|
A proposal to amend MRX's Pricing Schedule at Options 7, Section 1, General Provisions. |
Approved |
Yes |
1/10/2022 |
12/20/2021 |
SR-MRX-2021-11
Notice
& Approval
|
A proposal to amend MRX's Pricing Schedule at Options 7, Section 5, Other Options
Fees and Rebates, to reflect adjustments to FINRA Registration Fees. Additionally, this rule change
adds Continuing Education Fees. |
Approved |
Yes |
12/13/2021 |
11/22/2021 |
SR-MRX-2021-10
Notice
& Approval
|
A proposal to Change Options 3, Section 17. |
Approved |
Yes |
10/12/2021 |
9/21/2021 |
SR-MRX-2021-09
Notice
& Approval
|
A proposal to amend MRX Options 3, Section 8, 'Options Opening Process'. |
Approved |
Yes |
8/20/2021 |
7/30/2021 |
SR-MRX-2021-08
Notice
& Approval
|
A proposal to amend Options 2, Section 5, Market Maker Quotations. |
Approved |
Yes |
8/9/2021 |
7/19/2021 |
SR-MRX-2021-07
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-MRX-2021-06
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-MRX-2021-04
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule at Options 7 |
Approved |
Yes |
5/24/2021 |
5/3/2021 |
SR-MRX-2021-03
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-MRX-2021-01
Notice
& Approval
|
A proposal to amend various rules in Options 3. |
Approved |
Yes |
4/21/2021 |
3/31/2021 |
rulebook-rulefilings-mrx-2020rulebook-rulefilings-mrx-2020
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-MRX-2020-23
Notice
& Approval
|
A proposal to harmonize Exchange rules with recent changes by the Financial Industry Regulatory
Authority, Inc. to FINRA Rule 1015 |
Approved |
Yes |
1/19/2021 |
12/29/2020 |
SR-MRX-2020-21
Notice
& Approval
|
A proposal to amend its Pricing Schedule at Options 7, Section 1, 'General
Provisions,' to permit certain affiliated market participants to aggregate volume and qualify for
certain pricing incentives. |
Approved |
Yes |
12/15/2020 |
11/24/2020 |
SR-MRX-2020-19
Notice
& Approval
|
A proposal to amend the Exchange's Pricing Schedule to enhance participation in the Exchange's
Affiliated Entities program in order to encourage additional order flow to the Exchange. |
Approved |
Yes |
12/11/2020 |
11/20/2020 |
SR-MRX-2020-18
Notice
& Approval
|
A proposal to amend its Pricing Schedule at Options 7 in connection with the
pricing for orders entered into the Exchange's Price Improvement Mechanism. |
Approved |
Yes |
12/22/2020 |
12/1/2020 |
SR-MRX-2020-15
Notice
& Approval
|
Proposal to amend Options 6, Section 5, titled 'Transfer of Positions.' |
Approved |
Yes |
9/11/2020 |
8/21/2020 |
SR-MRX-2020-14
Notice
& Approval
|
A proposal to amend its Pricing Schedule at Options 7, Section 5, Other Options
Fees and Rebates, in connection with the pricing for orders entered into the Exchange's Price
Improvement Mechanism ('PIM'). The Exchange also proposes an amendment to Options 7, Section 1,
General Provisions. |
Approved |
Yes |
8/11/2020 |
7/21/2020 |
SR-MRX-2020-13
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-MRX-2020-12
Notice
& Approval
|
A proposal to amend the MRX Disciplinary Rules in General 5 |
Approved |
Yes |
7/10/2020 |
6/19/2020 |
SR-MRX-2020-11
Notice
& Approval
|
A proposal to amend its Pricing Schedule at Options 7 in connection with the pricing for orders
entered into the Exchange's Price Improvement Mechanism ('PIM'). |
Approved |
Yes |
7/8/2020 |
6/17/2020 |
SR-MRX-2020-10
Notice
& Approval
|
Proposal to Adopt a Transfer Rule |
Approved |
Yes |
5/13/2020 |
4/22/2020 |
SR-MRX-2020-09
Notice
& Approval
|
A proposal to amend MRX Rules at Options 3, Section 8, titled 'Options Opening Process |
Approved |
Yes |
5/13/2020 |
4/22/2020 |
SR-MRX-2020-08
Notice
& Approval
|
Proposal to amend MRX Rules at Options 3, Section 8, titled 'Opening.' |
Approved |
Yes |
4/21/2020 |
3/31/2020 |
SR-MRX-2020-07
Notice
& Approval
|
Related to the Removal of Obsolete Listing Rules |
Approved |
Yes |
4/17/2020 |
3/27/2020 |
SR-MRX-2020-06
Notice
& Approval
|
Related to Complex Orders |
Approved |
Yes |
4/16/2020 |
3/26/2020 |
SR-MRX-2020-05
Notice
& Approval
|
Proposed rule to amend Options 9, Section 21 |
Approved |
Yes |
3/20/2020 |
2/28/2020 |
SR-MRX-2020-04
Notice
& Approval
|
Related to order types and times-in-force provisions. |
Approved |
Yes |
3/24/2020 |
3/3/2020 |
SR-MRX-2020-02
Notice
& Approval
|
A proposal to amend MRX Pricing Schedule |
Approved |
Yes |
2/19/2020 |
1/29/2020 |
rulebook-rulefilings-mrx-2019rulebook-rulefilings-mrx-2019
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-MRX-2019-26
Notice
& Approval
|
Proposal to amend Options 3, Section 3 (Minimum Trading Increments) to extend through June 30, 2020
or the date of permanent approval, if earlier, the Penny Pilot Program in options classes in certain
issues ('Penny Pilot' or 'Pilot'). |
Approved |
Yes |
1/9/2020 |
12/19/2019 |
SR-MRX-2019-25
Notice
& Approval
|
A proposal to adopt a new rule at Options 3, Section 19 titled 'Mass Cancellation
of Trading Interest.' The Exchange also proposes to amend definitions within General 1, Section 1,
adopt a new definition for 'Away Best Bid or Offer' within Options 1, Section 1, and update rule
citations in various other rules. |
Approved |
Yes |
1/20/2020 |
12/29/2019 |
SR-MRX-2019-24
Notice
& Approval
|
Proposal to adopt a new rule titled Off-Exchange RWA Transfers at MRX Options 6, Section 6. |
Approved |
Yes |
1/20/2020 |
12/29/2019 |
SR-MRX-2019-23
Notice
& Approval
|
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-MRX-2019-22
Notice
& Approval
|
Proposal to amend Options 3, Section 17, which sets forth the Exchange's optional Kill Switch risk
protection. |
Approved |
Yes |
11/24/2019 |
11/3/2019 |
SR-MRX-2019-21
Notice
& Approval
|
Proposal to amend its Rulebook and By-Laws |
Approved |
Yes |
10/29/2019 |
10/8/2019 |
SR-MRX-2019-20
Notice
& Approval
|
A proposal to amend Options 3 at Section 4, Acceptance of Quotes and Orders, adopt a new Section 5,
Entry and Display of Single-Leg 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-MRX-2019-17
Notice
& Approval
|
Proposed rule change to amend MRX Options 2, Section 5 titled 'Market Maker
Quotations,' Options 3, Section 7, titled 'Types of Orders,' and Options 3, Section 10, titled
'Priority of Quotes and Orders.' |
Approved |
Yes |
10/8/2019 |
9/17/2019 |
SR-MRX-2019-16
Notice
& Approval
|
A proposal to amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules)
relating to certain order types. |
Approved |
Yes |
8/26/2019 |
8/5/2019 |
SR-MRX-2019-15
Notice
& Approval
|
Proposal to relocate rules from its current Rulebook into its new Rulebook shell
|
Approved |
Yes |
8/15/2019 |
7/25/2019 |
SR-MRX-2019-14
Notice
& Approval
|
Proposal to adopt Complex Order pricing |
Approved |
Yes |
8/1/2019 |
7/11/2019 |
SR-MRX-2019-13
Notice
& Approval
|
A proposal 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 |
7/15/2019 |
6/24/2019 |
SR-MRX-2019-11
Notice
& Approval
|
Proposal to make non-substantive, clarifying changes to Options 7. |
Approved |
Yes |
7/14/2019 |
6/23/2019 |
SR-MRX-2019-10
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-MRX-2019-09
Notice
& Approval
|
A proposal to delete the Exchange's current Registration, Qualification and Continuing Education
rules under the 1200 Series (Rules 1210 through 1250), and incorporate by reference The Nasdaq Stock
Market LLC's ('Nasdaq') rules at General 4 ('Nasdaq Registration Rules'), into General 4 of the
Exchange's rulebook's ('Rulebook') shell structure. |
Approved |
Yes |
5/22/2019 |
5/1/2019 |
SR-MRX-2019-08
Notice
Approval
|
Proposal to introduce Complex Order Functionality on MRX identical to the Complex
Order functionality offered today on ISE. |
Approved |
Yes |
5/13/2019 |
4/22/2019 |
SR-MRX-2019-07
Notice
& Approval
|
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-MRX-2019-06
Notice
& Approval
|
A proposal to amend Supplementary Material .01 to Rule 710, 'Minimum Increments,'
to specify replacement issues that may be added to the Penny Pilot ('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-MRX-2019-05
Notice
& Approval
|
Proposal to amend the Pricing Schedule at Options 7, Section 3, at Table 2 to lower PIM Fees for
Crossing Orders for both Penny and Non-Penny Symbols provided certain criteria is met; and increase
the PIM rebate in Non-Penny Symbols Fees for Reponses to Crossing Orders provided certain criteria
is met. |
Approved |
Yes |
4/9/2019 |
3/19/2019 |
SR-MRX-2019-03
Notice
& Approval
|
Proposal to amend Options 7, Section 5 to adopt an Options Regulatory Fee. |
Approved |
Yes |
3/12/2019 |
2/19/2019 |
SR-MRX-2019-02
Notice
& Approval
|
Proposed rule change to amend the Pricing Schedule at Options 7, Section 3, entitled 'Regular Order
Fees and Rebates.' |
Approved |
Yes |
3/13/2019 |
2/20/2019 |
SR-MRX-2019-01
Notice
& Approval
|
Proposed rule change to amend the Exchange provisions for excluding a day from its
volume calculations for purposes of determining pricing tiers |
Approved |
Yes |
3/11/2019 |
2/18/2019 |
rulebook-rulefilings-mrx-2018
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-MRX-2018-41
Notice
& Approval
|
Proposed Rule Change to Extend the Penny Pilot Program |
Approved |
Yes |
2/21/2019 |
1/31/2019 |
SR-MRX-2018-40
Notice
& Approval
|
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 rules on colocation, connectivity, and direct connectivity, w |
Approved |
Yes |
1/22/2019 |
12/31/2018 |
SR-MRX-2018-39
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-MRX-2018-38
Notice
& Approval
|
Proposal to delete MRX Section 22 of the Rulebook entitled Rate-Modified Foreign
Currency Options Rules. |
Approved |
Yes |
1/7/2019 |
12/17/2018 |
SR-MRX-2018-37
Notice
& Approval
|
Proposal to amend Supplementary Material .02 to Rule 715 regarding Cancel and Replace Orders |
Approved |
Yes |
1/2/2019 |
12/12/2018 |
SR-MRX-2018-36
Notice
& Approval
|
A proposal to amend MRX Rule 701, entitled "Opening," MRX Rule 803, entitled
"Obligations of Market Makers" and MRX Rule 100, entitled "Definitions." |
Approved |
Yes |
1/2/2019 |
12/12/2018 |
SR-MRX-2018-34
Resubmission
Notice
& Approval
|
Proposal to amend Exchange rules related to Market Maker quoting obligations. |
Approved |
Yes |
12/11/2018 |
11/20/2018 |
SR-MRX-2018-33
Notice
& Approval
|
A proposal to amend General 8 regarding colocation, connectivity, and direct
connectivity services. |
Approved |
Yes |
12/7/2018 |
11/16/2018 |
SR-MRX-2018-32
Notice
& Approval
|
Proposal to delete the current rules on arbitration under Chapter 18, and incorporate by reference
The Nasdaq Stock Market LLC rules on arbitration at General 6 into General 6 of the Exchange
rulebook shell structure |
Approved |
Yes |
11/20/2018 |
10/30/2018 |
SR-MRX-2018-31
Resubmission
Notice
& Approval
|
Amendments to the Exchanges Registration, Qualification Examination and Continuing
Education Rules |
Approved |
Yes |
11/5/2018 |
10/15/2018 |
SR-MRX-2018-30
Notice
& Approval
|
A proposal to amend MRX 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-MRX-2018-29
Notice
& Approval
|
A proposal to conform the Exchange's By-Law provisions regarding the Chief
Regulatory Officer to those of its affiliate, Nasdaq PHLX LLC ("Phlx") |
Approved |
Yes |
10/16/2018 |
9/25/2018 |
SR-MRX-2018-27
Notice
& Approval
|
Proposal to (a) relocate the MRX 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 |
10/10/2018 |
9/19/2018 |
SR-MRX-2018-25
Notice
& Approval
|
A 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-MRX-2018-24
Notice
& Approval
|
A proposal to amend MRX Rule 723, entitled "Price Improvement Mechanism for Crossing Transactions."
|
Approved |
Yes |
8/10/2018 |
7/20/2018 |
SR-MRX-2018-23
Resubmission 1
Resubmission 2
Notice
& Approval
|
Proposal to align MRX'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-MRX-2018-22
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-MRX-2018-21
Notice
& Approval
|
Proposal to relocate the Exchange's rules pertaining to co-location and direct
connectivity under a new General 8 heading within the Exchange's new rulebook shell. |
Approved |
Yes |
|
6/29/2018 |
SR-MRX-2018-19
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-MRX-2018-17
Notice
& Approval
|
A proposal to amend and reorganize Chapters II, IV, V and VI of the MRX Schedule
of Fees. |
Approved |
Yes |
6/29/2018 |
6/8/2018 |
SR-MRX-2018-16
Resubmission
Notice
& Approval
|
A proposal to memorialize its order and execution information into MRX Rule 718, entitled "Data
Feeds." |
Approved |
Yes |
6/29/2018 |
6/8/2018 |
SR-MRX-2018-15
Notice
& Approval
|
A 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-MRX-2018-14
Resubmission
Notice
& Approval
|
A proposal to amend Supplementary Material to Rule 706 to harmonize its sponsored access rules with
those of its affiliates. |
Approved |
Yes |
6/11/2018 |
5/21/2018 |
SR-MRX-2018-12
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 MRX's General 7. |
Approved |
Yes |
|
4/26/2018 |
SR-MRX-2018-11
Notice
& Approval
|
A proposed rule change to adopt data feeds offered to MRX Members. |
Approved |
Yes |
|
4/19/2018 |
SR-MRX-2018-10
Notice
& Approval
|
A proposal to amend Chapter IV of the Exchange's Schedule of Fees. |
Approved |
Yes |
|
4/10/2018 |
SR-MRX-2018-08
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-MRX-2018-07
Notice
& Approval
|
A proposed rule change to clarify certain terms used in the Schedule of Fees, and
to make certain other non-substantive changes to the Schedule of Fees. |
Approved |
Yes |
4/2/2018 |
3/12/2018 |
SR-MRX-2018-06
Notice
& Approval
|
Proposal to amend Rule 100 to include Monday and Wednesday expirations for options listed pursuant
to the Short Term Option Series Program, including options on the SPDR S&P 500 ETF Trust. |
Approved |
Yes |
3/16/2018 |
2/23/2018 |
SR-MRX-2018-05
Notice
& Approval
|
A proposal to amend INET Port Fees at Section II, C to indicate those fees are not
prorated. |
Approved |
Yes |
3/14/2018 |
2/21/2018 |
SR-MRX-2018-04
Notice
& Approval
|
A proposal to memorialize functionality which is designed to assist Members in the event that they
lose communication with their assigned Specialized Quote Feed. |
Approved |
Yes |
3/13/2018 |
2/20/2018 |
SR-MRX-2018-03
Notice
& Approval
|
A proposal to relocate the Consolidated Audit Trail Compliance rules. |
Approved |
Yes |
2/23/2018 |
2/2/2018 |
SR-MRX-2018-02
Notice
& Approval
|
Proposal to amend MRX 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 |
SR-MRX-2018-01
Notice
& Approval
|
A proposed rule change to amend the Schedule of Fees to introduce a new pricing
model on MRX |
Approved |
Yes |
2/16/2018 |
1/26/2018 |
rulebook-rulefilings-mrx-2017rulebook-rulefilings-mrx-2017
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-MRX-2017-28
Notice
& Approval
|
Proposed rule change to extend the Exchange's Penny Pilot Program. |
Approved |
Yes |
1/16/2018 |
12/26/2017 |
SR-MRX-2017-27
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-MRX-2017-26
Notice
& Approval
|
Proposal to amend the structure of the MRX rulebook. |
Approved |
Yes |
12/26/2017 |
12/5/2017 |
SR-MRX-2017-25
Notice
& Approval
|
Proposal to remove Directed Order functionality on MRX. |
Approved |
Yes |
12/19/2017 |
11/28/2017 |
SR-MRX-2017-24
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-MRX-2017-23
Notice
& Approval
|
Proposal to memorialize an optional Kill Switch protection. |
Approved |
Yes |
11/24/2017 |
11/2/2017 |
SR-MRX-2017-22
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-MRX-2017-21
Notice
& Approval
|
Proposal to amend the Schedule of Fees to add new fees for co-location services,
direct circuit connections to the Exchange, connections to third party services, point of presence
connectivity, and connectivity to the Exchange's Test Facility. |
Approved |
Yes |
11/15/2017 |
10/25/2017 |
SR-MRX-2017-19
Notice
& Approval
|
A proposed rule change to amend Rule 716(c) on the Block Order Mechanism. |
Approved |
Yes |
10/26/2017 |
10/5/2017 |
SR-MRX-2017-18
Resubmission
Notice
Approval
|
A proposed rule change in connection with the proposed merger with a newly-formed
Delaware limited liability company under the Exchange's ultimate parent, Nasdaq |
Approved |
Yes |
10/27/2017 |
10/6/2017 |
SR-MRX-2017-17
Notice
& Approval
|
A proposed rule change to remove language from Chapter 19 related to a systems issue that has been
resolved with the completed migration of the Exchange to Nasdaq INET. |
Approved |
Yes |
10/10/2017 |
9/18/2017 |
SR-MRX-2017-16
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-MRX-2017-14
Notice
& Approval
|
A proposal to amend Rule 804, entitled "Market Maker Quotations." |
Approved |
Yes |
9/5/2017 |
8/15/2017 |
SR-MRX-2017-13
Notice
& Approval
|
A proposed rule change to: (1) establish ports that members use to connect to the
Exchange with the migration of the trading system to the Nasdaq INET architecture, and (2) amend the
Schedule of Fees to adopt fees for those ports. |
Approved |
Yes |
8/30/2017 |
8/9/2017 |
SR-MRX-2017-11
Notice
& Approval
|
Proposal to amend MRX Rule 715(b)(3) to specify an exception to the manner in which
Immediate-or-Cancel Orders will be handled by the System when entered through the Specialized Quote
Feed protocol. |
Approved |
No |
|
|
SR-MRX-2017-09
Notice
& Approval
|
Proposal to amend MRX Rule 804(h) regarding quote mitigation. |
Approved |
Yes |
7/14/2017 |
6/23/2017 |
SR-MRX-2017-08
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-MRX-2017-07
Notice
& Approval
|
A proposed rule change to amend Chapter 19 to notify members of a systems issue
related to allocations made pursuant to Supplementary Material .02(a)-(b) to Rule 1901. |
Approved |
Yes |
7/14/2017 |
6/23/2017 |
SR-MRX-2017-06
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-MRX-2017-05
Notice
& Approval
|
Proposed rule change to amend Supplementary Material .03 to Rule 713 to change the
allocation entitlement for Preferred PMMs. |
Approved |
Yes |
6/22/2017 |
6/1/2017 |
SR-MRX-2017-02
Resubmission
Notice
SEC
Extension
Approval
|
Proposal to amend various Exchange rules in connection with a system migration to Nasdaq INET
technology. |
Approved |
Yes |
6/26/2017 |
6/5/2017 |
SR-MRX-2017-01
Resubmission
Amendment
1
Amendment Withdrawal
Amendment
2
Notice
Approval
|
Proposal to amend the Exchange's opening process. |
Approved |
Yes |
7/11/2017 |
6/20/2017 |
SR-ISEMercury-2017-06
Notice & Approval
|
A proposal to (i) request the decommission of "Tick-Worse" functionality and (ii) amend Rule 713
(Priority of Quotes and Orders) relating to the priority of split price transactions. |
Approved |
Yes |
4/28/2017 |
4/7/2017 |
SR-ISEMercury-2017-05
Resubmission
Notice & Approval
|
Proposal to amend the Exchange's Constitution, Limited Liability Company
Agreement, Rule Book and Fee Schedule to rename itself Nasdaq MRX, LLC. |
Approved |
Yes |
4/25/2017 |
4/4/2017 |
SR-ISEMercury-2017-04
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-ISEMercury-2017-03
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 |
rulebook-rulefilings-mrx-2016rulebook-rulefilings-mrx-2016
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-ISEMercury-2016-26
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-ISEMercury-2016-25
Notice
Approval
|
A proposal to amend ISE Mercury 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-ISEMercury-2016-24
Notice & Approval
|
A proposal to amend ISE Mercury Rule 803 at Supplementary Information .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-ISEMercury-2016-22
Resubmission
Amendment 1
Amendment 2
Notice
Approval
|
Proposal to permit the Exchange to receive inbound orders in options routed
through Nasdaq Execution Services, LLC and to 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-ISEMercury-2016-21
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-ISEMercury-2016-20
Notice & Approval
|
A proposal to make a number of non-controversial and technical changes to its
rules. |
Approved |
Yes |
12/13/2016 |
11/22/2016 |
SR-ISEMercury-2016-18
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-ISEMercury-2016-17
Resubmission
Notice & Approval
|
A proposal to amend a current billing practice with respect to billing disputes.
|
Approved |
Yes |
11/3/2016 |
10/13/2016 |
SR-ISEMercury-2016-16
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-ISEMercury-2016-14
Notice & Approval
|
Proposal to amend Exchange Rule 100(a)(37C) (Definitions) to add specificity to
the definition of a Professional with respect to the manner in which the volume threshold will be
calculated by the Exchange. |
Approved |
Yes |
10/5/2016 |
9/14/2016 |
SR-ISEMercury-2016-13
Notice & Approval
|
Proposed rule change to extend the PIM pilot. |
Approved |
Yes |
8/11/2016 |
7/21/2016 |
SR-ISEMercury-2016-12
Notice & Approval
|
Proposal to extend the penny pilot. |
Approved |
Yes |
7/28/2016 |
7/7/2016 |
SR-ISEMercury-2016-11
Notice & Approval
|
Proposed Rule Change to Amend the Schedule of Fees |
Approved |
Yes |
6/10/2016 |
5/20/2016 |
SR-ISEMercury-2016-10
Amendment 1
|
Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect
Parent |
Approved |
No |
|
|
SR-ISEMercury-2016-09
Notice & Approval
|
Proposed Rule Change Relating to Preferenced Volume |
Approved |
Yes |
5/23/2016 |
5/2/2016 |
SR-ISEMercury-2016-08
Notice & Approval
|
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 |
Yes |
5/4/2016 |
4/13/2016 |
SR-ISEMercury-2016-07
Notice
Approval
|
Proposed Rule Change Related to Market Wide Risk Protection |
Approved |
Yes |
5/5/2016 |
4/14/2016 |
SR-ISEMercury-2016-06
Notice & Approval
|
Proposed Rule Change to Amend the Schedule of Fees |
Approved |
Yes |
4/15/2016 |
3/25/2016 |
SR-ISEMercury-2016-05
Notice & Approval
|
Proposed Rule Change to Amend the Schedule of Fees |
Approved |
Yes |
4/15/2016 |
3/25/2016 |
SR-ISEMercury-2016-02
Notice & Approval
|
Proposed Rule Change to Establish the Schedule of Fees |
Approved |
Yes |
3/31/2016 |
3/10/2016 |
|