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Rule Filings
rulebook-rulefilings-mrx-menurulebook-rulefilings-mrx-menu
rulebook-rulefilings-mrx-2021rulebook-rulefilings-mrx-2021
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-MRX-2021-06
A proposal to extend the expiration date of the temporary amendments concerning video conference hearings from April 30, 2021, to August 31, 2021 Approved No
SR-MRX-2021-05
Notice & Approval
A proposed 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. 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
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-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-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
 
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