Nasdaq BX, Inc. Rulemaking

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Chronological List
Fourth Quarter |  Third Quarter | Second Quarter |  First Quarter

BX File Number List for 2019

Additional Archives

Chronological List for 2019

Release No. Date Details
Fourth Quarter
SR-BX-2019-040
34-87487 Nov. 7, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: December 5, 2019
Additional Materials: Exhibit 5
SR-BX-2019-039
34-87468 Nov. 5, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Rules from its Current Rulebook into its New Rulebook Shell
Comments due: December 3, 2019
Additional Materials: Exhibit 5
SR-BX-2019-038
34-87368 Oct. 21, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 15, 2019
Additional Materials: Exhibit 5
SR-BX-2019-037
34-87359 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Rule 11890
Comments due: November 14, 2019
Additional Materials: Exhibit 5
SR-BX-2019-035
34-87271 Oct. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Equity 7, Section 118(a)
Comments due: November 7, 2019
Additional Materials: Exhibit 5
SR-BX-2019-033
34-87270 Oct. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Rules at Chapter VI, Section 6
Comments due: November 7, 2019
Additional Materials: Exhibit 5
SR-BX-2019-032
34-87213 Oct. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX's By-Laws
Comments due: October 30, 2019
Additional Materials: Exhibit 5
SR-BX-2019-034
34-87208 Oct. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 4121
Comments due: October 30, 2019
Additional Materials: Exhibit 5
Third Quarter
SR-BX-2019-031
34-87093 Sep. 24, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule, at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BX-2019-029
34-86840 Aug. 30, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019
Comments due: September 27, 2019
SR-BX-2019-028
34-86624 Aug. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Inadvertent Error in a Recent Filing and Amend the BX Options Rules at Chapter 1, Section 1 Definitions
Comments due: September 5, 2019
Additional Materials: Exhibit 5
SR-BX-2019-027
34-86508 Jul. 29, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BX Pricing at Options 7, Section 3 Titled BX Options Market - Ports and Other Services
Comments due: August 23, 2019
Additional Materials: Exhibit 5
SR-BX-2019-026
34-86447 Jul. 24, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a)
Comments due: August 20, 2019
Additional Materials: Exhibit 5
SR-BX-2019-025
34-86444 Jul. 23, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Governing Give Ups on the BX Options Market
Comments due: August 19, 2019
Additional Materials: Exhibit 3, Exhibit 5
SR-BX-2019-022
34-86425 Jul. 22, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange's Existing Membership Rules and to Incorporate by Reference the Membership Rules of The Nasdaq Stock Exchange, LLC
Comments due: August 16, 2019
Additional Materials: Exhibit 5
Second Quarter
SR-BX-2019-023
34-86221 Jun. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the BX Options Rules at Chapter IV, Securities Traded on BX
Comments due: July 24, 2019
SR-BX-2019-021
34-86203 Jun. 26, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize the Exchange's By-Law Provisions Regarding the Size of the Exchange's Board of Directors to Those of the Other Nasdaq, Inc.-owned U.S. Exchanges
Comments due: July 23, 2019
SR-BX-2019-011
34-86194 Jun. 25, 2019 Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, Rule 4780, Which is Set to Expire on June 30, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS
Comments due: July 22, 2019
SR-BX-2019-020
34-86137 Jun. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 (Minimum Increments), to extend through December 31, 2019
Comments due: July 15, 2019
Additional Materials: Exhibit 5
SR-BX-2019-019
34-86120 Jun. 17, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend the Exchange's Credits at Equity 7, Section 118(a)
Comments due: July 12, 2019
Additional Materials: Exhibit 5
SR-BX-2019-017
34-86060 Jun. 6, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Routing Rule in BX Chapter VI, Section 11
Comments due:  July 3, 2019
Additional Materials: Exhibit 5
SR-BX-2019-002
34-86051 Jun. 6, 2019 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due:  July 3, 2019
SR-BX-2019-016
34-86027 Jun. 4, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a) to Adopt Pricing for the Recently Adopted SCAR Routing Strategy
Comments due:  July 1, 2019
Additional Materials: Exhibit 5
SR-BX-2019-015
34-85950 May 29, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-BX-2019-013
34-85912 May 22, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a)
Comments due: June 19, 2019
Additional Materials: Exhibit 5
SR-BX-2019-011
34-85811 May 9, 2019 Notice of Filing of Proposed Rule Change to Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, which is Set to Expire on June 30, 2019
Comments due: June 5, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-BX-2019-010
34-85726 Apr. 26, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange's Current Registration, Qualification and Continuing Education Rules
Comments due: May 23, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-BX-2019-002
34-85691 Apr. 18, 2019 Notice of Filing of Proposed Rule Change to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: May 15, 2019
Comments received are available for this proposal.
SR-BX-2019-006
34-85627 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Equity 7, Section 118(a)
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-BX-2019-007
34-85622 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-BX-2019-009
34-85613 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Clearly Erroneous Transactions
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-BX-2019-008
34-85585 Apr. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 7, 2019
Additional Materials: Exhibit 5
First Quarter
SR-BX-2018-025
34-85500 Apr. 3, 2019 Notice of Withdrawal of Proposed Rule Change, As Modified By Amendment No. 1, to Make Permanent the Retail Price Improvement Program Pilot, Which is Set to Expire on June 30, 2019
SR-BX-2019-005
34-85454 Mar. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5, "Minimum Increments"
Comments due: April 25, 2019
Additional Materials: Exhibit 5
SR-BX-2019-004
34-85368 Mar. 20, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New SCAR Routing Option Under Rule 4758
Comments due: April 16, 2019
Additional Materials: Exhibit 5
SR-BX-2019-003
34-85298 Mar. 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: April 9, 2019
Additional Materials: Exhibit 5
SR-BX-2018-066
34-85213 Feb. 27, 2019 Notice of Withdrawal of a Proposed Rule Change to Amend the Exchange's Port Fee Schedule
SR-BX-2018-066
34-85152 Feb. 15, 2019 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Exchanges' Port Fee Schedules
Comments due: March 15, 2019
Rebuttal comments due: March 29, 2019
Additional File No.: SR-Phlx-2018-83
SR-BX-2019-001
34-85131 Feb. 14, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 2
Comments due: March 14, 2019
Additional Materials: Exhibit 5
SR-BX-2018-069
34-85042 Feb. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: February 19, 2019
Additional Materials: Exhibit 5


Nasdaq BX, Inc. File Number List for 2019

Release No. Date Details
SR-BX-2019-040
34-87487 Nov. 7, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: December 5, 2019
Additional Materials: Exhibit 5
SR-BX-2019-039
34-87468 Nov. 5, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Rules from its Current Rulebook into its New Rulebook Shell
Comments due: December 3, 2019
Additional Materials: Exhibit 5
SR-BX-2019-038
34-87368 Oct. 21, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 15, 2019
Additional Materials: Exhibit 5
SR-BX-2019-037
34-87359 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Rule 11890
Comments due: November 14, 2019
Additional Materials: Exhibit 5
SR-BX-2019-035
34-87271 Oct. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Equity 7, Section 118(a)
Comments due: November 7, 2019
Additional Materials: Exhibit 5
SR-BX-2019-034
34-87208 Oct. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 4121
Comments due: October 30, 2019
Additional Materials: Exhibit 5
SR-BX-2019-033
34-87270 Oct. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Rules at Chapter VI, Section 6
Comments due: November 7, 2019
Additional Materials: Exhibit 5
SR-BX-2019-032
34-87213 Oct. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX's By-Laws
Comments due: October 30, 2019
Additional Materials: Exhibit 5
SR-BX-2019-031
34-87093 Sep. 24, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule, at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BX-2019-029
34-86840 Aug. 30, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019
Comments due: September 27, 2019
SR-BX-2019-028
34-86624 Aug. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Inadvertent Error in a Recent Filing and Amend the BX Options Rules at Chapter 1, Section 1 Definitions
Comments due: September 5, 2019
Additional Materials: Exhibit 5
SR-BX-2019-027
34-86508 Jul. 29, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BX Pricing at Options 7, Section 3 Titled BX Options Market - Ports and Other Services
Comments due: August 23, 2019
Additional Materials: Exhibit 5
SR-BX-2019-026
34-86447 Jul. 24, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a)
Comments due: August 20, 2019
Additional Materials: Exhibit 5
SR-BX-2019-025
34-86444 Jul. 23, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Governing Give Ups on the BX Options Market
Comments due: August 19, 2019
Additional Materials: Exhibit 3, Exhibit 5
SR-BX-2019-023
34-86221 Jun. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the BX Options Rules at Chapter IV, Securities Traded on BX
Comments due: July 24, 2019
SR-BX-2019-022
34-86425 Jul. 22, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange's Existing Membership Rules and to Incorporate by Reference the Membership Rules of The Nasdaq Stock Exchange, LLC
Comments due: August 16, 2019
Additional Materials: Exhibit 5
SR-BX-2019-021
34-86203 Jun. 26, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize the Exchange's By-Law Provisions Regarding the Size of the Exchange's Board of Directors to Those of the Other Nasdaq, Inc.-owned U.S. Exchanges
Comments due: July 23, 2019
SR-BX-2019-020
34-86137 Jun. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 (Minimum Increments), to extend through December 31, 2019
Comments due: July 15, 2019
Additional Materials: Exhibit 5
SR-BX-2019-019
34-86120 Jun. 17, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend the Exchange's Credits at Equity 7, Section 118(a)
Comments due: July 12, 2019
Additional Materials: Exhibit 5
SR-BX-2019-017
34-86060 Jun. 6, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Routing Rule in BX Chapter VI, Section 11
Comments due:  July 3, 2019
Additional Materials: Exhibit 5
SR-BX-2019-016
34-86027 Jun. 4, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a) to Adopt Pricing for the Recently Adopted SCAR Routing Strategy
Comments due:  July 1, 2019
Additional Materials: Exhibit 5
SR-BX-2019-015
34-85950 May 29, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-BX-2019-013
34-85912 May 22, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a)
Comments due: June 19, 2019
Additional Materials: Exhibit 5
SR-BX-2019-011
34-86194 Jun. 25, 2019 Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, Rule 4780, Which is Set to Expire on June 30, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS
Comments due:  July 22, 2019
34-85811 May 9, 2019 Notice of Filing of Proposed Rule Change to Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, which is Set to Expire on June 30, 2019
Comments due: June 5, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-BX-2019-010
34-85726 Apr. 26, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange's Current Registration, Qualification and Continuing Education Rules
Comments due: May 23, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-BX-2019-009
34-85613 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Clearly Erroneous Transactions
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-BX-2019-008
34-85585 Apr. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 7, 2019
Additional Materials: Exhibit 5
SR-BX-2019-007
34-85622 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-BX-2019-006
34-85627 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Equity 7, Section 118(a)
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-BX-2019-005
34-85454 Mar. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5, "Minimum Increments"
Comments due: April 25, 2019
Additional Materials: Exhibit 5
SR-BX-2019-004
34-85368 Mar. 20, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New SCAR Routing Option Under Rule 4758
Comments due: April 16, 2019
Additional Materials: Exhibit 5
SR-BX-2019-003
34-85298 Mar. 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: April 9, 2019
Additional Materials: Exhibit 5
SR-BX-2019-002
34-86051 Jun. 6, 2019 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due:  July 3, 2019
34-85691 Apr. 18, 2019 Notice of Filing of Proposed Rule Change to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: May 15, 2019
Comments received are available for this proposal.
SR-BX-2019-001
34-85131 Feb. 14, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 2
Comments due: March 14, 2019
Additional Materials: Exhibit 5