Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.
GIX incorporates by reference certain FINRA rules as GIX rules. Thus, for certain GIX rules, Exchange members will comply with the GIX rule by complying with the FINRA rule referenced therein. GIX will periodically provide updates where applicable when there are new proposals or approvals to amend these incorporated FINRA rules. The list of FINRA rules incorporated by reference as GIX rules and relevant updates can be found in the drop down tab below.