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NASDAQ GEM, LLC LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060117904 TO:Nasdaq GEM, LLC c/o Department of Enforcement RE:Dash Financial Technologies LLC, Respondent BrokerDealer CRD No. 104031Pursuant
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NASDAQ GEMX LLC is a subsidiary of NASDAQ, Inc. that operates a U.S. options exchange.
Any entity that is registered with NASDAQ as a member organization and conducts options trading must file NASDAQ GEMX LLC co.
To fill out NASDAQ GEMX LLC co, registered member organizations must follow the specific instructions provided by NASDAQ and report the required information accurately.
The purpose of NASDAQ GEMX LLC co is to ensure that member organizations are compliant with regulations and provide transparency in options trading activities.
Information such as trading activity, compliance with regulations, and financial data must be reported on NASDAQ GEMX LLC co.
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