|
|
|
rulebook-rulefilings-menu
|
|
|
Home >
The Nasdaq Stock Market Rule Filings
|
|
|
Rule Filings
rulebook-rulefilings-nasdaq-menurulebook-rulefilings-nasdaq-menu
- NASDAQ 2024
- 2023
- 2022
- 2021
- 2020
- 2019
- 2018
- 2017
- 2016
- 2015
- 2014
- 2013
- 2012
rulebook-rulefilings-nasdaq-2024rulebook-rulefilings-nasdaq-2024| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-NASDAQ-2024-085
| Proposal to amend Exchange Rules 1015, 9261, 9341, 9524 and 9830 to allow for video conference hearings before the Office of Hearing Officers. | Pending | No | | | SR-NASDAQ-2024-084
| A proposal to modify certain initial listing liquidity requirements. | Pending | No | | | SR-NASDAQ-2024-083
| A proposal to assume operational responsibility for certain enforcement functions currently performed by the Financial Industry Regulatory Authority ("FINRA") under the Exchange's authority and supervision. | Pending | No | | | SR-NASDAQ-2024-082
| A proposal to modify all-inclusive annual fees for certain companies | Approved | No | | | SR-NASDAQ-2024-081
| A proposal to increase the Exchange's port pricing in The Nasdaq Options Market LLC ("NOM") Rules at Options 7, Section 3 for the Specialized Quote Feed ("SQF")3 Ports and SQF Purge Port. | Approved | No | | | SR-NASDAQ-2024-080
Notice & Approval
| A proposal to amend the Exchange's schedule of credits at Equity 7, Section 118(a). | Approved | Yes | 1/9/2025 | 12/19/2024 | SR-NASDAQ-2024-078
Notice & Approval
| A proposal to amend The Nasdaq Options Market LLC ("NOM") Pricing Schedule at Options 7, Section 5, Options Regulatory Fee. | Approved | Yes | 1/8/2025 | 12/18/2024 | SR-NASDAQ-2024-076
Notice & Approval
Notice & Approval 2
| A proposal to amend certain fees based on the rate of inflation. | Approved | Yes | 1/2/2024 | 12/12/2024 | SR-NASDAQ-2024-075
Notice & Approval
| A proposal to list and trade shares of the Hennessy Stance ESG ETF (the "Fund") under Nasdaq Rule 5750 ("Proxy Portfolio Shares"). | Approved | Yes | 12/27/2024 | 12/6/2024 | SR-NASDAQ-2024-074
Resubmission
Notice
| A proposal to amend Equity 4, Rule 4759 (Data Feeds Utilized) to change the primary and secondary source of quotation data of certain market centers in the list of proprietary and network processor feeds that the Exchange utilizes for the handling, routing, and execution of orders as well as regulatory compliance processes related to those functions. | Pending | Yes | 12/31/2024 | 12/11/2024 | SR-NASDAQ-2024-073
Notice & Approval
| A proposal to amend The Nasdaq Options Market LLC ("NOM") Options 9, Section 13, Position Limits, and Section 15, Exercise Limits. | Approved | Yes | 12/23/2024 | 12/2/2024 | SR-NASDAQ-2024-071
Notice & Approval
| A proposal to establish fees for its expanded co-location services. | Approved | Yes | 12/27/2024 | 12/6/2024 | SR-NASDAQ-2024-068
Notice & Approval
| A proposal to amend the deadline to notify Nasdaq of a reverse stock split. | Approved | Yes | 12/18/2024 | 11/27/2024 | SR-NASDAQ-2024-067
Notice & Approval
| A Proposal to Amend the Exchanges Fees for Connectivity and Co Location Services. | Approved | Yes | 12/18/2024 | 11/27/2024 | SR-NASDAQ-2024-066
Notice & Approval
| A proposal to amend the Exchange's schedule of credits at Equity 7, Section 118(a). | Approved | Yes | 12/12/2024 | 11/21/2024 | SR-NASDAQ-2024-065
Resubmission
Notice
| A proposal to amend Equity 4 to establish halt cross price protections and make other related changes. | Pending | Yes | 12/11/2024 | 11/20/2024 | SR-NASDAQ-2024-064
Notice & Approval
| A proposal to amend the Exchange's anti-internalization functionality in Equity 4, Rule 4757. | Approved | Yes | 12/4/2024 | 11/13/2024 | SR-NASDAQ-2024-062
Resubmission
Resubmission 2
Notice & Approval
| A proposal to amend The Nasdaq Options Market LLC ("NOM") Options 9, Section 13, Position Limits, and Section 15, Exercise Limits. | Approved | Yes | 12/10/2024 | 11/19/2024 | SR-NASDAQ-2024-059
Resubmission
Notice
| A proposal to modify the package of complimentary services provided to certain Eligible Switches and to modify the definition of an Eligible Switch. | Pending | Yes | 11/26/2024 | 11/5/2024 | SR-NASDAQ-2024-057
Notice & Approval
| A proposal to amend the Exchange's schedule of credits at Equity 7, Section 118(a). | Approved | Yes | 11/6/2024 | 10/16/2024 | SR-NASDAQ-2024-055
Notice & Approval
| A Proposal to Codify the Definition of Nasdaq Options Trade Outline | Approved | Yes | 10/16/2024 | 9/25/2024 | SR-NASDAQ-2024-054
Notice & Approval
| A proposal to expand its co-location services. | Approved | Yes | 10/15/2024 | 9/24/2024 | SR-NASDAQ-2024-049
Notice & Approval
| A proposed rule change to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan") incurred prior to January 1, 2022. | Approved | Yes | 10/3/2024 | 9/12/2024 | SR-NASDAQ-2024-048
Notice & Approval
| A proposal to amend The Nasdaq Options Market LLC ("NOM") Rules at Options 3, Sections 8, 15 and 25. | Approved | Yes | 9/25/2024 | 9/4/2024 | SR-NASDAQ-2024-047
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-NASDAQ-2024-045
Notice
SEC Extension
Order Instituting Proceedings
| A proposal to modify the delisting process for securities that fail to regain compliance with the bid price requirement following a second compliance period and for securities that have had a reverse stock split over the prior one-year period. | Pending | Yes | 9/13/2024 | 8/23/2024 | SR-NASDAQ-2024-044
Notice & Approval
| A proposal to amend the Exchange's schedule of credits at Equity 7, Section 118(a). | Approved | Yes | 9/11/2024 | 8/21/2024 | SR-NASDAQ-2024-042
Notice & Approval
| A proposal to amend its listing rules under Rule 5710(k)(i) related to the criteria for Equity Index-Linked Securities. | Approved | Yes | 8/23/2024 | 8/2/2024 | SR-NASDAQ-2024-038
Notice & Approval
| A proposal to amend certain procedures related to the suspension and delisting of Acquisition Companies. | Approved | Yes | 8/9/2024 | 7/19/2024 | SR-NASDAQ-2024-035
Notice & Approval
| A proposal to amend the Exchange's pricing schedule at Equity 7, Section 114(h). | Approved | Yes | 8/8/2024 | 7/18/2024 | SR-NASDAQ-2024-033
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Options 7, Section 2(1). | Approved | Yes | 8/7/2024 | 7/17/2024 | SR-NASDAQ-2024-031
Notice & Approval
| A proposal to establish a fee for requests for review of membership decisions and decisions related to changes in ownership, control, or material business operations. | Approved | Yes | 8/8/2024 | 7/18/2024 | SR-NASDAQ-2024-030
Notice & Approval
| A proposal to launch Proximity-On-Demand, a managed colocation solution. | Approved | Yes | 7/24/2024 | 7/3/2024 | SR-NASDAQ-2024-029
Notice
SEC Extension
Amendment 1
Amendment Withdrawn
Amendment 2
Approval
| A proposal to modify the application of the bid price compliance periods where a company takes action that causes non-compliance with another listing requirement. | Approved | Yes | 7/30/2024 | 7/9/2024 | SR-NASDAQ-2024-028
Notice
SEC Extension
Amendment 1
Order Instituting Proceedings
| A proposal to list and trade shares of the Hashdex Nasdaq Crypto Index US ETF (the "Trust") under Nasdaq Rule 5711(d). | Pending | Yes | 7/23/2024 | 7/2/2024 | SR-NASDAQ-2024-027
Notice & Approval
| A proposal to reconfigure fees for the Daily List and Fundamental Data to better reflect the value of the information distributed. | Approved | Yes | 7/22/2024 | 7/1/2024 | SR-NASDAQ-2024-023
Notice & Approval
| A proposal to amend General 4, Rule 1240.01. | Approved | Yes | 6/27/2024 | 6/6/2024 | SR-NASDAQ-2024-022
Notice & Approval
| A proposal to amend the Exchanges Cabinet Proximity Option Fee at General 8, Section 1. | Approved | Yes | 6/18/2024 | 5/28/2024 | SR-NASDAQ-2024-019
Resubmission
Notice
SEC Extension
Approval
| A proposal to amend Rules 5605, 5615 and 5810 to clarify and modify phase-in schedules for certain corporate governance requirements and clarify applicability of certain cure periods. | Approved | Yes | 6/20/2024 | 5/29/2024 | SR-NASDAQ-2024-018
Resubmission
Notice & Approval
| A proposal to amend connectivity, surveillance and risk management services. | Approved | Yes | 6/5/2024 | 5/15/2024 | SR-NASDAQ-2024-017
Notice & Approval
| A proposal to amend Equity 7, Section 114(f). | Approved | Yes | 5/9/2024 | 4/18/2024 | SR-NASDAQ-2024-016
Notice & Approval
Suspension
SEC Extension
Disapproval
| A proposal to encourage members to contribute liquidity to the Exchange by offering those that maintain a particular minimum trading volume lower fees for specified market data and connectivity products. | Disapproved | Yes | 4/26/2024 | 4/5/2024 | SR-NASDAQ-2024-014
Notice & Approval
| A proposal to amend the Trade Now Order Attribute, at Equity 4, Rule 4703, as well as to make conforming changes to Rule 4702. | Approved | Yes | 4/16/2024 | 3/26/2024 | SR-NASDAQ-2024-010
Notice & Approval
| A proposal to clarify its listing standards related to notification and disclosure of reverse stock splits. | Approved | Yes | 4/10/2024 | 3/20/2024 | SR-NASDAQ-2024-007
Notice & Approval
| A proposal to expand the Exchange's Cabinet Proximity Option program. | Approved | Yes | 3/27/2024 | 3/6/2024 | SR-NASDAQ-2024-006
Notice & Approval
| A proposal to adopt a temporary listing fee waiver for Ukrainian companies until December 31, 2028. | Approved | Yes | 3/19/2024 | 2/27/2024 | SR-NASDAQ-2024-005
Notice & Approval
| A proposal to amend the Exchange's pricing schedule at Equity 7, Section 118. | Approved | Yes | 3/13/2024 | 2/21/2024 | SR-NASDAQ-2024-004
Notice & Approval
| A proposal to modify the deadline to submit the required fee for a hearing request in Listing Rules 5815 and 5820 and to remove obsolete language. | Approved | Yes | 3/7/2024 | 2/15/2024 | SR-NASDAQ-2024-002
Notice & Approval
| A proposal to amend the Exchange's Membership Fee at Equity 7, Section 10. | Approved | Yes | 2/8/2024 | 1/18/2024 |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-NASDAQ-2023-057
Notice & Approval
| A proposal to amend rule 4758(a)(1)(A) to add a user specific routing option that can be applied to the RFTY routing strategy, as well as to correct typographical errors in Equity 4, Rules 4703 and 4758. | Approved | Yes | 2/2/2024 | 1/12/2024 | SR-NASDAQ-2023-056
Notice & Approval
| A proposal to amend the Exchange's schedule of fees at Equity 7, Sections 114 and 118. | Approved | Yes | 1/30/2024 | 1/9/2024 | SR-NASDAQ-2023-055
Notice & Approval
| A proposal to amend Nasdaq Rule 5711(d)(iv)(A) to mirror the NYSE Arca, Inc., definition of Commodity-Based Trust Shares, as well as to correct a typographical error in Nasdaq Rule 5711(d)(iv)(B). | Approved | Yes | 1/9/2024 | 12/19/2023 | SR-NASDAQ-2023-053
Notice & Approval
| A proposal to amend the schedule of rebates at Equity 7, Section 114(f) | Approved | Yes | 1/10/2024 | 12/20/2023 | SR-NASDAQ-2023-052
Notice & Approval
| A proposal to amend the Exchange GPS antenna fees at General 8, Section 1 | Approved | Yes | 1/4/2024 | 12/14/2023 | SR-NASDAQ-2023-051
Notice & Approval
| A proposal to amend the Rules at Options 4A to adopt Monthly Options Series. | Approved | Yes | 1/3/2024 | 12/13/2023 | SR-NASDAQ-2023-049
Notice & Approval
| A proposed rule change to adopt a new LSTY routing option under Rule 4758. | Approved | No | | | SR-NASDAQ-2023-048
Notice & Approval
| A proposal to modify entry and all-inclusive annual fees for certain companies. | Approved | No | | | SR-NASDAQ-2023-046
Notice & Approval
| A Proposal to to amend rules 11140 (Transactions in Securities "Ex-Dividend," "Ex-Rights" or "Ex-Warrants"), 11150 (Transactions "Ex-Interest" in Bonds Which Are Dealt in "Flat"), 11210 (Sent by Each Party), 11320 (Dates of Delivery), and 11620 (Computation of Interest), to conform to Rule 15c6-1(a) to shorten the standard settlement cycle from two business days ("T+2") to one business day("T+1"). | Approved | Yes | 12/12/2023 | 11/21/2023 | SR-NASDAQ-2023-045
Resubmission
Notice
SEC Extension
Order Instituting Proceedings
Amendment 1
Notice 2
Amendment 2
Notice 3
Approval
| A proposal to list and trade shares of the iShares Ethereum Trust (the "Trust") under Nasdaq Rule 5711(d) ("Commodity-Based Trust Shares"). | Approved | Yes | 6/20/2024 | 5/29/2024 | SR-NASDAQ-2023-044
Notice & Approval
| A proposal to amend The Nasdaq Options Market LLC ("NOM") Pricing Schedule at Options 7, Section 2. | Approved | Yes | 12/12/2023 | 11/21/2023 | SR-NASDAQ-2023-043
Notice & Approval
| A proposal to amend the Exchange's schedule of credits and fees at Equity 7, Section 118(a). | Approved | Yes | 12/8/2023 | 11/17/2023 | SR-NASDAQ-2023-041
Resubmission
Notice & Approval
| A proposal to establish Purge Ports for equities trading. | Approved | Yes | 11/14/2023 | 10/24/2023 | SR-NASDAQ-2023-040
Notice & Approval
| A proposal to amend Options 7, Section 2. | Approved | Yes | 11/7/2023 | 10/17/2023 | SR-NASDAQ-2023-038
Notice & Approval
| A proposal to clarify the migration timeline and billing related to the Exchange's enhanced connectivity, surveillance and risk management services. | Approved | Yes | 10/25/2023 | 10/4/2023 | SR-NASDAQ-2023-037
Notice & Approval
| A proposal to amend The Nasdaq Options Market LLC ("NOM") Pricing Schedule at Options 7, Section 2. | Approved | Yes | 10/18/2023 | 9/27/2023 | SR-NASDAQ-2023-036
Notice
Amendment 1
Approval
| A proposal to amend Rule 4120 (Limit Up-Limit Down and Trading Halts) and Rule 4753 (Nasdaq Halt Cross) to set forth specific requirements for halting and resuming trading in a security that is subject to a reverse stock split. | Approved | Yes | 10/19/2023 | 9/28/2023 | SR-NASDAQ-2023-031
Notice & Approval
| A proposal to modify the requirements related to the waiver of the code of conduct in Listing Rules 5610 and IM-5610. | Approved | Yes | 10/2/2023 | 9/11/2023 | SR-NASDAQ-2023-030
Notice & Approval
| A proposal to delay implementation of pending amendments to Equity 4, Rules 4120, 4702 and 4703 as well as to make further amendments to Rules 4702 and 4703. | Approved | Yes | 9/21/2023 | 8/31/2023 | SR-NASDAQ-2023-028
Notice & Approval
| A proposal to amend the Exchange's schedule of credits at Equity 7, Section 118(a) to establish a new credit tier. | Approved | Yes | 9/8/2023 | 8/18/2023 | SR-NASDAQ-2023-027
Notice & Approval
| A proposed rule change regarding a stockholders' agreement by and among the Exchange's parent corporation, Nasdaq, Inc. ("Nasdaq"), Adenza Parent, LP, a Delaware limited partnership ("Seller"), and the other parties thereto ("Stockholders' Agreement"). | Approved | Yes | 9/5/2023 | 8/14/2023 | SR-NASDAQ-2023-025
Notice
SEC Extension
Approval
| A proposal to establish listing standards related to notification and disclosure of reverse stock splits. | Approved | Yes | 8/24/2023 | 8/3/2023 | SR-NASDAQ-2023-024
Notice & Approval
| A proposal to amend Equity 4, Rules 4752, 4753, and 4754 to clarify and restate the order in which Nasdaq prioritizes executions of Orders in its Opening, Closing, and Halt Crosses. | Approved | Yes | 8/21/2023 | 7/31/2023 | SR-NASDAQ-2023-022
Notice
SEC Extension
Amendment 1
Order Instituting Proceedings
Amendment 2
SEC Extension 2
Notice 2
Amendment 3
Approval
| A proposal to create a new, non-trading limited membership class and impose related requirements for principal underwriting activity. | Approved | Yes | 3/15/2024 | 2/23/2024 | SR-NASDAQ-2023-020
Notice & Approval
| A proposal to amend the rules to provide eligible individuals another opportunity to elect to participate in the Maintaining Qualifications Program. | Approved | Yes | 8/14/2023 | 7/24/2023 | SR-NASDAQ-2023-019
Notice
SEC Extension
Order Instituting Proceedings
Amendment 1
Notice 2
Approval
| A proposal to list and trade shares of the Valkyrie Bitcoin Fund (the "Trust") under Nasdaq Rule 5711(d) ("Commodity-Based Trust Shares"). | Approved | Yes | 2/2/2024 | 1/12/2024 | SR-NASDAQ-2023-018
Notice & Approval
| A proposal to amend The Nasdaq Options Market LLC ("NOM") Rules at Options 3, Options Trading Rules, at: Section 4 Entry and Display of Quotes; Section 5, Entry and Display of Orders; Section 7, Types of Orders and Order and Quote Protocols; and Section 15, Risk Protections. The Exchange also proposes to amend Options 5, Section 4, Order Routing. | Approved | Yes | 8/4/2023 | 7/14/2023 | SR-NASDAQ-2023-017
Notice
SEC Extension
Approval
| A proposal to modify the package of complimentary services provided to certain Eligible Switches and make other changes to IM-5900-7 and IM-5900-7A. | Approved | Yes | 7/31/2023 | 7/10/2023 | SR-NASDAQ-2023-016
Resubmission
Notice
SEC Extension
Order Instituting Proceedings
Amendment 1
Notice 2
Approval
| A proposal to amend rule relating to list and trade shares of the iShares Bitcoin Trust (the "Trust") under Nasdaq Rule 5711(d) ("Commodity-Based Trust Shares"). | Approved | Yes | 2/2/2024 | 1/12/2024 | SR-NASDAQ-2023-015
Notice & Approval
| A proposal to eliminate a transaction credit at Equity 7, Section 118(a). | Approved | Yes | 7/5/2023 | 6/13/2023 | SR-NASDAQ-2023-013
Notice & Approval
| A proposal to: (i) eliminate various transaction credits at Equity 7, Section 118(a); and (ii) amend Equity 7, Section 118(a) and Section 118(j) to exclude certain days for purposes of calculating Consolidated Volume and trading activity. | Approved | Yes | 6/5/2023 | 5/15/2023 | SR-NASDAQ-2023-011
Notice & Approval
| A proposal to amend The Nasdaq Options Market LLC ("NOM") Pricing Schedule at Options 7, Section 2. | Approved | Yes | 6/6/2023 | 5/16/2023 | SR-NASDAQ-2023-006
Notice & Approval
| A proposal to amend a rule relating to the SGI Dynamic Tactical ETF of The RBB Fund, Inc. to list and trade shares of the Fund under Nasdaq Rule 5750. | Approved | Yes | 4/24/2023 | 4/3/2023 | SR-NASDAQ-2023-005
Notice
SEC Extension
Amendment 1
Approval
| A proposal to establish listing standards related to recovery of erroneously awarded executive compensation as required by SEC Rule 10D-1. | Approved | Yes | 4/3/2023 | 3/13/2023 | SR-NASDAQ-2023-004
Notice & Approval
| A proposal to modify the fees the Exchange charges companies seeking review of a delisting determination, public reprimand letter, or written denial of an initial listing application. | Approved | Yes | 3/21/2023 | 2/28/2023 | SR-NASDAQ-2023-002
Notice & Approval
| A proposal to amend Rules 5910 and 5920 to remove expired and obsolete provisions. | Approved | Yes | 3/15/2023 | 2/22/2023 | SR-NASDAQ-2023-001
Notice & Approval
| A proposal to add certain rule text changes that were prematurely removed from Equity 2 Section 5(a)(2) and Section 11(a). | Approved | Yes | 3/10/2023 | 2/17/2023 |
| Rule Filing | Description | Status | Noticed by the SEC for Comment | Expiration of the SEC Comment Period | Federal Register Notice Date |
|---|
SR-NASDAQ-2022-080
Notice & Approval
| A proposal to extend the implementation date for certain risk checks of Rule Nasdaq Equity 6, Section 5 (Risk Settings) that provide Participants with additional optional settings. | Approved | Yes | 1/26/2023 | 1/5/2023 | SR-NASDAQ-2022-079
Resubmission
Notice
SEC Extension
Amendment 1
Order Instituting Proceedings
SEC Extension
Amendment 2
Approval
| A proposal to amend Rules 4702(b)(14) and (b)(15) of the Exchange's Rulebook to replace the static holding period requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book with dynamic holding periods. | Approved | Yes | 1/31/2023 | 1/10/2023 | SR-NASDAQ-2022-078
Notice & Approval
| A proposal to amend The Nasdaq Options Market LLC ('NOM') Pricing Schedule at Options 7, Section 2. | Approved | Yes | 1/19/2023 | 12/29/2022 | SR-NASDAQ-2022-076
Notice & Approval
| A proposal to amend Equity 4, Rule 4754. | Approved | Yes | 1/17/2023 | 12/27/2022 | SR-NASDAQ-2022-075
Notice & Approval
| A proposal to simplify implementation and compliance tracking of Listing Rules 5605 and 5606 | Approved | Yes | 1/10/2023 | 12/20/2022 | SR-NASDAQ-2022-074
Notice & Approval
| A proposal to extend the implementation date of its Post-Trade Risk Management product to Q2 2023. | Approved | Yes | 1/13/2023 | 12/23/2022 | SR-NASDAQ-2022-073
Notice & Approval
| A proposal to amend Equity 2, Section 4 (Registration as a Nasdaq Market Maker), Section 5 (Market Maker Obligations) and Section 11 (Voluntary Termination of Registration) related to certain Market Maker requirements. | Approved | Yes | 1/11/2023 | 12/21/2022 | SR-NASDAQ-2022-070
Notice & Approval
| A proposal to amend the Exchange's schedule of credits at Equity 7, Section 118(a) | Approved | Yes | 1/4/2023 | 12/14/2022 | SR-NASDAQ-2022-069
Notice & Approval
| A proposal to clarify when Immediate or Cancel Orders for halted securities are cancelled by amending Equity 4, Rule 4753 and Equity 4, Rule 4703. | Approved | Yes | 1/3/2023 | 12/12/2022 | SR-NASDAQ-2022-068
Resubmission
Notice & Approval
| A proposal to modify entry and all-inclusive annual fees for certain companies. While changes proposed herein are effective upon filing, the Exchange has designated the proposed amendments to be operative on January 1, 2023. | Approved | Yes | 1/13/2023 | 12/23/2022 | SR-NASDAQ-2022-067
Notice & Approval
| A proposal to amend Nasdaq Pricing Schedule at Equity 7, Section 30, Regulatory, Registration and Processing Fees, to reflect adjustments to FINRA Registration Fees and Fingerprinting Fees. | Approved | Yes | 12/23/2022 | 12/2/2022 | SR-NASDAQ-2022-066
Notice & Approval
| A proposal to amend certain rule text within General 2, Organization and Administration. Additionally, the Exchange proposes to amend The Nasdaq Options Market LLC ('NOM') rules at Options 1, General Provisions; Options 4A, Options Index Rules; and Options 10, Doing Business with the Public. | Approved | Yes | 12/27/2022 | 12/6/2022 | SR-NASDAQ-2022-065
Notice & Approval
| A proposal to delay implementation of pending amendments to Equity 4, Rules 4120, 4702 and 4703. | Approved | Yes | 12/14/2022 | 11/23/2022 | SR-NASDAQ-2022-064
Notice & Approval
| Proposal to Amend NOM Options 7, Section 2 | Approved | Yes | 12/20/2022 | 11/29/2022 | SR-NASDAQ-2022-063
Notice & Approval
| A proposal to amend the Exchange's schedule of credits at Equity 7, Section 118(a) | Approved | Yes | 12/9/2022 | 11/18/2022 | SR-NASDAQ-2022-060
Notice & Approval
| A proposal to specify an implementation timeframe for the introduction of enhanced anti-internalization functionality | Approved | Yes | 12/5/2022 | 11/14/2022 | SR-NASDAQ-2022-059
Notice & Approval
| Proposal to extend the expiration date of the temporary amendments concerning video conference hearings from October 31, 2022, to January 31, 2023. | Approved | Yes | 12/7/2022 | 11/16/2022 | SR-NASDAQ-2022-058
Notice & Approval
| A proposal to relocate Equity 2, Section 3, Nasdaq Market Center Participant Registration. | Approved | Yes | 11/18/2022 | 10/28/2022 | SR-NASDAQ-2022-057
Notice
SEC Extension
Amendment 1
Approval
| A proposal to adopt Listing Rule 5732 to provide listing standards for Contingent Value Rights on Nasdaq Global Market. | Approved | Yes | 11/25/2022 | 11/3/2022 | SR-NASDAQ-2022-056
Notice & Approval
| A proposal to amend Equity 4, Rule 4757. | Approved | Yes | 11/9/2022 | 10/19/2022 | SR-NASDAQ-2022-055
Notice & Approval
| A proposal to extend Nasdaq's program providing Eligible Companies with complimentary board recruiting services. | Approved | Yes | 11/8/2022 | 10/18/2022 | SR-NASDAQ-2022-054
Resubmission
Notice & Approval
| A proposal to temporarily waive certain port-related fees at Equity 7, Section 115 and Equity 7, Section 130. | Approved | Yes | 11/15/2022 | 10/25/2022 | SR-NASDAQ-2022-053
Notice & Approval
| A proposal to amend the Exchange's transaction credits at Equity 7, Section 118(a). | Approved | Yes | 11/14/2022 | 10/21/2022 | SR-NASDAQ-2022-052
Notice & Approval
| A proposal to amend Nasdaq Equity 11, Rule 11890 (Clearly Erroneous Transactions). | Approved | Yes | 10/20/2022 | 9/29/2022 | SR-NASDAQ-2022-051
Notice & Approval
| A proposal to amend Equity 4, Rules 4120, 4702 and 4703 in light of planned changes to the System. | Approved | Yes | 10/11/2022 | 9/20/2022 | SR-NASDAQ-2022-050
Notice & Approval
| A proposal to amend: (i) the Exchanges transaction credits at Equity 7, Section 118(a), and (ii) the Exchanges port-related fees at Options 7, Section 3. | Approved | Yes | 10/6/2022 | 9/15/2022 | SR-NASDAQ-2022-049
Notice & Approval
| A proposal to amend the Exchange's port-related fees, at Equity 7, Section 115, and Options 7, Section 3. | Approved | Yes | 9/21/2022 | 8/31/2022 | SR-NASDAQ-2022-047
Notice & Approval
| A proposal to amend Rule Nasdaq Equity 6, Section 5 (Risk Settings) to provide Participants with additional optional settings. | Approved | Yes | 9/8/2022 | 8/18/2022 | SR-NASDAQ-2022-046
Notice & Approval
| A proposal to amend the Exchange's transaction credits at Equity 7, Section 118(a). | Approved | Yes | 9/6/2022 | 8/15/2022 | SR-NASDAQ-2022-045
Notice & Approval
| A proposal to amend the Exchange's Pricing Schedule at Equity 7, Section 114(f) ('Pricing Schedule'). | Approved | Yes | 9/6/2022 | 8/15/2022 | SR-NASDAQ-2022-044
Notice & Approval
| A proposal to extend the expiration date of the temporary amendments concerning video conference hearings from July 31, 2022, to October 31, 2022. | Approved | Yes | 9/1/2022 | 8/11/2022 | SR-NASDAQ-2022-043
Notice & Approval
| A proposal to extend the current pilot program related to Nasdaq Equity 11, Rule 11890 (Clearly Erroneous Transactions) to the close of business on October 20, 2022. | Approved | Yes | 8/16/2022 | 7/26/2022 | SR-NASDAQ-2022-042
Notice & Approval
| A proposal to amend the Exchange's fees to add two new features to the
enterprise licenses at Equity 7, Section 123(c). First, the Exchange proposes to expand the enterprise license at Section 123(c)(1), which currently allows External Distribution of TotalView only to Non-Professional Subscribers with whom the firm has a brokerage relationship, to also include distribution of data externally to Professionals for no additional fees beyond the per Subscriber charges already set forth in that section. Second, the Exchange proposes to allow a purchaser of any of the TotalView enterprise license options listed at Section 123(c) to deliver TotalView using an Enhanced Display Solution for the same per Subscriber fees paid by any other purchaser of the Section 123(c) enterprise licenses. The Proposal also includes a number of technical and conforming changes. | Approved | Yes | 8/23/2022 | 8/2/2022 | SR-NASDAQ-2022-040
Notice & Approval
| A proposal to amend certain NOM Market Maker Non Penny discounts in Options 7, Section 2. | Approved | Yes | 8/11/2022 | 7/21/2022 | SR-NASDAQ-2022-039
Notice & Approval
| A proposal to amend the Exchange's schedule of credits, at Equity 7, Section 118(a)(1) | Approved | Yes | 8/5/2022 | 7/15/2022 | SR-NASDAQ-2022-038
Notice & Approval
| A proposal to extend the implementation date of its Post-Trade Risk Management product to Q4 2022. | Approved | Yes | 8/3/2022 | 7/13/2022 | SR-NASDAQ-2022-036
Notice & Approval
| A proposal to: (i) eliminate the Nasdaq Growth Program, at Equity 7, Section 114(j); (ii) adjust or eliminate several of the Exchanges transaction credits, at Equity 7, 118(a); (iii) add a new credit to Equity 7, Section 118(a); and (iv) re-organize, re-format, and re-state the Exchanges schedule of transaction fees and credits at Equity 7, Section 118(a), as described further below. | Approved | Yes | 7/8/2022 | 6/17/2022 | SR-NASDAQ-2022-035
Notice & Approval
| A proposed rule change relating to the ALPS Active REIT ETF (the 'Fund') of ALPS ETF Trust (the 'Trust'), to provide for the use of 'Custom Baskets' consistent with the exemptive relief issued pursuant to the Investment Company Act of 1940 applicable to a series of Proxy Portfolio Shares. | Approved | Yes | 7/7/2022 | 6/16/2022 | SR-NASDAQ-2022-034
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 | 6/10/2022 | 5/20/2022 | SR-NASDAQ-2022-033
Notice & Approval
| A proposal to extend the current pilot program related to Nasdaq Equity 11, Rule 11890 (Clearly Erroneous Transactions) to the close of business on July 20, 2022. | Approved | Yes | 5/17/2022 | 4/26/2022 | SR-NASDAQ-2022-032
Notice & Approval
| A proposal to amend the Exchange's transaction fees at Equity 7, Section118(a). | Approved | Yes | 5/18/2022 | 4/27/2022 | SR-NASDAQ-2022-031
Notice & Approval
| A proposal to adopt on a permanent basis the pilot program for market wide circuit breakers. | Approved | Yes | 5/10/2022 | 4/19/2022 | SR-NASDAQ-2022-029
Resubmission
Notice & Approval
| A proposal to extend the implementation date of its Post-Trade Risk Management product to Q2 2022. | Approved | Yes | 5/9/2022 | 4/18/2022 | SR-NASDAQ-2022-028
Notice & Approval
| A proposal to extend the expiration date of the temporary amendments concerning video conference hearings from March 31, 2022, to July 31, 2022. | Approved | Yes | 5/2/2022 | 4/11/2022 | SR-NASDAQ-2022-027
Notice
SEC Extension
Amendment 1
Notice 2
Order Instituting Proceedings
Amendment 2
Notice 3
SEC Extension 2
Amendment 3
Approval
| A proposal to modify certain pricing limitations for companies listing in connection with a Direct Listing with a Capital Raise in which the company will sell shares itself in the opening auction on the first day of trading on Nasdaq | Approved | Yes | 10/13/2022 | 9/22/2022 | SR-NASDAQ-2022-026
Notice & Approval
| A proposal to extend the pilot related to the market-wide circuit breaker in Equity 4, Rule 4121 to the close of business on April 18, 2022. | Approved | Yes | 4/12/2022 | 3/22/2022 | SR-NASDAQ-2022-025
Notice & Approval
| A proposal to amend the Exchange's transaction fees and credits at Equity 7, Sections 114 and 118. | Approved | Yes | 4/13/2022 | 3/23/2022 | SR-NASDAQ-2022-024
Notice & Approval
| A proposal to amend the Exchanges fees to create a monthly Media Enterprise License for the distribution of Nasdaq Basic to the general investing public for Display Usage. | Approved | Yes | 4/14/2022 | 3/24/2022 | SR-NASDAQ-2022-023
Notice & Approval
| A proposal to harmonize its processes and procedures under Options 3, Section 20 with those of its affiliated options exchange. | Approved | Yes | 4/13/2022 | 3/23/2022 | SR-NASDAQ-2022-022
Notice & Approval
| A proposal to amend General 3, Rule 1002, Qualifications of Exchange Members and Associated Persons; Registration of Branch Offices and Designation of Office of Supervisory Jurisdiction. | Approved | Yes | 4/14/2022 | 3/24/2022 | SR-NASDAQ-2022-021
Notice & Approval
| A proposal to amend General 4, Rule 1240 (Continuing Education Requirements). | Approved | Yes | 4/7/2022 | 3/17/2022 | SR-NASDAQ-2022-020
Resubmission
Notice & Approval
| A proposal to amend Rule 4756(a)(3), in light of planned changes to the System as well as to address existing issues. | Approved | Yes | 4/20/2022 | 3/30/2022 | SR-NASDAQ-2022-017
Notice
SEC Extension
Amendment 1
Notice 2
Approval
| A proposal to modify Equity 4, Section 4120 to add categories of regulatory and operational halts and to reorganize the remaining text of the rule, and to make conforming changes to related rules. | Approved | Yes | 5/31/2022 | 5/9/2022 | SR-NASDAQ-2022-015
Notice
SEC Extension
Order Instituting Proceedings
Amendment 1
SEC Extension 2
Amendment 2
Approval
| A proposal to exempt non-convertible bonds listed under Rule 5702 from certain corporate governance requirements. | Approved | Yes | 3/16/2022 | 2/23/2022 | SR-NASDAQ-2022-013
Notice & Approval
| A proposal to amend the Exchange's transaction credits at Equity 7, Section 118. | Approved | Yes | 3/9/2022 | 2/16/2022 | SR-NASDAQ-2022-012
Notice & Approval
| A proposal to amend the Exchanges service fees at Equity 7, Section 115. | Approved | Yes | 3/10/2022 | 2/17/2022 | SR-NASDAQ-2022-011
Notice & Approval
| A proposal to amend the Exchange's transaction credits at Equity 7, Section 114 and Section 118. | Approved | Yes | 2/24/2022 | 2/3/2022 | SR-NASDAQ-2022-010
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-NASDAQ-2022-007
Notice & Approval
| A proposal to amend The Nasdaq Options Market LLC's ('NOM') Pricing Schedule at Options 7, Section 5 to reduce the NOM Options Regulatory Fee or 'ORF'. | Approved | Yes | 2/22/2022 | 2/1/2022 | SR-NASDAQ-2022-006
Notice
Approval
| A proposal to amend Equity 4, Section 4702(b)(14) and (implicitly) 4702(b)(15) to enable Exchange members to enter Midpoint Extended Life Orders ('M-ELOs') and M-ELO Plus Continuous Book ('M-ELO+CB') Orders with an immediate-or-cancel ('IOC') Time-in-Force ('TIF') instruction. | Approved | Yes | 2/23/2022 | 2/2/2022 | SR-NASDAQ-2022-004
Notice & Approval
| A proposal to amend the Exchange's listing fees at Rule 5910(b) to insert language concerning a $15,000 annual listing fee applicable to a Dually Listed Company, which was erroneously removed, as described further below. | Approved | Yes | 2/22/2022 | 2/1/2022 | SR-NASDAQ-2022-003
Notice & Approval
| A proposal to amend Nasdaq's Pricing Schedule at Equity 7, Section 30, Regulatory, Registration and Processing Fees, to reflect adjustments to FINRA Continuing Education Fees. The Exchange also proposes technical amendments to The Nasdaq Stock Market LLC's ('NOM') Options 7, Section 1, General Provisions. | Approved | Yes | 2/18/2022 | 1/28/2022 | SR-NASDAQ-2022-001
Notice & Approval
| A proposal to amend the NOM Pricing Schedule at Options 7, Section 2. | Approved | Yes | 2/14/2022 | 1/24/2022 |
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-NASDAQ-2021-107
Notice & Approval
|
A proposal to modify certain exchange traded product listing fees. While changes proposed herein are
effective upon filing, the Exchange has designated the proposed amendments to be operative on
January 1, 2022. |
Approved |
Yes |
2/8/2022 |
1/18/2022 |
SR-NASDAQ-2021-105
Notice & Approval
|
A proposal to delay implementation of SR-NASDAQ-2021-009. |
Approved |
Yes |
1/26/2022 |
1/5/2022 |
SR-NASDAQ-2021-104
Notice & Approval
|
a proposal to extend the expiration date of the temporary amendments in SR-NASDAQ-2020-076 from
December 31, 2021, to March 31, 2022. |
Approved |
Yes |
1/19/2022 |
12/29/2021 |
SR-NASDAQ-2021-102
Notice & Approval
|
A proposal to withdraw its Trading Insights product from sale. |
Approved |
Yes |
1/24/2022 |
1/3/2022 |
SR-NASDAQ-2021-101
Resubmission
Notice
Approval
|
A proposal to amend its rule related to certain order handling in the Limit-Up Limit-Down ('LULD')
closing cross. |
Approved |
Yes |
1/26/2022 |
1/5/2022 |
SR-NASDAQ-2021-100
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Section
118(a). |
Approved |
Yes |
1/13/2022 |
12/23/2021 |
SR-NASDAQ-2021-099
Notice
SEC
Extension
Approval
|
A proposal to amend Rule 5815 regarding the use of a Panel Monitor following a compliance
determination by a Nasdaq Listings Qualification Hearings Panel. |
Approved |
Yes |
1/11/2022 |
3/23/2022 |
SR-NASDAQ-2021-095
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC's Pricing Schedule at Options 7,
Section 1, General Provisions. |
Approved |
Yes |
1/3/2022 |
12/13/2021 |
SR-NASDAQ-2021-094
Notice & Approval
|
A proposal to adopt an Optional Post-Only Quoting Protection for NOM Market Makers. |
Approved |
Yes |
12/21/2021 |
11/30/2021 |
SR-NASDAQ-2021-093
Notice & Approval
|
A proposal to include Juneteenth National Independence Day as a Holiday. |
Approved |
Yes |
12/27/2021 |
12/3/2021 |
SR-NASDAQ-2021-092
Notice & Approval
|
A proposal to adopt alternative initial and continued listing requirements for Acquisition Companies
listing on the Nasdaq Global Market. |
Approved |
Yes |
12/17/2021 |
11/26/2021 |
SR-NASDAQ-2021-091
Resubmission
Notice & Approval
|
A proposal to modify certain listing fees. While changes proposed herein are
effective upon filing, the Exchange has designated the proposed amendments to be operative on
January 1, 2022. |
Approved |
Yes |
12/30/2021 |
12/9/2021 |
SR-NASDAQ-2021-089
Notice & Approval
|
A proposal to retire certain order entry protocols and related fees, at Equity 7, Section 115 |
Approved |
Yes |
12/13/2021 |
11/22/2021 |
SR-NASDAQ-2021-088
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Section
118(a). |
Approved |
Yes |
12/9/2021 |
11/18/2021 |
SR-NASDAQ-2021-087
Resubmission
Notice & Approval
|
A proposal to amend Nasdaq's Pricing Schedule at Options 7, Section 30, Regulatory, Registration,
and Processing Fees, to reflect adjustments to FINRA Registration Fees, Fingerprinting Fees and
Continuing Education Fees. |
Approved |
Yes |
12/14/2021 |
11/23/2021 |
SR-NASDAQ-2021-083
Notice & Approval
|
A proposal to exempt certain categories of investment companies registered under
the Investment Company Act of 1940 (the '1940 Act') from the requirement to obtain shareholder
approval prior to the issuance of securities in connection with certain acquisitions of the stock or
assets of another company. |
Approved |
Yes |
11/26/2021 |
11/4/2021 |
SR-NASDAQ-2021-081
Notice & Approval
|
A proposal to amend the Exchange's schedule of transaction credits and charges, at Equity 7, Section
118(a). |
Approved |
Yes |
11/18/2021 |
10/28/2021 |
SR-NASDAQ-2021-080
Notice & Approval
|
A proposal to extend the current pilot program related to Nasdaq Equity 11, Rule
11890 (Clearly Erroneous Transactions) to the close of business on April 20, 2022. |
Approved |
Yes |
11/12/2021 |
10/21/2021 |
SR-NASDAQ-2021-079
Notice & Approval
|
A proposal to extend the pilot related to the market wide circuit breaker until March 18, 2022. |
Approved |
Yes |
11/9/2021 |
10/19/2021 |
SR-NASDAQ-2021-077
Notice & Approval
|
A proposal to Delay Implementation of SR-NASDAQ-2021-009. |
Approved |
Yes |
10/29/2021 |
10/8/2021 |
SR-NASDAQ-2021-076
Resubmission
Notice & Approval
|
A proposal to permit Monday and Wednesday expirations for options listed pursuant to the Short Term
Option Series Program on the iShares Russell 2000 ETF. |
Approved |
Yes |
10/29/2021 |
10/8/2021 |
SR-NASDAQ-2021-075
Notice & Approval
|
A proposal to amend the Discretion Attribute, at Rule 4703 in light of planned
changes to the System. |
Approved |
Yes |
10/29/2021 |
10/8/2021 |
SR-NASDAQ-2021-074
Notice & Approval
|
A proposal to Amend Options 3, Section 26, Message Traffic Mitigation. |
Approved |
Yes |
10/15/2021 |
9/24/2021 |
SR-NASDAQ-2021-073
Notice & Approval
|
A proposal to extend the implementation date of its Post-Trade Risk Management
product to Q1 2022. |
Approved |
Yes |
10/21/2021 |
9/30/2021 |
SR-NASDAQ-2021-072
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Section 118(a). |
Approved |
Yes |
10/20/2021 |
9/29/2021 |
SR-NASDAQ-2021-071
Notice & Approval
|
A proposal to delete the Order Audit Trail System ('OATS') rules in the Equity 5
Series of the Exchange's rulebook that provides for the collection of information that is
duplicative of the data collection requirements of the CAT. |
Approved |
Yes |
10/7/2021 |
9/16/2021 |
SR-NASDAQ-2021-070
Notice & Approval
|
A proposal to incorporate The Nasdaq Options Market LLC Options 4 Rules by reference to Nasdaq ISE,
LLC Options 4 Rules. |
Approved |
Yes |
10/12/2021 |
9/21/2021 |
SR-NASDAQ-2021-069
Notice & Approval
|
A proposal to amend The Nasdaq Options Market's ('NOM') Pricing Schedule at
Options 7, Section 2(1). |
Approved |
Yes |
10/12/2021 |
9/20/2021 |
SR-NASDAQ-2021-067
Resubmission
Notice & Approval
|
A proposal to extend the expiration date of the temporary amendments in SR-NASDAQ-2020-076 from
August 31, 2021, to December 31, 2021. The proposed rule change would not make any changes to the
text of the Exchange rules. |
Approved |
Yes |
10/6/2021 |
9/15/2021 |
SR-NASDAQ-2021-066
Amendment 1
Notice
SEC
Extension
Order Instituting Proceedings
Amendment 2
Approval
|
A proposal to list and trade shares of the Valkyrie XBTO Bitcoin Futures Fund (the
'Trust') under Nasdaq Rule 5711(g) ('Commodity Futures Trust Shares'). |
Approved |
Yes |
9/30/2021 |
9/9/2021 |
SR-NASDAQ-2021-065
Resubmission
Notice
Approval
|
A proposal to amend Nasdaq Rule 5750 (Proxy Portfolio Shares) to provide for the use of 'Custom
Baskets' consistent with the exemptive relief issued pursuant to the Investment Company Act of 1940
applicable to a series of Proxy Portfolio Shares. |
Approved |
Yes |
9/23/2021 |
9/2/2021 |
SR-NASDAQ-2021-064
Notice & Approval
|
A proposal to amend General 9, Section 51, Research Analysts. |
Approved |
Yes |
9/20/2021 |
8/30/2021 |
SR-NASDAQ-2021-063
Notice & Approval
|
A proposal to the Rule Change to Amend Options 3, Section 17 (Kill Switch). |
Approved |
Yes |
9/14/2021 |
8/24/2021 |
SR-NASDAQ-2021-062
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC ('NOM') Rules at Options 2,
Section 5, Market Maker Quotations and Options 4A, Section 12, Terms of Index Option Contracts. |
Approved |
Yes |
9/9/2021 |
8/19/2021 |
SR-NASDAQ-2021-061
Notice & Approval
|
A proposal to amend Listing Rule 5910 to modify the application fee for companies listing under
IM-5101-2 (companies whose business plan is to complete one or more acquisitions) on the Nasdaq
Global Market. |
Approved |
Yes |
9/9/2021 |
8/19/2021 |
SR-NASDAQ-2021-059
Notice & Approval
|
A proposal to conform NOM Options 4 listing rules to ISE Options 4 listing rules.
|
Approved |
Yes |
8/26/2021 |
8/5/2021 |
SR-NASDAQ-2021-058
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Section 118(a) |
Approved |
Yes |
8/12/2021 |
7/22/2021 |
SR-NASDAQ-2021-057
Resubmission
Resubmission 2
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC's ('NOM') Pricing Schedule at
Options 7, Section 5 related to the Options Regulatory Fee. |
Approved |
Yes |
9/2/2021 |
8/12/2021 |
SR-NASDAQ-2021-055
Notice & Approval
|
A proposal to amend Listing Rule 5910 to establish Entry and All-Inclusive Annual Listing Fees for
companies listing under IM-5101-2 (companies whose business plan is to complete one or more
acquisitions) on the Nasdaq Global Market. |
Approved |
Yes |
8/3/2021 |
7/13/2021 |
SR-NASDAQ-2021-054
Notice
SEC
Extension
Order Instituting Proceedings
SEC
Extension 2
Disapproval
|
A proposal to modify Listing Rule IM-5101-2 to permit a SPAC to contribute a
portion of the amount held in its deposit account to a deposit account of a new SPAC and spin off
the new SPAC to its shareholders. |
Disapproved |
Yes |
8/3/2021 |
7/13/2021 |
SR-NASDAQ-2021-053
Notice & Approval
|
A proposal to amend the Exchange's transaction credits and charges at Equity 7, Section 118(a). |
Approved |
Yes |
7/28/2021 |
7/7/2021 |
SR-NASDAQ-2021-051
Notice & Approval
|
A proposal to amend General 9, Section 18, Payments for Market Making. |
Approved |
Yes |
7/20/2021 |
6/29/2021 |
SR-NASDAQ-2021-049
Notice & Approval
|
A proposal to extend the implementation date for changing the primary and secondary source of
quotation data of MEMX LLC ('MEMX') in the list of proprietary and network processor feeds that the
Exchange utilizes for the handling, routing, and execution of orders as well as regulatory
compliance processes related to those functions. |
Approved |
Yes |
7/16/2021 |
6/25/2021 |
SR-NASDAQ-2021-046
Notice & Approval
|
A proposal to amend the Exchange's Pricing Schedule at Equity 7, Section 114(f)
('Pricing Schedule') |
Approved |
Yes |
7/6/2021 |
6/15/2021 |
SR-NASDAQ-2021-045
Resubmission
Notice
SEC
Extension
Order Instituting Proceedings
SEC
Extension 2
Amendment 1
Amendment Withdrawn
Amendment 2
Notice
2
Disapproval
|
A proposal to modify certain pricing limitations for companies listing in connection with a Direct
Listing primary offering in which the company will sell shares itself in the opening auction on the
first day of trading on Nasdaq. |
Disapproved |
Yes |
2/2/2022 |
1/12/2022 |
SR-NASDAQ-2021-044
Resubmission
Notice & Approval
|
A proposal to amend Equity 4, Rules 4702 and 4703 in light of planned changes to
the System. |
Approved |
Yes |
7/15/2021 |
6/24/2021 |
SR-NASDAQ-2021-043
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Section 118a. |
Approved |
Yes |
6/22/2021 |
6/1/2021 |
SR-NASDAQ-2021-040
Resubmission
Resubmission 2
Notice
SEC
Extension
Amendment 1
Order Instituting Proceedings
Approval
|
A proposal to amend Equity 4, Section 4702 to establish the 'Extended Trading
Close' and a new 'Extended Trading Close' Order Type. |
Approved |
Yes |
8/18/2021 |
7/28/2021 |
SR-NASDAQ-2021-039
Notice & Approval
|
An emergency proposal to temporarily suspend publication on certain proprietary data feeds of last
sale information on securities that are projected to exceed 98 percent of the maximum allowable
value of the feed. The suspension will be effective on May 4, 2021, and will conclude on May 17,
2021, when the maximum allowable value of the feed will be substantially enhanced. The proposed
suspension will impact the following data feeds: Nasdaq Last Sale and Nasdaq Last Sale Plus (Equity
7, Section 139), Nasdaq Basic (Equity 7, Section 147), and Nasdaq FilterView (Equity 7, Section
137). |
Approved |
Yes |
6/7/2021 |
5/17/2021 |
SR-NASDAQ-2021-038
Notice & Approval
|
A proposal to extend the implementation date of its Nasdaq Opening Cross
enhancements to the end of Q2 2021. |
Approved |
Yes |
6/9/2021 |
5/19/2021 |
SR-NASDAQ-2021-036
Notice & Approval
|
A proposal to allow broker-dealers that purchase the Nasdaq Basic enterprise license at Equity 7,
Section 147(b)(5) to distribute Nasdaq Last Sale ('NLS') to the general investing public under the
same terms and conditions currently permitted under the NLS enterprise license at Equity 7, Section
139(b)(4). The current Nasdaq Basic enterprise license at Section 147(b)(5) allows distribution of
NLS to natural persons in a brokerage relationship with the broker-dealer, while the current NLS
enterprise license at Section 139(b)(4) allows distribution to the general investing public for
Display Usage, and requires the Distributor to have a reasonable basis to conclude that all Users of
such information are either Non-Professionals or Professionals whom the Distributor has no reason to
believe are using NLS in their professional capacity. The proposal is to allow broker-dealers that
purchase the Nasdaq Basic enterprise license at Section 147(b)(5) to distribute NLS to the general
investing public for Display Usage under the same conditions as set forth at Section 139(b)(4). |
Approved |
Yes |
6/8/2021 |
5/18/2021 |
SR-NASDAQ-2021-033
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-NASDAQ-2021-032
Resubmission
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC ('NOM') Rules at Options 4, Section 5, 'Series of
Options Contracts Open for Trading.' This proposal seeks to limit Short Term Options Series
intervals between strikes which are available for quoting and trading on NOM |
Approved |
Yes |
6/14/2021 |
5/24/2021 |
SR-NASDAQ-2021-030
Resubmission
Notice & Approval
|
A proposal to the amendments to Options 3, Section 7, Types of Orders and Order
and Quote Protocols, and Options 3, Section 15, Risk Protections. |
Approved |
Yes |
6/7/2021 |
5/17/2021 |
SR-NASDAQ-2021-028
Resubmission
Notice & Approval
|
A proposal to the rule filing to permit Monday and Wednesday expirations for options listed pursuant
to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ('QQQ') ETF Trust. |
Approved |
Yes |
5/20/2021 |
4/29/2021 |
SR-NASDAQ-2021-026
Notice & Approval
|
A proposal to the rule change to extend the expiration date of the temporary
amendments initially set forth in SR-NASDAQ-2020-73 and subsequently extended in SR-NASDAQ-2020-091
(collectively, the 'Temporary Qualification Examination Relief Filings') from April 30, 2021 to June
30, 2021. The Exchange does not anticipate providing any further extensions to the temporary
amendments identified in this proposed rule change beyond June 30, 2021. |
Approved |
Yes |
5/27/2021 |
5/6/2021 |
SR-NASDAQ-2021-025
Notice & Approval
|
A proposal to the rule change relating to connectivity, surveillance and risk management services.
|
Approved |
Yes |
5/28/2021 |
5/7/2021 |
SR-NASDAQ-2021-023
Notice & Approval
|
A proposal to adopt Nasdaq Rule 5760 to permit the listing and trading of Managed
Portfolio Shares. |
Approved |
Yes |
5/24/2021 |
5/3/2021 |
SR-NASDAQ-2021-022
Notice & Approval
|
A proposal to extend the current pilot program related to Nasdaq Equity 11, Rule 11890 to the close
of business on October 20, 2021. |
Approved |
Yes |
5/12/2021 |
4/21/2021 |
SR-NASDAQ-2021-021
Notice & Approval
|
A proposal to amend The Nasdaq Options Market's ('NOM') Pricing Schedule at
Options 7, Section 1, General Provisions, and Options 7, Section 2, Nasdaq Options Market-Fees and
Rebates. |
Approved |
Yes |
5/21/2021 |
4/30/2021 |
SR-NASDAQ-2021-020
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Section118(a). |
Approved |
Yes |
5/18/2021 |
4/27/2021 |
SR-NASDAQ-2021-018
Notice & Approval
|
A proposal to extend the implementation date of its enhancements to the End of Day
('EOD') summary message on Nasdaq Last Sale ('NLS') Plus to May 17, 2021. |
Approved |
Yes |
5/6/2021 |
4/15/2021 |
SR-NASDAQ-2021-013
Notice & Approval
|
A proposal to insert language concerning an initial listing requirement applicable to American
Depository Receipts or Shares on the Nasdaq Global Select and Global Market which was inadvertently
removed. |
Approved |
Yes |
5/4/2021 |
4/13/2021 |
SR-NASDAQ-2021-012
Resubmission
Notice & Approval
|
A proposal to waive the Entry Fee and the All-Inclusive Annual Listing Fee for any
company not listed on a national securities exchange that is listing upon closing of its acquisition
of a special purpose acquisition company listed on Nasdaq. |
Approved |
Yes |
4/22/2021 |
4/1/2021 |
SR-NASDAQ-2021-011
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Section118(a) |
Approved |
Yes |
4/8/2021 |
3/18/2021 |
SR-NASDAQ-2021-010
Notice & Approval
|
A proposal to enhance the End of Day summary message on Nasdaq Last Sale Plus by
replacing the current high, low and closing price of a security based on its trading on the Nasdaq,
Nasdaq BX and Nasdaq PSX exchanges with the high, low and closing price of a security published by
the securities information processors, and adding the opening price of a security as published by
the SIPs to that message. |
Approved |
Yes |
3/29/2021 |
3/8/2021 |
SR-NASDAQ-2021-009
Notice
Amendment 1
SEC
Extension
Approval
|
A proposal to amend Rule 4754 to introduce price protections for the Limit-Up Limit-Down ('LULD')
Closing Cross that are similar to the protections currently employed by the standard Nasdaq Closing
Cross, and to make other changes related to the LULD Closing Cross. |
Approved |
Yes |
3/24/2021 |
3/3/2021 |
SR-NASDAQ-2021-008
Notice & Approval
|
A proposal to amend Equity 4, Rule 4759 (Data Feeds Utilized) to change the
primary and secondary source of quotation data of certain market centers in the list of proprietary
and network processor feeds that the Exchange utilizes for the handling, routing, and execution of
orders as well as regulatory compliance processes related to those functions. |
Approved |
Yes |
3/15/2021 |
2/22/2021 |
SR-NASDAQ-2021-007
Notice
SEC
Extension
Order Instituting Proceedings
SEC
Extension 2
Approval
|
A proposal to apply additional initial listing criteria for companies primarily operating in a
jurisdiction that has secrecy laws, blocking statutes, national security laws or other laws or
regulations restricting access to information by regulators of U.S. listed companies. |
Approved |
Yes |
3/9/2021 |
2/16/2021 |
SR-NASDAQ-2021-006
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Sections 114
and 118(a). |
Approved |
Yes |
3/11/2021 |
2/18/2021 |
SR-NASDAQ-2021-005
Notice & Approval
|
A proposal to amend the rule change relating to the ALPS Active REIT ETF (the 'Fund') of ALPS ETF
Trust (the 'Trust'), to list and trade shares of the Fund under Nasdaq Rule 5750 ('Proxy Portfolio
Shares'). The shares of the Fund are collectively referred to herein as the 'Shares.' |
Approved |
Yes |
3/3/2021 |
2/10/2021 |
SR-NASDAQ-2021-004
Resubmission
Resubmission 2
Notice
Amendment 1
Amendment Withdrawn
Amendment 2
Approval
|
A proposal to (i) disseminate abbreviated order imbalance information prior to the
dissemination of the Order Imbalance Indicator, (ii) amend certain cutoff times for on-open orders
entered for participation in the Nasdaq Opening Cross and (iii) extend the time period for accepting
certain Limit On Open Orders |
Approved |
Yes |
3/10/2021 |
2/17/2021 |
SR-NASDAQ-2021-003
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Section 118 |
Approved |
Yes |
2/16/2021 |
1/26/2021 |
SR-NASDAQ-2021-002
Notice
Amendment 1
Approval
|
A proposal to modify and expand the package of complimentary services provided to
eligible companies and update the values of certain complimentary services. |
Approved |
Yes |
2/16/2021 |
1/26/2021 |
rulebook-rulefilings-nasdaq-2020rulebook-rulefilings-nasdaq-2020
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-NASDAQ-2020-100
Notice
SEC
Extension
Amendment 1
Approval
|
A proposal to modify the quorum requirement applicable to a non-U.S. company where such company's
home country law is in direct conflict with Nasdaq's quorum requirement |
Approved |
Yes |
2/5/2021 |
1/15/2021 |
SR-NASDAQ-2020-099
Notice & Approval
|
A proposal to amend General 7: Consolidated Audit Trail Compliance, the Exchange's
compliance rule ('Compliance Rule') regarding the National Market System Plan Governing the
Consolidated Audit Trail (the 'CAT NMS Plan' or 'Plan') to be consistent with a conditional
exemption granted by the Commission from certain allocation reporting requirements set forth in
Sections 6.4(d)(ii)(A)(1) and (2) of the CAT NMS Plan ('Allocation Exemption'). |
Approved |
Yes |
1/27/2021 |
1/6/2021 |
SR-NASDAQ-2020-097
Notice & Approval
|
A proposal to waive certain fees related to non-convertible bonds listed in conjunction with their
voluntary delisting from a regulated foreign exchange |
Approved |
Yes |
1/27/2021 |
1/6/2021 |
SR-NASDAQ-2020-092
Notice & Approval
|
A proposal to extend the expiration date of the temporary amendments concerning
video conference hearings from December 31, 2020 to April 30, 2021. |
Approved |
Yes |
1/20/2021 |
12/30/2020 |
SR-NASDAQ-2020-091
Notice & Approval
|
A proposal to extend the effective date of the temporary amendments concerning Exchange Rule 1.1210
from December 31, 2020, to April 30, 2021 |
Approved |
Yes |
1/21/2021 |
12/30/2020 |
SR-NASDAQ-2020-090
Notice
Approval
|
A proposal to amend Equity 4, Section 4703(h), which describes Orders with
'Reserve Size,' to clarify its existing practice relating to replenishments of such Orders. As set
forth in Section 4703(h), 'Reserve Size' is an Order Attribute that permits a Participant to
stipulate that an Order Type that is Displayed may have its displayed size replenished from
additional non-displayed size. |
Approved |
Yes |
1/29/2021 |
12/30/2020 |
SR-NASDAQ-2020-089
Resubmission
Notice & Approval
|
A proposal to remove the protocol 'Ouch to Trade Options' or 'OTTO' from The Nasdaq Options Market
LLC ('NOM') Rulebook. The Exchange previously delayed its implementation of the OTTO protocol; the
Exchange will no longer implement the OTTO protocol. |
Approved |
Yes |
1/13/2021 |
12/23/2020 |
SR-NASDAQ-2020-088
Notice & Approval
|
A proposal to withdraw the QView product from sale. |
Approved |
Yes |
1/20/2021 |
12/30/2020 |
SR-NASDAQ-2020-087
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Sections 114 and 118 |
Approved |
Yes |
1/19/2021 |
12/28/2020 |
SR-NASDAQ-2020-086
Notice & Approval
|
A proposal to lower the enterprise license fee for broker-dealers distributing
Nasdaq Basic to internal Professional Subscribers as set forth in the Equity 7 Pricing Schedule,
Section 147, and the enterprise license fee for broker-dealers distributing Nasdaq Last Sale to
Professional Subscribers at Equity 7, Section 139. |
Approved |
Yes |
1/5/2021 |
12/15/2020 |
SR-NASDAQ-2020-084
Notice & Approval
|
A proposal to amend The NASDAQ Options Market LLC's ('NOM') Pricing Schedule at Options 7, Section
2, 'Nasdaq Options Market Fees and Rebates' and Options 7, Section 3, 'Nasdaq Options Market - Ports
and Other Services.' |
Approved |
Yes |
1/8/2021 |
12/18/2020 |
SR-NASDAQ-2020-083
Notice & Approval
|
A proposal to amend the rules of The Nasdaq Options Market LLC ('NOM') at Options
1, Section 1 (Definitions); Options 2, Section 5 (Market Maker Quotations); Options 3, Section 5
(Entry and Display of Orders); Options 3, Section 7 (Types of Orders and Order and Quote Protocols);
Options 3, Section 10 (Order Book Allocation); Options 3, Section 15 (Risk Protections); and Options
3, Section 23 (Data Feeds and Trade Information). |
Approved |
Yes |
1/5/2021 |
12/15/2020 |
SR-NASDAQ-2020-082
Notice
Extension
SEC
Extension
Amendment 1
Order Instituting Proceedings
SEC
Extension 2
Approval
|
A proposal to adopt Listing Rule IM-5900-9 to offer certain listed companies access to a
complimentary board recruitment portal to help advance diversity on company boards |
Approved |
Yes |
12/31/2020 |
12/10/2020 |
SR-NASDAQ-2020-081
Notice
Extension
SEC
Extension
Amendment 1
Order Instituting Proceedings
SEC
Extension 2
Approval
|
A proposal to advance board diversity and enhance transparency of diversity
statistics through new proposed listing requirements. |
Approved |
Yes |
1/4/2021 |
12/11/2020 |
SR-NASDAQ-2020-079
Notice & Approval
|
A proposal to relocate its equity and general rules from its current Rulebook into its new Rulebook
shell. |
Approved |
Yes |
1/4/2021 |
12/11/2020 |
SR-NASDAQ-2020-078
Notice & Approval
|
A proposal to provide an exemption from certain governance requirements, as well
as to include Proxy Portfolio Shares (listed on the Exchange pursuant to Nasdaq Rule 5750) to the
list of products covered under Nasdaq Rule 4120 (Limit Up-Limit Down Plan and Trading Halts). |
Approved |
Yes |
12/28/2020 |
12/7/2020 |
SR-NASDAQ-2020-076
Notice & Approval
|
A proposal to harmonize Exchange Rules 1015, 9261, 9524 and 9830 with recent changes by the
Financial Industry Regulatory Authority, Inc. ('FINRA'). These amendments would temporarily grant
the Exchange's Office of Hearing Officers ('OHO') and the Exchange Review Council ('ERC') authority
to conduct hearings in connection with appeals of Membership Application Program decisions,
disciplinary actions, eligibility proceedings and temporary and permanent cease and desist orders by
video conference. |
Approved |
Yes |
12/8/2020 |
11/17/2020 |
SR-NASDAQ-2020-075
Notice & Approval
|
A proposal to amend The Nasdaq Options Market ('NOM') Rules at Options 4, Section
3, 'Criteria for Underlying Securities,' Options 4, Section 5, 'Series of Options Contracts Open for
Trading,' and Options 4, Section 6, which is currently reserved, to relocate certain rule text and
make other minor technical amendments. |
Approved |
Yes |
12/9/2020 |
11/18/2020 |
SR-NASDAQ-2020-074
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Section 118 |
Approved |
Yes |
12/10/2020 |
11/19/2020 |
SR-NASDAQ-2020-073
Notice & Approval
|
A proposal to adopt temporary Supplementary Material .13 (Temporary Extension of
the Limited Period for Registered Persons to Function as Principals) under Exchange Rule 1.1210 of
General 4 (Registration Requirements). |
Approved |
Yes |
12/3/2020 |
11/12/2020 |
SR-NASDAQ-2020-072
Notice & Approval
|
A proposal to modify certain listing fees. |
Approved |
Yes |
12/22/2020 |
12/1/2020 |
SR-NASDAQ-2020-071
Resubmission
Notice & Approval
|
A proposal to amend Rules 4613, 4702, and 4703 in light of planned changes to the
System. |
Approved |
Yes |
12/8/2020 |
11/17/2020 |
SR-NASDAQ-2020-070
Notice & Approval
|
A proposal to extend the current pilot program related to Nasdaq Rule 11890 (Clearly Erroneous
Transactions) to the close of business on April 20, 2021. |
Approved |
Yes |
11/12/2020 |
10/21/2020 |
SR-NASDAQ-2020-069
Amendment 1
Notice
SEC
Extension
Approval
|
Proposal to exclude special purpose acquisition companies from the requirement
that at least 50% of a company's round lot holders each hold unrestricted securities with a market
value of at least $2,500. |
Approved |
Yes |
11/18/2020 |
10/28/2020 |
SR-NASDAQ-2020-068
Notice & Approval
|
A proposal to extend the pilot related to the market-wide circuit breaker in Rule 4121. |
Approved |
Yes |
11/5/2020 |
10/15/2020 |
SR-NASDAQ-2020-067
Notice & Approval
|
A proposal to (i) amend the Exchange's additional rebate to Qualified Market Maker
('QMM') at Equity 7, Section 114(e); (ii) remove a rebate provided through the Nasdaq Growth Program
at Equity 7, Section 114(j); and (iii) establish and amend certain credits and fees at Equity 7,
Section 118. |
Approved |
Yes |
11/9/2020 |
10/19/2020 |
SR-NASDAQ-2020-066
Notice & Approval
|
A proposal to amend the Exchange's transaction credits at Equity 7, Section 118. |
Approved |
Yes |
11/9/2020 |
10/19/2020 |
SR-NASDAQ-2020-062
Notice
SEC
Extension
Order Instituting Proceedings
Amendment 1
Notice
2
SEC Extension 2
Disapproval
|
A proposed rule change to amend listing rules applicable to companies whose
business plan is to complete one or more business combinations. |
Disapproved |
Yes |
4/6/2021 |
3/16/2021 |
SR-NASDAQ-2020-060
Amendment 1
Notice
SEC
Extension
Approval
|
A proposal to treat as an Eligible Switch, for purposes of IM-5900-7, an Acquisition Company that
switches from NYSE to Nasdaq after announcing a business combination. |
Approved |
Yes |
10/13/2020 |
9/21/2020 |
SR-NASDAQ-2020-059
Notice & Approval
|
A proposal to amend the Exchange's transaction fees to adjust the qualification
requirements for certain Qualified Market Maker fees and rebates at Equity 7, Section 114(e); and
establish new credits and fee tiers and amend the qualification requirements for existing credit
tiers at Equity 7, Section 118. |
Approved |
Yes |
10/5/2020 |
9/14/2020 |
SR-NASDAQ-2020-057
Resubmission
Notice
SEC
Extension
Order Instituting Proceedings
Amendment 1
Notice
2
SEC Extension 2
Amendment 2
Approval
|
A proposal to allow companies to list in connection with a primary offering in which the company
will sell shares itself in the opening auction on the first day of trading on Nasdaq and to explain
how the opening transaction for such a listing will be effected. |
Approved |
Yes |
3/23/2021 |
3/2/2021 |
SR-NASDAQ-2020-056
Notice & Approval
|
A proposal to amend The NASDAQ Options Market LLC Pricing Schedule at Options 7,
Section 2. The Exchange also proposes to amend certain rule citations within Options 7, update other
rule text within Options 7, Section 1, and Options 7, Section 5. |
Approved |
Yes |
10/1/2020 |
9/10/2020 |
SR-NASDAQ-2020-051
Notice & Approval
|
A proposal to amend Rule 4759 (Data Feeds Utilized) to change the primary source of quotation data
of certain market centers. |
Approved |
Yes |
9/14/2020 |
8/24/2020 |
SR-NASDAQ-2020-050
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC Rules at Options 6, Section 5,
titled 'Transfer of Positions.' |
Approved |
Yes |
9/11/2020 |
8/21/2020 |
SR-NASDAQ-2020-046
Notice & Approval
|
A proposal to amend the Exchange's compliance rule under General 7 of the Exchange's rulebook, the
Exchange's compliance rule ('Compliance Rule') regarding the National Market System Plan Governing
the Consolidated Audit Trail (the 'CAT NMS Plan' or 'Plan') to be consistent with an amendment to
the CAT NMS Plan recently approved by the Commission. |
Approved |
Yes |
8/31/2020 |
8/10/2020 |
SR-NASDAQ-2020-045
Resubmission
Resubmission 2
Notice & Approval
|
A proposal to update obsolete references to NASD rules in the Nasdaq rulebook and
make other related changes. |
Approved |
Yes |
9/16/2020 |
8/26/2020 |
SR-NASDAQ-2020-044
Notice
Approval
|
A proposal to adopt Listing Rule IM-5900-8 to offer a complimentary global targeting tool to an
Acquisition Company that has announced a business combination. |
Approved |
Yes |
8/24/2020 |
8/3/2020 |
SR-NASDAQ-2020-043
Resubmission
Notice & Approval
|
A proposal to amend Rule 4759 (Data Feeds Utilized). |
Approved |
Yes |
9/14/2020 |
8/24/2020 |
SR-NASDAQ-2020-042
Notice & Approval
|
A proposal to add the Consolidated Audit Trail industry member compliance rules to the list of minor
rule violations in IM-9216 and in Options 11, Section 1. |
Approved |
Yes |
8/13/2020 |
7/23/2020 |
SR-NASDAQ-2020-041
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a)
to: (i) establish two new credit tiers; and (ii) adjust the qualification requirements for an
existing credit tier. |
Approved |
Yes |
8/14/2020 |
7/24/2020 |
SR-NASDAQ-2020-039
Resubmission
Notice & Approval
|
A proposal to amend Listing Rule IM-5900-4 to waive the All-Inclusive Annual Listing Fee for any
company not listed on a national securities exchange that is listing upon closing of its acquisition
of a special purpose acquisition company listed on another national securities exchange. |
Approved |
Yes |
8/19/2020 |
7/29/2020 |
SR-NASDAQ-2020-038
Resubmission
Notice & Approval
|
A proposal to defer certain entry fees for Acquisition Companies for one year from
the date of listing and to make minor attendant technical changes. |
Approved |
Yes |
8/21/2020 |
7/31/2020 |
SR-NASDAQ-2020-036
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 |
Approved |
Yes |
7/23/2020 |
7/2/2020 |
SR-NASDAQ-2020-035
Notice & Approval
|
A proposed rule change to amend General 7, the Exchange's Compliance Rule
regarding the National Market System Plan Governing the Consolidated Audit Trail to be consistent
with certain exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain
existing regulatory systems. |
Approved |
Yes |
7/20/2020 |
6/29/2020 |
SR-NASDAQ-2020-034
Resubmission
Notice & Approval
|
A proposal to amend Rule 6130 - Nasdaq Kill Switch to provide Participants with additional optional
settings. |
Approved |
Yes |
7/31/2020 |
7/10/2020 |
SR-NASDAQ-2020-033
Notice & Approval
|
A proposal to amend The Nasdaq Options Market Options 9, Section 13, Position
Limits, to increase position limits for options on the SPDR S&P 500 ETF Trust ('SPY'), and
similarly increase exercise limits within Options 9, Section 15, Exercise Limits. |
Approved |
Yes |
7/22/2020 |
7/1/2020 |
SR-NASDAQ-2020-032
Notice & Approval
|
A proposed rule change to adopt Nasdaq Rule 5750 to permit the listing and trading of Proxy
Portfolio Shares, which are securities issued by an actively managed open-end management investment
company. |
Approved |
Yes |
7/17/2020 |
6/26/2020 |
SR-NASDAQ-2020-031
Notice & Approval
|
A proposal to delay the protocol 'Ouch to Trade Options' or 'OTTO' on The Nasdaq
Options Market LLC. |
Approved |
Yes |
7/13/2020 |
6/22/2020 |
SR-NASDAQ-2020-030
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Equity 7, Section 114(d) to add a Qualified
Market Maker ('QMM') tier, and Section 118(a) to add several credits for displayed orders/quotes
that provide liquidity to the Exchange. |
Approved |
Yes |
7/17/2020 |
6/26/2020 |
SR-NASDAQ-2020-025
Notice & Approval
|
A proposal to adopt a rule, operative through June 30, 2020, to provide listed
companies with a temporary exception from certain shareholder approval requirements. |
Approved |
Yes |
5/29/2020 |
5/8/2020 |
SR-NASDAQ-2020-024
Notice & Approval
|
A proposal to modify the implementation date and process for a recent rule change modifying the
delisting process for certain securities with a bid price below $0.10 or that have had reverse stock
splits with a cumulative ratio of 250 or more to one over the prior two year period. |
Approved |
Yes |
6/10/2020 |
5/20/2020 |
SR-NASDAQ-2020-023
Notice & Approval
|
A proposal to modify the operative date of SR-NASDAQ-2020-012. |
Approved |
Yes |
6/1/2020 |
5/11/2020 |
SR-NASDAQ-2020-022
Resubmission
Notice & Approval
|
A proposal to amend certain internal cross-references within General 5 Discipline. |
Approved |
Yes |
6/5/2020 |
5/15/2020 |
SR-NASDAQ-2020-021
Notice & Approval
|
A proposal to temporarily permit a longer period of time for companies to regain
compliance with the bid price and market value of publicly held shares continued listing
requirements. |
Approved |
Yes |
5/14/2020 |
4/23/2020 |
SR-NASDAQ-2020-020
Notice & Approval
|
A proposed rule change relating to the First Trust Tactical High Yield ETF |
Approved |
Yes |
5/13/2020 |
4/22/2020 |
SR-NASDAQ-2020-019
Notice & Approval
|
A proposed rule change to eliminate the requirement that the Intraday Indicative
Value be disseminated as set forth under Nasdaq Rule 5705(b) for certain series of Index Fund Shares
and under Nasdaq Rule 5735 for all series of Managed Fund Shares. Additionally, the Exchange
proposes to define the term 'Portfolio Holdings' as it pertains to Index Fund Shares. Finally, the
Exchange proposes to amend Nasdaq Rule 4120 as it pertains to dissemination of the Intraday
Indicative Value. |
Approved |
Yes |
6/18/2020 |
5/28/2020 |
SR-NASDAQ-2020-018
Notice & Approval
|
A proposal to eliminate a transitional rule 5910(a)(1) that has expired related to Nasdaq Global and
Global Select Markets entry fees. |
Approved |
Yes |
6/4/2020 |
5/14/2020 |
SR-NASDAQ-2020-017
Resubmission
Notice
SEC
Extension
Order Instituting Proceedings
SEC
Extension 2
Disapproval
|
A proposed rule change to amend Nasdaq Rule 5704 to remove the listing requirement
following twelve months after listing a series of Exchange Traded Fund Shares |
Disapproved |
Yes |
8/28/2020 |
8/7/2020 |
SR-NASDAQ-2020-016
Resubmission
Resubmission 2
Notice & Approval
|
Proposal to Adopt a Transfer Rule |
Approved |
Yes |
5/13/2020 |
4/22/2020 |
SR-NASDAQ-2020-015
Notice & Approval
|
Proposal to amend Rule 4759 (Data Feeds Utilized) to include the Long-Term Stock
Exchange, Inc |
Approved |
Yes |
5/5/2020 |
4/14/2020 |
SR-NASDAQ-2020-014
Notice & Approval
|
A proposed rule change relating to the First Trust California Municipal High Income ETF and the
First Trust Municipal High Income ETF |
Approved |
Yes |
5/1/2020 |
4/10/2020 |
SR-NASDAQ-2020-013
Notice & Approval
|
Proposal to extend the current pilot program related to Nasdaq Rule 11890 (Clearly
Erroneous Transactions) by six months, to the close of business on October 20, 2020. |
Approved |
Yes |
4/23/2020 |
4/2/2020 |
SR-NASDAQ-2020-012
Notice & Approval
|
Proposal to amend Rule 4121 (Trading Halts Due to Extraordinary Market Volatility) to enhance the
re-opening auction process for Nasdaq listed securities |
Approved |
Yes |
4/9/2020 |
3/19/2020 |
SR-NASDAQ-2020-011
Resubmission
Notice
Approval
|
Proposal to amend Rules 4702(b)(14) and (b)(15) of the Exchange's Rulebook to
shorten the holding period requirements for Midpoint Extended Life Orders and Midpoint Extended Life
Orders Plus Continuous Book. |
Approved |
Yes |
3/31/2020 |
3/10/2020 |
SR-NASDAQ-2020-010
Notice & Approval
|
Proposal to amend General 9, Section 1, titled 'General Standards.' |
Approved |
Yes |
3/23/2020 |
3/2/2020 |
SR-NASDAQ-2020-009
Notice & Approval
|
A proposed rule to amend The Nasdaq Options Market LLC Rules at Options 3, Section
7, 'Types of Orders and Quote Protocols' to permit the Exchange to determine the availability of
order types and time-in-force provisions. |
Approved |
Yes |
3/24/2020 |
3/3/2020 |
SR-NASDAQ-2020-008
Notice & Approval
|
A proposal to amend Rule 5702 to allow the listing of non-convertible bonds issued by certain
companies not listed on Nasdaq NYSE American or NYSE and to remove language that is no longer
applicable |
Approved |
Yes |
3/26/2020 |
3/5/2020 |
SR-NASDAQ-2020-007
Notice
Amendment 1
Approval
|
Proposal to assume operational responsibility for certain enforcement functions
currently performed by FINRA under the Exchanges authority and supervision |
Approved |
Yes |
3/12/2020 |
2/20/2020 |
SR-NASDAQ-2020-006
Notice & Approval
|
Removal of Listing Rule and other amendments |
Approved |
Yes |
3/10/2020 |
2/18/2020 |
SR-NASDAQ-2020-005
Notice & Approval
|
Proposes certain changes regarding investments of the First Trust TCW
Opportunistic Fixed Income ETF |
Approved |
Yes |
2/21/2020 |
1/31/2020 |
SR-NASDAQ-2020-004
Resubmission
Notice & Approval
|
Proposal to clarify Rule 5635(d)(1)(A) without changing its substance. |
Approved |
Yes |
2/24/2020 |
2/3/2020 |
SR-NASDAQ-2020-003
Notice
SEC
Extension
Approval
|
A proposal to amend Rule 4121(b) concerning the resumption of trading following a
Level 3 market-wide circuit breaker halt |
Approved |
Yes |
2/13/2020 |
1/23/2020 |
SR-NASDAQ-2020-002
Resubmission
Resubmission 2
Notice
SEC
Extension
Approval
|
A proposal to amend the procedures governing the introduction of legal arguments and material
information by companies in a proceeding before a Hearings Panel |
Approved |
Yes |
8/10/2020 |
7/20/2020 |
SR-NASDAQ-2020-001
Notice
SEC
Extension
Approval
|
Proposal to modify the delisting process for securities with a bid price below
$0.10 and for securities that have had one or more reverse stock splits with a cumulative ratio of
250 or more to one over the prior two year period. |
Approved |
Yes |
2/12/2020 |
1/22/2020 |
rulebook-rulefilings-nasdaq-2019rulebook-rulefilings-nasdaq-2019
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-NASDAQ-2019-101
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a) to raise the
qualifying thresholds for several of the Exchange's credits for displayed orders/quotes that provide
liquidity to the Exchange and to eliminate one such credit. |
Approved |
Yes |
1/28/2020 |
1/7/2020 |
SR-NASDAQ-2019-100
Notice & Approval
|
A proposal to amend Options 3, Section 3 (Minimum Increments) to extend through
June 30, 2020 the Penny Pilot Program in options classes in certain issues. |
Approved |
Yes |
1/20/2020 |
12/29/2019 |
SR-NASDAQ-2019-098
Notice & Approval
|
Proposal to relocate rules from its current Rulebook into its new Rulebook shell. |
Approved |
Yes |
1/12/2020 |
12/22/2019 |
SR-NASDAQ-2019-097
Resubmission
Resubmission 2
Notice & Approval
|
A proposal to adopt a new rule titled 'Off-Exchange RWA Transfers' at The Nasdaq
Options Market LLC ('NOM') Rules at Options 6, Section 6. |
Approved |
Yes |
1/20/2020 |
12/29/2019 |
SR-NASDAQ-2019-095
Resubmission
Resubmission 2
Notice & Approval
|
Proposed rule change to modify the Exchange's all-inclusive annual listing fees. |
Approved |
Yes |
1/23/2020 |
1/2/2020 |
SR-NASDAQ-2019-094
Notice & Approval
|
Proposal to amend the Exchanges transaction fees at Equity 7, Section 118(a). |
Approved |
Yes |
1/5/2020 |
12/15/2019 |
SR-NASDAQ-2019-092
Resubmission
Notice & Approval
|
A proposal to amend Exchange Rule 5515 which governs the listing of warrants on the Nasdaq Capital
Market |
Approved |
Yes |
1/7/2020 |
12/17/2019 |
SR-NASDAQ-2019-090
Notice
SEC
Extension
Amendment 1
Order Instituting Proceedings
Amendment 2
Amendment 3
Amendment 4
Approval
|
Proposed rule change to adopt new Nasdaq Rule 5704 to list and trade shares of
securities issued by an exchange-traded fund, as well as amendments to Nasdaq Rule 4120 (Limit
Up-Limit Down Plan and Trading Halts) and Nasdaq Rule 5615 (Exemptions from Certain Corporate
Governance Requirements), and to discontinue the quarterly reports currently required with respect
to Managed Fund Shares under Nasdaq Rule 5735(b). |
Approved |
Yes |
12/12/2019 |
11/21/2019 |
SR-NASDAQ-2019-089
Resubmission
Notice
SEC
Extension
Amendment 1
Approval
|
A proposal to amend Exchange rules regarding review of Staff Delisting Determinations by Hearings
Panels |
Approved |
Yes |
1/6/2020 |
12/16/2019 |
SR-NASDAQ-2019-088
Resubmission
Notice & Approval
|
A proposal to amend Rule 4759 |
Approved |
Yes |
12/4/2019 |
11/13/2019 |
SR-NASDAQ-2019-087
Resubmission
Resubmission 2
Notice & Approval
|
Proposed rule change to modify the Exchange's all-inclusive annual listing fees for all domestic and
foreign companies listing equity securities on the Nasdaq Global Select, Global and Capital Markets.
|
Approved |
Yes |
12/10/2019 |
11/19/2019 |
SR-NASDAQ-2019-086
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-NASDAQ-2019-085
Notice & Approval
|
A proposal to extend the current pilot program related to Nasdaq Rule 11890, Clearly Erroneous
Transactions six months, to the close of business on April 20, 2020. |
Approved |
Yes |
11/13/2019 |
10/23/2019 |
SR-NASDAQ-2019-084
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC ('NOM') Pricing Schedule at
Options 7, Section 2, titled 'Nasdaq Options Market-Fees and Rebates.' |
Approved |
Yes |
11/6/2019 |
10/16/2019 |
SR-NASDAQ-2019-082
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC Rules at Chapter VI, Section 5, 'Minimum
Increments,' Chapter VI, Section 6, 'Acceptance of Quotes and Orders,' Chapter VI, Section 7, 'Entry
and Display Orders,' Chapter VI, Section 10, 'Book Processing,' Chapter VI, Section 21, 'Order and
Quote Protocols,' Chapter VII, Section 5, 'Obligations of Market Makers,' and Chapter VII, Section
12, 'Order Exposure Requirements.' The Exchange proposes to relocate certain current rules to new
Rules Chapter VI, Section 22, titled 'Kill Switch' and 23, titled 'Detection of Loss of
Communication. |
Approved |
Yes |
11/5/2019 |
10/15/2019 |
SR-NASDAQ-2019-081
Notice & Approval
|
Proposal to amend its Second Amended Limited Liability Company Agreement LLC
Agreement and By-Laws. |
Approved |
Yes |
10/29/2019 |
10/8/2019 |
SR-NASDAQ-2019-080
Notice & Approval
|
Proposal to adopt fees for the MIDP order routing option. |
Approved |
Yes |
10/27/2019 |
10/6/2019 |
SR-NASDAQ-2019-079
Notice & Approval
|
A proposed rule change relating to the First Trust Low Duration Opportunities ETF
|
Approved |
Yes |
10/27/2019 |
10/6/2019 |
SR-NASDAQ-2019-078
Notice & Approval
|
A proposal to delay the protocol 'Ouch to Trade Options' or 'OTTO' on The Nasdaq Options Market LLC
('NOM') |
Approved |
Yes |
10/24/2019 |
10/3/2019 |
SR-NASDAQ-2019-077
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC Rules at Chapter VI, Section 11,
titled 'Order Routing'. |
Approved |
Yes |
10/15/2019 |
9/24/2019 |
SR-NASDAQ-2019-075
Resubmission
Notice & Approval
|
A proposal to delay implementation of the Early Order Imbalance Indicator functionality until Q4
2019. |
Approved |
Yes |
10/28/2019 |
10/7/2019 |
SR-NASDAQ-2019-073
Notice & Approval
|
Proposal to clarify its rules concerning the operation of the Nasdaq Opening and
Closing Crosses, and to make certain corrective changes to Rules 4702, 4703, 4752, 4753, 4754, and
4763 |
Approved |
Yes |
10/15/2019 |
9/24/2019 |
SR-NASDAQ-2019-072
Notice & Approval
|
A proposal to extend the pilot related to the market-wide circuit breaker in Rule 4121
('Extraordinary Market Volatility Trading Halts - NASDAQ' Pilot) |
Approved |
Yes |
10/8/2019 |
9/17/2019 |
SR-NASDAQ-2019-071
Notice & Approval
|
Proposal to amend Equity 7, Section 118(a) to add new credits for non-displayed
orders (other than Supplemental Orders) that provide liquidity. |
Approved |
Yes |
10/14/2019 |
9/22/2019 |
SR-NASDAQ-2019-070
Notice & Approval
|
Proposed rule change to list and trade the common shares of beneficial interest of Invesco
BulletShares Municipal Bond ETFs. |
Approved |
Yes |
10/6/2019 |
9/15/2019 |
SR-NASDAQ-2019-069
Notice & Approval
|
Proposal 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, which impacted trade and quote dissemination across all markets. |
Approved |
Yes |
9/26/2019 |
9/5/2019 |
SR-NASDAQ-2019-067
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC ('NOM') pricing at Options 7, Section 3 titled
'Nasdaq Options Market -Ports and Other Services. |
Approved |
Yes |
9/24/2019 |
9/3/2019 |
SR-NASDAQ-2019-066
Notice & Approval
|
Proposal to clarify Rule 4120(c)(9) without changing its substance. |
Approved |
Yes |
9/29/2019 |
9/8/2019 |
SR-NASDAQ-2019-065
Resubmission
Notice & Approval
|
A proposal to correct and clarify Rules 4702(b)(3)(B), 4702(b)(5)(B), and 4703(d). |
Approved |
Yes |
9/23/2019 |
9/2/2019 |
SR-NASDAQ-2019-064
Notice
Amendment 1
Approval
|
Proposal to amend certain cutoff times for on-close orders entered for
participation in the Nasdaq Closing Cross and adopt a second reference price for limit-on-close
orders. |
Approved |
Yes |
9/8/2019 |
8/18/2019 |
SR-NASDAQ-2019-063
Resubmission
Notice & Approval
|
A proposal to correct an inadvertent error in a recent filing and amend The Nasdaq Options Market
LLC |
Approved |
Yes |
9/4/2019 |
8/14/2019 |
SR-NASDAQ-2019-062
Notice & Approval
|
A proposal to amend Equity 7, Section 118(a). |
Approved |
Yes |
9/3/2019 |
8/13/2019 |
SR-NASDAQ-2019-061
Resubmission
Notice
SEC
Extension
Amendment 1
Approval
|
Proposed rule change regarding how the Nasdaq Official Closing Price will be determined for a
Nasdaq-listed security that is an exchange-traded product. |
Approved |
Yes |
9/12/2019 |
8/22/2019 |
SR-NASDAQ-2019-060
Notice
SEC
Extension
Amendment 1
Order Instituting Proceedings
Amendment 2
Approval
|
A proposal to amend Rules 4120 and 4753 to permit the Exchange to declare a
regulatory halt in a security |
Approved |
Yes |
8/26/2019 |
8/5/2019 |
SR-NASDAQ-2019-059
Resubmission
Notice
SEC
Extension
Amendment 1
Approval
|
Proposal to adopt requirements for the Nasdaq Capital and Global Markets applicable to Direct
Listings |
Approved |
Yes |
9/24/2019 |
9/3/2019 |
SR-NASDAQ-2019-056
Notice & Approval
|
Proposal to amend The Nasdaq Options Market LLC pricing at Options 7, Section 3
titled 'Nasdaq Options Market -Ports and Other Services.' |
Approved |
Yes |
8/22/2019 |
8/1/2019 |
SR-NASDAQ-2019-054
Notice & Approval
|
A proposal to amend Nasdaq Rule 5735(b)(1)(B)(v) relating to generic listing standards applicable to
fixed income securities included in the portfolio of a series of Managed Fund Shares listed on the
Exchange. |
Approved |
Yes |
8/12/2019 |
7/22/2019 |
SR-NASDAQ-2019-053
Resubmission
Notice & Approval
|
Proposal to amend its rules governing the Nasdaq Options Market to modify the give
up of a Clearing Participant by a Participant on NOM transactions |
Approved |
Yes |
8/18/2019 |
7/28/2019 |
SR-NASDAQ-2019-052
Notice & Approval
|
A proposal to change the rule for listing and trading the shares of the AlphaMark Actively Managed
Small Cap ETF (the 'Fund') of ETF Series Solutions (the 'Trust') |
Approved |
Yes |
7/29/2019 |
7/8/2019 |
SR-NASDAQ-2019-051
Notice & Approval
|
Proposal to Extend the Penny Pilot Program to December 31, 2019. |
Approved |
Yes |
7/15/2019 |
6/24/2019 |
SR-NASDAQ-2019-050
Notice & Approval
|
A proposal to delay implementation of the MIDP routing option until the third quarter of 2019. |
Approved |
Yes |
7/7/2019 |
6/16/2019 |
SR-NASDAQ-2019-049
Notice
SEC
Extension
Order Instituting Proceedings
SEC
Extension 2
Amendment 1
Amendment Withdrawn
Amendment 2
Amendment 3
Amendment Withdrawn 2
Approval
|
Proposal to modify the definition of a 'Family Member' for purposes of Listing
Rule 5605(a)(2). |
Approved |
Yes |
7/8/2019 |
6/17/2019 |
SR-NASDAQ-2019-048
Notice
Amendment 1
SEC
Extension
Amendment 2
Amendment 3
Approval
|
A proposal to amend Rule 4702 to establish the 'Midpoint Extended Life Order + Continuous Book' as a
new Order Type |
Approved |
Yes |
7/7/2019 |
6/16/2019 |
SR-NASDAQ-2019-047
Resubmission
Notice & Approval
|
Proposal to relocate The Nasdaq Options Market Rules at Chapter IV (Securities
Traded on NOM) under the Options 4 title in the Exchange's rulebook's shell structure. |
Approved |
Yes |
6/30/2019 |
6/9/2019 |
SR-NASDAQ-2019-046
Notice & Approval
|
Proposal to rename the title of Equity 5 Order Audit Trail Services under the Exchanges rulebook
shell structure to Equity 5 Order Audit Trail System. |
Approved |
Yes |
6/26/2019 |
6/5/2019 |
SR-NASDAQ-2019-045
Notice & Approval
|
A proposal to amend Equity 7, Section 118(a) |
Approved |
Yes |
6/30/2019 |
6/9/2019 |
SR-NASDAQ-2019-044
Notice
Approval
|
A proposal to allow an odd lot-sized Order to be eligible for the Midpoint Extended Life Order |
Approved |
Yes |
6/24/2019 |
6/3/2019 |
SR-NASDAQ-2019-042
Notice & Approval
|
Proposal to allow dollar strike price intervals in QQQ and IWM options. |
Approved |
Yes |
6/24/2019 |
6/3/2019 |
SR-NASDAQ-2019-040
Notice & Approval
|
Proposal to modify the treatment of direct listings including Level 2 American Depository Receipts
under IM-5900-7 |
Approved |
Yes |
6/24/2019 |
6/3/2019 |
SR-NASDAQ-2019-039
Resubmission
Notice & Approval
|
A proposal to amend Nasdaq Rule 5615 and Nasdaq Rule IM 5620 to modify the
exemptions available from certain corporate governance requirements, add similar exemptions for
issuers of only non-voting preferred securities and debt securities, and add a definition of
'Derivative Securities'. Nasdaq also proposes to amend Nasdaq Rule IM-5620 to modify the exemptions
from the annual meeting requirements in Nasdaq Rule 5620(a) to include issuers of only non-voting
preferred securities and debt securities in such exemptions. In addition, the proposed exemptions
from certain corporate governance and annual meeting requirements will also be available to
securities included in the new definition of 'Derivative Securities'. |
Approved |
Yes |
7/4/2019 |
6/13/2019 |
SR-NASDAQ-2019-037
Notice & Approval
|
A proposal to amend the Exchange's Pricing Schedule in Options 7, Section 2 |
Approved |
Yes |
6/6/2019 |
5/16/2019 |
SR-NASDAQ-2019-036
Notice & Approval
|
Proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a) |
Approved |
Yes |
6/10/2019 |
5/20/2019 |
SR-NASDAQ-2019-035
Notice & Approval
|
A proposal to remove the Exchange's current Primary Contingency Procedure from the Exchange's rule
book and designate the Exchange's current Secondary Contingency Procedure as the default contingency
procedure when a disruption occurs that prevents the execution of the closing cross for a security.
|
Approved |
Yes |
6/3/2019 |
5/13/2019 |
SR-NASDAQ-2019-033
Notice & Approval
|
A proposal to amend the Equity 7 Pricing Schedule, Sections 112, 123, 135, 146,
155, and 158 to: (i) reduce fees for trial periods, pre-production systems development, academic
use, and technical and administrative support services; and (ii) specify that the $500,000
enterprise license for the distribution of Depth-of-Book data includes Professional Subscribers.
|
Approved |
Yes |
6/4/2019 |
5/14/2019 |
SR-NASDAQ-2019-032
Notice & Approval
|
A proposal to delay implementation of the Early Order Imbalance Indicator functionality |
Approved |
Yes |
5/23/2019 |
5/2/2019 |
SR-NASDAQ-2019-031
Notice & Approval
|
Proposal to amend Rule 5702 to clarify Rule 5250 b 1 and IM 5250 1 |
Approved |
Yes |
5/23/2019 |
5/2/2019 |
SR-NASDAQ-2019-029
Notice & Approval
|
A proposal to amend the Exchange's Pricing Schedule in Options 7, Section 2, which governs the
pricing for Nasdaq participants using The Nasdaq Options Market, Nasdaq's facility for executing and
routing standardized equity and index options. |
Approved |
Yes |
5/12/2019 |
4/21/2019 |
SR-NASDAQ-2019-028
Notice & Approval
|
Proposal to extend the current pilot program related to Nasdaq Rule 11890, Clearly
Erroneous Transactions, to the close of business on October 18, 2019. |
Approved |
Yes |
5/7/2019 |
4/16/2019 |
SR-NASDAQ-2019-027
Notice & Approval
|
Proposal to extend the pilot related to Rule 4121 Trading Halts Due to Extraordinary Market
Volatility to the close of business on October 18 2019 |
Approved |
Yes |
5/5/2019 |
4/14/2019 |
SR-NASDAQ-2019-026
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-NASDAQ-2019-024
Notice & Approval
|
Proposal to amend the Equity 7 Pricing Schedule, Section 139, to introduce, for no additional fee,
an enterprise license for the distribution of Nasdaq Last Sale data for personal use |
Approved |
Yes |
4/29/2019 |
4/8/2019 |
SR-NASDAQ-2019-023
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a)
|
Approved |
Yes |
5/2/2019 |
4/11/2019 |
SR-NASDAQ-2019-022
Notice & Approval
|
A proposal to amend and restate the Exchange's membership rules. |
Approved |
Yes |
4/30/2019 |
4/9/2019 |
SR-NASDAQ-2019-021
Resubmission
Resubmission 2
Notice & Approval
|
A proposed rule change relating to the First Trust California Municipal High
Income ETF and the First Trust Municipal High Income ETF, each a series of First Trust Exchange
Traded Fund III, the shares of which have been approved by the Commission for listing and trading
under Nasdaq Rule 5735. |
Approved |
Yes |
5/12/2019 |
4/21/2019 |
SR-NASDAQ-2019-020
Resubmission
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC Rules at Chapter VI Section 5 Minimum Increments
to specify replacement issues that may be added to the Penny Pilot on a quarterly basis without
altering the expiration date of the Pilot which is 6.30.19. |
Approved |
Yes |
4/24/2019 |
4/3/2019 |
SR-NASDAQ-2019-019
Notice & Approval
|
A proposal to delay implementation of the Midpoint Trade Now functionality |
Approved |
Yes |
4/22/2019 |
4/1/2019 |
SR-NASDAQ-2019-017
Resubmission
Notice
SEC
Extension
Approval
|
Proposal to adopt an additional listing requirement for companies listing in connection with an
offering under Regulation A under the Securities Act of 1933. |
Approved |
Yes |
5/14/2019 |
4/23/2019 |
SR-NASDAQ-2019-016
Notice & Approval
|
Proposal to delay the protocol Ouch to Trade Options or OTTO on The Nasdaq Options
Market LLC |
Approved |
Yes |
4/16/2019 |
3/26/2019 |
SR-NASDAQ-2019-015
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a)(3) to adopt a
$0.00005 per share executed credit provided to members for displayed quotes/orders (other than
Supplemental Orders or Designated Retail Orders) in securities listed on exchanges other than Nasdaq
and NYSE that provide liquidity. |
Approved |
Yes |
4/15/2019 |
3/25/2019 |
SR-NASDAQ-2019-014
Notice & Approval
|
A proposal to amend Rule 4703 (Order Attributes) to make clarifying changes to the
Midpoint Trade Now and Trade Now Order Attributes |
Approved |
Yes |
4/14/2019 |
3/24/2019 |
SR-NASDAQ-2019-013
Notice & Approval
|
A proposal to adopt a new SCAR routing option under Rule 4758. |
Approved |
Yes |
4/15/2019 |
3/25/2019 |
SR-NASDAQ-2019-011
Notice & Approval
|
Proposal to amend the Exchange's Pricing Schedule at Options 7, which governs the
pricing for Nasdaq participants using The Nasdaq Options Market. |
Approved |
Yes |
4/8/2019 |
3/18/2019 |
SR-NASDAQ-2019-010
Notice & Approval
|
A proposal to disseminate abbreviated order imbalance information prior to the dissemination of the
Order Imbalance Indicator. |
Approved |
Yes |
4/7/2019 |
3/17/2019 |
SR-NASDAQ-2019-009
Resubmission
Resubmission 2
Notice
SEC
Extension
Amendment 1
Amendment 2
Amendment Withdrawn
Amendment 3
Amendment Withdrawn 2
Approval
|
Proposal to revise the Exchange's initial listing standards related to liquidity.
|
Approved |
Yes |
4/29/2019 |
4/8/2019 |
SR-NASDAQ-2019-008
Resubmission
Notice & Approval
|
A proposal to amend Rule 2210, titled Communications with the Public. |
Approved |
Yes |
3/21/2019 |
2/28/2019 |
SR-NASDAQ-2019-007
Notice
Amendment 1
Amendment 2
Approval
|
Proposal to assume operational responsibility for certain investigation and
enforcement functions currently performed by the Financial Industry Regulatory Authority under the
Exchange's authority and supervision. |
Approved |
Yes |
3/14/2019 |
2/21/2019 |
SR-NASDAQ-2019-006
Notice & Approval
|
Proposal to revise The Nasdaq Options Market LLC's Rules at Options 7, Section 5 to amend the Nasdaq
Options Regulatory Fee |
Approved |
Yes |
3/12/2019 |
2/19/2019 |
SR-NASDAQ-2019-005
Notice & Approval
|
Proposal to amend certain rules of the Rule 7000A Series concerning the Order
Audit Trail System to make conforming and technical changes |
Approved |
Yes |
3/11/2019 |
2/18/2019 |
SR-NASDAQ-2019-004
Notice
SEC
Extension
Amendment 1
Approval
|
Proposal to adopt a new MIDP routing option under Rule 4758 and make a conforming change to Rule
4703(e). |
Approved |
Yes |
3/11/2019 |
2/18/2019 |
SR-NASDAQ-2019-003
Notice & Approval
|
Proposed rule change to amend the Exchange's provisions for excluding a day from
its volume calculations for purposes of determining tiered pricing. |
Approved |
Yes |
3/13/2019 |
2/20/2019 |
SR-NASDAQ-2019-001
Resubmission
Resubmission 2
Notice & Approval
|
Proposal to amend and clarify certain aspects of the listing process for Direct Listings. |
Approved |
Yes |
3/14/2019 |
2/21/2019 |
rulebook-rulefilings-nasdaq-2018
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-NASDAQ-2018-111
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a) to: (i) assess fees
for the Midpoint Extended Life Order; and (ii) offer two new supplemental credits in all three tapes
for midpoint orders, as described further below.
|
Approved |
Yes |
2/22/2019 |
2/7/2019 |
SR-NASDAQ-2018-107
Resubmission
Notice & Approval
|
A proposal to amend Chapter VI, Section 5 of the rules of The Nasdaq Options
Market to extend through June 30, 2019 or the date of permanent approval, if earlier, the Penny
Pilot Program in options classes in certain issues, and to change the date when de
|
Approved |
Yes |
2/21/2019 |
1/31/2019 |
SR-NASDAQ-2018-106
Notice & Approval
|
Proposal to eliminate the Extended Life Priority Order Attribute, which has not been implemented to
date.
|
Approved |
Yes |
1/22/2019 |
12/31/2018 |
SR-NASDAQ-2018-105
Notice & Approval
|
Proposal to amend the entry fee for listing on the Exchanges Global and Global
Select Market tiers
|
Approved |
Yes |
1/22/2019 |
12/31/2018 |
SR-NASDAQ-2018-103
Notice & Approval
|
A proposal to amend the Exchanges all-inclusive annual listing fees for American Depositary
Receipts.
|
Approved |
Yes |
1/18/2019 |
12/28/2018 |
SR-NASDAQ-2018-102
Notice & Approval
|
A proposal to amend the Order Price Protection or "OPP" within The Nasdaq Options
Market LLC ("NOM") Rules at Chapter VI, Section 18, entitled, "Risk Protections."
|
Approved |
Yes |
1/17/2019 |
12/27/2018 |
SR-NASDAQ-2018-101
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Options 7, Section 2(1), which governs the
pricing for Nasdaq participants using The Nasdaq Options Market ("NOM"), Nasdaq's facility for
executing and routing standardized equity and index options
|
Approved |
Yes |
1/10/2019 |
12/20/2018 |
SR-NASDAQ-2018-100
Notice & Approval
|
Proposal to amend The Nasdaq Options Market LLC Rules at Chapter I, Section 1,
specifically the defined terms "in-the-money" and "out-of-the-money" at NOM Rules at Chapter I,
Section 1(a)(67) and (68), respectively.
|
Approved |
Yes |
1/2/2019 |
12/12/2018 |
SR-NASDAQ-2018-098
Notice & Approval
|
Proposal to (a) relocate the Exchange's current Rule 7000 Series, entitled "Charges for Membership,
Services, and Equipment," and The Nasdaq Options Market LLC's rules at Chapter XV to the Exchange's
rulebook's shell structure; (b) make conforming cross-r
|
Approved |
Yes |
12/26/2018 |
12/6/2018 |
SR-NASDAQ-2018-097
Resubmission
Notice & Approval
|
Proposal to delay a new protocol "Ouch to Trade Options" or "OTTO" on The Nasdaq
Options Market LLC
|
Approved |
Yes |
1/2/2019 |
12/11/2018 |
SR-NASDAQ-2018-096
Notice & Approval
|
A proposal to allow the Exchange to aggregate Displayed odd-lot Orders across price levels for
transmission to network processors as the Exchange's best priced Order under Rule 4756(c)(2).
|
Approved |
Yes |
12/26/2018 |
12/4/2018 |
SR-NASDAQ-2018-095
Notice & Approval
|
Proposal to amend Nasdaq Rule 5615(b)(4) to change the threshold for listed
companies that are eligible to benefit from the exemptions from the Exchange's compensation
committee requirements
|
Approved |
Yes |
12/17/2018 |
11/26/2018 |
SR-NASDAQ-2018-094
Notice & Approval
|
Proposal to relocate the Exchanges options exercise and delivery rules, currently in Chapter VIII of
the Rulebook, to Options 5, Section 100 in the Exchange rulebook shell structure.
|
Approved |
Yes |
12/24/2018 |
12/3/2018 |
SR-NASDAQ-2018-093
Notice & Approval
|
Proposal to delete the current rules on Registration, Qualification Examination
and Continuing Education and to relocate them into General 4 in the Exchange's Rulebook's shell
structure.
|
Approved |
Yes |
12/18/2018 |
11/27/2018 |
SR-NASDAQ-2018-092
Notice & Approval
|
A proposal to eliminate expired and obsolete provisions in connection with Nasdaq's transition to an
all-inclusive annual fee program
|
Approved |
Yes |
12/17/2018 |
11/26/2018 |
SR-NASDAQ-2018-091
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC fees within Chapter XV, Section
3, titled "Nasdaq Options Market - Ports and Other Services."
|
Approved |
Yes |
12/17/2018 |
11/26/2018 |
SR-NASDAQ-2018-090
Resubmission
Notice & Approval
|
Proposal to amend Rule 4702 (Order Types) and Rule 4703 (Order Attributes) to introduce a new
Midpoint Trade Now functionality
|
Approved |
Yes |
12/17/2018 |
11/26/2018 |
SR-NASDAQ-2018-089
Notice & Approval
|
Proposal to correct a typographical error in Rule 4702(b)(7)(A) |
Approved |
Yes |
12/17/2018 |
11/26/2018 |
SR-NASDAQ-2018-088
Notice & Approval
|
A proposal to amend Chapter IV, Securities Traded on NOM, Section 8, Long-Term Options Contracts
|
Approved |
Yes |
12/11/2018 |
11/20/2018 |
SR-NASDAQ-2018-086
Notice & Approval
|
A proposal to clarify General 8 of the Exchange's Rules. |
Approved |
Yes |
12/7/2018 |
11/16/2018 |
SR-NASDAQ-2018-085
Notice & Approval
|
A proposal to amend various rules to reflect changes to The Nasdaq Options Market LLC ("NOM")
protocols.
|
Approved |
Yes |
12/7/2018 |
11/16/2018 |
SR-NASDAQ-2018-082
Notice & Approval
|
Proposal to amend Nasdaq Rule 5740 related to derivative securities traded under
unlisted trading privileges to remove the requirement in Rule 5740(a)(1) for the Exchange to file
with the Commission a Form 19b-4(e) for each "new derivative securities prod
|
Approved |
Yes |
11/21/2018 |
10/31/2018 |
SR-NASDAQ-2018-081
Notice & Approval
|
A proposal to amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not
Open.
|
Approved |
Yes |
11/30/2018 |
11/9/2018 |
SR-NASDAQ-2018-080
Resubmission
Notice
SEC
Extension
Amendment 1
Amendment 2
Amendment 3
Approval
|
A proposed rule change to list and trade the shares of the BrandywineGLOBAL -
Global Total Return ETF (the "Fund")
|
Approved |
Yes |
11/26/2018 |
11/5/2018 |
SR-NASDAQ-2018-079
Resubmission 1
Resubmission 2
Notice
SEC
Extension 2
Amendment 1
Amendment 2
Approval
|
A proposal to amend Nasdaq Rules 5705 and 5710 to adopt a disclosure requirement for certain
securities
|
Approved |
Yes |
1/9/2019 |
12/19/2018 |
SR-NASDAQ-2018-078
Resubmission
Notice & Approval
|
Proposal to amend, reorganize and enhance the Exchange's membership, registration
and qualification rules, and to make conforming changes to certain other rules.
|
Approved |
Yes |
11/5/2018 |
10/15/2018 |
SR-NASDAQ-2018-077
Notice & Approval
|
A proposal to specify that an Order with a Minimum Quantity Order Attribute is ineligible to
participate in the Nasdaq Opening, Halt or Closing Crosses and is not included in the calculation of
the Cross price.
|
Approved |
Yes |
10/26/2018 |
10/5/2018 |
SR-NASDAQ-2018-076
Notice & Approval
|
A proposal to amend the Exchange's fees at Rule 7014 |
Approved |
Yes |
10/16/2018 |
9/25/2018 |
SR-NASDAQ-2018-075
Resubmission
Notice & Approval
|
Proposed rule change to amend rules 7039, 7047, 7049, 7055, and 7061 to update the definition of the
term FINRA/Nasdaq Trade Reporting Facility.
|
Approved |
Yes |
10/25/2018 |
10/4/2018 |
SR-NASDAQ-2018-074
Notice & Approval
|
A proposal to eliminate the Market Quality Program Pilot at Rule 5950 |
Approved |
Yes |
10/15/2018 |
9/24/2018 |
SR-NASDAQ-2018-073
Notice & Approval
|
A proposal to amend Rule 7021 to address the transition of reports available on Report Center to a
new underlying platform, and to make technical and clarifying changes.
|
Approved |
Yes |
10/16/2018 |
9/25/2018 |
SR-NASDAQ-2018-072
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
|
Approved |
Yes |
10/16/2018 |
9/25/2018 |
SR-NASDAQ-2018-070
Resubmission
Notice
Amendment 1
SEC
Extension
Amendment 2
Amendment 3
Approval
|
A proposal to adopt listing and trading requirements and fees for non-convertible corporate bonds.
|
Approved |
Yes |
9/27/2018 |
9/6/2018 |
SR-NASDAQ-2018-069
Resubmission
Notice & Approval
|
A proposal to adopt new rule text within The Nasdaq Options Market LLC Rules at
Chapter VI, Section 21
|
Approved |
Yes |
9/14/2018 |
8/24/2018 |
SR-NASDAQ-2018-068
Notice
Amendment 1
Approval
|
Proposed rule change to extend the cutoff times for accepting on close orders entered for
participation in the Nasdaq Closing Cross.
|
Approved |
Yes |
9/26/2018 |
9/5/2018 |
SR-NASDAQ-2018-067
Notice & Approval
|
A proposal to delete the current rules on arbitration ("Current Arbitration
Rules"), currently under the 10000 Series (Rules 10001 through 10102), and adopt the Nasdaq ISE, LLC
("ISE") rules on arbitration in Chapter 18 of the ISE's rulebook ("Proposed Ar
|
Approved |
Yes |
9/7/2018 |
8/17/2018 |
SR-NASDAQ-2018-066
Resubmission 1
Resubmission 2
Resubmission 3
Notice & Approval
|
Proposal to align Nasdaq's existing investigatory and disciplinary processes and related rules with
the investigatory and disciplinary processes and related rules of Nasdaq PHLX LLC.
|
Approved |
Yes |
10/31/2018 |
10/10/2018 |
SR-NASDAQ-2018-064
Notice & Approval
|
Proposal to amend the Exchange's fees at Rule 7014(e) to apply additional criteria
required to qualify for a fee of $0.0029 per share executed, and to amend Rule 7018(a) to assess no
fees for Midpoint Extended Life Orders in securities of all three Tapes.
|
Approved |
Yes |
9/6/2018 |
8/16/2018 |
SR-NASDAQ-2018-063
Notice & Approval
|
A proposed rule change to amend the Exchange's pricing at Chapter XV, Section 2 entitled "Nasdaq
Options Market - Fees and Rebates," which governs pricing for Nasdaq Participants using The Nasdaq
Options Market LLC ("NOM"), Nasdaq's facility for executing
|
Approved |
Yes |
9/6/2018 |
8/16/2018 |
SR-NASDAQ-2018-062
Notice & Approval
|
Proposal to revise The Nasdaq Options Market LLC's Rules at Chapter XV, Section 5
to amend the Nasdaq Options Regulatory Fee.
|
Approved |
Yes |
9/4/2018 |
8/13/2018 |
SR-NASDAQ-2018-060
Notice & Approval
|
Proposal to amend The Nasdaq Options Market LLC Rules at Chapter I, Section 1 to define certain
terms.
|
Approved |
Yes |
8/30/2018 |
8/9/2018 |
SR-NASDAQ-2018-059
Resubmission
Notice & Approval
|
Proposal to adopt initial and continued listing standards for subscription
receipts and fees for their listing
|
Approved |
Yes |
9/12/2018 |
8/22/2018 |
SR-NASDAQ-2018-058
Notice & Approval
|
Proposal to lower fees and administrative costs for Distributors of Nasdaq Basic, Nasdaq Last Sale,
NLS Plus and the Nasdaq Depth-of-Book products by introducing a consolidated enterprise license for
the Display Usage of all five products.
|
Approved |
Yes |
8/27/2018 |
8/6/2018 |
SR-NASDAQ-2018-057
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Rule 7018(a) to amend
qualification criteria for a credit tier applicable to securities of all three Tapes, and to reduce
the charge assessed members applicable to DOT and LIST Orders in Tape A securi
|
Approved |
Yes |
8/21/2018 |
7/31/2018 |
SR-NASDAQ-2018-056
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Rule 7015(b) to provide for port connectivity
the FINRA/Nasdaq Trade Reporting Facility Chicago.
|
Approved |
Yes |
8/15/2018 |
7/25/2018 |
SR-NASDAQ-2018-052
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC ("NOM") Rules at Chapter VII,
Section 6 related to Market Maker quotations.
|
Approved |
Yes |
8/13/2018 |
7/23/2018 |
SR-NASDAQ-2018-051
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC ("NOM") Rules at Chapter V, Section 3, entitled
"Trading Halts" and Chapter VI, Section 6, entitled "Acceptance of Quotes and Orders."
|
Approved |
Yes |
8/8/2018 |
7/18/2018 |
SR-NASDAQ-2018-050
Notice
SEC
Extension 2
Amendment 1
Approval
|
Proposed rule change relating to the First Trust Senior Loan Fund of First Trust
Exchange Traded Fund IV, the shares of which have been approved by the Commission for listing and
trading under Nasdaq Rule 5735.
|
Approved |
Yes |
8/7/2018 |
7/17/2018 |
SR-NASDAQ-2018-048
Notice & Approval
|
Proposed Rule Change to Extend the Exchange's Penny Pilot Program |
Approved |
Yes |
|
7/2/2018 |
SR-NASDAQ-2018-047
Notice & Approval
|
Proposal to amend the Exchange's transaction fees at Rule 7018 to adopt a new
transaction fee for execution of Midpoint Extended Life Orders.
|
Approved |
Yes |
7/23/2018 |
7/2/2018 |
SR-NASDAQ-2018-046
Notice & Approval
|
A proposal to amend Rule 4702(b)(12)(A) so that Participants can choose to have their Limit On Close
Orders rejected if subject to being re-priced when entered between 3:50 p.m. ET and immediately
prior to 3:55 p.m. ET.
|
Approved |
Yes |
7/17/2018 |
6/26/2018 |
SR-NASDAQ-2018-045
Notice & Approval
|
Proposal to relocate the Exchange rules pertaining to co-location and direct
connectivity to the Exchange's new rulebook shell at new General 8, Sections 1 and 2.
|
Approved |
Yes |
7/16/2018 |
6/25/2018 |
SR-NASDAQ-2018-044
Resubmission
Notice & Approval
|
A proposal to amend The Nasdaq Options Market LLC ("NOM") Rules at Supplementary Material to Chapter
III, Section 7, entitled "Position Limits," to amend position limits for options on the SPDR®
S&P 500 and to allow the SPY pilot to expire.
|
Approved |
Yes |
|
6/19/2018 |
SR-NASDAQ-2018-042
Notice & Approval
|
A proposal to amend the Exchanges transaction fees at Rule 7014(j) and Rule
7018(a).
|
Approved |
Yes |
7/11/2018 |
6/20/2018 |
SR-NASDAQ-2018-041
Notice & Approval
|
Proposal to adopt a listing standard for Paired Share Units. |
Approved |
Yes |
|
6/13/2018 |
SR-NASDAQ-2018-040
Notice & Approval
|
A proposal to amend the descriptions of certain data feeds within The Nasdaq
Options Market LLC
|
Approved |
Yes |
7/6/2018 |
6/15/2018 |
SR-NASDAQ-2018-037
Notice & Approval
|
A proposal to amend the Market Order Spread Protection and reorganize Rule Chapter VI, Section 18
entitled, Order Protections
|
Approved |
Yes |
6/8/2018 |
5/18/2018 |
SR-NASDAQ-2018-036
Notice & Approval
|
A proposal to reorganize and amend Chapter XV, Section 3, entitled "Nasdaq Options
Market - Ports and other Services."
|
Approved |
Yes |
6/5/2018 |
5/15/2018 |
SR-NASDAQ-2018-035
Notice & Approval
|
A proposal to memorialize its order and execution information into Chapter VI, Section 19, entitled
"Data Feeds."
|
Approved |
Yes |
6/5/2018 |
5/15/2018 |
SR-NASDAQ-2018-032
Notice & Approval
|
Proposed rule change to list and trade under Nasdaq Rule 5745 (Exchange-Traded
Managed Fund Shares) the common shares of the exchange-traded managed fund.
|
Approved |
Yes |
5/29/2018 |
5/7/2018 |
SR-NASDAQ-2018-031
Notice & Approval
|
A proposed rule change to amend Rule 4702(b)(5) and Rule 4703(d) to prevent Midpoint Peg Post-Only
Orders and Orders entered with a Midpoint Pegging Order Attribute.
|
Approved |
Yes |
5/25/2018 |
5/4/2018 |
SR-NASDAQ-2018-030
|
Proposal to amend certain rules of the Rule 7000A Series concerning the Order
Audit Trail System to make conforming and technical changes.
|
Approved |
No |
|
|
SR-NASDAQ-2018-029
Notice & Approval
|
A proposed rule change to Rule 4120 to correct a citation. |
Approved |
Yes |
5/18/2018 |
4/27/2018 |
SR-NASDAQ-2018-027
Notice & Approval
|
A proposal to delete the rules related to the Consolidated Audit Trail ("CAT
Rules")
|
Approved |
Yes |
|
4/23/2018 |
SR-NASDAQ-2018-026
Notice & Approval
|
A proposal that shares of the Validea Market Legends ETF will change from passively-managed to
actively managed
|
Approved |
Yes |
|
4/6/2018 |
SR-NASDAQ-2018-025
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Rule 7018(a) to modify the
system of credits it offers to members.
|
Approved |
Yes |
|
4/16/2018 |
SR-NASDAQ-2018-024
Notice & Approval
|
Proposal to amend the rules of the Nasdaq Options Market LLC, at Chapter VIII, Exercises and
Deliveries, to clarify the requirements for delivery of a Contrary Exercise Advice.
|
Approved |
Yes |
|
4/5/2018 |
SR-NASDAQ-2018-023
Notice & Approval
|
A proposal to modify the disclosure services provided under IM-5900-7 to certain
new listings
|
Approved |
Yes |
|
4/5/2018 |
SR-NASDAQ-2018-022
Notice & Approval
|
A proposal to amend Exchange Rule 7034. |
Approved |
Yes |
|
4/4/2018 |
SR-NASDAQ-2018-021
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Rule 7018 to charge no
transaction fee for execution of Midpoint Extended Life Orders
|
Approved |
Yes |
4/16/2018 |
3/26/2018 |
SR-NASDAQ-2018-020
Resubmission
Notice & Approval
|
Proposal to amend Rule 4370 regarding the requirements for the listing of securities that are issued
by the Exchange.
|
Approved |
Yes |
4/17/2018 |
3/27/2018 |
SR-NASDAQ-2018-019
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Chapter XV, Section 2,
which governs the pricing for Nasdaq Participants using The Nasdaq Options Market
|
Approved |
Yes |
|
3/29/2018 |
SR-NASDAQ-2018-017
Notice & Approval
|
A proposal to amend the Exchanges transaction fees at Rule 7014 to eliminate the Small Cap Incentive
Program
|
Approved |
Yes |
4/3/2018 |
3/13/2018 |
SR-NASDAQ-2018-016
Notice & Approval
|
A proposed rule change to relocate the Nasdaq Options Market LLC data feed
offerings currently located at Chapter VI, Section 1(a)(3) to Chapter VI, Section 19(a) which is
currently reserved, and entitle it "Data Feeds."
|
Approved |
Yes |
3/30/2018 |
3/9/2018 |
SR-NASDAQ-2018-015
Notice & Approval
|
A proposal to modify IM-5900-7, which describes the package of complimentary services provided to
certain new listings.
|
Approved |
Yes |
3/26/2018 |
3/5/2018 |
SR-NASDAQ-2018-014
Notice & Approval
|
Proposal to update Rule 4758 to reflect the name change of NYSE MKT to NYSE
American.
|
Approved |
Yes |
3/23/2018 |
3/2/2018 |
SR-NASDAQ-2018-013
Resubmission
Notice & Approval
|
Proposal to amend the Exchange transaction fees to modify the credits provided for displayed
Designated Retail Orders under Rules 7018(a)(1) through (3).
|
Approved |
Yes |
3/26/2018 |
3/5/2018 |
SR-NASDAQ-2018-012
Notice
Approval
|
A proposed rule change to list and trade, under Nasdaq Rule 5705, the shares
("Index Fund Shares" or "Shares") of the Horizons Russell 2000 Covered Call ETF (the "Fund"), a
series of the Horizons ETF Trust I (the "Trust").
|
Approved |
Yes |
|
2/28/2018 |
SR-NASDAQ-2018-011
Notice & Approval
|
Proposal to expand the Short Term Option Series Program to allow Monday expirations for options
listed pursuant to the Short Term Option Series program, including options on the SPDR S&P 500
ETF Trust.
|
Approved |
Yes |
3/14/2018 |
2/21/2018 |
SR-NASDAQ-2018-010
Notice & Approval
|
Proposal to amend Rule 7039 to modify pricing for the Nasdaq Last Sale data
product and to make other related changes to Nasdaq rules.
|
Approved |
Yes |
3/15/2018 |
2/22/2018 |
SR-NASDAQ-2018-008
Notice
SEC
Extension 1
OIP
Amendment 1
SEC
Extension 2
Approval
|
Proposal to modify the listing requirements contained in Listing Rule 5635(d) to change the
definition of market value for purposes of the shareholder approval rules and eliminate the
requirement for shareholder approval of issuances at a price less than
|
Approved |
Yes |
3/13/2018 |
2/20/2018 |
SR-NASDAQ-2018-007
Resubmission
Notice & Approval
|
Proposal to relocate the Exchange's Consolidated Audit Trail Compliance rules.
|
Approved |
Yes |
2/26/2018 |
2/5/2018 |
SR-NASDAQ-2018-006
Notice & Approval
|
A proposal to amend Nasdaq Rule 5735 to make a technical adjustment to its rules to allow sub-penny
quoting and order entry in Managed Fund Shares.
|
Approved |
Yes |
2/22/2018 |
2/1/2018 |
SR-NASDAQ-2018-005
Notice & Approval
|
A proposal to amend Chapter IV, Section 3 (Criteria for Underlying Securities) of
the rules governing the Nasdaq Options Market ("NOM") to modify the criteria for listing an option
on an underlying covered security.
|
Approved |
Yes |
2/20/2018 |
1/29/2018 |
SR-NASDAQ-2018-004
Notice & Approval
|
A proposal to amend Exchange Rule 7047 to reflect substantial enhancements to Nasdaq Basic since the
current distribution fees were set in 2009. Specifically, the Exchange proposes to modify
distribution fees, currently set at $1,500 for both internal an
|
Approved |
Yes |
2/16/2018 |
1/26/2018 |
SR-NASDAQ-2018-002
Notice & Approval
|
Proposal to add a new Rule 6200 to authorize the Exchange to share
Participant-designated risk settings in the Exchange's trading system with the clearing member that
clears transactions on behalf of the Participant.
|
Approved |
Yes |
2/7/2018 |
1/17/2018 |
SR-NASDAQ-2018-001
Notice & Approval
|
Proposal to amend transaction credits at Rule 7018(a). |
Approved |
Yes |
|
1/19/2018 |
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-NASDAQ-2017-134
Notice & Approval
|
A proposal to amend Exchange Rule 7037 to reflect substantial enhancements to the data feeds
underlying FilterView since the current fees were set in 2006. |
Approved |
Yes |
2/6/2018 |
1/16/2018 |
SR-NASDAQ-2017-133
Notice & Approval
|
A proposal to eliminate transitional rules that have expired related to
compensation committee listing standards |
Approved |
Yes |
2/7/2018 |
1/17/2018 |
SR-NASDAQ-2017-131
Notice
Approval
|
Proposal to list and trade under Nasdaq Rule 5745 the common shares of the Reinhart Intermediate
Bond NextShares. |
Approved |
Yes |
1/23/2018 |
1/2/2018 |
SR-NASDAQ-2017-130
Notice & Approval
|
Proposed Rule Change to Extend the Penny Pilot Program |
Approved |
Yes |
1/16/2018 |
12/26/2017 |
SR-NASDAQ-2017-129
Notice & Approval
|
To amend Rule 4120 Limit Up-Limit Down Plan and Trading Halts to reduce the length of the
Display-Only Period for the initial pricing on Nasdaq of a security that is the subject of an
initial public offering. |
Approved |
Yes |
1/10/2018 |
12/20/2017 |
SR-NASDAQ-2017-128
Resubmission
Notice
SEC
Extension 1
OIP
SEC
Extension 2
Amendment 1
Amendment 2
Amendment 3
Approval
|
Proposed rule change to list and trade the shares of the Western Asset Total
Return ETF under Nasdaq Rule 5735. |
Approved |
Yes |
1/30/2018 |
1/9/2018 |
SR-NASDAQ-2017-127
Notice & Approval
|
A proposal to amend the NOM transaction fees to introduce a new NOM Market Maker Rebate to Add
Liquidity in Non-Penny Pilot Options. |
Approved |
Yes |
1/4/2018 |
12/14/2017 |
SR-NASDAQ-2017-126
Notice & Approval
|
A proposal to amend the Exchanges fees at Rules 7023, 7044, 7045 and 7048 to
withdraw four rarely-purchased products from sale Historical ModelView Information, Nasdaq Custom
Data Feeds, the Nasdaq Market Pathfinders Service, and the PORTAL Reference Data |
Approved |
Yes |
1/8/2018 |
12/18/2017 |
SR-NASDAQ-2017-125
Notice & Approval
|
Proposal to amend the structure of the Nasdaq rulebook |
Approved |
Yes |
12/26/2017 |
12/5/2017 |
SR-NASDAQ-2017-124
Notice
Amendment 1
Amendment 2
Approval
|
Proposed rule change to list and trade the shares of the Brandes Value NextShares
fund. |
Approved |
Yes |
12/26/2017 |
12/5/2017 |
SR-NASDAQ-2017-123
Resubmission
Notice
Amendment 1
Approval
|
Proposal to list and trade under Nasdaq Rule 5745 the common shares of the exchange-traded managed
funds of the Causeway International Value NextShares and the Causeway Global Value NextShares. |
Approved |
Yes |
1/5/2018 |
12/15/2017 |
SR-NASDAQ-2017-122
Notice & Approval
|
A proposed rule change to amend Rule 4702 |
Approved |
Yes |
12/19/2017 |
11/28/2017 |
SR-NASDAQ-2017-121
Resubmission
Notice & Approval
|
A proposed rule change to clarify the purposes for which the Exchange uses securities information
processor data |
Approved |
Yes |
1/8/2018 |
12/11/2017 |
SR-NASDAQ-2017-120
Notice & Approval
|
Proposal to amend the Exchange's transaction fees at Rule 7018 to: (i) change the
volume threshold needed to qualify for one of the credits for displayed quotes and orders that
provide liquidity on the Exchange; and (ii) add a new credit for both providin |
Approved |
Yes |
12/11/2017 |
11/20/2017 |
SR-NASDAQ-2017-119
Notice & Approval
|
Proposal to amend the Exchange's transaction fees at Rule 7014 to (1) change the volume requirement
for purposes of determining eligibility for a transaction fee under the Qualified Market Maker
Program; and (2) eliminate one of the tiers of the Nasdaq Gr |
Approved |
Yes |
12/8/2017 |
11/17/2017 |
SR-NASDAQ-2017-118
|
A proposed rule change to list and trade under Nasdaq Rule 5705 the shares of the
Horizons Russell 2000 Covered Call ETF, a series of the Horizons ETF Trust I. |
Pending |
No |
|
|
SR-NASDAQ-2017-117
Notice & Approval
|
A proposal to amend the Exchanges fees at Rule 7036 to withdraw the Nasdaq Market Analytics Data
Package from sale |
Approved |
Yes |
12/8/2017 |
11/17/2017 |
SR-NASDAQ-2017-116
Resubmission
Notice & Approval
|
Proposal to amend an incentive offered by the Exchange relating to the Market
Access and Routing Subsidy program. |
Approved |
Yes |
11/29/2017 |
11/8/2017 |
SR-NASDAQ-2017-115
Notice & Approval
|
Proposal to remove references to Nasdaq Options Services. |
Approved |
Yes |
11/24/2017 |
11/2/2017 |
SR-NASDAQ-2017-114
Notice & Approval
|
Proposal to amend and conform Nasdaq Equities Rule 7025 and Chapter XV, Section 12
of Nasdaq's Options Rules, to define key terms; to improve the rule language; and to specify its
application to Extranet Providers and Distributors in various contexts. |
Approved |
Yes |
12/6/2017 |
11/15/2017 |
SR-NASDAQ-2017-113
Notice & Approval
|
A proposal to amend Qview fees at Rule 7058. |
Approved |
Yes |
11/29/2017 |
11/8/2017 |
SR-NASDAQ-2017-111
Notice & Approval
|
Proposal to amend the Exchange's rules as well as certain of its corporate
documents to reflect legal name changes. |
Approved |
Yes |
11/17/2017 |
10/27/2017 |
SR-NASDAQ-2017-107
Notice & Approval
|
Proposed rule change to amend Nasdaq Closing Cross rules to: (1) reject all Market Maker Peg Orders
flagged to participate in the Nasdaq Closing Cross; and (2) account for the minimum increment for
Tick Size Pilot securities when re-pricing LOC Orders ent |
Approved |
Yes |
11/20/2017 |
10/30/2017 |
SR-NASDAQ-2017-105
Notice & Approval
|
Proposal to amend the Exchange's transaction fees at Rule 7030 that apply to use
of the Nasdaq Testing Facility. |
Approved |
Yes |
11/8/2017 |
10/18/2017 |
SR-NASDAQ-2017-103
Notice & Approval
|
Proposal to postpone implementation of a new attribute for designated retail orders. |
Approved |
Yes |
11/7/2017 |
10/17/2017 |
SR-NASDAQ-2017-101
Notice & Approval
|
Proposal to extend the date on which certain changes concerning the continued
listing requirements for exchange-traded products in the Nasdaq Rule 5700 Series, as well as a
related amendment to Nasdaq Rule 5810, are implemented. |
Approved |
Yes |
10/26/2017 |
10/5/2017 |
SR-NASDAQ-2017-100
Notice & Approval
|
Proposed rule change to reduce the fees for certain Investment Management Entities and Eligible
Portfolio Companies. |
Approved |
Yes |
11/3/2017 |
10/13/2017 |
SR-NASDAQ-2017-099
Notice & Approval
|
Proposal to remove obsolete rule text from Chapter XV, Section 5, entitled "NASDAQ
Options Regulatory Fee." |
Approved |
Yes |
10/31/2017 |
10/10/2017 |
SR-NASDAQ-2017-097
Notice & Approval
|
A proposal to amend the Exchange's connectivity fees at Rule 7051. |
Approved |
Yes |
10/27/2017 |
10/6/2017 |
SR-NASDAQ-2017-096
Resubmission
Notice & Approval
|
A proposal to waive Nasaq's Entry Fee when a new entity lists in connection with a
transaction between two or more Nasdaq-listed companies. |
Approved |
Yes |
11/3/2017 |
10/13/2017 |
SR-NASDAQ-2017-095
Notice & Approval
|
Proposal to amend the Exchange fees at Rule 7047 to expand the features of the enterprise license
set forth at Rule
7047(b)(5). |
Approved |
Yes |
10/20/2017 |
9/29/2017 |
SR-NASDAQ-2017-091
Notice
Amendment 1
Amendment 2
Approval
|
Proposed rule change to list and trade under Nasdaq Rule 5745 the common shares of
Calvert Ultra-Short Income NextShares™, a series of Calvert Management Series. |
Approved |
Yes |
10/9/2017 |
9/18/2017 |
SR-NASDAQ-2017-090
Notice
Amendment 1
Approval
|
Proposed rule change to list and trade under Nasdaq Rule 5745 the common shares of Eaton Vance
Oaktree Diversified Credit NextShares™, a series of Eaton Vance NextShares Trust II. |
Approved |
Yes |
10/6/2017 |
9/15/2017 |
SR-NASDAQ-2017-088
Notice
SEC
Extension 1
Amendment 1
OIP
SEC
Extension 2
Amendment 2
Approval
|
Proposal to amend Rule 4703(a) to allow members to designate when an Order with a
RTFY or SCAN routing Order Attribute will be activated. |
Approved |
Yes |
|
9/18/2017 |
SR-NASDAQ-2017-085
Notice & Approval
|
A proposed rule change to amend Rule 4752(d)(2)(F)(i) to permit the Exchange to calculate a derived
price for use in the Opening Cross Price Test A when a security is the subject of a corporate
action. |
Approved |
Yes |
9/26/2017 |
9/5/2017 |
SR-NASDAQ-2017-084
Notice & Approval
|
Proposal to address the application of Rule 11140 as it relates to the ex-dividend
date in connection with the implementation of the T+2 settlement cycle on September 5, 2017. |
Approved |
Yes |
9/15/2017 |
8/25/2017 |
SR-NASDAQ-2017-083
Notice & Approval
|
NASDAQ Options Market - Fees and Rebates |
Approved |
Yes |
9/20/2017 |
8/30/2017 |
SR-NASDAQ-2017-082
Notice & Approval
|
Proposed rule change to further clarify when Nasdaq will utilize the Secondary
Source of data pursuant to Rule 4759. |
Approved |
Yes |
9/8/2017 |
8/18/2017 |
SR-NASDAQ-2017-080
Notice & Approval
|
A proposal to amend the Exchange's transaction fees. |
Approved |
Yes |
9/5/2017 |
8/15/2017 |
SR-NASDAQ-2017-079
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Chapter XV, Section 2
entitled "NASDAQ Options Market - Fees and Rebates." |
Approved |
Yes |
9/5/2017 |
8/15/2017 |
SR-NASDAQ-2017-078
Notice & Approval
|
A proposal to amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions
including Obvious Errors. |
Approved |
Yes |
9/1/2017 |
8/11/2017 |
SR-NASDAQ-2017-077
Notice & Approval
|
A proposal to alter the Exchange's fee schedule for the Short Interest Report at
Rule 7022 |
Approved |
Yes |
8/24/2017 |
8/3/2017 |
SR-NASDAQ-2017-075
Notice & Approval
|
Proposal to delay the effective date of the merger of TotalView and OpenView by 31 days, until
September 1, 2017. |
Approved |
Yes |
8/23/2017 |
8/2/2017 |
SR-NASDAQ-2017-074
Notice
Amendment 1
SEC
Extension 1
Amendment 2
OIP
SEC
Extension 2
Amendment 3
Approval
|
Proposal to adopt the Midpoint Extended Life Order. |
Approved |
Yes |
8/30/2017 |
8/9/2017 |
SR-NASDAQ-2017-073
Resubmission
Notice & Approval
|
Proposal to amend The NASDAQ Options Market LLC Rules at Chapter IV, Section 6, entitled Series of
Options Contracts Open for Trading. |
Approved |
Yes |
8/23/2017 |
8/2/2017 |
SR-NASDAQ-2017-070
Notice & Approval
|
Proposal to amend the Exchange's fees at Rule 7014 to raise the combined
Consolidated Volume (adding and removing liquidity) criteria from the current requirement that a QMM
have at least 3.5% to now require at least 3.7%. |
Approved |
Yes |
8/16/2017 |
7/26/2017 |
SR-NASDAQ-2017-069
Notice & Approval
|
A proposed rule change to amend Chapter V, Section 10 of the rules of the NASDAQ Options Market
("NOM") to enhance anti-internalization functionality. |
Approved |
Yes |
8/15/2017 |
7/25/2017 |
SR-NASDAQ-2017-068
Resubmission 1
Resubmission 2
Notice & Approval
|
Proposal to revise The NASDAQ Options Market LLC Rules at Chapter XV, Section 5
to: (i) make adjustments to the amount of its Options Regulatory Fee; and (ii) more closely reflect
the manner in which NOM assesses and collects its ORF. |
Approved |
Yes |
9/5/2017 |
8/14/2017 |
SR-NASDAQ-2017-067
Notice & Approval
|
Proposal to modify the NASDAQ Options Market LLC's pricing at Chapter XV, Section 2(1), to amend the
Customer and Professional Penny Pilot Options Tier 8 Rebate to Add Liquidity. |
Approved |
Yes |
8/7/2017 |
7/17/2017 |
SR-NASDAQ-2017-065
Notice & Approval
|
Proposal to amend the Exchange's trading rights fee at Rule 7001(a) to increase
the fee from $1,000 per month to $1,250 per month. |
Approved |
Yes |
8/8/2017 |
7/18/2017 |
SR-NASDAQ-2017-063
Resubmission
Notice & Approval
|
Proposal to extend for another twelve (12) month time period the pilot program to eliminate position
limits for options on the SPDR® S&P 500® exchange-traded fund, which list and trade under the
symbol SPY. |
Approved |
Yes |
8/3/2017 |
7/13/2017 |
SR-NASDAQ-2017-062
Resubmission
Notice & Approval
|
Proposal to amend Nasdaq Rule 5705(b) to provide for the inclusion of cash in an
index underlying a series of Index Fund Shares. |
Approved |
Yes |
8/7/2017 |
7/17/2017 |
SR-NASDAQ-2017-061
Resubmission
Notice
Amendment 1
Approval
|
A proposed rule change to amend Rule 4702 (Order Types) and Rule 4754 (Nasdaq Closing Cross) to
enhance the Nasdaq Closing Cross. |
Approved |
Yes |
8/17/2017 |
7/27/2017 |
SR-NASDAQ-2017-060
Notice & Approval
|
Proposal to amend Rule 7014(j) to provide a second credit tier under the Nasdaq
Growth Program. |
Approved |
Yes |
7/19/2017 |
6/28/2017 |
SR-NASDAQ-2017-059
Notice
SEC
Extension
Amendment 1
Approval
|
Proposal to adopt Rule 6896 and Chapter IX, Section 9 (Consolidated Audit Trail - Fee Dispute
Resolution) to establish the procedures for resolving potential disputes related to CAT Fees charged
to Industry Members. |
Approved |
Yes |
7/13/2017 |
6/22/2017 |
SR-NASDAQ-2017-058
Notice & Approval
|
Proposal to adopt initial and continued listing standards for the listing of
Equity Investment Tracking Stocks. |
Approved |
Yes |
7/18/2017 |
6/27/2017 |
SR-NASDAQ-2017-056
Notice & Approval
|
Proposal to amend the Exchange's transaction fees at Rule 7018(a)(2). |
Approved |
Yes |
7/11/2017 |
6/20/2017 |
SR-NASDAQ-2017-054
Notice & Approval
|
To merge the OpenView depth-of-book product into TotalView, and to amend the
Exchange's fees at Rules 7023 and 7026 to reflect the merger of these two products. |
Approved |
Yes |
7/5/2017 |
6/14/2017 |
SR-NASDAQ-2017-053
Notice & Approval
|
Proposal to allow a former reverse merger company to qualify for initial listing under any
applicable listing standard after satisfying the required seasoning period. |
Approved |
Yes |
7/5/2017 |
6/14/2017 |
SR-NASDAQ-2017-052
Notice & Approval
|
Proposal to correct rule language added by a previous filing that, in part,
amended Nasdaq Rule 5735. |
Approved |
Yes |
6/27/2017 |
6/6/2017 |
SR-NASDAQ-2017-051
Notice & Approval
|
To amend the Exchange's fees at Rule 7046 to: (i) introduce a new fee structure that would allow
members to sponsor their customers to receive Nasdaq Trading Insights for a $1,000 per month
sponsorship fee to be paid by the member, and fees based on the n |
Approved |
Yes |
6/30/2017 |
6/9/2017 |
SR-NASDAQ-2017-049
Notice & Approval
|
Proposal to amend Chapter VI, Section 5 of the NASDAQ Options Market rules to
extend through December 31, 2017 or the date of permanent approval, if earlier, the Penny Pilot
Program in options classes in certain issues. |
Approved |
Yes |
6/21/2017 |
5/31/2017 |
SR-NASDAQ-2017-044
Notice & Approval
|
Proposal to amend Rule 4770 to modify the date of Appendix B website data publication pursuant to
the Regulation NMS Plan to Implement a Tick Size Pilot Program. |
Approved |
Yes |
6/7/2017 |
5/17/2017 |
SR-NASDAQ-2017-043
Notice & Approval
|
Proposal to amend Rule 4702 (Order Types) to modify the behavior of Post-Only
Orders in certain situations. |
Approved |
Yes |
6/5/2017 |
5/15/2017 |
SR-NASDAQ-2017-042
Notice & Approval
|
Proposal to amend Rule 4702 and Rule 4703, to clarify the behavior of Orders with Midpoint Pegging
that are rejected when the market is crossed, or when there is no best bid andor offer. |
Approved |
Yes |
5/31/2017 |
5/10/2017 |
SR-NASDAQ-2017-041
Notice & Approval
|
A proposal to amend the Exchange's fees at Rule 7047 to clarify the application of
Nasdaq fees to Derived Data in light of changing industry practices. Specifically, the proposed
changes will: (i) limit application of the Derived Data Distributor Fee for |
Approved |
Yes |
5/30/2017 |
5/9/2017 |
SR-NASDAQ-2017-040
Resubmission
Notice & Approval
|
Proposal to amend previously approved continued listing requirements for exchange-traded products in
the Nasdaq Rule 5700 Series, as well as to Nasdaq Rule 5810 to make a number of conforming and
housekeeping changes. |
Approved |
Yes |
6/13/2017 |
5/23/2017 |
SR-NASDAQ-2017-039
Notice
Amendment 1
Approval
|
Proposed rule change to list and trade the common shares of beneficial interest of
the Guggenheim Limited Duration ETF. |
Approved |
Yes |
5/24/2017 |
5/3/2017 |
SR-NASDAQ-2017-038
Resubmission
Notice
Amendment 1
SEC
Extension
Amendment 2
Approval
|
Proposed rule change relating to the First Trust Municipal High Income ETF of First Trust Exchange
Traded Fund III, the shares of which have been approved by the Commission for listing and trading
under Nasdaq Rule 5735. |
Approved |
Yes |
6/23/2017 |
6/2/2017 |
SR-NASDAQ-2017-037
Notice & Approval
|
Proposal to amend the Exchange's fees at Rule 7030(d)(3) to limit the time that
the waiver of fees provided by the rule are available and to change how the current limitation under
Rule 7030(d)(3)(C) is triggered. |
Approved |
Yes |
5/16/2017 |
4/25/2017 |
SR-NASDAQ-2017-035
Notice & Approval
|
Proposal to amend the Exchange's transaction fees at Rule 7014(f) to amend the Designated Liquidity
Provider Program. |
Approved |
Yes |
5/9/2017 |
4/18/2017 |
SR-NASDAQ-2017-034
Notice & Approval
|
Proposal to extend the implementation date of functionality relating to Orders
with Midpoint Pegging. |
Approved |
Yes |
5/3/2017 |
4/12/2017 |
SR-NASDAQ-2017-033
Notice
Amendment 1
Amendment 2
Approval
|
Proposed rule change to list and trade the shares of the First Trust California Municipal High
Income ETF (the "Fund") of First Trust Exchange Traded Fund III (the "Trust") under Nasdaq Rule 5735
("Managed Fund Shares"). |
Approved |
Yes |
5/1/2017 |
4/10/2017 |
SR-NASDAQ-2017-032
Notice & Approval
|
Proposal to amend Nasdaq Rule 5710 (Securities Linked to the Performance of
Indexes and Commodities (Including Currencies)). |
Approved |
Yes |
4/26/2017 |
4/5/2017 |
SR-NASDAQ-2017-031
Resubmission
Notice & Approval
|
Proposal to amend Rules 4752, 4753, and 4754 to specify the execution priority of an Order that has
been locked or crossed at its non-displayed price by a Post-Only Order and re-priced for purposes of
the Opening, Closing and Halt Cross. |
Approved |
Yes |
5/8/2017 |
4/17/2017 |
SR-NASDAQ-2017-030
Resubmission
Notice & Approval
|
Proposal to assess reduced monthly fees for microwave or millimeter wave ports
under Rule 7015(g)(1) and wireless market data connectivity under Rule 7034(b), based on the total
number of subscriptions to such wireless connectivity under those rules. |
Approved |
Yes |
5/2/2017 |
4/11/2017 |
SR-NASDAQ-2017-029
Notice
Amendment 1
Amendment Withdrawal
Amendment 2
Amendment 3
Amendment 4
Approval
|
Proposed rule change to list and trade under Nasdaq Rule 5745 the common shares of the
exchange-traded managed funds. |
Approved |
Yes |
4/21/2017 |
3/31/2017 |
SR-NASDAQ-2017-028
Notice & Approval
|
Proposal to amend Rule 4703 to clarify the behavior of locked or crossed Orders
during the Nasdaq Opening or Closing Cross. Nasdaq also proposes to make a corresponding change to
Rule 4753, which governs the Halt Cross. |
Approved |
Yes |
4/6/2017 |
3/16/2017 |
SR-NASDAQ-2017-026
Notice & Approval
|
Proposal to amend the Exchange's transaction fees at Rule 7018(a) to adopt two new credits provided
to a member for displayed quotes/orders that provide liquidity. |
Approved |
Yes |
4/5/2017 |
3/15/2017 |
SR-NASDAQ-2017-025
Notice
Amendment 1
Amendment 2
Amendment Withdrawal 1
Amendment 3
Amendment Withdrawal 2
Amendment 4
Approval
|
Proposed rule change to list and trade under Nasdaq Rule 5745 (Exchange-Traded
Managed Fund Shares) the common shares of the exchange-traded managed fund Hartford Global Impact
NextShares™ Fund. |
Approved |
Yes |
4/10/2017 |
3/20/2017 |
SR-NASDAQ-2017-024
Notice & Approval
|
Proposal to amend Rule 4770 to modify the date of Appendix B website data publication pursuant to
the Regulation NMS Plan to Implement a Tick Size Pilot Program. |
Approved |
Yes |
4/7/2017 |
3/17/2017 |
SR-NASDAQ-2017-023
Notice & Approval
|
Proposed rule change to amend Nasdaq Rules 5705 and 5735 to reinsert a word that
is in the current rule language for these rules, but would otherwise be deleted once
SR-NASDAQ-2016-135 goes into effect later this year. |
Approved |
Yes |
4/6/2017 |
3/16/2017 |
SR-NASDAQ-2017-022
Notice & Approval
|
Proposed rule change to clarify that NASDAQ Options Market port fees and other services in Chapter
VX, Section 3 of the rules are not prorated. |
Approved |
Yes |
3/30/2017 |
3/9/2017 |
SR-NASDAQ-2017-021
Resubmission 1
Resubmission 2
Notice & Approval
|
Proposal to amend Chapter X, Section 7(a) of the Exchange's Rules, to harmonize
the position limits minor rule violation fine schedules. |
Approved |
Yes |
4/6/2017 |
3/16/2017 |
SR-NASDAQ-2017-020
Notice & Approval
|
A proposal to amend Chapter VII, Section 6 of the Options Rules relating to Market Maker Quotations.
|
Approved |
Yes |
3/23/2017 |
3/2/2017 |
SR-NASDAQ-2017-017
Notice & Approval
|
Proposal to amend the Exchange's port-related fees at Rules 7015 and 7016(b) to
eliminate prorated billing. |
Approved |
Yes |
3/21/2017 |
2/28/2017 |
SR-NASDAQ-2017-016
Notice & Approval
|
Proposal to amend Exchange Rule 7014(j) to modify the conditions for qualifying for the Nasdaq
Growth Program; and to amend Rule 7018(a) to modify the volume requirements needed to qualify for a
credit per share for members that add liquidity on both Nasd |
Approved |
Yes |
3/15/2017 |
2/22/2017 |
SR-NASDAQ-2017-013
Notice & Approval
|
Proposal to extend the implementation date of Nasdaq's functionality relating to
Post-Only Orders and Orders with Midpoint Pegging, and its Trade-Now functionality. |
Approved |
Yes |
3/15/2017 |
2/22/2017 |
SR-NASDAQ-2017-008
Notice
Amendment 1
Approval
|
Proposal to adopt rules to implement the compliance rule regarding the National Market System Plan
Governing the Consolidated Audit Trail. |
Approved |
Yes |
3/1/2017 |
2/8/2017 |
SR-NASDAQ-2017-007
Notice & Approval
|
Proposal to amend the Exchange's data fees at Rule 7026 to raise the monthly
Enterprise License fee for distribution of an Enhanced Display Solution. |
Approved |
Yes |
3/9/2017 |
2/16/2017 |
SR-NASDAQ-2017-005
Notice & Approval
|
A proposal to eliminate the Exchange's fees at Rule 7015(h) assessed for VTE terminal connectivity.
|
Approved |
Yes |
2/16/2017 |
1/26/2017 |
SR-NASDAQ-2017-004
Notice & Approval
|
A proposal to amend the Exchanges data fees for Nasdaq Level 2 at Rule 7023. |
Approved |
Yes |
2/17/2017 |
1/27/2017 |
SR-NASDAQ-2017-003
Notice & Approval
|
A proposed rule change with respect to the Gabelli All Cap NextShares, a series of Gabelli
NextShares Trust. |
Approved |
Yes |
2/17/2017 |
1/27/2017 |
SR-NASDAQ-2017-002
Notice & Approval
|
Proposal to amend the Exchange's transaction fees at Rule 7018(a) to add new
credits and change volume requirements. |
Approved |
Yes |
2/13/2017 |
1/23/2017 |
SR-NASDAQ-2017-001
Notice & Approval
|
Proposal to implement a new incentive for NOM Participants that add liquidity for Customer and
Professional orders in Penny and Non Penny Pilot Options. |
Approved |
Yes |
2/14/2017 |
1/24/2017 |
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-NASDAQ-2016-183
Notice
Approval
|
Proposed rule change to amend Nasdaq Rules to shorten the standard settlement cycle for most
broker-dealer transactions from three business days after the trade date to two business days after
the trade date. |
Approved |
Yes |
1/20/2017 |
12/30/2016 |
SR-NASDAQ-2016-180
Notice & Approval
|
A proposed rule change relating to the First Trust Strategic Income ETF of First
Trust Exchange Traded Fund IV, the shares of which have been approved by the Commission for listing
and trading under Nasdaq Rule 5735. |
Approved |
Yes |
1/26/2017 |
1/5/2017 |
SR-NASDAQ-2016-179
Resubmission
Notice & Approval
|
A proposal to delay the implementation of the Limit Order Protection for members accessing the
Nasdaq Market Center. |
Approved |
Yes |
1/18/2017 |
12/28/2016 |
SR-NASDAQ-2016-178
Notice & Approval
|
Proposal to amend Nasdaq's Specialized Quote Feed Port Fees. |
Approved |
Yes |
1/17/2017 |
12/27/2016 |
SR-NASDAQ-2016-175
Notice & Approval
|
A proposal to amend Rule 7022(d) to increase the monthly fee for Nasdaq's Daily List and Fundamental
Data report from $1500 to $1750. |
Approved |
Yes |
1/26/2017 |
1/5/2017 |
SR-NASDAQ-2016-173
Resubmission
Notice & Approval
|
Proposed rule change to reduce the fees for limited partnerships listed on Nasdaq.
|
Approved |
Yes |
2/7/2017 |
1/17/2017 |
SR-NASDAQ-2016-172
Notice & Approval
|
Proposal to amend the Exchange's data fees at Rule 7035 to change the billing cycle for
administrative fees paid by distributors of Nasdaq market data from annual to monthly. |
Approved |
Yes |
1/18/2017 |
12/28/2016 |
SR-NASDAQ-2016-171
Notice & Approval
|
A proposal to amend Rule 4770 (Compliance with Regulation NMS Plan to Implement a
Tick Size Pilot) relating to the handling to certain Order Types in Test Group Three Pilot
Securities in connection with the Regulation NMS Plan to Implement a Tick Size Pil |
Approved |
Yes |
1/17/2017 |
12/27/2016 |
SR-NASDAQ-2016-169
Amendment 1
Notice
Approval
|
Proposal to permit The Nasdaq Options Market LLC to accept inbound options orders routed by Nasdaq
Execution Services LLC from the ISE Exchanges. |
Approved |
Yes |
1/19/2017 |
12/29/2016 |
SR-NASDAQ-2016-168
Notice & Approval
|
Proposal to amend the Exchange data fees at Rule 7052 to replace the current
monthly fee for both internal and external distribution of the Short Sale Data Product with separate
fees for internal and external distribution. |
Approved |
Yes |
1/17/2017 |
12/27/2016 |
SR-NASDAQ-2016-167
Notice & Approval
|
Proposed rule change to amend Chapter XV of the Options Rules for the Nasdaq Stock Market, entitled
"Options Pricing," at Section 4, which governs Nasdaq Options Market data distributor fees. |
Approved |
Yes |
1/10/2017 |
12/20/2016 |
SR-NASDAQ-2016-166
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Chapter XV, Section 2,
entitled "NASDAQ Options Market - Fees and Rebates," which governs pricing for Nasdaq members using
the NASDAQ Options Market. |
Approved |
Yes |
1/6/2017 |
12/16/2016 |
SR-NASDAQ-2016-165
Notice & Approval
|
A proposal to amend Nasdaq Rule 4770 to modify the web site data publication requirements relating
to the Regulation NMS Plan to Implement a Tick Size Pilot Program. |
Approved |
Yes |
1/10/2017 |
12/20/2016 |
SR-NASDAQ-2016-163
Notice & Approval
|
Proposal to rename the title of rules that assess fees for connectivity to systems
operated by the Exchange or FINRA under Equities Rule 7015 and Options Chapter XV, Section 3. |
Approved |
Yes |
12/28/2016 |
12/7/2016 |
SR-NASDAQ-2016-162
Notice & Approval
|
Proposal to amend the Exchange's data fees at Rule 7047. |
Approved |
Yes |
12/29/2016 |
12/8/2016 |
SR-NASDAQ-2016-161
Notice
SEC
Extension
Amendment 1
OIP
Extension
Approval
|
Proposal to adopt a new Extended Life Priority Order Attribute under Rule 4703,
and to make related changes to Rules 4702, 4752, 4753, 4754, and 4757. |
Approved |
Yes |
12/26/2016 |
12/5/2016 |
SR-NASDAQ-2016-160
Notice & Approval
|
Proposal to amend Chapter VI, Section 5 (Minimum Increments) of the rules of the NASDAQ Options
Market to extend through June 30, 2017 or the date of permanent approval, if earlier, the Penny
Pilot Program in options classes in certain issues, and to cha |
Approved |
Yes |
12/27/2016 |
12/6/2016 |
SR-NASDAQ-2016-159
Notice & Approval
|
A proposal to amend Commentary .14 to Rule 4770 (Compliance with Regulation NMS
Plan to Implement a Tick Size Pilot). |
Approved |
Yes |
12/23/2016 |
12/2/2016 |
SR-NASDAQ-2016-156
Notice & Approval
|
A proposal to amend Rule 4702 (Order Types) and Rule 4703 (Order Attributes) to add a "Trade Now"
instruction to certain order types. |
Approved |
Yes |
12/8/2016 |
11/17/2016 |
SR-NASDAQ-2016-155
Notice & Approval
|
Proposal to amend the Limit Order Protection for members accessing the Nasdaq
Market Center. |
Approved |
Yes |
12/13/2016 |
11/22/2016 |
SR-NASDAQ-2016-153
Notice & Approval
|
A proposal to amend Nasdaq Rule 7014 and the Nasdaq Growth Program. |
Approved |
Yes |
12/6/2016 |
11/15/2016 |
SR-NASDAQ-2016-152
Notice & Approval
|
A proposed rule change to amend the transaction fees at Chapter XV, Section 2
entitled "NASDAQ Options Market - Fees and Rebates." |
Approved |
Yes |
12/8/2016 |
11/17/2016 |
SR-NASDAQ-2016-151
Notice & Approval
|
A proposal to amend Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a
Tick Size Pilot). |
Approved |
Yes |
12/6/2016 |
11/15/2016 |
SR-NASDAQ-2016-150
Notice & Approval
|
Proposal to amend the Exchange's NBBO Program at Rule 7014(g) to change the
qualification criteria required to receive the $0.0004 per share executed NBBO Program rebate in
NYSE-listed securities and in Securities Listed on Exchanges other than Nasdaq and |
Approved |
Yes |
12/7/2016 |
11/16/2016 |
SR-NASDAQ-2016-149
Notice & Approval
|
Proposed rule change to amend Exchange transaction fees at Chapter XV, Section 2, entitled NASDAQ
Options Market - Fees and Rebates, which governs pricing for Nasdaq Participants using the NASDAQ
Options Market. |
Approved |
Yes |
12/5/2016 |
11/14/2016 |
SR-NASDAQ-2016-148
Notice & Approval
|
Proposal to adopt Rules 9556 and 9800, which were previously adopted as a pilot
the term of which has since expired, and to make related changes to the 9100, 9200, 9300, 9550, and
9800 Rule Series. |
Approved |
Yes |
12/6/2016 |
11/15/2016 |
SR-NASDAQ-2016-146
Notice & Approval
|
Proposal to amend Rule 9400, entitled "Expedited Client Suspension Proceeding," to include a
cross-reference for clarification. |
Approved |
Yes |
12/1/2016 |
11/10/2016 |
SR-NASDAQ-2016-144
Notice & Approval
|
Proposal to amend Rule 7047 of the Exchange's transaction fees to institute a new
fee for the distribution of data derived from Nasdaq Basic on third-party websites or other
electronic platforms, as described further below. |
Approved |
Yes |
11/30/2016 |
11/9/2016 |
SR-NASDAQ-2016-143
Notice & Approval
|
Proposal to add Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick
Size Pilot) to provide the SEC with notice of its efforts to re-program its systems to eliminate a
re-pricing functionality for certain orders in Test Gro |
Approved |
Yes |
11/21/2016 |
10/31/2016 |
SR-NASDAQ-2016-138
Resubmission
Notice & Approval
|
Proposed rule change to amend Nasdaq Rule 7046 (Nasdaq Trading Insights) to delay
the availability of one of the components of that product. |
Approved |
Yes |
11/14/2016 |
10/24/2016 |
SR-NASDAQ-2016-135
Notice
SEC
Extension
Amendment 1
Amendment 2
Approval
|
Proposal to amend the continued listing requirements for exchange-traded products in the Nasdaq Rule
5700 Series, as well as a related amendment to Nasdaq Rule 5810. The Exchange is also making
housekeeping changes throughout the Nasdaq Rule 5700 Series a |
Approved |
Yes |
11/7/2016 |
10/17/2016 |
SR-NASDAQ-2016-134
Notice
Amendment 1
Approval
|
A proposed rule change to list and trade under Nasdaq Rule 5745 the common shares
of certain exchange-traded managed funds in the Gabelli NextSharesTrust: Gabelli ESG NextShares,
Gabelli All Cap NextShares, Gabelli Equity Income NextShares, Gabelli Small |
Approved |
Yes |
11/7/2016 |
10/17/2016 |
SR-NASDAQ-2016-133
Resubmission
Notice & Approval
|
Proposal to amend Chapter XV, "Options Pricing," at Section 3, "NASDAQ Options Market - Access
Services," to amend Specialized Quote Feed Port Fees. |
Approved |
Yes |
11/14/2016 |
10/21/2016 |
SR-NASDAQ-2016-132
Notice & Approval
|
Proposal to amend the Exchange's fees and credits at Rules 7014 and 7018. |
Approved |
Yes |
10/26/2016 |
10/5/2016 |
SR-NASDAQ-2016-131
Resubmission 1
Resubmission 2
Notice
Amendment 1
SEC
Extension
Amendment Withdrawal
Amendment 2
Amendment 3
Approval
|
Proposal to amend Rule 4120 to enhance the reopening auction process following a trading halt and
Rule 11890 to provide that a member cannot request a review of an execution arising from a Halt
Auction as a clearly erroneous execution. |
Approved |
Yes |
11/22/2016 |
11/1/2016 |
SR-NASDAQ-2016-130
Notice & Approval
|
Proposal to amend the Exchange's fees at Rule 7014(f) to: (i) change the criteria
required to receive the rebates provided by the Lead Market Maker ("LMM") Program; (ii) change the
rebates offered by the LMM Program; and (iii) rename the program the Desig |
Approved |
Yes |
10/20/2016 |
9/29/2016 |
SR-NASDAQ-2016-127
Notice
Amendment 1
Approval
|
Proposed rule change with respect to amendments of the By-Laws of the NASDAQ Stock Market LLC parent
corporation, Nasdaq, Inc., to implement proxy access. |
Approved |
Yes |
10/26/2016 |
10/5/2016 |
SR-NASDAQ-2016-126
Notice
Amendment 1
Amendment 2
Amendment 3
Approval
|
Proposal to adopt paragraph (d) and Commentary .12 to Exchange Rule 4770 to
describe changes to System functionality necessary to implement the Regulation NMS Plan to Implement
a Tick Size Pilot Program ("Plan"). |
Approved |
Yes |
10/11/2016 |
9/20/2016 |
SR-NASDAQ-2016-124
Resubmission
Notice & Approval
|
Proposal to amend proposed Nasdaq Rule 7046 (Nasdaq Trading Insights) by adding the corresponding
fee for the optional Nasdaq Trading Insights product. |
Approved |
Yes |
11/1/2016 |
10/11/2016 |
SR-NASDAQ-2016-123
Notice & Approval
|
Proposed Rule Change to Amend Rule 4770 Relating to the Data Collection
Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program. |
Approved |
Yes |
10/7/2016 |
9/16/2016 |
SR-NASDAQ-2016-122
Notice & Approval
|
A proposal to amend the rules of the NASDAQ Options Market LLC ("NOM") to expand the Short Term
Option Series Program. |
Approved |
Yes |
9/21/2016 |
8/31/2016 |
SR-NASDAQ-2016-120
Notice
SEC
Extension 1
OIP
Amendment 1
Amendment Withdrawal 1
Amendment 2
SEC
Extension 2
Amendment 3
Amendment 4
Amendment Withdrawal 2
Amendment 5
Approval
|
A proposal to adopt the Third Party Connectivity Service under Rules 7034(b) and
7051. |
Approved |
Yes |
9/23/2016 |
9/2/2016 |
SR-NASDAQ-2016-118
Notice & Approval
|
Proposal to modify Exchange Rules IM-5910-1 and IM-5920-1 to correct a typographical error. |
Approved |
Yes |
9/13/2016 |
8/23/2016 |
SR-NASDAQ-2016-117
Notice & Approval
|
A proposed rule change relating to the Elkhorn Commodity Rotation Strategy ETF.
|
Approved |
Yes |
9/19/2016 |
8/29/2016 |
SR-NASDAQ-2016-115
Notice & Approval
|
A proposal to amend Nasdaq Rule 7018(a) to add a new credit tier for a combination of accessing and
providing liquidity in securities. |
Approved |
Yes |
9/8/2016 |
8/18/2016 |
SR-NASDAQ-2016-113
Notice & Approval
|
Proposed rule change to amend Chapter XV, entitled Options Pricing, at Section 2,
which governs pricing for Exchange members using the NASDAQ Options Market LLC, the Exchange
facility for executing and routing standardized equity and index options. |
Approved |
Yes |
9/16/2016 |
8/26/2016 |
SR-NASDAQ-2016-111
Resubmission 1
Resubmission 2
Notice
Amendment 1
Approval
|
Proposal to amend Nasdaq Rules 4702 and 4703 to change the way in which Post Only Orders interact
with resting Non-Display orders and preventing the execution of midpoint pegged orders during a
crossed market. |
Approved |
Yes |
10/19/2016 |
9/28/2016 |
SR-NASDAQ-2016-109
Notice & Approval
|
Proposal to amend Rule 7047 (Nasdaq Basic) with language indicating the removal of
certain credits that a Distributor is eligible to receive in respect to Nasdaq Basic. |
Approved |
Yes |
9/9/2016 |
8/19/2016 |
SR-NASDAQ-2016-106
Resubmission 1
Resubmission 2
Resubmission 3
Notice
Approval
|
Proposed rule change to provide that complimentary services will be offered to certain additional
categories of listings. NOTE: The proposed rule change will become effective upon the later of the
approval of this proposed rule change or the approval of S |
Approved |
Yes |
10/28/2016 |
10/7/2016 |
SR-NASDAQ-2016-105
Resubmission
Notice & Approval
|
Proposed rule change with respect to the Eaton Vance Floating-Rate & High
Income NextShares, a series of Eaton Vance NextShares Trust II. |
Approved |
Yes |
8/26/2016 |
8/5/2016 |
SR-NASDAQ-2016-104
Resubmission 1
Resubmission 2
Notice
Approval
|
Proposal to amend Nasdaq Rule 5735 to adopt generic listing standards for Managed Fund Shares. |
Approved |
Yes |
9/14/2016 |
8/24/2016 |
SR-NASDAQ-2016-103
Amendment 1
Notice
Approval
|
Proposed rule change to list and trade under Nasdaq Rule 5745 the common shares of
several exchange-traded managed funds: Ivy NextShares, Ivy Focused Growth NextShares, Ivy Focused
Value NextShares, Ivy Energy NextShares. |
Approved |
Yes |
8/17/2016 |
7/27/2016 |
SR-NASDAQ-2016-102
Notice & Approval
|
Proposal to amend Nasdaq Rule 7018(a) to: (i) amend the consolidated volume ("Consolidated Volume")
requirement for a credit tier for providing liquidity in securities of all three Tapes; (ii) delete
a credit tier for providing liquidity in securities of |
Approved |
Yes |
8/15/2016 |
7/25/2016 |
SR-NASDAQ-2016-101
Resubmission
Notice
Amendment 1
Amendment 2
Approval
|
A proposed rule change to add Nasdaq Rule 7046 (Nasdaq Trading Insights) to the
Nasdaq rule book. The Nasdaq Trading Insights product is an optional market data service comprised
of four distinct market data components. Specifically, and as described in g |
Approved |
Yes |
8/29/2016 |
8/8/2016 |
SR-NASDAQ-2016-100
Notice & Approval
|
Proposal to modify the NASDAQ Options Market LLC's pricing at Chapter XV, Sections 2(1) and 2(6) to:
(i) amend Customer and Professional Penny Pilot Options Rebate to Add Liquidity tiers; (ii) amend
the Customer and Professional Penny Pilot Options Fee fo |
Approved |
Yes |
8/19/2016 |
7/29/2016 |
SR-NASDAQ-2016-099
Notice & Approval
|
A proposal to update rule 4759 to amend the public disclosure of the sources of
data that the Exchange utilizes when performing (1) order handling and execution; (2) order routing;
and (3) related compliance processes. |
Approved |
Yes |
8/19/2016 |
7/29/2016 |
SR-NASDAQ-2016-098
Notice
Approval
|
Proposed rule change to modify the complimentary services offered to certain new listings. |
Approved |
Yes |
8/18/2016 |
7/28/2016 |
SR-NASDAQ-2016-097
Resubmission
Notice & Approval
|
Proposal to amend NOM Rules at Chapter VI, Section 6, to adopt functionality
designed to assist NOM Participants, in the event that they lose communication due to a loss of
connectivity. |
Approved |
Yes |
8/31/2016 |
8/10/2016 |
SR-NASDAQ-2016-096
Notice & Approval
|
Proposal to make adjustments to Options Regulatory Fee ("ORF") by amending NASDAQ Options Market LLC
("NOM") Rules at Chapter XV, Section 5. |
Approved |
Yes |
8/15/2016 |
7/25/2016 |
SR-NASDAQ-2016-093
Notice & Approval
|
A proposal to adopt rules under Rule 4770 to implement the quoting and trading
provisions of the Plan to Implement a Tick Size Pilot Program submitted to the Commission pursuant
to Rule 608 of Regulation NMS under the Act. |
Approved |
Yes |
8/3/2016 |
7/13/2016 |
SR-NASDAQ-2016-092
Notice & Approval
|
Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive
Options Quoting and Trading Activity |
Approved |
Yes |
7/28/2016 |
7/7/2016 |
SR-NASDAQ-2016-091
Notice & Approval
|
A proposal to amend NOM Chapter I, Section 1 ("Definitions") to add specificity to
the definition of a professional. |
Approved |
Yes |
7/28/2016 |
7/7/2016 |
SR-NASDAQ-2016-090
Resubmission
Notice & Approval
|
Proposal to amend NOM Chapter XV to permit certain affiliated market participants to aggregate
eligible volume to all pricing. |
Approved |
Yes |
8/17/2016 |
7/27/2016 |
SR-NASDAQ-2016-089
Notice & Approval
|
The Exchange proposes certain amendments to NOM transaction fees set forth at
Chapter XV, Section 2(1), for executing and routing standardized equity and index options under the
Penny Pilot Option4 program. |
Approved |
Yes |
7/15/2016 |
6/24/2016 |
SR-NASDAQ-2016-088
Notice & Approval
|
Proposed rule change to reduce the fees for certain Real Estate Investment Trusts ("REITs") listed
on Nasdaq. |
Approved |
Yes |
7/22/2016 |
7/1/2016 |
SR-NASDAQ-2016-087
Resubmission
Notice & Approval
|
A proposal to amend NOM Chapter VII, Section 6(f) to modify the minimum Specified
Percentage determined by a NOM Market Maker to enable a NOM Market Maker to enhance its risk
management for an underlying security as market conditions warrant, based on its |
Approved |
Yes |
8/5/2016 |
7/15/2016 |
SR-NASDAQ-2016-086
Notice
Amendment 1
Approval
|
Proposed rule change to list and trade the shares of the VanEck Vectors Long/Flat Commodity ETF (the
"Fund"), a series of VanEck Vectors ETF Trust ("Trust"), under Nasdaq Rule 5735 ("Managed Fund
Shares"). |
Approved |
Yes |
7/21/2016 |
6/30/2016 |
SR-NASDAQ-2016-085
Notice & Approval
|
Proposed rule change to allow listed companies not currently subject to Nasdaq's
all-inclusive annual listing fee to opt in to that fee program for 2017. |
Approved |
Yes |
7/20/2016 |
6/29/2016 |
SR-NASDAQ-2016-084
Notice & Approval
|
Extension of Pilot Program - Elimination of SPY Position Limits. |
Approved |
Yes |
7/19/2016 |
6/28/2016 |
SR-NASDAQ-2016-083
Notice & Approval
|
Proposal to amend Rules 7018(a) and 7014(h). |
Approved |
Yes |
7/13/2016 |
6/22/2016 |
SR-NASDAQ-2016-082
Resubmission
Notice & Approval
|
A proposed rule change to reflect a change to the investment objective and the means of achieving
the investment objective with respect to the AdvisorShares Market Adaptive Unconstrained Income ETF.
|
Approved |
Yes |
7/26/2016 |
7/5/2016 |
SR-NASDAQ-2016-081
Notice & Approval
|
Proposal to amend the Exchange's access services fees at Rule 7015(e) to eliminate
the limited WebLink ACT or Nasdaq Workstation Post Trade ("Post Trade") fee tier. |
Approved |
Yes |
7/8/2016 |
6/17/2016 |
SR-NASDAQ-2016-078
Notice & Approval
|
Proposed rule change to amend the fees assessed under Nasdaq Rule 7015(h). |
Approved |
Yes |
7/8/2016 |
6/17/2016 |
SR-NASDAQ-2016-077
Notice & Approval
|
Proposal to eliminate certain fees charged to securities listed on Nasdaq under
the Rule 5700 Series. |
Approved |
Yes |
7/8/2016 |
6/17/2016 |
SR-NASDAQ-2016-074
Notice & Approval
|
Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive
Quoting and Trading Activity. |
Approved |
Yes |
6/22/2016 |
6/1/2016 |
SR-NASDAQ-2016-072
Amendment 1
Notice
SEC
Extension
Approval
|
A proposed rule change to list and trade the shares of the Amplify Dow Theory
Forecasts Buy List ETF. |
Approved |
Yes |
6/21/2016 |
5/31/2016 |
SR-NASDAQ-2016-071
Amendment 1
Notice
SEC
Extension
Approval
|
Proposed rule change to list and trade the shares of the following under Nasdaq Rule 5735: First
Trust CEF Income Opportunity ETF and First Trust Municipal CEF Income Opportunity ETF. |
Approved |
Yes |
6/21/2016 |
5/31/2016 |
SR-NASDAQ-2016-070
Notice & Approval
|
A proposed rule change to amend Chapter XV, entitled "Options Pricing," at Section
2. |
Approved |
Yes |
6/16/2016 |
5/26/2016 |
SR-NASDAQ-2016-067
Resubmission
Notice
Amendment 1
Approval
|
Proposal to amend Nasdaq's Rule 4757, entitled "Book Processing" to adopt a Limit Order Protection
or "LOP" for members accessing the Nasdaq Market Center. |
Approved |
Yes |
8/3/2016 |
7/13/2016 |
SR-NASDAQ-2016-066
Notice & Approval
|
A proposal to amend Rule 4703 (Order Attributes). |
Approved |
Yes |
6/10/2016 |
5/20/2016 |
SR-NASDAQ-2016-065
Notice & Approval
|
Proposal to adopt a new Limit Up-Limit Down Pricing Program under Rule 7014 to improve liquidity
during Limit Up-Limit Down events through incentive rebates. |
Approved |
Yes |
6/6/2016 |
5/16/2016 |
SR-NASDAQ-2016-064
Notice
SEC
Extension
Approval
|
A proposed rule change to list and trade the shares of the First Trust Strategic
Mortgage REIT ETF of First Trust Exchange Traded Fund VIII under Nasdaq Rule 5735. |
Approved |
Yes |
6/2/2016 |
5/12/2016 |
SR-NASDAQ-2016-061
Resubmission
Notice
SEC
Extension
Approval
|
Proposed rule change to list and trade the shares of the First Trust Equity Market Neutral ETF (the
"Fund") of First Trust Exchange Traded Fund VIII (the "Trust") under Nasdaq Rule 5735 ("Managed Fund
Shares") |
Approved |
Yes |
6/15/2016 |
5/25/2016 |
SR-NASDAQ-2016-060
Resubmission
Notice & Approval
|
A proposed rule change to update Exchange Rule 4759 (Data Feeds Utilized). |
Approved |
Yes |
5/25/2016 |
5/4/2016 |
SR-NASDAQ-2016-059
Notice & Approval
|
Proposed rule change to require that an issuer of securities listed under the Rule 5700 Series
notify Nasdaq about the replacement of the index, portfolio, or reference asset underlying the
security and pay a fee. |
Approved |
Yes |
5/23/2016 |
5/2/2016 |
SR-NASDAQ-2016-058
Notice & Approval
|
A proposed rule change to amend Nasdaq Rule 7023 (NASDAQ Depth-of-Book Data). |
Approved |
Yes |
5/25/2016 |
5/4/2016 |
SR-NASDAQ-2016-057
Resubmission 1
Resubmission 2
Notice & Approval
|
Closed-End Funds annual fee correction and clarification. |
Approved |
Yes |
6/15/2016 |
5/25/2016 |
SR-NASDAQ-2016-056
Notice
Amendment 1
SEC
Extension
Amendment 2
Amendment 3
Approval
|
A proposed rule change to list and trade the common shares of beneficial interest
of the PowerShares Variable Rate Investment Grade Portfolio. |
Approved |
Yes |
5/23/2016 |
5/2/2016 |
SR-NASDAQ-2016-055
Notice & Approval
|
A proposed rule change to amend Chapter XV, entitled "Options Pricing," at Section 2. |
Approved |
Yes |
5/17/2016 |
4/26/2016 |
SR-NASDAQ-2016-054
Notice & Approval
|
Proposal to amend the Exchange's transaction fees at Rule 7018(a) to add a new
credit tier available to a member for displayed quotes/orders (other than Supplemental Orders or
Designated Retail Orders) that provide liquidity. |
Approved |
Yes |
5/10/2016 |
4/19/2016 |
SR-NASDAQ-2016-053
Notice & Approval
|
Proposal to amend Access Services fees at Rule 7015(g)(1) to reduce the fee assessed for MITCH Wave
Ports located at Mahwah, NJ and amend Rule 7034. |
Approved |
Yes |
5/4/2016 |
4/13/2016 |
SR-NASDAQ-2016-052
Notice & Approval
|
Proposal to amend Chapter VI, Section 5 (Minimum Increments), of the rules of the
NASDAQ Options Market ("NOM") to extend the Penny Pilot Program. |
Approved |
Yes |
7/7/2016 |
6/16/2016 |
SR-NASDAQ-2016-051
Notice & Approval
|
Proposal to amend Nasdaq Rule 7014 to remove the Investor Support Program, to add the Small Cap
Incentive Program, and to amend both the Qualified Market Maker Program and the National Best Bid or
Offer Program. |
Approved |
Yes |
5/17/2016 |
4/26/2016 |
SR-NASDAQ-2016-048
Notice & Approval
|
Proposed rule change to amend Nasdaq Rule 7039 (NASDAQ Last Sale and NASDAQ Last
Sale Plus Data Feeds). |
Approved |
Yes |
5/6/2016 |
4/15/2016 |
SR-NASDAQ-2016-046
Notice & Approval
Correction
|
Proposal to amend the Exchange's access services fees at Rules 7015(b) and (g) (in connection with
the use of the FIX, RASH, and OUCH trading telecommunication protocols) |
Approved |
Yes |
4/27/2016 |
4/7/2016 |
SR-NASDAQ-2016-043
Notice & Approval
|
A proposal to adopt Exchange Rule 4770 to implement the Regulation NMS Plan to
Implement a Tick Size Pilot Program. |
Approved |
Yes |
4/22/2016 |
4/1/2016 |
SR-NASDAQ-2016-041
Notice & Approval
|
A proposed rule change with respect to the Eaton Vance Global Dividend Income NextShares. |
Approved |
Yes |
4/18/2016 |
3/28/2016 |
SR-NASDAQ-2016-040
Resubmission
Notice & Approval
|
A proposal to delete from the Exchange's rulebook Section 10, Limitations on
Dealings, of Chapter VII, Market Participants. |
Approved |
Yes |
4/22/2016 |
4/1/2016 |
SR-NASDAQ-2016-039
Notice & Approval
|
Proposal to modify the maximum number of times an Order on Nasdaq may be updated before the System
cancels the Order. |
Approved |
Yes |
4/22/2016 |
4/1/2016 |
SR-NASDAQ-2016-038
Notice & Approval
|
A proposal to amend Chapter XI, Doing Business with the Public, Section 8,
Supervision of Accounts, of the Exchange's rulebook. |
Approved |
Yes |
4/19/2016 |
3/29/2016 |
SR-NASDAQ-2016-037
Notice & Approval
|
Proposal to amend the Exchange's transaction fees at Rules 7018(a)(2) and (3). |
Approved |
Yes |
4/12/2016 |
3/22/2016 |
SR-NASDAQ-2016-036
Notice & Approval
|
Proposal to include U.S. non-display policies in the Nasdaq rule book under Nasdaq
Rule 7023. |
Approved |
Yes |
4/13/2016 |
3/23/2016 |
SR-NASDAQ-2016-035
Notice
SEC
Extension
Amendment 1
Approval
|
Proposal to establish a Secondary Contingency Procedure that would enable the Exchange to report an
Official Closing Price on behalf of an impaired primary listing exchange. |
Approved |
Yes |
4/1/2016 |
3/11/2016 |
SR-NASDAQ-2016-034
Notice
Approval
|
A proposal to indicate Regular Distribution, Excess Return, and Share Index Factor
for certain Accushares funds. |
Approved |
Yes |
4/7/2016 |
3/17/2016 |
SR-NASDAQ-2016-033
Notice
Amendment 1
Approval
|
Proposal to establish a fee for a new optional wireless connectivity service. |
Approved |
Yes |
4/12/2016 |
3/22/2016 |
SR-NASDAQ-2016-032
Notice & Approval
|
Proposal to amend the Market Quality Incentive Programs under Rule 7014 |
Approved |
Yes |
4/7/2016 |
3/17/2016 |
SR-NASDAQ-2016-031
Notice & Approval
|
Proposal to amend the Exchange's fees under Rule 7018(a). |
Approved |
Yes |
4/7/2016 |
3/17/2016 |
SR-NASDAQ-2016-030
Notice
Amendment 1
Approval
|
A proposed rule change to list and trade the shares of the Elkhorn Dorsey Wright
Commodity Rotation Portfolio. |
Approved |
Yes |
4/6/2016 |
3/16/2016 |
SR-NASDAQ-2016-029
Notice & Approval
|
Proposal to amend the Exchange's Access Services fees under Rule 7015. |
Approved |
Yes |
3/29/2016 |
3/8/2016 |
SR-NASDAQ-2016-028
Notice
Amendment 1
SEC
Extension
Approval
|
A proposed rule change to list and trade the shares of the iSectors Post-MPT
Growth ETF. |
Approved |
Yes |
4/1/2016 |
3/11/2016 |
SR-NASDAQ-2016-027
Notice & Approval
|
A proposal to amend Nasdaq Rule 7018, governing fees and credits assessed for execution and routing
of securities. |
Approved |
Yes |
3/23/2016 |
3/2/2016 |
SR-NASDAQ-2016-026
Notice & Approval
|
A proposed rule change to amend Nasdaq Rule 5745 Exchange-Traded Managed Fund.
|
Approved |
Yes |
3/23/2016 |
3/2/2016 |
SR-NASDAQ-2016-025
Notice & Approval
|
A proposed rule change to amend certain fees in Nasdaq Rule 5940 in connection with listing a type
of open-end management investment company called an Exchange-Traded Managed Fund ("ETMF"). |
Approved |
Yes |
3/17/2016 |
2/25/2016 |
SR-NASDAQ-2016-021
Resubmission
Notice
Amendment 1
Approval
|
A proposed rule change to list and trade the shares of the First Trust Alternative
Absolute Return Strategy ETF. |
Approved |
Yes |
3/23/2016 |
3/2/2016 |
SR-NASDAQ-2016-020
Notice & Approval
|
A proposal to amend Nasdaq Rule 7014(g) concerning the national best bid or best offer ("NBBO")
Program and Nasdaq Rule 7018(a), governing fees and credits assessed for execution and routing of
securities. |
Approved |
Yes |
3/15/2016 |
2/23/2016 |
SR-NASDAQ-2016-019
Notice & Approval
|
Proposed rule change to add Nextshares to the list of securities eligible to be
Qualified Securities under the Lead Market Maker Program of Rule 7014(f). |
Approved |
Yes |
3/4/2016 |
2/12/2016 |
SR-NASDAQ-2016-015
Notice & Approval
|
The Exchange proposes to amend certain Penny Pilot and Non-Penny Pilot Options pricing as well as
the Market Access and Routing Subsidy or "MARS." |
Approved |
Yes |
3/11/2016 |
2/19/2016 |
SR-NASDAQ-2016-014
Notice & Approval
|
Proposal to retroactively apply reduced port fees in connection with FIX, RASH,
and OUCH trading protocols. |
Approved |
Yes |
3/4/2016 |
2/12/2016 |
SR-NASDAQ-2016-013
Resubmission
Notice
Amendment 1
SEC
Extension
Amendment Withdrawal
Amendment 2
Approval
|
Proposal to require listed companies to publicly disclose compensation or other payments by third
parties to any nominee for director or sitting director in connection with their candidacy for or
service on the companies' Board of Directors. |
Approved |
Yes |
4/26/2016 |
4/5/2016 |
SR-NASDAQ-2016-012
Notice & Approval
|
The Exchange proposes certain amendments to NOM transaction fees set forth in
Chapter XV, Section 2 for executing and routing standardized equity and index options under the
Penny Pilot Options program. |
Approved |
Yes |
3/10/2016 |
2/18/2016 |
SR-NASDAQ-2016-008
Resubmission
Notice
Amendment 1
Approval
|
A proposed rule change to amend Rule 4120 and the Nasdaq process for commencing trading of a
security that is the subject of Nasdaq and non-Nasdaq-listed initial public offerings ("IPOs") and
trading halts. |
Approved |
Yes |
3/3/2016 |
2/11/2016 |
SR-NASDAQ-2016-006
Notice & Approval
|
A proposal to amend rule 7003 relating to continuing education fees for Web
delivery and testing center sessions. The Exchange is also eliminating the session fee for the S501
continuing education Regulatory Element, which FINRA has eliminated. |
Approved |
Yes |
2/17/2016 |
1/27/2016 |
SR-NASDAQ-2016-004
Notice & Approval
|
Proposed rule change to amend Chapter XV, Options Pricing. |
Approved |
Yes |
2/17/2016 |
1/27/2016 |
SR-NASDAQ-2016-003
Notice & Approval
|
Proposal to increase the current Options Regulatory Fee. |
Approved |
Yes |
2/17/2016 |
1/27/2016 |
SR-NASDAQ-2016-002
Notice
Amendment 1
SEC
Extension 1
OIP
Amendment 2
SEC
Extension 2
Amendment 3
Approval
|
A proposed rule change relating to the listing and trading of the shares of the First Trust
Municipal High Income ETF of First Trust Exchange-Traded Fund III. |
Approved |
Yes |
2/17/2016 |
1/27/2016 |
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-NASDAQ-2015-167
Notice & Approval
|
A proposal to amend section (a)(6) of Rule 1120 (Continuing Education Requirements) to provide for
web-based delivery of the Exchange's continuing education ("CE") program. |
Approved |
Yes |
2/9/2016 |
1/19/2016 |
SR-NASDAQ-2015-166
Notice & Approval
|
A proposed rule change to NOM XV to amend the Customer, Professional and NOM
Market Maker Penny Pilot Options Rebate to Add Liquidity tiers. |
Approved |
Yes |
2/10/2016 |
1/20/2016 |
SR-NASDAQ-2015-164
Notice & Approval
|
A proposal to make clarifying changes to Rule 7014. |
Approved |
Yes |
2/1/2016 |
1/11/2016 |
SR-NASDAQ-2015-163
Notice & Approval
|
A proposal to extend the implementation timeframe for adopting an optional Kill
Switch protection. |
Approved |
Yes |
2/1/2016 |
1/11/2016 |
SR-NASDAQ-2015-162
Notice & Approval
|
A proposal to amend Nasdaq Rule 7015 to clarify the connectivity options and application of the fees
assessed thereunder. |
Approved |
Yes |
2/1/2016 |
1/11/2016 |
SR-NASDAQ-2015-161
Notice
Amendment 1
Amendment 2
SEC
Extension
Amendment 3
Approval
|
A proposed rule change to list and trade shares of First Trust ETFs under Nasdaq
Rule 5735 ("Managed Fund Shares"). |
Approved |
Yes |
1/29/2016 |
1/8/2016 |
SR-NASDAQ-2015-160
Amendment 1
Notice
Approval
|
A proposed rule change with respect to amendments of the By-Laws of its parent corporation, Nasdaq,
Inc. |
Approved |
Yes |
1/28/2016 |
1/7/2016 |
SR-NASDAQ-2015-159
Notice
Approval
|
A proposal to add new paragraph (F) to Rule 4752(d)(2), concerning the opening
process. |
Approved |
Yes |
2/1/2016 |
1/11/2016 |
SR-NASDAQ-2015-158
Notice & Approval
|
A proposed rule change to modify the charges to be paid for Managed Data Solutions. |
Approved |
Yes |
1/27/2016 |
1/6/2016 |
SR-NASDAQ-2015-157
Notice & Approval
|
A proposed rule change to modify the fee structure applicable to Professional
Subscribers ("Subscribers") for Non-Display Usage via Direct Access. |
Approved |
Yes |
1/25/2016 |
1/4/2016 |
SR-NASDAQ-2015-155
Notice & Approval
|
A proposed rule change to amend Chapter XV, entitled "Options Pricing," at Section 2. |
Approved |
Yes |
1/20/2016 |
12/30/2015 |
SR-NASDAQ-2015-154
Notice & Approval
|
A proposal to amend the Exchange's transaction fees at Chapter XV, entitled
"Options Pricing," Section 10, entitled "Participant Fee - Options." |
Approved |
Yes |
1/20/2016 |
12/30/2015 |
SR-NASDAQ-2015-153
Notice & Approval
|
A proposed rule change to amend Chapter XV. |
Approved |
Yes |
1/19/2016 |
12/29/2015 |
SR-NASDAQ-2015-152
Notice & Approval
|
A proposed rule change to modify the NASDAQ Level 2 Professional subscriber
("Subscriber") fee. |
Approved |
Yes |
1/19/2016 |
12/29/2015 |
SR-NASDAQ-2015-150
Notice & Approval
|
A proposal to amend Rule 7039 (NASDAQ Last Sale and Last Sale Plus Data Feed). |
Approved |
Yes |
1/20/2016 |
12/30/2015 |
SR-NASDAQ-2015-149
Notice & Approval
|
A proposed rule change to amend Chapter XV. |
Approved |
Yes |
1/11/2016 |
12/21/2015 |
SR-NASDAQ-2015-148
Notice & Approval
|
A proposed rule change to amend the Exchange's transaction fees at Chapter XV, Section 2 entitled
"NASDAQ Options Market - Fees and Rebates." |
Approved |
Yes |
1/11/2016 |
12/21/2015 |
SR-NASDAQ-2015-147
Notice & Approval
|
A proposal to amend Nasdaq Rule 7018(a), governing fees and credits assessed for
execution and routing of securities. |
Approved |
Yes |
1/4/2016 |
12/11/2015 |
SR-NASDAQ-2015-146
Notice & Approval
|
A proposed rule change to adopt record keeping change and substitution listing event fees for
securities listed under
the Rule 5700 Series. |
Approved |
Yes |
12/30/2015 |
12/9/2015 |
SR-NASDAQ-2015-145
Notice & Approval
|
A proposed rule change to add Managed Fund Shares to the LMM Program. |
Approved |
Yes |
12/22/2015 |
12/1/2015 |
SR-NASDAQ-2015-144
Resubmission 1
Resubmission 2
Notice
Approval
|
A proposed rule change to amend Rules 5810(4), 5810(c), 5815(c) and 5820(d) to modify the process
NASDAQ follows when a company fails to hold an annual meeting of shareholders. |
Approved |
Yes |
1/20/2016 |
12/30/2015 |
SR-NASDAQ-2015-142
Notice & Approval
|
A proposal to amend NOM's Rules at Chapter VI, Section 6. |
Approved |
Yes |
12/18/2015 |
11/27/2015 |
SR-NASDAQ-2015-140
Notice & Approval
|
A proposal to amend Nasdaq Rule 4615 ("Sponsored Participants") to: (1) define the term "Sponsored
Access" and "Customer Agreement;" (2) specify the requirements to comply with SEC Rule 15c3-5
("Market Access Rule"); and (3) remove the requirement that ea |
Approved |
Yes |
12/14/2015 |
11/23/2015 |
SR-NASDAQ-2015-138
Notice & Approval
|
A proposal to retire the Limited Representative registration categories and to
establish Principal registration categories. Nasdaq will announce the effective date of the proposed
rule change in a Trader Alert. |
Approved |
Yes |
12/8/2015 |
11/17/2015 |
SR-NASDAQ-2015-137
Notice & Approval
|
Proposed changes to Nasdaq Rules 7014 and 7018 to add new tiers to the Lead Market Maker ("LMM")
Program and to modify credits provided under Rule 7018(a). |
Approved |
Yes |
12/14/2015 |
11/23/2015 |
SR-NASDAQ-2015-135
Notice & Approval
|
A proposal to amend Rule 4758(a)(1)(A)(x) to allow an order with a LIST routing
option to be designated with a Time-in-Force5 of MGTC or SGTC. |
Approved |
Yes |
12/1/2015 |
11/10/2015 |
SR-NASDAQ-2015-134
Notice & Approval
|
A proposal to adopt business continuity and disaster recovery plans testing requirements for certain
Exchange Members and NOM Options Participants in connection with Regulation SCI. |
Approved |
Yes |
12/3/2015 |
11/12/2015 |
SR-NASDAQ-2015-133
Notice & Approval
|
A proposed rule change to amend transaction fees at Chapter XV, Section 2 to
create a subsidy program, the Market Access and Routing Subsidy or "MARS," for NOM Participants that
provide certain order routing functionalities to other NOM Participants and/o |
Approved |
Yes |
12/11/2015 |
11/20/2015 |
SR-NASDAQ-2015-131
Notice & Approval
|
A proposal to amend NASDAQ Rule 7039 (NASDAQ Last Sale and NASDAQ Last Sale Plus Data Feeds) with
language clarifying that the data consolidation component of the fees for NASDAQ Last Sale Plus
("NLS Plus"), a comprehensive data feed offered by NASDAQ OMX |
Approved |
Yes |
12/4/2015 |
11/13/2015 |
SR-NASDAQ-2015-130
Notice & Approval
|
A proposed rule change to amend the Exchange's transaction fees at Chapter XV,
Section 2. |
Approved |
Yes |
12/3/2015 |
11/12/2015 |
SR-NASDAQ-2015-128
Notice & Approval
|
A proposed rule change to amend the Customer Fee for Removing Liquidity in Penny Pilot Options. |
Approved |
Yes |
12/4/2015 |
11/13/2015 |
SR-NASDAQ-2015-127
Notice & Approval
|
A proposed rule change to amend the Exchange's transaction fees at Chapter XV,
Section 2. |
Approved |
Yes |
12/3/2015 |
11/12/2015 |
SR-NASDAQ-2015-126
Notice & Approval
|
Proposed changes to amend Nasdaq Rule 7018(a), governing fees and credits assessed for execution and
routing of securities. |
Approved |
Yes |
11/25/2015 |
11/4/2015 |
SR-NASDAQ-2015-125
Notice & Approval
|
A proposal to amend NOM Chapter V to extend the pilot program under Section
3(d)(iv), which provides for how the Exchange treats obvious and catastrophic options errors in
response to the Limit Up-Limit Down Plan. The Exchange proposes to extend the pilot |
Approved |
Yes |
11/18/2015 |
10/28/2015 |
SR-NASDAQ-2015-124
Notice
Approval
|
A proposed rule change to list and trade the shares of the Active Alts Contrarian ETF. |
Approved |
Yes |
11/19/2015 |
10/29/2015 |
SR-NASDAQ-2015-122
Notice & Approval
|
A proposal to amend Chapter VI, Section 19 entitled "Risk Monitor Mechanism" by
reserving this rule and relocating the rule governing the Risk Monitor Mechanism into NOM Rule at
Chapter VII, Section 6(f)(i), entitled "Market Maker Quotations" which contai |
Approved |
Yes |
11/27/2015 |
11/5/2015 |
SR-NASDAQ-2015-121
Resubmission
Notice & Approval
|
A proposal to amend Nasdaq Rule 5745 to replace the term "ETMF Shares" with "NextShares" and to make
conforming changes in terminology in other rules. |
Approved |
Yes |
11/25/2015 |
11/4/2015 |
SR-NASDAQ-2015-117
Resubmission
Notice & Approval
|
A proposed rule change to amend its Options Pricing at Chapter XV to adopt a new
Section 13. |
Approved |
Yes |
11/20/2015 |
10/30/2015 |
SR-NASDAQ-2015-116
Resubmission
Notice & Approval
|
A proposal to amend Supplementary Material .08 to Chapter IV, Section 6 (Series of Options Contracts
Open for Trading), entitled "Mini Options Contracts." |
Approved |
Yes |
11/10/2015 |
10/20/2015 |
SR-NASDAQ-2015-115
Resubmission 1
Resubmission 2
Notice & Approval
|
A proposed rule change to amend Chapter XV, entitled "Options Pricing," at Section
2, which governs pricing for NASDAQ members using the NASDAQ Options Market. |
Approved |
Yes |
12/1/2015 |
11/10/2015 |
SR-NASDAQ-2015-113
Resubmission
Notice & Approval
|
A proposed rule change to modify Chapter XV. |
Approved |
Yes |
11/9/2015 |
10/19/2015 |
SR-NASDAQ-2015-112
Resubmission
Notice
SEC
Extension
Approval
|
A proposal to amend Rule 4758 (Order Routing) to adopt a new routing option, the
Retail Order Process. |
Approved |
Yes |
10/22/2015 |
10/1/2015 |
SR-NASDAQ-2015-110
Notice & Approval
|
Exchange proposes to reduce the fee charged for FIX Trading Ports under Rule 7015(b) and certain
other ports under Rule 7015(g) in light of the Exchange removing recently-upgraded hardware
supporting the ports, which was the basis for an increased fee. |
Approved |
Yes |
10/7/2015 |
9/16/2015 |
SR-NASDAQ-2015-109
Notice & Approval
|
A proposed rule change to amend NOM Chapter XV Section 2 to remove references to
options on the Nasdaq-100 Index traded under the symbol NDX ("NDX"). |
Approved |
Yes |
10/13/2015 |
9/22/2015 |
SR-NASDAQ-2015-105
Notice & Approval
|
Proposed changes to amend Nasdaq Rule 7014, concerning the Exchange's Market Quality Incentive
Programs, and Nasdaq Rule 7018, governing fees and credits assessed for execution and routing of
securities. |
Approved |
Yes |
10/7/2015 |
9/16/2015 |
SR-NASDAQ-2015-103
Notice & Approval
|
A proposed rule change to amend Nasdaq Rule 5745 entitled Exchange-Traded Managed
Fund Shares. |
Approved |
Yes |
9/30/2015 |
9/9/2015 |
SR-NASDAQ-2015-102
Resubmission
Notice & Approval
|
Proposes changes to the NOM transaction fees set forth at NOM Chapter XV, Section 2 for executing
and routing standardized equity and index options under the Penny Pilot options program. |
Approved |
Yes |
10/9/2015 |
9/18/2015 |
SR-NASDAQ-2015-101
Notice & Approval
|
A proposed rule change to waive SQF Port Fees under certain circumstances. |
Approved |
Yes |
9/15/2015 |
8/25/2015 |
SR-NASDAQ-2015-100
Resubmission
Notice & Approval
|
A proposal to amend Chapter V, Section 6. |
Approved |
Yes |
9/11/2015 |
8/21/2015 |
SR-NASDAQ-2015-099
Notice & Approval
|
Proposed changes to the national best bid or best offer ("NBBO") program in Nasdaq
rule 7014, as well as proposed changes to Nasdaq rule 7018, governing fees and credits assessed for
execution and routing of securities. |
Approved |
Yes |
9/10/2015 |
8/20/2015 |
SR-NASDAQ-2015-097
Resubmission
Notice & Approval
|
A proposal to amend Chapter IV, Section 3 (Criteria for Underlying Securities) of the rules
governing the NASDAQ Options Market to allow the listing of options overlying Exchange-Traded Fund
Shares. |
Approved |
Yes |
9/15/2015 |
8/25/2015 |
SR-NASDAQ-2015-096
Notice
Approval
|
A proposal to amend NOM Chapter VI, Section 6, entitled Acceptance of Quotes and
Orders, to adopt an optional Kill Switch protection. |
Approved |
Yes |
9/16/2015 |
8/26/2015 |
SR-NASDAQ-2015-095
Notice
Approval
|
A proposed rule change to list and trade the shares of the AltShares Long/Short High Yield Fund of
ETFis Series Trust I under Nasdaq Rule 5735 ("Managed Fund Shares"). |
Approved |
Yes |
9/15/2015 |
8/25/2015 |
SR-NASDAQ-2015-094
Notice & Approval
|
A proposed rule change to amend Rule 7051 to extend the waiver of installation
fees assessed for Direct Circuit Connection to NASDAQ. |
Approved |
Yes |
9/8/2015 |
8/17/2015 |
SR-NASDAQ-2015-093
Notice & Approval
|
A proposed rule change to update Exchange Rule 4759 to amend the public disclosure of the sources of
data that the Exchange utilizes when performing (1) order handling and execution; (2) order routing;
and (3) related compliance processes. |
Approved |
Yes |
9/3/2015 |
8/13/2015 |
SR-NASDAQ-2015-090
Notice & Approval
|
A proposed rule change to amend the Exchange's transaction fees at Chapter XV,
Section 2. |
Approved |
Yes |
9/3/2015 |
8/13/2015 |
SR-NASDAQ-2015-089
Notice
Approval
|
A proposed rule change to list and trade the shares of the 1-3 Month Enhanced Short Duration ETF.
|
Approved |
Yes |
9/9/2015 |
8/19/2015 |
SR-NASDAQ-2015-088
Notice & Approval
|
A proposal to amend Rule 7039 with language indicating the fees for NASDAQ Last
Sale Plus. |
Approved |
Yes |
8/31/2015 |
8/10/2015 |
SR-NASDAQ-2015-087
Resubmission
Notice & Approval
|
A proposed rule change to allow listed companies not currently subject to Nasdaq's all-inclusive
annual listing fee to opt in to that fee program for 2016. |
Approved |
Yes |
8/31/2015 |
8/10/2015 |
SR-NASDAQ-2015-086
Notice & Approval
|
A proposed rule change to amend NASDAQ Rule 7015(b) and (g) to modify the port
fees charged to members and non-members for ports used to enter orders into Nasdaq systems. |
Approved |
Yes |
8/26/2015 |
8/5/2015 |
SR-NASDAQ-2015-085
Amendment 1
Resubmission
Notice
Approval
|
A proposed rule change to list and trade the common shares of beneficial interest of the PowerShares
High Income Downside Hedged Portfolio. |
Approved |
Yes |
8/26/2015 |
8/5/2015 |
SR-NASDAQ-2015-084
Notice & Approval
|
Proposed changes to amend NASDAQ Rule 7014(g) concerning rebates available under
the NBBO Program. |
Approved |
Yes |
8/19/2015 |
7/29/2015 |
SR-NASDAQ-2015-082
Notice
Approval
|
A proposed rule change to introduce an additional data element to its IPO Indicator Service. |
Approved |
Yes |
8/20/2015 |
7/30/2015 |
SR-NASDAQ-2015-081
Notice & Approval
|
A proposal to amend NASDAQ Rule 7018, governing fees and credits assessed for
execution and routing of securities. |
Approved |
Yes |
8/11/2015 |
7/21/2015 |
SR-NASDAQ-2015-079
Notice & Approval
|
A proposal to amend Chapter VI (Trading Systems) at Section 11 (Order Routing), of the rules
governing the NASDAQ Options Market ("NOM" or "Exchange"), to clarify the manner in which a SEEK
Order will route again after an initial routing attempt to anothe |
Approved |
Yes |
8/17/2015 |
7/27/2015 |
SR-NASDAQ-2015-075
Notice
SEC
Extension
Amendment 1
Amendment 2
Approval
|
A proposed rule change to list and trade the shares of the First Trust SSI
Strategic Convertible Securities. |
Approved |
Yes |
8/10/2015 |
7/20/2015 |
SR-NASDAQ-2015-072
Resubmission
Notice & Approval
|
Relating to SPY position limit pilot extension. |
Approved |
Yes |
8/5/2015 |
7/15/2015 |
SR-NASDAQ-2015-071
Notice & Approval
|
A proposed rule change to the Designated Liquidity Provider ("DLP") program under
Rule 7018(i). |
Approved |
Yes |
8/4/2015 |
7/14/2015 |
SR-NASDAQ-2015-070
Notice & Approval
|
A proposed rule change to amend the Exchange's transaction fees at Chapter XV, Section 2. |
Approved |
Yes |
8/6/2015 |
7/16/2015 |
SR-NASDAQ-2015-067
Notice & Approval
|
A proposed rule change to revert recently-increased fees assessed under Rules
7015(b) and (g). |
Approved |
Yes |
7/31/2015 |
7/10/2015 |
SR-NASDAQ-2015-066
Notice & Approval
|
A proposal to amend the definition of "Designated Retail Order" in Nasdaq Rule 7018. |
Approved |
Yes |
8/3/2015 |
7/13/2015 |
SR-NASDAQ-2015-064
Notice & Approval
|
A proposal to modify recent changes to Rules 4751(h) and 4754(b), which are
effective but not yet implemented. |
Approved |
Yes |
7/23/2015 |
7/2/2015 |
SR-NASDAQ-2015-063
Notice & Approval
|
A proposal to amend Chapter VI, Section 5 (Minimum Increments) of the rules of the NASDAQ Options
Market ("NOM") to extend through June 30, 2016 or the date of permanent approval, if earlier, the
Penny Pilot Program in options classes in certain issues. |
Approved |
Yes |
7/21/2015 |
6/30/2015 |
SR-NASDAQ-2015-062
Notice & Approval
|
Proposed changes to Nasdaq Rules 7014 and 7018. |
Approved |
Yes |
7/17/2015 |
6/26/2015 |
SR-NASDAQ-2015-061
Resubmission
Notice & Approval
|
A proposal to adopt two new NOM Market Maker optional risk protections, a volume-based threshold and
a multi-trigger threshold. |
Approved |
Yes |
8/4/2015 |
7/14/2015 |
SR-NASDAQ-2015-060
Notice & Approval
|
A proposal to amend Chapter VI, Section 18 of the Exchange's options rules. |
Approved |
Yes |
7/7/2015 |
6/16/2015 |
SR-NASDAQ-2015-059
Amendment 1
Notice
Amendment 2
Approval
|
A proposed rule change to list and trade the shares of the Reaves Utilities ETF (the "Fund"), a
series of ETFis Series Trust I (the "Trust"), under Nasdaq Rule 5735 ("Managed Fund Shares"). |
Approved |
Yes |
7/13/2015 |
6/22/2015 |
SR-NASDAQ-2015-058
Notice
Approval
|
A proposed rule change with respect to amendments of the Amended and Restated
Certificate of Incorporation and By-Laws of its parent corporation The NASDAQ OMX Group, Inc. to
change the name of the parent to Nasdaq, Inc. |
Approved |
Yes |
6/23/2015 |
6/2/2015 |
SR-NASDAQ-2015-057
Notice & Approval
|
A proposal to amend Rule 4626(b)(3). |
Approved |
Yes |
6/24/2015 |
6/3/2015 |
SR-NASDAQ-2015-055
Notice
Approval
|
A proposal to amend Rule 7039 (NASDAQ Last Sale Data Feed) with language regarding
NASDAQ Last Sale ("NLS") Plus ("NLS Plus"), a comprehensive data feed offered by NASDAQ OMX
Information LLC. |
Approved |
Yes |
6/11/2015 |
5/21/2015 |
SR-NASDAQ-2015-054
Notice & Approval
|
A proposal to amend Chapter V, Section 6, to replace current Section 6 entitled Obvious and
Catastrophic Errors, with new Section 6 entitled Nullification and Adjustment of Options
Transactions including Obvious Errors. |
Approved |
Yes |
6/4/2015 |
5/14/2015 |
SR-NASDAQ-2015-052
Notice & Approval
|
Proposed changes to modify NASDAQ Rule 7018(a)(1), (2), and (3), governing fees
and credits assessed for execution and routing securities listed on NASDAQ (subsection 1), the New
York Stock Exchange ("NYSE") (subsection 2) and on exchanges other than NASD |
Approved |
Yes |
6/9/2015 |
5/19/2015 |
SR-NASDAQ-2015-050
Notice & Approval
|
A proposal to amend Exchange Rule 7007, and re-title it "Collection of Exchange Fees and Other
Claims and Billing Policy," and to require NASDAQ members to submit billing disputes within a
certain time period. |
Approved |
Yes |
6/3/2015 |
5/13/2015 |
SR-NASDAQ-2015-049
Notice
Amendment 1
Amendment 2
Approval
|
A proposed rule change with respect to PowerShares DB Optimum Yield Diversified
Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares
Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Stra |
Approved |
Yes |
6/11/2015 |
5/21/2015 |
SR-NASDAQ-2015-047
Notice & Approval
|
A proposed rule change to amend the Exchange's transaction fees at Chapter XV, Section 2 entitled
"NASDAQ Options Market - Fees and Rebates." |
Approved |
Yes |
6/8/2015 |
5/18/2015 |
SR-NASDAQ-2015-046
Notice & Approval
|
A proposal to amend Exchange Rule 7007, which is currently reserved, and entitle
it "Collection of Exchange Fees and Other Claims." |
Approved |
Yes |
5/26/2015 |
5/4/2015 |
SR-NASDAQ-2015-045
Notice & Approval
|
A proposed rule change relating to the First Trust Low Beta Income ETF (the "Fund") of First Trust
Exchange-Traded Fund VI. |
Approved |
Yes |
6/2/2015 |
5/12/2015 |
SR-NASDAQ-2015-044
Notice & Approval
|
A proposed rule change relating to the First Trust High Income ETF (the "Fund") of
First Trust Exchange-Traded Fund VI. |
Approved |
Yes |
6/1/2015 |
5/11/2015 |
SR-NASDAQ-2015-042
Notice & Approval
|
A proposed rule change to amend NASDAQ Rule 7015(b)
and (g) to modify the port fees. |
Approved |
Yes |
5/26/2015 |
5/5/2015 |
SR-NASDAQ-2015-039
Notice & Approval
|
A proposal to amend Chapter VI, Section 16, entitled "Fees and Charges," which
rule is applicable to NASDAQ members using the NASDAQ Options Market ("NOM"). |
Approved |
Yes |
5/26/2015 |
5/4/2015 |
SR-NASDAQ-2015-038
Notice & Approval
|
A proposal to delay implementation of changes to Rules 4751(h) and 4754(b). |
Approved |
Yes |
5/20/2015 |
4/29/2015 |
SR-NASDAQ-2015-037
Notice & Approval
|
A proposed rule change to amend NOM XV-2 to remove references to the PHLX Housing
Sector (HGX) and PHLX Oil Service Sector (OSX). |
Approved |
Yes |
5/14/2015 |
4/23/2015 |
SR-NASDAQ-2015-036
Amendment 1
Amendment 2
Notice
SEC
Extension
Approval
|
A proposed rule change to list and trade under Nasdaq Rule 5745 the common shares ("Shares") of the
below-listed exchange-traded managed funds (each, a "Fund," and collectively, the "Funds"). |
Approved |
Yes |
5/20/2015 |
4/29/2015 |
SR-NASDAQ-2015-035
Notice & Approval
|
A proposed rule change to amend Chapter XV, entitled "Options Pricing," at Section
4 governing pricing for NASDAQ members using the NASDAQ Options Market ("NOM"). |
Approved |
Yes |
5/13/2015 |
4/22/2015 |
SR-NASDAQ-2015-034
Resubmission 1
Resubmission 2
Notice & Approval
|
A proposal to amend Rule 4611, entitled "Nasdaq Market Center Participant Registration" and adopt a
new Rule 4615, entitled "Sponsored Participants." |
Approved |
Yes |
5/19/2015 |
4/28/2015 |
SR-NASDAQ-2015-033
Notice & Approval
|
A proposal to update the public disclosure of the sources of data that NASDAQ
utilizes. |
Approved |
Yes |
5/6/2015 |
4/15/2015 |
SR-NASDAQ-2015-032
Notice & Approval
Correction
|
Proposed changes to NASDAQ Rules 7014 and 7018. |
Approved |
Yes |
5/11/2015 |
4/20/2015 |
SR-NASDAQ-2015-031
Notice & Approval
|
A proposal to amend Rule 4758 (Order Routing). |
Approved |
Yes |
4/30/2015 |
4/9/2015 |
SR-NASDAQ-2015-030
Notice & Approval
|
A proposed change to modify NASDAQ Rule 7001(c) concerning market participant identifier. |
Approved |
Yes |
4/27/2015 |
4/6/2015 |
SR-NASDAQ-2015-029
Notice & Approval
|
A proposed rule change to amend Rule 7051 to increase installation and monthly
fees assessed for Direct Circuit Connection to NASDAQ. |
Approved |
Yes |
5/5/2015 |
4/14/2015 |
SR-NASDAQ-2015-028
Notice & Approval
|
A proposal to postpone implementation of changes to Rule 4751(h)(5). |
Approved |
Yes |
4/29/2015 |
4/8/2015 |
SR-NASDAQ-2015-027
Notice & Approval
|
A proposed rule change to amend the manner in which the Exchange assesses Port
Fees which are located in Chapter XV, entitled "Options Pricing." |
Approved |
Yes |
4/27/2015 |
4/6/2015 |
SR-NASDAQ-2015-025
Notice & Approval
|
A proposal to amend the Market Quality Program ("MQP" or "Program") fee ("MQP Fee") in Rule 5950,
entitled Market Quality Program |
Approved |
Yes |
4/21/2015 |
3/31/2015 |
SR-NASDAQ-2015-024
Notice
SEC
Extension
Amendment 1
Approval
|
A proposed rule change to amend and restate certain Nasdaq rules that govern the
Nasdaq Market Center in order to provide a clearer and more detailed description of certain aspects
of its functionality. |
Approved |
Yes |
4/16/2015 |
3/26/2015 |
SR-NASDAQ-2015-023
Resubmission
Notice
Amendment 1
Approval
|
A proposed rule change to list and trade the shares of the Tuttle Tactical Management Multi-Strategy
Income ETF. |
Approved |
Yes |
5/1/2015 |
4/10/2015 |
SR-NASDAQ-2015-022
Notice & Approval
|
A proposed rule change to simplify processing of Market Hours IOC orders and to
make clarifying changes to the rule text of Rule 4751(h)(5). |
Approved |
Yes |
4/13/2015 |
3/23/2015 |
SR-NASDAQ-2015-021
Resubmission
Amendment 1
Notice & Approval
|
Proposed changes to amend fees assessed under NASDAQ Rule 7016(a) for NASDAQ's Risk Management
Service. |
Approved |
Yes |
4/14/2015 |
3/24/2015 |
SR-NASDAQ-2015-020
Notice & Approval
|
Proposed changes to the Investor Support Program ("ISP") and the Qualified Market
Maker ("QMM") Incentive Program under NASDAQ Rule 7014. |
Approved |
Yes |
4/9/2015 |
3/19/2015 |
SR-NASDAQ-2015-019
Notice & Approval
|
A proposed rule change to modify Chapter XV, entitled "Options Pricing," at Section 2 governing
pricing for NASDAQ members using the NASDAQ Options Market. |
Approved |
Yes |
4/7/2015 |
3/17/2015 |
SR-NASDAQ-2015-017
Notice & Approval
|
A proposed rule change to provide a limited price guarantee to certain companies
that switch their listing to Nasdaq from another national securities exchange. |
Approved |
Yes |
4/7/2015 |
3/17/2015 |
SR-NASDAQ-2015-016
Notice & Approval
|
A proposal to amend NOM Chapter V, to extend the pilot program under Section 3(d)(iv) ("Options
Errors in Limit Up-Limit Down Pilot"), which provides for how the Exchange treats obvious and
catastrophic options errors. |
Approved |
Yes |
3/19/2015 |
2/26/2015 |
SR-NASDAQ-2015-014
Notice & Approval
|
A proposal to delay implementation of changes to Rules 4751(h) and 4754(b). |
Approved |
Yes |
3/19/2015 |
2/26/2015 |
SR-NASDAQ-2015-013
Resubmission
Notice
Approval
|
A proposed rule change to list and trade the shares of the AlphaMark Actively Managed Small Cap ETF
of ETF Series Solutions under Nasdaq Rule 5735 ("Managed Fund Shares"). |
Approved |
Yes |
3/24/2015 |
3/3/2015 |
SR-NASDAQ-2015-012
Resubmission
Notice
Amendment 1
Approval
|
A proposed rule change to list and trade shares of the WisdomTree Western
Unconstrained Bond Fund (the "Fund") of the WisdomTree Trust (the "Trust") under NASDAQ Rule 5735
("Managed Fund Shares"). |
Approved |
Yes |
4/1/2015 |
3/11/2015 |
SR-NASDAQ-2015-011
Resubmission
Notice
Amendment 1
Amendment 2
Approval
|
A proposed rule change to list and trade the shares of the First Trust Strategic Floating Rate ETF
(the "Fund") of First Trust Exchange-Traded Fund IV (the "Trust") under Nasdaq Rule 5735 ("Managed
Fund Shares"). |
Approved |
Yes |
3/24/2015 |
3/3/2015 |
SR-NASDAQ-2015-010
Notice & Approval
|
A proposal to clarify the fees applicable to the list of securities eligible for
the Select Symbol program under Rule 7018(a)(4), and to clarify that the fees of the program are on
a per share basis. |
Approved |
Yes |
3/11/2015 |
2/18/2015 |
SR-NASDAQ-2015-008
Notice & Approval
|
Proposed changes to modify fees assessed under NASDAQ Rule 7018(a). |
Approved |
Yes |
3/11/2015 |
2/18/2015 |
SR-NASDAQ-2015-007
Notice & Approval
|
a proposal to amend NOM rule to authorize the Exchange to share any
Participant-designated risk settings in the Exchange's Trading System with the Clearing Participant
that clears transactions on behalf of the Participant. |
Approved |
Yes |
3/2/2015 |
2/9/2015 |
SR-NASDAQ-2015-006
Notice & Approval
|
A proposed rule change to modify the list of securities eligible for the Select Symbol program under
Rule 7018(a)(4). |
Approved |
Yes |
3/2/2015 |
2/9/2015 |
SR-NASDAQ-2015-005
Notice & Approval
|
A proposal to amend Chapter IV, Section 6 (Series of Options Contracts Open for
Trading) to introduce finer $.50 strike price intervals in non-index Short Term Options with strike
prices less than $100. |
Approved |
Yes |
2/23/2015 |
2/2/2015 |
SR-NASDAQ-2015-004
Notice & Approval
|
A proposal to amend Rule 1013 titled "New Member Application" to include an expedited application
process for firms that are already approved members of NASDAQ OMX PHLX LLC. |
Approved |
Yes |
2/13/2015 |
1/23/2015 |
SR-NASDAQ-2015-003
Resubmission
Notice & Approval
|
A proposal to add new NASDAQ Options Market ("NOM") Chapter XV, Section 12 to the
Exchange's Options Pricing Schedule ("Pricing Schedule"), which includes description about the
applicability of the Extranet Access Fee.This will conform the Exchange's Pri |
Approved |
Yes |
2/6/2015 |
1/16/2015 |
SR-NASDAQ-2015-002
Notice & Approval
|
A proposal to add language to Rule 7025 ("Extranet Access Fee"), which includes a new section about
the applicability of the Extranet Access Fee. This will conform the Exchange's Extranet Access Fee
rule to that of other markets. |
Approved |
Yes |
2/13/2015 |
1/23/2015 |
rulebook-rulefilings-nasdaq-2014
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-NASDAQ-2014-128
Notice & Approval
|
Proposed changes to lower access fees in order to attract more investor orders to the public
markets. |
Approved |
Yes |
1/27/2015 |
1/6/2015 |
SR-NASDAQ-2014-127
Notice
Approval
|
A proposed rule change to list and trade the shares of the Tuttle Tactical
Management U.S. Core ETF. |
Approved |
Yes |
1/27/2015 |
1/6/2015 |
SR-NASDAQ-2014-126
Notice & Approval
|
A proposed rule change to modify Nasdaq's rule governing modification of orders in the event of an
issuer corporate action related to a dividend, payment or distribution. |
Approved |
Yes |
1/28/2015 |
1/7/2015 |
SR-NASDAQ-2014-125
Notice & Approval
|
A proposed rule change to impose a minimum fee for execution venues operating a
trading platform or multiple platforms that utilize NASDAQ proprietary depth data on a non-displayed
basis. |
Approved |
Yes |
1/29/2015 |
1/8/2015 |
SR-NASDAQ-2014-124
Notice & Approval
|
Proposed changes to modify NASDAQ Rule 7018 fees assessed for execution and routing securities
listed on the New York Stock Exchange ("NYSE"), as well as a few minor clarifications to NASDAQ
Rules 7018(a)(2) and (3). |
Approved |
Yes |
1/26/2015 |
1/5/2015 |
SR-NASDAQ-2014-123
Notice & Approval
|
A proposed rule change to make changes to Rules 4751(h) and 4754(b) relating to
the closing process. |
Approved |
Yes |
1/2/2015 |
1/2/2015 |
SR-NASDAQ-2014-122
Notice & Approval
|
A proposed rule change to amend the manner in which the Exchange assesses Port Fees which are
located in Chapter XV. |
Approved |
Yes |
1/14/2015 |
12/24/2014 |
SR-NASDAQ-2014-121
Notice & Approval
|
A proposed change to modify fees assessed under NASDAQ Rule 7021 for the
NasdaqTrader.com Trading and Compliance Data Package. |
Approved |
Yes |
1/7/2015 |
12/17/2014 |
SR-NASDAQ-2014-120
Notice & Approval
|
A proposed change to modify fees assessed under NASDAQ Rule 7049 for the NASDAQ InterACT
surveillance tool. |
Approved |
Yes |
1/5/2015 |
12/15/2014 |
SR-NASDAQ-2014-119
Notice & Approval
|
A proposed rule change to amend certain NOM professional user and enterprise
license fees. |
Approved |
Yes |
1/7/2015 |
12/17/2014 |
SR-NASDAQ-2014-118
Resubmission
Notice & Approval
|
A proposed change to modify NASDAQ Rule 7001(c) concerning market participant identifier ("MPID")
fees. |
Approved |
Yes |
12/26/2014 |
12/5/2014 |
SR-NASDAQ-2014-117
Notice & Approval
|
A proposed rule change to modify an optional Subscriber fee and tiered
Distribution fee for "Enhanced" data displays. |
Approved |
Yes |
1/6/2015 |
12/16/2014 |
SR-NASDAQ-2014-116
Notice
Approval
|
A proposed rule change to modify and reorganize NOM VI-8 to amend (1) the criteria for opening of
trading or resumption of trading after a halt; (2) NASDAQ posting on its website any changes to the
dissemination interval or prior Order Imbalance Indicator |
Approved |
Yes |
12/31/2014 |
12/10/2014 |
SR-NASDAQ-2014-115
Notice & Approval
|
A proposal to amend Chapter VI, Section 5 of the rules of the NASDAQ Options
Market to extend through June 30, 2015, the Penny Pilot Program in options classes in certain
issues. |
Approved |
Yes |
12/23/2014 |
12/2/2014 |
SR-NASDAQ-2014-114
Notice & Approval
|
A proposed rule change to modify the definition of Common Ownership in Chapter XV, entitled "Options
Pricing," at Section 2 governing pricing for NASDAQ members using the NASDAQ Options Market. |
Approved |
Yes |
12/30/2014 |
12/9/2014 |
SR-NASDAQ-2014-113
Notice & Approval
|
A proposal to amend rule text describing the volume required to qualify for
certain Customer and Professional Penny Pilot Options Rebate to Add Liquidity tiers and also certain
NOM Market Maker Penny Pilot Options Rebate to Add Liquidity tiers. |
Approved |
Yes |
12/26/2014 |
12/5/2014 |
SR-NASDAQ-2014-111
Resubmission
Notice & Approval
|
A proposed rule change to modify the NASDAQ Level 2 Professional subscriber fee. |
Approved |
Yes |
1/7/2015 |
12/17/2014 |
SR-NASDAQ-2014-110
Notice
Approval
|
A proposal to adopt NASDAQ Rule 7015(i) to offer the new IPO Workstation. |
Approved |
Yes |
12/23/2014 |
12/2/2014 |
SR-NASDAQ-2014-108
Notice & Approval
|
Proposed changes to modify NASDAQ Rule 7018 fees assessed for execution and routing securities
listed on NASDAQ, the New York Stock Exchange ("NYSE") and on exchanges other than NASDAQ and NYSE.
|
Approved |
Yes |
12/16/2014 |
11/25/2014 |
SR-NASDAQ-2014-107
Notice & Approval
|
A proposed rule change to make a minor clarifying change to Rule 7018(a). |
Approved |
Yes |
12/17/2014 |
11/26/2014 |
SR-NASDAQ-2014-106
Notice & Approval
|
A proposal to change the model of pricing for Short Interest Reports under the category of
Historical Research and Administrative Reports under NASDAQ Rule 7022. |
Approved |
Yes |
12/17/2014 |
11/26/2014 |
SR-NASDAQ-2014-105
Notice & Approval
|
A proposed rule change to amend certain Penny Pilot Options rebates currently
applicable to Customers, Professionals and NOM Market Makers in NOM Chapter XV, Section 2. |
Approved |
Yes |
12/22/2014 |
12/1/2014 |
SR-NASDAQ-2014-102
Resubmission
Notice
Approval
|
A proposed rule change to require that companies publicly disclose the denial of a listing
application. |
Approved |
Yes |
1/20/2015 |
12/30/2014 |
SR-NASDAQ-2014-100
Notice
Approval
|
A proposal to amend NASDAQ Rule 7015(d) to include the IPO Indicator as a new
enhancement to a NASDAQ Workstation subscription. |
Approved |
Yes |
12/9/2014 |
11/18/2014 |
SR-NASDAQ-2014-099
Notice & Approval
|
Relating to Cancel-Replacement and Route Timer |
Approved |
Yes |
12/4/2014 |
11/13/2014 |
SR-NASDAQ-2014-098
Resubmission 1
Resubmission 2
Resubmission 3
Notice & Approval
|
A proposed rule change to modify Chapter XV, entitled "Options Pricing," at
Section 2 to amend its Routing Fees. The Exchange has designated that the amendments be operative on
November 3, 2014. |
Approved |
Yes |
12/5/2014 |
11/14/2014 |
SR-NASDAQ-2014-097
Notice & Approval
|
A proposed rule change to offer a new testing environment, The NASDAQ OMX Algo Test Facility. |
Approved |
Yes |
11/4/2014 |
10/14/2014 |
SR-NASDAQ-2014-096
Notice & Approval
|
Proposed changes to modify NASDAQ Rule 7018 fees assessed for execution and
routing securities listed on NASDAQ, the New York Stock Exchange ("NYSE") and on exchanges other
than NASDAQ and NYSE. |
Approved |
Yes |
10/31/2014 |
10/10/2014 |
SR-NASDAQ-2014-095
Notice
SEC
Extension
Approval
|
A proposed rule change to provide a new optional functionality to Minimum Quantity Orders. |
Approved |
Yes |
10/27/2014 |
10/6/2014 |
SR-NASDAQ-2014-094
Notice & Approval
|
A proposal to extend the pilot period for the Exchange's Retail Price Improvement
("RPI") Program, which is set to expire on September 30, 2014, for three months, to expire on
December 31, 2014. |
Approved |
Yes |
10/17/2014 |
9/26/2014 |
SR-NASDAQ-2014-093
Notice
Approval
|
A proposed rule change with respect to amendments of the Amended and Restated Certificate of
Incorporation (the "Charter") and By-Laws (the "By-Laws") of its parent corporation, The NASDAQ OMX
Group, Inc. ("NASDAQ OMX" or the "Company"). |
Approved |
Yes |
10/20/2014 |
9/29/2014 |
SR-NASDAQ-2014-092
Notice & Approval
|
A proposed rule change to amend fees assessed to clients for wireless connectivity
that enables clients to receive data from the New York Stock Exchange ("NYSE") and NASDAQ. |
Approved |
Yes |
10/14/2014 |
9/23/2014 |
SR-NASDAQ-2014-091
Notice & Approval
Correction
|
A proposal to amend Chapter IV, Section 6 (Series of Options Contracts Open for Trading) of the
rules of the NASDAQ Options Market ("NOM") to allow $1 or greater strike price intervals for options
on the SPDR® S&P 500® Exchange Traded Fund ("SPY") and the |
Approved |
Yes |
10/1/2014 |
9/10/2014 |
SR-NASDAQ-2014-090
Resubmission
Notice
Amendment 1
Approval
|
A proposed rule change to list and trade the shares of the Validea Market Legends
ETF (the "Fund") of ETF Series Solutions (the "Trust") under Nasdaq Rule 5735 ("Managed Fund
Shares"). |
Approved |
Yes |
10/17/2014 |
9/26/2014 |
SR-NASDAQ-2014-089
Notice & Approval
|
Proposed changes to modify NASDAQ Rule 7018 fees assessed for execution and routing securities
listed on NASDAQ, the New York Stock Exchange ("NYSE") and on exchanges other than NASDAQ and NYSE
|
Approved |
Yes |
10/6/2014 |
9/15/2014 |
SR-NASDAQ-2014-088
Notice & Approval
|
A proposal to amend NASDAQ Rule 4753 to expand the information made available
through the Order Imbalance Indicator in connection with the NASDAQ Halt Cross (the "Halt Cross" or
the "Cross"). |
Approved |
Yes |
10/7/2014 |
9/16/2014 |
SR-NASDAQ-2014-087
Resubmission 1
Resubmission 2
Notice & Approval
|
A proposed rule change to adopt an all-inclusive annual listing fee and modify certain other listing
fees. |
Approved |
Yes |
12/16/2014 |
11/25/2014 |
SR-NASDAQ-2014-086
Notice & Approval
|
A proposal to offer a volume discount for the bulk purchase of aged reports within
the category of Historical Research and Administrative Reports under NASDAQ Rule 7022. |
Approved |
Yes |
9/19/2014 |
8/29/2014 |
SR-NASDAQ-2014-084
Notice & Approval
|
NOM Market Maker Obligations |
Approved |
Yes |
9/23/2014 |
9/2/2014 |
SR-NASDAQ-2014-083
Resubmission
Notice & Approval
|
Proposed Rule Change Relating to Common Ownership. |
Approved |
Yes |
9/30/2014 |
9/9/2014 |
SR-NASDAQ-2014-082
Notice & Approval
|
A proposal to harmonize the process by which the Exchange collects information from its equity
members and Options Participants for aggregating the activity of affiliated entities for the
purposes of assessing charges or credits. |
Approved |
Yes |
9/30/2014 |
9/9/2014 |
SR-NASDAQ-2014-081
Notice
Approval
|
A proposed rule change to amend NASDAQ Rule 4120(c) to modify the parameters for
releasing securities for trading upon the termination of a trading halt in a security that is the
subject of an initial public offering (an "IPO"). |
Approved |
Yes |
9/30/2014 |
9/9/2014 |
SR-NASDAQ-2014-080
Resubmission
Amendment 1
Notice
Approval
|
A proposed rule change to list and trade the shares of the following under Nasdaq Rule 5735
("Managed Fund Shares"): PowerShares Diversified Commodity Strategy Portfolio, PowerShares
Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals C |
Approved |
Yes |
10/8/2014 |
9/17/2014 |
SR-NASDAQ-2014-079
Notice & Approval
|
A proposed rule change to modify NASDAQ Rule 7051 to establish direct connectivity
and installation fees for a 1Gb Ultra connection option. |
Approved |
Yes |
9/5/2014 |
8/15/2014 |
SR-NASDAQ-2014-078
Notice & Approval
|
A proposal to amend a fee under Rule 7014(e) assessed members participating in the QMM Incentive
Program and to make several changes to the schedule of fees and credits applicable to execution and
routing of orders under Rule 7018. |
Approved |
Yes |
9/5/2014 |
8/15/2014 |
SR-NASDAQ-2014-077
Notice & Approval
|
A proposal to: (i) amend the Customer Fee for Removing Liquidity in Penny Pilot
Options; (ii) amend certain Penny Pilot Options Rebates to Add Liquidity and Non-Penny Pilot Options
Fees for Adding Liquidity applicable to Firms, Non-NOM Market Makers an |
Approved |
Yes |
9/9/2014 |
8/19/2014 |
SR-NASDAQ-2014-076
Notice & Approval
|
A proposed rule change to utilize a trade condition modifier recently adopted by the Joint
Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of
Quotation and Transaction Information for Nasdaq-Listed Securities Tr |
Approved |
Yes |
9/2/2014 |
8/11/2014 |
SR-NASDAQ-2014-075
Notice & Approval
|
A proposal to amend NASDAQ Rule 4753 to correct imprecise language in the rule
text. |
Approved |
Yes |
8/27/2014 |
8/6/2014 |
SR-NASDAQ-2014-074
Resubmission
Notice & Approval
|
Listing of Short Term Options Series |
Approved |
Yes |
8/26/2014 |
8/5/2014 |
SR-NASDAQ-2014-073
Amendment 1
Notice
Approval
|
A proposed rule change to list and trade the shares of the First Trust Emerging
Markets Local Currency Bond ETF (the "Fund") of First Trust Exchange-Traded Fund III (the "Trust")
under Nasdaq Rule 5735 ("Managed Fund Shares"). The shares of the Fund ar |
Approved |
Yes |
8/26/2014 |
8/5/2014 |
SR-NASDAQ-2014-072
Notice & Approval
|
A proposal to disclose publicly the sources of data, whether from the network processors or from
direct data feeds, that NASDAQ utilizes when performing (1) order handling and execution; (2) order
routing; and (3) related compliance processes. |
Approved |
Yes |
8/22/2014 |
8/1/2014 |
SR-NASDAQ-2014-070
Notice & Approval
|
A proposal to modify fees for the NASDAQ Basic data product under Rule 7047 and to
correct an error in the text of Rule 7023 (governing NASDAQ Depth-of-Book data). |
Approved |
Yes |
8/12/2014 |
7/22/2014 |
SR-NASDAQ-2014-069
Notice & Approval
|
A proposal to modify NASDAQ Rule 7018 fees assessed for execution and routing securities listed on
NASDAQ, the New York Stock Exchange ("NYSE") and on exchanges other than NASDAQ and NYSE. |
Approved |
Yes |
8/1/2014 |
7/11/2014 |
SR-NASDAQ-2014-067
Resubmission
Notice
Approval
|
A proposed rule change to Rule 5305 to eliminate the automatic transfer of
companies from The NASDAQ Global Market to The NASDAQ Global Select Market. |
Approved |
Yes |
7/31/2014 |
7/10/2014 |
SR-NASDAQ-2014-066
Notice & Approval
|
A proposal to delay implementation of the Opening Cross Contingency. |
Approved |
Yes |
7/17/2014 |
6/26/2014 |
SR-NASDAQ-2014-065
Notice
SEC
Extension 1
OIP
SEC
Extension 2
Amendment 1
Approval
|
A proposal to add new Rule 5713 (Paired Class Shares), and to list Paired Class
Shares issued by AccuShares® Commodities Trust I on behalf of each of the following seven segregated
series thereof: (1) AccuShares S&P GSCI® Spot Fund, (2) AccuShares S&P GSC |
Approved |
Yes |
7/14/2014 |
6/23/2014 |
SR-NASDAQ-2014-064
Notice & Approval
|
A proposal to correct rule text related to NOM Chapter III, Section 9, pertaining to Exercise
Limits. |
Approved |
Yes |
7/14/2014 |
6/23/2014 |
SR-NASDAQ-2014-063
Resubmission
Amendment 1
Notice
Approval
|
A proposed rule change to list and trade the shares of the Arrow DWA Balanced ETF,
Arrow DWA Tactical ETF and Arrow DWA Tactical Yield ETF. |
Approved |
Yes |
7/24/2014 |
7/3/2014 |
SR-NASDAQ-2014-062
Notice & Approval
|
A proposal to amend the NOM Market Maker Rebates to Add Liquidity in Penny Pilot Options. |
Approved |
Yes |
7/9/2014 |
6/18/2014 |
SR-NASDAQ-2014-060
Notice & Approval
|
A proposal to amend NOM Chapter XV to assess joint back office ("JBO")
participants pricing the same as Broker-Dealers and require JBO participants to utilize a new origin
code to identify JBO orders. |
Approved |
Yes |
7/7/2014 |
6/16/2014 |
SR-NASDAQ-2014-059
Notice
Amendment 1
Approval
|
A proposed rule change to list and trade the shares of the Global X Commodities Strategy ETF (the
"Fund") of Global X Funds (the "Trust") under Nasdaq Rule 5735 ("Managed Fund Shares"). The shares
of the Fund are collectively referred to herein as the "S |
Approved |
Yes |
7/7/2014 |
6/16/2014 |
SR-NASDAQ-2014-058
Notice
Approval
|
A proposed rule change to IM-5900-7 to modify the services offered to certain
newly listing companies. |
Approved |
Yes |
7/1/2014 |
6/10/2014 |
SR-NASDAQ-2014-057
Notice
Approval
|
A proposal to list and trade the shares of the First Trust Low Duration Mortgage Opportunities ETF
of First Trust Exchange-Traded Fund IV under Nasdaq Rule 5735. |
Approved |
Yes |
6/26/2014 |
6/5/2014 |
SR-NASDAQ-2014-056
Notice & Approval
|
A proposal to amend Chapter VI, Section 5 (Minimum Increments) of the rules of the
NASDAQ Options Market ("NOM") to extend through December 31, 2014, the Penny Pilot Program in
options classes in certain issues ("Penny Pilot" or "Pilot"), and to change th |
Approved |
Yes |
6/20/2014 |
5/30/2014 |
SR-NASDAQ-2014-055
Notice & Approval
|
A proposal to amend the fees for routing orders to away markets. Operative on June 2, 2014. |
Approved |
Yes |
6/20/2014 |
5/30/2014 |
SR-NASDAQ-2014-054
Notice & Approval
|
A proposal to adopt an alternative market opening process, the Opening Cross
Contingency, used only when the normal opening process fails to calculate an opening price. |
Approved |
Yes |
6/19/2014 |
5/29/2014 |
SR-NASDAQ-2014-053
Resubmission 1
Resubmission 2
Resubmission 3
Notice
Approval
|
A proposed rule change to list and trade the shares of the iShares Commodities Strategy ETF (the
"Fund") of iShares U.S. ETF Trust (the "Trust") under Nasdaq Rule 5735 ("Managed Fund Shares"). |
Approved |
Yes |
9/8/2014 |
8/18/2014 |
SR-NASDAQ-2014-052
Notice & Approval
|
A proposal to extend until July 12, 2015 the pilot program to eliminate position
limits for options on the SPDR® S&P 500® exchange-traded fund, which list and trade under the
symbol SPY ("SPY Pilot Program"). |
Approved |
Yes |
6/5/2014 |
5/15/2014 |
SR-NASDAQ-2014-050
Notice
Approval
|
A proposed rule change to list and trade the shares of the First Trust Strategic Income ETF (the
"Fund") of First Trust Exchange-Traded Fund IV (the "Trust") under Nasdaq Rule 5735 ("Managed Fund
Shares"). |
Approved |
Yes |
6/11/2014 |
5/21/2014 |
SR-NASDAQ-2014-049
Notice & Approval
|
A proposal to modify fees assessed for execution and routing securities listed on
NYSE and on exchanges other than NASDAQ and NYSE; to establish fee tiers for the execution of
Market-on-Close and Limit-on-Close orders executed in the NASDAQ Closing Cross; |
Approved |
Yes |
6/6/2014 |
5/16/2014 |
SR-NASDAQ-2014-048
Notice & Approval
|
A proposed rule change to consolidate responsibilities of certain committees of the Board of
Directors and to make related changes to the Exchange By-Laws and Rules. |
Approved |
Yes |
6/6/2014 |
5/16/2014 |
SR-NASDAQ-2014-047
Resubmission
Notice & Approval
|
A proposed rule change to modify fees set forth in Rule 7015 governing WebLink ACT
and the ACT Workstation. |
Approved |
Yes |
6/4/2014 |
5/14/2014 |
SR-NASDAQ-2014-046
Notice & Approval
|
A proposed rule change to amend Chapter IV (Securities Traded on NOM), Supplementary Material .04©
to Section 6 (Series of Options Contracts Open for Trading) of The NASDAQ Options Market LLC ("NOM")
in order to modify the Quarterly Options Series ("QOS") |
Approved |
Yes |
5/28/2014 |
5/7/2014 |
SR-NASDAQ-2014-045
Notice & Approval
|
A Proposed Rule Change to Modify Fees for the NASDAQ Basic Data Product. |
Approved |
Yes |
6/6/2014 |
5/16/2014 |
SR-NASDAQ-2014-044
Notice
1
Approval
|
A proposal to add new paragraphs h and i to Rule 11890, entitled "Clearly Erroneous Transactions".
|
Approved |
Yes |
5/27/2014 |
5/6/2014 |
SR-NASDAQ-2014-043
Resubmission
Notice & Approval
|
A proposal to change the reference to "GOOG" to "GOOGL." |
Approved |
Yes |
6/2/2014 |
5/12/2014 |
SR-NASDAQ-2014-042
Notice & Approval
|
A proposal to modify Rule 4758 to correct a typographical error made in SR-NASDAQ-2014-025. |
Approved |
Yes |
5/20/2014 |
4/29/2014 |
SR-NASDAQ-2014-041
Amendment 1
Notice
Approval
|
A proposed rule change relating to the listing and trading of the Shares of the
First Trust Enhanced Short Maturity ETF of First Trust Exchange-Traded Fund IV. |
Approved |
Yes |
5/22/2014 |
5/1/2014 |
SR-NASDAQ-2014-040
Resubmission
Notice
Approval
|
A proposed rule change relating to the listing and trading of the Shares of the Calamos Focus Growth
ETF of the Calamos ETF Trust. |
Approved |
Yes |
5/30/2014 |
5/9/2014 |
SR-NASDAQ-2014-039
Notice & Approval
|
Proposal to List Phlx Proprietary Products on NOM |
Approved |
Yes |
5/16/2014 |
4/25/2014 |
SR-NASDAQ-2014-038
Notice
Amendment 1
Amendment 2
SEC
Extension 1
OIP
SEC
Extension 2
Approval
|
A proposed rule change to list and trade the shares of the Reality Shares NASDAQ-100 Isolated
Dividend Growth Index ETF (the "Fund") of the Reality Shares ETF Trust (the "Trust") under Rule 5705
(Exchange Traded Funds: Portfolio Depository Receipts and In |
Approved |
Yes |
5/21/2014 |
4/30/2014 |
SR-NASDAQ-2014-036
Notice & Approval
|
Proposes to amend Exchange Rule 4754 governing the NASDAQ Closing Cross ("Cross")
to accommodate changes in market structure triggered by Phase 2 of the Plan to Address Extraordinary
Market Volatility submitted to the Securities and Exchange Commission (t |
Approved |
Yes |
5/14/2014 |
4/23/2014 |
SR-NASDAQ-2014-035
Resubmission
Notice
Amendment 1
Approval
|
A proposed rule change to list and trade the shares of the AdvisorShares Sunrise Global
Multi-Strategy ETF (the "Fund"), a series of AdvisorShares Trust (the "Trust"), under Nasdaq Rule
5735 ("Managed Fund Shares"). |
Approved |
Yes |
5/28/2014 |
5/7/2014 |
SR-NASDAQ-2014-033
Notice & Approval
|
A proposal to extend the pilot program under NOM Chapter V Section 3(d)(iv), which
provides for how the Exchange treats obvious and catastrophic options errors in response to the plan
to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regu |
Approved |
Yes |
5/5/2014 |
4/14/2014 |
SR-NASDAQ-2014-032
Notice & Approval
|
A proposed rule change to adopt Rule 4120(c)(8) with respect to initial pricing of certain
securities not subject to an Initial Public Offering. |
Approved |
Yes |
5/8/2014 |
4/17/2014 |
SR-NASDAQ-2014-031
Resubmission
Notice & Approval
|
Proposed changes to the Qualified Market Maker ("QMM") Incentive Program under
Rule 7014, and the schedule of fees and rebates for execution and routing of orders under Rule 7018.
|
Approved |
Yes |
5/6/2014 |
4/15/2014 |
SR-NASDAQ-2014-030
Resubmission
Notice & Approval
|
A proposal to extend the pilot period for the Exchange's Retail Price Improvement ("RPI") Program,
which is set to expire on March 28, 2014, for six months, to expire on September 30, 2014. |
Approved |
Yes |
4/23/2014 |
4/2/2014 |
SR-NASDAQ-2014-029
Notice & Approval
|
A proposed rule change to modify Chapter XV (Options Pricing) by adding proposed
new Section 11 (Managed Data Solutions) to the NASDAQ Options Market, LLC ("NOM") rule book to
establish Managed Data Solution fees for Non-Display Usage. |
Approved |
Yes |
5/1/2014 |
4/10/2014 |
SR-NASDAQ-2014-028
Notice & Approval
|
A proposal to extend the pilot period of amendments to Rule 11890, governing clearly erroneous
executions. |
Approved |
Yes |
4/18/2014 |
3/28/2014 |
SR-NASDAQ-2014-027
Resubmission
Notice
Amendment 1
Approval
|
A proposed rule change to list and trade the shares of the PowerShares
Multi-Strategy Alternative Portfolio (the "Fund"), a series of PowerShares Actively Managed
Exchange-Traded Fund Trust (the "Trust"), under Nasdaq Rule 5735 ("Managed Fund Shares"). |
Approved |
Yes |
5/2/2014 |
4/11/2014 |
SR-NASDAQ-2014-026
Notice & Approval
|
Proposed changes to the Qualified Market Maker ("QMM") Program under NASDAQ Rule 7014 and the
removal of the NBBO Setter Incentive Program as a separate section thereunder, as well as to modify
the rules governing fees assessed for orders executed in the |
Approved |
Yes |
4/21/2014 |
3/31/2014 |
SR-NASDAQ-2014-025
Notice & Approval
|
A proposal to modify Rule 4758 with respect to NASDAQ's DOT, DOTI, and LIST
routing strategies. |
Approved |
Yes |
4/21/2014 |
3/31/2014 |
SR-NASDAQ-2014-023
Notice & Approval
|
A proposed rule change to modify Chapter XV, entitled "Options Pricing," at Section 2 governing
pricing for NASDAQ members using the NASDAQ Options Market ("NOM"), NASDAQ's facility for executing
and routing standardized equity and index options. |
Approved |
Yes |
4/8/2014 |
3/18/2014 |
SR-NASDAQ-2014-021
Resubmission 1
Resubmission 2
Notice & Approval
|
A proposal to amend routing fees. The Exchange has designated that the amendments
be operative on March 3, 2014. |
Approved |
Yes |
4/8/2014 |
3/18/2014 |
SR-NASDAQ-2014-020
Resubmission
Notice
SEC
Extension 1
OIP
SEC
Extension 2
Amendment 1
Approval
|
A proposal to permit the listing and trading under new rule 5745 of the shares of a new type of
open-end management investment company registered under the 1940 Act, called an Exchange-Traded
Managed Fund ("ETMF"). Proposed Nasdaq Rule 5745 would also p |
Approved |
Yes |
4/2/2014 |
3/12/2014 |
SR-NASDAQ-2014-019
Notice
Amendment 1
Approval
|
A proposed rule change to list and trade the shares of the First Trust Managed
Municipal ETF (the "Fund") of First Trust Exchange-Traded Fund III (the "Trust") under Nasdaq Rule
5735 ("Managed Fund Shares"). |
Approved |
Yes |
3/18/2014 |
2/25/2014 |
SR-NASDAQ-2014-018
Resubmission
Notice & Approval
|
A proposal to amend fees to specify the frequency with which the Exchange may change the Options
Regulatory Fee. The Exchange has designated that the amendments be operative on March 3, 2014. |
Approved |
Yes |
3/18/2014 |
2/25/2014 |
SR-NASDAQ-2014-017
Notice & Approval
|
A proposed rule change to add a risk management tool commonly known as a "Kill
Switch" as set forth in proposed NASDAQ Rule 6130. |
Approved |
Yes |
3/17/2014 |
2/24/2014 |
SR-NASDAQ-2014-016
Notice & Approval
|
A proposal to amend the NOM Market Maker Rebate to Add Liquidity in Penny Pilot Options. |
Approved |
Yes |
3/13/2014 |
2/20/2014 |
SR-NASDAQ-2014-015
Notice & Approval
|
Proposed changes to the Qualified Market Maker Program and NBBO Setter Incentive
Program under Rule 7014, and the schedule of fees and rebates for execution and routing of orders
under Rule 7018. |
Approved |
Yes |
3/12/2014 |
2/19/2014 |
SR-NASDAQ-2014-013
Notice & Approval
|
A proposal to amend the Non-Penny Pilot Options Customer Rebate to Add Liquidity and to amend the
Tier 8 Rebate to Add Liquidity. |
Approved |
Yes |
3/7/2014 |
2/14/2014 |
SR-NASDAQ-2014-011
Notice & Approval
|
A proposal to modify fees for the NASDAQ Basic data product. |
Approved |
Yes |
3/6/2014 |
2/13/2014 |
SR-NASDAQ-2014-010
Notice & Approval
|
A proposal to modify NASDAQ's rule governing Directed Orders. |
Approved |
Yes |
3/5/2014 |
2/12/2014 |
SR-NASDAQ-2014-009
Notice
Amendment 1
SEC
Extension
Amendment 2
Amendment 3
Approval
|
A proposed rule change relating to the First Trust Tactical High Yield ETF
(formerly known as the First Trust High Yield Long/Short ETF) (the "Fund") of First Trust
Exchange-Traded Fund IV (the "Trust") listed under NASDAQ Rule 5735 ("Managed Fund Shares" |
Approved |
Yes |
3/3/2014 |
2/10/2014 |
SR-NASDAQ-2014-008
Notice & Approval
|
A proposal to permit the Exchange to receive inbound orders in options routed through Nasdaq
Execution Services, LLC ("NES"). |
Approved |
Yes |
2/24/2014 |
2/3/2014 |
SR-NASDAQ-2014-007
Notice & Approval
|
A proposal to use Nasdaq Execution Services, LLC as opposed to Nasdaq Options
Services LLC for outbound order
routing from The NASDAQ Options Market and to route equities and options orders through NES either
directly or
through a third party routing br |
Approved |
Yes |
2/24/2014 |
2/3/2014 |
SR-NASDAQ-2014-006
Notice & Approval
|
A proposal to make permanent the NASDAQ Last Sale pilot. |
Approved |
Yes |
2/14/2014 |
1/24/2014 |
SR-NASDAQ-2014-005
Notice & Approval
|
A proposal with respect to the composition of NASDAQ Basic. |
Approved |
Yes |
2/14/2014 |
1/24/2014 |
SR-NASDAQ-2014-004
Notice
Amendment 1
Approval
|
A proposal to amend Exchange Rule 4754 governing the NASDAQ Closing Cross ("Cross") to accommodate
changes in market structure triggered by Phase 2 of the Plan to Address Extraordinary Market
Volatility submitted to the Commission pursuant to Rule 608 of |
Approved |
Yes |
2/4/2014 |
1/14/2014 |
SR-NASDAQ-2014-002
Notice & Approval
|
A proposed rule change to amend Rule 1080.08€ to provide that market maker Complex
Orders cannot initiate a Complex Order Live Auction |
Approved |
Yes |
2/11/2014 |
1/21/2014 |
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-NASDAQ-2013-166
Notice & Approval
|
A proposal to make changes to its schedule of fees and credits applicable to execution of orders
under Rule 7018, and its Investor Support Program ("ISP") of credits under Rule 7014. |
Approved |
Yes |
2/5/2014 |
1/15/2014 |
SR-NASDAQ-2013-165
Notice & Approval
|
A proposal to modify an aspect of the implementation of Rule 4626(b)(3), as
previously described in SR-NASDAQ-2013-152, and to make a related amendment to the text of Rule
4626(b)(3)(E). |
Approved |
Yes |
1/23/2014 |
1/2/2014 |
SR-NASDAQ-2013-164
Notice & Approval
|
A proposed rule change to further describe the application of fees assessed pursuant to Rule
7030(d)(1)(C). |
Approved |
Yes |
1/29/2014 |
1/8/2014 |
SR-NASDAQ-2013-162
Notice & Approval
|
A proposal to extend for three months the fee pilot pursuant to which NASDAQ
distributes the NASDAQ Last Sale ("NLS") market data products. |
Approved |
Yes |
1/28/2014 |
1/7/2014 |
SR-NASDAQ-2013-161
Notice & Approval
|
A proposed rule change to amend fees assessed for connectivity to the Exchange under Rule 7015, and
to eliminate fees assessed under Rules 7033 and 7059. |
Approved |
Yes |
1/27/2014 |
1/6/2014 |
SR-NASDAQ-2013-160
Notice & Approval
|
A proposed rule change to modify the definition of "System Securities" set forth
in NASDAQ Rule 4751. |
Approved |
Yes |
1/17/2014 |
12/27/2013 |
SR-NASDAQ-2013-159
Notice & Approval
|
A proposal to modify the extranet access fee ("Extranet Access Fee") set forth in NASDAQ Rule 7025,
as well as to clarify its applicability. |
Approved |
Yes |
1/27/2014 |
1/6/2014 |
SR-NASDAQ-2013-158
Notice & Approval
|
A proposed rule change to delay implementation of a recent proposed amendment
related to Acceptable Trade Range. The Exchange seeks to be able to implement the changes in January
2014. The Exchange will announce the specific date in advance through an Opt |
Approved |
Yes |
1/17/2014 |
12/27/2013 |
SR-NASDAQ-2013-157
Notice & Approval
|
A proposed rule change to modify the existing fees that clients co-located in NASDAQ's Carteret data
center pay for cabinet space, connectivity, and additional services as set forth in NASDAQ Rule
7034. |
Approved |
Yes |
1/27/2014 |
1/6/2014 |
SR-NASDAQ-2013-156
Notice & Approval
|
A proposal to amend Chapter VI, Section 10, of the Rules of the NASDAQ Options
Market ("NOM"). Specifically, NASDAQ proposes to add an additional execution algorithm and priority
overlays to govern the priority of orders, as explained more fully below. |
Approved |
Yes |
1/21/2014 |
12/30/2013 |
SR-NASDAQ-2013-155
Notice
Amendment 1
Amendment 2
Approval
|
A proposed rule change to list and trade the shares of the AdvisorShares YieldPro ETF (the "Fund")
of the AdvisorShares Trust (the "Trust") under Nasdaq Rule 5735 ("Managed Fund Shares"). |
Approved |
Yes |
1/23/2014 |
1/2/2014 |
SR-NASDAQ-2013-154
Notice & Approval
|
A proposal to amend Chapter VI, Section 5 (Minimum Increments) of the rules of the
NASDAQ Options Market ("NOM") to extend through June 30, 2014, the Penny Pilot Program in options
classes in certain issues ("Penny Pilot" or "Pilot"), and to change the da |
Approved |
Yes |
1/13/2014 |
12/23/2013 |
SR-NASDAQ-2013-152
Notice & Approval
|
A proposal to describe the implementation of Rule 4626(b)(3). |
Approved |
Yes |
1/13/2014 |
12/23/2013 |
SR-NASDAQ-2013-151
Notice & Approval
|
A proposal to delay implementation of recent changes to Rule 4120(c)(7)(C) to
allow market participants the opportunity to participate in testing of the new process. |
Approved |
Yes |
1/8/2014 |
12/18/2013 |
SR-NASDAQ-2013-150
Notice & Approval
|
A proposal to make changes to its schedule of fees and credits applicable to execution of orders
under Rule 7018 and related changes in Rule 7014. |
Approved |
Yes |
1/7/2014 |
12/17/2013 |
SR-NASDAQ-2013-149
Notice & Approval
|
A proposal to amend the NOM Market Maker Non-Penny Pilot Options Fee for Removing
Liquidity and the NOM Market Maker Rebate to Add Liquidity in Penny Pilot Options. |
Approved |
Yes |
1/3/2014 |
12/13/2013 |
SR-NASDAQ-2013-148
Notice
Approval
|
A proposed rule change with respect to amendments of the Restated Certificate of Incorporation (the
"Charter") and By-Laws (the "By-Laws") of its parent corporation, The NASDAQ OMX Group, Inc.
("NASDAQ OMX" or the "Company"). |
Approved |
Yes |
1/2/2014 |
12/12/2013 |
SR-NASDAQ-2013-147
Notice & Approval
|
A proposed rule change to amend its listing rules on compensation committee
composition. Specifically, Nasdaq proposes to amend Nasdaq Listing Rule 5605(d)(2)(A) and IM-5605-6
to replace the prohibition on the receipt of compensatory fees by compensation |
Approved |
Yes |
1/6/2014 |
12/16/2013 |
SR-NASDAQ-2013-146
Resubmission
Notice & Approval
|
A proposal to amend the Routing Fees in Section 2(3) of Chapter XV in order to recoup costs the
Exchange incurs for routing and executing certain orders in equity options to away markets.
SR-NASDAQ-2013-158 DELAYED IMPLEMENTATION OF THESE CHANGES UNTIL JA |
Approved |
Yes |
1/2/2014 |
12/12/2013 |
SR-NASDAQ-2013-145
Resubmission
Notice & Approval
|
Acceptable Trade Range |
Approved |
Yes |
12/31/2013 |
12/10/2013 |
SR-NASDAQ-2013-143
Notice & Approval
|
A proposed rule change to amend NASDAQ Rule 4120(c)(7)(C) to modify the parameters for releasing
securities for trading upon the termination of a trading halt. |
Approved |
Yes |
12/18/2013 |
11/27/2013 |
SR-NASDAQ-2013-142
Notice & Approval
|
A proposal to modify the NASDAQ Level 2 Professional Subscriber fee set forth in
NASDAQ Rule 7023(b)(1)(B). |
Approved |
Yes |
12/24/2013 |
12/3/2013 |
SR-NASDAQ-2013-141
Notice & Approval
|
A proposal to amend certain NOM Market Maker Rebates to Add Liquidity in Penny Pilot Options. |
Approved |
Yes |
12/20/2013 |
11/29/2013 |
SR-NASDAQ-2013-140
Notice & Approval
|
A proposed rule change to modify NASDAQ connectivity options and fees. |
Approved |
Yes |
12/18/2013 |
11/27/2013 |
SR-NASDAQ-2013-139
Resubmission
Notice & Approval
|
A proposed rule change regarding Post-Only Orders received prior to the opening. |
Approved |
Yes |
12/16/2013 |
11/25/2013 |
SR-NASDAQ-2013-138
Notice & Approval
|
A proposal to make modifications to its Qualified Market Maker ("QMM") and NBBO
Setter Incentive pricing incentive programs under Rule 7014 and the pricing for its Retail Price
Improvement ("RPI") program under Rule 7018(g), and to make other changes to N |
Approved |
Yes |
12/10/2013 |
11/19/2013 |
SR-NASDAQ-2013-137
Resubmission
Notice & Approval
|
A proposed rule change to establish fees under Rule 7030(d) for Use of a New NASDAQ Testing Facility
Testing Environment. |
Approved |
Yes |
12/10/2013 |
11/19/2013 |
SR-NASDAQ-2013-136
Notice & Approval
|
A proposal to amend certain Customer and Professional Rebates to Add Liquidity in
Penny Pilot Options and NOM Market Maker Fees for Removing Liquidity in Penny Pilot Options.
Operative on November 1, 2013. |
Approved |
Yes |
12/4/2013 |
11/13/2013 |
SR-NASDAQ-2013-134
Resubmission
Notice & Approval
|
A proposed rule change to modify the listing of additional shares fees payable by non-U.S.
companies. |
Approved |
Yes |
1/2/2014 |
12/12/2013 |
SR-NASDAQ-2013-133
Notice & Approval
|
A proposed rule change to amend certain procedural rules to implement the change
in the expiration date for most option contracts to the third Friday of the expiration month instead
of the Saturday following the third Friday. |
Approved |
Yes |
11/19/2013 |
10/29/2013 |
SR-NASDAQ-2013-131
Notice & Approval
|
A proposed rule change to postpone the implementation of the Dedicated OUCH Port Infrastructure
connectivity option and related fees. |
Approved |
Yes |
11/12/2013 |
10/22/2013 |
SR-NASDAQ-2013-130
Notice & Approval
|
A proposed rule change to adopt new regulatory fees payable by certain listed
companies and applicants. |
Approved |
Yes |
11/12/2013 |
10/22/2013 |
SR-NASDAQ-2013-129
Notice & Approval
|
A proposal to amend its schedule of fees and credits applicable to execution and routing of orders
in securities priced at $1 or more per share under Rule 7018. |
Approved |
Yes |
11/12/2013 |
10/22/2013 |
SR-NASDAQ-2013-128
Notice & Approval
|
A proposal to amend the NASDAQ listing standards related to compliance
determinations for Market Value of Listed Securities and Market Value of Publicly-Held Shares
deficiencies. |
Approved |
Yes |
10/24/2013 |
10/3/2013 |
SR-NASDAQ-2013-127
Notice & Approval
|
A proposal to extend a pilot program related to Rule 11890, entitled Clearly Erroneous Transactions,
and to remove certain references to individual stock trading pauses contained in Rule
11890(a)(2)(C)(4). |
Approved |
Yes |
10/23/2013 |
10/2/2013 |
SR-NASDAQ-2013-126
Notice & Approval
|
A proposal to extend for three months the fee pilot pursuant to which NASDAQ
distributes the NASDAQ Last Sale ("NLS") market data products. |
Approved |
Yes |
11/12/2013 |
10/22/2013 |
SR-NASDAQ-2013-125
Notice & Approval
|
A proposed rule change to reduce the fees assessed under NASDAQ Rule 7034 for certain co-location
services. |
Approved |
Yes |
10/24/2013 |
10/3/2013 |
SR-NASDAQ-2013-124
Notice & Approval
|
A proposed rule change to amend the manner in which the Exchange assesses SQF Port
fees. The Exchange has designated that the amendments be operative on October 1, 2013. |
Approved |
Yes |
10/24/2013 |
10/3/2013 |
SR-NASDAQ-2013-122
Notice
Approval
|
A proposed rule change to list and trade the shares of the First Trust High Income ETF (the "Fund")
of First Trust Exchange-Traded Fund VI (the "Trust") under Nasdaq Rule 5735 ("Managed Fund Shares").
|
Approved |
Yes |
10/17/2013 |
9/26/2013 |
SR-NASDAQ-2013-121
Notice
Approval
|
A proposed rule change to list and trade the shares of the First Trust Low Beta
Income ETF (the "Fund") of First Trust Exchange-Traded Fund VI (the "Trust") under Nasdaq Rule 5735
("Managed Fund Shares"). |
Approved |
Yes |
10/17/2013 |
9/26/2013 |
SR-NASDAQ-2013-120
Notice & Approval
|
A proposed rule change to modify Chapter XV, entitled "Options Pricing," at Section 2 governing
pricing for NASDAQ members using the NASDAQ Options Market ("NOM"), NASDAQ's facility for executing
and routing standardized equity and index options. |
Approved |
Yes |
10/21/2013 |
9/30/2013 |
SR-NASDAQ-2013-119
Notice & Approval
|
A proposed rule change to modify the existing fees clients in NASDAQ's Carteret
data center are assessed to receive CME Group multi-cast market data feeds via wireless
connectivity. |
Approved |
Yes |
10/17/2013 |
9/26/2013 |
SR-NASDAQ-2013-118
Notice & Approval
|
A proposed rule change to correct a typographical error and incorrect reference in Rule 5635(e)(4).
|
Approved |
Yes |
10/11/2013 |
9/20/2013 |
SR-NASDAQ-2013-117
Notice & Approval
|
A proposal to make minor modifications to pricing incentive programs under
NASDAQ's schedule of fees and credits applicable to trading on the NASDAQ Options Market ("NOM").
|
Approved |
Yes |
10/18/2013 |
9/27/2013 |
SR-NASDAQ-2013-115
Notice & Approval
|
A proposal to adopt fees for certain exchange traded products and to expand existing fee waivers to
include these securities. |
Approved |
Yes |
10/11/2013 |
9/20/2013 |
SR-NASDAQ-2013-114
Notice & Approval
|
Proposed rule change to the Qualified Market Maker Program under Rule 7014, the
fees assessed under Rule 7015(g), and the schedule of fees and rebates under Rule 7018(a). |
Approved |
Yes |
10/7/2013 |
9/16/2013 |
SR-NASDAQ-2013-112
Notice & Approval
|
A proposal to change the expiration date for most option contracts to the third Friday of the
expiration month instead of the Saturday following the third Friday, and to make other related
administrative changes to ensure consistency in rule text. |
Approved |
Yes |
9/20/2013 |
8/30/2013 |
SR-NASDAQ-2013-111
Resubmission
Notice & Approval
|
A proposed rule change to adopt a time-limited waiver of the monthly subscription
fee for new and existing subscribers to the Equity Trade Journal for Clearing Firms service under
Rule 7060. |
Approved |
Yes |
10/1/2013 |
9/10/2013 |
SR-NASDAQ-2013-110
Notice & Approval
|
A proposal to amend Chapter VII, Section 6 of the rules of the NASDAQ Options Market to permit the
Exchange to establish wider bid/ask differentials for certain options with high premiums or other
special characteristics. |
Approved |
Yes |
9/18/2013 |
8/28/2013 |
SR-NASDAQ-2013-109
Notice & Approval
|
A proposed rule change to modify NASDAQ's optional anti-internalization
functionality. |
Approved |
Yes |
9/17/2013 |
8/27/2013 |
SR-NASDAQ-2013-108
Resubmission
Notice & Approval
|
A proposed rule change to amend rule 1120 and to adopt a corresponding fee. |
Approved |
Yes |
10/1/2013 |
9/10/2013 |
SR-NASDAQ-2013-107
Resubmission
Notice
Approval
|
A proposed rule change to list and trade the shares of the First Trust Global
Tactical Commodity Strategy Fund the shares of the First Trust Global Tactical Commodity Strategy
Fund of First Trust Exchange-Traded Fund VII under Nasdaq Rule 5735. |
Approved |
Yes |
9/20/2013 |
8/30/2013 |
SR-NASDAQ-2013-106
Resubmission
Notice & Approval
|
A proposed rule change to NASDAQ Rule 7026 regarding Managed Data Solutions, to indicate that this
option is available for non-display use only. |
Approved |
Yes |
9/24/2013 |
9/3/2013 |
SR-NASDAQ-2013-105
Notice & Approval
|
A proposed rule change to eliminate the Exchange's Routable Order Program. |
Approved |
Yes |
9/4/2013 |
8/14/2013 |
SR-NASDAQ-2013-104
Notice & Approval
|
A proposal to offer an additional rebate for transacting certain Non-Penny Pilot Options. |
Approved |
Yes |
9/9/2013 |
8/19/2013 |
SR-NASDAQ-2013-102
Notice
Approval
|
A proposal to assume operational responsibility for certain surveillance activity
currently performed by the Financial Industry Regulatory Authority under the Exchange's authority
and supervision. |
Approved |
Yes |
9/6/2013 |
8/16/2013 |
SR-NASDAQ-2013-101
Notice & Approval
|
A proposal to amend Chapter IV, Section 6 (Series of Options Contracts Open for Trading) of the
rules of the NASDAQ Options Market ("NOM") to permit the Exchange to list additional strike prices
until the close of trading on the second business day prior |
Approved |
Yes |
8/30/2013 |
8/9/2013 |
SR-NASDAQ-2013-100
Notice & Approval
|
Proposed changes to its fees for routing of orders priced at $1 or more under Rule
7018(a), as well as changes to its Excess Order Fee under Rule 7018. |
Approved |
Yes |
8/30/2013 |
8/9/2013 |
SR-NASDAQ-2013-099
Notice & Approval
|
A proposed rule change to modify NASDAQ connectivity options and fees. |
Approved |
Yes |
9/3/2013 |
8/13/2013 |
SR-NASDAQ-2013-098
Resubmission
Notice & Approval
|
A proposed rule change to adopt a time-limited waiver of the monthly subscription
fee for new subscribers to the Latency Optics add-on service to Qview under Rule 7058(b). |
Approved |
Yes |
9/4/2013 |
8/14/2013 |
SR-NASDAQ-2013-097
Notice & Approval
|
A proposed rule change to offer a new Dedicated OUCH Port Infrastructure connectivity option and
adopt related fees. |
Approved |
Yes |
8/20/2013 |
7/30/2013 |
SR-NASDAQ-2013-096
Notice & Approval
|
A proposed rule change to modify NASDAQ's rule governing modification of orders in
the event of an issuer corporate action related to a dividend, payment or distribution. |
Approved |
Yes |
8/30/2013 |
8/9/2013 |
SR-NASDAQ-2013-095
Notice & Approval
|
A proposal to amend Chapter V, Section 6, Obvious Errors, of the Rules of the NASDAQ Options Market
regarding catastrophic errors. |
Approved |
Yes |
8/26/2013 |
8/5/2013 |
SR-NASDAQ-2013-094
Notice & Approval
|
A proposal to amend rules relating to Exchange Traded Funds. |
Approved |
Yes |
7/31/2013 |
7/10/2013 |
SR-NASDAQ-2013-093
Notice & Approval
|
Proposed changes to fees under its Qualified Market Makerpricing incentive program under Rules 7014
and 7015. |
Approved |
Yes |
7/29/2013 |
7/8/2013 |
SR-NASDAQ-2013-092
Notice & Approval
|
A proposed rule change to amend NASDAQ Rule 4120 to modify the parameters for
releasing initial public offering securities for trading pursuant to the IPO Halt Cross under NASDAQ
Rule 4753. |
Approved |
Yes |
7/29/2013 |
7/8/2013 |
SR-NASDAQ-2013-091
Resubmission
Notice & Approval
|
A proposal to amend certain Customer, Professional and NOM Market Maker Rebates to Add Liquidity in
Penny Pilot Options. |
Approved |
Yes |
7/31/2013 |
7/10/2013 |
SR-NASDAQ-2013-090
Notice & Approval
|
Proposes to amend Exchange Rule 4754 governing the NASDAQ Closing Cross ("Cross")
to specify contingency plans for determining the NASDAQ Official Closing Price ("NOCP") in the event
NASDAQ experiences a system disruption that precludes normal execution o |
Approved |
Yes |
7/24/2013 |
7/3/2013 |
SR-NASDAQ-2013-089
Resubmission
Notice & Approval
|
A proposed rule change to extend fee pilot program for NASDAQ Last Sale. |
Approved |
Yes |
7/30/2013 |
7/9/2013 |
SR-NASDAQ-2013-088
Resubmission
Notice & Approval
|
A proposed rule change to reduce the fees assessed under NASDAQ Rule 7034 for
certain co-location services. |
Approved |
Yes |
7/26/2013 |
7/5/2013 |
SR-NASDAQ-2013-086
Notice & Approval
|
A proposed rule change to amend Rule 4120 to adopt a modification in the process for initiating
trading of a security that is the subject of an initial public offering on NASDAQ. |
Approved |
Yes |
7/16/2013 |
6/25/2013 |
SR-NASDAQ-2013-085
Notice & Approval
|
A Proposal to Amend Rule 4630 to Remove a Restriction on a Member Acting as a
Registered Market Maker in a Commodity-Related Security. |
Approved |
Yes |
7/22/2013 |
7/1/2013 |
SR-NASDAQ-2013-084
Notice & Approval
|
A proposed rule change to modify the existing fees clients voluntarily pay to receive third party
market data delivered by NASDAQ as set forth in NASDAQ Rule 7034. |
Approved |
Yes |
7/22/2013 |
7/1/2013 |
SR-NASDAQ-2013-083
Notice & Approval
|
A proposed rule change to eliminate an erroneous reference to the retired
automatic quotation refresh functionality in Rule 4751(d). |
Approved |
Yes |
7/18/2013 |
6/27/2013 |
SR-NASDAQ-2013-082
Notice & Approval
|
A proposal to amend Chapter VI, Section 5 (Minimum Increments) of the rules of the NASDAQ Options
Market ("NOM") to extend through December 31, 2013, the Penny Pilot Program in options classes in
certain issues ("Penny Pilot" or "Pilot"), and to change th |
Approved |
Yes |
7/15/2013 |
6/24/2013 |
SR-NASDAQ-2013-081
Notice & Approval
|
A proposed rule change to make changes to NASDAQ's pricing incentive programs and
schedule of fees and credits. |
Approved |
Yes |
7/10/2013 |
6/19/2013 |
SR-NASDAQ-2013-080
Notice & Approval
|
A proposed rule change to adopt fees for the new MOPB routing option under Rule 7018(a). |
Approved |
Yes |
7/2/2013 |
6/11/2013 |
SR-NASDAQ-2013-079
Amendment 1
Notice
Approval
|
A proposed rule change relating to the WisdomTree Global Corporate Bond Fund (the
"Global Fund") and the WisdomTree Emerging Markets Corporate Bond Fund (the "Emerging Markets Fund,"
and collectively with the Global Fund, the "Funds") of the WisdomTree Tr |
Approved |
Yes |
6/25/2013 |
6/4/2013 |
SR-NASDAQ-2013-078
Notice & Approval
|
A proposed rule change to amend Rule 4758(a)(1)(A) to add a new routing option, MOPB. |
Approved |
Yes |
6/20/2013 |
5/30/2013 |
SR-NASDAQ-2013-077
Notice & Approval
|
A proposal to simplify the calculation of the price adjustment trigger of the
Market Maker Peg Order under Rule 4751. |
Approved |
Yes |
6/14/2013 |
5/24/2013 |
SR-NASDAQ-2013-076
Resubmission
Notice & Approval
|
A proposed rule change to make a clerical correction to the Nasdaq rulebook. |
Approved |
Yes |
7/5/2013 |
6/13/2013 |
SR-NASDAQ-2013-075
Notice & Approval
|
Proposed rule change to remove Pilot restrictions from NASDAQ's Qualified Market
Maker and NBBO Setter Incentive Programs, and to make other changes to NASDAQ's schedule of fees and
credits. |
Approved |
Yes |
6/7/2013 |
5/17/2013 |
SR-NASDAQ-2013-074
Notice & Approval
|
A proposal to adopt certain tiered pricing for Firms, Non-NOM Market Makers and Broker-Dealers with
respect to Penny Pilot Options Rebates to Add Liquidity and Non-Penny Pilot Options Fees for Adding
Liquidity. The Exchange has designated that the amend |
Approved |
Yes |
6/6/2013 |
5/16/2013 |
SR-NASDAQ-2013-073
Notice & Approval
|
A proposed rule change to amend Rule 4120 to adopt a modification in the process
for initiating trading of a security that is the subject of a trading halt or pause on NASDAQ, and
to make several additional modifications to Rule 4120 to clarify the condit |
Approved |
Yes |
6/7/2013 |
5/17/2013 |
SR-NASDAQ-2013-072
Amendment 1
Notice & Approval
|
A proposed rule change to amend the fees for VTE Terminals. |
Approved |
Yes |
6/4/2013 |
5/14/2013 |
SR-NASDAQ-2013-071
Notice & Approval
|
A proposed rule change to amend NASDAQ Rule 4763 (Short Sale Price Test Pursuant
to Rule 201 of Regulation SHO) to establish that the short sale price test for NASDAQ-listed
securities will not be calculated until after NASDAQ completes the Nasdaq Opening |
Approved |
Yes |
5/31/2013 |
5/10/2013 |
SR-NASDAQ-2013-070
Notice
Approval
|
A proposed rule change for the permanent approval of the Exchange's pilot program to permit the
NASDAQ Options Market ("NOM") to accept inbound options orders routed by Nasdaq Options Services LLC
("NOS") from NASDAQ OMX BX, Inc. ("BX"). |
Approved |
Yes |
5/29/2013 |
5/8/2013 |
SR-NASDAQ-2013-069
Notice & Approval
|
A proposed rule change to eliminate the free period for the Limit Up/Limit Down
Band Lookup add-on service to TradeInfo under Rule 7015(f). |
Approved |
Yes |
5/21/2013 |
4/30/2013 |
SR-NASDAQ-2013-068
Notice & Approval
|
A proposed rule change to modify NASDAQ's rule governing modification of orders in the event of an
issuer corporate action related to a dividend, payment or distribution, and to make related
clarifications to rule text. |
Approved |
Yes |
5/22/2013 |
5/1/2013 |
SR-NASDAQ-2013-066
Notice & Approval
|
A proposed rule change to establish the Limit Up/Limit Down Band Lookup add-on
service to TradeInfo and assess a related subscription fee. |
Approved |
Yes |
5/21/2013 |
4/30/2013 |
SR-NASDAQ-2013-064
Notice & Approval
|
A proposal to amend fees for routing options to away markets. The Exchange has designated the
proposed amendments to be operative on May 1, 2013. |
Approved |
Yes |
5/15/2013 |
4/24/2013 |
SR-NASDAQ-2013-063
Notice & Approval
|
Proposed changes to its schedule of fees and rebates for execution of orders for
securities priced at $1 or more under Rule 7018, as well as changes to its Qualified Market Maker
and NBBO Setter Incentive Programs under Rule 7014. |
Approved |
Yes |
5/10/2013 |
4/19/2013 |
SR-NASDAQ-2013-062
Notice & Approval
|
A proposed rule change to modify Chapter XV, entitled "Options Pricing," at Section 2 governing
pricing for NASDAQ members using the NASDAQ Options Market ("NOM"), NASDAQ's facility for executing
and routing standardized equity and index options. Specifi |
Approved |
Yes |
5/2/2013 |
4/11/2013 |
SR-NASDAQ-2013-061
Notice & Approval
|
A proposed rule change concerning the extension of the Display Only Period
conducted prior to the IPO Halt Cross. |
Approved |
Yes |
5/2/2013 |
4/11/2013 |
SR-NASDAQ-2013-057
Notice & Approval
|
Proposed changes to amend NASDAQ Rule 7018 to establish fees and rebates in connection with NASDAQ's
Retail Price Improvement Program. |
Approved |
Yes |
5/2/2013 |
4/11/2013 |
SR-NASDAQ-2013-056
Resubmission
Notice & Approval
|
A proposed rule change to eliminate fees under Rules 7015(b) and (g), which are
effective but not yet implemented, for subscription to FIX Trading Ports and OUCH Ports used for
testing. |
Approved |
Yes |
4/29/2013 |
4/8/2013 |
SR-NASDAQ-2013-055
Notice & Approval
|
A proposed rule change to modify the deadline for submission of claims under NASDAQ Rule 4626(b)(3).
FACEBOOK ACCOMMODATION PLAN. |
Approved |
Yes |
4/24/2013 |
4/3/2013 |
SR-NASDAQ-2013-053
Notice & Approval
|
A proposal to extend for three months the fee pilot pursuant to which NASDAQ
distributes the NASDAQ Last Sale market data products. |
Approved |
Yes |
4/23/2013 |
4/2/2013 |
SR-NASDAQ-2013-051
Notice & Approval
|
A proposal to amend the Routing Fees. The Exchange has designated the proposed amendments to be
operative on April 1, 2013. |
Approved |
Yes |
4/23/2013 |
4/2/2013 |
SR-NASDAQ-2013-050
Notice & Approval
|
A proposed rule change to establish fees under Rule 7015(b) and (g) for
subscription to FIX Trading Ports and OUCH Ports used for testing. |
Approved |
Yes |
4/18/2013 |
3/28/2013 |
SR-NASDAQ-2013-049
Notice & Approval
|
A proposed rule change to modify Chapter XV, Section 2, entitled "NASDAQ Options Market - Fees and
Rebates," which governs pricing for NASDAQ members using the NASDAQ Options Market ("NOM"), NASDAQ's
facility for executing and routing standardized equity |
Approved |
Yes |
4/22/2013 |
4/1/2013 |
SR-NASDAQ-2013-048
Notice
Approval
|
PILOT: Options Errors in Limit Up Limit Down. A proposal to address obvious and
catastrophic options errors in response to the Regulation NMS Plan to Address Extraordinary Market
Volatility. |
Approved |
Yes |
4/10/2013 |
3/20/2013 |
SR-NASDAQ-2013-047
Notice & Approval
|
A proposal to amend the rules of the NASDAQ Options Market ("NOM") in Chapter IV (Securities Traded
on NOM), Supplementary Material .08 to Section 6 (Series of Options Contracts Open for Trading), and
Chapter VI (Trading Systems), Section 5 (Minimum Incre |
Approved |
Yes |
4/15/2013 |
3/25/2013 |
SR-NASDAQ-2013-046
Notice & Approval
|
A proposal to eliminate position limits for options on the SPDR® S&P 500®
exchange-traded fund ("SPY ETF"), which list and trade under the symbol SPY. |
Approved |
Yes |
4/15/2013 |
3/25/2013 |
SR-NASDAQ-2013-045
Notice & Approval
|
Proposes to amend Exchange Rule 4120 to establish rules to comply with the requirements of the Plan
to Address Extraordinary Market Volatility submitted to the Commission pursuant to Rule 608 of
Regulation NMS. |
Approved |
Yes |
4/18/2013 |
3/28/2013 |
SR-NASDAQ-2013-043
Notice
Approval
|
PILOT: Options Market-Making Quoting Obligations in LULD. A proposal to address
options market maker quoting obligations during limit up-down situations. |
Approved |
Yes |
4/3/2013 |
3/13/2013 |
SR-NASDAQ-2013-042
Notice & Approval
|
Proposed changes to its schedule of fees and rebates for execution of orders for securities priced
at $1 or more under Rule 7018, as well as a minor change to its Routable Order Program under Rule
7014. |
Approved |
Yes |
4/10/2013 |
3/20/2013 |
SR-NASDAQ-2013-041
Notice & Approval
|
NOM proposes to amend certain Penny Pilot Options Rebates to Add Liquidity and
certain Non-Penny Pilot Options Fees for Adding and Removing Liquidity. |
Approved |
Yes |
4/9/2013 |
3/19/2013 |
SR-NASDAQ-2013-040
Notice & Approval
|
PILOT: Limit Up-Limit Down in Options. A proposal for the NASDAQ Options Market ("NOM") to amend
Chapter V, Regulation of Trading on NOM, to adopt paragraph(d) to provide for how NOM proposes to
treat orders in response to the Regulation NMS Plan to Addre |
Approved |
Yes |
4/8/2013 |
3/18/2013 |
SR-NASDAQ-2013-039
Notice & Approval
|
A proposal to amend NOM Chapter V, Regulation of Trading on NOM, Section 6,
Obvious Errors, to replace the current mid-point test applied to the definition of Theoretical
Price. |
Approved |
Yes |
4/3/2013 |
3/13/2013 |
SR-NASDAQ-2013-038
Notice & Approval
|
A proposal to establish fees for routing orders using two new order routing strategies, QDRK and
QCST. |
Approved |
Yes |
4/3/2013 |
3/13/2013 |
SR-NASDAQ-2013-037
Notice & Approval
|
A rule change to clarify the maximum time afforded to a market maker in which to
rejoin the market after an excused withdrawal under Rule 4619. |
Approved |
Yes |
4/5/2013 |
3/15/2013 |
SR-NASDAQ-2013-036
Amendment 1
Withdrawal
Amendment 2
Notice
Approval
|
A proposed rule change to list and trade shares of the First Trust Senior Loan Fund of First Trust
Exchange-Traded Fund IV under Nasdaq Rule 5735 ("Managed Fund Shares"). |
Approved |
Yes |
4/3/2013 |
3/13/2013 |
SR-NASDAQ-2013-035
Notice & Approval
|
A proposed rule change to establish fees for the Limit Locator service under Rule
7061. |
Approved |
Yes |
3/29/2013 |
3/8/2013 |
SR-NASDAQ-2013-034
Notice & Approval
|
A proposed rule change to clarify the billing of port fees. |
Approved |
Yes |
3/28/2013 |
3/7/2013 |
SR-NASDAQ-2013-033
Resubmission
Notice & Approval
|
A proposed rule change to extend the pre-market hours of the Exchange to 4:00 a.m.
EST, from the current opening time of 7:00 a.m. EST. |
Approved |
Yes |
4/11/2013 |
3/21/2013 |
SR-NASDAQ-2013-031
Notice
SEC
Extension
Approval
|
A proposal to amend the attestation requirement of Nasdaq Rule 4780 to allow a Retail Member
Organization ("RMO") to attest that "substantially all" orders submitted to the Retail Price
Improvement Program (the "Program") will qualify as "Retail Orders." |
Approved |
Yes |
4/1/2013 |
3/11/2013 |
SR-NASDAQ-2013-029
Notice & Approval
|
A proposal to amend the Routing Fees at Chapter XV, Section 2 in order to recoup
costs that the Exchange incurs for routing and executing orders in equity options to the C2 Options
Exchange. |
Approved |
Yes |
3/22/2013 |
3/1/2013 |
SR-NASDAQ-2013-028
Notice
Approval
|
A proposed rule change for the permanent approval of the Exchange's pilot program to permit inbound
orders routed by NES from the BX Equities Market and PSX. |
Approved |
Yes |
3/7/2013 |
2/14/2013 |
SR-NASDAQ-2013-027
Resubmission
Notice & Approval
|
A proposal to add references to certain terms in Chapter XV, entitled "Options
Pricing," which governs pricing for NASDAQ members using the NASDAQ Options Market ("NOM"), NASDAQ's
facility for executing and routing standardized equity and index options. |
Approved |
Yes |
3/8/2013 |
2/15/2013 |
SR-NASDAQ-2013-026
Notice & Approval
|
A proposal to extend the trading pause pilot in certain individual NMS stocks |
Approved |
Yes |
3/13/2013 |
2/20/2013 |
SR-NASDAQ-2013-025
Notice & Approval
|
A proposal to modify Chapter XV, entitled "Options Pricing," at Section 2
governing pricing for NASDAQ members using the NASDAQ Options Market ("NOM"), NASDAQ's facility for
executing and routing standardized equity and index options. Specifically, NOM p |
Approved |
Yes |
3/12/2013 |
2/19/2013 |
SR-NASDAQ-2013-024
Notice & Approval
|
A rule change to clarify the measure used to determine whether the price of a stock is equal to or
greater than $1 dollar under Rule 4120(a)(11). |
Approved |
Yes |
3/12/2013 |
2/19/2013 |
SR-NASDAQ-2013-023
Notice & Approval
|
Proposed changes (i) to modify the recently introduced Qualified Market Maker
("QMM") pilot program to increase the incentives for participation provided thereunder; (ii) to
replace the Extended Hours Investor Program ("EHIP") with a similar financial inc |
Approved |
Yes |
3/12/2013 |
2/19/2013 |
SR-NASDAQ-2013-022
Notice & Approval
|
A Proposed Rule Change to extend a pilot program related to Rule 11890, entitled "Clearly Erroneous
Transactions". |
Approved |
Yes |
3/1/2013 |
2/8/2013 |
SR-NASDAQ-2013-021
Notice & Approval
|
A proposal to delay the operative date of the Extraordinary Market Volatility
Trading Halt Pilot from February 4, 2013 to April 8, 2013. |
Approved |
Yes |
2/27/2013 |
2/6/2013 |
SR-NASDAQ-2013-020
Notice & Approval
|
A proposed rule change to establish the Limit Locator service offered at no cost to subscribing
members. |
Approved |
Yes |
3/5/2013 |
2/12/2013 |
SR-NASDAQ-2013-017
Notice & Approval
|
A proposed rule change to restore certain requirements that were inadvertently
deleted when Rule 5815 was adopted in March 2009 and remove fees that have expired from the rules.
|
Approved |
Yes |
3/5/2013 |
2/12/2013 |
SR-NASDAQ-2013-016
Resubmission
Notice & Approval
|
A proposed rule change to amend Rule 7014(g). The proposed rule change addresses a circumstance in
which a member seeking to be
designated as a QMM terminates the use of one MPID and simultaneously commences
use of another MPID during the course of a mo |
Approved |
Yes |
3/5/2013 |
2/12/2013 |
SR-NASDAQ-2013-015
Notice & Approval
|
A proposal to correct an erroneous deletion from NASDAQ Rule 4120(c)(7)(B) related
to the randomization period conducted prior to the IPO Cross under NASDAQ Rule 4753. |
Approved |
Yes |
2/28/2013 |
2/7/2013 |
SR-NASDAQ-2013-014
Notice & Approval
|
A proposed rule change to add routing functionality to the NASDAQ System. |
Approved |
Yes |
3/5/2013 |
2/12/2013 |
SR-NASDAQ-2013-013
Notice & Approval
|
NOM proposes to amend its pricing by limiting the transactions to which the
"Customer" fees apply, adding a new "Broker-Dealer" fee category that will apply to certain
transactions to which "Customer" fees currently apply, and to delete outdated reference |
Approved |
Yes |
2/26/2013 |
2/5/2013 |
SR-NASDAQ-2013-012
Notice & Approval
|
A proposed rule change to amend NASDAQ Rule 4756 and Rule 4763 to stipulate how Participants in the
NASDAQ Market Center System may modify previously entered orders and to describe how modified orders
are processed. |
Approved |
Yes |
2/25/2013 |
2/4/2013 |
SR-NASDAQ-2013-011
Notice & Approval
|
A proposal to list and trade option contracts overlying 10 shares of a security
("Mini Options") applicable to NASDAQ members using the NASDAQ Options Market ("NOM"), NASDAQ's
facility for executing and routing standardized equity and index options. |
Approved |
Yes |
2/20/2013 |
1/30/2013 |
SR-NASDAQ-2013-010
Resubmission
Notice & Approval
|
A proposal to amend Routing Fees. |
Approved |
Yes |
2/20/2013 |
1/30/2013 |
SR-NASDAQ-2013-009
Notice & Approval
|
A proposal to separate out and re-categorize certain Historical Research and
Administrative Reports into their own subsection under NASDAQ Rule 7022, as well as to modify the
fees for such reports. The proposed rule change also deletes references to a pa |
Approved |
Yes |
2/7/2013 |
1/17/2013 |
SR-NASDAQ-2013-008
Notice & Approval
|
A proposal to amend Rule 5710 so that the Exchange may list Linked Securities that provide for three
times accelerated payment at maturity. |
Approved |
Yes |
2/20/2013 |
1/30/2013 |
SR-NASDAQ-2013-007
Notice & Approval
|
A proposed rule change to extend the operative date of recent changes made to
Rules 4613 and Rule 4751 to February 25, 2013 |
Approved |
Yes |
2/12/2013 |
1/22/2013 |
SR-NASDAQ-2013-005
Notice & Approval
|
A proposed rule change to establish the Latency Optics add-on service to QView offered at no cost to
subscribing members. |
Approved |
Yes |
2/6/2013 |
1/16/2013 |
SR-NASDAQ-2013-004
Notice & Approval
|
A proposed rule change to modify the fees applicable to companies seeking review
of a delisting determination. |
Approved |
Yes |
2/13/2013 |
1/23/2013 |
SR-NASDAQ-2013-003
Notice & Approval
|
A proposed rule change to modify the record-keeping and substitution listing fees payable by
companies listed on Nasdaq. |
Approved |
Yes |
2/13/2013 |
1/23/2013 |
SR-NASDAQ-2013-002
Notice & Approval
|
A proposal to reduce the fees assessed under NASDAQ Rule 7034 for certain
co-location services. Operative on January 2, 2013. |
Approved |
Yes |
2/7/2013 |
1/17/2013 |
SR-NASDAQ-2013-001
Notice & Approval
|
A proposal to modify Chapter XV, Section 2, entitled "NASDAQ Options Market - Fees and Rebates" to
amend various fees for routing options to away markets governing pricing for NASDAQ members using
the NASDAQ Options Market ("NOM"), NASDAQ's facility for e |
Approved |
Yes |
2/5/2013 |
1/15/2013 |
| Rule Filing |
Description |
Status |
Noticed by the SEC for Comment |
Expiration of the SEC Comment Period |
Federal Register Notice Date |
SR-NASDAQ-2012-149
Notice & Approval
|
Proposed changes (i) to amend NASDAQ's schedule of execution rebates under Rule 7018(a), and (ii) to
modify the Investor Support Program (the "ISP") under Rule 7014. |
Approved |
Yes |
2/7/2013 |
1/17/2013 |
SR-NASDAQ-2012-147
Notice
Amendment 1
Approval
|
A proposed rule change to list and trade the shares of the First Trust High Yield
Long/Short ETF (the "Fund") of First Trust Exchange-Traded Fund IV (the "Trust") under Nasdaq Rule
5735 ("Managed Fund Shares"). |
Approved |
Yes |
1/31/2013 |
1/10/2013 |
SR-NASDAQ-2012-145
Notice & Approval
|
A proposal to extend for three months the fee pilot pursuant to which NASDAQ distributes the NASDAQ
Last Sale market data products. |
Approved |
Yes |
1/30/2013 |
1/9/2013 |
SR-NASDAQ-2012-143
Notice & Approval
Correction
|
A proposal to amend Chapter VI, Section 5 (Minimum Increments) of the rules of the
NASDAQ Options Market ("NOM") to: extend through June 30, 2013, the Penny Pilot Program in options
classes in certain issues ("Penny Pilot" or "Pilot"), and to change the d |
Approved |
Yes |
1/23/2013 |
1/2/2013 |
SR-NASDAQ-2012-142
Notice
Approval
|
A proposed rule change with respect to the amendment of the by-laws of its parent corporation, The
NASDAQ OMX Group, Inc. |
Approved |
Yes |
1/22/2013 |
12/31/2012 |
SR-NASDAQ-2012-141
Resubmission
Notice & Approval
|
A proposal to modify Chapter XV, entitled "Options Pricing," at Section 2
governing pricing for NASDAQ members using the NASDAQ Options Market ("NOM"), NASDAQ's facility for
executing and routing standardized equity and index options. Specifically, NOM p |
Approved |
Yes |
2/5/2013 |
1/16/2013 |
SR-NASDAQ-2012-140
Notice & Approval
|
a proposed rule change to retire the automated quote management functionality described under NASDAQ
Rules 4613(a)(2)(F) and (G) on January 16, 2013 and make conforming changes to Rule 4751(f)(15).
|
Approved |
Yes |
1/22/2013 |
12/31/2012 |
SR-NASDAQ-2012-139
Notice & Approval
|
A proposal to modify Chapter XV, entitled "Options Pricing," at Section 2
governing pricing for NASDAQ members using the NASDAQ Options Market ("NOM"), NASDAQ's facility for
executing and routing standardized equity and index options. Specifically, NOM p |
Approved |
Yes |
1/18/2013 |
12/28/2012 |
SR-NASDAQ-2012-137
Amendment 1
Notice
Amendment 2
Amendment Withdrawal
Amendment 3
SEC
Extension
Approval
SEC
Order
|
A proposed rule change to add new Rule 5950 (Market Quality Program) to enable market makers that
voluntarily commit to and do in fact enhance the market quality (quoted spread and liquidity) of
certain securities listed on the Exchange to qualify for a f |
Approved |
Yes |
1/21/2013 |
12/31/2012 |
SR-NASDAQ-2012-136
Notice & Approval
|
A proposed rule change to modify Chapter XV, entitled "Options Pricing," at
Section 2 governing pricing for NASDAQ members using the NASDAQ Options Market, NASDAQ's facility
for executing and routing standardized equity and index options. |
Approved |
Yes |
1/7/2013 |
12/17/2012 |
SR-NASDAQ-2012-135
Notice & Approval
|
Proposed changes to NASDAQ's fees for order execution. |
Approved |
Yes |
1/9/2013 |
12/19/2012 |
SR-NASDAQ-2012-134
Notice & Approval
|
A proposal for the NASDAQ Options Market with respect to the authority of the
Exchange or Nasdaq Options Services LLC to cancel options orders when a technical or system issue
occurs and to describe the operation of an error account for NOS. |
Approved |
Yes |
1/4/2013 |
12/14/2012 |
SR-NASDAQ-2012-133
Resubmission 1
Resubmission 2
Notice & Approval
|
A proposal to modify the NASDAQ Level 2 Professional Subscriber fee, as well as to make certain
clarifications to NASDAQ Rule 7023(b)(1). NASDAQ will implement the proposed revised fee on January
1, 2013. |
Approved |
Yes |
1/18/2013 |
12/28/2012 |
SR-NASDAQ-2012-131
Notice & Approval
|
A proposed rule change to modify the listing requirements for other securities,
listed under Rule 5730. |
Approved |
Yes |
12/21/2012 |
11/30/2012 |
SR-NASDAQ-2012-130
Notice & Approval
|
A proposed rule change to establish the Equity Trade Journal for Clearing Firms service under Rule
7060, and assess a related fee. |
Approved |
Yes |
12/14/2012 |
11/23/2012 |
SR-NASDAQ-2012-129
Notice
SEC
Extension
Amendment 1
Approval
SEC
Order 1
SEC Order 2
|
A proposed rule change that would adopt new Nasdaq Rule 4780 to establish a Retail
Price Improvement ("RPI") Program (the "Program" or "proposed rule change") to attract additional
retail order flow to the Exchange while also providing the potential for p |
Approved |
Yes |
12/28/2012 |
12/7/2012 |
SR-NASDAQ-2012-128
Notice & Approval
|
A proposed rule change to expand the exemption to the Direct Registration Program requirement so
that it applies to all foreign issuers rather than just to foreign private issuers. |
Approved |
Yes |
12/12/2012 |
11/21/2012 |
SR-NASDAQ-2012-127
Notice & Approval
|
A proposal to modify Chapter XV, entitled "Options Pricing," at Section 2
governing pricing for NASDAQ members using NOM". Specifically, NOM proposes to amend the Non-Penny
Pilot Options Fees for Removing Liquidity and the Customer Rebate to Add Liquidit |
Approved |
Yes |
12/11/2012 |
11/20/2012 |
SR-NASDAQ-2012-126
Notice & Approval
|
Proposed changes to modify NASDAQ's rebates for order execution and its fees for order entry ports
through the introduction of new market quality incentive programs on a pilot basis. |
Approved |
Yes |
12/10/2012 |
11/19/2012 |
SR-NASDAQ-2012-125
Notice & Approval
|
A proposal to modify pricing to recoup costs that the Exchange incurs for routing
and executing certain orders in equity options to ISE. The Exchange has designated the proposed
amendment to be operative on November 1, 2012. |
Approved |
Yes |
12/7/2012 |
11/16/2012 |
SR-NASDAQ-2012-124
Amendment 1
Notice & Approval
|
A proposed rule change to amend several NASDAQ rules to reflect changes to rules of the Financial
Industry Regulatory Authority |
Approved |
Yes |
11/30/2012 |
11/9/2012 |
SR-NASDAQ-2012-123
Notice & Approval
|
A proposed rule change to amend and adopt several NASDAQ rules to reflect changes
to rules of the Financial Industry Regulatory Authority |
Approved |
Yes |
11/27/2012 |
11/6/2012 |
SR-NASDAQ-2012-122
Resubmission 1
Resubmission 2
Notice & Approval
|
A proposed rule change to amend and adopt several NASDAQ rules to reflect changes to rules of the
Financial Industry Regulatory Authority |
Approved |
Yes |
1/4/2013 |
12/14/2012 |
SR-NASDAQ-2012-121
Notice & Approval
|
Relating to position limits. A proposed rule change to amend NASDAQ Options Market
LLC ("NOM") Rules at Chapter XIV, Sections 5 (Position Limits for Broad-Based Index Options) and 7
(Position Limits for Industry and Micro-Narrow Based Index Options) to a |
Approved |
Yes |
11/27/2012 |
11/6/2012 |
SR-NASDAQ-2012-120
Notice & Approval
|
A proposed rule change to modify the annual fees for companies listed on the Nasdaq Capital Market.
|
Approved |
Yes |
11/28/2012 |
11/7/2012 |
SR-NASDAQ-2012-119
Notice
SEC
Extension
Approval
|
A proposed rule change to establish fees for new optional means for clients to
receive third party market data and NASDAQ TotalView ITCH market data. Specifically, NASDAQ proposes
to offer wireless connectivity for co-located clients in NASDAQ's Carteret |
Approved |
Yes |
11/19/2012 |
10/29/2012 |
SR-NASDAQ-2012-118
Notice
Approval
|
A proposed rule change to modify certain disclosure requirements surrounding a company's
non-compliance with the listing rules. |
Approved |
Yes |
11/9/2012 |
10/19/2012 |
SR-NASDAQ-2012-115
Notice & Approval
|
Proposed changes to amend NASDAQ's fee schedule governing order routing. |
Approved |
Yes |
11/8/2012 |
10/18/2012 |
SR-NASDAQ-2012-114
Notice & Approval
|
A proposal to amend the Non-Penny Pilot Options and Penny Pilot Options pricing. |
Approved |
Yes |
11/6/2012 |
10/16/2012 |
SR-NASDAQ-2012-112
Notice & Approval
|
Six month extension of pilot program (expiring October 6) to receive inbound
equities orders from BX and PSX, through NES. |
Approved |
Yes |
11/2/2012 |
10/12/2012 |
SR-NASDAQ-2012-111
Notice & Approval
|
A proposed rule change to provide for automatic cancellation of Midpoint Peg Post-Only Orders at
market close. |
Approved |
Yes |
11/6/2012 |
10/16/2012 |
SR-NASDAQ-2012-110
Notice & Approval
|
A proposed rule change to establish a new service, the ACT Reject Scan, and assess
a related fee. |
Approved |
Yes |
11/2/2012 |
10/12/2012 |
SR-NASDAQ-2012-109
Notice
SEC
Extension
Amendment 1
Amendment 2
Approval
|
A proposed rule change to modify the listing rules for compensation committees to comply with Rule
10C-1 under the Exchange Act and make other related changes. |
Approved |
Yes |
11/5/2012 |
10/15/2012 |
SR-NASDAQ-2012-108
Notice & Approval
|
A proposal to extend for three months the fee pilot pursuant to which NASDAQ
distributes the NASDAQ Last Sale ("NLS") market data products. |
Approved |
Yes |
11/1/2012 |
10/11/2012 |
SR-NASDAQ-2012-107
Resubmission
Notice & Approval
|
A proposed rule change to modify fees assessed under Rule 7003(a) relating to the Central
Registration Depository ("CRD system"), which are collected by FINRA. |
Approved |
Yes |
11/2/2012 |
10/12/2012 |
SR-NASDAQ-2012-106
Notice & Approval
|
A proposal to offer members the ability to pay a regulatory fine pursuant to an
installment plan, under certain conditions. |
Approved |
Yes |
10/18/2012 |
9/27/2012 |
SR-NASDAQ-2012-105
Notice & Approval
|
A proposed rule change to delete NASDAQ Rule 7032. |
Approved |
Yes |
10/10/2012 |
9/19/2012 |
SR-NASDAQ-2012-104
Notice & Approval
|
A proposal to modify the five tier structure for paying Customer Rebates to Add
Liquidity in Penny Pilot Options and to make minor technical amendments to the Pricing Schedule.
|
Approved |
Yes |
10/9/2012 |
9/18/2012 |
SR-NASDAQ-2012-103
Notice & Approval
|
Proposed changes (i) to modify the Investor Support Program (the "ISP") under Rule 7014, and (ii) to
amend NASDAQ's schedule of execution fees and rebates under Rule 7018(a). |
Approved |
Yes |
10/10/2012 |
9/19/2012 |
SR-NASDAQ-2012-102
Notice & Approval
|
A proposal to amend Chapter XV, Section 2 to adopt rebates and fees relating to
FB, GOOG and GRPN options. |
Approved |
Yes |
10/9/2012 |
9/18/2012 |
SR-NASDAQ-2012-100
Notice & Approval
|
A proposed rule change to Rule 5210©, relating to Direct Registration Programs. |
Approved |
Yes |
9/25/2012 |
9/4/2012 |
SR-NASDAQ-2012-098
Notice
Approval
|
A proposed rule change to list and trade the shares of the WisdomTree Global
Corporate Bond Fund (the "Fund") of the WisdomTree Trust (the "Trust") under Nasdaq Rule 5735
("Managed Fund Shares"). |
Approved |
Yes |
9/26/2012 |
9/5/2012 |
SR-NASDAQ-2012-097
Resubmission
Notice & Approval
|
A proposed rule change to amend NASDAQ Rule 1013, titled "New Member Application" to provide that an
applicant that is approved by NASDAQ OMX BX, Inc. ("BX") shall have the option to apply to become a
NASDAQ member through an expedited process. |
Approved |
Yes |
9/19/2012 |
8/29/2012 |
SR-NASDAQ-2012-095
Notice & Approval
|
A proposed rule change to modify Chapter VII, Section 6 (Market Maker Quotations)
of the NASDAQ Options Market, LLC ("NOM"), to eliminate market maker pre-opening obligations on NOM.
The Exchange also proposes to modify Chapter VII, Section 5 (Obligation |
Approved |
Yes |
9/19/2012 |
8/29/2012 |
SR-NASDAQ-2012-094
Notice & Approval
|
A proposal to remove the expired pilot under Rule 4753(c) (the "Volatility Guard") from the
Exchange's rule book. |
Approved |
Yes |
9/12/2012 |
8/22/2012 |
SR-NASDAQ-2012-093
Notice & Approval
|
A proposed rule change to modify NASDAQ's fee schedule governing order routing.
|
Approved |
Yes |
8/31/2012 |
8/10/2012 |
SR-NASDAQ-2012-092
Notice & Approval
|
A proposed rule change to amend the rules of The NASDAQ Options Market LLC ("NOM") at Sections 2, 3,
5, 10, 11 and 13 of Chapter XIV, entitled "Index Rules" to list and trade options on the MSCI EM
Index based upon the Full Value MSCI Emerging Markets ("E |
Approved |
Yes |
8/29/2012 |
8/8/2012 |
SR-NASDAQ-2012-091
Notice & Approval
|
A proposal to extend the pilot period of amendments to Rule 11890, governing
clearly erroneous executions, so that the pilot will now expire on February 4, 2013. |
Approved |
Yes |
8/24/2012 |
8/3/2012 |
SR-NASDAQ-2012-090
Notice
SEC
Extension 1
OIP
SEC
Extension 2
Approval
|
A proposed rule change to amend Rule 4626. FACEBOOK ACCOMMODATION POLICY. |
Approved |
Yes |
8/22/2012 |
8/1/2012 |
SR-NASDAQ-2012-089
Notice & Approval
|
A proposal for the NASDAQ Options Market ("NOM") to add an additional feature to
the Post-Only Order type. |
Approved |
Yes |
8/23/2012 |
8/2/2012 |
SR-NASDAQ-2012-088
Notice & Approval
|
A proposed rule change to modify the port fees charged to members and non-members for ports used to
enter orders into Nasdaq systems, in connection with the use of other trading telecommunication
protocols |
Approved |
Yes |
8/24/2012 |
8/3/2012 |
SR-NASDAQ-2012-087
Notice & Approval
|
a proposal to extend the trading pause pilot in certain individual NMS stocks when
the price moves ten percent or more in the preceding five minute period, so that the pilot will now
expire on February 4, 2013. |
Approved |
Yes |
8/24/2012 |
8/3/2012 |
SR-NASDAQ-2012-086
Resubmission 1
Resubmission 2
Notice & Approval
|
A proposed rule change to modify Chapter XV, Sec. 3 entitled "NASDAQ Options Market - Access
Services," related to fees assessed by NASDAQ for connectivity to the NASDAQ Options Market ("NOM"),
NASDAQ's facility for executing and routing standardized equi |
Approved |
Yes |
8/22/2012 |
8/1/2012 |
SR-NASDAQ-2012-084
Notice & Approval
|
A proposed rule change to modify how the processing of a Price to Comply Order
under Rule 4751(f)(7) operates based on the method of entry. The Exchange will provide public notice
five business days prior to the implementation date of the change, and suc |
Approved |
Yes |
8/7/2012 |
7/17/2012 |
SR-NASDAQ-2012-083
Notice & Approval
|
A proposed rule change to modify Chapter XV, entitled "Option Pricing," at Section 2 governing
pricing for NASDAQ members using the NASDAQ Options Market ("NOM"), NASDAQ's facility for executing
and routing standardized equity and index options. Specific |
Approved |
Yes |
8/7/2012 |
7/17/2012 |
SR-NASDAQ-2012-081
Notice & Approval
|
A proposed rule change to delay the implementation date for its rule change that
provides for non-display of Primary Pegged Orders with an offset amount. |
Approved |
Yes |
8/6/2012 |
7/16/2012 |
SR-NASDAQ-2012-080
Notice & Approval
|
A proposed rule change to modify Chapter XV, Section 2, governing pricing for NASDAQ members using
the NASDAQ Options Market ("NOM"), NASDAQ's facility for executing and routing standardized equity
and index options. |
Approved |
Yes |
8/7/2012 |
7/17/2012 |
SR-NASDAQ-2012-079
Notice & Approval
|
A proposed rule change to modify NASDAQ's fee schedule governing order routing.
|
Approved |
Yes |
8/1/2012 |
7/11/2012 |
SR-NASDAQ-2012-078
Notice & Approval
|
A proposal to extend for three months the fee pilot pursuant to which NASDAQ distributes the NASDAQ
Last Sale market data products. |
Approved |
Yes |
8/3/2012 |
7/13/2012 |
SR-NASDAQ-2012-077
Notice & Approval
|
A proposal to amend the following provisions: Chapter I, Section 3 to add
additional exchanges to the list of those rules incorporated by reference; Chapter V, Section 3 to
provide that market maker interest is cancelled during a halt; Chapter VI, Section |
Approved |
Yes |
7/26/2012 |
7/5/2012 |
SR-NASDAQ-2012-075
Notice & Approval
|
A proposal to extend through December 31, 2012, the Penny Pilot Program in options classes in
certain issues and provide for or allow replacement of any Penny Pilot issues that have been
delisted. |
Approved |
Yes |
7/27/2012 |
7/6/2012 |
SR-NASDAQ-2012-074
Notice & Approval
|
A proposed rule change to terminate a revenue sharing program with Correlix, Inc.
("Correlix"), and delete the associated fees set forth in NASDAQ Rule 7034(e). |
Approved |
Yes |
7/24/2012 |
7/3/2012 |
SR-NASDAQ-2012-073
Notice & Approval
|
A proposed rule change to modify its Excess Order Fee. |
Approved |
Yes |
7/26/2012 |
7/5/2012 |
SR-NASDAQ-2012-072
Notice
Extension
Approval
|
A proposed rule change with respect to the amendment of the by-laws of its parent
corporation, The NASDAQ OMX Group, Inc. |
Approved |
Yes |
7/26/2012 |
7/5/2012 |
SR-NASDAQ-2012-071
Notice
Approval
|
A proposal to amend Rule 4758(a)(1)(A) to reflect a change in NASDAQ's routing functionality. |
Approved |
Yes |
7/20/2012 |
6/29/2012 |
SR-NASDAQ-2012-069
Notice & Approval
|
A proposal to modify the optional monthly Enterprise License fee for
Non-Professional Subscribers of certain NASDAQ Depth-of-Book market data. NASDAQ will implement the
proposed revised fee on July 1, 2012. |
Approved |
Yes |
7/20/2012 |
6/29/2012 |
SR-NASDAQ-2012-068
Notice & Approval
|
A proposed rule change to modify pricing for NASDAQ members using the NASDAQ Options Market ("NOM"),
NASDAQ's facility for executing and routing standardized equity and index options. Specifically,
NASDAQ proposes to amend Chapter XV, Section 2 entitled |
Approved |
Yes |
7/5/2012 |
6/14/2012 |
SR-NASDAQ-2012-067
Notice & Approval
|
A proposal to update the NOM Message Traffic Mitigation rule. |
Approved |
Yes |
7/2/2012 |
6/11/2012 |
SR-NASDAQ-2012-066
Resubmission
Notice
Amendment 1
Approval
|
A proposed rule change to adopt a new Market Maker Peg Order to provide similar functionality as the
automated functionality provided to market makers under Rules 4613a2F and G. |
Approved |
Yes |
7/11/2012 |
6/18/2012 |
SR-NASDAQ-2012-065
Notice & Approval
|
A proposal for the NASDAQ Options Market ("NOM" or "Exchange") to amend Chapter
XIV (Index Rules), Sections 7 (Position Limits for Industry and Micro Narrow-Based Index Options)
and 11 (Terms of Index Options Contracts) to copy into NOM rules the establis |
Approved |
Yes |
6/29/2012 |
6/8/2012 |
SR-NASDAQ-2012-064
Notice & Approval
|
A proposed rule change to delay the implementation date for its Excess Order Fee. |
Approved |
Yes |
6/26/2012 |
6/5/2012 |
SR-NASDAQ-2012-063
Resubmission
Notice & Approval
|
A proposed rule change to establish fees for a new optional delivery mechanism for
Nasdaq Depth data (defined below). Specifically, Nasdaq proposes to establish Distributor and
Administration fees for a hardware-based version of Nasdaq TotalView-ITCH dat |
Approved |
Yes |
7/26/2012 |
7/5/2012 |
SR-NASDAQ-2012-062
Notice
Approval
|
A proposed rule change to modify the exception that allows a non-independent director to serve on a
listed company's audit committee, compensation committee or nominations committee under exceptional
and limited circumstances. |
Approved |
Yes |
6/26/2012 |
6/5/2012 |
SR-NASDAQ-2012-061
Notice
Approval
|
A proposal for the NASDAQ Options Market ("NOM") to accept inbound orders routed
by NASDAQ Options Services LLC ("NOS") from NASDAQ OMX BX's new options market (with the attendant
obligations and conditions), as described further below, on a one year pilo |
Approved |
Yes |
6/14/2012 |
5/24/2012 |
SR-NASDAQ-2012-060
Notice & Approval
|
A proposed rule change to clarify how the processing of a Price to Comply Order under Rule
4751(f)(7) operates based on the method of entry. |
Approved |
Yes |
6/14/2012 |
5/24/2012 |
SR-NASDAQ-2012-059
Notice
SEC
Extension 1
OIP
SEC
Extension 2
Disapproval
|
A proposed rule change to establish various "Benchmark Orders" under NASDAQ Rule
4751(f). |
Disapproved |
Yes |
6/7/2012 |
5/17/2012 |
SR-NASDAQ-2012-058
Resubmission
Notice
Approval
|
Alpha Index-Linked Securities |
Approved |
Yes |
7/18/2012 |
6/27/2012 |
SR-NASDAQ-2012-057
Notice
Approval
|
A proposed rule change with respect to the authority of the Exchange or NASDAQ
Execution Services to cancel orders when a technical or system issue occurs and to describe the
operation of an error account for NES. |
Approved |
Yes |
6/6/2012 |
5/16/2012 |
SR-NASDAQ-2012-056
Notice & Approval
|
NASDAQ is proposing to eliminate its long-standing trade reporting fee found in Rule 7018(h) and
institute an increase in its monthly trading rights fee under Rule 7001. |
Approved |
Yes |
5/29/2012 |
5/8/2012 |
SR-NASDAQ-2012-055
Notice & Approval
|
A proposed rule change to institute an Excess Order Fee |
Approved |
Yes |
6/5/2012 |
5/15/2012 |
SR-NASDAQ-2012-054
Notice & Approval
|
A proposed rule change to modify the NASDAQ co-location super high-density cabinet monthly fee.
NASDAQ will implement the proposed change on May 1, 2012. |
Approved |
Yes |
6/4/2012 |
5/14/2012 |
SR-NASDAQ-2012-053
Notice & Approval
|
Proposed changes to modify the Investor Support Program (the "ISP") under Rule
7014, and to amend NASDAQ's schedule of execution and routing fees and rebates under Rule 7018 a and
b. |
Approved |
Yes |
5/30/2012 |
5/9/2012 |
SR-NASDAQ-2012-052
Notice & Approval
|
A proposed rule change to modify Chapter XV, Options Pricing, Section 3, as well as to add an
account fee ("Account Fee") via Section 9, of the Options Rules portion of the NASDAQ Rulebook
governing pricing for NASDAQ members using The NASDAQ Options Mark |
Approved |
Yes |
5/18/2012 |
4/27/2012 |
SR-NASDAQ-2012-050
Notice & Approval
|
BATS Routing Fees |
Approved |
Yes |
5/11/2012 |
4/20/2012 |
SR-NASDAQ-2012-049
Notice & Approval
|
A proposed rule change to amend the definition of Directed Orders in Rule 4751(f)(9). |
Approved |
Yes |
5/8/2012 |
4/17/2012 |
SR-NASDAQ-2012-048
Notice & Approval
|
A proposal to amend the Penny Pilot Options Customer Rebates to Add Liquidity and
Penny Options Customer Fee for Removing Liquidity. The Exchange also proposes to make other minor
amendments to the Section 2. |
Approved |
Yes |
5/3/2012 |
4/12/2012 |
SR-NASDAQ-2012-047
Notice & Approval
|
proposed changes (i) to modify the Investor Support Program and the Extended Hours Investor Program
under Rule 7014, and (ii) to amend NASDAQ's liquidity provider rebate schedule under Rule 7018. |
Approved |
Yes |
5/2/2012 |
4/11/2012 |
SR-NASDAQ-2012-046
Notice & Approval
|
proposed rule change to modify Chapter XV, Options Pricing, Section 2, of the
Options Rules portion of the NASDAQ Rulebook governing pricing for NASDAQ members using The NASDAQ
Options Market ("NOM"), NASDAQ's facility for executing and routing standardiz |
Approved |
Yes |
4/30/2012 |
4/9/2012 |
SR-NASDAQ-2012-045
Notice & Approval
|
A proposal to extend for three months the fee pilot pursuant to which NASDAQ distributes the NASDAQ
Last Sale ("NLS") market data products. |
Approved |
Yes |
4/26/2012 |
4/5/2012 |
SR-NASDAQ-2012-044
Resubmission
Notice & Approval
|
A proposal to modify the fees applicable to Non-Display Usage of certain NASDAQ
Depth-of-Book market data. Specifically, NASDAQ will establish a monthly Subscriber fee of $300 for
Non-Display Usage of Depth-of-Book data (as defined in NASDAQ Rule 7023(a) |
Approved |
Yes |
4/30/2012 |
4/9/2012 |
SR-NASDAQ-2012-042
Resubmission
Notice & Approval
|
A proposal to: (1) re-organize NASDAQ's rules governing the fees applicable to NASDAQ's
Depth-of-Book market data; and (2) establish an Enterprise License for Non-Professional Usage of
certain NASDAQ Depth-of-Book market data. |
Approved |
Yes |
5/1/2012 |
4/10/2012 |
SR-NASDAQ-2012-041
Notice & Approval
|
A proposed rule change to amend Rule 4751(f)(4) to provide that Primary Pegged
Orders with an offset amount will not be displayed. |
Approved |
Yes |
4/26/2012 |
4/5/2012 |
SR-NASDAQ-2012-040
Notice & Approval
|
A proposed rule change to modify NASDAQ's transaction execution fee and credit schedule in Rule
7018. |
Approved |
Yes |
5/1/2012 |
4/10/2012 |
SR-NASDAQ-2012-038
Notice & Approval
|
A proposed rule change to amend Rule 4120 to adopt a modification in the process
for initiating trading of a security that is the subject of an initial public offering (an "IPO") on
NASDAQ. |
Approved |
Yes |
4/19/2012 |
3/29/2012 |
SR-NASDAQ-2012-037
Resubmission
Notice & Approval
|
A proposed rule change to modify pricing for NASDAQ members using the NASDAQ Options Market ("NOM"),
NASDAQ's facility for executing and routing standardized equity and index options. Specifically,
NASDAQ proposes to adopt fees for newly listed indexes a |
Approved |
Yes |
4/30/2012 |
4/9/2012 |
SR-NASDAQ-2012-036
Notice & Approval
|
A proposed rule change to eliminate 100MB connectivity between the Exchange and
co-located servers, as well as associated fees, as set forth in NASDAQ Rule 7034(b). |
Approved |
Yes |
4/10/2012 |
3/20/2012 |
SR-NASDAQ-2012-035
Resubmission 1
Resubmission 2
Notice & Approval
|
A proposed rule change to assess a fee for subscription to the QView service. |
Approved |
Yes |
4/17/2012 |
3/27/2012 |
SR-NASDAQ-2012-033
Notice & Approval
|
A proposed rule change to modify pricing for NASDAQ members using the NASDAQ
Options Market ("NOM"), NASDAQ's facility for executing and routing standardized equity and index
options. Specifically, NASDAQ proposes to amend Section 2 of Chapter XV of NOM |
Approved |
Yes |
3/30/2012 |
3/9/2012 |
SR-NASDAQ-2012-032
Notice & Approval
|
Proposed changes to modify the Investor Support Program (the "ISP") under Rule 7014 to introduce an
additional method for members to earn an enhanced rebate under the ISP. |
Approved |
Yes |
4/4/2012 |
3/14/2012 |
SR-NASDAQ-2012-031
Notice & Approval
|
A proposed rule change to introduce the "Supplemental Order" for use on NASDAQ.
|
Approved |
Yes |
4/4/2012 |
3/14/2012 |
SR-NASDAQ-2012-028
Notice & Approval
|
A proposed rule change to modify NASDAQ connectivity options and fees. |
Approved |
Yes |
3/19/2012 |
2/27/2012 |
SR-NASDAQ-2012-027
Notice & Approval
|
A proposed rule change to modify Chapter XV, Section 2,governing pricing for
NASDAQ members using the NASDAQ Options Market ("NOM"), NASDAQ's facility for executing and routing
standardized equity and index options. While changes to the Fee Schedule purs |
Approved |
Yes |
3/15/2012 |
2/23/2012 |
SR-NASDAQ-2012-026
Notice & Approval
|
A proposed rule change to amend Chapter IV, Section 6 (Series of Options Open for Trading) to permit
the listing of strike prices in $0.50 intervals where the strike price is less than $75, and of
strike prices in $1.00 intervals where the strike price is |
Approved |
Yes |
3/19/2012 |
2/27/2012 |
SR-NASDAQ-2012-025
Resubmission 1
Resubmission 2
Notice & Approval
|
A proposed rule change to modify certain external and inter-cabinet connectivity
fees. |
Approved |
Yes |
3/20/2012 |
2/28/2012 |
SR-NASDAQ-2012-024
Notice & Approval
|
A proposed change to modify NASDAQ's Pre-Market Investor Program. |
Approved |
Yes |
3/7/2012 |
2/15/2012 |
SR-NASDAQ-2012-023
Notice & Approval
|
A proposal for the NASDAQ Options Market to change the date of implementation of
Post-Only Orders from February 2012 to March 2012. While the Exchange expects to implement the new
order type by March 5, 2012, this date is not certain and the Exchange wil |
Approved |
Yes |
3/5/2012 |
2/13/2012 |
SR-NASDAQ-2012-022
Notice & Approval
|
A proposal to modify the four tier structure for paying Customer Rebates to Add Liquidity in Penny
Pilot Options. |
Approved |
Yes |
3/6/2012 |
2/14/2012 |
SR-NASDAQ-2012-021
Notice & Approval
|
A proposal to amend NASDAQ Rule 3020 to reflect recent changes to a corresponding
FINRA rule. |
Approved |
Yes |
3/8/2012 |
2/16/2012 |
SR-NASDAQ-2012-020
Notice & Approval
|
A proposed rule change to modify NASDAQ's transaction execution fee and credit schedule in Rules
7014 and 7018. |
Approved |
Yes |
3/1/2012 |
2/9/2012 |
SR-NASDAQ-2012-019
Notice & Approval
|
A proposal to extend the operative period of the pilot under Rule 4753(c),
NASDAQ's "Volatility Guard," so that it will expire the earlier of July 31, 2012 or the date on
which a limit up/limit down system is adopted. |
Approved |
Yes |
2/24/2012 |
2/3/2012 |
SR-NASDAQ-2012-017
Notice & Approval
|
A proposed rule change to modify fees assessed under Rule 7015(e) - WebLink ACT Fees. |
Approved |
Yes |
2/28/2012 |
2/7/2012 |
SR-NASDAQ-2012-016
Notice & Approval
|
A proposal to modify fees assessed for subscription to Computer to Computer
Interface Stations. NASDAQ will implement the proposed change on February 1, 2012. |
Approved |
Yes |
2/27/2012 |
2/6/2012 |
SR-NASDAQ-2012-015
Notice & Approval
|
A proposal to amend Rule 4618 to clearly establish that use of the CDS/NSCC relationship is a
permissible method of clearing transactions executed on NASDAQ. |
Approved |
Yes |
2/29/2012 |
2/8/2012 |
SR-NASDAQ-2012-013
Resubmission
Notice
Amendment 1
Approval
|
A proposal to adopt listing rules applicable to Equity Index-Linked Securities,
Commodity-Linked Securities , Fixed Income Index-Linked Securities, Futures-Linked Securities,
Multifactor Index-Linked Securities, Index-Linked Exchangeable Notes; Equity Go |
Approved |
No |
|
|
SR-NASDAQ-2012-012
Notice & Approval
Amendment 1
|
A proposed rule change to modify the fee for a written interpretation of the Nasdaq listing rules.
|
Approved |
Yes |
2/22/2012 |
2/1/2012 |
SR-NASDAQ-2012-011
Notice & Approval
|
A proposal to extend the pilot period of amendments to NASDAQ Rule 11890,
governing clearly erroneous executions, so that the pilot will now expire on July 31, 2012. |
Approved |
Yes |
2/21/2012 |
1/30/2012 |
SR-NASDAQ-2012-010
Notice & Approval
|
A proposal to extend the trading pause pilot in certain individual NMS stocks when the price moves
ten percent or more in the preceding five minute period, so that the pilot will now expire on July
31, 2012. |
Approved |
Yes |
2/21/2012 |
1/30/2012 |
SR-NASDAQ-2012-009
Notice & Approval
|
A proposed rule change to amend Rules 4613(a)(2)(F) and (G) to reflect changes to
the Automated Quote Management service provided by those rules. |
Approved |
Yes |
2/10/2012 |
1/20/2012 |
SR-NASDAQ-2012-008
Notice & Approval
|
A proposed rule change to make clerical corrections to Rule 5730. |
Approved |
Yes |
2/21/2012 |
1/30/2012 |
SR-NASDAQ-2012-006
Notice & Approval
|
A proposed rule change to relocate certain rules in the NASDAQ Rulebook.
Specifically, the Exchange proposes to relocate the following Rules: (i) Rule7007, Collection of
Exchange Fees and Other Claims -NASDAQ Options Market; (ii) Rule 7046, Nasdaq Option |
Approved |
Yes |
2/10/2012 |
1/20/2012 |
SR-NASDAQ-2012-005
Notice & Approval
|
A proposed rule change to offer an optional tiered fee for enhanced displays (the "Enhanced Display
Solution Fee"). |
Approved |
Yes |
2/13/2012 |
1/23/2012 |
SR-NASDAQ-2012-004
Notice
Approval
|
A proposed rule change to list and trade the shares of the WisdomTree Emerging
Markets Corporate Bond Fund (the "Fund") of the WisdomTree Trust (the "Trust") under Nasdaq Rule
5735 ("Managed Fund Shares"). |
Approved |
Yes |
2/14/2012 |
1/24/2012 |
SR-NASDAQ-2012-003
Notice & Approval
|
A proposal to modify rebates and fees assessed for option orders entered into NOM. Specifically, the
Exchange is proposing to modify the six tier structure for paying Customer Rebates to Add Liquidity
in Penny Pilot Options. The Exchange proposes to red |
Approved |
Yes |
2/7/2012 |
1/17/2012 |
SR-NASDAQ-2012-002
Notice
SEC
Extension
Amendment 1
Approval
|
A proposed rule change to adopt an alternative to the $4 initial listing bid price
requirement for the Nasdaq Capital Market. |
Approved |
Yes |
|
1/20/2012 |
SR-NASDAQ-2012-001
Notice & Approval
|
A proposed to amend the Customer and Professional Routing Fees for orders routed to BATS. |
Approved |
Yes |
2/3/2012 |
1/13/2012 |
|
| |
|