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rulebook-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-2019-087
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. Pending No
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 11/15/2019 10/25/2019
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 11/14/2019 10/24/2019
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 11/7/2019 10/17/2019
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," Approved Yes 11/6/2019 10/16/2019
SR-NASDAQ-2019-081
Notice & Approval
Proposal to amend its Second Amended Limited Liability Company Agreement LLC Agreement and By-Laws. Approved Yes 10/30/2019 10/9/2019
SR-NASDAQ-2019-080
Notice & Approval
Proposal to adopt fees for the MIDP order routing option. Approved Yes 10/28/2019 10/7/2019
SR-NASDAQ-2019-079
Notice & Approval
A proposed rule change relating to the First Trust Low Duration Opportunities ETF Approved Yes 10/28/2019 10/7/2019
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 10/25/2019 10/4/2019
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 10/16/2019 9/25/2019
SR-NASDAQ-2019-075
Resubmission
Notice & Approval
A proposal to delay implementation of the Early Order Imbalance Indicator functionality until Q4 2019. Approved Yes 10/29/2019 10/8/2019
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 10/16/2019 9/25/2019
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 10/9/2019 9/18/2019
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 10/15/2019 9/23/2019
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 10/7/2019 9/16/2019
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 Approved Yes 9/27/2019 9/6/2019
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 9/25/2019 9/4/2019
SR-NASDAQ-2019-066
Proposal to clarify Rule 4120(c)(9) without changing its substance. Approved No
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 9/24/2019 9/3/2019
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 9/9/2019 8/19/2019
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 9/5/2019 8/15/2019
SR-NASDAQ-2019-062
Notice & Approval
A proposal to amend Equity 7, Section 118(a). Approved Yes 9/4/2019 8/14/2019
SR-NASDAQ-2019-061
Resubmission
Notice
SEC Extension
Amendment 1
Proposed rule change regarding how the Nasdaq Official Closing Price will be determined for a Nasdaq-listed security that is an exchange-traded product. Pending Yes 9/13/2019 8/23/2019
SR-NASDAQ-2019-060
Notice
Amendment 1
SEC Extension
A proposal to amend Rules 4120 and 4753 to permit the Exchange to declare a regulatory halt in a security Pending Yes 8/27/2019 8/6/2019
SR-NASDAQ-2019-059
Resubmission
Notice
SEC Extension
Proposal to adopt requirements for the Nasdaq Capital and Global Markets applicable to Direct Listings Pending Yes 9/25/2019 9/4/2019
SR-NASDAQ-2019-057
Notice
SEC Extension 2
A proposal to amend Rule 4121 (Trading Halts Due to Extraordinary Market Volatility) to enhance the re-opening auction process for Nasdaq listed securities following trading halts due to extraordinary market volatility. Pending Yes 8/15/2019 7/25/2019
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 8/23/2019 8/2/2019
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 8/13/2019 7/23/2019
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 8/19/2019 7/29/2019
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 7/30/2019 7/9/2019
SR-NASDAQ-2019-051
Notice & Approval
Proposal to Extend the Penny Pilot Program to December 31, 2019. Approved Yes 7/16/2019 6/25/2019
SR-NASDAQ-2019-050
Notice & Approval
A proposal to delay implementation of the MIDP routing option until the third quarter of 2019. Approved Yes 7/8/2019 6/17/2019
SR-NASDAQ-2019-049
Notice
SEC Extension
OIP
Proposal to modify the definition of a "Family Member" for purposes of Listing Rule 5605(a)(2). Pending Yes 7/9/2019 6/18/2019
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 7/8/2019 6/17/2019
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 7/1/2019 6/10/2019
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 6/27/2019 6/6/2019
SR-NASDAQ-2019-045
Notice & Approval
A proposal to amend Equity 7, Section 118(a) Approved Yes 7/1/2019 6/10/2019
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 6/25/2019 6/4/2019
SR-NASDAQ-2019-042
Notice & Approval
Proposal to allow dollar strike price intervals in QQQ and IWM options. Approved Yes 6/25/2019 6/4/2019
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 6/25/2019 6/4/2019
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 defin Approved Yes 7/5/2019 6/14/2019
SR-NASDAQ-2019-037
Notice & Approval
A proposal to amend the Exchange's Pricing Schedule in Options 7, Section 2 Approved Yes 6/7/2019 5/17/2019
SR-NASDAQ-2019-036
Notice & Approval
Proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a) Approved Yes 6/11/2019 5/21/2019
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 ex Approved Yes 6/4/2019 5/14/2019
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 Approved Yes 6/5/2019 5/15/2019
SR-NASDAQ-2019-032
Notice & Approval
A proposal to delay implementation of the Early Order Imbalance Indicator functionality Approved Yes 5/24/2019 5/3/2019
SR-NASDAQ-2019-031
Notice & Approval
Proposal to amend Rule 5702 to clarify Rule 5250 b 1 and IM 5250 1 Approved Yes 5/24/2019 5/3/2019
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 5/13/2019 4/22/2019
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 5/8/2019 4/17/2019
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 5/6/2019 4/15/2019
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 5/8/2019 4/17/2019
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 4/30/2019 4/9/2019
SR-NASDAQ-2019-023
Notice & Approval
A proposal to amend the Exchange's transaction fees at Equity 7, Section 118(a) Approved Yes 5/3/2019 4/12/2019
SR-NASDAQ-2019-022
Notice & Approval
A proposal to amend and restate the Exchange's membership rules. Approved Yes 5/1/2019 4/10/2019
SR-NASDAQ-2019-021
Resubmission 1
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 list Approved Yes 5/13/2019 4/22/2019
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 4/25/2019 4/4/2019
SR-NASDAQ-2019-019
Notice & Approval
A proposal to delay implementation of the Midpoint Trade Now functionality Approved Yes 4/23/2019 4/2/2019
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 5/15/2019 4/24/2019
SR-NASDAQ-2019-016
Notice & Approval 2
Proposal to delay the protocol Ouch to Trade Options or OTTO on The Nasdaq Options Market LLC Approved Yes 4/17/2019 3/27/2019
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 lis Approved Yes 4/16/2019 3/26/2019
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 4/15/2019 3/25/2019
SR-NASDAQ-2019-013
Notice & Approval
A proposal to adopt a new SCAR routing option under Rule 4758. Approved Yes 4/16/2019 3/26/2019
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 4/9/2019 3/19/2019
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 4/8/2019 3/18/2019
SR-NASDAQ-2019-009
Resubmission 1
Resubmission 2
Notice
SEC Extension
Amendment 1
Amendment Withdrawal 1
Amendment 2
Amendment Withdrawal 2
Amendment 3
Approval
Proposal to revise the Exchange's initial listing standards related to liquidity. Approved Yes 4/30/2019 4/9/2019
SR-NASDAQ-2019-008
Resubmission
Notice & Approval
A proposal to amend Rule 2210, titled Communications with the Public. Approved Yes 3/22/2019 3/1/2019
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 3/15/2019 2/22/2019
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 3/13/2019 2/20/2019
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 3/12/2019 2/19/2019
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 3/12/2019 2/19/2019
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 3/14/2019 2/21/2019
SR-NASDAQ-2019-001
Resubmission 1
Resubmission 2
Notice & Approval
Proposal to amend and clarify certain aspects of the listing process for Direct Listings. Approved Yes 3/15/2019 2/22/2019
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
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
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
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
rulebook-rulefilings-mrx-menu
rulebook-rulefilings-mrx-2019
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-MRX-2019-23
Notice & Approval
Proposal to make permanent certain options market rules that are linked to the equity market Plan to Address Extraordinary Market Volatility. Approved Yes 11/15/2019 10/25/2019
SR-MRX-2019-22
Proposal to amend Options 3, Section 17, which sets forth the Exchange's optional Kill Switch risk protection. Pending No
SR-MRX-2019-21
Notice & Approval
Proposal to amend its Rulebook and By-Laws Approved Yes 10/30/2019 10/9/2019
SR-MRX-2019-20
Notice & Approval
A proposal to amend Options 3 at Section 4, Acceptance of Quotes and Orders, adopt a new Section 5, Entry and Display of Single-Leg Orders, Section 7, Types of Order, at Supplementary Material .03 and Section 22 titled "Limitations on Orders. The Exchang Approved Yes 10/28/2019 10/7/2019
SR-MRX-2019-17
Notice & Approval
Proposed rule change to amend MRX Options 2, Section 5 titled "Market Maker Quotations," Options 3, Section 7, titled "Types of Orders," and Options 3, Section 10, titled "Priority of Quotes and Orders." Approved Yes 10/9/2019 9/18/2019
SR-MRX-2019-16
Notice & Approval
A proposal to amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules) relating to certain order types. Approved Yes 8/27/2019 8/6/2019
SR-MRX-2019-15
Resubmission
Notice & Approval
Proposal to relocate rules from its current Rulebook into its new Rulebook shell Approved Yes 8/16/2019 7/26/2019
SR-MRX-2019-14
Notice & Approval
Proposal to adopt Complex Order pricing Approved Yes 8/2/2019 7/12/2019
SR-MRX-2019-13
Notice & Approval
A proposal to amend its rules to extend a pilot program to quote and to trade certain options classes in penny increments (Penny Pilot Program). Approved Yes 7/16/2019 6/25/2019
SR-MRX-2019-11
Notice & Approval
Proposal to make non-substantive, clarifying changes to Options 7. Approved Yes 7/15/2019 6/24/2019
SR-MRX-2019-10
Notice & Approval
Proposal to amend its rules governing the give up of a Clearing Member by a Member on Exchange transactions Approved Yes 7/5/2019 6/13/2019
SR-MRX-2019-09
Notice & Approval
A proposal to delete the Exchange's current Registration, Qualification and Continuing Education rules under the 1200 Series (Rules 1210 through 1250), and incorporate by reference The Nasdaq Stock Market LLC's ("Nasdaq") rules at General 4 ("Nasdaq Regis Approved Yes 5/23/2019 5/2/2019
SR-MRX-2019-08
Notice
Approval
Proposal to introduce Complex Order Functionality on MRX identical to the Complex Order functionality offered today on ISE. Approved Yes 5/14/2019 4/23/2019
SR-MRX-2019-07
Notice & Approval
Proposal to extend the pilot to the close of business on October 18, 2019, for certain options market rules that are linked to the equity market Plan to Address Extraordinary Market Volatility. Approved Yes 5/8/2019 4/17/2019
SR-MRX-2019-06
Resubmission
Notice & Approval
A proposal to amend Supplementary Material .01 to Rule 710, "Minimum Increments," to specify replacement issues that may be added to the Penny Pilot ("Pilot") on a quarterly basis, without altering the expiration date of the Pilot, which is June 30, 2019. Approved Yes 4/25/2019 4/4/2019
SR-MRX-2019-05
Notice & Approval
Proposal to amend the Pricing Schedule at Options 7, Section 3, at Table 2 to lower PIM Fees for Crossing Orders for both Penny and Non-Penny Symbols provided certain criteria is met; and increase the PIM rebate in Non-Penny Symbols Fees for Reponses to C Approved Yes 4/10/2019 3/20/2019
SR-MRX-2019-03
Notice & Approval
Proposal to amend Options 7, Section 5 to adopt an Options Regulatory Fee. Approved Yes 3/13/2019 2/20/2019
SR-MRX-2019-02
Notice & Approval
Proposed rule change to amend the Pricing Schedule at Options 7, Section 3, entitled "Regular Order Fees and Rebates." Approved Yes 3/14/2019 2/21/2019
SR-MRX-2019-01
Notice & Approval
Proposed rule change to amend the Exchange provisions for excluding a day from its volume calculations for purposes of determining pricing tiers Approved Yes 3/12/2019 2/19/2019
rulebook-rulefilings-mrx-2018
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-MRX-2018-41
Notice & Approval
Proposed Rule Change to Extend the Penny Pilot Program Approved Yes 2/21/2019 1/31/2019
SR-MRX-2018-40
Notice & Approval
Proposal to delete the Exchange's existing rules on colocation, connectivity, and direct connectivity, under General 8, and incorporate by reference into General 8 The Nasdaq Stock Market LLC's rules on colocation, connectivity, and direct connectivity, w Approved Yes 1/22/2019 12/31/2018
SR-MRX-2018-39
Notice & Approval
Proposal to amend Rule 805(b) relating to Market Makers trading in non-appointed options classes Approved Yes 1/17/2019 12/27/2018
SR-MRX-2018-38
Notice & Approval
Proposal to delete MRX Section 22 of the Rulebook entitled Rate-Modified Foreign Currency Options Rules. Approved Yes 1/7/2019 12/17/2018
SR-MRX-2018-37
Notice & Approval
Proposal to amend Supplementary Material .02 to Rule 715 regarding Cancel and Replace Orders Approved Yes 1/2/2019 12/12/2018
SR-MRX-2018-36
Notice & Approval
A proposal to amend MRX Rule 701, entitled "Opening," MRX Rule 803, entitled "Obligations of Market Makers" and MRX Rule 100, entitled "Definitions." Approved Yes 1/2/2019 12/12/2018
SR-MRX-2018-34
Resubmission
Notice & Approval
Proposal to amend Exchange rules related to Market Maker quoting obligations. Approved Yes 12/11/2018 11/20/2018
SR-MRX-2018-33
Notice & Approval
A proposal to amend General 8 regarding colocation, connectivity, and direct connectivity services. Approved Yes 12/7/2018 11/16/2018
SR-MRX-2018-32
Notice & Approval
Proposal to delete the current rules on arbitration under Chapter 18, and incorporate by reference The Nasdaq Stock Market LLC rules on arbitration at General 6 into General 6 of the Exchange rulebook shell structure Approved Yes 11/20/2018 10/30/2018
SR-MRX-2018-31
Resubmission
Notice & Approval
Amendments to the Exchanges Registration, Qualification Examination and Continuing Education Rules Approved Yes 11/5/2018 10/15/2018
SR-MRX-2018-30
Notice & Approval
A proposal to amend MRX Rules 100(a)(5) which contains definitions, Rule 711, Acceptance of Quotes and Orders and Rule 714, Automatic Execution of Orders. Approved Yes 10/17/2018 9/26/2018
SR-MRX-2018-29
Notice & Approval
A proposal to conform the Exchange's By-Law provisions regarding the Chief Regulatory Officer to those of its affiliate, Nasdaq PHLX LLC ("Phlx") Approved Yes 10/16/2018 9/25/2018
SR-MRX-2018-27
Notice & Approval
Proposal to (a) relocate the MRX Schedule of Fees and current Rule 209 to the Exchange's rulebook's shell structure, and (b) make conforming cross-reference changes throughout the Rulebook. Approved Yes 10/10/2018 9/19/2018
SR-MRX-2018-25
Notice & Approval
A proposed rule change to codify the definitions of the protocols that Members can use to enter quotes and orders on the Exchange. Approved Yes 8/23/2018 8/2/2018
SR-MRX-2018-24
Notice & Approval
A proposal to amend MRX Rule 723, entitled "Price Improvement Mechanism for Crossing Transactions." Approved Yes 8/10/2018 7/20/2018
SR-MRX-2018-23
Resubmission 1
Resubmission 2
Notice & Approval
Proposal to align MRX's existing investigatory and disciplinary processes and related rules with the investigatory and disciplinary processes and associated rules of Nasdaq BX, Inc. Approved Yes 7/31/2018
SR-MRX-2018-22
Notice & Approval
Proposal to amend Exchange rules to extend through December 31, 2018 a pilot program to quote and to trade certain options classes in penny increments ("Penny Pilot Program"). Approved Yes 7/24/2018 7/3/2018
SR-MRX-2018-21
Notice & Approval
Proposal to relocate the Exchange's rules pertaining to co-location and direct connectivity under a new General 8 heading within the Exchange's new rulebook shell. Approved Yes 6/29/2018
SR-MRX-2018-19
Notice & Approval
A proposal to increase certain route-out fees set forth in Section II.A of the Schedule of Fees. Approved Yes 7/11/2018 6/20/2018
SR-MRX-2018-17
Notice & Approval
A proposal to amend and reorganize Chapters II, IV, V and VI of the MRX Schedule of Fees. Approved Yes 6/29/2018 6/8/2018
SR-MRX-2018-16
Resubmission
Notice & Approval
A proposal to memorialize its order and execution information into MRX Rule 718, entitled "Data Feeds." Approved Yes 6/29/2018 6/8/2018
SR-MRX-2018-15
Notice & Approval
A proposed rule change to amend Supplementary Material .03 to Rule 804 to enhance anti-internalization functionality. Approved Yes 6/13/2018 5/23/2018
SR-MRX-2018-14
Resubmission
Notice & Approval
A proposal to amend Supplementary Material to Rule 706 to harmonize its sponsored access rules with those of its affiliates. Approved Yes 6/11/2018 5/21/2018
SR-MRX-2018-12
Notice & Approval
A proposal to incorporate by reference The Nasdaq Stock Market LLC's ("Nasdaq") rule at General 7, entitled "Consolidated Audit Trail Compliance" into MRX's General 7. Approved Yes 4/26/2018
SR-MRX-2018-11
Notice & Approval
A proposed rule change to adopt data feeds offered to MRX Members. Approved Yes 4/19/2018
SR-MRX-2018-10
Notice & Approval
A proposal to amend Chapter IV of the Exchange's Schedule of Fees. Approved Yes 4/10/2018
SR-MRX-2018-08
Notice
Amendment 1
SEC Extension
Approval
Proposed Rule Change to Introduce the ATR Protection for Orders that are Routed to Away Markets. Approved Yes 3/14/2018
SR-MRX-2018-07
Notice & Approval
A proposed rule change to clarify certain terms used in the Schedule of Fees, and to make certain other non-substantive changes to the Schedule of Fees. Approved Yes 4/2/2018 3/12/2018
SR-MRX-2018-06
Notice & Approval
Proposal to amend Rule 100 to include Monday and Wednesday expirations for options listed pursuant to the Short Term Option Series Program, including options on the SPDR S&P 500 ETF Trust. Approved Yes 3/16/2018 2/23/2018
SR-MRX-2018-05
Notice & Approval
A proposal to amend INET Port Fees at Section II, C to indicate those fees are not prorated. Approved Yes 3/14/2018 2/21/2018
SR-MRX-2018-04
Notice & Approval
A proposal to memorialize functionality which is designed to assist Members in the event that they lose communication with their assigned Specialized Quote Feed. Approved Yes 3/13/2018 2/20/2018
SR-MRX-2018-03
Notice & Approval
A proposal to relocate the Consolidated Audit Trail Compliance rules. Approved Yes 2/23/2018 2/2/2018
SR-MRX-2018-02
Notice & Approval
Proposal to amend MRX Rule 805 to permit Market Makers to enter additional order types in the options classes to which they are appointed. Approved Yes 2/13/2018 1/23/2018
SR-MRX-2018-01
Notice & Approval
A proposed rule change to amend the Schedule of Fees to introduce a new pricing model on MRX Approved Yes 2/16/2018 1/26/2018
rulebook-rulefilings-mrx-2017
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-MRX-2017-28
Notice & Approval
Proposed rule change to extend the Exchange's Penny Pilot Program. Approved Yes 1/16/2018 12/26/2017
SR-MRX-2017-27
Notice & Approval
Proposal to amend Rule 701 to specify the obligations of a Primary Market Maker when entering Valid Width Quotes during the Opening Process. Approved Yes 1/10/2018 12/20/2017
SR-MRX-2017-26
Notice & Approval
Proposal to amend the structure of the MRX rulebook. Approved Yes 12/26/2017 12/5/2017
SR-MRX-2017-25
Notice & Approval
Proposal to remove Directed Order functionality on MRX. Approved Yes 12/19/2017 11/28/2017
SR-MRX-2017-24
Notice & Approval
Proposal to amend Rule 713 to delete Supplementary Material .02, which no longer is applicable. Approved Yes 12/18/2017 11/27/2017
SR-MRX-2017-23
Notice & Approval
Proposal to memorialize an optional Kill Switch protection. Approved Yes 11/24/2017 11/2/2017
SR-MRX-2017-22
Notice & Approval
Proposal to amend Rule 723 (Price Improvement Mechanism for Crossing Transactions) to remove obsolete rule text. Approved Yes 11/20/2017 10/30/2017
SR-MRX-2017-21
Notice & Approval
Proposal to amend the Schedule of Fees to add new fees for co-location services, direct circuit connections to the Exchange, connections to third party services, point of presence connectivity, and connectivity to the Exchange's Test Facility. Approved Yes 11/15/2017 10/25/2017
SR-MRX-2017-19
Notice & Approval
A proposed rule change to amend Rule 716(c) on the Block Order Mechanism. Approved Yes 10/26/2017 10/5/2017
SR-MRX-2017-18
Resubmission
Notice
Approval
A proposed rule change in connection with the proposed merger with a newly-formed Delaware limited liability company under the Exchange's ultimate parent, Nasdaq Approved Yes 10/27/2017 10/6/2017
SR-MRX-2017-17
Notice & Approval
A proposed rule change to remove language from Chapter 19 related to a systems issue that has been resolved with the completed migration of the Exchange to Nasdaq INET. Approved Yes 10/10/2017 9/18/2017
SR-MRX-2017-16
Notice & Approval
A proposal to amend Rule 720, Nullification and Adjustment of Options Transactions including Obvious Errors. Approved Yes 9/5/2017 8/14/2017
SR-MRX-2017-14
Notice & Approval
A proposal to amend Rule 804, entitled "Market Maker Quotations." Approved Yes 9/5/2017 8/15/2017
SR-MRX-2017-13
Notice & Approval
A proposed rule change to: (1) establish ports that members use to connect to the Exchange with the migration of the trading system to the Nasdaq INET architecture, and (2) amend the Schedule of Fees to adopt fees for those ports. Approved Yes 8/30/2017 8/9/2017
SR-MRX-2017-11
Notice & Approval
Proposal to amend MRX Rule 715(b)(3) to specify an exception to the manner in which Immediate-or-Cancel Orders will be handled by the System when entered through the Specialized Quote Feed protocol. Approved No
SR-MRX-2017-09
Notice & Approval
Proposal to amend MRX Rule 804(h) regarding quote mitigation. Approved Yes 7/14/2017 6/23/2017
SR-MRX-2017-08
Notice
SEC Extension
Amendment 1
Approval
Proposal to adopt Rule 912 (Consolidated Audit Trail - Fee Dispute Resolution) to establish the procedures for resolving potential disputes related to CAT Fees charged to Industry Members. Approved Yes 7/14/2017 6/23/2017
SR-MRX-2017-07
Notice & Approval
A proposed rule change to amend Chapter 19 to notify members of a systems issue related to allocations made pursuant to Supplementary Material .02(a)-(b) to Rule 1901. Approved Yes 7/14/2017 6/23/2017
SR-MRX-2017-06
Notice & Approval
A proposed rule change to amend its rules to extend a pilot program to quote and to trade certain options classes in penny increments ("Penny Pilot Program"). Approved Yes 6/27/2017 6/6/2017
SR-MRX-2017-05
Notice & Approval
Proposed rule change to amend Supplementary Material .03 to Rule 713 to change the allocation entitlement for Preferred PMMs. Approved Yes 6/22/2017 6/1/2017
SR-MRX-2017-02
Resubmission
Notice
SEC Extension
Approval
Proposal to amend various Exchange rules in connection with a system migration to Nasdaq INET technology. Approved Yes 6/26/2017 6/5/2017
SR-MRX-2017-01
Resubmission
Amendment 1
Amendment Withdrawal
Amendment 2
Notice
Approval
Proposal to amend the Exchange's opening process. Approved Yes 7/11/2017 6/20/2017
SR-ISEMercury-2017-06
Notice & Approval
A proposal to (i) request the decommission of "Tick-Worse" functionality and (ii) amend Rule 713 (Priority of Quotes and Orders) relating to the priority of split price transactions. Approved Yes 4/28/2017 4/7/2017
SR-ISEMercury-2017-05
Resubmission
Notice & Approval
Proposal to amend the Exchange's Constitution, Limited Liability Company Agreement, Rule Book and Fee Schedule to rename itself Nasdaq MRX, LLC. Approved Yes 4/25/2017 4/4/2017
SR-ISEMercury-2017-04
Notice & Approval
Proposal to amend Rule 705 to harmonize Exchange liability caps and related reimbursement requirements with those of NASDAQ BX, Inc., NASDAQ PHLX LLC and The NASDAQ Stock Market LLC. Approved Yes 4/6/2017 3/16/2017
SR-ISEMercury-2017-03
Notice
Amendment 1
Approval
Proposed rule change to adopt Chapter 9 and the rules contained therein to implement the compliance rule regarding the National Market System Plan Governing the Consolidated Audit Trail. Approved Yes 3/2/2017 2/9/2017
rulebook-rulefilings-mrx-2016
Rule Filing Description Status Noticed by the SEC for Comment Expiration of the SEC Comment Period Federal Register Notice Date
SR-ISEMercury-2016-26
Notice & Approval
A proposal to amend its rules to extend the Penny Pilot, a pilot program to quote and to trade certain options classes in penny increments. Approved Yes 1/31/2017 1/10/2017
SR-ISEMercury-2016-25
Notice
Approval
A proposal to amend ISE Mercury Rule 723 to make the Price Improvement Mechanism pilot ("PIM Pilot") permanent, and to change the requirements for providing price improvement for Agency Orders of less than 50 option contracts. Approved Yes 1/9/2017 12/19/2016
SR-ISEMercury-2016-24
Notice & Approval
A proposal to amend ISE Mercury Rule 803 at Supplementary Information .02 in connection with business continuity and disaster recovery plans testing requirements for certain Members in connection with Regulation Systems Compliance and Integrity ("Reg SCI" Approved Yes 1/17/2017 12/27/2016
SR-ISEMercury-2016-22
Resubmission
Amendment 1
Amendment 2
Notice
Approval
Proposal to permit the Exchange to receive inbound orders in options routed through Nasdaq Execution Services, LLC and to grant the Exchange an exemption to permit NES, an affiliate of the Exchange, to become a Member of the Exchange. Approved Yes 1/19/2017 12/29/2016
SR-ISEMercury-2016-21
Notice
Approval
Amend Rules 716 (Block Trades) and 723 (Price Improvement Mechanism for Crossing Transactions) to reduce the response times in the Block Order Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism. Approved Yes 12/16/2016 11/25/2016
SR-ISEMercury-2016-20
Notice & Approval
A proposal to make a number of non-controversial and technical changes to its rules. Approved Yes 12/13/2016 11/22/2016
SR-ISEMercury-2016-18
Amendment 1
Resubmission
Notice & Approval
A proposal to adopt a new Rule 209 entitled, "Collection of Exchange Fees and Other Claims" to require Members to provide a clearing account number at the National Securities Clearing Corporation. Approved Yes 10/27/2016 10/6/2016
SR-ISEMercury-2016-17
Resubmission
Notice & Approval
A proposal to amend a current billing practice with respect to billing disputes. Approved Yes 11/3/2016 10/13/2016
SR-ISEMercury-2016-16
Notice
Amendment 1
Approval
A proposed rule change with respect to amendments of the By-Laws of its parent corporation, Nasdaq, Inc., to implement proxy access. Approved Yes 10/26/2016 10/5/2016
SR-ISEMercury-2016-14
Notice & Approval
Proposal to amend Exchange Rule 100(a)(37C) (Definitions) to add specificity to the definition of a Professional with respect to the manner in which the volume threshold will be calculated by the Exchange. Approved Yes 10/5/2016 9/14/2016
SR-ISEMercury-2016-13
Notice & Approval
Proposed rule change to extend the PIM pilot. Approved Yes 8/11/2016 7/21/2016
SR-ISEMercury-2016-12
Notice & Approval
Proposal to extend the penny pilot. Approved Yes 7/28/2016 7/7/2016
SR-ISEMercury-2016-11
Notice & Approval
Proposed Rule Change to Amend the Schedule of Fees Approved Yes 6/10/2016 5/20/2016
SR-ISEMercury-2016-10
Amendment 1
Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent Approved No
SR-ISEMercury-2016-09
Notice & Approval
Proposed Rule Change Relating to Preferenced Volume Approved Yes 5/23/2016 5/2/2016
SR-ISEMercury-2016-08
Notice & Approval
Proposed Rule Change to Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria Approved Yes 5/4/2016 4/13/2016
SR-ISEMercury-2016-07
Notice
Approval
Proposed Rule Change Related to Market Wide Risk Protection Approved Yes 5/5/2016 4/14/2016
SR-ISEMercury-2016-06
Notice & Approval
Proposed Rule Change to Amend the Schedule of Fees Approved Yes 4/15/2016 3/25/2016
SR-ISEMercury-2016-05
Notice & Approval
Proposed Rule Change to Amend the Schedule of Fees Approved Yes 4/15/2016 3/25/2016
SR-ISEMercury-2016-02
Notice & Approval
Proposed Rule Change to Establish the Schedule of Fees Approved Yes 3/31/2016 3/10/2016
rulebook-rulefilings-nfx-menu
rulebook-rulefilings-nfx-2019
Rule Filing Description
SR-NFX-2019-30
Rule Certification to Launch a New Energy Designated Market Maker Program
SR-NFX-2019-29
Self-certification to extend its Competitor Response Incentive Program
SR-NFX-2019-28
Rule change to remove the Permit Fee charged to NFX members.
SR-NFX-2019-27
Amendment allowing QEPs to trade blocks
SR-NFX-2019-26
Amendments to the CR Program.
SR-NFX-2019-25
Proposal to lower the block threshold for the US Shredded Scrap Steel futures contract
SR-NFX-2019-24
Extension of the Broker Incentive Program
SR-NFX-2019-23
Extention of the Quote Liquidity Provisioning Program
SR-NFX-2019-22
Weekly rule cerification to note the listing of new power contracts
SR-NFX-2019-21
Amend Block Reporting Times
SR-NFX-2019-20
Recertify Trading Incentive Program
SR-NFX-2019-19
Removal of Implied Orders from our trading system
SR-NFX-2019-18
Revisions to the Fee Schedule.
SR-NFX-2019-17
Amend Competitor Reponses Incentive Program
SR-NFX-2019-16
Self-certification to amend the Exchange's quote liquidity provisioning program.
SR-NFX-2019-15
Self-certification to launch a new Designated Market Maker Program for energy contracts.
SR-NFX-2019-14
Self-certification with rules relating to block trades for new NFX 10 Mega Watt Power Financial Futures contracts
SR-NFX-2019-13
Rules, terms and conditions for new NFX 10 Mega Watt Power Financial Futures contracts.
SR-NFX-2019-12
Rule amending vaarious Rules and Contract Specifications.
SR-NFX-2019-11
Weekly notification of rule changes
SR-NFX-2019-10
Amendments to the DMM Program.
SR-NFX-2019-09
Submission of rules relating to block trade minimum quantity thresholds for the NFX P8 Panamax Santos - Qingdao Monthly Average Financial Futures contract.
SR-NFX-2019-08
Amendment 1
Self-certification for a new Designated Market Maker Program for ferrous metal contracts.
SR-NFX-2019-07
Rule Certification to clarify some points on the position limit rules for the DV01 contracts.
SR-NFX-2019-06
Rules, terms and conditions for the NFX P8 Panamax Santos - Qingdao Monthly Average Financial Futures
SR-NFX-2019-05
Amended certificate of incorporation and by-laws
SR-NFX-2019-04
Rule change to amend block reporting times for dry freight contracts
SR-NFX-2019-02
Rule certification to amend the Exchange's Competitor Response Incentive Program for contracts listed pursuant to Appendix A of the Exchange Rulebook.
SR-NFX-2019-01
Amendments to the Broker Incentive Program
rulebook-rulefilings-nfx-2018
Rule Filing Description
SR-NFX-2018-72
Weekly Notification of Rule Amendments
SR-NFX-2018-71
Self-certification for a new Designated Market Maker Program for ferrous metal contracts.
SR-NFX-2018-70
Changes to the Fee Schedule
SR-NFX-2018-69
Weekly Notification of Rule Amendments
SR-NFX-2018-68
Weekly notification of rule amendments
SR-NFX-2018-67
Rule Certification - Hot-rolled coil contract
SR-NFX-2018-66
Self-certification to amend its quote liquidity provisioning program for energy contracts that the Exchange has listed pursuant to Appendix A of the Exchange Rulebook.
SR-NFX-2018-65
Weekly Notification of Rule Amendments
SR-NFX-2018-64
Amendment 1
Rule Certification relating to block trade minimum quantity thresholds and execution fees for an NFX Hot-Rolled Coil futures contract.
SR-NFX-2018-63
Rules, terms and conditions for new NFX Dry Freight Contracts.
SR-NFX-2018-62
Product and Rule Certification for New NFX Dry Freight Contracts
SR-NFX-2018-61
Reduction in the minimum block trade threshold.
SR-NFX-2018-60
Rule certification to amend the Exchange's Reference Guides governing Pre-Trade Limits Group functionality on the NFX TradeGuard system.
SR-NFX-2018-59
Listing of U.S. 10-YR DV01 Treasury Futures (TYDK)
SR-NFX-2018-58
Changes to the Fee Schedule
SR-NFX-2018-57
Changes to the Fee Schedule
SR-NFX-2018-56
Amendments to the Competitor Response Incentive Program
SR-NFX-2018-55
Amendments to the Broker Incentive Program
SR-NFX-2018-54
Self-certification to amend the Exchange's quote liquidity provisioning program for energy contracts that the Exchange has listed pursuant to Appendix A of the Exchange Rulebook
SR-NFX-2018-53
Amendments to Rulebook Appendix A, Rule 316E.05, governing exercise of NFX Options on NFX PJM Western Hub Real-Time Peak One Time Calendar Financial Futures (PMQ).
SR-NFX-2018-52
Rule Certification relating to block trade minimum quantity thresholds and transaction fees for NFX Canadian Crude Oil Financial Futures
SR-NFX-2018-51
Product and rule certification for new NFX Canadian Crude Oil Financial Futures.
SR-NFX-2018-50
Rule Certification relating to block trade minimum quantity thresholds and transaction fees for Gulf Coast Crude Oil Futures Contracts
SR-NFX-2018-49
Product and rule certification for new NFX Gulf Coast Crude Oil Financial Futures.
SR-NFX-2018-48
Weekly notification of new rules going into effect the previous week.
SR-NFX-2018-47
Filing to List U.S. 10-YR DV01 Treasury Futures (TYDG)
SR-NFX-2018-46
U.S. DV01 Treasury Futures Product Rules Amendments
SR-NFX-2018-45
Amendment 1
Rule certification relating to block trade minimum quantity thresholds and reporting times for NFX Zonal Power Financial Futures.
SR-NFX-2018-44
Self-Certification with rules, terms, and conditions for NFX Zonal Power Financial Futures.
SR-NFX-2018-43
Amend Competitor Response Incentive Program
SR-NFX-2018-42
Amending the fee schedule to introduce a fee rebate for spread transactions in certain dry freight contracts.
SR-NFX-2018-41
Self certification relating to TradeGuard pre-trade risk management implementing improved functionality for NFX Power futures contract.
SR-NFX-2018-40
NFX Trading Halt Rule Amendment
SR-NFX-2018-39
Self-certification proposing amendments relating to correction of errors in the terms of Block Trades reported in accordance with the Rules of the Exchange.
SR-NFX-2018-38
Amendment to Competitor Response Incentive Program.
SR-NFX-2018-37
Certification relating to extension of tenors for certain financial futures contracts listed on NFX.
SR-NFX-2018-36
Rules relating to block trade minimum quantity thresholds for NFX Dry Freight Futures and Options contracts ("Dry Freight contracts").
SR-NFX-2018-35
Rule certification to amend the Exchange's fee schedule to (1) include the fees for the new Treasury futures products ("TF Contracts") and (2) introduce a reduced fee for designated market makers in the TF Contracts.
SR-NFX-2018-34
Self-certification to amend the Exchange's Competitor Response Incentive Program for contracts that the Exchange has listed pursuant to Appendix A of the Exchange Rulebook.
SR-NFX-2018-33
Self-certification to launch a new quote liquidity provisioning program for energy contracts that the Exchange has listed pursuant to Appendix A of the Exchange Rulebook.
SR-NFX-2018-32
Rule certification relating to block trade minimum quantity thresholds and reporting times NFX Dry Freight Futures and Options contracts.
SR-NFX-2018-31
Amendment 1
Rules, terms and conditions for NFX Dry Freight Futures and Options contracts ("Dry Freight contracts").
SR-NFX-2018-30
Amendment Broker Incentive Program
SR-NFX-2018-29
NASDAQ Futures, Inc. submits an amendment to the Designated Market Maker Program ("DMM Program").
SR-NFX-2018-28
Weekly notification of amendments made effective during the preceding week relating to new Tanker Freight Futures Contracts.
SR-NFX-2018-27
Rule certification to amend NFX Rulebook to update certain references to Commission rules.
SR-NFX-2018-26
Nasdaq Futures, Inc. is amending the NFX General Reference Guide to update the Executive Summary with current information regarding NFX affiliates.
SR-NFX-2018-25
Self-Certification to recertify the Trading Incentive Program for certain energy contracts listed on the Exchange.
SR-NFX-2018-24
Self-certification to implement a Competitor Response Incentive Program for contracts that the Exchange has listed pursuant to Appendix A of the Exchange Rulebook.
SR-NFX-2018-23
Self-certification to add the defined term "Trade Date" to Chapter I of the NFX rulebook.
SR-NFX-2018-22
Weekly notification regard