SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


NASDAQ Stock Market LLC (NASDAQ) Rulemaking

We encourage the public to submit comments on the following NASDAQ Stock Market LLC (NASDAQ) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

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

NASDAQ File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NASDAQ-2014-106
34-73662 Nov. 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Interest Reports
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2014-107
34-73661 Nov. 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Rule 7018(a) with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-108
34-73648 Nov. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-087
34-73647 Nov. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an All-Inclusive Annual Listing Fee and Modify Certain Other Listing Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-038
34-73630 Nov. 18, 2014 Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 Thereto, Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 DIVS Index ETF under Nasdaq Rule 5705
See also: Notice: Rel. No. 34-73418, Notice: Rel. No. 34-72715, Notice: Rel. No. 34-72384, Notice: Rel. No. 34-72014

SR-NASDAQ-2014-095
34-73621 Nov. 18, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Provide a New Optional Functionality to Minimum Quantity Orders
See also: Notice: Rel. No. 34-73266

SR-NASDAQ-2014-100
34-73574 Nov. 12, 2014 Notice of Filing of a Proposed Rule Change to Amend NASDAQ Rule 7015(d) to Include the IPO Indicator As a New Enhancement to the NASDAQ Workstation
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-020
34-73562 Nov. 7, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2014-098
34-73558 Nov. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-034
34-73550 Nov. 6, 2014 Notice of Withdrawal of a Proposed Rule Change Relating to Proposed Changes to Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data"
See also: Notice: Rel. No. 34-72654, Notice: Rel. No. 34-72328, Notice: Rel. No. 34-71990

SR-NASDAQ-2014-099
34-73540 Nov. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancel-Replacement and Route Timer
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-090
34-73480 Oct. 31, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the Validea Market Legends ETF of the ETF Series Solutions ETF Trust
See also: Notice: Rel. No. 34-73178

SR-NASDAQ-2014-080
34-73471 Oct. 30, 2014 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust
See also: Notice: Rel. No. 34-73078

SR-NASDAQ-2014-038
34-73418 Oct. 23, 2014 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Listing and Trading of Shares of the NASDAQ-100 DIVS Index ETF under Rule 5705
See also: Order: Rel. No. 34-73630, Notice: Rel. No. 34-72715, Notice: Rel. No. 34-72384, Notice: Rel. No. 34-72014

SR-NASDAQ-2014-034
34-73416 Oct. 23, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Proposed Changes to Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data"
See also: Notice: Rel. No. 34-73550, Notice: Rel. No. 34-72654, Notice: Rel. No. 34-72328, Notice: Rel. No. 34-71990

SR-NASDAQ-2014-081
34-73399 Oct. 21, 2014 Order Approving a Proposed Rule Change Related to Proposed Changes to 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
See also: Notice: Rel. No. 34-72961

SR-NASDAQ-2014-097
34-73315 Oct. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Algo Test Facility
Comments due: November 4, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-096
34-73303 Oct. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees
Comments due: October 31, 2014
Additional Materials: Exhibit 5
Third Quarter

SR-NASDAQ-2014-095
34-73266 Sep. 30, 2014 Notice of Filing of Proposed Rule Change to Provide a New Optional Functionality to Minimum Quantity Orders
Comments due: October 27, 2014
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-73621

SR-NASDAQ-2014-053
34-73233 Sep. 26, 2014 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the iShares Commodities Strategy ETF iShares of U.S. ETF Trust
See also: Notice: Rel. No. 34-72813

SR-NASDAQ-2014-093
34-73193 Sep. 23, 2014 Notice of Filing of Proposed Rule Change to Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: October 20, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-094
34-73182 Sep. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program Until December 31, 2014
Comments due: October 17, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-090
34-73178 Sep. 22, 2014 Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Validea Market Legends ETF of the ETF Series Solutions ETF Trust
Comments due: October 17, 2014
See also: Order: Rel. No. 34-73480
Comments received are available for this proposal.

SR-NASDAQ-2014-065
34-73142 Sep. 18, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares® Commodities Trust I
Comments due: October 15, 2014
Rebuttal comments due: October 29, 2014
See also: Notice: Rel. No. 34-72779, Notice: Rel. No. 34-72412
Comments received are available for this proposal.

SR-NASDAQ-2014-073
34-73140 Sep. 18, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the First Trust Emerging Markets Local Currency Bond ETF of First Trust Exchange-Traded Fund III
See also: Notice: Rel. No. 34-72716

SR-NASDAQ-2014-092
34-73132 Sep. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees for Optional Wireless Connectivity for Co-located Clients
Comments due: October 14, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-80
34-73078 Sep. 11, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust
Comments due: October 8, 2014
See also: Notice: Rel. No. 34-73471.pdf

SR-NASDAQ-2014-088
34-73069 Sep. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4753 to Expand the Information Made Available Through the Order Imbalance Indicator in Connection with the NASDAQ Halt Cross
Comments due: October 7, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-089
34-73025 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees
Comments due: October 6, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-091
34-72993 Sep. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPY and DIA Options
Comments due: October 1, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-020
34-72987 Sep. 4, 2014 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
See also: Notice: Rel. No. 34-72350, Notice: Rel. No. 34-72007, Notice: Rel. No. 34-71657

SR-NASDAQ-2014-082
34-72967 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014

SR-NASDAQ-2014-083
34-72966 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014

SR-NASDAQ-2014-081
34-72961 Sep. 3, 2014 Notice of Filing of Proposed Rule Change Relating to Proposed Changes to 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
Comments due: September 30, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-73399

SR-NASDAQ-2014-084
34-72920 Aug. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Market Maker Requirements
Comments due: September 23, 2014

SR-NASDAQ-2014-086
34-72911 Aug. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change 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
Comments due: September 19, 2014

SR-NASDAQ-2014-067
34-72899 Aug. 22, 2014 Order Granting Approval of Proposed Rule Change to Rule 5305 to Eliminate the Automatic Transfer of Companies from The NASDAQ Global Market to The NASDAQ Global Select Market
See also: Notice: Rel. No. 34-72538

SR-NASDAQ-2014-077
34-72831 Aug. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny and Non-Penny Pilot Options
Comments due: September 9, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-053
34-72813 Aug. 12, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the iShares Commodities Strategy ETF of iShares U.S. ETF Trust
Comments due: September 8, 2014
See also: Order: Rel. No. 34-73233

SR-NASDAQ-2014-079
34-72811 Aug. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7051 Fees Relating to Pricing for Direct Circuit Connections
Comments due: September 5, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-078
34-72810 Aug. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program under Rule 7014, and the Schedule of Fees and Rebates under Rule 7018
Comments due: September 5, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-063
34-72809 Aug. 11, 2014 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the Arrow DWA Balanced ETF, Arrow DWA Tactical ETF and Arrow DWA Tactical Yield ETF of Arrow Investments Trust
See also: Notice: Rel. No. 34-72493

SR-NASDAQ-2014-065
34-72779 Aug. 6, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares® Commodities Trust I
See also:  ;Order: Rel. No. 34-73142, Notice: Rel. No. 34-72412

SR-NASDAQ-2014-076
34-72760 Aug. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Utilize a Trade Condition Modifier
Comments due: September 2, 2014

SR-NASDAQ-2014-075
34-72736 Aug. 1, 2014 Notice of Filing and Immediate Effectiveness to Correct Language in the Text of Rule 4753
Comments due: August 27, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-059
34-72728 Jul. 31, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Global X Commodities ETF of Global X Funds
See also: Notice: Rel. No. 34-72357

SR-NASDAQ-2014-073
34-72716 Jul. 30, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the First Trust Emerging Markets Local Currency Bond ETF of First Trust Exchange-Traded Fund III
Comments due: August 26, 2014
See also: Order: Rel. No. 34-73140

SR-NASDAQ-2014-038
34-72715 Jul. 29, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Listing and Trading of Shares of the NASDAQ-100 DIVS Index ETF under Rule 5705
Comments due: August 26, 2014
Rebuttal comments due:  September 9, 2014
See also: Order: Rel. No. 34-73630, Notice: Rel. No. 34-73418, Notice: Rel. No. 34-72384, Notice: Rel. No. 34-72014

SR-NASDAQ-2014-074
34-72699 Jul. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series
Comments due: August 26, 2014

SR-NASDAQ-2014-072
34-72684 Jul. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disclose Publicly the Sources of Data Used for Exchange Functions
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-NASDAQ-2014-058
34-72669 Jul. 24, 2014 Order Granting Approval of Proposed Rule Change to Amend IM-5900-7 to, Among Other Things, Modify the Free Services Offered to Certain Newly Listing Companies
See also: Notice: Rel. No. 34-72311

SR-NASDAQ-2014-034
34-72654 Jul. 22, 2014 Order Instituting Proceedings to Determine Whether to Disapprove a Proposed Rule Change Relating to Proposed Changes to Remove from the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data"
Comments due: August 18, 2014
Rebuttal comments due:  September 2, 2014
See also: Notice: Rel. No. 34-73550, Notice: Rel. No. 34-73416, Notice: Rel. No. 34-72328, Notice: Rel. No. 34-71990

SR-NASDAQ-2014-070
34-72620 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for NASDAQ Basic and to Correct an Error in the Text of Rule 7023
Comments due: August 12, 2014

SR-NASDAQ-2014-057
34-72607 Jul. 15, 2014 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Duration Mortgage Opportunities ETF of First Trust Exchange-Traded Fund IV
See also: Notice: Rel. No. 34-72281

SR-NASDAQ-2014-069
34-72549 Jul. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees
Comments due: August 1, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-067
34-72538 Jul. 3, 2014 Notice of Filing of Proposed Rule Change to Rule 5305 to Eliminate the Automatic Transfer of Companies from The NASDAQ Global Market to The NASDAQ Global Select Market
Comments due: July 31, 2014
See also: Order: Rel. No. 34-72899

SR-NASDAQ-2014-050
34-72506 Jul. 1, 2014 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Income ETF of First Trust Exchange-Traded Fund IV
See also: Notice: Rel. No. 34-72169
Second Quarter

SR-NASDAQ-2014-063
34-72493 Jun. 27, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the Arrow DWA Balanced ETF, Arrow DWA Tactical ETF and Arrow DWA Tactical Yield ETF of Arrow Investments Trust
Comments due: July 24, 2014
See also: Order: Rel. No. 34-72809

SR-NASDAQ-2014-066
34-72442 Jun. 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Nasdaq Opening Cross Contingency
Comments due: July 17, 2014

SR-NASDAQ-2014-044
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72054

SR-NASDAQ-2014-035
34-72426 Jun. 18, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the AdvisorShares Sunrise Global Multi-Strategy ETF of AdvisorShares Trust
Comments due: July 15, 2014
See also: Notice: Rel. No. 34-72077

SR-NASDAQ-2014-040
34-72411 Jun. 17, 2014 Order Granting Approval of a Proposed Rule Change Relating to the Listing and Trading of the Shares of the Calamos Focus Growth ETF of the Calamos ETF Trust
See also: Notice: Rel. No. 34-72096

SR-NASDAQ-2014-065
34-72412 Jun. 17, 2014 Notice of Filing of Proposed Rule Change to Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares Commodities Trust I
Comments due: July 14, 2014
Additional Materials: Exhibit 5
See also:  ;Order: Rel. No. 34-73142, Notice: Rel. No. 34-72779
Comments received are available for this proposal.

SR-NASDAQ-2014-064
34-72407 Jun. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exercise Limits
Comments due: July 14, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-038
34-72384 Jun. 13, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 DIVS Index ETF of the Reality Shares ETF Trust Under Rule 5705
See also: Order: Rel. No. 34-73630, Notice: Rel. No. 34-73418, Order: Rel. No. 34-72715, Notice: Rel. No. 34-72014

SR-NASDAQ-2014-041
34-72382 Jun. 12, 2014 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade of Shares of the First Trust Enhanced Short Maturity ETF of First Trust Exchange-Traded Fund IV
See also: Notice: Rel. No. 34-72030

SR-NASDAQ-2014-062
34-72378 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: July 9, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-060
34-72362 Jun. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Joint Back Office Pricing
Comments due: July 7, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-059
34-72357 Jun. 10, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Global X Commodities ETF of Global X Funds
Comments due: July 7, 2014
See also: 
See also: Order: Rel. No. 34-72728
Comments received are available for this proposal.

SR-NASDAQ-2014-020
34-72350 Jun. 9, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
Comments due: July 7, 2014
Rebuttal comments due: July 18, 2014
See also: Notice: Rel. No. 34-72987, Notice: Rel. No. 34-72007, Notice: Rel. No. 34-71657
Comments received are available for this proposal.

SR-NASDAQ-2014-034
34-72328 Jun. 5, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Proposed Changes to Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data"
See also: Notice: Rel. No. 34-73550, Notice: Rel. No. 34-73416, Order: Rel. No. 34-72654, Notice: Rel. No. 34-71990

SR-NASDAQ-2014-058
34-72311 Jun. 4, 2014 Notice of Filing of Proposed Rule Change to Amend IM-5900-7 to, Among Other Things, Modify the Free Services Offered to Certain Newly Listing Companies
Comments due: July 1, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72669
Comments received are available for this proposal.

SR-NASDAQ-2014-057
34-72281 May 30, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Duration Mortgage Opportunities ETF of First Trust Exchange-Traded Fund IV
Comments due: June 26, 2014
See also: Order: Rel. No. 34-72607

SR-NASDAQ-2014-056
34-72244 May 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: June 20, 2014

SR-NASDAQ-2014-027
34-72241 May 23, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the PowerShares Multi-Strategy Alternative Portfolio of PowerShares Actively Managed Exchange-Traded Fund Trust
Comments due: June 20, 2014
See also: Notice: Rel. No. 34-71892

SR-NASDAQ-2014-055
34-72238 May 23, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 20, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-054
34-72226 May 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the Nasdaq Opening Cross Contingency
Comments due: June 19, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-050
34-72169 May 15, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Income ETF of First Trust Exchange-Traded Fund IV
Comments due: June 11, 2014
See also: Notice: Rel. No. 34-72506

SR-NASDAQ-2014-045
34-72153 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for the NASDAQ Basic Data Product
Comments due: June 6, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-048
34-72151 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Consolidate Certain Committee Functions into the NASDAQ Review Council
Comments due: June 6, 2014

SR-NASDAQ-2014-049
34-72150 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees and Establish Fee Tiers for the Execution of Market-on-Close and Limit-on-Close Orders Executed in the NASDAQ Closing Cross and Eliminate the High Volume Market Participant Identifier Program
Comments due: June 6, 2014

SR-NASDAQ-2014-052
34-72142 May 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to the Elimination of SPY Position Limits
Comments due: June 5, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-009
34-72141 May 9, 2014 Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Means of Achieving the Investment Objectives of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV
Comments due: June 5, 2014
See also: Notice: Rel. No. 34-71813, and Notice: Rel. No. 34-71473

SR-NASDAQ-2014-047
34-72126 May 8, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees Set Forth in Rule 7015(e) Governing WebLink ACT and the ACT Workstation
Comments due: June 4, 2014

SR-NASDAQ-2014-043
34-72105 May 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: June 2, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-040
34-72096 May 5, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Calamos Focus Growth ETF of the Calamos ETF Trust
Comments due: May 30, 2014
See also: Order: Rel. No. 34-72411

SR-NASDAQ-2014-035
34-72077 May 1, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the AdvisorShares Sunrise Global Multi-Strategy ETF of AdvisorShares Trust
Comments due: May 28, 2014
Comments received are available for this proposal.
See also: Notice: Rel. No. 34-72426

SR-NASDAQ-2014-046
34-72071 May 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Quarterly Options Series Program
Comments due: May 28, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-044
34-72054 Apr. 30, 2014 Notice of Filing of Proposed Rule Change to Add New Paragraphs (h) and (i) to Rule 11890, entitled "Clearly Erroneous Transactions" 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on April 17, 2014, The NASDAQ Stock Market LLC ("NASDAQ" or "Exchange"), filed with the Securities and Exchange Commission ("Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434

SR-NASDAQ-2014-041
34-72030 Apr. 25, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the First Trust Enhanced Short Maturity ETF of First Trust Exchange-Traded Fund IV
Comments due: May 22, 2014
See also: Order: Rel. No. 34-72382

SR-NASDAQ-2014-038
34-72014 Apr. 24, 2014 Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 Isolated Dividend Growth Index ETF of the Reality Shares ETF Trust Under Rule 5705
Comments due: May 21, 2014
See also: Order: Rel. No. 34-73630, Notice: Rel. No. 34-73418, Order: Rel. No. 34-72715, Notice: Rel. No. 34-72384

SR-NASDAQ-2014-042
34-72012 Apr. 23, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 4758 to Correct a Typographical Error
Comments due: May 20, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-020
34-72007 Apr. 23, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
See also: Notice: Rel. No. 34-72987, Order: Rel. No. 34-72350, Notice: Rel. No. 34-71657

SR-NASDAQ-2014-034
34-71990 Apr. 22, 2014 Notice of Filing of Proposed Rule Change Relating to Proposed Changes to Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data"
Comments due: May 19, 2014
See also: Notice: Rel. No. 34-73416, Order: Rel. No. 34-72654, Notice: Rel. No. 34-72328

SR-NASDAQ-2014-039
34-71978 Apr. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing PHLX Proprietary Products
Comments due: May 16, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-036
34-71961 Apr. 17, 2014 Notice of Filing of Proposed Rule Change to Clarify the Rule Governing the Operation of the Closing Cross in Circumstances Where a Pause Triggered Under the LULD Plan Would be Triggered After 3:50 p.m. EST
Comments due: May 14, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-032
34-71931 Apr. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 4120(c)(8) with Respect to Initial Pricing of Certain Securities Not Subject to an Initial Public Offering
Comments due: May 8, 2014

SR-NASDAQ-2014-031
34-71925 Apr. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program under Rule 7014, and the Schedule of Fees and Rebates under Rule 7018
Comments due: May 6, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-019
34-71913 Apr. 9, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III
Comments due: May 6, 2014
See also:
  Order: Rel. No. 34-71572

SR-NASDAQ-2014-033
34-71902 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-027
34-71892 Apr. 7, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares Multi-Strategy Alternative Portfolio, a series of PowerShares Actively Managed Exchange-Traded Fund Trust
Comments due: May 2, 2014
See also: Notice: Rel. No. 34-72241

SR-NASDAQ-2014-029
34-71874 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Managed Data Solution for Non-Display Usage
Comments due: May 1, 2014
Additional Materials: Exhibit 5
First Quarter

SR-NASDAQ-2012-129
34-71827 Mar. 28, 2014 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Price Improvement Program
See also: Incoming Letter, Order: Rel. No. 34-68937, Notice: Rel. No. 34-68694, Notice: Rel. No. 34-68336,

SR-NASDAQ-2014-030
34-71826 Mar. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program, Which Currently Is Set To Expire On March 28, 2014, For An Additional Six Months
Comments due: April 23, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-009
34-71813 Mar. 26, 2014 Notice of Filing of Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV
Comments due: April 22, 2014
See also: Notice: Rel. No. 34-72141, Notice: Rel. No. 34-71473

SR-NASDAQ-2014-025
34-71794 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's DOT, DOTI, and LIST Routing Strategies
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-026
34-71793 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Program and NBBO Setter Incentive Program under Rule 7014, and to Modify the Rules Governing Fees Assessed for Orders Executed in the NASDAQ Opening Cross under Rule 7018
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-028
34-71785 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-023
34-71703 Mar. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-021
34-71697 Mar. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-020
34-71657 Mar. 6, 2014 Notice of Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
Comments due: April 2, 2014
Additional Materials:  Exhibit 5
See also: Notice: Rel. No. 34-72987, Order: Rel. No. 34-72350, Notice: Rel. No. 34-72007
Comments received are available for this proposal.

SR-NASDAQ-2014-004
34-71597 Feb. 21, 2014 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross
Comments due: March 20, 2014
See also:  Notice: Rel. No. 34-71254

SR-NASDAQ-2014-019
34-71572 Feb. 19, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III
Comments due: March 18, 2014
See also:  Order: Rel. No. 34-71913

SR-NASDAQ-2014-018
34-71570 Feb. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 18, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-017
34-71555 Feb. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Risk Management Tool Commonly Known as a "Kill Switch"
Comments due: March 17, 2014

SR-NASDAQ-2014-016
34-71553 Feb. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options NOM Market Maker Rebates
Comments due: March 13, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-015
34-71530 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program and NBBO Setter Incentive Program under Rule 7014, and the Schedule of Fees and Rebates under Rule 7018
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-155
34-71521 Feb. 11, 2014 Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the AdvisorShares YieldPro ETF of AdvisorShares Trust
Comments due: March 11, 2014
See also:  Notice: Rel. No. 34-71193

SR-NASDAQ-2014-013
34-71516 Feb. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: March 7, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-011
34-71507 Feb. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for NASDAQ Basic
Comments due: March 6, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-010
34-71504 Feb. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Rule Governing Directed Orders
Comments due: March 5, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-009
34-71473 Feb. 4, 2014 Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Tactical High Yield ETF of First Trust Exchange-Traded Fund IV
Comments due: March 3, 2014
See also: Notice: Rel. No. 34-72141, Notice: Rel. No. 34-71813

SR-NASDAQ-2014-007
34-71419 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing
Comments due: February 24, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-008
34-71418 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders
Comments due: February 24, 2014

SR-NASDAQ-2013-148
34-71353 Jan. 17, 2014 Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2013-001, SR-BX-2013-057, SR-Phlx-2013-115, SR-SCCP-2013-01
See also:  Notice: Rel. No. 34-71013

SR-NASDAQ-2014-005
34-71352 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change with Respect to the Composition of NASDAQ Basic
Comments due: February 14, 2014

SR-NASDAQ-2014-006
34-71351 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change with respect to NASDAQ Last Sale
Comments due: February 14, 2014
Comments received are available for this proposal.

SR-NASDAQ-2014-002
34-71299 Jan. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: February 11, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-166
34-71279 Jan. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Modifications to Fees and Credits under Rules 7014 and 7018
Comments due: February 5, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-004
34-71254 Jan. 8, 2014 Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC Proposes to Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross ("Cross")
Comments due: February 4, 2014
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-71597
Comments received are available for this proposal.

SR-NASDAQ-2013-164
34-71226 Jan. 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Describe the Application of Fees Assessed for Connectivity to the Carteret Test Environment under Rule 7030(d)
Comments due: January 29, 2014


NASDAQ File Number List for 2014
Release No. Date

SR-NASDAQ-2014-108
34-73648 Nov. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-107
34-73661 Nov. 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Rule 7018(a) with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-106
34-73662 Nov. 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Interest Reports
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2014-100
34-73574 Nov. 12, 2014 Notice of Filing of a Proposed Rule Change to Amend NASDAQ Rule 7015(d) to Include the IPO Indicator As a New Enhancement to the NASDAQ Workstation
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-099
34-73540 Nov. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancel-Replacement and Route Timer
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-098
34-73558 Nov. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-097
34-73315 Oct. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Algo Test Facility
Comments due: November 4, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-096
34-73303 Oct. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees
Comments due: October 31, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-095
34-73621 Nov. 18, 2014 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Provide a New Optional Functionality to Minimum Quantity Orders
34-73266 Sep. 30, 2014 Notice of Filing of Proposed Rule Change to Provide a New Optional Functionality to Minimum Quantity Orders
Comments due: October 27, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-094
34-73182 Sep. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program Until December 31, 2014
Comments due: October 17, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-093
34-73193 Sep. 23, 2014 Notice of Filing of Proposed Rule Change to Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: October 20, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-092
34-73132 Sep. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees for Optional Wireless Connectivity for Co-located Clients
Comments due: October 14, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-091
34-72993 Sep. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPY and DIA Options
Comments due: October 1, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-090
34-73480 Oct. 31, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the Validea Market Legends ETF of the ETF Series Solutions ETF Trust
34-73178 Sep. 22, 2014 Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Validea Market Legends ETF of the ETF Series Solutions ETF Trust
Comments due: October 17, 2014
Comments received are available for this proposal.

SR-NASDAQ-2014-089
34-73025 Sep. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees
Comments due: October 6, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-088
34-73069 Sep. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4753 to Expand the Information Made Available Through the Order Imbalance Indicator in Connection with the NASDAQ Halt Cross
Comments due: October 7, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-087
34-73647 Nov. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an All-Inclusive Annual Listing Fee and Modify Certain Other Listing Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2014-086
34-72911 Aug. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change 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
Comments due: September 19, 2014

SR-NASDAQ-2014-084
34-72920 Aug. 26, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Market Maker Requirements
Comments due: September 23, 2014

SR-NASDAQ-2014-083
34-72966 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014

SR-NASDAQ-2014-082
34-72967 Sep. 3, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
Comments due: September 30, 2014

SR-NASDAQ-2014-081
34-73399 Oct. 21, 2014 Order Approving a Proposed Rule Change Related to Proposed Changes to 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
34-72961 Sep. 3, 2014 Notice of Filing of Proposed Rule Change Relating to Proposed Changes to 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
Comments due: September 30, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-80
34-73471 Oct. 30, 2014 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust
34-73078 Sep. 11, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust
Comments due: October 8, 2014

SR-NASDAQ-2014-079
34-72811 Aug. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7051 Fees Relating to Pricing for Direct Circuit Connections
Comments due: September 5, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-078
34-72810 Aug. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program under Rule 7014, and the Schedule of Fees and Rebates under Rule 7018
Comments due: September 5, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-077
34-72831 Aug. 13, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny and Non-Penny Pilot Options
Comments due: September 9, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-076
34-72760 Aug. 5, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Utilize a Trade Condition Modifier
Comments due: September 2, 2014

SR-NASDAQ-2014-075
34-72736 Aug. 1, 2014 Notice of Filing and Immediate Effectiveness to Correct Language in the Text of Rule 4753
Comments due: August 27, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-074
34-72699 Jul. 29, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series
Comments due: August 26, 2014

SR-NASDAQ-2014-073
34-73140 Sep. 18, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the First Trust Emerging Markets Local Currency Bond ETF of First Trust Exchange-Traded Fund III
34-72716 Jul. 30, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the First Trust Emerging Markets Local Currency Bond ETF of First Trust Exchange-Traded Fund III
Comments due: August 26, 2014

SR-NASDAQ-2014-072
34-72684 Jul. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disclose Publicly the Sources of Data Used for Exchange Functions
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-NASDAQ-2014-070
34-72620 Jul. 16, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for NASDAQ Basic and to Correct an Error in the Text of Rule 7023
Comments due: August 12, 2014

SR-NASDAQ-2014-069
34-72549 Jul. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees
Comments due: August 1, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-067
34-72899 Aug. 22, 2014 Order Granting Approval of Proposed Rule Change to Rule 5305 to Eliminate the Automatic Transfer of Companies from The NASDAQ Global Market to The NASDAQ Global Select Market
34-72538 Jul. 3, 2014 Notice of Filing of Proposed Rule Change to Rule 5305 to Eliminate the Automatic Transfer of Companies from The NASDAQ Global Market to The NASDAQ Global Select Market
Comments due: July 31, 2014

SR-NASDAQ-2014-066
34-72442 Jun. 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Nasdaq Opening Cross Contingency
Comments due: July 17, 2014

SR-NASDAQ-2014-065
34-73142 Sep. 18, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares® Commodities Trust I
Comments due: October 15, 2014
Rebuttal comments due: October 29, 2014
Comments received are available for this proposal.
34-72779 Aug. 6, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares® Commodities Trust I
34-72412 Jun. 17, 2014 Notice of Filing of Proposed Rule Change to Adopt New Rule 5713 and List Paired Class Shares Issued by AccuShares Commodities Trust I
Comments due: July 14, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-064
34-72407 Jun. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exercise Limits
Comments due: July 14, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-063
34-72809 Aug. 11, 2014 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the Arrow DWA Balanced ETF, Arrow DWA Tactical ETF and Arrow DWA Tactical Yield ETF of Arrow Investments Trust
34-72493 Jun. 27, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the Arrow DWA Balanced ETF, Arrow DWA Tactical ETF and Arrow DWA Tactical Yield ETF of Arrow Investments Trust
Comments due: July 24, 2014

SR-NASDAQ-2014-062
34-72378 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: July 9, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-060
34-72362 Jun. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Joint Back Office Pricing
Comments due: July 7, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-059
34-72728 Jul. 31, 2014 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Global X Commodities ETF of Global X Funds
34-72357 Jun. 10, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Global X Commodities ETF of Global X Funds
Comments due: July 7, 2014
Comments received are available for this proposal.

SR-NASDAQ-2014-058
34-72669 Jul. 24, 2014 Order Granting Approval of Proposed Rule Change to Amend IM-5900-7 to, Among Other Things, Modify the Free Services Offered to Certain Newly Listing Companies
34-72311 Jun. 4, 2014 Notice of Filing of Proposed Rule Change to Amend IM-5900-7 to, Among Other Things, Modify the Free Services Offered to Certain Newly Listing Companies
Comments due: July 1, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-057
34-72607 Jul. 15, 2014 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Duration Mortgage Opportunities ETF of First Trust Exchange-Traded Fund IV
34-72281 May 30, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Duration Mortgage Opportunities ETF of First Trust Exchange-Traded Fund IV
Comments due: June 26, 2014

SR-NASDAQ-2014-056
34-72244 May 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: June 20, 2014

SR-NASDAQ-2014-055
34-72238 May 23, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 20, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-054
34-72226 May 22, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the Nasdaq Opening Cross Contingency
Comments due: June 19, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-053
34-73233 Sep. 26, 2014 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the iShares Commodities Strategy ETF iShares of U.S. ETF Trust
34-72813 Aug. 12, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the iShares Commodities Strategy ETF of iShares U.S. ETF Trust
Comments due: September 8, 2014

SR-NASDAQ-2014-052
34-72142 May 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Relating to the Elimination of SPY Position Limits
Comments due: June 5, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-050
34-72506 Jul. 1, 2014 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Income ETF of First Trust Exchange-Traded Fund IV
34-72169 May 15, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Income ETF of First Trust Exchange-Traded Fund IV
Comments due: June 11, 2014

SR-NASDAQ-2014-049
34-72150 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees and Establish Fee Tiers for the Execution of Market-on-Close and Limit-on-Close Orders Executed in the NASDAQ Closing Cross and Eliminate the High Volume Market Participant Identifier Program
Comments due: June 6, 2014

SR-NASDAQ-2014-048
34-72151 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Consolidate Certain Committee Functions into the NASDAQ Review Council
Comments due: June 6, 2014

SR-NASDAQ-2014-047
34-72126 May 8, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees Set Forth in Rule 7015(e) Governing WebLink ACT and the ACT Workstation
Comments due: June 4, 2014

SR-NASDAQ-2014-046
34-72071 May 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Quarterly Options Series Program
Comments due: May 28, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-045
34-72153 May 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for the NASDAQ Basic Data Product
Comments due: June 6, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-044
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
34-72054 Apr. 30, 2014 Notice of Filing of Proposed Rule Change to Add New Paragraphs (h) and (i) to Rule 11890, entitled "Clearly Erroneous Transactions" 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on April 17, 2014, The NASDAQ Stock Market LLC ("NASDAQ" or "Exchange"), filed with the Securities and Exchange Commission ("Commission") the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-043
34-72105 May 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: June 2, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-042
34-72012 Apr. 23, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 4758 to Correct a Typographical Error
Comments due: May 20, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-041
34-72382 Jun. 12, 2014 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade of Shares of the First Trust Enhanced Short Maturity ETF of First Trust Exchange-Traded Fund IV
34-72030 Apr. 25, 2014 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the First Trust Enhanced Short Maturity ETF of First Trust Exchange-Traded Fund IV
Comments due: May 22, 2014

SR-NASDAQ-2014-040
34-72411 Jun. 17, 2014 Order Granting Approval of a Proposed Rule Change Relating to the Listing and Trading of the Shares of the Calamos Focus Growth ETF of the Calamos ETF Trust
34-72096 May 5, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Calamos Focus Growth ETF of the Calamos ETF Trust
Comments due: May 30, 2014

SR-NASDAQ-2014-039
34-71978 Apr. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing PHLX Proprietary Products
Comments due: May 16, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-038
34-73630 Nov. 18, 2014 Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 Thereto, Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 DIVS Index ETF under Nasdaq Rule 5705
See also: Notice: Rel. No. 34-73418, Notice: Rel. No. 34-72715, Notice: Rel. No. 34-72384, Notice: Rel. No. 34-72014
34-73418 Oct. 23, 2014 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Listing and Trading of Shares of the NASDAQ-100 DIVS Index ETF under Rule 5705
34-72715 Jul. 29, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Listing and Trading of Shares of the NASDAQ-100 DIVS Index ETF under Rule 5705
Comments due: August 26, 2014
Rebuttal comments due:  September 9, 2014
34-72384 Jun. 13, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 DIVS Index ETF of the Reality Shares ETF Trust Under Rule 5705
34-72014 Apr. 24, 2014 Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Reality Shares NASDAQ-100 Isolated Dividend Growth Index ETF of the Reality Shares ETF Trust Under Rule 5705
Comments due: May 21, 2014
Comments received are available for this proposal.

SR-NASDAQ-2014-036
34-71961 Apr. 17, 2014 Notice of Filing of Proposed Rule Change to Clarify the Rule Governing the Operation of the Closing Cross in Circumstances Where a Pause Triggered Under the LULD Plan Would be Triggered After 3:50 p.m. EST
Comments due: May 14, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-035
34-72426 Jun. 18, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the AdvisorShares Sunrise Global Multi-Strategy ETF of AdvisorShares Trust
Comments due: July 15, 2014
34-72077 May 1, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the AdvisorShares Sunrise Global Multi-Strategy ETF of AdvisorShares Trust
Comments due: May 28, 2014
Comments received are available for this proposal.

SR-NASDAQ-2014-034
34-73416 Oct. 23, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Proposed Changes to Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data"
See also: Notice: Rel. No. 34-72654, Notice: Rel. No. 34-72328, Notice: Rel. No. 34-71990
34-72654 Jul. 22, 2014 Order Instituting Proceedings to Determine Whether to Disapprove a Proposed Rule Change Relating to Proposed Changes to Remove from the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data"
Comments due: August 18, 2014
Rebuttal comments due:  September 2, 2014
34-72328 Jun. 5, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Proposed Changes to Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data"
34-71990 Apr. 22, 2014 Notice of Filing of Proposed Rule Change Relating to Proposed Changes to Remove From the Exchange Rules Fee Provisions Regarding Re-Transmission of "Third-Party Data"
Comments due: May 19, 2014

SR-NASDAQ-2014-033
34-71902 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-032
34-71931 Apr. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 4120(c)(8) with Respect to Initial Pricing of Certain Securities Not Subject to an Initial Public Offering
Comments due: May 8, 2014

SR-NASDAQ-2014-031
34-71925 Apr. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program under Rule 7014, and the Schedule of Fees and Rebates under Rule 7018
Comments due: May 6, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-030
34-71826 Mar. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program, Which Currently Is Set To Expire On March 28, 2014, For An Additional Six Months
Comments due: April 23, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-029
34-71874 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Managed Data Solution for Non-Display Usage
Comments due: May 1, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-NASDAQ-2014-029

SR-NASDAQ-2014-028
34-71785 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-027
34-72241 May 23, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the PowerShares Multi-Strategy Alternative Portfolio of PowerShares Actively Managed Exchange-Traded Fund Trust
Comments due: June 20, 2014
34-71892 Apr. 7, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares Multi-Strategy Alternative Portfolio, a series of PowerShares Actively Managed Exchange-Traded Fund Trust
Comments due: May 2, 2014

SR-NASDAQ-2014-026
34-71793 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Program and NBBO Setter Incentive Program under Rule 7014, and to Modify the Rules Governing Fees Assessed for Orders Executed in the NASDAQ Opening Cross under Rule 7018
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-025
34-71794 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's DOT, DOTI, and LIST Routing Strategies
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-023
34-71703 Mar. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-021
34-71697 Mar. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-020
34-73562 Nov. 7, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
Comments due: 21 days after publication in the Federal Register
34-72987 Sep. 4, 2014 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
34-72350 Jun. 9, 2014 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
Comments due: July 7, 2014
Rebuttal comments due: July 18, 2014
Comments received are available for this proposal.
34-72007 Apr. 23, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
34-71657 Mar. 6, 2014 Notice of Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
Comments due: April 2, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-019
34-71913 Apr. 9, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III
Comments due: May 6, 2014
34-71572 Feb. 19, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III
Comments due: March 18, 2014

SR-NASDAQ-2014-018
34-71570 Feb. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 18, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-017
34-71555 Feb. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Risk Management Tool Commonly Known as a "Kill Switch"
Comments due: March 17, 2014

SR-NASDAQ-2014-016
34-71553 Feb. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options NOM Market Maker Rebates
Comments due: March 13, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-015
34-71530 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program and NBBO Setter Incentive Program under Rule 7014, and the Schedule of Fees and Rebates under Rule 7018
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-013
34-71516 Feb. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: March 7, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-011
34-71507 Feb. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for NASDAQ Basic
Comments due: March 6, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-010
34-71504 Feb. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Rule Governing Directed Orders
Comments due: March 5, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-009
34-72141 May 9, 2014 Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Means of Achieving the Investment Objectives of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV
Comments due: June 5, 2014
34-71813 Mar. 26, 2014 Notice of Filing of Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV
Comments due: April 22, 2014
34-71473 Feb. 4, 2014 Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Tactical High Yield ETF of First Trust Exchange-Traded Fund IV
Comments due: March 3, 2014

SR-NASDAQ-2014-008
34-71418 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders
Comments due: February 24, 2014

SR-NASDAQ-2014-007
34-71419 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing
Comments due: February 24, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-006
34-71351 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change with respect to NASDAQ Last Sale
Comments due: February 14, 2014
Comments received are available for this proposal.

SR-NASDAQ-2014-005
34-71352 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change with Respect to the Composition of NASDAQ Basic
Comments due: February 14, 2014

SR-NASDAQ-2014-004
34-71597 Feb. 21, 2014 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross
Comments due: March 20, 2014
34-71254 Jan. 8, 2014 Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC Proposes to Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross ("Cross")
Comments due: February 4, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-002
34-71299 Jan. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: February 11, 2014
Additional Materials:  Exhibit 5

 

http://www.sec.gov/rules/sro/nasdaq.shtml


Modified: 11/21/2014