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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
Second Quarter | First Quarter
NASDAQ File Number List for 2013
Additional Archives
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
| Release No. |
Date |
Details |
| Second Quarter |
SR-NASDAQ-2013-078 |
| 34-69631 |
May 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Routing Option, MOPB, under Rule 4758(a)(1)(A)
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-NASDAQ-2013-078
|
SR-NASDAQ-2013-077 |
| 34-69611 |
May 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4751(f)(15)
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-077
|
SR-NASDAQ-2013-075 |
| 34-69566 |
May 13, 2013 |
Notice of Filing and Immediate Effectiveness of a 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
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-075
|
SR-NASDAQ-2013-073 |
| 34-69563 |
May 13, 2013 |
Notice of Filing and Immediate Effectiveness of 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
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-073
|
SR-NASDAQ-2013-074 |
| 34-69559 |
May 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options and Non-Penny Pilot Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-074
|
SR-NASDAQ-2013-072 |
| 34-69536 |
May 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Fees Assessed Under Rule 7015(h)
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-072
|
SR-NASDAQ-2013-071 |
| 34-69521 |
May 6, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASDAQ Rule 4763 (Short Sale Price Test Pursuant to Rule 201 of Regulation SHO)
Comments due: May 31, 2013
Submit comments on SR-NASDAQ-2013-071
|
SR-NASDAQ-2013-070 |
| 34-69499 |
May 2, 2013 |
Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit NOM to Accept Inbound Options Orders from NASDAQ OMX BX, Inc.
Comments due: May 29, 2013
Submit comments on SR-NASDAQ-2013-070
|
SR-NASDAQ-2013-036 |
| 34-69464 |
Apr. 26, 2013 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV
See also: Notice: Rel. No. 34-69072
|
SR-NASDAQ-2013-068 |
| 34-69454 |
Apr. 25, 2013 |
Notice of Filing and Immediate Effectiveness of 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
Comments due: May 22, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-068
|
SR-NASDAQ-2013-031 |
| 34-69450 |
Apr. 25, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the Attestation Requirement of Rule 4780 to Allow a Retail Member Organization to Attest that "Substantially All" Orders Submitted to the Retail Price Improvement Program Will Qualify as "Retail Orders"
See also: Notice: Rel. No. 34-69039
|
SR-NASDAQ-2013-069 |
| 34-69445 |
Apr. 24, 2013 |
Notice of Filing and Immediate Effectiveness of 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)
Comments due: May 21, 2013
Submit comments on SR-NASDAQ-2013-069
|
SR-NASDAQ-2013-066 |
| 34-69444 |
Apr. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Up/Limit Down Band Lookup add-on Service to TradeInfo and Assess a Related Subscription Fee
Comments due: May 21, 2013
Submit comments on SR-NASDAQ-2013-066
|
SR-NASDAQ-2013-032 |
| 34-69402 |
Apr. 18, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require That Listed Companies Have an Internal Audit Function
See also: Notice: Rel. No. 34-69030
|
SR-NASDAQ-2013-064 |
| 34-69391 |
Apr. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 15, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-064
|
SR-NASDAQ-2013-063 |
| 34-69376 |
Apr. 15, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: May 10, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-063
|
SR-NASDAQ-2012-117 |
| 34-69363 |
Apr. 11, 2013 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change with Respect to INAV Pegged Orders for ETFs
See also: Order: Rel. No. 34-68672, Notice: Rel. No. 34-68279, Notice: Rel. No. 34-68042
|
SR-NASDAQ-2013-048 |
| 34-69341 |
Apr. 8, 2013 |
Order Granting Accelerated Approval of a Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
See also: Notice: Rel. No. 34-69142
|
SR-NASDAQ-2013-061 |
| 34-69322 |
Apr. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 4120
Comments due: May 2, 2013
Submit comments on SR-NASDAQ-2013-061
|
SR-NASDAQ-2013-062 |
| 34-69321 |
Apr. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot and Non-Penny Pilot Options
Comments due: May 2, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-062
|
SR-NASDAQ-2013-043 |
| 34-69333 |
Apr. 5, 2013 |
Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
See also: Notice: Rel. No. 34-69069
|
SR-NASDAQ-2013-057 |
| 34-69308 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7018 to Establish Fees and Rebates in Connection with NASDAQ's Retail Price Improvement ("RPI") Program
Comments due: May 2, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-057
|
SR-NASDAQ-2013-056 |
| 34-69271 |
Apr. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Fee for use of FIX and OUCH Trading Ports for Testing
Comments due: April 29, 2013
Submit comments on SR-NASDAQ-2013-056
|
| First Quarter |
SR-NASDAQ-2013-055 |
| 34-69250 |
Mar. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Deadline for Submission of Claims under NASDAQ Rule 4626(b)(3)
Comments due: April 24, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-055
|
SR-NASDAQ-2013-053 |
| 34-69245 |
Mar. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: April 23, 2013
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2013-053
|
SR-NASDAQ-2013-049 |
| 34-69236 |
Mar. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Mini Options
Comments due: April 22, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-049
|
SR-NASDAQ-2013-028 |
| 34-69233 |
Mar. 25, 2013 |
Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit NASDAQ to Accept Inbound Orders Routed by NASDAQ Execution Services LLC from the BX Equities Market and PSX
See also: Notice: Rel. No. 34-68891
|
SR-NASDAQ-2013-051 |
| 34-69231 |
Mar. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 23, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-051
|
SR-NASDAQ-2012-045 |
| 34-69217 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 4120
Comments due: April 18, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-045
|
SR-NASDAQ-2013-050 |
| 34-69211 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Assess a Fee for use of FIX and OUCH Trading Ports for Testing
Comments due: April 18, 2013
Submit comments on SR-NASDAQ-2013-050
|
SR-NASDAQ-2012-090 |
| 34-69216 |
Mar. 22, 2013 |
Order Granting Approval of a Proposed Rule Change to Amend Rule 4626-Limitation of Liability
See also: Notice: Rel. No. 34-68707, Notice: Rel. No. 34-68115, Notice: Rel. No. 34-67842, Notice: Rel. No. 34-67507
|
SR-NASDAQ-2012-137 |
| 34-69195 |
Mar. 20, 2013 |
Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, to Establish the Market Quality Program
See also: Exemptive Order: Rel. No. 34-69196, Notice: Rel. No. 34-68925, Notice: Rel. No. 34-68515
|
SR-NASDAQ-2013-046 |
| 34-69180 |
Mar. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of SPY Position Limits
Comments due: April 15, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2013-046
|
SR-NASDAQ-2013-047 |
| 34-69152 |
Mar. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Security
Comments due: April 15, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-047
|
SR-NASDAQ-2013-033 |
| 34-69151 |
Mar. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pre-Market Hours of the Exchange to 4:00 a.m. EST
Comments due: April 11, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-033
|
SR-NASDAQ-2013-048 |
| 34-69142 |
Mar. 15, 2013 |
Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
Comments due: April 4, 2013
Comments received are available for this proposal.
See also: Order: Rel. No. 34-69341
|
SR-NASDAQ-2013-042 |
| 34-69133 |
Mar. 14, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: April 10, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-042
|
SR-NASDAQ-2013-041 |
| 34-69132 |
Mar. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot and Non-Penny Pilot Options
Comments due: April 9, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-041
|
SR-NASDAQ-2013-040 |
| 34-69120 |
Mar. 12, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Chapter V, Section 3(d) and (e)
Comments due: April 8, 2013
|
SR-NASDAQ-2013-037 |
| 34-69108 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Maximum Time Afforded to a Market Maker to Meet its Market Making Obligations Upon Rejoining the Market After an Excused Withdrawal Under Rule 4619
Comments due: April 5, 2013
|
SR-NASDAQ-2013-036 |
| 34-69072 |
Mar. 7, 2013 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV
Comments due: April 3, 2013
See also: Notice: Rel. No. 34-69464
|
SR-NASDAQ-2013-043 |
| 34-69069 |
Mar. 7, 2013 |
Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
Comments due: March 28, 2013
See also: Order: Rel. No. 34-69333
|
SR-NASDAQ-2013-039 |
| 34-69058 |
Mar. 7, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Replace the Current Mid-Point Test Applied to the Definition of Theoretical Price
Comments due: April 3, 2013
|
SR-NASDAQ-2013-038 |
| 34-69055 |
Mar. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fee Schedule Governing Order Routing
Comments due: April 3, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-031 |
| 34-69039 |
Mar. 5, 2013 |
Notice of Filing of Proposed Rule Change to Amend the Attestation Requirement of Rule 4780 to Allow a Retail Member Organization to Attest that "Substantially All" Orders Submitted to the Retail Price Improvement Program Will Qualify as "Retail Orders"
Comments due: April 1, 2013
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-69450
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2013-031
|
SR-NASDAQ-2013-032 |
| 34-69030 |
Mar. 4, 2013 |
Notice of Filing of Proposed Rule Change to Require that Listed Companies Have an Internal Audit Function
Comments due: March 29, 2013
See also: Notice: Rel. No. 34-69402
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2013-032
|
SR-NASDAQ-2013-035 |
| 34-69028 |
Mar. 4, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Assess a Fee for the Limit Locator Service
Comments due: March 29, 2013
|
SR-NASDAQ-2013-034 |
| 34-69006 |
Feb. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 28, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-029 |
| 34-68976 |
Feb. 25, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Routing Fees To C2
Comments due: March 22, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-147 |
| 34-68972 |
Feb. 22, 2013 |
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 First Trust High Yield Long/Short ETF of First Trust Exchange-Traded Fund IV
See also: Notice: Rel. Nos. 34-68581
|
SR-NASDAQ-2012-129 |
| 34-68937 |
Feb. 15, 2013 |
Order Granting Approval to
Proposed Rule Change, as Modified by Amendment No. 1, to Establish the Retail Price
Improvement Program on a Pilot Basis until 12 Months from the Date of Implementation
See also: Notice: Rel. Nos. 34-68694, 34-68336
|
SR-NASDAQ-2012-137 |
| 34-68925 |
Feb. 14, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, to Establish the Market Quality Program
See also: Exemptive Order: Rel. No. 34-69196, Order: Rel. No. 34-69195, Notice: Rel. No. 34-68515
|
SR-NASDAQ-2013-026 |
| 34-68917 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: March 13, 2013
|
SR-NASDAQ-2013-024 |
| 34-68913 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Measure Used to Determine Whether the Price of a Stock is Equal To or Greater Than One Dollar Under Rule 4120(a)(11)
Comments due: March 12, 2013
|
SR-NASDAQ-2013-025 |
| 34-68911 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates to Add Liquidity in Penny Pilot Options
Comments due: March 12, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-023 |
| 34-68905 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: March 12, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-027 |
| 34-68899 |
Feb. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 8, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-028 |
| 34-68891 |
Feb. 8, 2013 |
Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit Inbound Orders Routed by Nasdaq Execution Services LLC from the NASDAQ OMX BX Equities Market and NASDAQ OMX PSX
Comments due: March 7, 2013
See also: Order: Rel. No. 34-69233
|
SR-NASDAQ-2013-017 |
| 34-68850 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Restore Certain Requirements that Were Inadvertently Deleted from Rule 5815 Relating to a Staff Delisting Determination, Public Reprimand Letter, or Written Denial of a Listing Application
Comments due: March 7, 2013
|
SR-NASDAQ-2013-016 |
| 34-68847 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the Purpose of Amending Rule 7014(g)
Comments due: March 5, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-020 |
| 34-68841 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Locator Service Offered at No Cost to Subscribing Members
Comments due: March 5, 2013
|
SR-NASDAQ-2013-014 |
| 34-68839 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Routing Functionality to the NASDAQ System
Comments due: March 5, 2013
Comments received are available for this proposal.
|
SR-NASDAQ-2012-142 |
| 34-68823 |
Feb. 4, 2013 |
Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2012-002, SR-BX-2012-075, SR-Phlx-2012-142, SR-SCCP-2012-02
See also: Notice: Rel. No. 34-68512
|
SR-NASDAQ-2013-022 |
| 34-68819 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program Related to Rule 11890, entitled "Clearly Erroneous Transactions"
Comments due: March 1, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-015 |
| 34-68799 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Rule 4120
Comments due: February 28, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-021 |
| 34-68786 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to delay the operative date of a rule change to NASDAQ Rule 4121
Comments due: February 27, 2013
|
SR-NASDAQ-2013-013 |
| 34-68761 |
Jan. 29, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Chapter XV, Section 2 of the Rules Governing the NASDAQ Options Market, NASDAQ's Facility for Executing and Routing Standardized Equity and Index Options
Comments due: February 26, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-012 |
| 34-68762 |
Jan. 29, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4756 and Rule 4763 Regarding Modification of Previously Entered Orders
Comments due: February 25, 2013
|
SR-NASDAQ-2012-119 |
| 34-68735 |
Jan. 25, 2013 |
Order Approving a Proposed Rule Change to Establish a New Optional Wireless Connectivity for Colocated Clients
See also: Notice: Rel. No. 34-68416, Notice: Rel. No. 34-68085
|
SR-NASDAQ-2013-008 |
| 34-68721 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5710
Comments due: February 20, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-010 |
| 34-68718 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 20, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-011 |
| 34-68720 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: February 20, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-090 |
| 34-68707 |
Jan. 23, 2013 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 4626-Limitation of Liability
See also: Order: Rel. No. 34-69216, Order: Rel. No. 34-68115, Notice: Rel. No. 34-67842, Notice: Rel. No. 34-67507
|
SR-NASDAQ-2012-129 |
| 34-68694 |
Jan. 18, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish the Retail Price Improvement Program on a Pilot Basis until 12 Months from the Date of Implementation
See also: Order: Rel. No. 34-68937, Notice: Rel. No. 34-68336;
|
SR-NASDAQ-2013-003 |
| 34-68677 |
Jan. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase the Record-Keeping and Substitution Listing Fees Payable by Companies Listed on Nasdaq
Comments due: February 13, 2013
|
SR-NASDAQ-2013-004 |
| 34-68676 |
Jan. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees For Review of Delisting Determinations and Appeal of Panel Decisions
Comments due: February 13, 2013
|
SR-NASDAQ-2012-117 |
| 34-68672 |
Jan. 16, 2013 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change with Respect to INAV Pegged Orders for ETFs
Comments due: February 13, 2013
Rebuttal comments due: February 27, 2013
See also: Notice: Rel. No. 34-69363, Notice: Rel. No. 34-68279, Notice: Rel. No. 34-68042
Submit comments on SR-NASDAQ-2012-117
|
SR-NASDAQ-2013-007 |
| 34-68654 |
Jan. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operative Date of Recent Changes Made to Rules 4613(a)(2)(F) and (G), and Rule 4751(f)(15)
Comments due: February 12, 2013
|
SR-NASDAQ-2012-109 |
| 34-68640 |
Jan. 11, 2013 |
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 Amend the Listing Rules for Compensation Committees to Comply with Rule 10C-1 under the Act and Make Other Related Changes
Comments due: February 12, 2013
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-68313, Notice: Rel. No. 34-68013
|
SR-NASDAQ-2013-009 |
| 34-68636 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Optional Historical Research and Administrative Report Fee and Related NASDAQ Rule 7022 Revisions
Comments due: February 7, 2013
|
SR-NASDAQ-2012-149 |
| 34-68626 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NASDAQ's Order Execution Rebates and Investor Support Program
Comments due: February 7, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-002 |
| 34-68624 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Co-location Services
Comments due: February 7, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-059 |
| 34-68629 |
Jan. 11, 2013 |
Order Disapproving Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
See also: Order: Rel. No. 34-68199, Order: Rel. No. 34-67655, Notice: Rel. No. 34-67258, and Notice: Rel. No. 34-66972
|
SR-NASDAQ-2013-005 |
| 34-68617 |
Jan. 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Latency Optics add-on Service to QView
Comments due: February 6, 2013
|
SR-NASDAQ-2013-001 |
| 34-68609 |
Jan. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 5, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-141 |
| 34-68613 |
Jan. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options
Comments due: February 5, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-147 |
| 34-68581 |
Jan. 4, 2013 |
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust High Yield Long/Short ETF of First Trust Exchange-Traded Fund IV
Comments due: January 31, 2013
See also: Order: Rel. No. 34-68972
|
SR-NASDAQ-2012-145 |
| 34-68568 |
Jan. 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: January 30, 2013
Comments received are available for this proposal.
|
| NASDAQ File Number List for 2013 |
| Release No. |
Date |
Details |
SR-NASDAQ-2013-078 |
| 34-69631 |
May 23, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Routing Option, MOPB, under Rule 4758(a)(1)(A)
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-078
|
SR-NASDAQ-2013-077 |
| 34-69611 |
May 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4751(f)(15)
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-077
|
SR-NASDAQ-2013-075 |
| 34-69566 |
May 13, 2013 |
Notice of Filing and Immediate Effectiveness of a 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
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-075
|
SR-NASDAQ-2013-074 |
| 34-69559 |
May 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options and Non-Penny Pilot Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-074
|
SR-NASDAQ-2013-073 |
| 34-69563 |
May 13, 2013 |
Notice of Filing and Immediate Effectiveness of 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
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-073
|
SR-NASDAQ-2013-072 |
| 34-69536 |
May 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Fees Assessed Under Rule 7015(h)
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-072
|
SR-NASDAQ-2013-071 |
| 34-69521 |
May 6, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASDAQ Rule 4763 (Short Sale Price Test Pursuant to Rule 201 of Regulation SHO)
Comments due: May 31, 2013
Submit comments on SR-NASDAQ-2013-071
|
SR-NASDAQ-2013-070 |
| 34-69499 |
May 2, 2013 |
Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit NOM to Accept Inbound Options Orders from NASDAQ OMX BX, Inc.
Comments due: May 29, 2013
Submit comments on SR-NASDAQ-2013-070
|
SR-NASDAQ-2013-069 |
| 34-69445 |
Apr. 24, 2013 |
Notice of Filing and Immediate Effectiveness of 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)
Comments due: May 21, 2013
Submit comments on SR-NASDAQ-2013-069
|
SR-NASDAQ-2013-068 |
| 34-69454 |
Apr. 25, 2013 |
Notice of Filing and Immediate Effectiveness of 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
Comments due: May 22, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-068
|
SR-NASDAQ-2013-066 |
| 34-69444 |
Apr. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Up/Limit Down Band Lookup add-on Service to TradeInfo and Assess a Related Subscription Fee
Comments due: May 21, 2013
Submit comments on SR-NASDAQ-2013-066
|
SR-NASDAQ-2013-064 |
| 34-69391 |
Apr. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 15, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-064
|
SR-NASDAQ-2013-063 |
| 34-69376 |
Apr. 15, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: May 10, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-063
|
SR-NASDAQ-2013-062 |
| 34-69321 |
Apr. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot and Non-Penny Pilot Options
Comments due: May 2, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-062
|
SR-NASDAQ-2013-061 |
| 34-69322 |
Apr. 5, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 4120
Comments due: May 2, 2013
Submit comments on SR-NASDAQ-2013-061
|
SR-NASDAQ-2013-057 |
| 34-69308 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7018 to Establish Fees and Rebates in Connection with NASDAQ's Retail Price Improvement ("RPI") Program
Comments due: May 2, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-057
|
SR-NASDAQ-2013-056 |
| 34-69271 |
Apr. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Fee for use of FIX and OUCH Trading Ports for Testing
Comments due: April 29, 2013
Submit comments on SR-NASDAQ-2013-056
|
SR-NASDAQ-2013-055 |
| 34-69250 |
Mar. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Deadline for Submission of Claims under NASDAQ Rule 4626(b)(3)
Comments due: April 24, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-055
|
SR-NASDAQ-2013-053 |
| 34-69245 |
Mar. 27, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: April 23, 2013
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2013-053
|
SR-NASDAQ-2013-051 |
| 34-69231 |
Mar. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 23, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-051
|
SR-NASDAQ-2013-050 |
| 34-69211 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Assess a Fee for use of FIX and OUCH Trading Ports for Testing
Comments due: April 18, 2013
Submit comments on SR-NASDAQ-2013-050
|
SR-NASDAQ-2013-049 |
| 34-69236 |
Mar. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Mini Options
Comments due: April 22, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-049
|
SR-NASDAQ-2013-048 |
| 34-69341 |
Apr. 8, 2013 |
Order Granting Accelerated Approval of a Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
|
| 34-69142 |
Mar. 15, 2013 |
Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
Comments due: April 4, 2013
Comments received are available for this proposal.
|
SR-NASDAQ-2013-047 |
| 34-69152 |
Mar. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Security
Comments due: April 15, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-047
|
SR-NASDAQ-2013-046 |
| 34-69180 |
Mar. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of SPY Position Limits
Comments due: April 15, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2013-046
|
SR-NASDAQ-2012-045 |
| 34-69217 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 4120
Comments due: April 18, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-045
|
SR-NASDAQ-2013-043 |
| 34-69333 |
Apr. 5, 2013 |
Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
|
| 34-69069 |
Mar. 7, 2013 |
Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
Comments due: March 28, 2013
|
SR-NASDAQ-2013-042 |
| 34-69133 |
Mar. 14, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: April 10, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-042
|
SR-NASDAQ-2013-041 |
| 34-69132 |
Mar. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot and Non-Penny Pilot Options
Comments due: April 9, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-040 |
| 34-69120 |
Mar. 12, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Chapter V, Section 3(d) and (e)
Comments due: April 8, 2013
|
SR-NASDAQ-2013-039 |
| 34-69058 |
Mar. 7, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Replace the Current Mid-Point Test Applied to the Definition of Theoretical Price
Comments due: April 3, 2013
|
SR-NASDAQ-2013-038 |
| 34-69055 |
Mar. 7, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fee Schedule Governing Order Routing
Comments due: April 3, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-037 |
| 34-69108 |
Mar. 11, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Maximum Time Afforded to a Market Maker to Meet its Market Making Obligations Upon Rejoining the Market After an Excused Withdrawal Under Rule 4619
Comments due: April 5, 2013
|
SR-NASDAQ-2013-036 |
| 34-69464 |
Apr. 26, 2013 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV
|
| 34-69072 |
Mar. 7, 2013 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV
Comments due: April 3, 2013
|
SR-NASDAQ-2013-035 |
| 34-69028 |
Mar. 4, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Assess a Fee for the Limit Locator Service
Comments due: March 29, 2013
|
SR-NASDAQ-2013-034 |
| 34-69006 |
Feb. 28, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 28, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-033 |
| 34-69151 |
Mar. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pre-Market Hours of the Exchange to 4:00 a.m. EST
Comments due: April 11, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-033
|
SR-NASDAQ-2013-032 |
| 34-69402 |
Apr. 18, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require That Listed Companies Have an Internal Audit Function
|
| 34-69030 |
Mar. 4, 2013 |
Notice of Filing of Proposed Rule Change to Require that Listed Companies Have an Internal Audit Function
Comments due: March 29, 2013
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2013-032
|
SR-NASDAQ-2013-031 |
| 34-69450 |
Apr. 25, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the Attestation Requirement of Rule 4780 to Allow a Retail Member Organization to Attest that "Substantially All" Orders Submitted to the Retail Price Improvement Program Will Qualify as "Retail Orders"
|
| 34-69039 |
Mar. 5, 2013 |
Notice of Filing of Proposed Rule Change to Amend the Attestation Requirement of Rule 4780 to Allow a Retail Member Organization to Attest that "Substantially All" Orders Submitted to the Retail Price Improvement Program Will Qualify as "Retail Orders"
Comments due: April 1, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2013-031
|
SR-NASDAQ-2013-029 |
| 34-68976 |
Feb. 25, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Routing Fees To C2
Comments due: March 22, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-028 |
| 34-69233 |
Mar. 25, 2013 |
Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit NASDAQ to Accept Inbound Orders Routed by NASDAQ Execution Services LLC from the BX Equities Market and PSX
|
| 34-68891 |
Feb. 8, 2013 |
Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit Inbound Orders Routed by Nasdaq Execution Services LLC from the NASDAQ OMX BX Equities Market and NASDAQ OMX PSX
Comments due: March 7, 2013
|
SR-NASDAQ-2013-027 |
| 34-68899 |
Feb. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 8, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-026 |
| 34-68917 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: March 13, 2013
|
SR-NASDAQ-2013-025 |
| 34-68911 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates to Add Liquidity in Penny Pilot Options
Comments due: March 12, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-025
|
SR-NASDAQ-2013-024 |
| 34-68913 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Measure Used to Determine Whether the Price of a Stock is Equal To or Greater Than One Dollar Under Rule 4120(a)(11)
Comments due: March 12, 2013
|
SR-NASDAQ-2013-023 |
| 34-68905 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: March 12, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-022 |
| 34-68819 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program Related to Rule 11890, entitled "Clearly Erroneous Transactions"
Comments due: March 1, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-021 |
| 34-68786 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to delay the operative date of a rule change to NASDAQ Rule 4121
Comments due: February 27, 2013
|
SR-NASDAQ-2013-020 |
| 34-68841 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Locator Service Offered at No Cost to Subscribing Members
Comments due: March 5, 2013
|
SR-NASDAQ-2013-017 |
| 34-68850 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Restore Certain Requirements that Were Inadvertently Deleted from Rule 5815 Relating to a Staff Delisting Determination, Public Reprimand Letter, or Written Denial of a Listing Application
Comments due: March 7, 2013
|
SR-NASDAQ-2013-016 |
| 34-68847 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the Purpose of Amending Rule 7014(g)
Comments due: March 5, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-015 |
| 34-68799 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Rule 4120
Comments due: February 28, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-014 |
| 34-68839 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Routing Functionality to the NASDAQ System
Comments due: March 5, 2013
Comments received are available for this proposal.
|
SR-NASDAQ-2013-012 |
| 34-68762 |
Jan. 29, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4756 and Rule 4763 Regarding Modification of Previously Entered Orders
Comments due: February 25, 2013
|
SR-NASDAQ-2013-013 |
| 34-68761 |
Jan. 29, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Chapter XV, Section 2 of the Rules Governing the NASDAQ Options Market, NASDAQ's Facility for Executing and Routing Standardized Equity and Index Options
Comments due: February 26, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-011 |
| 34-68720 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: February 20, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-010 |
| 34-68718 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 20, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-009 |
| 34-68636 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Optional Historical Research and Administrative Report Fee and Related NASDAQ Rule 7022 Revisions
Comments due: February 7, 2013
|
SR-NASDAQ-2013-008 |
| 34-68721 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5710
Comments due: February 20, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-007 |
| 34-68654 |
Jan. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operative Date of Recent Changes Made to Rules 4613(a)(2)(F) and (G), and Rule 4751(f)(15)
Comments due: February 12, 2013
|
SR-NASDAQ-2013-005 |
| 34-68617 |
Jan. 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Latency Optics add-on Service to QView
Comments due: February 6, 2013
|
SR-NASDAQ-2013-004 |
| 34-68676 |
Jan. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees For Review of Delisting Determinations and Appeal of Panel Decisions
Comments due: February 13, 2013
|
SR-NASDAQ-2013-003 |
| 34-68677 |
Jan. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase the Record-Keeping and Substitution Listing Fees Payable by Companies Listed on Nasdaq
Comments due: February 13, 2013
|
SR-NASDAQ-2013-002 |
| 34-68624 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Co-location Services
Comments due: February 7, 2013
Additional Materials: Exhibit 5
|
SR-NASDAQ-2013-001 |
| 34-68609 |
Jan. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 5, 2013
Additional Materials: Exhibit 5
|
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http://www.sec.gov/rules/sro/nasdaq.shtml
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