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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
First Quarter

NASDAQ File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
First Quarter

SR-NASDAQ-2016-019
34-77080 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include NextShares in the Lead Market Maker Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-014
34-77077 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retroactively Apply Recently-Reduced Port Fees
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2016-008
34-77066 Feb. 5, 2016 Notice of Filing of Proposed Rule Change to Amend Rule 4120
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-004
34-76967 Jan. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Rules at Chapter XV, Section 2
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-005
34-76956 Jan. 21, 2016 Notice of Filing of Proposed Rule Change to Adopt a Limit Order Protection and a Market Order Protection
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-003
34-76950 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-006
34-76946 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Subsection (a)(7) of Rule 7003, Registration and Processing Fees
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-002
34-76944 Jan. 21, 2016 Notice of Filing of Proposed Rule Change to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III
Comments due: February 17, 2016

SR-NASDAQ-2015-166
34-76886 Jan. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Chapter XV, entitled "Options Pricing"
Comments due: February 10, 2016

SR-NASDAQ-2015-167
34-76874 Jan. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section (a)(6) of Rule 1120, Continuing Education Requirements
Comments due: February 9, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2015-159
34-76833 Jan. 5, 2016 Notice of Filing of Proposed Rule Change to Implement Additional Price Protections in the Opening Process
Comments due: February 1, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2015-163
34-76830 Jan. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay of Implementation of Kill Switch
Comments due: February 1, 2016

SR-NASDAQ-2015-164
34-76826 Jan. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7014
Comments due: February 1, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2015-162
34-76825 Jan. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7015
Comments due: February 1, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2015-161
34-76817 Jan. 4, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and the First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III
Comments due: January 29, 2016
Comments received are available for this proposal.


NASDAQ File Number List for 2016
Release No. Date Details

SR-NASDAQ-2016-019
34-77080 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include NextShares in the Lead Market Maker Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-014
34-77077 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retroactively Apply Recently-Reduced Port Fees
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2016-008
34-77066 Feb. 5, 2016 Notice of Filing of Proposed Rule Change to Amend Rule 4120
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-006
34-76946 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Subsection (a)(7) of Rule 7003, Registration and Processing Fees
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-005
34-76956 Jan. 21, 2016 Notice of Filing of Proposed Rule Change to Adopt a Limit Order Protection and a Market Order Protection
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-004
34-76967 Jan. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Rules at Chapter XV, Section 2
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-003
34-76950 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-002
34-76944 Jan. 21, 2016 Notice of Filing of Proposed Rule Change to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III
Comments due: February 17, 2016

 

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


Modified: 02/10/2016