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
Second Quarter | First Quarter

NASDAQ File Number List for 2013

Additional Archives


Chronological List
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
-

 

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


Modified: 05/24/2013