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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 2008
Additional Archives
2008 | 2007 | 2006
| Release No. |
Date |
Details |
| Second Quarter |
SR-NASDAQ-2008-039 |
| 34-57800 |
May 8, 2008 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Managed Fund Shares
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-NASDAQ-2008-039
|
SR-NASDAQ-2008-037 |
| 34-57795 |
May 7, 2008 |
Notice of Filing of Proposed Rule Change to Modify Nasdaq’s Continued Listing Requirements to Replace Round Lot Shareholders
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2008-037
|
SR-NASDAQ-2008-038 |
| 34-57771 |
May 2, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Shares of Certain PowerShares Actively Managed Exchange-Traded Funds Pursuant to Unlisted Trading Privileges
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2008-038
|
SR-NASDAQ-2008-035 |
| 34-57761 |
May 1, 2008 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of The NASDAQ OMX Group, Inc. in Connection with Acquisitions of Boston Stock Exchange, Incorporated and Philadelphia Stock Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2008-035
|
SR-NASDAQ-2008-036 |
| 34-57753 |
May 1, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2008-036
|
SR-NASDAQ-2008-034 |
| 34-57696 |
Apr. 22, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Two-Characters Ticker Symbols
Comments due: May 19, 2008
Submit comments on SR-NASDAQ-2008-034
|
SR-NASDAQ-2008-013 |
| 34-57685 |
Apr. 18, 2008 |
Notice of Filing of Proposed Rule Change Relating to the Adoption of Additional Initial Listing Standards for Special Purpose Acquisition Vehicles
Comments due: May 15, 2008
Submit comments on SR-NASDAQ-2008-013
|
SR-NASDAQ-2008-030 |
| 34-57658 |
Apr. 11, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Charges for Pre-trade Risk Management Workstation Add-ons
Comments due: May 8, 2008
Submit comments on SR-NASDAQ-2008-030
|
SR-NASDAQ-2008-028 |
| 34-57654 |
Apr. 11, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Options on the Full and Reduced Values of the Nasdaq 100 Index
Comments due: May 8, 2008
Submit comments on SR-NASDAQ-2008-028
|
SR-NASDAQ-2008-017 |
| 34-57616 |
Apr. 3, 2008 |
Notice of Filing of Proposed Rule Change to Clarify the Listing of Additional Shares Notification Process
Comments due: May 1, 2008
Submit comments on SR-NASDAQ-2008-017
|
SR-NASDAQ-2008-29 |
| 34-57614 |
Apr. 3, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify a Pricing Incentive Program for Market Makers in Exchange-Traded Funds and Index-Linked Securities Listed on NASDAQ
Comments due: May 1, 2008
Submit comments on SR-NASDAQ-2008-29
|
SR-NASDAQ-2008-027 |
| 34-57599 |
Apr. 1, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for Trading on The NASDAQ Options Market
Comments due: April 28, 2008
Submit comments on SR-NASDAQ-2008-027
|
SR-NASDAQ-2007-067 |
| 34-57595 |
Apr. 1, 2008 |
Notice of Filing of A Proposed Rule Change to Establish an Imbalance Cross
Comments due: April 29, 2008
Submit comments on SR-NASDAQ-2007-067
|
| First Quarter |
SR-NASDAQ-2008-026 |
| 34-57579 |
Mar. 28, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Participate in the Options Penny Pilot Program
Comments due: April 25, 2008
Submit comments on SR-NASDAQ-2008-026
|
SR-NASDAQ-2008-022 |
| 34-57564 |
Mar. 26, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Rules Governing the Operation of The NASDAQ Options Market
Comments due: April 22, 2008
Submit comments on SR-NASDAQ-2008-022
|
SR-NASDAQ-2008-021 |
| 34-57537 |
Mar. 20, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Processing of Orders That Peg to the Midpoint Between the National Best Bid And Best Offer
Comments due: April 16, 2008
Submit comments on SR-NASDAQ-2008-021
|
SR-NASDAQ-2008-015 |
| 34-57534 |
Mar. 20, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, to Modify Fees Associated with Proceedings under Rule 11890
Comments due: April 16, 2008
Submit comments on SR-NASDAQ-2008-015
|
SR-NASDAQ-2007-080 |
| 34-57478 |
Mar. 12, 2008 |
Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, to Establish Rules Governing the Trading of Options on the NASDAQ Options Market; Order Approving a Proposed Rule Change Relating to the LLC Agreement Establishing the NASDAQ Options Market LLC and Delegation Agreement Delegating to NOM LLC the Authority to Operate the NASDAQ Options Market; Order Granting an Application of The NASDAQ Stock Market LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act from the Requirements of Section 19(b) of the Exchange Act; and Order Granting an Exemption for the NASDAQ Options Market LLC from Section 11A(b) of the Exchange Act
Comments due: April 8, 2008
Additional Materials: Amendment No. 2
|
SR-NASDAQ-2007-004 |
| 34-57478 |
Mar. 12, 2008 |
Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, to Establish Rules Governing the Trading of Options on the NASDAQ Options Market; Order Approving a Proposed Rule Change Relating to the LLC Agreement Establishing the NASDAQ Options Market LLC and Delegation Agreement Delegating to NOM LLC the Authority to Operate the NASDAQ Options Market; Order Granting an Application of The NASDAQ Stock Market LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act from the Requirements of Section 19(b) of the Exchange Act; and Order Granting an Exemption for the NASDAQ Options Market LLC from Section 11A(b) of the Exchange Act
Comments due: April 8, 2008
Additional Materials: Amendment No. 2
See also: Notice: Rel. No. 34-55667
|
SR-NASDAQ-2008-004 |
| 34-57452 |
Mar. 7, 2008 |
Order Granting Approval of Proposed Rule Change Related to Supplemental Market Participant Identifiers
See also: Notice: Rel. No. 34-57212
|
SR-NASDAQ-2007-096 |
| 34-57447 |
Mar. 6, 2008 |
Order Approving Proposed Rule Change to Modify the Allocation of the Maximum Time an Adjudicatory Body May Grant a Company to Regain Compliance with the Listing Requirements without Modifying the Maximum Time Available Under Nasdaq Rule 4802
See also: Notice: Rel. No. 34-57214
|
SR-NASDAQ-2007-090 |
| 34-57445 |
Mar. 6, 2008 |
Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Accept Financial Statements Prepared in Accordance with International Financial Reporting Standards, as Issued by the International Accounting Standards Board, for Certain Foreign Private Issuers, Consistent with Commission Rules
See also: Notice: Rel. No. 34-57290
|
SR-NASDAQ-2008-012 |
| 34-57430 |
Mar. 4, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Shares of the GreenHaven Continuous Commodity Fund Pursuant to Unlisted Trading Privileges
Comments due: April 1, 2008
|
SR-NASDAQ-2008-011 |
| 34-57368 |
Feb. 21, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Securities Using Alternative Settlement Processes in Nasdaq's PORTAL System
Comments due: March 20, 2008
|
SR-NASDAQ-2008-010 |
| 34-57348 |
Feb. 19, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Units of the United States 12 Month Oil Fund, LP and the United States 12 Month Natural Gas Fund, LP Pursuant to Unlisted Trading Privileges
Comments due: March 17, 2008
|
SR-NASDAQ-2007-100 |
| 34-57347 |
Feb. 19, 2008 |
Order Approving Proposed Rule Change to Nasdaq Rule 7033 to Modify the Fees Charged for the Mutual Fund Quotation Service and to Correct Certain Errors in the Rule Manual
See also: Notice: Rel. No. 34-57105
|
SR-NASDAQ-2007-090 |
| 34-57290 |
Feb. 7, 2008 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Accept Financial Statements Prepared in Accordance with International Financial Reporting Standards, as Issued by the International Accounting Standards Board, for Certain Foreign Private Issuers
Comments due: March 4, 2008
See also: Order: Rel. No. 34-57445
|
SR-NASDAQ-2008-009 |
| 34-57274 |
Feb. 5, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: March 4, 2008
|
SR-NASDAQ-2008-008 |
| 34-57269 |
Feb. 5, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade the Shares of Eight Funds of the ProShares Trust Based on Four International Equity Indexes Pursuant to Unlisted Trading Privileges and to Amend Certain Generic Listing Standards
Comments due: March 4, 2008
|
SR-NASDAQ-2007-096 |
| 34-57214 |
Jan. 28, 2008 |
Notice of Filing of Proposed Rule Change to Modify the Allocation of the Maximum Time an Adjudicatory Body May Grant a Company to Regain Compliance with the Listing Requirements without Modifying the Maximum Time Available Under Nasdaq Rule 4802
Comments due: February 22, 2008
See also: Order: Rel. No. 34-57447
|
SR-NASDAQ-2008-004 |
| 34-57212 |
Jan. 28, 2008 |
Notice of Filing of Proposed Rule Change Related to Supplemental Market Participant Identifiers
Comments due: February 22, 2008
See also: Order: Rel. No. 34-57452
|
SR-NASDAQ-2007-094 |
| 34-57198 |
Jan. 24, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Notification Requirements for Issuers Making Distributions to Shareholders
Comments due: February 21, 2008
|
SR-NASDAQ-2007-079 |
| 34-57189 |
Jan. 23, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Units of the United States Heating Oil Fund, LP and the United States Gasoline Fund, LP Pursuant to Unlisted Trading Privileges
Comments due: February 19, 2008
|
SR-NASDAQ-2008-007 |
| 34-57183 |
Jan. 22, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of Certain Fee Changes
Comments due: February 19, 2008
|
SR-NASDAQ-2008-006 |
| 34-57175 |
Jan. 18, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Recipients of Certain Risk Disclosures
Comments due: February 19, 2008
|
SR-NASDAQ-2008-001 |
| 34-57147 |
Jan. 14, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Modify Fees for Members Using the Nasdaq Market Center
Comments due: February 12, 2008
|
SR-NASDAQ-2008-003 |
| 34-57146 |
Jan. 14, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for Members Using the NASDAQ Pre-Trade Risk Management Functionality
Comments due: February 12, 2008
|
SR-NASDAQ-2007-100 |
| 34-57105 |
Jan. 4, 2008 |
Notice of Filing of a Proposed Rule Change To Nasdaq’s Rule 7033 to Modify the Fees Charged for the Mutual Fund Quotation Service and to Correct Certain Errors in the Rule Manual
Comments due: February 4, 2008
See also: Order: Rel. No. 34-57347
|
SR-NASDAQ-2008-002 |
| 34-57099 |
Jan. 4, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Nasdaq Stockholders’ Agreement between The Nasdaq Stock Market, Inc. and Borse Dubai Limited
Comments due: January 31, 2008
|
| NASDAQ File Number List for 2008 |
| Release No. |
Date |
Details |
SR-NASDAQ-2008-039 |
| 34-57800 |
May 8, 2008 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Managed Fund Shares
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2008-039
|
SR-NASDAQ-2008-038 |
| 34-57771 |
May 2, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Shares of Certain PowerShares Actively Managed Exchange-Traded Funds Pursuant to Unlisted Trading Privileges
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2008-038
|
SR-NASDAQ-2008-037 |
| 34-57795 |
May 7, 2008 |
Notice of Filing of Proposed Rule Change to Modify Nasdaq’s Continued Listing Requirements to Replace Round Lot Shareholders
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2008-037
|
SR-NASDAQ-2008-036 |
| 34-57753 |
May 1, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2008-036
|
SR-NASDAQ-2008-035 |
| 34-57761 |
May 1, 2008 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of The NASDAQ OMX Group, Inc. in Connection with Acquisitions of Boston Stock Exchange, Incorporated and Philadelphia Stock Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2008-035
|
SR-NASDAQ-2008-034 |
| 34-57696 |
Apr. 22, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading Two-Characters Ticker Symbols
Comments due: May 19, 2008
Submit comments on SR-NASDAQ-2008-034
|
SR-NASDAQ-2008-030 |
| 34-57658 |
Apr. 11, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Charges for Pre-trade Risk Management Workstation Add-ons
Comments due: May 8, 2008
Submit comments on SR-NASDAQ-2008-030
|
SR-NASDAQ-2008-29 |
| 34-57614 |
Apr. 3, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify a Pricing Incentive Program for Market Makers in Exchange-Traded Funds and Index-Linked Securities Listed on NASDAQ
Comments due: May 1, 2008
Submit comments on SR-NASDAQ-2008-29
|
SR-NASDAQ-2008-028 |
| 34-57654 |
Apr. 11, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Options on the Full and Reduced Values of the Nasdaq 100 Index
Comments due: May 8, 2008
Submit comments on SR-NASDAQ-2008-028
|
SR-NASDAQ-2008-027 |
| 34-57599 |
Apr. 1, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for Trading on The NASDAQ Options Market
Comments due: April 28, 2008
Submit comments on SR-NASDAQ-2008-027
|
SR-NASDAQ-2008-026 |
| 34-57579 |
Mar. 28, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Participate in the Options Penny Pilot Program
Comments due: April 25, 2008
Submit comments on SR-NASDAQ-2008-026
|
SR-NASDAQ-2008-022 |
| 34-57564 |
Mar. 26, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Rules Governing the Operation of The NASDAQ Options Market
Comments due: April 22, 2008
Submit comments on SR-NASDAQ-2008-022
|
SR-NASDAQ-2008-021 |
| 34-57537 |
Mar. 20, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Processing of Orders That Peg to the Midpoint Between the National Best Bid And Best Offer
Comments due: April 16, 2008
Submit comments on SR-NASDAQ-2008-021
|
SR-NASDAQ-2008-017 |
| 34-57616 |
Apr. 3, 2008 |
Notice of Filing of Proposed Rule Change to Clarify the Listing of Additional Shares Notification Process
Comments due: May 1, 2008
Submit comments on SR-NASDAQ-2008-017
|
SR-NASDAQ-2008-015 |
| 34-57534 |
Mar. 20, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No. 1 Thereto, to Modify Fees Associated with Proceedings under Rule 11890
Comments due: April 16, 2008
Submit comments on SR-NASDAQ-2008-015
|
SR-NASDAQ-2008-013 |
| 34-57685 |
Apr. 18, 2008 |
Notice of Filing of Proposed Rule Change Relating to the Adoption of Additional Initial Listing Standards for Special Purpose Acquisition Vehicles
Comments due: May 15, 2008
Submit comments on SR-NASDAQ-2008-013
|
SR-NASDAQ-2008-012 |
| 34-57430 |
Mar. 4, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Shares of the GreenHaven Continuous Commodity Fund Pursuant to Unlisted Trading Privileges
Comments due: April 1, 2008
|
SR-NASDAQ-2008-011 |
| 34-57368 |
Feb. 21, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Equity Securities Using Alternative Settlement Processes in Nasdaq's PORTAL System
Comments due: March 20, 2008
|
SR-NASDAQ-2008-010 |
| 34-57348 |
Feb. 19, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Units of the United States 12 Month Oil Fund, LP and the United States 12 Month Natural Gas Fund, LP Pursuant to Unlisted Trading Privileges
Comments due: March 17, 2008
|
SR-NASDAQ-2008-009 |
| 34-57274 |
Feb. 5, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: March 4, 2008
|
SR-NASDAQ-2008-008 |
| 34-57269 |
Feb. 5, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade the Shares of Eight Funds of the ProShares Trust Based on Four International Equity Indexes Pursuant to Unlisted Trading Privileges and to Amend Certain Generic Listing Standards
Comments due: March 4, 2008
|
SR-NASDAQ-2008-007 |
| 34-57183 |
Jan. 22, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of Certain Fee Changes
Comments due: February 19, 2008
|
SR-NASDAQ-2008-006 |
| 34-57175 |
Jan. 18, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Recipients of Certain Risk Disclosures
Comments due: February 19, 2008
|
SR-NASDAQ-2008-004 |
| 34-57452 |
Mar. 7, 2008 |
Order Granting Approval of Proposed Rule Change Related to Supplemental Market Participant Identifiers
|
| 34-57212 |
Jan. 28, 2008 |
Notice of Filing of Proposed Rule Change Related to Supplemental Market Participant Identifiers
Comments due: February 22, 2008
|
SR-NASDAQ-2008-003 |
| 34-57146 |
Jan. 14, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for Members Using the NASDAQ Pre-Trade Risk Management Functionality
Comments due: February 12, 2008
|
SR-NASDAQ-2008-002 |
| 34-57099 |
Jan. 4, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Nasdaq Stockholders’ Agreement between The Nasdaq Stock Market, Inc. and Borse Dubai Limited
Comments due: January 31, 2008
|
SR-NASDAQ-2008-001 |
| 34-57147 |
Jan. 14, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Modify Fees for Members Using the Nasdaq Market Center
Comments due: February 12, 2008
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http://www.sec.gov/rules/sro/nasdaq.shtml
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