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NASDAQ Stock Market LLC (NASDAQ)
Rulemaking Archive: 2006

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

Chronological List

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

NASDAQ File Number List for 2006

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NASDAQ-2006-053
34-55007 Dec. 22, 2006 Notice of Filing of Proposed Rule Change to Assess Previously-Approved Fees to Former INET Data Recipients
Comments due:  January 26, 2007
Comments received are available for this notice.

SR-NASDAQ-2006-058
34-54968 Dec. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Orders to Peg to the Midpoint of the Best Bid and Best Offer
Comments due:  January 17, 2007

SR-NASDAQ-2006-052
34-54965 Dec. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Distributor Fee For Specific Data Element
Comments due:  January 17, 2007

SR-NASDAQ-2006-056
34-54959 Dec. 18, 2006 Notice of Filing of Proposed Rule Change to Establish Nasdaq Custom Data Feeds
Comments due:  January 17, 2007
See also:   Order: Rel. No. 34-59579
Comments received are available for this notice.

SR-NASDAQ-2006-051
34-54933 Dec. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Temporarily Adjust Tier Volume Limits
Comments due:  January 10, 2007

SR-NASDAQ-2006-046
34-54854 Dec. 1, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Guidance for Adjudicating Clearly Erroneous Transactions under Rule 11890
Comments due:  December 29, 2006

SR-NASDAQ-2006-047
34-54825 Nov. 28, 2006 Notice of Filing of Proposed Rule Change to Clarify the Process Surrounding a Reverse Merger
Comments due:  December 27, 2006
See also:   Order: Rel. No. 34-55052

SR-NASDAQ-2006-041
34-54797 Nov. 20, 2006 Notice of Filing of Proposed Rule Change to Modify an Aspect of the Definition of Independent Director
Comments due:  December 19, 2006
See also:   Notice/Order: Rel. No. 34-55463

SR-NASDAQ-2006-009
34-54765 Nov. 16, 2006 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendments No. 1 and 2 thereto to Permit Trading Pursuant to Unlisted Trading Privileges of streetTRACKS Gold Shares and to Establish Trading Rules to Trade, Pursuant to Unlisted Trading Privileges, Certain Securities Whose Value Is Linked to the Value of One or More Commodities
Comments due:  December 13, 2006

SR-NASDAQ-2006-040
34-54752 Nov. 14, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, to Modify Certain Fees for Listing on The Nasdaq Stock Market and to Make Available Products and Services Intended to Assist Companies With Their Disclosure and Regulatory Obligations, Shareholder Communications, and Other Corporate Objectives
Comments due:  December 12, 2006
See also:   Notice/Order: Rel. No. 34-55202
Comments received are available for this notice.

SR-NASDAQ-2006-044
34-54732 Nov. 9, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Rules of the Nasdaq Global Select Market
Comments due:  December 8, 2006

SR-NASDAQ-2006-036
34-54706 Nov. 3, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exempt Certain Cross Transactions from NASDAQ Rule 3350(a)
Comments due:  December 5, 2006

SR-NASDAQ-2006-043
34-54613 Oct. 17, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Operations of its Recently-Approved "Single Book" Execution System
Comments due:  November 14, 2006

SR-NASDAQ-2006-037
34-54601 Oct. 13, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify NASDAQ Rules 3350 and 4755
Comments due:  November 19, 2006

SR-NASDAQ-2006-042
34-54598 Oct. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Nasdaq Rule 4760 Relating to the Operation of the Nasdaq Crossing Network
Comments due:  November 9, 2006

SR-NASDAQ-2006-021
34-54583 Oct. 6, 2006 Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto to Modify Certain of Nasdaq’s Corporate Governance Standards, Including the Definition of Independent Director
See also:   Notice: Rel. No. 34-54333

SR-NASDAQ-2006-039
34-54581 Oct. 6, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Reporting Required when Nasdaq Lists the Security of an Affiliate
Comments due:  November 6, 2006
Third Quarter

SR-NASDAQ-2006-038
34-54548 Sep. 29, 2006 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes Relating to Exchange to Exchange Billing Under the Linkage Plan
Other File Nos.: SR-Amex-2006-85; SR-BSE-2006-41; SR-CBOE-2006-80; SR-CHX-2006-28; SR-NSX-2006-11; SR-NYSEArca-2006-69; SR-Phlx-2006-58
Comments due:  October 27, 2006

SR-NASDAQ-2006-026
34-54501 Sep. 25, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Amended Regarding Pricing for Non-Members Using the New Nasdaq Workstation and Weblink ACT
Comments due:  October 23, 2006

SR-NASDAQ-2006-025
34-54500 Sep. 25, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding Fees for the New Nasdaq Workstation and Weblink ACT
Comments due:  October 23, 2006

SR-NASDAQ-2006-016
34-54478 Sep. 21, 2006 Order Granting Approval of Proposed Rule Change to Eliminate Registration of Foreign Associates under Nasdaq Membership Rules
See also:   Notice: Rel. No. 34-54284

SR-NASDAQ-2006-034
34-54477 Sep. 20, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Practice of Using a Fifth Character Identifier with the Symbol of Foreign Securities
Comments due:  October 18, 2006

SR-NASDAQ-2006-035
34-54459 Sep. 15, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend Existing Rules for Portfolio Depository Receipts, Index Fund Shares, and Index-Linked Securities
Comments due:  October 13, 2006

SR-NASDAQ-2006-031
34-54435 Sep. 13, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Exempt all Securities Included in the NASDAQ-100 Index from the Price Test Set Forth in NASDAQ Rule 3350(a)
Comments due:  October 11, 2006

SR-NASDAQ-2006-011
34-54421 Sep. 11, 2006 Order Granting Approval to Proposed Rule Change to Modify the Cure Period Available to an Issuer that Loses an Independent Director or Audit Committee Member
See also:   Notice: Rel. No. 34-53941

SR-NASDAQ-2006-033
34-54420 Sep. 11, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Certain Transitional Corporate Governance Rules
Comments due:  October 10, 2006

SR-NASDAQ-2006-032
34-54378 Aug. 28, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Revise The Nasdaq Capital Market Listing Requirements
Comments due:  September 26, 2006
See also:   Notice/Order: Rel. No. 34-55642
Comments received are available for this notice.

SR-NASDAQ-2006-021
34-54333 Aug. 18, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Modify Certain of Nasdaq’s Corporate Governance Standards, Including the Definition of Independent Director
Comments due:  September 18, 2006
See also:   Order: Rel. No. 34-54583

SR-NASDAQ-2006-008
34-54288 Aug. 8, 2006 Order Granting Approval of a Proposed Rule Change Requiring Securities be Eligible to Participate in a Direct Registration System
See also:   Notice: Rel. No. 34-53913

SR-NASDAQ-2006-028
34-54286 Aug. 8, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a New Service Called FilterView
Comments due:  September 5, 2006

SR-NASDAQ-2006-023
34-54285 Aug. 8, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq Rule 7018
Comments due:  September 5, 2006

SR-NASDAQ-2006-016
34-54284 Aug. 8, 2006 Notice of Filing of Proposed Rule Change to Eliminate Registration of Foreign Associates under Nasdaq Membership Rules
Comments due:  September 5, 2006
See also:   Order: Rel. No. 34-54478

SR-NASDAQ-2006-020
34-54274 Aug. 3, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Rules of the Nasdaq Global Select Market
Comments due:  August 31, 2006

SR-NASDAQ-2006-027
34-54271 Aug. 3, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Date for Compliance With Regulation NMS
Comments due:  August 31, 2006

SR-NASDAQ-2006-015
34-54264 Aug. 2, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated With the Use of the National Association of Securities Dealers, Inc.’s Web Central Registration Depository System
Comments due:  August 30, 2006

SR-NASDAQ-2006-024
34-54260 Aug. 1, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq’s 7000 Series Rules
Comments due:  August 29, 2006

SR-NASDAQ-2006-018
34-54253 Jul. 31, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq’s 2000 and 3000 Series Rules
Comments due:  August 28, 2006

SR-NASDAQ-2006-022
34-54252 Jul. 31, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq’s 6000, 9000, and 11000 Series Rules
Comments due:  August 25, 2006

SR-NASDAQ-2006-017
34-54249 Jul. 31, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq's 1000 Series Rules
Comments due:  August 25, 2006

SR-NASDAQ-2006-019
34-54248 Jul. 31, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq's 4000 Series Rules
Comments due:  August 28, 2006

SR-NASDAQ-2006-005
34-54221 Jul. 26, 2006 Order Granting Approval of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Modify Nasdaq’s Delisting Procedures to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
See also:   Notice: Rel. No. 34-53964

SR-NASDAQ-2006-013
34-54179 Jul. 20, 2006 Notice of Filing of Proposed Rule Change to Modify Nasdaq Data Feeds
Comments due:  August 16, 2006
Comments received are available for this notice.

SR-NASDAQ-2006-006
34-54170 Jul. 18, 2006 Order Granting Approval of Proposed Rule Change as Amended by Amendment No. 1 Regarding Restrictions on Affiliations between Nasdaq and its Members
See also:   Notice: Rel. No. 34-53697
Comments received are available for this notice.

SR-NASDAQ-2006-002
34-54167 Jul. 18, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Add Generic Listing Standards for Index-Linked Securities
Comments due:  August 15, 2006

SR-NASDAQ-2006-001
34-54155 Jul. 14, 2006 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto Relating to the Nasdaq Market Center
Comments due:  August 10, 2006
See also:   Notice: Rel. No. 34-53583
Comments received are available for this notice.

SR-NASDAQ-2006-014
34-54119 Jul. 10, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Description of the ACES Communications Service
Comments due:  August 7, 2006
Second Quarter

SR-NASDAQ-2006-005
34-53964 Jun. 8, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Modify Nasdaq’s Delisting Procedures to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
Comments due:  July 6, 2006
See also:   Order: Rel. No. 34-54221

SR-NASDAQ-2006-011
34-53941 Jun. 5, 2006 Notice of Filing of Proposed Rule Change to Modify the Cure Period Available to an Issuer that Loses an Independent Director or Audit Committee Member
Comments due:  July 5, 2006
See also:   Order: Rel. No. 34-54421
Comments received are available for this notice.

SR-NASDAQ-2006-008
34-53913 May 31, 2006 Notice of Filing of Proposed Rule Change by The NASDAQ Stock Market LLC to Require Securities be Eligible for a Direct Registration System
Comments due:  June 28, 2006
See also:   Order: Rel. No. 34-54288
Comments received are available for this notice.

SR-NASDAQ-2006-010
34-53833 May 18, 2006 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Establish Certain Fees with Respect to Transactions Executed through the Intermarket Trading System
Comments due:  June 15, 2006

SR-NASDAQ-2006-007
34-53799 May 12, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Create the Nasdaq Global Select Market and Rename the Nasdaq National Market
Comments due:  June 9, 2006
Comments received are available for this notice.

SR-NASDAQ-2006-006
34-53697 Apr. 21, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding Restrictions on Affiliation between Nasdaq and its Members
Comments due:  May 19, 2006
See also:   Order: Rel. No. 34-54170
Comments received are available for this notice.
First Quarter

SR-NASDAQ-2006-001
34-53583 Mar. 31, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Nasdaq Market Center
Comments due:  May 5, 2006
See also:   Order: Rel. No. 34-54155
Comments received are available for this notice.


NASDAQ File Number List for 2006
Release No. Date Details

SR-NASDAQ-2006-068
34-55137 Jan. 19, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due:  February 15, 2007

SR-NASDAQ-2006-067
34-55388 Mar. 2, 2007 Order Granting Approval of Proposed Rule Change to Retroactively Reduce Fees for Nasdaq's Risk Management Service
34-55130 Jan. 19, 2007 Notice of Filing of Proposed Rule Change to Retroactively Reduce Fees for Nasdaq's Risk Management Service
Comments due:  February 16, 2007

SR-NASDAQ-2006-066
34-55131 Jan. 19, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Risk Management Service Fees
Comments due:  February 16, 2007

SR-NASDAQ-2006-065
34-56172 Jul. 31, 2007 Order Approving Proposed Rule Change as Modified by Amendments No. 1, 3, and 4 Thereto to Reestablish a Quotation and Trading System, The PORTAL® Market, for Securities That Are Designated by Nasdaq as PORTAL Securities
34-55669 Apr. 25, 2007 Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto to Reestablish a Quotation and Trading System for Securities That are Designated by The PORTAL® Market as PORTAL Securities
Comments due:  May 22, 2007
Comments received are available for this notice.

SR-NASDAQ-2006-064
34-59795 Apr. 20, 2009 Order Approving Proposed Rule Change as Modified by Amendments No. 2 and 3 Thereto to Modify the Fee for Connecting to a Nasdaq Data Center Over the Internet
34-55457 Mar. 13, 2007 Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Modify the Fee for Connecting to a Nasdaq Data Center Over the Internet
Comments due:  April 11, 2007

SR-NASDAQ-2006-062
34-55135 Jan. 19, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for TradeInfo as Modified by Amendments No. 1 and 2
Comments due:  February 16, 2007

SR-NASDAQ-2006-061
34-55061A Jan. 31, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market LLC to Codify the Nasdaq Sponsored Access Rule [Correction]
Comments due:  February 7, 2007
34-55061 Jan. 8, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Codify the Nasdaq Sponsored Access Rule
Comments due:  February 7, 2007

SR-NASDAQ-2006-060
34-57965 Jun. 16, 2008 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Establish Nasdaq Last Sale Data Feeds
Comments due:  July 11, 2008
34-55255 Feb. 8, 2007 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish NASDAQ Last Sale Data Feeds
Comments due:  March 7, 2007
Comments received are available for this notice.

SR-NASDAQ-2006-059
34-55119 Jan. 18, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Application of Membership Fees
Comments due:  February 14, 2007

SR-NASDAQ-2006-058
34-54968 Dec. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Orders to Peg to the Midpoint of the Best Bid and Best Offer
Comments due:  January 17, 2007

SR-NASDAQ-2006-057
34-55344 Feb. 23, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 2 Thereto To Trade Certain CurrencyShares Trusts Pursuant to Unlisted Trading Privileges
Comments due:  March 26, 2007

SR-NASDAQ-2006-056
34-59579 Mar. 13, 2009 Order Approving Proposed Rule Change as Modified by Amendment No. 2 Thereto to Establish Nasdaq Custom Data Feeds
34-54959 Dec. 18, 2006 Notice of Filing of Proposed Rule Change to Establish Nasdaq Custom Data Feeds
Comments due:  January 17, 2007

SR-NASDAQ-2006-055
34-55042 Jan. 4, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Amended by Amendment No. 1 to Temporarily Adjust Tier Volume Limits
Comments due:  February 2, 2007

SR-NASDAQ-2006-053
34-55007 Dec. 22, 2006 Notice of Filing of Proposed Rule Change to Assess Previously-Approved Fees to Former INET Data Recipients
Comments due:  January 26, 2007
Comments received are available for this notice.

SR-NASDAQ-2006-052
34-54965 Dec. 19, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Distributor Fee For Specific Data Element
Comments due:  January 17, 2007

SR-NASDAQ-2006-051
34-54933 Dec. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Temporarily Adjust Tier Volume Limits
Comments due:  January 10, 2007

SR-NASDAQ-2006-050
34-55269 Feb. 9, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 3 Thereto Adopting Generic Listing Standards for Exchange-Traded Funds Based on International or Global Indexes or Indexes Described in Exchange Rules Previously Approved by the Commission as Underlying Benchmarks for Derivative Securities
Comments due:  March 8, 2007

SR-NASDAQ-2006-049
34-55445 Mar. 12, 2007 Notice of Filing of Proposed Rule Change to Incorporate Full Depth of the Nasdaq Quoting of NYSE- and Amex-Listed Stocks into the TotalView Entitlement and Modify the User Fee Schedule for TotalView Data, and to Replace Nasdaq OpenView to Provide the Individual Nasdaq Market Participants' Best Bids and Offers in NYSE- and Amex-Listed Stocks
Comments due:  April 6, 2007

SR-NASDAQ-2006-048
34-55443 Mar. 12, 2007 Notice of Filing of Proposed Rule Change to Establish a Data Entitlement Named "Depth Feed" Consisting of Data Feeds Nasdaq TotalView and Nasdaq OpenView, and to Establish a Distribution Charge for Depth Feed
Comments due:  April 11, 2007

SR-NASDAQ-2006-047
34-55052 Jan. 5, 2007 Order Approving Proposed Rule Change to Modify its Listing Rules in the Case of a Reverse Merger
34-54825 Nov. 28, 2006 Notice of Filing of Proposed Rule Change to Clarify the Process Surrounding a Reverse Merger
Comments due:  December 27, 2006

SR-NASDAQ-2006-046
34-54854 Dec. 1, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Guidance for Adjudicating Clearly Erroneous Transactions under Rule 11890
Comments due:  December 29, 2006

SR-NASDAQ-2006-045
34-56319 Aug. 24, 2007 Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2, to Allow the Use of a Company’s Web Site to Distribute an Annual Report and Meet Other Nasdaq Listing Requirements
Comments due:  September 20, 2007
34-55854 Jun. 4, 2007 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Allow the Use of a Company’s Web Site to Distribute an Annual Report and Meet Other Nasdaq Listing Requirements
Comments due:  July 3, 2007

SR-NASDAQ-2006-044
34-54732 Nov. 9, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify the Rules of the Nasdaq Global Select Market
Comments due:  December 8, 2006

SR-NASDAQ-2006-043
34-54613 Oct. 17, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Operations of its Recently-Approved "Single Book" Execution System
Comments due:  November 14, 2006

SR-NASDAQ-2006-042
34-54598 Oct. 13, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Nasdaq Rule 4760 Relating to the Operation of the Nasdaq Crossing Network
Comments due:  November 19, 2006

SR-NASDAQ-2006-041
34-55463 Mar. 13, 2007 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change as Modified by Amendment No. 1 to Modify an Aspect of the Definition of Independent Director
Comments due:  April 11, 2007
34-54797 Nov. 20, 2006 Notice of Filing of Proposed Rule Change to Modify an Aspect of the Definition of Independent Director
Comments due:  December 19, 2006

SR-NASDAQ-2006-040
34-55202 Jan. 30, 2007 Notice of Filing of Amendment No. 3 to the Proposed Rule Change, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 2 and 3 to Modify Certain Fees for Listing on The Nasdaq Stock Market and to Make Available Certain Products and Services
Comments due:  March 1, 2007
Comments received are available for this notice.
34-54752 Nov. 14, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto, to Modify Certain Fees for Listing on The Nasdaq Stock Market and to Make Available Products and Services Intended to Assist Companies With Their Disclosure and Regulatory Obligations, Shareholder Communications, and Other Corporate Objectives
Comments due:  December 13, 2006
Comments received are available for this notice.

SR-NASDAQ-2006-039
34-54581 Oct. 6, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Reporting Required when Nasdaq Lists the Security of an Affiliate
Comments due:  November 6, 2006

SR-NASDAQ-2006-038
34-54548 Sep. 29, 2006 Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes Relating to Exchange to Exchange Billing Under the Linkage Plan
Other File Nos.: SR-Amex-2006-85; SR-BSE-2006-41; SR-CBOE-2006-80; SR-CHX-2006-28; SR-NSX-2006-11; SR-NYSEArca-2006-69; SR-Phlx-2006-58
Comments due:  October 27, 2006

SR-NASDAQ-2006-037
34-54601 Oct. 13, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify NASDAQ Rules 3350 and 4755
Comments due:  November 9, 2006

SR-NASDAQ-2006-036
34-54706 Nov. 3, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exempt Certain Cross Transactions from NASDAQ Rule 3350(a)
Comments due:  December 5, 2006

SR-NASDAQ-2006-035
34-54459 Sep. 15, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend Existing Rules for Portfolio Depository Receipts, Index Fund Shares, and Index-Linked Securities
Comments due:  October 12, 2006

SR-NASDAQ-2006-034
34-54477 Sep. 20, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Practice of Using a Fifth Character Identifier with the Symbol of Foreign Securities
Comments due:  October 18, 2006

SR-NASDAQ-2006-033
34-54420 Sep. 11, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Certain Transitional Corporate Governance Rules
Comments due:  October 10, 2006

SR-NASDAQ-2006-032
34-55642 Apr. 18, 2007 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3 Thereto, to Revise The Nasdaq Capital Market Listing Requirements
Comments due:  May 15, 2007
See also:   Notice: Rel. No. 34-54378
Comments received are available for this notice.

SR-NASDAQ-2006-031
34-54435 Sep. 13, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Exempt all Securities Included in the NASDAQ-100 Index from the Price Test Set Forth in NASDAQ Rule 3350(a)
Comments due:  October 11, 2006

SR-NASDAQ-2006-028
34-54286 Aug. 8, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a New Service Called FilterView
Comments due:  September 5, 2006

SR-NASDAQ-2006-027
34-54271 Aug. 3, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Date for Compliance With Regulation NMS
Comments due:  August 31, 2006

SR-NASDAQ-2006-026
34-54501 Sep. 25, 2006 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Amended Regarding Pricing for Non-Members Using the New Nasdaq Workstation and Weblink ACT
Comments due:  October 23, 2006

SR-NASDAQ-2006-025
34-54500 Sep. 25, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding Fees for the New Nasdaq Workstation and Weblink ACT
Comments due:  October 23, 2006

SR-NASDAQ-2006-024
34-54260 Aug. 1, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq’s 7000 Series Rules
Comments due:  August 29, 2006

SR-NASDAQ-2006-023
34-54285 Aug. 8, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq Rule 7018
Comments due:  September 5, 2006

SR-NASDAQ-2006-022
34-54252 Jul. 31, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq’s 6000, 9000, and 11000 Series Rules
Comments due:  August 25, 2006

SR-NASDAQ-2006-021
34-54583 Oct. 6, 2006 Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto to Modify Certain of Nasdaq’s Corporate Governance Standards, Including the Definition of Independent Director
34-54333 Aug. 18, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Modify Certain of Nasdaq’s Corporate Governance Standards, Including the Definition of Independent Director
Comments due:  September 18, 2006

SR-NASDAQ-2006-020
34-54274 Aug. 3, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Rules of the Nasdaq Global Select Market
Comments due:  August 31, 2006

SR-NASDAQ-2006-019
34-54248 Jul. 31, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq's 4000 Series Rules
Comments due:  August 28, 2006

SR-NASDAQ-2006-018
34-54253 Jul. 31, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq’s 2000 and 3000 Series Rules
Comments due:  August 28, 2006

SR-NASDAQ-2006-017
34-54249 Jul. 31, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq's 1000 Series Rules
Comments due:  August 25, 2006

SR-NASDAQ-2006-016
34-54478 Sep. 21, 2006 Order Granting Approval of Proposed Rule Change to Eliminate Registration of Foreign Associates under Nasdaq Membership Rules
34-54284 Aug. 8, 2006 Notice of Filing of Proposed Rule Change to Eliminate Registration of Foreign Associates under Nasdaq Membership Rules
Comments due:  September 5, 2006

SR-NASDAQ-2006-015
34-54264 Aug. 2, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated With the Use of the National Association of Securities Dealers, Inc.’s Web Central Registration Depository System
Comments due:  August 30, 2006

SR-NASDAQ-2006-014
34-54119 Jul. 10, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Description of the ACES Communications Service
Comments due:  August 7, 2006

SR-NASDAQ-2006-013
34-54179 Jul. 20, 2006 Notice of Filing of Proposed Rule Change to Modify Nasdaq Data Feeds
Comments due:  August 16, 2006
Comments received are available for this notice.

SR-NASDAQ-2006-011
34-54421 Sep. 11, 2006 Order Granting Approval to Proposed Rule Change to Modify the Cure Period Available to an Issuer that Loses an Independent Director or Audit Committee Member
34-53941 Jun. 5, 2006 Notice of Filing of Proposed Rule Change to Modify the Cure Period Available to an Issuer that Loses an Independent Director or Audit Committee Member
Comments due:  July 5, 2006
Comments received are available for this notice.

SR-NASDAQ-2006-010
34-53833 May 18, 2006 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Establish Certain Fees with Respect to Transactions Executed through the Intermarket Trading System
Comments due:  June 15, 2006

SR-NASDAQ-2006-009
34-54765 Nov. 16, 2006 Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendments No. 1 and 2 thereto to Permit Trading Pursuant to Unlisted Trading Privileges of streetTRACKS Gold Shares and to Establish Trading Rules to Trade, Pursuant to Unlisted Trading Privileges, Certain Securities Whose Value Is Linked to the Value of One or More Commodities
Comments due:  December 13, 2006

SR-NASDAQ-2006-008
34-54288 Aug. 8, 2006 Order Granting Approval of a Proposed Rule Change Requiring Securities be Eligible to Participate in a Direct Registration System
34-53913 May 31, 2006 Notice of Filing of Proposed Rule Change by The NASDAQ Stock Market LLC to Require Securities be Eligible for a Direct Registration System
Comments due:  June 28, 2006
Comments received are available for this notice.

SR-NASDAQ-2006-007
34-53799 May 12, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto to Create the Nasdaq Global Select Market and Rename the Nasdaq National Market
Comments due:  June 9, 2006

SR-NASDAQ-2006-006
34-54170 Jul. 18, 2006 Order Granting Approval of Proposed Rule Change as Amended by Amendment No. 1 Regarding Restrictions on Affiliations between Nasdaq and its Members
34-53697 Apr. 21, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding Restrictions on Affiliation between Nasdaq and its Members
Comments due:  May 19, 2006
Comments received are available for this notice.

SR-NASDAQ-2006-005
34-54221 Jul. 26, 2006 Order Granting Approval of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Modify Nasdaq’s Delisting Procedures to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
34-53964 Jun. 8, 2006 Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Modify Nasdaq’s Delisting Procedures to Conform to Recent Amendments to Commission Rules Regarding Removal from Listing and Withdrawal from Registration
Comments due:  July 6, 2006

SR-NASDAQ-2006-002
34-54167 Jul. 18, 2006 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to Add Generic Listing Standards for Index-Linked Securities
Comments due:  August 15, 2006

SR-NASDAQ-2006-001
34-54155 Jul. 14, 2006 Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto Relating to the Nasdaq Market Center
Comments due:  August 10, 2006
34-53583 Mar. 31, 2006 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Nasdaq Market Center
Comments due:  May 5, 2006
Comments received are available for this notice.

 

http://www.sec.gov/rules/sro/nasdaq/nasdaqarchive/nasdaqarchive2006.shtml


Modified: 06/23/2014