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NASDAQ Stock Market LLC (NASDAQ) Rulemaking Archive: 2009
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 2009
Additional Archives
2010 | 2009 | 2008 | 2007 | 2006
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NASDAQ-2009-110 |
| 34-61224 |
Dec. 22, 2009 |
Notice of Filing of Proposed Rule Change to Amend IM-2110-7 To Reflect Changes to Corresponding FINRA Rule
Comments due: January 20, 2010
 Submit comments on SR-NASDAQ-2009-110
|
SR-NASDAQ-2009-105 |
| 34-61205 |
Dec. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-1002-1 to Reflect Changes to a Corresponding FINRA Rule
Comments due: January 19, 2010
Additional Materials: Exhibit 5
|
SR-NASDAQ-2009-108 |
| 34-61203 |
Dec. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify Certain Provisions of the Options Listing Procedures Plan into the Exchange's Rules
Comments due: January 19, 2010
|
SR-NASDAQ-2009-109 |
| 34-61151 |
Dec. 10, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 1160 to Reflect the Availability of the FINRA Contact System to Nasdaq Members That Are Not Also Members of FINRA
Comments due: January 8, 2010
|
SR-NASDAQ-2009-106 |
| 34-61128 |
Dec. 8, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2330 and IM-2330 to Reflect Changes to Corresponding FINRA Rule
Comments due: January 4, 2010
|
SR-NASDAQ-2009-103 |
| 34-61093 |
Dec. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Options Market
Comments due: December 29, 2009
|
SR-NASDAQ-2009-101 |
| 34-61085 |
Dec. 1, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Nasdaq Rule 4000 and 5000 Series to Correct Certain Citations to Renumbered Rules
Comments due: December 29, 2009
|
SR-NASDAQ-2009-102 |
| 34-61074 |
Nov. 30, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Definition of Material Changes in Business Operations found in the Membership Rules and to Make a Technical Correction
Comments due: December 28, 2009
|
SR-NASDAQ-2009-100 |
| 34-61070 |
Nov. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing For NASDAQ's Portal Reference Database
Comments due: December 28, 2009
|
SR-NASDAQ-2009-094 |
| 34-61008 |
Nov. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require that Companies Provide Nasdaq with at least Ten Minutes Prior Notification when Releasing Material Information and Eliminate a Potential Inconsistency with Commission Guidance on the Use of Company Websites to Satisfy Public Disclosure Requirements
Comments due: December 14, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-092 |
| 34-60991 |
Nov. 12, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Rules Related to Nasdaq's PORTAL Market
Comments due: December 10, 2009
|
SR- NASDAQ-2009-095 |
| 34-60990 |
Nov. 12, 2009 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto to Extend the Pilot Program and Reduce Fees for NASDAQ Last Sale Data Feeds and to Make a Technical Correction to NASDAQ Rule 7039
Comments due: December 10, 2009
|
SR-NASDAQ-2009-098 |
| 34-60980 |
Nov. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Options Market
Comments due: December 14, 2009
|
SR-NASDAQ-2009-097 |
| 34-60965 |
Nov. 9, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No.1, to Add Seventy-Five Options Classes to the Penny Pilot Program
Comments due: December 8, 2009
|
SR-NASDAQ-2009-099 |
| 34-60952 |
Nov. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00 on the NASDAQ Options Market
Comments due: December 8, 2009
|
SR-NASDAQ-2009-096 |
| 34-60959 |
Nov. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: December 4, 2009
Additional Materials: Exhibit 5
|
SR-NASDAQ-2009-093 |
| 34-60905 |
Oct. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Opening of Trading on the NASDAQ Options Market
Comments due: November 27, 2009
|
SR-NASDAQ-2009-081 |
| 34-60899 |
Oct. 28, 2009 |
Notice of Filing of Proposed Rule Change to Modify the Fees for Listing on the Nasdaq Stock Market and the Fee for Written Interpretations of Nasdaq Listing Rules
Comments due: November 25, 2009
See also: Order: Rel. No. 34-61669
Comments received are available for this notice.
|
SR-NASDAQ-2009-089 |
| 34-60893 |
Oct. 28, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due: November 25, 2009
|
SR-NASDAQ-2009-090 |
| 34-60880 |
Oct. 26, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Permit Listing Option Series that are Restricted to Closing Transactions if Such Series are Listed and Restricted to Closing Transactions on Another National Securities Exchange
Comments due: November 23, 2009
|
SR-NASDAQ-2009-091 |
| 34-60874 |
Oct. 23, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Expansion and Extension of the Exchange's Penny Pilot Program
Comments due: November 23, 2009
|
SR-NASDAQ-2009-088 |
| 34-60862 |
Oct. 22, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: November 19, 2009
|
SR-NASDAQ-2009-087 |
| 34-60845 |
Oct. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Restated Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BX-2009-061, SR-Phlx-2009-88
Comments due: 21 days after publication in the Federal Register
|
SR-NASDAQ-2009-084 |
| 34-60794 |
Oct. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Potential Payment Amounts Available Under Nasdaq Rule 4626
Comments due: November 3, 2009
|
SR-NASDAQ-2009-086 |
| 34-60776 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposal to Amend NASDAQ Rule 11890 Governing Clearly Erroneous Executions
Comments due: October 29, 2009
|
| Third Quarter |
SR-NASDAQ-2009-082 |
| 34-60674 |
Sep. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: October 13, 2009
|
SR-NASDAQ-2009-083 |
| 34-60661 |
Sep. 11, 2009 |
Notice of Filing of Proposed Rule Change to Amend IM-2110-4 To Reflect Changes to a Corresponding FINRA Rule
Comments due: October 13, 2009
Submit comments on SR-NASDAQ-2009-083
|
SR-NASDAQ-2009-077 |
| 34-60611 |
Sep. 2, 2009 |
Notice of Filing of Proposed Rule Change to Modify the Procedures Followed When a Listed Company Falls Below Certain Listing Requirements
Comments due: September 29, 2009
See also: Order: Rel. No. 34-61446
Comments received are available for this notice.
|
SR-NASDAQ-2009-078 |
| 34-60590 |
Aug. 31, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Nasdaq Listing Rules to Make Certain Conforming and Technical Changes
Comments due: September 29, 2009
|
SR-NASDAQ-2009-079 |
| 34-60570 |
Aug. 26, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Flash Orders
Comments due: September 23, 2009
|
SR-NASDAQ-2009-058 |
| 34-60546 |
Aug. 20, 2009 |
Order Approving Proposed Rule Change To Modify Port Fees
See also: Notice: Rel. No. 34-60265
|
SR-NASDAQ-2009-056 |
| 34-60525 |
Aug. 18, 2009 |
Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan
See also: Notice: Rel. No. 34-60186
|
SR-NASDAQ-2009-076 |
| 34-60521 |
Aug. 18, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Processing of Orders on the NASDAQ Options Market
Comments due: September 16, 2009
|
SR-NASDAQ-2009-075 |
| 34-60514 |
Aug. 17, 2009 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing Standards for Selected Equity-linked Debt Securities
Comments due: September 16, 2009
|
SR-NASDAQ-2009-074 |
| 34-60492 |
Aug. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: September 8, 2009
|
SR-NASDAQ-2009-072 |
| 34-60430 |
Aug. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Fee Schedule for Members Using the NASDAQ Market Center
Comments due: September 1, 2009
|
SR-NASDAQ-2009-073 |
| 34-60407 |
Jul. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees Related to Orders Routed to Nasdaq Via the Options Intermarket Linkage
Comments due: August 28, 2009
|
SR-NASDAQ-2009-071 |
| 34-60384 |
Jul. 24, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due: August 21, 2009
|
SR-NASDAQ-2009-069 |
| 34-60374 |
Jul. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market through July 31, 2009
Comments due: August 20, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-070 |
| 34-60371 |
Jul. 23, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASDAQ Rule 4751 to Provide System Functionality That Will Cancel Any Portion of Most Types of Unpriced Orders
Comments due: August 20, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-065 |
| 34-60354 |
Jul. 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Modify Routing of Orders from NASDAQ Options Market to an Affiliate Exchange
Comments due: August 17, 2009
|
SR-NASDAQ-2009-059 |
| 34-60352 |
Jul. 21, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Fees for Members Using the NASDAQ Options Market
Comments due: August 17, 2009
|
SR-NASDAQ-2009-066 |
| 34-60335 |
Jul. 17, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Processing of Orders on the NASDAQ Options Market
Comments due: August 14, 2009
|
SR-NASDAQ-2009-068 |
| 34-60324 |
Jul. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: August 13, 2009
|
SR-NASDAQ-2009-067 |
| 34-60323 |
Jul. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: August 13, 2009
|
SR-NASDAQ-2009-042 |
| 34-60276 |
Jul. 9, 2009 |
Order Approving Proposed Rule Change to Amend its Limited Liability Agreement and By-Laws
See also: Notice: Rel. No. 34-59907
|
SR-NASDAQ-2009-058 |
| 34-60265 |
Jul. 8, 2009 |
Notice of Filing of Proposed Rule Change To Modify Port Fees
Comments due: August 6, 2009
See also: Order: Rel. No. 34-60546
|
SR-NASDAQ-2009-063 |
| 34-60248 |
Jul. 6, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Permanent Approval of the Exchange's Quarterly Option Series Pilot Program
Comments due: August 3, 2009
|
SR-NASDAQ-2009-064 |
| 34-60220 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To NASDAQ Options Market Options Participant Membership Requirements, Order Entry Times and Confirmation Statements
Comments due: June 31, 2009
|
SR-NASDAQ-2009-061 |
| 34-60212 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Penny Pilot Program
Comments due: June 30, 2009
Comments received are available for this notice.
|
| Second Quarter |
SR-NASDAQ-2009-053 |
| 34-60203 |
Jun. 30, 2009 |
Order of Summary Abrogation of a Proposed Rule Change to Reduce Certain Transaction Fees for Members that Trade Equities on NASDAQ and Make Markets in Options on the NASDAQ OMX PHLX, Inc. Options Exchange
|
SR-NASDAQ-2009-062 |
| 34-60201 |
Jun. 30, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend the Pilot Program for NASDAQ Last Sale Data Feeds
Comments due: June 29, 2009
|
SR-NASDAQ-2009-052 |
| 34-60193 |
Jun. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Nasdaq Listing Rules to Make Certain Technical Changes and Typographical Corrections
Comments due: June 28, 2009
|
SR-NASDAQ-2009-056 |
| 34-60186 |
Jun. 29, 2009 |
Notice of Filing of a Proposed Rule Change to Adopt rules to Implement the Options Order Protection and Locked/Crossed Market Plan
Comments due: June 29, 2009
See also: Order: Rel. No. 34-60525
|
SR-NASDAQ-2009-039 |
| 34-60183 |
Jun. 26, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the By-Laws of The NASDAQ OMX Group, Inc.
See also: Notice: Rel. No. 34-59858
|
SR-NASDAQ-2009-057 |
| 34-60182 |
Jun. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Optional Anti-Internalization Functionality
Comments due: June 27, 2009
|
SR-NASDAQ-2009-049 |
| 34-60094 |
Jun. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NASDAQ Listing Rules to Reflect Changes to the Rules of the Commission
Comments due: July 8, 2009
|
SR-NASDAQ-2009-051 |
| 34-60069 |
Jun. 8, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Pricing for NASDAQ "Flash" Functionality for Routable Orders
Comments due: July 6, 2009
|
SR-NASDAQ-2009-050 |
| 34-60039 |
Jun. 3, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Reduce the Length of the Optional Pre-Routing Display Period for its DOT, SCAN and STGY Routing Strategies
Comments due: June 30, 2009
|
SR-NASDAQ-2009-048 |
| 34-60037 |
Jun. 3, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, Thereto to Establish a New Voluntary Flash and Cancel Order
Comments due: June 30, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-047 |
| 34-59948 |
May 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing
Comments due: June 19, 2009
|
SR-NASDAQ-2009-028 |
| 34-59933 |
May 15, 2009 |
Order Approving Proposed Rule Change to Reduce Fees for NASDAQ Basic Data Feeds
See also: Notice: Rel. No. 34-59712
|
SR-NASDAQ-2009-046 |
| 34-59923 |
May 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Securities that Underlie Options Traded on the Exchange
Comments due: June 11, 2009
|
SR-NASDAQ-2009-040 |
| 34-59915 |
May 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Nasdaq Listing Rules to Conform Those Rules with the Prior Marketplace Rules and Make Certain Technical Corrections
Comments due: June 9, 2009
|
SR-NASDAQ-2009-042 |
| 34-59907 |
May 12, 2009 |
Notice of Filing of Proposed Rule Change to Amend its Limited Liability Agreement
Comments due: June 10, 2009
See also: Order: Rel. No. 34-60276
|
SR-NASDAQ-2009-041 |
| 34-59879 |
May 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center and NASDAQ Options Market
Comments due: June 3, 2009
|
SR-NASDAQ-2009-043 |
| 34-59875 |
May 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify DOT, SCAN and STGY Routing Strategies to Incorporate an Optional Pre-routing Display Period
Comments due: June 4, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-045 |
| 34-59871 |
May 6, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Trade Reporting File Upload Service and Related Fees
Comments due: June 2, 2009
|
SR-NASDAQ-2009-039 |
| 34-59858 |
May 4, 2009 |
Notice of Filing of Proposed Rule Change to Amend the Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: June 2, 2009
See also: Order: Rel. No. 34-60183
|
SR-NASDAQ-2009-035 |
| 34-59843 |
Apr. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: May 27, 2009
|
SR-NASDAQ-2009-034 |
| 34-59822 |
Apr. 27, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Rule 7050 Governing Pricing for The NASDAQ Options Market ("NOM")
Comments due: May 26, 2009
|
SR-NASDAQ-2009-036 |
| 34-59807 |
Apr. 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing
Comments due: May 19, 2009
|
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
See also: Notice: Rel. No. 34-55457
|
SR-NASDAQ-2009-033 |
| 34-59786 |
Apr. 17, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish InterACT, a New Service, and Related Fees
Comments due: May 15, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-032 |
| 34-59773 |
Apr. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: May 13, 2009
Additional File Nos.: SR-BX-2009-019, SR-Phlx-2009-31
|
SR-NASDAQ-2009-028 |
| 34-59712 |
Apr. 6, 2009 |
Notice of Filing of Proposed Rule Change to Reduce Fees for NASDAQ Basic Data Feeds
Comments due: May 5, 2009
See also: Order: Rel. No. 34-59933
|
SR-NASDAQ-2009-029 |
| 34-59706 |
Apr. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center
Comments due: May 5, 2009
|
SR-NASDAQ-2009-031 |
| 34-59673 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules
Comments due: April 29, 2009
|
| First Quarter |
SR-NASDAQ-2009-018 |
| 34-59663 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions and Restructuring of the NASDAQ Listing Rules
Comments due: April 27, 2009
Additional Materials: Exhibit 5
Comments received are available for this notice.
|
SR-NASDAQ-2009-026 |
| 34-59661 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market through July 19, 2009
Comments due: April 27, 2009
|
SR-NASDAQ-2009-027 |
| 34-59652 |
Mar. 30, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend the Pilot Program for NASDAQ Last Sale Data Feeds and to Reduce the Monthly Cap on Fees
Comments due: April 27, 2009
|
SR-NASDAQ-2009-030 |
| 34-59632 |
Mar. 26, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposal by to Extend the Options Penny Pilot for The NASDAQ Options Market
Comments due: April 22, 2009
|
SR-NASDAQ-2009-023 |
| 34-59610 |
Mar. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Trading the Two-Character Ticker Symbol “UG”
Comments due: April 16, 2009
|
SR-NASDAQ-2009-025 |
| 34-59588 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Related To the $1 Strike Price Program
Comments due: April 14, 2009
|
SR-NASDAQ-2008-102 |
| 34-59582 |
Mar. 16, 2009 |
Order Approving Proposed Rule Change as Modified by Amendment No. 2 Thereto to Establish a Pilot Program for NASDAQ Basic Data Feeds
See also: Notice: Rel. No. 34-59244
|
SR-NASDAQ-2007-006 |
| 34-59580 |
Mar. 13, 2009 |
Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto to Establish the Nasdaq Daily Share Volume Service and to Establish Fees for the Service
See also: Notice: Rel. No. 34-55444
|
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
See also: Notice: Rel. No. 34-54959
|
SR-NASDAQ-2009-017 |
| 34-59557 |
Mar. 11, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Processing of Orders on the NASDAQ Options Market
Comments due: April 7, 2009
|
SR-NASDAQ-2009-021 |
| 34-59549 |
Mar. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding a Clerical Change to Nasdaq Rules
Comments due: April 7, 2009
|
SR-NASDAQ-2009-014 |
| 34-59547 |
Mar. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish New Rules Applicable to the Nasdaq Market Center and Nasdaq Options Market that Explicitly Require Members to Input Accurate Information into Nasdaq Systems
Comments due: April 7, 2009
|
SR-NASDAQ-2009-016 |
| 34-59485 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC to Eliminate the $3 Price Requirement for Continued Approval for an Underlying Security and Listing Additional Series of Options
Comments due: March 31, 2009
|
SR-NASDAQ-2009-010 |
| 34-59460 |
Feb. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: March 27, 2009
Additional File Nos.: SR-BX-2009-009, SR-Phlx-2009-14
|
SR-NASDAQ-2009-013 |
| 34-59455 |
Feb. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: March 25, 2009
|
SR-NASDAQ-2009-009 |
| 34-59424 |
Feb. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Nasdaq’s Definition of “Controlled Company”
Comments due: March 19, 2009
|
SR-NASDAQ-2009-005 |
| 34-59421 |
Feb. 19, 2009 |
Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Reduce Certain Order Exposure Periods on the NASDAQ Options Market from Three Seconds to One Second
See also: Notice: Rel. No. 34-59310
|
SR-NASDAQ-2009-011 |
| 34-59420 |
Feb. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Exchange Direct Order for the NASDAQ Options Market
Comments due: March 18, 2009
|
SR-NASDAQ-2009-008 |
| 34-59405 |
Feb. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7050 Governing Pricing For Nasdaq Members Using The NASDAQ Options Market (“NOM”)
Comments due: March 16, 2009
|
SR-NASDAQ-2009-004 |
| 34-59396 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consolidating Into a Single Rule Certain Requirements for Products Traded on the Exchange Pursuant to Unlisted Trading Privileges
Comments due: March 11, 2009
|
SR-NASDAQ-2009-006 |
| 34-59392 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Post-Only Order
Comments due: March 13, 2009
|
SR-NASDAQ-2008-101 |
| 34-59370 |
Feb. 6, 2009 |
Order Approving Proposed Rule Change to Adopt a Policy Relating to its Treatment of Trade Reports that it Determines to be Inconsistent with the Prevailing Market Retroactive to September 1, 2008
See also: Notice: Rel. No. 34-59149
|
SR-NASDAQ-2008-097 |
| 34-59369 |
Feb. 6, 2009 |
Order Granting Approval of Proposed Rule Change to Adopt a Limited Exemption from OATS Order Data Recordation Requirements for Registered Options Market Makers
See also: Notice: Rel. No. 34-59163
|
SR-NASDAQ-2009-003 |
| 34-59318 |
Jan. 29, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Nasdaq’s Listing Requirements Related To The Distribution of Annual Reports
Comments due: February 26, 2009
|
SR-NASDAQ-2009-005 |
| 34-59310 |
Jan. 28, 2009 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Reduce The Order Exposure Period on the NASDAQ Options Market
Comments due: February 18, 2009
See also: Order: Rel. No. 34-59421
|
SR-NASDAQ-2009-002 |
| 34-59291 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Compliance Period Applicable to Companies that Fail to Meet the Market Value of Listed Securities Requirement
Comments due: 21 days after publication in the Federal Register
|
SR-NASDAQ-2008-104 |
| 34-59275 |
Jan. 22, 2009 |
Notice of Filing of Proposed Rule Change to Adopt a Modified Sponsored Access Rule
Comments due: February 19, 2009
See also: Notice: Rel. No. 34-61345
Comments received are available for this notice.
Submit comments on SR-NASDAQ-2008-104
|
SR-NASDAQ-2008-016 |
| 34-59266 |
Jan. 16, 2009 |
Order Approving Proposed Rule Change to Create the Nasdaq Market Pathfinders Service and Establish Fees for the Service
See also: Notice: Rel. No. 34-58145
|
SR-NASDAQ-2009-001 |
| 34-59260 |
Jan. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7050 Governing Pricing for Nasdaq Members Using The NASDAQ Options Market ("NOM")
Comments due: February 17, 2009
|
SR-NASDAQ-2008-102 |
| 34-59244 |
Jan. 13, 2009 |
Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto to Establish a Pilot Program for NASDAQ Basic Data Feeds
Comments due: February 12, 2009
See also: Order: Rel. No. 34-59582
Comments received are available for this notice.
|
SR-NASDAQ-2008-099 |
| 34-59219 |
Jan. 8, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market through April 19, 2009
Comments due: February 5, 2009
|
SR-NASDAQ-2008-096 |
| 34-59214 |
Jan. 7, 2009 |
Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Generic Listing Standards for Index Multiple Exchange Traded Fund Shares and Index Inverse Exchange Traded Fund Shares
See also: Notice: Rel. No. 34-59098
|
SR-NASDAQ-2008-084 |
| 34-59203 |
Jan. 6, 2009 |
Order Approving Proposed Rule Change to Require Limited Partnerships to Obtain Shareholder Approval for the Use of Equity Compensation and Make Other Clarifying Changes to the Listing Requirements for Limited Partnerships
See also: Notice: Rel. No. 34-59014
|
| NASDAQ File Number List for 2009 |
| Release No. |
Date |
Details |
SR-NASDAQ-2009-116 |
| 34-61323 |
Jan. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2240 and 2250 to Reflect Changes to Corresponding FINRA Rules
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2009-116
|
SR-Nasdaq-2009-115 |
| 34-61281 |
Jan. 4, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow All SPY and IWM Option Series to Quote in Penny Increments
Comments due: February 1, 2010
|
SR-NASDAQ-2009-112 |
| 34-61314 |
Jan. 7, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 1140 and 3080 to Reflect Changes to a Corresponding FINRA Rule
Comments due: February 9, 2010
Additional Materials: Exhibit 5
|
SR-NASDAQ-2009-110 |
| 34-61224 |
Dec. 22, 2009 |
Notice of Filing of Proposed Rule Change to Amend IM-2110-7 To Reflect Changes to Corresponding FINRA Rule
Comments due: January 20, 2010
Submit comments on SR-NASDAQ-2009-110
|
SR-NASDAQ-2009-109 |
| 34-61151 |
Dec. 10, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 1160 to Reflect the Availability of the FINRA Contact System to Nasdaq Members That Are Not Also Members of FINRA
Comments due: January 8, 2010
|
SR-NASDAQ-2009-108 |
| 34-61203 |
Dec. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify Certain Provisions of the Options Listing Procedures Plan into the Exchange's Rules
Comments due: January 19, 2010
|
SR-NASDAQ-2009-106 |
| 34-61128 |
Dec. 8, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2330 and IM-2330 to Reflect Changes to Corresponding FINRA Rule
Comments due: January 4, 2010
|
SR-NASDAQ-2009-105 |
| 34-61205 |
Dec. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-1002-1 to Reflect Changes to a Corresponding FINRA Rule
Comments due: January 19, 2010
Additional Materials: Exhibit 5
|
SR-NASDAQ-2009-103 |
| 34-61093 |
Dec. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Options Market
Comments due: December 29, 2009
|
SR-NASDAQ-2009-102 |
| 34-61074 |
Nov. 30, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Definition of Material Changes in Business Operations found in the Membership Rules and to Make a Technical Correction
Comments due: December 28, 2009
|
SR-NASDAQ-2009-101 |
| 34-61085 |
Dec. 1, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Nasdaq Rule 4000 and 5000 Series to Correct Certain Citations to Renumbered Rules
Comments due: December 29, 2009
|
SR-NASDAQ-2009-100 |
| 34-61070 |
Nov. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Pricing For NASDAQ's Portal Reference Database
Comments due: December 28, 2009
|
SR-NASDAQ-2009-099 |
| 34-60952 |
Nov. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals of $0.50 for Options on Stocks Trading at or Below $3.00 on the NASDAQ Options Market
Comments due: December 8, 2009
|
SR-NASDAQ-2009-098 |
| 34-60980 |
Nov. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Options Market
Comments due: December 14, 2009
|
SR-NASDAQ-2009-097 |
| 34-60965 |
Nov. 9, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No.1, to Add Seventy-Five Options Classes to the Penny Pilot Program
Comments due: December 8, 2009
|
SR-NASDAQ-2009-096 |
| 34-60959 |
Nov. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: December 4, 2009
Additional Materials: Exhibit 5
|
SR- NASDAQ-2009-095 |
| 34-60990 |
Nov. 12, 2009 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment No. 1 Thereto to Extend the Pilot Program and Reduce Fees for NASDAQ Last Sale Data Feeds and to Make a Technical Correction to NASDAQ Rule 7039
Comments due: December 10, 2009
|
SR-NASDAQ-2009-094 |
| 34-61008 |
Nov. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require that Companies Provide Nasdaq with at least Ten Minutes Prior Notification when Releasing Material Information and Eliminate a Potential Inconsistency with Commission Guidance on the Use of Company Websites to Satisfy Public Disclosure Requirements
Comments due: December 14, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-093 |
| 34-60905 |
Oct. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Opening of Trading on the NASDAQ Options Market
Comments due: November 27, 2009
|
SR-NASDAQ-2009-092 |
| 34-60991 |
Nov. 12, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Rules Related to Nasdaq's PORTAL Market
Comments due: December 10, 2009
|
SR-NASDAQ-2009-091 |
| 34-60874 |
Oct. 23, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Expansion and Extension of the Exchange's Penny Pilot Program
Comments due: November 23, 2009
|
SR-NASDAQ-2009-090 |
| 34-60880 |
Oct. 26, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Permit Listing Option Series that are Restricted to Closing Transactions if Such Series are Listed and Restricted to Closing Transactions on Another National Securities Exchange
Comments due: November 23, 2009
|
SR-NASDAQ-2009-089 |
| 34-60893 |
Oct. 28, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due: November 25, 2009
|
SR-NASDAQ-2009-088 |
| 34-60862 |
Oct. 22, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: November 19, 2009
|
SR-NASDAQ-2009-087 |
| 34-60845 |
Oct. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Restated Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BX-2009-061, SR-Phlx-2009-88
Comments due: 21 days after publication in the Federal Register
|
SR-NASDAQ-2009-086 |
| 34-60776 |
Oct. 2, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposal to Amend NASDAQ Rule 11890 Governing Clearly Erroneous Executions
Comments due: October 29, 2009
|
SR-NASDAQ-2009-084 |
| 34-60794 |
Oct. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Potential Payment Amounts Available Under Nasdaq Rule 4626
Comments due: November 3, 2009
|
SR-NASDAQ-2009-083 |
| 34-60661 |
Sep. 11, 2009 |
Notice of Filing of Proposed Rule Change to Amend IM-2110-4 To Reflect Changes to a Corresponding FINRA Rule
Comments due: October 13, 2009
Submit comments on SR-NASDAQ-2009-083
|
SR-NASDAQ-2009-082 |
| 34-60674 |
Sep. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: October 13, 2009
|
SR-NASDAQ-2009-081 |
| 34-61669 |
Mar. 5, 2010 |
Order Granting Approval of Proposed Rule Change to Modify the Fees for Listing on the Nasdaq Stock Market and the Fee for Written Interpretations of Nasdaq Listing Rules
|
| 34-60899 |
Oct. 28, 2009 |
Notice of Filing of Proposed Rule Change to Modify the Fees for Listing on the Nasdaq Stock Market and the Fee for Written Interpretations of Nasdaq Listing Rules
Comments due: November 25, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-079 |
| 34-60570 |
Aug. 26, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Flash Orders
Comments due: September 23, 2009
|
SR-NASDAQ-2009-078 |
| 34-60590 |
Aug. 31, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Nasdaq Listing Rules to Make Certain Conforming and Technical Changes
Comments due: September 29, 2009
|
SR-NASDAQ-2009-077 |
| 34-61446 |
Jan. 29, 2010 |
Order Approving Proposed Rule Change to Modify the Procedures Followed When a Listed Company Falls Below Certain Listing Requirements
|
| 34-60611 |
Sep. 2, 2009 |
Notice of Filing of Proposed Rule Change to Modify the Procedures Followed When a Listed Company Falls Below Certain Listing Requirements
Comments due: September 29, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-076 |
| 34-60521 |
Aug. 18, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Processing of Orders on the NASDAQ Options Market
Comments due: September 16, 2009
|
SR-NASDAQ-2009-075 |
| 34-60514 |
Aug. 17, 2009 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Listing Standards for Selected Equity-linked Debt Securities
Comments due: September 16, 2009
|
SR-NASDAQ-2009-074 |
| 34-60492 |
Aug. 12, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: September 8, 2009
|
SR-NASDAQ-2009-073 |
| 34-60407 |
Jul. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fees Related to Orders Routed to Nasdaq Via the Options Intermarket Linkage
Comments due: August 28, 2009
|
SR-NASDAQ-2009-072 |
| 34-60430 |
Aug. 4, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Fee Schedule for Members Using the NASDAQ Market Center
Comments due: September 1, 2009
|
SR-NASDAQ-2009-071 |
| 34-60384 |
Jul. 24, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due: August 21, 2009
|
SR-NASDAQ-2009-070 |
| 34-60371 |
Jul. 23, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASDAQ Rule 4751 to Provide System Functionality That Will Cancel Any Portion of Most Types of Unpriced Orders
Comments due: August 20, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-069 |
| 34-60374 |
Jul. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market through July 31, 2009
Comments due: August 20, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-068 |
| 34-60324 |
Jul. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: August 13, 2009
|
SR-NASDAQ-2009-067 |
| 34-60323 |
Jul. 16, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: August 13, 2009
|
SR-NASDAQ-2009-066 |
| 34-60335 |
Jul. 17, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Processing of Orders on the NASDAQ Options Market
Comments due: August 14, 2009
|
SR-NASDAQ-2009-065 |
| 34-60354 |
Jul. 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Modify Routing of Orders from NASDAQ Options Market to an Affiliate Exchange
Comments due: August 17, 2009
|
SR-NASDAQ-2009-064 |
| 34-60220 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To NASDAQ Options Market Options Participant Membership Requirements, Order Entry Times and Confirmation Statements
Comments due: June 31, 2009
|
SR-NASDAQ-2009-063 |
| 34-60248 |
Jul. 6, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Permanent Approval of the Exchange's Quarterly Option Series Pilot Program
Comments due: August 3, 2009
|
SR-NASDAQ-2009-062 |
| 34-60201 |
Jun. 30, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend the Pilot Program for NASDAQ Last Sale Data Feeds
Comments due: June 29, 2009
|
SR-NASDAQ-2009-061 |
| 34-60212 |
Jul. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Penny Pilot Program
Comments due: June 30, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-059 |
| 34-60352 |
Jul. 21, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Fees for Members Using the NASDAQ Options Market
Comments due: August 17, 2009
|
SR-NASDAQ-2009-058 |
| 34-60546 |
Aug. 20, 2009 |
Order Approving Proposed Rule Change To Modify Port Fees
|
| 34-60265 |
Jul. 8, 2009 |
Notice of Filing of Proposed Rule Change To Modify Port Fees
Comments due: August 6, 2009
|
SR-NASDAQ-2009-057 |
| 34-60182 |
Jun. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Optional Anti-Internalization Functionality
Comments due: June 27, 2009
|
SR-NASDAQ-2009-056 |
| 34-60525 |
Aug. 18, 2009 |
Order Granting Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Adopt Rules Implementing the Options Order Protection and Locked/Crossed Market Plan
|
| 34-60186 |
Jun. 29, 2009 |
Notice of Filing of a Proposed Rule Change to Adopt rules to Implement the Options Order Protection and Locked/Crossed Market Plan
Comments due: June 29, 2009
|
SR-NASDAQ-2009-053 |
| 34-60203 |
Jun. 30, 2009 |
Order of Summary Abrogation of a Proposed Rule Change to Reduce Certain Transaction Fees for Members that Trade Equities on NASDAQ and Make Markets in Options on the NASDAQ OMX PHLX, Inc. Options Exchange
|
SR-NASDAQ-2009-052 |
| 34-60193 |
Jun. 30, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Nasdaq Listing Rules to Make Certain Technical Changes and Typographical Corrections
Comments due: June 28, 2009
|
SR-NASDAQ-2009-051 |
| 34-60069 |
Jun. 8, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Pricing for NASDAQ "Flash" Functionality for Routable Orders
Comments due: July 6, 2009
|
SR-NASDAQ-2009-050 |
| 34-60039 |
Jun. 3, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Reduce the Length of the Optional Pre-Routing Display Period for its DOT, SCAN and STGY Routing Strategies
Comments due: June 30, 2009
|
SR-NASDAQ-2009-049 |
| 34-60094 |
Jun. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NASDAQ Listing Rules to Reflect Changes to the Rules of the Commission
Comments due: July 8, 2009
|
SR-NASDAQ-2009-048 |
| 34-60037 |
Jun. 3, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, Thereto to Establish a New Voluntary Flash and Cancel Order
Comments due: June 30, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-047 |
| 34-59948 |
May 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing
Comments due: June 19, 2009
|
SR-NASDAQ-2009-046 |
| 34-59923 |
May 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Securities that Underlie Options Traded on the Exchange
Comments due: June 11, 2009
|
SR-NASDAQ-2009-045 |
| 34-59871 |
May 6, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Trade Reporting File Upload Service and Related Fees
Comments due: June 2, 2009
|
SR-NASDAQ-2009-043 |
| 34-59875 |
May 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify DOT, SCAN and STGY Routing Strategies to Incorporate an Optional Pre-routing Display Period
Comments due: June 4, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-042 |
| 34-60276 |
Jul. 9, 2009 |
Order Approving Proposed Rule Change to Amend its Limited Liability Agreement and By-Laws
|
| 34-59907 |
May 12, 2009 |
Notice of Filing of Proposed Rule Change to Amend its Limited Liability Agreement
Comments due: June 10, 2009
|
SR-NASDAQ-2009-041 |
| 34-59879 |
May 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center and NASDAQ Options Market
Comments due: June 3, 2009
|
SR-NASDAQ-2009-040 |
| 34-59915 |
May 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Nasdaq Listing Rules to Conform Those Rules with the Prior Marketplace Rules and Make Certain Technical Corrections
Comments due: June 9, 2009
|
SR-NASDAQ-2009-039 |
| 34-60183 |
Jun. 26, 2009 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the By-Laws of The NASDAQ OMX Group, Inc.
|
| 34-59858 |
May 4, 2009 |
Notice of Filing of Proposed Rule Change to Amend the Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: June 2, 2009
|
SR-NASDAQ-2009-036 |
| 34-59807 |
Apr. 21, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing
Comments due: May 19, 2009
|
SR-NASDAQ-2009-035 |
| 34-59843 |
Apr. 29, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: May 27, 2009
|
SR-NASDAQ-2009-034 |
| 34-59822 |
Apr. 27, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Rule 7050 Governing Pricing for The NASDAQ Options Market ("NOM")
Comments due: May 26, 2009
|
SR-NASDAQ-2009-033 |
| 34-59786 |
Apr. 17, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish InterACT, a New Service, and Related Fees
Comments due: May 15, 2009
Comments received are available for this notice.
|
SR-NASDAQ-2009-032 |
| 34-59773 |
Apr. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: May 13, 2009
Additional File Nos.: SR-BX-2009-019, SR-Phlx-2009-31
|
SR-NASDAQ-2009-031 |
| 34-59673 |
Apr. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules
Comments due: April 29, 2009
|
SR-NASDAQ-2009-030 |
| 34-59632 |
Mar. 26, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposal by to Extend the Options Penny Pilot for The NASDAQ Options Market
Comments due: April 22, 2009
|
SR-NASDAQ-2009-029 |
| 34-59706 |
Apr. 6, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center
Comments due: May 5, 2009
|
SR-NASDAQ-2009-028 |
| 34-59933 |
May 15, 2009 |
Order Approving Proposed Rule Change to Reduce Fees for NASDAQ Basic Data Feeds
|
| 34-59712 |
Apr. 6, 2009 |
Notice of Filing of Proposed Rule Change to Reduce Fees for NASDAQ Basic Data Feeds
Comments due: May 5, 2009
|
SR-NASDAQ-2009-027 |
| 34-59652 |
Mar. 30, 2009 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend the Pilot Program for NASDAQ Last Sale Data Feeds and to Reduce the Monthly Cap on Fees
Comments due: April 27, 2009
|
SR-NASDAQ-2009-026 |
| 34-59661 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market through July 19, 2009
Comments due: April 27, 2009
|
SR-NASDAQ-2009-025 |
| 34-59588 |
Mar. 17, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Related To the $1 Strike Price Program
Comments due: April 14, 2009
|
SR-NASDAQ-2009-023 |
| 34-59610 |
Mar. 20, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Trading the Two-Character Ticker Symbol “UG”
Comments due: April 16, 2009
|
SR-NASDAQ-2009-021 |
| 34-59549 |
Mar. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding a Clerical Change to Nasdaq Rules
Comments due: April 7, 2009
|
SR-NASDAQ-2009-018 |
| 34-59663 |
Mar. 31, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions and Restructuring of the NASDAQ Listing Rules
Comments due: April 27, 2009
Additional Materials: Exhibit 5
Comments received are available for this notice.
|
SR-NASDAQ-2009-017 |
| 34-59557 |
Mar. 11, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Processing of Orders on the NASDAQ Options Market
Comments due: April 7, 2009
|
SR-NASDAQ-2009-016 |
| 34-59485 |
Mar. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC to Eliminate the $3 Price Requirement for Continued Approval for an Underlying Security and Listing Additional Series of Options
Comments due: March 31, 2009
|
SR-NASDAQ-2009-014 |
| 34-59547 |
Mar. 10, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish New Rules Applicable to the Nasdaq Market Center and Nasdaq Options Market that Explicitly Require Members to Input Accurate Information into Nasdaq Systems
Comments due: April 7, 2009
|
SR-NASDAQ-2009-013 |
| 34-59455 |
Feb. 25, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: March 25, 2009
|
SR-NASDAQ-2009-011 |
| 34-59420 |
Feb. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Exchange Direct Order for the NASDAQ Options Market
Comments due: March 18, 2009
|
SR-NASDAQ-2009-010 |
| 34-59460 |
Feb. 26, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due: March 27, 2009
Additional File Nos.: SR-BX-2009-009, SR-Phlx-2009-14
|
SR-NASDAQ-2009-009 |
| 34-59424 |
Feb. 19, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Nasdaq’s Definition of “Controlled Company”
Comments due: March 19, 2009
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SR-NASDAQ-2009-008 |
| 34-59405 |
Feb. 13, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7050 Governing Pricing For Nasdaq Members Using The NASDAQ Options Market (“NOM”)
Comments due: March 16, 2009
|
SR-NASDAQ-2009-006 |
| 34-59392 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Post-Only Order
Comments due: March 13, 2009
|
SR-NASDAQ-2009-005 |
| 34-59421 |
Feb. 19, 2009 |
Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Reduce Certain Order Exposure Periods on the NASDAQ Options Market from Three Seconds to One Second
|
| 34-59310 |
Jan. 28, 2009 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Reduce The Order Exposure Period on the NASDAQ Options Market
Comments due: February 18, 2009
|
SR-NASDAQ-2009-004 |
| 34-59396 |
Feb. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consolidating Into a Single Rule Certain Requirements for Products Traded on the Exchange Pursuant to Unlisted Trading Privileges
Comments due: March 11, 2009
|
SR-NASDAQ-2009-003 |
| 34-59318 |
Jan. 29, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Nasdaq’s Listing Requirements Related To The Distribution of Annual Reports
Comments due: February 26, 2009
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SR-NASDAQ-2009-002 |
| 34-59291 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Compliance Period Applicable to Companies that Fail to Meet the Market Value of Listed Securities Requirement
Comments due: 21 days after publication in the Federal Register
|
SR-NASDAQ-2009-001 |
| 34-59260 |
Jan. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7050 Governing Pricing for Nasdaq Members Using The NASDAQ Options Market ("NOM")
Comments due: February 17, 2009
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http://www.sec.gov/rules/sro/nasdaq/nasdaqarchive/nasdaqarchive2009.shtml
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