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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


Chronological List
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

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

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.

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:  February 12, 2010

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

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

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

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

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

 

http://www.sec.gov/rules/sro/nasdaq/nasdaqarchive/nasdaqarchive2009.shtml


Modified: 06/23/2014