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NASDAQ Stock Market LLC (NASDAQ) Rulemaking Archive: 2010
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 2010
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NASDAQ-2010-137 |
|
34-63607 |
Dec. 23, 2010 |
Order Approving Proposed Rule Change to Amend IM-5101-2 to Provide Special Purpose Acquisition Companies the Option to Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition and Other Changes to the SPAC Listing Standards
See also:
Notice: Release No. 34-63239
|
SR-NASDAQ-2010-163 |
|
34-63536 |
Dec. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Collection of Exchange Fees
Comments due: January 11, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-164 |
|
34-63530 |
Dec. 10, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Exemption from the Thirty-Day Written Notice Requirement of Rule 7018(i)(3)
Comments due: January 7, 2011
|
SR-NASDAQ-2010-165 |
|
34-63523 |
Dec. 10, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change Implementation Date for Direct Access Fees
Comments due: January 6, 2011
|
SR-NASDAQ-2010-134 |
|
34-63508 |
Dec. 9, 2010 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Additional Criteria for Listing Commodity Stockpiling Companies That Have Indicated That Their Business Plan is to Buy and Hold Commodities
See also:
Order: Rel. No. 34-64700;
Notice: Rel. No. 34-64259;
Order: Rel. No. 34-63804;
Notice: Rel. No. 34-63207
|
SR-NASDAQ-2010-162 |
|
34-63505 |
Dec. 9, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products that Experience a Price Change of 10% or More During a Five-Minute Period
Comments due: January 5, 2011
|
SR-NASDAQ-2010-160 |
|
34-63489 |
Dec. 9, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Transactions Rule
Comments due: January 5, 2011
|
SR-NASDAQ-2010-152 |
|
34-63441 |
Dec. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Direct Access to Exchange Data
Comments due: January 3, 2010
|
SR-NASDAQ-2010-158 |
|
34-63439 |
Dec. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Market Maker Quote Management Procedures
Comments due: January 3, 2010
|
SR-NASDAQ-2010-156 |
|
34-63425 |
Dec. 3, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 2270 and 2910 To Reflect Changes to Corresponding FINRA Rule
Comments due: December 30, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-149 |
|
34-63419 |
Dec. 2, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: December 29, 2010
|
SR-NASDAQ-2010-153 |
|
34-63414 |
Dec. 2, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Clarify the Exclusion of Partial Trading Days From Certain Calculations Within the Investor Support Program
Comments due: December 29, 2010
|
SR-NASDAQ-2010-150 |
|
34-63396 |
Nov. 30, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement, on a Semi-Annual Basis, of Penny Pilot Issues that have been Delisted
Comments due: December 27, 2010
|
SR-NASDAQ-2010-147 |
|
34-63341 |
Nov. 18, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Two Aspects of the Rules and Operation of The NASDAQ Options Market
Comments due: December 17, 2010
|
SR-NASDAQ-2010-148 |
|
34-63333 |
Nov. 17, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange-Traded Notes
Comments due: December 15, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-146 |
|
34-63332 |
Nov. 17, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules
Comments due: December 15, 2010
|
SR-NASDAQ-2010-138 |
|
34-63276 |
Nov. 8, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Program for Managed Data Solutions
Comments due: December 6, 2010
|
SR-NASDAQ-2010-141 |
|
34-63270 |
Nov. 8, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add New Rule 7014 to Enable NASDAQ Members to Qualify for a Monthly Fee Credit
Comments due: December 3, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-145 |
|
34-63258 |
Nov. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees Assessed for Use of the Testing Facility
Comments due: December 3, 2010
|
SR-NASDAQ-2010-115 |
|
34-63255 |
Nov. 5, 2010 |
Order Granting Accelerated Approval to Proposed Rule Changes, as Modified by Amendment No. 1, to Enhance the Quotation Standards for Market Makers
Additional File Nos.: SR-BATS-2010-025; SR-BX-2010-66; SR-CBOE-2010-087; SR-CHX-2010-22; SR-FINRA-2010-049; SR-NSX-2010-12; SR-NYSE-2010-69; SR-NYSEAmex-2010-96; SR-NYSEArca-2010-83
See also:
Notice: Rel. No. 34-62950
|
SR-NASDAQ-2010-144 |
|
34-63253 |
Nov. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to Access Service Fees
Comments due: December 3, 2010
|
SR-NASDAQ-2010-137 |
|
34-63239 |
Nov. 3, 2010 |
Notice of Filing of Proposed Rule Change to Amend IM-5101-2 to Provide Acquisition Companies the Option to hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition
See also:
Order: Release No. 34-63607
Comments due: November 30, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-140 |
|
34-63218 |
Nov. 1, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Flexible 60-Day Trial Period for New Users of Correlix Latency Measurement Services
Comments due: November 26, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-134 |
|
34-63207 |
Oct. 28, 2010 |
Notice of Filing of Proposed Rule Change to Adopt Additional Criteria for Listing Commodity Stockpiling Companies That Have Indicated That Their Business Plan is to Buy and Hold Commodities
Comments due: November 24, 2010
See also:
Order: Rel. No. 34-64700;
Notice: Rel. No. 34-64259;
Order: Rel. No. 34-63804;
Notice: Rel. No. 34-63508
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-139 |
|
34-63199 |
Oct. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: November 24, 2010
|
SR-NASDAQ-2010-136 |
|
34-63197 |
Oct. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to Access Service Fees
Comments due: November 24, 2010
|
SR-NASDAQ-2010-135 |
|
34-63189 |
Oct. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Prices for Co-Location Services
Comments due: November 23, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-133 |
|
34-63156 |
Oct. 21, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify Prices for Co-Location Services
Comments due: November 17, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-132 |
|
34-63151 |
Oct. 21, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Clarify the Implementation Date of the NASDAQ Options Market Professional Filing
Comments due: November 19, 2010
|
SR-NASDAQ-2010-131 |
|
34-63135 |
Oct. 20, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market, LLC to Expand the $0.50 Strike Price Program
Comments due: November 16, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-107 |
|
34-63110 |
Oct. 14, 2010 |
Order Granting Approval to a Proposed Rule Change to Modify the Eligibility Criteria for the Second Compliance Period for a Bid Price Deficiency on the Nasdaq Capital Market
See also:
Notice: Rel. No. 34-62782
|
SR-NASDAQ-2010-130 |
|
34-63101 |
Oct. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the Clearly Erroneous Module
Comments due: November 10, 2010
|
SR-NASDAQ-2010-074 |
|
34-63098 |
Oct. 13, 2010 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities
Comments due: December 3, 2010
See also:
Notice/Order: Rel. No. 34-64071;
Notice: Rel. No. 34-63685;
Notice: Rel. No. 34-62740;
Notice: Rel. No. 34-62468
Comments received
are available
for this order.
|
SR-NASDAQ-2010-129 |
|
34-63092 |
Oct. 13, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: November 9, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-125 |
|
34-63084 |
Oct. 13, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise an Optional Depth Data Enterprise License Fee for Broker-Dealer Distribution of Depth-of-Book Data
Comments due: November 9, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-127 |
|
34-63083 |
Oct. 13, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Order Routing Rule
Comments due: November 9, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-126 |
|
34-63063 |
Oct. 7, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Conforming Change to NASDAQ Rules
Comments due: November 4, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-124 |
|
34-63055 |
Oct. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees During Opening Cross
Comments due: November 4, 2010
|
SR-NASDAQ-2010-128 |
|
34-63040 |
Oct. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Requirements to Qualify for Credits as a Designated Liquidity Provider under Rule 7018(i)
Comments due: November 4, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-099 |
|
34-63028 |
Oct. 1, 2010 |
Order Approving a Proposed Rule Change to Adopt a Definition of Professional and Require that All Professional Orders be Appropriately Marked
See also:
Notice: Rel. No. 34-62724
|
| Third Quarter |
SR-NASDAQ-2010-116 |
|
34-63022 |
Sep. 30, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Nasdaq's Order Routing Rule
Comments due: October 27, 2010
|
SR-NASDAQ-2010-121 |
|
34-63007 |
Sep. 29, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: October 26, 2010
Additional Materials:
Exhibit 5
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-114 |
|
34-62992 |
Sep. 24, 2010 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Prohibit Members from Voting Uninstructed Shares on Certain Matters
Comments due: October 22, 2010
|
SR-NASDAQ-2010-115 |
|
34-62950 |
Sep. 20, 2010 |
Notice of Filing of a Proposed Rule Change to Enhance Quotation Requirements for Market Makers
Comments due: October 18, 2010
See also:
Order: Rel. No. 34-63255
|
SR-NASDAQ-2010-096 |
|
34-62925 |
Sep. 16, 2010 |
Order Granting Approval to a Proposed Rule Change Relating to the National Quotation Dissemination Service
See also:
Notice: Rel. No. 34-62629
|
SR-NASDAQ-2010-111 |
|
34-62908 |
Sep. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Optional Depth Data Enterprise License Fee
Comments due: October 12, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-110 |
|
34-62907 |
Sep. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7019
Comments due: October 12, 2010
|
SR-NASDAQ-2010-113 |
|
34-62893 |
Sep. 10, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: October 8, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-076 |
|
34-62886 |
Sep. 10, 2010 |
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions
Additional File Nos.: SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-CHX-2010-13; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca-2010-58
See also:
Notice: Rel. No. 34-62334
|
SR-NASDAQ-2010-079 |
|
34-62884 |
Sep. 10, 2010 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000® Index and Specified Exchange Traded Products
Additional File Nos.: SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NSX-2010-08
See also:
Notice: Rel. No. 34-62414
|
SR-NASDAQ-2010-076 |
|
34-62797 |
Aug. 30, 2010 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearly Erroneous Transactions
Additional File Nos.: SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-CHX-2010-13; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca-2010-58
See also:
Notice: Rel. No. 34-62730
|
SR-NASDAQ-2010-106 |
|
34-62785 |
Aug. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed to Members Using the NASDAQ Market Center
Comments due: September 23, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-107 |
|
34-62782 |
Aug. 27, 2010 |
Notice of Filing of Proposed Rule Change to Modify the Eligibility Criteria for the Second Compliance Period for a Bid Price Deficiency on the Nasdaq Capital Market
Comments due: September 23, 2010
See also:
Order: 34-63110
|
SR-NASDAQ-2010-102 |
|
34-62771 |
Aug. 26, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2260 To Reflect Changes to Corresponding FINRA Rule
Comments due: September 23, 2010
|
SR-NASDAQ-2010-079 |
|
34-62763 |
Aug. 24, 2010 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-FINRA-2010-033; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NSX-2010-08
|
SR-NASDAQ-2010-105 |
|
34-62754 |
Aug. 20, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: September 17, 2010
|
SR-NASDAQ-2010-074 |
|
34-62740 |
Aug. 18, 2010 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities
See also:
Notice/Order: Rel. No. 34-64071;
Notice: Rel. No. 34-63685;
Order: Rel. No. 34-63098;
Notice: Rel. No. 34-62468
|
SR-NASDAQ-2010-100 |
|
34-62736 |
Aug. 17, 2010 |
Notice of Filing of Proposed Rule Change Regarding Routing to an Affiliated Exchange
Comments due: September 13, 2010
|
SR-NASDAQ-2010-101 |
|
34-62735 |
Aug. 17, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Rule 4770 in its Entirety and to Eliminate a Related Reference from the Rules
Comments due: September 13, 2010
|
SR-NASDAQ-2010-076 |
|
34-62730 |
Aug. 16, 2010 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Clearly Erroneous Transactions
Additional File Nos.: SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-CHX-2010-13; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca2010-58
See also:
Notice: Rel. No. 34-62334
|
SR-NASDAQ-2010-099 |
|
34-62724 |
Aug. 16, 2010 |
Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC to Adopt a Definition of Professional and Require that All Professional Orders be Appropriately Marked
Comments due: September 10, 2010
See also:
Order: Rel. No. 34-63028
|
SR-NASDAQ-2010-097 |
|
34-62709 |
Aug. 12, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Amend Exchange Rules Related to the Cut-off Time for Contrary Exercise Advice Submissions
Comments due: September 8, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-079 |
|
34-62688A |
Aug. 11, 2010 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility [CORRECTED]
Additional File Nos.: SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-FINRA-2010-033; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NSX-2010-08
See also:
Notice: Rel. No. 34-62414
|
SR-NASDAQ-2010-077 |
|
34-62663 |
Aug. 9, 2010 |
Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections
See also:
Notice: Rel. No. 34-62392
|
SR-NASDAQ-2010-096 |
|
34-62629 |
Aug. 3, 2010 |
Notice of Filing of a Proposed Rule Change Relating to the National Quotation Dissemination Service
Comments due: August 30, 2010
See also:
Order: Rel. No. 34-62925
|
SR-NASDAQ-2010-088 |
|
34-62618 |
Jul. 30, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Routing to Away Markets
Comments due: August 27, 2010
|
SR-NASDAQ-2010-092 |
|
34-62617 |
Jul. 30, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Seventy-Five Options Classes to the Penny Pilot Program
Comments due: August 27, 2010
|
SR-NASDAQ-2010-093 |
|
34-62614 |
Jul. 30, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Nasdaq Rule 7017(b)
Comments due: August 27, 2010
|
SR-NASDAQ-2010-068 |
|
34-62605 |
Jul. 30, 2010 |
Order Approving a Proposed Rule Change to Establish a Revenue Sharing Program With Correlix, Inc.
See also:
Notice: Rel. No. 34-62326
|
SR-NASDAQ-2010-095 |
|
34-62592 |
Jul. 29, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Closing Cross Fees for Market-on-Close and Limit-on-Close Orders
Comments due: August 25, 2010
|
SR-NASDAQ-2010-090 |
|
34-62590 |
Jul. 29, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Fees for Routing to Away Markets
Comments due: August 25, 2010
|
SR-NASDAQ-2010-089 |
|
34-62564 |
Jul. 23, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees Assessed for Supplemental MPIDs
Comments due: August 19, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2008-014 |
|
34-62554 |
Jul. 22, 2010 |
Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, to Amend Certain Corporate Governance Disclosure Requirements for Listed Companies
See also:
Notice: Rel. No. 34-62285
|
SR-NASDAQ-2010-075 |
|
34-62543 |
Jul. 21, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Fees for Execution of Contracts on the NASDAQ Options Market
Comments due: August 17, 2010
|
SR-NASDAQ-2010-087 |
|
34-62531 |
Jul. 19, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Trading Halts in Options During a Trading Pause in the Underlying Securities
Comments due: August 16, 2010
|
SR-NASDAQ-2010-080 |
|
34-62496 |
Jul. 14, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Regarding a Clerical Change to Nasdaq Rules
Comments due: August 16, 2010
|
SR-NASDAQ-2010-086 |
|
34-62491 |
Jul. 13, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Application of NASDAQ Rule 4611(d)
Comments due: August 9, 2010
|
SR-NASDAQ-2010-078 |
|
34-62490 |
Jul. 13, 2010 |
Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Modify Rule 7019 Governing Market Data Distribution Fees
Comments due: August 9, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-074 |
|
34-62468 |
Jul. 7, 2010 |
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities
Comments due: August 5, 2010
See also:
Notice/Order: Rel. No. 34-64071;
Notice: Rel. No. 34-63685;
Order: Rel. No. 34-63098;
Notice: Rel. No. 34-62740
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-083 |
|
34-62451 |
Jul. 6, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Expand its $1 Strike Program
Comments due: August 3, 2010
|
SR-NASDAQ-2010-081 |
|
34-62428 |
Jul. 1, 2010 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Extend the Last Sale Data Feeds Pilot Program
Comments due: July 29, 2010
|
| Second Quarter |
SR-NASDAQ-2010-079 |
|
34-62414 |
Jun. 30, 2010 |
Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC to Amend NASDAQ Rule 4120(a)(11) to Add Securities Included in the Russell 1000® Index ("Russell 1000") and Specified Exchange Traded Products ("ETP") to the Pilot Rule
Comments due: July 19, 2010
Additional Materials:
Exhibit 3
See also:
Notice: Rel. No. 34-62688A;
Order: Rel. No. 34-62884
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-019 |
|
34-62397 |
Jun. 28, 2010 |
Order Approving a Proposed Rule Change to Codify Prices for Co-Location Services
See also:
Notice: Rel. No. 34-61488
|
SR-NASDAQ-2010-077 |
|
34-62392 |
Jun. 28, 2010 |
Notice of Filing of Proposed Rule Change Relating to Pricing for Direct Circuit Connections
Comments due: July 27, 2010
See also:
Order: Rel. No. 34-62663
|
SR-NASDAQ-2010-069 |
|
34-62391 |
Jun. 28, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Free Trial Period for the Use of Correlix, Inc. Data Latency Products in the NASDAQ Market Center
Comments due: July 27, 2010
|
SR-NASDAQ-2010-052 |
|
34-62380 |
Jun. 25, 2010 |
Order Approving Proposed Rule Change to Establish the Nasdaq Short Sale Volume and Monthly Short Sale Transaction Service and Related Fees
See also:
Notice: Rel. No. 34-62112
|
SR-NASDAQ-2010-076 |
|
34-62334 |
Jun. 21, 2010 |
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NASDAQ Rule 11890 Governing Clearly Erroneous Executions
Comments due: July 19, 2010
See also:
Notice: Rel. No. 34-62730;
Order: Rel. No. 34-62886
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-068 |
|
34-62326 |
Jun. 18, 2010 |
Notice of Filing of Proposed Rule Change to Establish a Revenue Sharing Program With Correlix, Inc.
Comments due: July 16, 2010
See also:
Order: Rel. No. 34-62605
|
SR-NASDAQ-2010-072 |
|
34-62314 |
Jun. 17, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Nasdaq Stock Market LLC to Clarify the Applicable Time Period of Trading Pauses on Trading Days with an Early Scheduled Close
Comments due: July 15, 2010
|
SR-NASDAQ-2010-073 |
|
34-62297 |
Jun. 15, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Establish a Short Term Option Program
Comments due: July 12, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-070 |
|
34-62295 |
Jun. 15, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC to List Options on Trust Issued Receipts in $1 Strike Intervals
Comments due: July 12, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2008-014 |
|
34-62285 |
Jun. 11, 2010 |
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Amend Certain Corporate Governance Disclosure Requirements for Listed Companies
Comments due: July 8, 2010
See also:
Order: Rel. No. 34-62554
|
SR-NASDAQ-2010-071 |
|
34-62270 |
Jun. 10, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC Relating to Trading Halts in Options During a Trading Pause in the Underlying Security
Comments due: July 8, 2010
|
SR-NASDAQ-2010-061 |
|
34-62252 |
Jun. 10, 2010 |
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility
See also:
Notice: Rel. No. 34-62129
|
SR-NASDAQ-2010-064 |
|
34-62249 |
Jun. 9, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: July 6, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-063 |
|
34-62176 |
May 26, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 23, 2010
|
SR-NASDAQ-2010-059 |
|
34-62138 |
May 19, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: June 16, 2010
|
SR-NASDAQ-2010-060 |
|
34-62135 |
May 19, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Companies to Provide Notification to Nasdaq of Any Noncompliance with the Corporate Governance Requirements
Comments due: June 16, 2010
|
SR-NASDAQ-2010-061 |
|
34-62129 |
May 19, 2010 |
Notice of Filing of a Proposed Rule Change to Establish a Trading Pause for Individual Stocks Contained In The Standard & Poor's 500 Index That Experience a Price Change of 10% or More During a Five-Minute Period
Comments due: June 3, 2010
See also:
Order: Rel. No. 34-62252
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-052 |
|
34-62112 |
May 14, 2010 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish a New Service and Related Fees
Comments due: June 15, 2010
See also:
Order: Rel. No. 34-62380
|
SR-NASDAQ-2010-058 |
|
34-62081 |
May 11, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: June 9, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-056 |
|
34-62056 |
May 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets and Execution Pricing for Certain Options
Comments due: June 3, 2010
|
SR-NASDAQ-2010-057 |
|
34-62044 |
May 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 9552, 9554 and 9559 to Conform NASDAQ's Rules to Recent Changes to the Rules of FINRA
Comments due: June 2, 2010
|
SR-NASDAQ-2010-053 |
|
34-62029 |
May 4, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Add Seventy-Five Options Classes to the Penny Pilot Program
Comments due: June 1, 2010
|
SR-NASDAQ-2010-048 |
|
34-61992 |
Apr. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market, LLC to Amend the By-Laws of The NASDAQ OMX Group, Inc.
Comments due: May 25, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-050 |
|
34-61991 |
Apr. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Relating to the Opening of Trading in the NASDAQ Options Market
Comments due: May 25, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-051 |
|
34-61981 |
Apr. 26, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Intermarket Option Linkage
Comments due: May 21, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-035 |
|
34-61944 |
Apr. 20, 2010 |
Order Granting Accelerated Approval of Proposed Rule Change to Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities
See also:
Notice: Rel. No. 34-61766
|
SR-NASDAQ-2010-049 |
|
34-61926 |
Apr. 16, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: May 13, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-047 |
|
34-61904 |
Apr. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Global Select Market Initial Listing Requirements
Comments due: May 11, 2010
|
SR-NASDAQ-2010-041 |
|
34-61887 |
Apr. 12, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Changes to Certain Notification Requirements
Comments due: May 10, 2010
|
SR-NASDAQ-2010-025 |
|
34-61876 |
Apr. 8, 2010 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Amend the By-Laws of The NASDAQ OMX Group, Inc.
See also:
Notice: Rel. No. 34-61582
|
SR-NASDAQ-2010-045 |
|
34-61872 |
Apr. 8, 2010 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Extend the Last Sale Data Feeds Pilot Program
Comments due: May 5, 2010
|
SR-NASDAQ-2010-044 |
|
34-61854 |
Apr. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: May 4, 2010
|
SR-NASDAQ-2010-040 |
|
34-61830 |
Apr. 1, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets
Comments due: April 30, 2010
|
| First Quarter |
SR-NASDAQ-2010-037 |
|
34-61789 |
Mar. 26, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Nasdaq’s Rules to Eliminate an Outdated Reference
Comments due: April 23, 2010
|
SR-NASDAQ-2010-015 |
|
34-61787 |
Mar. 26, 2010 |
Order Approving Proposed Rule Change to Apply Retroactively a Correction of a Drafting Error in Rule 7018
See also:
Notice: Rel. No. 34-61524
|
SR-NASDAQ-2010-039 |
|
34-61770 |
Mar. 24, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Application of NASDAQ Rule 4611(d)
Comments due: April 21, 2010
|
SR-NASDAQ-2010-035 |
|
34-61766 |
Mar. 23, 2010 |
Notice of Filing of Proposed Rule Change to Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities
Comments due: April 15, 2010
See also:
Order: Rel. No. 34-61944
|
SR-NASDAQ-2010-036 |
|
34-61757 |
Mar. 22, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify and Modify the Applicability of Nasdaq Rule 5615 to Exchange Traded Funds
Comments due: April 19, 2010
|
SR-NASDAQ-2010-038 |
|
34-61736 |
Mar. 18, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Permit the Concurrent Listing of $3.50 and $4 Strikes for Classes Participating in the $0.50 Strike Program and the $1 Strike Program
Comments due: April 14, 2010
|
SR-NASDAQ-2010-007 |
|
34-61735 |
Mar. 18, 2010 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Elimination of a Market Maker Requirement for Each Option Series
See also:
Notice: Rel. No. 34-61443
|
SR-NASDAQ-2010-006 |
|
34-61713 |
Mar. 15, 2010 |
Order Granting Approval of Proposed Rule Change to Modify the Press Release Requirements for Listed Companies
See also:
Notice: Rel. No. 34-61461
|
SR-NASDAQ-2010-023 |
|
34-61703 |
Mar. 12, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications
Comments due: April 12, 2010
|
SR-NASDAQ-2010-034 |
|
34-61700 |
Mar. 12, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish an Optional Non-Display Usage Cap for Internal Distributors of TotalView and OpenView
Comments due: April 8, 2010
|
SR-NASDAQ-2010-030 |
|
34-61682 |
Mar. 10, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide an Additional Option to the DOTI Routing Strategy
Comments due: April 6, 2010
|
SR-NASDAQ-2010-033 |
|
34-61681 |
Mar. 10, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 3121 To Reflect Changes to Corresponding FINRA Rule and a Clerical Change to NASDAQ's Rules
Comments due: April 6, 2010
|
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
See also:
Notice: Rel. No. 34-60899
|
SR-NASDAQ-2010-028 |
|
34-61668 |
Mar. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Routing of Orders from NASDAQ Options Market to an Affiliated Exchange
Comments due: April 5, 2010
|
SR-NASDAQ-2010-027 |
|
34-61666 |
Mar. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets
Comments due: April 5, 2010
|
SR-NASDAQ-2010-029 |
|
34-61645 |
Mar. 4, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: March 31, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-026 |
|
34-61606 |
Mar. 1, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Erroneous Citations from Rule 9557
Comments due: March 26, 2010
|
SR-NASDAQ-2010-025 |
|
34-61582 |
Feb. 25, 2010 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of The NASDAQ OMX Group, Inc.
Comments due: March 25, 2010
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-61876
|
SR-NASDAQ-2010-024 |
|
34-61594 |
Feb. 25, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Round Lot Holder Initial Listing Requirement for Listing of Warrants on the Nasdaq Global and Capital Markets Except for Initial Firm Commitment Underwritten Public Offering
Comments due: March 25, 2010
|
SR-NASDAQ-2010-016 |
|
34-61580 |
Feb. 24, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for the NASDAQ Options Market ("NOM")
Comments due: March 24, 2010
Additional Materials:
Text of the Proposed Rule Change
|
SR-NASDAQ-2010-022 |
|
34-61573 |
Feb. 23, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC. Inc. Relating to Amending NASDAQ Options Market ("NOM") Chapter V, Section 6, Obvious Errors
Comments due: March 25, 2010
|
SR-NASDAQ-2010-015 |
|
34-61524 |
Feb. 16, 2010 |
Notice of Filing of Proposed Rule Change To Apply Retroactively a Correction of a Typographical Error in Rule 7018
Comments due: March 16, 2010
See also:
Order: Rel. No. 34-61787
|
SR-NASDAQ-2010-008 |
|
34-61521 |
Feb. 16, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Prior Notification Requirements When Companies Release Material Information Outside of Nasdaq Market Hours
Comments due: March 16, 2010
|
SR-NASDAQ-2010-014 |
|
34-61515 |
Feb. 12, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center and To Correct a Typographical Error in Rule 7018
Comments due: March 15, 2010
|
SR-NASDAQ-2010-019 |
|
34-61488 |
Feb. 3, 2010 |
Notice of Filing of Proposed Rule Change to Codify Prices for Co-Location Services
Comments due: March 3, 2010
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-62397
|
SR-NASDAQ-2010-020 |
|
34-61467 |
Feb. 2, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: March 1, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-006 |
|
34-61461 |
Feb. 1, 2010 |
Notice of Filing of Proposed Rule Change To Modify The Press Release Requirements for Listed Companies
Comments due: March 1, 2010
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-61713
|
SR-NASDAQ-2010-013 |
|
34-61455 |
Feb.1, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Seventy-Five Options Classes to the Penny Pilot Program
Comments due: March 1, 2010
|
SR-NASDAQ-2010-012 |
|
34-61451 |
Feb. 1, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Describing the NASDAQ Ouch BBO Feed
Comments due: March 1, 2010
|
SR-NASDAQ-2010-018 |
|
34-61460 |
Feb. 1, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Order Routing Rule
Comments due: February 26, 2010
Additional Materials:
Exhibit 5
|
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
See also:
Notice: Rel. No. 34-60611
|
SR-NASDAQ-2010-007 |
|
34-61443 |
Jan. 29, 2010 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Elimination of Market Maker Requirement for Each Option Series
Comments due: February 25, 2010
See also:
Order: Rel. No. 34-61735
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-009 |
|
34-61429 |
Jan. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend its Financial Responsibility Rules To Reflect Changes to Corresponding FINRA Rules
Comments due: February 25, 2010
|
SR-NASDAQ-2010-010 |
|
34-61416 |
Jan. 25, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Nasdaq Rule 7023
Comments due: February 25, 2010
|
SR-NASDAQ-2010-005 |
|
34-61371 |
Jan. 15, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 3330 and 9810 To Reflect Changes to Corresponding FINRA Rules
Comments due: February 16, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-003 |
|
34-61347 |
Jan. 13, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Amend the $1 Strike Program to Allow the Listing of $1 LEAPS
Comments due: February 11, 2010
|
SR-NASDAQ-2008-104 |
|
34-61345 |
Jan. 13, 2010 |
Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, to Adopt a Modified Sponsored Access Rule
Comments due: February 10, 2010
See also:
Notice: Rel. No. 34-59275
|
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-2010-002 |
|
34-61321 |
Jan. 8, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2810 To Reflect Changes to Corresponding FINRA Rule
Comments due: February 12, 2010
|
SR-NASDAQ-2010-001 |
|
34-61320 |
Jan. 8, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2342 To Reflect Changes to Corresponding FINRA Rule
Comments due: February 12, 2010
|
SR-NASDAQ-2009-112 |
|
34-61314 |
Jan. 7, 2010 |
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-2009-115 |
|
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
|
| NASDAQ File Number List for 2010 |
| Release No. |
Date |
Details |
SR-NASDAQ-2010-172 |
|
34-63641 |
Jan. 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: February 2, 2011
|
SR-NASDAQ-2010-166 |
|
34-63678 |
Jan. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASDAQ Members Using the NASDAQ Market Center
Comments due: February 4, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-165 |
|
34-63523 |
Dec. 10, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change Implementation Date for Direct Access Fees
Comments due: January 6, 2011
|
SR-NASDAQ-2010-164 |
|
34-63530 |
Dec. 10, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Exemption from the Thirty-Day Written Notice Requirement of Rule 7018(i)(3)
Comments due: January 7, 2011
|
SR-NASDAQ-2010-163 |
|
34-63536 |
Dec. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Collection of Exchange Fees
Comments due: January 11, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-162 |
|
34-63505 |
Dec. 9, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for Individual Stocks Contained in the Standard & Poor's 500 Index, Russell 1000 Index, and Specified Exchange Traded Products that Experience a Price Change of 10% or More During a Five-Minute Period
Comments due: January 5, 2011
|
SR-NASDAQ-2010-160 |
|
34-63489 |
Dec. 9, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Transactions Rule
Comments due: January 5, 2011
|
SR-NASDAQ-2010-158 |
|
34-63439 |
Dec. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Market Maker Quote Management Procedures
Comments due: January 3, 2010
|
SR-NASDAQ-2010-156 |
|
34-63425 |
Dec. 3, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 2270 and 2910 To Reflect Changes to Corresponding FINRA Rule
Comments due: December 30, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-154 |
|
34-63628 |
Jan. 3, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Enhance the Investor Support Program
Comments due: January 28, 2011
|
SR-NASDAQ-2010-153 |
|
34-63414 |
Dec. 2, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Clarify the Exclusion of Partial Trading Days From Certain Calculations Within the Investor Support Program
Comments due: December 29, 2010
|
SR-NASDAQ-2010-152 |
|
34-63441 |
Dec. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Direct Access to Exchange Data
Comments due: January 3, 2010
|
SR-NASDAQ-2010-150 |
|
34-63396 |
Nov. 30, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement, on a Semi-Annual Basis, of Penny Pilot Issues that have been Delisted
Comments due: December 27, 2010
|
SR-NASDAQ-2010-149 |
|
34-63419 |
Dec. 2, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: December 29, 2010
|
SR-NASDAQ-2010-148 |
|
34-63333 |
Nov. 17, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Exchange-Traded Notes
Comments due: December 15, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-147 |
|
34-63341 |
Nov. 18, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Two Aspects of the Rules and Operation of The NASDAQ Options Market
Comments due: December 17, 2010
|
SR-NASDAQ-2010-146 |
|
34-63332 |
Nov. 17, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules
Comments due: December 15, 2010
|
SR-NASDAQ-2010-145 |
|
34-63258 |
Nov. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees Assessed for Use of the Testing Facility
Comments due: December 3, 2010
|
SR-NASDAQ-2010-144 |
|
34-63253 |
Nov. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to Access Service Fees
Comments due: December 3, 2010
|
SR-NASDAQ-2010-141 |
|
34-63270 |
Nov. 8, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add New Rule 7014 to Enable NASDAQ Members to Qualify for a Monthly Fee Credit
Comments due: December 3, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-140 |
|
34-63218 |
Nov. 1, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Flexible 60-Day Trial Period for New Users of Correlix Latency Measurement Services
Comments due: November 26, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-139 |
|
34-63199 |
Oct. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: November 24, 2010
|
SR-NASDAQ-2010-138 |
|
34-63276 |
Nov. 8, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Program for Managed Data Solutions
Comments due: December 6, 2010
|
SR-NASDAQ-2010-137 |
|
34-63607 |
Dec. 23, 2010 |
Order Approving Proposed Rule Change to Amend IM-5101-2 to Provide Special Purpose Acquisition Companies the Option to Hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition and Other Changes to the SPAC Listing Standards
|
|
34-63239 |
Nov. 3, 2010 |
Notice of Filing of Proposed Rule Change to Amend IM-5101-2 to Provide Acquisition Companies the Option to hold a Tender Offer in Lieu of a Shareholder Vote on a Proposed Acquisition
Comments due: November 30, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-136 |
|
34-63197 |
Oct. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to Access Service Fees
Comments due: November 24, 2010
|
SR-NASDAQ-2010-135 |
|
34-63189 |
Oct. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Prices for Co-Location Services
Comments due: November 23, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-134 |
|
34-64700 |
Jun. 17, 2011 |
Order Disapproving Proposed Rule Change to Adopt Additional Criteria for Listing Companies That Have Indicated Their Business Plan is to Buy and Hold Commodities
|
|
34-64259 |
Apr. 8, 2011 |
Notice of Designation of Longer Time Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt Additional Criteria for Listing Commodity Stockpiling Companies That Have Indicated That Their Business Plan is to Buy and Hold Commodities
|
|
34-63804 |
Jan. 31, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Adopt Additional Criteria for Listing Commodity Stockpiling Companies That Have Indicated Their Business Plan is to Buy and Hold Commodities
Comments due: March 21, 2011
Rebuttal comments due: April 5, 2011
Comments received
are available
for this notice.
|
|
34-63508 |
Dec. 9, 2010 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Additional Criteria for Listing Commodity Stockpiling Companies That Have Indicated That Their Business Plan is to Buy and Hold Commodities
|
|
34-63207 |
Oct. 28, 2010 |
Notice of Filing of Proposed Rule Change to Adopt Additional Criteria for Listing Commodity Stockpiling Companies That Have Indicated That Their Business Plan is to Buy and Hold Commodities
Comments due: November 24, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-133 |
|
34-63156 |
Oct. 21, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify Prices for Co-Location Services
Comments due: November 17, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-132 |
|
34-63151 |
Oct. 21, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Clarify the Implementation Date of the NASDAQ Options Market Professional Filing
Comments due: November 19, 2010
|
SR-NASDAQ-2010-131 |
|
34-63135 |
Oct. 20, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market, LLC to Expand the $0.50 Strike Price Program
Comments due: November 16, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-130 |
|
34-63101 |
Oct. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the Clearly Erroneous Module
Comments due: November 10, 2010
|
SR-NASDAQ-2010-129 |
|
34-63092 |
Oct. 13, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: November 9, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-128 |
|
34-63040 |
Oct. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Requirements to Qualify for Credits as a Designated Liquidity Provider under Rule 7018(i)
Comments due: November 4, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-127 |
|
34-63083 |
Oct. 13, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Order Routing Rule
Comments due: November 9, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-126 |
|
34-63063 |
Oct. 7, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Conforming Change to NASDAQ Rules
Comments due: November 4, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-125 |
|
34-63084 |
Oct. 13, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise an Optional Depth Data Enterprise License Fee for Broker-Dealer Distribution of Depth-of-Book Data
Comments due: November 9, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-124 |
|
34-63055 |
Oct. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees During Opening Cross
Comments due: November 4, 2010
|
SR-NASDAQ-2010-121 |
|
34-63007 |
Sep. 29, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: October 26, 2010
Additional Materials:
Exhibit 5
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-116 |
|
34-63022 |
Sep. 30, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Nasdaq's Order Routing Rule
Comments due: October 27, 2010
|
SR-NASDAQ-2010-115 |
|
34-62950 |
Sep. 20, 2010 |
Notice of Filing of a Proposed Rule Change to Enhance Quotation Requirements for Market Makers
Comments due: October 18, 2010
|
SR-NASDAQ-2010-114 |
|
34-62992 |
Sep. 24, 2010 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Prohibit Members from Voting Uninstructed Shares on Certain Matters
Comments due: October 22, 2010
|
SR-NASDAQ-2010-113 |
|
34-62893 |
Sep. 10, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: October 8, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-111 |
|
34-62908 |
Sep. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Optional Depth Data Enterprise License Fee
Comments due: October 12, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-110 |
|
34-62907 |
Sep. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7019
Comments due: October 12, 2010
|
SR-NASDAQ-2010-107 |
|
34-63110 |
Oct. 14, 2010 |
Order Granting Approval to a Proposed Rule Change to Modify the Eligibility Criteria for the Second Compliance Period for a Bid Price Deficiency on the Nasdaq Capital Market
|
|
34-62782 |
Aug. 27, 2010 |
Notice of Filing of Proposed Rule Change to Modify the Eligibility Criteria for the Second Compliance Period for a Bid Price Deficiency on the Nasdaq Capital Market
Comments due: September 23, 2010
|
SR-NASDAQ-2010-106 |
|
34-62785 |
Aug. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed to Members Using the NASDAQ Market Center
Comments due: September 23, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-105 |
|
34-62754 |
Aug. 20, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: September 17, 2010
|
SR-NASDAQ-2010-102 |
|
34-62771 |
Aug. 26, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2260 To Reflect Changes to Corresponding FINRA Rule
Comments due: September 23, 2010
|
SR-NASDAQ-2010-101 |
|
34-62735 |
Aug. 17, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Rule 4770 in its Entirety and to Eliminate a Related Reference from the Rules
Comments due: September 13, 2010
|
SR-NASDAQ-2010-100 |
|
34-62736 |
Aug. 17, 2010 |
Notice of Filing of Proposed Rule Change Regarding Routing to an Affiliated Exchange
Comments due: September 13, 2010
|
SR-NASDAQ-2010-099 |
|
34-63028 |
Oct. 1, 2010 |
Order Approving a Proposed Rule Change to Adopt a Definition of Professional and Require that All Professional Orders be Appropriately Marked
|
|
34-62724 |
Aug. 16, 2010 |
Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC to Adopt a Definition of Professional and Require that All Professional Orders be Appropriately Marked
Comments due: September 10, 2010
|
SR-NASDAQ-2010-097 |
|
34-62709 |
Aug. 12, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Amend Exchange Rules Related to the Cut-off Time for Contrary Exercise Advice Submissions
Comments due: September 8, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-096 |
|
34-62925 |
Sep. 16, 2010 |
Order Granting Approval to a Proposed Rule Change Relating to the National Quotation Dissemination Service
|
|
34-62629 |
Aug. 3, 2010 |
Notice of Filing of a Proposed Rule Change Relating to the National Quotation Dissemination Service
Comments due: August 30, 2010
|
SR-NASDAQ-2010-095 |
|
34-62592 |
Jul. 29, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Closing Cross Fees for Market-on-Close and Limit-on-Close Orders
Comments due: August 25, 2010
|
SR-NASDAQ-2010-093 |
|
34-62614 |
Jul. 30, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Nasdaq Rule 7017(b)
Comments due: August 27, 2010
|
SR-NASDAQ-2010-092 |
|
34-62617 |
Jul. 30, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Seventy-Five Options Classes to the Penny Pilot Program
Comments due: August 27, 2010
|
SR-NASDAQ-2010-090 |
|
34-62590 |
Jul. 29, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Fees for Routing to Away Markets
Comments due: August 25, 2010
|
SR-NASDAQ-2010-089 |
|
34-62564 |
Jul. 23, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees Assessed for Supplemental MPIDs
Comments due: August 19, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-088 |
|
34-62618 |
Jul. 30, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Routing to Away Markets
Comments due: August 27, 2010
|
SR-NASDAQ-2010-087 |
|
34-62531 |
Jul. 19, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Trading Halts in Options During a Trading Pause in the Underlying Securities
Comments due: August 16, 2010
|
SR-NASDAQ-2010-086 |
|
34-62491 |
Jul. 13, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Application of NASDAQ Rule 4611(d)
Comments due: August 9, 2010
|
SR-NASDAQ-2010-083 |
|
34-62451 |
Jul. 6, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Expand its $1 Strike Program
Comments due: August 3, 2010
|
SR-NASDAQ-2010-081 |
|
34-62428 |
Jul. 1, 2010 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Extend the Last Sale Data Feeds Pilot Program
Comments due: July 29, 2010
|
SR-NASDAQ-2010-080 |
|
34-62496 |
Jul. 14, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Regarding a Clerical Change to Nasdaq Rules
Comments due: August 16, 2010
|
SR-NASDAQ-2010-079 |
|
34-62884 |
Sep. 10, 2010 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to the Russell 1000® Index and Specified Exchange Traded Products
Additional File Nos.: SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NSX-2010-08
|
|
34-62763 |
Aug. 24, 2010 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-FINRA-2010-033; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NSX-2010-08
|
|
34-62688A |
Aug. 11, 2010 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility [CORRECTED]
Additional File Nos.: SR-BATS-2010-018; SR-BX-2010-044; SR-CBOE-2010-065; SR-CHX-2010-14; SR-EDGA-2010-05; SR-EDGX-2010-05; SR-FINRA-2010-033; SR-ISE-2010-66; SR-NYSE-2010-49; SR-NYSEAmex-2010-63; SR-NYSEArca-2010-61; SR-NSX-2010-08
|
|
34-62414 |
Jun. 30, 2010 |
Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC to Amend NASDAQ Rule 4120(a)(11) to Add Securities Included in the Russell 1000® Index (“Russell 1000”) and Specified Exchange Traded Products (“ETP”) to the Pilot Rule
Comments due: July 19, 2010
Additional Materials:
Exhibit 3
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-078 |
|
34-62490 |
Jul. 13, 2010 |
Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Modify Rule 7019 Governing Market Data Distribution Fees
Comments due: August 9, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-077 |
|
34-62663 |
Aug. 9, 2010 |
Order Approving a Proposed Rule Change Relating to Pricing for Direct Circuit Connections
|
|
34-62392 |
Jun. 28, 2010 |
Notice of Filing of Proposed Rule Change Relating to Pricing for Direct Circuit Connections
Comments due: July 27, 2010
|
SR-NASDAQ-2010-076 |
|
34-62886 |
Sep. 10, 2010 |
Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Transactions
Additional File Nos.: SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-CHX-2010-13; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca-2010-58
|
|
34-62797 |
Aug. 30, 2010 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearly Erroneous Transactions
Additional File Nos.: SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-CHX-2010-13; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca-2010-58
|
|
34-62730 |
Aug. 16, 2010 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Clearly Erroneous Transactions
Additional File Nos.: SR-BATS-2010-016; SR-BX-2010-040; SR-CBOE-2010-056; SR-CHX-2010-13; SR-EDGA-2010-03; SR-EDGX-2010-03; SR-ISE-2010-62; SR-NSX-2010-07; SR-NYSE-2010-47; SR-NYSEAmex-2010-60; SR-NYSEArca2010-58
|
|
34-62334 |
Jun. 21, 2010 |
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NASDAQ Rule 11890 Governing Clearly Erroneous Executions
Comments due: July 19, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-075 |
|
34-62543 |
Jul. 21, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Fees for Execution of Contracts on the NASDAQ Options Market
Comments due: August 17, 2010
|
SR-NASDAQ-2010-074 |
|
34-64071 |
Mar. 11, 2011 |
Notice of Filing of Amendment No. 3 to a Proposed Rule Change and Order Granting Accelerated Approval to the Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities
Comments due: April 7, 2011
Comments received
are available
for this notice.
|
|
34-63685 |
Jan. 10, 2011 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities
|
|
34-63098 |
Oct. 13, 2010 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities
Comments due: December 3, 2010
Comments received
are available
for this order.
|
|
34-62740 |
Aug. 18, 2010 |
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities
|
|
34-62468 |
Jul. 7, 2010 |
Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rule 4753(c) as a Six Month Pilot in 100 NASDAQ-Listed Securities
Comments due: August 5, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-073 |
|
34-62297 |
Jun. 15, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Establish a Short Term Option Program
Comments due: July 12, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-072 |
|
34-62314 |
Jun. 17, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Nasdaq Stock Market LLC to Clarify the Applicable Time Period of Trading Pauses on Trading Days with an Early Scheduled Close
Comments due: July 15, 2010
|
SR-NASDAQ-2010-071 |
|
34-62270 |
Jun. 10, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC Relating to Trading Halts in Options During a Trading Pause in the Underlying Security
Comments due: July 8, 2010
|
SR-NASDAQ-2010-070 |
|
34-62295 |
Jun. 15, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC to List Options on Trust Issued Receipts in $1 Strike Intervals
Comments due: July 12, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-069 |
|
34-62391 |
Jun. 28, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Free Trial Period for the Use of Correlix, Inc. Data Latency Products in the NASDAQ Market Center
Comments due: July 27, 2010
|
SR-NASDAQ-2010-068 |
|
34-62605 |
Jul. 30, 2010 |
Order Approving a Proposed Rule Change to Establish a Revenue Sharing Program With Correlix, Inc.
|
|
34-62326 |
Jun. 18, 2010 |
Notice of Filing of Proposed Rule Change to Establish a Revenue Sharing Program With Correlix, Inc.
Comments due: July 16, 2010
|
SR-NASDAQ-2010-064 |
|
34-62249 |
Jun. 9, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: July 6, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-063 |
|
34-62176 |
May 26, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 23, 2010
|
SR-NASDAQ-2010-061 |
|
34-62252 |
Jun. 10, 2010 |
Order Granting Accelerated Approval to Proposed Rule Changes Relating to Trading Pauses Due to Extraordinary Market Volatility
See also:
Notice: Rel. No. 34-62129
|
|
34-62129 |
May 19, 2010 |
Notice of Filing of a Proposed Rule Change to Establish a Trading Pause for Individual Stocks Contained In The Standard & Poor's 500 Index That Experience a Price Change of 10% or More During a Five-Minute Period
Comments due: June 3, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-060 |
|
34-62135 |
May 19, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Companies to Provide Notification to Nasdaq of Any Noncompliance with the Corporate Governance Requirements
Comments due: June 16, 2010
|
SR-NASDAQ-2010-059 |
|
34-62138 |
May 19, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: June 16, 2010
|
SR-NASDAQ-2010-058 |
|
34-62081 |
May 11, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: June 9, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-057 |
|
34-62044 |
May 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 9552, 9554 and 9559 to Conform NASDAQ's Rules to Recent Changes to the Rules of FINRA
Comments due: June 2, 2010
|
SR-NASDAQ-2010-056 |
|
34-62056 |
May 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets and Execution Pricing for Certain Options
Comments due: June 3, 2010
|
SR-NASDAQ-2010-053 |
|
34-62029 |
May 4, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Add Seventy-Five Options Classes to the Penny Pilot Program
Comments due: June 1, 2010
|
SR-NASDAQ-2010-052 |
|
34-62380 |
Jun. 25, 2010 |
Order Approving Proposed Rule Change to Establish the Nasdaq Short Sale Volume and Monthly Short Sale Transaction Service and Related Fees
See also:
Notice: Rel. No. 34-62112
|
|
34-62112 |
May 14, 2010 |
Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish a New Service and Related Fees
Comments due: June 15, 2010
|
SR-NASDAQ-2010-051 |
|
34-61981 |
Apr. 26, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Intermarket Option Linkage
Comments due: May 21, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-050 |
|
34-61991 |
Apr. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Relating to the Opening of Trading in the NASDAQ Options Market
Comments due: May 25, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-049 |
|
34-61926 |
Apr. 16, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: May 13, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-048 |
|
34-61992 |
Apr. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market, LLC to Amend the By-Laws of The NASDAQ OMX Group, Inc.
Comments due: May 25, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-047 |
|
34-61904 |
Apr. 14, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Global Select Market Initial Listing Requirements
Comments due: May 11, 2010
|
SR-NASDAQ-2010-045 |
|
34-61872 |
Apr. 8, 2010 |
Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change to Extend the Last Sale Data Feeds Pilot Program
Comments due: May 5, 2010
|
SR-NASDAQ-2010-044 |
|
34-61854 |
Apr. 6, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: May 4, 2010
|
SR-NASDAQ-2010-041 |
|
34-61887 |
Apr. 12, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Conforming Changes to Certain Notification Requirements
Comments due: May 10, 2010
|
SR-NASDAQ-2010-040 |
|
34-61830 |
Apr. 1, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets
Comments due: April 30, 2010
|
SR-NASDAQ-2010-039 |
|
34-61770 |
Mar. 24, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Application of NASDAQ Rule 4611(d)
Comments due: April 21, 2010
|
SR-NASDAQ-2010-038 |
|
34-61736 |
Mar. 18, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Permit the Concurrent Listing of $3.50 and $4 Strikes for Classes Participating in the $0.50 Strike Program and the $1 Strike Program
Comments due: April 14, 2010
|
SR-NASDAQ-2010-037 |
|
34-61789 |
Mar. 26, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Nasdaq’s Rules to Eliminate an Outdated Reference
Comments due: April 23, 2010
|
SR-NASDAQ-2010-036 |
|
34-61757 |
Mar. 22, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify and Modify the Applicability of Nasdaq Rule 5615 to Exchange Traded Funds
Comments due: April 19, 2010
|
SR-NASDAQ-2010-035 |
|
34-61944 |
Apr. 20, 2010 |
Order Granting Accelerated Approval of Proposed Rule Change to Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities
|
|
34-61766 |
Mar. 23, 2010 |
Notice of Filing of Proposed Rule Change to Establish Strike Price Intervals and Trading Hours for Options on Index-Linked Securities
Comments due: April 15, 2010
|
SR-NASDAQ-2010-034 |
|
34-61700 |
Mar. 12, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish an Optional Non-Display Usage Cap for Internal Distributors of TotalView and OpenView
Comments due: April 8, 2010
|
SR-NASDAQ-2010-033 |
|
34-61681 |
Mar. 10, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 3121 To Reflect Changes to Corresponding FINRA Rule and a Clerical Change to NASDAQ's Rules
Comments due: April 6, 2010
|
SR-NASDAQ-2010-030 |
|
34-61682 |
Mar. 10, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide an Additional Option to the DOTI Routing Strategy
Comments due: April 6, 2010
|
SR-NASDAQ-2010-029 |
|
34-61645 |
Mar. 4, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: March 31, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-028 |
|
34-61668 |
Mar. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Routing of Orders from NASDAQ Options Market to an Affiliated Exchange
Comments due: April 5, 2010
|
SR-NASDAQ-2010-027 |
|
34-61666 |
Mar. 5, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing for Option Orders Routed to Away Markets
Comments due: April 5, 2010
|
SR-NASDAQ-2010-026 |
|
34-61606 |
Mar. 1, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Erroneous Citations from Rule 9557
Comments due: March 26, 2010
|
SR-NASDAQ-2010-025 |
|
34-61876 |
Apr. 8, 2010 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Amend the By-Laws of The NASDAQ OMX Group, Inc.
|
|
34-61582 |
Feb. 25, 2010 |
Notice of Filing of Proposed Rule Change to Amend the By-Laws of The NASDAQ OMX Group, Inc.
Comments due: March 25, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-024 |
|
34-61594 |
Feb. 25, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Round Lot Holder Initial Listing Requirement for Listing of Warrants on the Nasdaq Global and Capital Markets Except for Initial Firm Commitment Underwritten Public Offering
Comments due: March 25, 2010
|
SR-NASDAQ-2010-023 |
|
34-61703 |
Mar. 12, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 9520 Series Regarding Eligibility Procedures for Persons Subject to Certain Disqualifications
Comments due: April 12, 2010
|
SR-NASDAQ-2010-022 |
|
34-61573 |
Feb. 23, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC. Inc. Relating to Amending NASDAQ Options Market ("NOM") Chapter V, Section 6, Obvious Errors
Comments due: March 25, 2010
|
SR-NASDAQ-2010-020 |
|
34-61467 |
Feb. 2, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: March 1, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-019 |
|
34-62397 |
Jun. 28, 2010 |
Order Approving a Proposed Rule Change to Codify Prices for Co-Location Services
|
|
34-61488 |
Feb. 3, 2010 |
Notice of Filing of Proposed Rule Change to Codify Prices for Co-Location Services
Comments due: March 3, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-018 |
|
34-61460 |
Feb. 1, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Order Routing Rule
Comments due: February 26, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-016 |
|
34-61580 |
Feb. 24, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for the NASDAQ Options Market ("NOM")
Comments due: March 24, 2010
Additional Materials:
Text of the Proposed Rule Change
|
SR-NASDAQ-2010-015 |
|
34-61787 |
Mar. 26, 2010 |
Order Approving Proposed Rule Change to Apply Retroactively a Correction of a Drafting Error in Rule 7018
|
|
34-61524 |
Feb. 16, 2010 |
Notice of Filing of Proposed Rule Change To Apply Retroactively a Correction of a Typographical Error in Rule 7018
Comments due: March 16, 2010
|
SR-NASDAQ-2010-014 |
|
34-61515 |
Feb. 12, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center and To Correct a Typographical Error in Rule 7018
Comments due: March 15, 2010
|
SR-NASDAQ-2010-013 |
|
34-61455 |
Feb.1, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Seventy-Five Options Classes to the Penny Pilot Program
Comments due: March 1, 2010
|
SR-NASDAQ-2010-012 |
|
34-61451 |
Feb. 1, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Describing the NASDAQ Ouch BBO Feed
Comments due: March 1, 2010
|
SR-NASDAQ-2010-010 |
|
34-61416 |
Jan. 25, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Nasdaq Rule 7023
Comments due: February 25, 2010
|
SR-NASDAQ-2010-009 |
|
34-61429 |
Jan. 27, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend its Financial Responsibility Rules To Reflect Changes to Corresponding FINRA Rules
Comments due: February 25, 2010
|
SR-NASDAQ-2010-008 |
|
34-61521 |
Feb. 16, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Prior Notification Requirements When Companies Release Material Information Outside of Nasdaq Market Hours
Comments due: March 16, 2010
|
SR-NASDAQ-2010-007 |
|
34-61735 |
Mar. 18, 2010 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Elimination of a Market Maker Requirement for Each Option Series
|
|
34-61443 |
Jan. 29, 2010 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Elimination of Market Maker Requirement for Each Option Series
Comments due: February 25, 2010
Comments received
are available
for this notice.
|
SR-NASDAQ-2010-006 |
|
34-61713 |
Mar. 15, 2010 |
Order Granting Approval of Proposed Rule Change to Modify the Press Release Requirements for Listed Companies
|
|
34-61461 |
Feb. 1, 2010 |
Notice of Filing of Proposed Rule Change To Modify The Press Release Requirements for Listed Companies
Comments due: March 1, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-005 |
|
34-61371 |
Jan. 15, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 3330 and 9810 To Reflect Changes to Corresponding FINRA Rules
Comments due: February 16, 2010
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-003 |
|
34-61347 |
Jan. 13, 2010 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC to Amend the $1 Strike Program to Allow the Listing of $1 LEAPS
Comments due: February 11, 2010
|
SR-NASDAQ-2010-002 |
|
34-61321 |
Jan. 8, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2810 To Reflect Changes to Corresponding FINRA Rule
Comments due: February 12, 2010
|
SR-NASDAQ-2010-001 |
|
34-61320 |
Jan. 8, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 2342 To Reflect Changes to Corresponding FINRA Rule
Comments due: February 12, 2010
|
http://www.sec.gov/rules/sro/nasdaq/nasdaqarchive/nasdaqarchive2010.shtml
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