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NASDAQ Stock Market LLC (NASDAQ) Rulemaking Archive: 2011
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Chronological List
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First Quarter
NASDAQ File Number List for 2011
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NASDAQ-2011-131 |
|
34-66065 |
Dec. 28, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: January 25, 2012
Rebuttal comments due: February 8, 2012
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Notice: Rel. No. 34-65770; and
Notice: Rel. No. 34-65435
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-160 |
|
34-66010 |
Dec. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Co-Location Services
Comments due: January 17, 2012
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-146 |
|
34-66013 |
Dec. 20, 2011 |
Order Approving a Proposed Rule Change to Modify Rule 7034 Regarding Low Latency Network Connections
See also:
Notice: Rel. No. 34-65688
|
SR-NASDAQ-2011-169 |
|
34-65969 |
Dec. 15, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: January 11, 2012
|
SR-NASDAQ-2011-122 |
|
34-65963 |
Dec. 15, 2011 |
Order Granting Approval of Proposed Rule Change to Describe Complimentary Services that are Offered to Certain New Listings on NASDAQ's Global and Global Select Markets
See also:
Notice: Rel. No. 34-65324
|
SR-NASDAQ-2011-168 |
|
34-65931 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Option Fee Disputes
Comments due: January 6, 2012
|
SR-NASDAQ-2011-171 |
|
34-65929 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Post-Only Order
Comments due: January 5, 2012
|
SR-NASDAQ-2011-166 |
|
34-65915 |
Dec. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4613(a)(2)(D) to Clarify that the Designated Percentage for Rights and Warrants is Thirty Percent
Comments due: January 4, 2012
|
SR-NASDAQ-2011-163 |
|
34-65913 |
Dec. 8, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: January 4, 2012
|
SR-NASDAQ-2011-165 |
|
34-65878 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Transaction Execution Fee and Credit Schedule in Rule 7018
Comments due: December 30, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-164 |
|
34-65873 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct NOM Rules
Comments due: December 29, 2011
|
SR-NASDAQ-2011-158 |
|
34-65868 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due: December 29, 2011
|
SR-NASDAQ-2011-162 |
|
34-65858 |
Dec. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate to Add Liquidity
Comments due: December 28, 2011
|
SR-NASDAQ-2011-159 |
|
34-65854 |
Nov. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Exchange Direct Orders
Comments due: December 27, 2011
|
SR-NASDAQ-2011-157 |
|
34-65851 |
Nov. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the QView Service
Comments due: December 27, 2011
|
SR-NASDAQ-2011-143 |
|
34-65844 |
Nov. 28, 2011 |
Order Approving Proposed Rule Change with Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc.
See also:
Notice: Rel. No. 34-65604
|
SR-NASDAQ-2011-153 |
|
34-65836 |
Nov. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for a Direct Market Data Product, NASDAQ Options Trade Outline ("NOTO")
Comments due: December 23, 2011
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-154 |
|
34-65814 |
Nov. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude All Rights and Warrants from the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility
Comments due: December 21, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-138 |
|
34-65775 |
Nov. 17, 2011 |
Order Granting Approval of Proposed Rule Change Expanding the Short Term Option Series Program
See also:
Notice: Rel. No. 34-65528
|
SR-NASDAQ-2011-151 |
|
34-65768 |
Nov. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to BATS Exchange, Inc.
Comments due: December 14, 2011
|
SR-NASDAQ-2011-131 |
|
34-65770 |
Nov. 17, 2011 |
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Order: Rel. No. 34-66065; and
Notice: Rel. No. 34-65435
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-152 |
|
34-65761 |
Nov. 16, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a "Post-Only" Order Type
Comments due: December 13, 2011
|
SR-NASDAQ-2011-147 |
|
34-65718 |
Nov. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Option Fee Disputes
Comments due: December 7, 2011
|
SR-NASDAQ-2011-150 |
|
34-65717 |
Nov. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Investor Support Program, Offer an Additional Liquidity Provider Credit through a Pre-Market Investor Program, and Make Other Changes to Pricing for Members Using the NASDAQ Market Center
Comments due: December 6, 2011
|
SR-NASDAQ-2011-148 |
|
34-65711 |
Nov. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2
Comments due: December 6, 2011
|
SR-NASDAQ-2011-073 |
|
34-65708 |
Nov. 8, 2011 |
Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, Adopting Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" With a Shell Company
Comments due: December 6, 2011
Additional Materials:
Exhibit 4;
Exhibit 5
|
SR-NASDAQ-2011-146 |
|
34-65688 |
Nov. 4, 2011 |
Notice of Filing of Proposed Rule Change to Modify Rule 7034 Regarding Low Latency Network Connections
Comments due: December 1, 2011
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-66013
|
SR-NASDAQ-2011-122 |
|
34-65653 |
Oct. 28, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Describe Complimentary Services that are Offered to Certain New Listings on NASDAQ's Global and Global Select Markets
Comments due: October 7, 2011
Comments received
are available
for this proposal.
See also:
Notice: Rel. No. 34-65324
and
Order: Rel. No. 34-65963
|
SR-NASDAQ-2011-145 |
|
34-65617 |
Oct. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Description of the Nasdaq Daily Share Volume Service
Comments due: November 21, 2011
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-143 |
|
34-65604 |
Oct. 21, 2011 |
Notice of Filing of Proposed Rule Change Relating to Amending the By-Laws of The NASDAQ OMX Group, Inc.
Comments due: November 18, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-65844
|
SR-NASDAQ-2011-144 |
|
34-65587 |
Oct. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of a Direct Market Data Product, NASDAQ Options Trade Outline ("NOTO")
Comments due: November 14, 2011
|
SR-NASDAQ-2011-141 |
|
34-65575 |
Oct. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Interpretation of Rule 4120(a)(11)
Comments due: November 10, 2011
|
SR-NASDAQ-2011-142 |
|
34-65554 |
Oct. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accept Inbound Orders Routed From Its Affiliates
Comments due: November 10, 2011
|
SR-NASDAQ-2011-140 |
|
34-65536 |
Oct. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Minimum Quantity Order
Comments due: November 8, 2011
|
SR-NASDAQ-2011-139 |
|
34-65525 |
Oct. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Fee for the NASDAQ MatchView Feed
Comments due: November 7, 2011
|
SR-NASDAQ-2011-138 |
|
34-65528 |
Oct. 11, 2011 |
Notice of Filing of Proposed Rule Change Regarding Expansion of the Short Term Option Series Program
Comments due: November 7, 2011
Additional Materials:
Exhibit 5
See also:
Notice: Rel. No. 34-65775
|
SR-NASDAQ-2011-130 |
|
34-65526 |
Oct. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-institute Fees for NASDAQ Basic and to Offer an Optional Nasdaq Basic Non-Professional Enterprise License Fee
Comments due: November 7, 2011
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-129 |
|
34-65527 |
Oct. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent the Pilot for Nasdaq Basic
Comments due: November 7, 2011
|
SR-NASDAQ-2011-132 |
|
34-65488 |
Oct. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: November 2, 2011
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-136 |
|
34-65467 |
Oct. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Options Market Rules Chapter VII, Section 6, Market Maker Quotations
Comments due: October 28, 2011
|
| Third Quarter |
SR-NASDAQ-2011-131 |
|
34-65435 |
Sep. 28, 2011 |
Notice of Filing of Proposed Rule Change to Revise the Methodology for Determining When to Halt Trading Due to Extraordinary Market Volatility
Comments due: October 25, 2011
See also:
Order: Rel. No. 34-67090;
Notice: Rel. No 34-66680;
Order: Rel. No. 34-66065; and
Notice: Rel. No. 34-65770
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-133 |
|
34-65419 |
Sep. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Simplification of the Exchange's $1 Strike Price Program
Comments due: October 25, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-105 |
|
34-65405 |
Sep. 27, 2011 |
Order Approving Proposed Rule Change to Establish an Acceptable Trade Range for Quotes and Orders Entered on The NASDAQ Options Market
See also:
Notice: Rel. No. 34-65125
|
SR-NASDAQ-2011-128 |
|
34-65381 |
Sep. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Customer Rebates To Add Liquidity
Comments due: October 19, 2011
See also:
Exhibit 5
|
SR-NASDAQ-2011-010 |
|
34-65362 |
Sep. 20, 2011 |
Order Disapproving a Proposed Rule Change to Link Market Data Fees and Transaction Execution Fees
See also:
|
SR-NASDAQ-2011-122 |
|
34-65324 |
Sep. 12, 2011 |
Notice of Filing of Proposed Rule Change to Describe Complimentary Services that are Offered to Certain New Listings on NASDAQ's Global and Global Select Markets
Comments due: October 7, 2011
See also:
Order: Rel. No. 34-65963
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-073 |
|
34-65319 |
Sep. 12, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Adopt Additional Listing Requirements for Reverse Mergers
Comments due: October 17, 2011
Rebuttal comments due: October 26, 2011
Comments received
are available
for this notice.
See also:
Notice: Rel. No. 34-64956;
Notice: Rel. No. 34-64633
|
SR-NASDAQ-2011-127 |
|
34-65317 |
Sep. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Options
Market
See also:
Exhibit 5
Comments due: October 7, 2011
|
SR-NASDAQ-2011-124 |
|
34-65318 |
Sep. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Options Market
See also:
Exhibit 5
Comments due: October 7, 2011
|
SR-NASDAQ-2011-119 |
|
34-65252 |
Sep. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clarifying Amendment to Direct Connectivity Services
Comments due: September 30, 2011
|
SR-NASDAQ-2011-120 |
|
34-65246 |
Sep. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: September 30, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-111 |
|
34-65180 |
Aug. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Access Services Fees
Comments due: September 16, 2011
|
SR-NASDAQ-2011-117 |
|
34-65176 |
Aug. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Rule 4753(c)
Comments due: September 16, 2011
|
SR-NASDAQ-2011-118 |
|
34-65159 |
Aug. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Name and Modify the Contents of the NASDAQ Ouch BBO Feed
Comments due: September 14, 2011
|
SR-NASDAQ-2011-113 |
|
34-65150 |
Aug. 17, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Clerical Changes to Its Rules
Comments due: September 13, 2011
|
SR-NASDAQ-2011-112 |
|
34-65138 |
Aug. 15, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options
Comments due: September 12, 2011
|
SR-NASDAQ-2011-105 |
|
34-65125 |
Aug. 12, 2011 |
Notice of Filing of Proposed Rule Change to Establish an Acceptable Trade Range for Quotes and Orders Entered on The NASDAQ Options Market
Comments due: September 8, 2011
See also:
Order: Rel. No. 34-65405
|
SR-NASDAQ-2011-116 |
|
34-65104 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process
Comments due: September 7, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-109 |
|
34-65099 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on ETFS Gold Trust
Comments due: September 7, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-115 |
|
34-65094 |
Aug. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks
Comments due: September 6, 2011
|
SR-NASDAQ-2011-114 |
|
34-65068 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: September 6, 2011
|
SR-NASDAQ-2011-110 |
|
34-65063 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to NASDAQ Options Market Rules
Comments due: September 6, 2011
|
SR-NASDAQ-2011-106 |
|
34-65055 |
Aug. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Limited Category of Principal Registration for Proprietary Traders
Comments due: September 2, 2011
|
SR-NASDAQ-2011-107 |
|
34-65041 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct the Proprietary Trader Registration Category
Comments due: September 1, 2011
|
SR-NASDAQ-2011-108 |
|
34-65040 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Traders Qualification Examination ("Series 56")
Comments due: September 1, 2011
|
SR-NASDAQ-2011-100 |
|
34-65038 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Defined Term "Closed-End Fund" in Rules 5910 and 5920
Comments due: August 31, 2011
|
SR-NASDAQ-2011-102 |
|
34-65024 |
Aug. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Bulk-Quoting Interface
Comments due: August 30, 2011
|
SR-NASDAQ-2011-099 |
|
34-65020 |
Aug. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC to Amend Fees Assessed for Use of NASDAQ Pre-trade Risk Management
Comments due: August 29, 2011
|
SR-NASDAQ-2011-101 |
|
34-65014 |
Aug. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed Under Rule 7015(h)
Comments due: August 29, 2011
|
SR-NASDAQ-2011-103 |
|
34-65013 |
Aug. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC to Modify Fees for Members Using the NASDAQ Market Center
Comments due: August 29, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-091 |
|
34-64994 |
Jul. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer an Optional Derived Data Fee for NASDAQ Basic
Comments due: August 26, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-098 |
|
34-64983 |
Jul. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an "All-or-None" Order Type
Comments due: August 24, 2011
|
SR-NASDAQ-2011-095 |
|
34-64958 |
Jul. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Trader Examination
Comments due: August 19, 2011
|
SR-NASDAQ-2011-073 |
|
34-64956 |
Jul. 25, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Additional Listing Requirements for Reverse Mergers
See also:
Order: Rel. No. 34-65319;
Notice: Rel. No. 34-64633
|
SR-NASDAQ-2011-077 |
|
34-64948 |
Jul. 22, 2011 |
Order Granting Approval of Proposed Rule Change to Adopt a Risk Monitor Mechanism
See also:
Notice: Rel. No. 34-64616
|
SR-NASDAQ-2011-010 |
|
34-64916 |
Jul. 19, 2011 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Link Market Data Fees and Transaction Execution Fees
See also:
|
SR-NASDAQ-2011-097 |
|
34-64899 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Stock Market Equities Trading Rules 4757 and 4758 and NASDAQ Options Market Rules Chapter VI
Comments due: August 12, 2011
|
SR-NASDAQ-2011-093 |
|
34-64885 |
Jul. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7027 of the NASDAQ Pricing Schedule
Comments due: August 10, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-094 |
|
34-64858 |
Jul. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7034 to Extend the Waiver of Certain Co-Location Installation Fees For An Additional Month
Comments due: August 8, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-092 |
|
34-64856 |
Jul. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: August 5, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-090 |
|
34-64826 |
Jul. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC Regarding Expansion of the Short Term Option Series Program
Comments due: August 2, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-088 |
|
34-64821 |
Jul. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Priority
Comments due: August 2, 2011
|
SR-NASDAQ-2011-087 |
|
34-64789 |
Jul. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Co-Location Fee Schedule to Establish Fees for Access to Market Data Feeds from the Toronto Stock Exchange and the TSX Venture Exchange
Comments due: July 28, 2011
Additional Materials:
Exhibit 5
|
| Second Quarter |
SR-NASDAQ-2011-086 |
|
34-64744 |
Jun. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7034 Regarding Co-Location Fees For Additional Power and Cable Options
Comments due: July 22, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-067 |
|
34-64735 |
Jun. 23, 2011 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.: SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06, SR-Phlx-2011-64
See also:
Notice: Rel. No. 34-64426
|
SR-NASDAQ-2011-085 |
|
34-64724 |
Jun. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Market Order Timer
Comments due: July 19, 2011
|
SR-NASDAQ-2011-084 |
|
34-64715 |
Jun. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4763
Comments due: July 18, 2011
|
SR-NASDAQ-2011-082 |
|
34-64713 |
Jun. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Certain Disclosure Requirements in Nasdaq's Corporate Governance Rules with Similar Disclosure Requirements in the Commission's Rules
Comments due: July 18, 2011
|
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
See also:
Notice: Rel. No. 34-64259;
Order: Rel. No. 34-63804;
Notice: Rel. No. 34-63508;
Notice: Rel. No. 34-63207
|
SR-NASDAQ-2011-083 |
|
34-64696 |
Jun. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Anti-Internalization Functionality For Registered Market Makers On The NASDAQ Options Market
Comments due: July 14, 2011
|
SR-NASDAQ-2011-079 |
|
34-64691 |
Jun. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date for Several Rules in Connection with Trading System Enhancements
Comments due: July 13, 2011
|
SR-NASDAQ-2011-080 |
|
34-64667 |
Jun. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Market Order Spread Protection Feature
Comments due: July 11, 2011
|
SR-NASDAQ-2011-075 |
|
34-64652 |
Jun. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding BONOSM and ITTO Market Data
Comments due: July 8, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-072 |
|
34-64635 |
Jun. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: July 5, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-073 |
|
34-64633 |
Jun. 8, 2011 |
Notice of Filing of Proposed Rule Change to Adopt Additional Listing Requirements for Reverse Mergers
Comments due: July 5, 2011
Comments received
are available
for this notice.
See also:
Order: Rel. No. 34-65319;
Notice: Rel. No. 34-64956
|
SR-NASDAQ-2011-074 |
|
34-64630 |
Jun. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7034 Regarding Certain Co-Location Installation Fees
Comments due: July 5, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-077 |
|
34-64616 |
Jun. 7, 2011 |
Notice of Filing of Proposed Rule Change to Adopt a Risk Monitor Mechanism
Comments due: July 5, 2011
See also:
Order: Rel. No. 34-64948
|
SR-NASDAQ-2011-071 |
|
34-64579 |
Jun. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in NASDAQ Rule 7019(d)
Comments due: June 28, 2011
|
SR-NASDAQ-2011-070 |
|
34-64552 |
May 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Functionality of the Post-Only Order
Comments due: June 23, 2011
|
SR-NASDAQ-2011-069 |
|
34-64534 |
May 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 17, 2011
|
SR-NASDAQ-2011-066 |
|
34-64494 |
May 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny Pilot, NDX and MNX and Non-Penny Pilot Options
Comments due: June 9, 2011
|
SR-NASDAQ-2011-037 |
|
34-64463 |
May 11, 2011 |
Order Approving Proposed Rule Change to Modify Chapter V, Section 4 and Chapter VI, Section 8 of the Exchange's Rules Relating to Opening and Halt Crosses on the NASDAQ Options Market
See also:
Notice: Rel. No. 34-64143
|
SR-NASDAQ-2011-062 |
|
34-64453 |
May 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: June 6, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-061 |
|
34-64440 |
May 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Non Co-Location Services
Comments due: June 6, 2011
|
SR-NASDAQ-2011-059 |
|
34-64430 |
May 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Midpoint Peg Post-Only Order
Comments due: June 2, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-067 |
|
34-64426 |
May 6, 2011 |
Notice of Filing of Proposed Rule Change to Amend Rule 4120(a)(11) to Include Additional Securities in the Pilot by which Such Rule Operates and Amend Rule 4613(a) to Simplify Certain Aspects of the Text while also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 4120(a)(11)
Comments due: June 2, 2011
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-64735
|
SR-NASDAQ-2011-065 |
|
34-64406 |
May 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Two-Sided Order for NOM Market Makers
Comments due: May 31, 2011
|
SR-NASDAQ-2011-056 |
|
34-64371 |
Apr. 29, 2011 |
Notice of Filing of Proposed Rule Change to Adopt Additional Listing Requirements for Reverse Mergers
Comments due: May 26, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-058 |
|
34-64365 |
Apr. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Limitation of Liability
Comments due: May 25, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-054 |
|
34-64347 |
Apr. 27, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change relating to Amendments to the NASDAQ OMX Group, Inc.'s By-Laws
Comments due: May 24, 2011
|
SR-NASDAQ-2011-057 |
|
34-64326 |
Apr. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to the $2.50 Strike Price Program
Comments due: May 20, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-053 |
|
34-64312 |
Apr. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Order Price Protection Feature
Comments due: May 17, 2011
|
SR-NASDAQ-2011-052 |
|
34-64311 |
Apr. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Expire Time
Comments due: May 17, 2011
|
SR-NASDAQ-2011-025 |
|
34-64285 |
Apr. 8, 2011 |
Order Approving Proposed Rule Change to Amend The NASDAQ OMX Group, Inc. By-Laws
See also:
Notice: Rel. No. 34-63925
|
SR-NASDAQ-2011-051 |
|
34-64268 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Effective Hours of Rule 4753(c)
Comments due: May 4, 2011
|
SR-NASDAQ-2011-050 |
|
34-64263 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Initial Listing Standard for the Nasdaq Global Select Market
Comments due: May 4, 2011
|
SR-NASDAQ-2011-047 |
|
34-64262 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform Rules 2360, 2361, 2370, 6951 to FINRA Rule Changes
Comments due: May 4, 2011
|
SR-NASDAQ-2010-134 |
|
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
See also:
Order: Rel. No. 34-64700;
Order: Rel. No. 34-63804;
Notice: Rel. No. 34-63508;
Notice: Rel. No. 34-63207
|
SR-NASDAQ-2011-048 |
|
34-64246 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: May 4, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-043 |
|
34-64238 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: May 4, 2011
|
SR-NASDAQ-2011-045 |
|
34-64215 |
Apr. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 3011 to Reflect Changes to a Corresponding Financial Industry Regulatory Authority, Inc. Rule
Comments due: May 3, 2011
|
SR-NASDAQ-2011-046 |
|
34-64210 |
Apr. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny Pilot and Non-Penny Pilot Options
Comments due: May 3, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-044 |
|
34-64188 |
Apr. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: May 2, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-042 |
|
34-64174 |
Apr. 4, 2011 |
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: April 29, 2011
|
| First Quarter |
SR-NASDAQ-2011-041 |
|
34-64160 |
Mar. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the $2.50 Strike Price Program
Comments due: April 27, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-037 |
|
34-64143 |
Mar. 29, 2011 |
Notice of Filing of Proposed Rule Change to Modify Chapter VI, Section 8 of the Exchange's Rules
Comments due: April 25, 2011
See also:
Order: Rel. No. 34-64463
|
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
See also:
Notice: Rel. No. 34-63685;
Order: Rel. No. 34-63098;
Notice: Rel. No. 34-62740;
Notice: Rel. No. 34-62468
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-035 |
|
34-64060 |
Mar. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed rule Change to Modify Fees for Co-Location Services
Comments due: April 4, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-036 |
|
34-64054 |
Mar. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Options Market Rules Chapter VII, Various Sections, Dealing With Market Maker Obligations
Comments due: April 5, 2011
|
SR-NASDAQ-2011-034 |
|
34-64050 |
Mar. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Investor Support Program
Comments due: April 4, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-029 |
|
34-64032 |
Mar. 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Minor Rules Violation Plan of the Nasdaq Options Market With Respect to Standardized Options
Comments due: March 30, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-028 |
|
34-64003 |
Mar. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: March 29, 2011
Additional Materials:
Exhibit 5
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-027 |
|
34-63984 |
Feb. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Clarifying Changes to Rule 7002 Concerning the Application and Collection of the Sales Fee
Comments due: March 25, 2011
|
SR-NASDAQ-2011-32 |
|
34-63983 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Market Data to the Public at No Charge
Comments due: March 25, 2011
|
SR-NASDAQ-2011-030 |
|
34-63968 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Rule 4763 to Implement the Amendments to Regulation SHO
Comments due: March 24, 2011
|
SR-NASDAQ-2011-31 |
|
34-63959 |
Feb. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the NASDAQ Order Imbalance Snapshot
Comments due: March 23, 2011
|
SR-NASDAQ-2011-025 |
|
34-63925 |
Feb. 17, 2011 |
Notice of Filing of Proposed Rule Change to Amend The NASDAQ OMX Group, Inc. By-Laws
Comments due: March 17, 2011
See also:
Order: Rel. No. 34-64285
|
SR-NASDAQ-2011-024 |
|
34-63906 |
Feb. 14, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish and Adopt Fees for the new Short Sale Monitor Service and Nasdaq Data Add-On
Comments due: March 11, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-026 |
|
34-63900 |
Feb, 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Additional Routing Option
Comments due: March 10, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-023 |
|
34-63893 |
Feb. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Routing Option SOLV and Corresponding Fees
Comments due: March 10, 2011
Additional Materials:
Exhibit 5
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-021 |
|
34-63892 |
Feb. 11, 2011 |
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: March 10, 2011
Additional Materials:
Exhibit 3
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-022 |
|
34-63891 |
Feb. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Investor Support Program
Comments due: March 10, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-017 |
|
34-63852 |
Feb. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: March 8, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-004 |
|
34-63836 |
Feb. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4758 to Add a New Routing Option, LIST
Comments due: March 3, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-012 |
|
34-63815 |
Feb. 1, 2011 |
Notice of Filing of Proposed Rule Change to Modify NASDAQ Options Market Rules Chapter VII, Various Sections, Dealing With Market Maker Obligations
Comments due: February 28, 2011
|
SR-NASDAQ-2011-018 |
|
34-63809 |
Feb. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding the Listing of Option Series with $1 Strike Prices
Comments due: February 28, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2010-134 |
|
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
See also:
Order: Rel. No. 34-64700;
Notice: Rel. No. 34-64259;
Notice: Rel. No. 34-63508;
Notice: Rel. No. 34-63207
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-010 |
|
34-63796 |
Jan. 28, 2011 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Link Market Data Fees and Transaction Execution Fees
Comments due: March 21, 2011
Rebuttal comments due: April 4, 2011
Comments received
are available
for this notice.
See also:
|
SR-NASDAQ-2011-013 |
|
34-63786 |
Jan. 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to a Stockholders' Agreement between The NASDAQ OMX Group, Inc. and Investor AB
Additional File Nos.: SR-PHLX-2011-08, SR-BX-2011-04
Comments due: February 24, 2011
|
SR-NASDAQ-2011-010 |
|
34-63745 |
Jan. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Link Market Data Fees and Transaction Execution Fees
Comments due: February 17, 2011
Additional Materials:
Exhibit 3;
Exhibit 5
See also:
|
SR-NASDAQ-2011-007 |
|
34-63732 |
Jan. 19, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Impose a Quarterly Maximum on the Listing of Additional Shares Fees Payable by Closed-End Funds
Comments due: February 15, 2011
|
SR-NASDAQ-2011-009 |
|
34-63728 |
Jan. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules
Comments due: February 15, 2011
|
SR-NASDAQ-2011-008 |
|
34-63716 |
Jan. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Application of NASDAQ Rule 4611(d)
Comments due: February 14, 2011
|
SR-NASDAQ-2011-006 |
|
34-63705 |
Jan. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees for the NASDAQ Options Market
Comments due: February 9, 2011
|
SR-NASDAQ-2010-074 |
|
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
See also:
Notice/Order: Rel. No. 34-64071;
Order: Rel. No. 34-63098;
Notice: Rel. No. 34-62740;
Notice: Rel. No. 34-62468
|
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-2011-002 |
|
34-63657 |
Jan. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to the $5 Strike Price Program
Comments due: February 2, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-001 |
|
34-63650 |
Jan. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market, LLC to Establish a $5 Strike Price Program
Comments due: February 2, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-003 |
|
34-63648 |
Jan. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: February 2, 2011
|
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-2010-154 |
|
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
|
| NASDAQ File Number List for 2011 |
| Release No. |
Date |
Details |
SR-NASDAQ-2011-175 |
|
34-66092 |
Jan. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: January 31, 2012
|
SR-NASDAQ-2011-174 |
|
34-66095 |
Jan. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Fee Pilot Program for NASDAQ Last Sale
Comments due: January 31, 2012
|
SR-NASDAQ-2011-173 |
|
34-66078 |
Jan. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for the Trading and Compliance Data Package
Comments due: January 30, 2012
|
SR-NASDAQ-2011-171 |
|
34-65929 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Post-Only Order
Comments due: January 5, 2012
|
SR-NASDAQ-2011-169 |
|
34-65969 |
Dec. 15, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: January 11, 2012
|
SR-NASDAQ-2011-168 |
|
34-65931 |
Dec. 9, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Option Fee Disputes
Comments due: January 6, 2012
|
SR-NASDAQ-2011-166 |
|
34-65915 |
Dec. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4613(a)(2)(D) to Clarify that the Designated Percentage for Rights and Warrants is Thirty Percent
Comments due: January 4, 2012
|
SR-NASDAQ-2011-165 |
|
34-65878 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Transaction Execution Fee and Credit Schedule in Rule 7018
Comments due: December 30, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-164 |
|
34-65873 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct NOM Rules
Comments due: December 29, 2011
|
SR-NASDAQ-2011-163 |
|
34-65913 |
Dec. 8, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: January 4, 2012
|
SR-NASDAQ-2011-162 |
|
34-65858 |
Dec. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate to Add Liquidity
Comments due: December 28, 2011
|
SR-NASDAQ-2011-160 |
|
34-66010 |
Dec. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Co-Location Services
Comments due: January 17, 2012
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-159 |
|
34-65854 |
Nov. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Exchange Direct Orders
Comments due: December 27, 2011
|
SR-NASDAQ-2011-158 |
|
34-65868 |
Dec. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Optional Anti-Internalization Functionality
Comments due: December 29, 2011
|
SR-NASDAQ-2011-157 |
|
34-65851 |
Nov. 30, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the QView Service
Comments due: December 27, 2011
|
SR-NASDAQ-2011-154 |
|
34-65814 |
Nov. 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude All Rights and Warrants from the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility
Comments due: December 21, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-153 |
|
34-65836 |
Nov. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for a Direct Market Data Product, NASDAQ Options Trade Outline ("NOTO")
Comments due: December 23, 2011
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-152 |
|
34-65761 |
Nov. 16, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a "Post-Only" Order Type
Comments due: December 13, 2011
|
SR-NASDAQ-2011-151 |
|
34-65768 |
Nov. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to BATS Exchange, Inc.
Comments due: December 14, 2011
|
SR-NASDAQ-2011-150 |
|
34-65717 |
Nov. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Investor Support Program, Offer an Additional Liquidity Provider Credit through a Pre-Market Investor Program, and Make Other Changes to Pricing for Members Using the NASDAQ Market Center
Comments due: December 6, 2011
|
SR-NASDAQ-2011-148 |
|
34-65711 |
Nov. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees to C2
Comments due: December 6, 2011
|
SR-NASDAQ-2011-147 |
|
34-65718 |
Nov. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Option Fee Disputes
Comments due: December 7, 2011
|
SR-NASDAQ-2011-146 |
|
34-66013 |
Dec. 20, 2011 |
Order Approving a Proposed Rule Change to Modify Rule 7034 Regarding Low Latency Network Connections
See also:
Notice: Rel. No. 34-65688
|
|
34-65688 |
Nov. 4, 2011 |
Notice of Filing of Proposed Rule Change to Modify Rule 7034 Regarding Low Latency Network Connections
Comments due: December 1, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-145 |
|
34-65617 |
Oct. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Description of the Nasdaq Daily Share Volume Service
Comments due: November 21, 2011
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-144 |
|
34-65587 |
Oct. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Establishment of a Direct Market Data Product, NASDAQ Options Trade Outline ("NOTO")
Comments due: November 14, 2011
|
SR-NASDAQ-2011-143 |
|
34-65844 |
Nov. 28, 2011 |
Order Approving Proposed Rule Change with Respect to an Amendment to the By-Laws of The NASDAQ OMX Group, Inc.
|
|
34-65604 |
Oct. 21, 2011 |
Notice of Filing of Proposed Rule Change Relating to Amending the By-Laws of The NASDAQ OMX Group, Inc.
Comments due: November 18, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-142 |
|
34-65554 |
Oct. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accept Inbound Orders Routed From Its Affiliates
Comments due: November 10, 2011
|
SR-NASDAQ-2011-141 |
|
34-65575 |
Oct. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Interpretation of Rule 4120(a)(11)
Comments due: November 10, 2011
|
SR-NASDAQ-2011-140 |
|
34-65536 |
Oct. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Minimum Quantity Order
Comments due: November 8, 2011
|
SR-NASDAQ-2011-139 |
|
34-65525 |
Oct. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Fee for the NASDAQ MatchView Feed
Comments due: November 7, 2011
|
SR-NASDAQ-2011-138 |
|
34-65775 |
Nov. 17, 2011 |
Order Granting Approval of Proposed Rule Change Expanding the Short Term Option Series Program
|
|
34-65528 |
Oct. 11, 2011 |
Notice of Filing of Proposed Rule Change Regarding Expansion of the Short Term Option Series Program
Comments due: November 7, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-136 |
|
34-65467 |
Oct. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Options Market Rules Chapter VII, Section 6, Market Maker Quotations
Comments due: October 28, 2011
|
SR-NASDAQ-2011-133 |
|
34-65419 |
Sep. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Simplification of the Exchange's $1 Strike Price Program
Comments due: October 25, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-132 |
|
34-65488 |
Oct. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: November 2, 2011
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-131 |
|
34-67090 |
May 31, 2012 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due: June 27, 2012
|
|
34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
|
|
34-66065 |
Dec. 28, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due: January 25, 2012
Rebuttal comments due: February 8, 2012
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments received
are available
for this proposal.
|
|
34-65770 |
Nov. 17, 2011 |
Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
|
|
34-65435 |
Sep. 28, 2011 |
Notice of Filing of Proposed Rule Change to Revise the Methodology for Determining When to Halt Trading Due to Extraordinary Market Volatility
Comments due: October 25, 2011
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-130 |
|
34-65526 |
Oct. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-institute Fees for NASDAQ Basic and to Offer an Optional Nasdaq Basic Non-Professional Enterprise License Fee
Comments due: November 7, 2011
|
SR-NASDAQ-2011-129 |
|
34-65527 |
Oct. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent the Pilot for Nasdaq Basic
Comments due: November 7, 2011
|
SR-NASDAQ-2011-128 |
|
34-65381 |
Sep. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Customer Rebates To Add Liquidity
Comments due: October 19, 2011
See also:
Exhibit 5
|
SR-NASDAQ-2011-127 |
|
34-65317 |
Sep. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Options Market
See also:
Exhibit 5
Comments due: October 7, 2011
|
SR-NASDAQ-2011-124 |
|
34-65318 |
Sep. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Options Market
See also:
Exhibit 5
Comments due: October 7, 2011
|
SR-NASDAQ-2011-122 |
|
34-65963 |
Dec. 15, 2011 |
Order Granting Approval of Proposed Rule Change to Describe Complimentary Services that are Offered to Certain New Listings on NASDAQ's Global and Global Select Markets
|
|
34-65653 |
Oct. 28, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Describe Complimentary Services that are Offered to Certain New Listings on NASDAQ's Global and Global Select Markets
Comments due: October 7, 2011
Comments received
are available
for this proposal.
|
|
34-65324 |
Sep. 12, 2011 |
Notice of Filing of Proposed Rule Change to Describe Complimentary Services that are Offered to Certain New Listings on NASDAQ's Global and Global Select Markets
Comments due: October 7, 2011
Comments received
are available
for this proposal.
|
SR-NASDAQ-2011-120 |
|
34-65246 |
Sep. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: September 30, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-119 |
|
34-65252 |
Sep. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clarifying Amendment to Direct Connectivity Services
Comments due: September 30, 2011
|
SR-NASDAQ-2011-118 |
|
34-65159 |
Aug. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Name and Modify the Contents of the NASDAQ Ouch BBO Feed
Comments due: September 14, 2011
|
SR-NASDAQ-2011-117 |
|
34-65176 |
Aug. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Rule 4753(c)
Comments due: September 16, 2011
|
SR-NASDAQ-2011-116 |
|
34-65104 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearly Erroneous Rule in Light of Changes to the Single Stock Trading Pause Process
Comments due: September 7, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-115 |
|
34-65094 |
Aug. 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks
Comments due: September 6, 2011
|
SR-NASDAQ-2011-114 |
|
34-65068 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: September 6, 2011
|
SR-NASDAQ-2011-113 |
|
34-65150 |
Aug. 17, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Clerical Changes to Its Rules
Comments due: September 13, 2011
|
SR-NASDAQ-2011-112 |
|
34-65138 |
Aug. 15, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options
Comments due: September 12, 2011
|
SR-NASDAQ-2011-111 |
|
34-65180 |
Aug. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Access Services Fees
Comments due: September 16, 2011
|
SR-NASDAQ-2011-110 |
|
34-65063 |
Aug. 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to NASDAQ Options Market Rules
Comments due: September 6, 2011
|
SR-NASDAQ-2011-109 |
|
34-65099 |
Aug. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on ETFS Gold Trust
Comments due: September 7, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-108 |
|
34-65040 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Traders Qualification Examination ("Series 56")
Comments due: September 1, 2011
|
SR-NASDAQ-2011-107 |
|
34-65041 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct the Proprietary Trader Registration Category
Comments due: September 1, 2011
|
SR-NASDAQ-2011-106 |
|
34-65055 |
Aug. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Limited Category of Principal Registration for Proprietary Traders
Comments due: September 2, 2011
|
SR-NASDAQ-2011-105 |
|
34-65405 |
Sep. 27, 2011 |
Order Approving Proposed Rule Change to Establish an Acceptable Trade Range for Quotes and Orders Entered on The NASDAQ Options Market
|
|
34-65125 |
Aug. 12, 2011 |
Notice of Filing of Proposed Rule Change to Establish an Acceptable Trade Range for Quotes and Orders Entered on The NASDAQ Options Market
Comments due: September 8, 2011
|
SR-NASDAQ-2011-103 |
|
34-65013 |
Aug. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC to Modify Fees for Members Using the NASDAQ Market Center
Comments due: August 29, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-102 |
|
34-65024 |
Aug. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a Bulk-Quoting Interface
Comments due: August 30, 2011
|
SR-NASDAQ-2011-101 |
|
34-65014 |
Aug. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed Under Rule 7015(h)
Comments due: August 29, 2011
|
SR-NASDAQ-2011-100 |
|
34-65038 |
Aug. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Defined Term "Closed-End Fund" in Rules 5910 and 5920
Comments due: August 31, 2011
|
SR-NASDAQ-2011-099 |
|
34-65020 |
Aug. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC to Amend Fees Assessed for Use of NASDAQ Pre-trade Risk Management
Comments due: August 29, 2011
|
SR-NASDAQ-2011-098 |
|
34-64983 |
Jul. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an "All-or-None" Order Type
Comments due: August 24, 2011
|
SR-NASDAQ-2011-097 |
|
34-64899 |
Jul. 18, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Stock Market Equities Trading Rules 4757 and 4758 and NASDAQ Options Market Rules Chapter VI
Comments due: August 12, 2011
|
SR-NASDAQ-2011-095 |
|
34-64958 |
Jul. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proprietary Trader Examination
Comments due: August 19, 2011
|
SR-NASDAQ-2011-094 |
|
34-64858 |
Jul. 12, , 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7034 to Extend the Waiver of Certain Co-Location Installation Fees For An Additional Month
Comments due: August 8, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-093 |
|
34-64885 |
Jul. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7027 of the NASDAQ Pricing Schedule
Comments due: August 10, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-092 |
|
34-64856 |
Jul. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: August 5, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-091 |
|
34-64994 |
Jul. 29, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer an Optional Derived Data Fee for NASDAQ Basic
Comments due: August 26, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-090 |
|
34-64826 |
Jul. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC Regarding Expansion of the Short Term Option Series Program
Comments due: August 2, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-088 |
|
34-64821 |
Jul. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Priority
Comments due: August 2, 2011
|
SR-NASDAQ-2011-087 |
|
34-64789 |
Jul. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Its Co-Location Fee Schedule to Establish Fees for Access to Market Data Feeds from the Toronto Stock Exchange and the TSX Venture Exchange
Comments due: July 28, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-086 |
|
34-64744 |
Jun. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7034 Regarding Co-Location Fees For Additional Power and Cable Options
Comments due: July 22, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-085 |
|
34-64724 |
Jun. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Market Order Timer
Comments due: July 19, 2011
|
SR-NASDAQ-2011-084 |
|
34-64715 |
Jun. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4763
Comments due: July 18, 2011
|
SR-NASDAQ-2011-083 |
|
34-64696 |
Jun. 17, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Anti-Internalization Functionality For Registered Market Makers On The NASDAQ Options Market
Comments due: July 14, 2011
|
SR-NASDAQ-2011-082 |
|
34-64713 |
Jun. 21, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Certain Disclosure Requirements in Nasdaq's Corporate Governance Rules with Similar Disclosure Requirements in the Commission's Rules
Comments due: July 18, 2011
|
SR-NASDAQ-2011-080 |
|
34-64667 |
Jun. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Market Order Spread Protection Feature
Comments due: July 11, 2011
|
SR-NASDAQ-2011-079 |
|
34-64691 |
Jun. 16, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date for Several Rules in Connection with Trading System Enhancements
Comments due: July 13, 2011
|
SR-NASDAQ-2011-077 |
|
34-64948 |
Jul. 22, 2011 |
Order Granting Approval of Proposed Rule Change to Adopt a Risk Monitor Mechanism
|
|
34-64616 |
Jun. 7, 2011 |
Notice of Filing of Proposed Rule Change to Adopt a Risk Monitor Mechanism
Comments due: July 5, 2011
|
SR-NASDAQ-2011-075 |
|
34-64652 |
Jun. 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding BONOSM and ITTO Market Data
Comments due: July 8, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-074 |
|
34-64630 |
Jun. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7034 Regarding Certain Co-Location Installation Fees
Comments due: July 5, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-073 |
|
34-65708 |
Nov. 8, 2011 |
Notice and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, Adopting Additional Listing Requirements for Companies Applying to List After Consummation of a "Reverse Merger" With a Shell Company
Comments due: December 6, 2011
Additional Materials:
Exhibit 4;
Exhibit 5
|
|
34-65319 |
Sep. 12, 2011 |
Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Adopt Additional Listing Requirements for Reverse Mergers
Comments due: October 17, 2011
Rebuttal comments due: October 26, 2011
Comments received
are available
for this notice.
|
|
34-64956 |
Jul. 25, 2011 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Additional Listing Requirements for Reverse Mergers
|
|
34-64633 |
Jun. 8, 2011 |
Notice of Filing of Proposed Rule Change to Adopt Additional Listing Requirements for Reverse Mergers
Comments due: July 5, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-072 |
|
34-64635 |
Jun. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: July 5, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-071 |
|
34-64579 |
Jun. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Correction of an Inadvertent Error in NASDAQ Rule 7019(d)
Comments due: June 28, 2011
|
SR-NASDAQ-2011-070 |
|
34-64552 |
May 26, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Functionality of the Post-Only Order
Comments due: June 23, 2011
|
SR-NASDAQ-2011-069 |
|
34-64534 |
May 23, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: June 17, 2011
|
SR-NASDAQ-2011-067 |
|
34-64735 |
Jun. 23, 2011 |
Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.: SR-BATS-2011-016, SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06, SR-Phlx-2011-64
|
|
34-64426 |
May 6, 2011 |
Notice of Filing of Proposed Rule Change to Amend Rule 4120(a)(11) to Include Additional Securities in the Pilot by which Such Rule Operates and Amend Rule 4613(a) to Simplify Certain Aspects of the Text while also Conforming Certain of the Percentages Thereunder to the Proposed Changes to Rule 4120(a)(11)
Comments due: June 2, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-066 |
|
34-64494 |
May 13, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny Pilot, NDX and MNX and Non-Penny Pilot Options
Comments due: June 9, 2011
|
SR-NASDAQ-2011-065 |
|
34-64406 |
May 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Two-Sided Order for NOM Market Makers
Comments due: May 31, 2011
|
SR-NASDAQ-2011-062 |
|
34-64453 |
May 10, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: June 6, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-061 |
|
34-64440 |
May 9, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Non Co-Location Services
Comments due: June 6, 2011
|
SR-NASDAQ-2011-059 |
|
34-64430 |
May 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Midpoint Peg Post-Only Order
Comments due: June 2, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-058 |
|
34-64365 |
Apr. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Limitation of Liability
Comments due: May 25, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-057 |
|
34-64326 |
Apr. 22, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to the $2.50 Strike Price Program
Comments due: May 20, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-056 |
|
34-64371 |
Apr. 29, 2011 |
Notice of Filing of Proposed Rule Change to Adopt Additional Listing Requirements for Reverse Mergers
Comments due: May 26, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-054 |
|
34-64347 |
Apr. 27, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change relating to Amendments to the NASDAQ OMX Group, Inc.'s By-Laws
Comments due: May 24, 2011
|
SR-NASDAQ-2011-053 |
|
34-64312 |
Apr. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Order Price Protection Feature
Comments due: May 17, 2011
|
SR-NASDAQ-2011-052 |
|
34-64311 |
Apr. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Expire Time
Comments due: May 17, 2011
|
SR-NASDAQ-2011-051 |
|
34-64268 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Effective Hours of Rule 4753(c)
Comments due: May 4, 2011
|
SR-NASDAQ-2011-050 |
|
34-64263 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Initial Listing Standard for the Nasdaq Global Select Market
Comments due: May 4, 2011
|
SR-NASDAQ-2011-048 |
|
34-64246 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: May 4, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-047 |
|
34-64262 |
Apr. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform Rules 2360, 2361, 2370, 6951 to FINRA Rule Changes
Comments due: May 4, 2011
|
SR-NASDAQ-2011-046 |
|
34-64210 |
Apr. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees in Penny Pilot and Non-Penny Pilot Options
Comments due: May 3, 2011
|
SR-NASDAQ-2011-045 |
|
34-64215 |
Apr. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 3011 to Reflect Changes to a Corresponding Financial Industry Regulatory Authority, Inc. Rule
Comments due: May 3, 2011
|
SR-NASDAQ-2011-044 |
|
34-64188 |
Apr. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: May 2, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-043 |
|
34-64238 |
Apr. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: May 4, 2011
|
SR-NASDAQ-2011-042 |
|
34-64174 |
Apr. 4, 2011 |
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: April 29, 2011
|
SR-NASDAQ-2011-041 |
|
34-64160 |
Mar. 31, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the $2.50 Strike Price Program
Comments due: April 27, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-037 |
|
34-64463 |
May 11, 2011 |
Order Approving Proposed Rule Change to Modify Chapter V, Section 4 and Chapter VI, Section 8 of the Exchange's Rules Relating to Opening and Halt Crosses on the NASDAQ Options Market
|
|
34-64143 |
Mar. 29, 2011 |
Notice of Filing of Proposed Rule Change to Modify Chapter VI, Section 8 of the Exchange's Rules
Comments due: April 25, 2011
|
SR-NASDAQ-2011-036 |
|
34-64054 |
Mar. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Options Market Rules Chapter VII, Various Sections, Dealing With Market Maker Obligations
Comments due: April 5, 2011
|
SR-NASDAQ-2011-035 |
|
34-64060 |
Mar. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed rule Change to Modify Fees for Co-Location Services
Comments due: April 4, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-034 |
|
34-64050 |
Mar. 8, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Investor Support Program
Comments due: April 4, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-32 |
|
34-63983 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Market Data to the Public at No Charge
Comments due: March 25, 2011
|
SR-NASDAQ-2011-31 |
|
34-63959 |
Feb. 24, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the NASDAQ Order Imbalance Snapshot
Comments due: March 23, 2011
|
SR-NASDAQ-2011-030 |
|
34-63968 |
Feb. 25, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Rule 4763 to Implement the Amendments to Regulation SHO
Comments due: March 24, 2011
|
SR-NASDAQ-2011-029 |
|
34-64032 |
Mar. 4, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Minor Rules Violation Plan of the Nasdaq Options Market With Respect to Standardized Options
Comments due: March 30, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-028 |
|
34-64003 |
Mar. 2, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: March 29, 2011
Additional Materials:
Exhibit 5
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-027 |
|
34-63984 |
Feb. 28, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Clarifying Changes to Rule 7002 Concerning the Application and Collection of the Sales Fee
Comments due: March 25, 2011
|
SR-NASDAQ-2011-026 |
|
34-63900 |
Feb, 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Additional Routing Option
Comments due: March 10, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-025 |
|
34-64285 |
Apr. 8, 2011 |
Order Approving Proposed Rule Change to Amend The NASDAQ OMX Group, Inc. By-Laws
|
|
34-63925 |
Feb. 17, 2011 |
Notice of Filing of Proposed Rule Change to Amend The NASDAQ OMX Group, Inc. By-Laws
Comments due: March 17, 2011
|
SR-NASDAQ-2011-024 |
|
34-63906 |
Feb. 14, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish and Adopt Fees for the new Short Sale Monitor Service and Nasdaq Data Add-On
Comments due: March 11, 2011
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-023 |
|
34-63893 |
Feb. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Routing Option SOLV and Corresponding Fees
Comments due: March 10, 2011
Additional Materials:
Exhibit 5
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-022 |
|
34-63891 |
Feb. 11, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Investor Support Program
Comments due: March 10, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-021 |
|
34-63892 |
Feb. 11, 2011 |
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: March 10, 2011
Additional Materials:
Exhibit 3
Comments received
are available
for this notice.
|
SR-NASDAQ-2011-018 |
|
34-63809 |
Feb. 1, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding the Listing of Option Series with $1 Strike Prices
Comments due: February 28, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-017 |
|
34-63852 |
Feb. 7, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: March 8, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-013 |
|
34-63786 |
Jan. 27, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to a Stockholders' Agreement between The NASDAQ OMX Group, Inc. and Investor AB
Additional File Nos.: SR-PHLX-2011-08, SR-BX-2011-04
Comments due: February 24, 2011
|
SR-NASDAQ-2011-012 |
|
34-63815 |
Feb. 1, 2011 |
Notice of Filing of Proposed Rule Change to Modify NASDAQ Options Market Rules Chapter VII, Various Sections, Dealing With Market Maker Obligations
Comments due: February 28, 2011
|
SR-NASDAQ-2011-010 |
|
34-65362 |
Sep. 20, 2011 |
Order Disapproving a Proposed Rule Change to Link Market Data Fees and Transaction Execution Fees
See also:
|
|
34-64916 |
Jul. 19, 2011 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Link Market Data Fees and Transaction Execution Fees
|
|
34-63796 |
Jan. 28, 2011 |
Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Link Market Data Fees and Transaction Execution Fees
Comments due: March 21, 2011
Rebuttal comments due: April 4, 2011
Comments received
are available
for this notice.
|
|
34-63745 |
Jan. 20, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Link Market Data Fees and Transaction Execution Fees
Comments due: February 17, 2011
Additional Materials:
Exhibit 3;
Exhibit 5
|
SR-NASDAQ-2011-009 |
|
34-63728 |
Jan. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules
Comments due: February 15, 2011
|
SR-NASDAQ-2011-008 |
|
34-63716 |
Jan. 14, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Application of NASDAQ Rule 4611(d)
Comments due: February 14, 2011
|
SR-NASDAQ-2011-007 |
|
34-63732 |
Jan. 19, 2011 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Impose a Quarterly Maximum on the Listing of Additional Shares Fees Payable by Closed-End Funds
Comments due: February 15, 2011
|
SR-NASDAQ-2011-006 |
|
34-63705 |
Jan. 12, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees for the NASDAQ Options Market
Comments due: February 9, 2011
|
SR-NASDAQ-2011-004 |
|
34-63836 |
Feb. 3, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4758 to Add a New Routing Option, LIST
Comments due: March 3, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-003 |
|
34-63648 |
Jan. 5, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: February 2, 2011
|
SR-NASDAQ-2011-002 |
|
34-63657 |
Jan. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market, LLC Relating to the $5 Strike Price Program
Comments due: February 2, 2011
Additional Materials:
Exhibit 5
|
SR-NASDAQ-2011-001 |
|
34-63650 |
Jan. 6, 2011 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market, LLC to Establish a $5 Strike Price Program
Comments due: February 2, 2011
Additional Materials:
Exhibit 5
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http://www.sec.gov/rules/sro/nasdaq/nasdaqarchive/nasdaqarchive2011.shtml
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