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NASDAQ Stock Market LLC (NASDAQ) Rulemaking Archive: 2011

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 2011

Additional Archives


Chronological List
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

 

http://www.sec.gov/rules/sro/nasdaq/nasdaqarchive/nasdaqarchive2011.shtml


Modified: 10/16/2014