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NASDAQ Stock Market LLC (NASDAQ) Rulemaking Archive: 2012

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 2012

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NASDAQ-2012-140
34-68528 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retire the Automated Quote Management Functionality Described Under Rules 4613(a)(2)(F) and (G), and Make Conforming Changes to Rule 4751(f)(15)
Comments due: January 22, 2013
Comments received are available for this proposal.

SR-NASDAQ-2012-143
34-68519 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of a 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 23, 2013

SR-NASDAQ-2012-137
34-68515 Dec. 21, 2012 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish the Market Quality Program
Corrected to Conform to the Federal Register Version
Comments due: January 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-142
34-68512 Dec. 21, 2012 Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc.
Comments due: January 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-139
34-68502 Dec. 20, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees and a Participant Fee
Comments due: January 18, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-133
34-68493 Dec. 20, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify a Level 2 Subscriber Fee and Related Rule Clarifications
Comments due: January 18, 2013

SR-NASDAQ-2012-135
34-68421 Dec. 13, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASDAQ's Fees for Order Execution
Comments due: January 9, 2013

SR-NASDAQ-2012-119
34-68416 Dec. 12, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish Fees for New Optional Wireless Connectivity for Co-located Clients
Comments received are available for this proposal.
See also:  Notice: Rel. No. 34-68085

SR-NASDAQ-2012-136
34-68400 Dec. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees For SOX, OSX and HGX
Comments due: January 7, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-134
34-68395 Dec. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the NASDAQ Options Market ("NOM") with Respect to the Authority of the Exchange or Nasdaq Options Services LLC ("NOS") to Cancel Options Orders when a Technical or System Issue Occurs and to Describe the Operation of an Error Account for NOS
Comments due: January 5, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-122
34-68389 Dec. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Adopt Several NASDAQ Rules to Reflect Changes to Rules of the Financial Industry Regulatory Authority ("FINRA")
Comments due: January 4, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-043
34-68378 Dec. 6, 2012 Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Establish the Market Quality Program
See also:  Notice: Rel. No. 34-67961, Order: Rel. No. 34-67411, Notice: Rel. No. 34-67022, Notice: Rel. No. 34-66765

SR-NASDAQ-2012-118
34-68343 Dec. 3, 2012 Order Approving Proposed Rule Change to Modify Certain Disclosure Requirements to Require Issuers to Publicly Describe the Specific Basis and Concern Identified by Nasdaq When a Listed Issuer Does Not Meet a Listing Standard and Give Nasdaq the Authority to Make a Public Announcement When a Listed Issuer Fails to Make a Public Announcement
See also:  Notice: Rel. No. 34-68053

SR-NASDAQ-2012-129
34-68336 Dec. 3, 2012 Notice of Filing of Proposed Rule Change to Establish the Retail Price Improvement Program on a Pilot Basis until 12 Months from the Date of Implementation
Comments due: December 28, 2012
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-68694

SR-NASDAQ-2012-109
34-68313 Nov. 28, 2012 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
Additional File Nos.: SR-BATS-2012-039, SR-BX-2012-063, SR-CBOE-2012-094, SR-NYSE-2012-49, SR-NYSEArca-2012-105, SR-NYSEMKT-2012-48
See also:  Notice: Rel. No. 34-68640, Notice: Rel. No. 34-68013

SR-NASDAQ-2012-131
34-68287 Nov. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Listing Requirements for Other Securities Listed Under Rule 5730
Comments due: December 21, 2012

SR-NASDAQ-2012-117
34-68279 Nov. 21, 2012 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change with Respect to INAV Pegged Orders for ETFs
Amended:  34-68279A
See also:  Order: Rel. No. 34-68672, Notice: Rel. No. 34-68042

SR-NASDAQ-2012-130
34-68254 Nov. 16, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer the Equity Trade Journal for Clearing Firms Service and Assess a Related Fee
Comments due: December 14, 2012

SR-NASDAQ-2012-128
34-68238 Nov. 15, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Exemption to the Direct Registration Program Requirement to All Foreign Issuers Rather Than Only Foreign Private Issuers
Comments due: December 12, 2012

SR-NASDAQ-2012-127
34-68232 Nov. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Penny Pilot and Penny Pilot Options
Comments due: December 11, 2012
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-126
34-68209 Nov. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Rebates for Order Execution and its Fees for Order Entry Ports Through the Introduction of New Market Quality Incentive Programs on a Pilot Basis
Comments due: December 10, 2012
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-059
34-68199 Nov. 9, 2012 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
See also:  Order: Rel. No. 34-67655, Notice: Rel. No. 34-67258, Notice: Rel. No. 34-66972

SR-NASDAQ-2012-125
34-68187 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: December 7, 2012
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-124
34-68153 Nov. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Several NASDAQ Rules to Reflect Changes to Rules of the Financial Industry Regulatory Authority ("FINRA")
Comments due: November 30, 2012

SR-NASDAQ-2012-120
34-68129 Nov. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Annual Fees for Companies Listed on the Nasdaq Capital Market
Comments due:  November 28, 2012

SR-NASDAQ-2012-121
34-68124 Oct. 31, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Apply the Position Limit Exemption Rules of NASDAQ OMX PHLX LLC For Certain Index Options
Comments due:  November 27, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-123
34-68123 Oct. 31, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Adopt Several NASDAQ Rules to Reflect Changes to Rules of the Financial Industry Regulatory Authority ("FINRA")
Comments due:  November 27, 2012

SR-NASDAQ-2012-090
34-68115 Oct. 26, 2012 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 4626-Limitation of Liability
Comments due:  November 23, 2012
Rebuttal comments due:  December 7, 2012
See also:   Notice: Rel. No. 34-67842, Notice: Rel. No. 34-67507
Comments received are available for this proposal.

SR-NASDAQ-2012-119
34-68085 Oct. 23, 2012 Notice of Filing of Proposed Rule Change to Establish Fees for New Optional Wireless Connectivity for Co-located Clients
Comments due:  November 19, 2012
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-68416
Comments received are available for this proposal.

SR-NASDAQ-2012-098
34-68073 Oct. 19, 2012 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the isdomTree Global Corporate Bond Fund of the WisdomTree Trust
See also:   Notice: Rel. No. 34-67750

SR-NASDAQ-2012-118
34-68053 Oct. 15 2012 Notice of Filing of Proposed Rule Change to Modify Certain Disclosure Requirements to Require Listed Companies to Publicly Describe the Specific Basis and Concern Identified by Nasdaq When a Company Does not Meet a Listing Standard and Give Nasdaq the Authority to Make Such Public Announcement When a Listed Company Fails to do so
Comments due:  November 9, 2012
See also:   Order: Rel. No. 34-68343

SR-NASDAQ-2012-115
34-68045 Oct. 12 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ’s Schedule of Execution Fees for Order Routing under Rule 7018
Comments due:  November 8, 2012

SR-NASDAQ-2012-117
34-68042 Oct. 12 2012 Notice of Filing of Proposed Rule Change with Respect to INAV Pegged Orders for ETFs
Comments due:  November 8, 2012
See also:  Order: Rel. No. 34-68672, Notice: Rel. No. 34-68279
Comments received are available for this proposal.

SR-NASDAQ-2012-114
34-68029 Oct 10, 2012 Notice of Filing of a Proposed Rule Change Relating to Non-Penny Pilot and Penny Pilot Options
Comments due:  November 6, 2012

SR-NASDAQ-2012-111
34-68015 Oct. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for Automatic Cancellation of Midpoint Peg Post-Only Orders at Market Close
Comments due:  November 6, 2012

SR-NASDAQ-2012-109
34-68013 Oct. 9, 2012 Notice of Filing of Proposed Rule Change to Modify the Listing Rules for Compensation Committees To Comply with Rule 10C-1 under the Exchange Act and Make Other Related Changes
Comments due:  November 5, 2012
Additional Materials:   Exhibit 5
See also:   Notice: Rel. No. 34-68640, Notice: Rel. No. 34-68313
Comments received are available for this proposal.

SR-NASDAQ-2012-112
34-67997 Oct. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing from an Affiliated Exchange
Comments due:  November 2, 2012

SR-NASDAQ-2012-107
34-67994 Oct. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed Under Rule 7003(a)
Comments due:  November 2, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-110
34-67977 Oct. 4, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer the ACT Reject Scan and Assess a Related Fee
Comments due:  November 2, 2012

SR-NASDAQ-2012-108
34-67979 Oct. 4, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due:  November 1, 2012

SR-NASDAQ-2012-043
34-67961 Oct. 2, 2012 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
See also:  Notice: Rel. No. 34-68378, Order: Rel. No. 34-67411, Notice: Rel. No. 34-67022, and Notice: Rel. No. 34-66765
Third Quarter

SR-NASDAQ-2012-106
34-67904 Sep. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Members the Ability to Pay a Regulatory Fine Pursuant to an Installment Plan
Comments due:  October 18, 2012

SR-NASDAQ-2012-105
34-67852 Sep. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete NASDAQ Rule 7032
Comments due:  October 10, 2012

SR-NASDAQ-2012-103
34-67849 Sep. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program under Rule 7014 and to Amend NASDAQ's Schedule of Execution Fees and Rebates under Rule 7018
Comments due:  October 10, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-104
34-67843 Sep. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate to Add Liquidity and Non-Customer Fees for Removing Liquidity in Penny Pilot Options
Comments due:  October 9, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-102
34-67837 Sep. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing of Options on Facebook, Inc., Google, Inc. and Groupon, Inc.
Comments due:  October 9, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-090
34-67842 Sep. 12, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4626—Limitation of Liability
See also:   Order: Rel. No. 34-68115, Notice: Rel. No. 34-67507

SR-NASDAQ-2012-072
34-67760 Aug. 30, 2012 Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc.
Additional File Nos.:  SR-BSECC-2012-01, SR-BX-2012-052, SR-PHLX-2012-95, and SR-SCCP-2012-001
See also:   Notice: Rel. No. 34-67293

SR-NASDAQ-2012-098
34-67750 Aug. 29, 2012 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Global Corporate Bond Fund of the Wisdom Tree Trust
Comments due:  September 26, 2012
See also:   Order: Rel. No. 34-68073

SR-NASDAQ-2012-100
34-67738 Aug. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Direct Registration Requirements under Rule 5210(c)
Comments due:  September 25,2012

SR-NASDAQ-2012-095
34-67722 Aug. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Market Maker Pre-Opening Obligations on NOM
Comments due:  September 19, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-097
34-67721 Aug. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership in The NASDAQ Stock Market LLC
Comments due:  September 19, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-094
34-67678 Aug. 16, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove the Expired Pilot Under Rule 4753(c) from the NASDAQ Rule Book
Comments due:  September 12, 2012

SR-NASDAQ-2012-059
34-67655 Aug. 14, 2012 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
Comments due:  October 4, 2012
Rebuttal comments due:  October 19, 2012
See also:   Notice: Rel. No. 34-68199, Notice: Rel. No. 34-67258 and Notice: Rel. No. 34-66972
Comments received are available for this proposal.

SR-NASDAQ-2012-071
34-67639 Aug. 10, 2012 Order Approving a Proposed Rule Change to Amend Rule 4758(a)(1)(A) to Reflect a Change in NASDAQ's Routing Functionality
See also:   Notice: Rel. No. 34-67246

SR-NASDAQ-2012-058
34-67617 Aug. 8, 2012 Order Approving a Proposed Rule Change Relating to the Listing and Trading of Alpha Index-Linked Securities
See also:   Notice: Rel. No. 34-67229

SR-NASDAQ-2012-093
34-67594 Aug. 6, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Fee Schedule Governing Order Routing
Comments due:  August 31, 2012

SR-NASDAQ-2012-066
34-67584 Aug. 2, 2012 Order Approving Proposed Rule Change, as Modified by Amendment No.1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
See also:   Notice: Rel. No. 34-67203

SR-NASDAQ-2012-092
34-67582 Aug. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on the MSCI EM and MSCI EAFE Indexes
Comments due:  August 29, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-088
34-67539 Jul. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Port Fees
Comments due:  August 24, 2012

SR-NASDAQ-2012-091
34-67536 Jul. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due:  August 24, 2012

SR-NASDAQ-2012-087
34-67535 Jul. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due:  August 24, 2012

SR-NASDAQ-2012-089
34-67518 Jul. 27, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Post-Only Order Type on NOM
Comments due:  August 23, 2012

SR-NASDAQ-2012-086
34-67511 Jul. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Access to BONO and ITTO Ports
Comments due:  August 22, 2012

SR-NASDAQ-2012-090
34-67507 Jul. 26, 2012 Notice of Filing of Proposed Rule Change to Amend Rule 4626 - Limitation of Liability
Comments due:  August 22, 2012
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-68115, Notice (extension): Rel. No. 34-67842
Comments received are available for this proposal.

SR-NASDAQ-2012-062
34-67468 Jul. 19, 2012 Order Approving a Proposed Rule Change to Modify its Corporate Governance Rules
See also:   Notice: Rel. No. 34-67076

SR-NASDAQ-2012-043
34-67411 Jul. 11, 2012 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Market Maker Incentive Programs for Certain Exchange-Traded Products
Additional File No.: SR-NYSEArca-2012-37
Comments due:  August 16, 2012
Rebuttal comments due:  August 31, 2012
See also:   Notice: Rel. No. 34-68378, Notice: Rel. No. 34-67961, Notice: Rel. No. 34-67022, and Notice: Rel. No. 34-66765
Comments received are available for this proposal.

SR-NASDAQ-2012-084
34-67413 Jul. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price to Comply Order
Comments due:  August 7, 2012

SR-NASDAQ-2012-080
34-67402 Jul. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Routing U.S. Securities and Exchange Commission
Comments due:  August 7, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-081
34-67389 Jul. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options
Comments due:  August 6, 2012

SR-NASDAQ-2012-083
34-67388 Jul. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options
Comments due:  August 7, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-078
34-67376 Jul. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due:  August 3, 2012
Comments received are available for this proposal.

SR-NASDAQ-2012-079
34-67355 Jul. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Fee Schedule Governing Order Routing
Comments due:  August 1, 2012
Additional Materials:   Exhibit 5
Second Quarter

SR-NASDAQ-2012-075
34-67325 Jun. 29, 2012 Notice of Filing and Immediate Effectiveness of a 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:  July 27, 2012

SR-NASDAQ-2012-077
34-67301 Jun. 28, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Correcting Various NASDAQ Options Market Rules
Comments due:  July 26, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-063
34-67297 Jun. 28, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Applicable to a New Version of the NASDAQ TotalView-ITCH Equities Depth Feed and Related Distributor and Administration Fees
Comments due:  July 26, 2012
Comments received are available for this proposal.

SR-NASDAQ-2012-061
34-67295 Jun. 28, 2012 Order Approving a Proposed Rule Change for the NASDAQ Options Market to Accept Inbound Orders from NASDAQ OMX BX’s New Options Market
See also:   Notice: Rel. No. 34-67027

SR-NASDAQ-2012-073
34-67292 Jun. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Excess Order Fee
Comments due:  July 26, 2012

SR-NASDAQ-2012-072
34-67293 Jun. 28, 2012 Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. ("NASDAQ OMX")
Comments due:  July 26, 2012
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-67760

SR-NASDAQ-2012-074
34-67285 Jun. 27, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Terminate Revenue Sharing Agreement and Delete Associated Fee Schedule
Comments due:  July 24, 2012

SR-NASDAQ-2012-057
34-67281 Jun. 27, 2012 Order Approving a Proposed Rule Change With Respect to the Authority of NASDAQ or NASDAQ Execution Services To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account
See also:   Notice: Rel. No. 34-66964

SR-NASDAQ-2012-059
34-67258 Jun. 26, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
See also:   Order: Rel. No. 34-68199, Order: Rel. No. 34-67655 and Notice: Rel. No. 34-66972

SR-NASDAQ-2012-069
34-67253 Jun. 25, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Optional Depth Data Enterprise License Fee for Broker-Dealer Distribution of Depth-of-Book Data
Comments due:  July 20, 2012
Comments received are available for this proposal.

SR-NASDAQ-2012-071
34-67246 Jun. 25, 2012 Notice of Filing of Proposed Rule Change to Amend Rule 4758(a)(1)(A) to Reflect a Change in NASDAQ’s Routing Functionality
Comments due:  July 20, 2012
See also:   Order: Rel. No. 34-67639

SR-NASDAQ-2012-058
34-67229 Jun. 21, 2012 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Alpha Index-Linked Securities
Comments due:  July 18, 2012
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-67617

SR-NASDAQ-2012-066
34-67203 Jun. 14, 2012 Notice of Filing of Proposed Rule Change to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
Comments due:  July 11, 2012
See also:   Order: Rel. No. 34-67584

SR-NASDAQ-2012-068
34-67171 Jun. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NDX Pricing
Comments due:  July 5, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-067
34-67122 Jun. 5, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the NASDAQ Options Market Message Traffic Mitigation Rule
Comments due:  July 2, 2012

SR-NASDAQ-2012-065
34-67105 Jun. 4, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals and Position Limits for OSX, SOX, and HGX
Comments due:  June 29, 2012
Additional Materials:   Exhibit 5

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
See also:  Notice: Rel. No. 34-66680; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65435

SR-NASDAQ-2012-062
34-67076 May 30, 2012 Notice of Filing of Proposed Rule Change to Modify its Corporate Governance Rules
Comments due:  June 26, 2012
See also:   Order: Rel. No. 34-67468

SR-NASDAQ-2012-064
34-67068 May 29, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee
Comments due:  June 26, 2012

SR-NASDAQ-2012-061
34-67027 May 18, 2012 Notice of Filing of Proposed Rule Change for the NASDAQ Options Market to Accept Inbound Orders from NASDAQ OMX BX's New Options Market
Comments due:  June 14, 2012
See also:   Order: Rel. No. 34-67295

SR-NASDAQ-2012-060
34-67024 May 18, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price to Comply Order
Comments due:  June 14, 2012

SR-NASDAQ-2012-043
34-67022 May 18, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
See also:   Notice: Rel. No. 34-68378, Notice: Rel. No.34-67961, Order: Rel. No.34-67411, and Notice: Rel. No. 34-66765 and

SR-NASDAQ-2012-059
34-66972 May 11, 2012 Notice of Filing of Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
Comments due:  June 7, 2012
See also:   Order: Rel. No. 34-68199, Order: Rel. No. 34-67655 and Notice: Rel. No. 34-67258

SR-NASDAQ-2012-057
34-66964 May 10, 2012 Notice of Filing of Proposed Rule Change with Respect to the Authority of NASDAQ or NASDAQ Execution Services to Cancel Orders When a Technical or System Issue Occurs and to Describe the Operation of an Error Account
Comments due:  June 6, 2012
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-67281

SR-NASDAQ-2012-055
34-66951 May 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute an Excess Order Fee
Comments due:  June 5, 2012

SR-NASDAQ-2012-054
34-66943 May 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NASDAQ Co-Location Super High Density Cabinet Monthly Fee
Comments due:  June 4, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-053
34-66915 May 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program under Rule 7014 and to Amend NASDAQ's Schedule of Execution and Routing Fees and Rebates under Rule 7018
Comments due:  May 30, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-056
34-66905 May 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7001 and 7018(h)
Comments due:  May 29, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-052
34-66848 Apr. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF and BONO Port Fees and Account Fees
Comments due:  May 18, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-002
34-66830 Apr. 18, 2012 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Adopt an Alternative to the $4 Per Share Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 Closing Price Per Share or $3 Closing Price Per Share, if Certain Other Listing Requirements are Met
Comments due:  May 15, 2012
See also:   Notice: Rel. No. 34-66499; and   Notice: Rel. No. 34-66159

SR-NASDAQ-2012-050
34-66817 Apr. 16, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due:  May 11, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-049
34-66780 Apr. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4751
Comments due:  May 8, 2012

SR-NASDAQ-2012-048
34-66768 Apr. 6, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees and Rebates in Penny Pilot Options
Comments due:  May 3, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-043
34-66765 Apr. 6, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
Comments due:  May 3, 2012
Additional Materials:   Exhibit 5
See also:  Notice: Rel. No. 34-68378, Notice: Rel. No. 34-67961, Order: Rel. No. 34-67411, and Notice: Rel. No. 34-67022
Comments received are available for this proposal.

SR-NASDAQ-2012-047
34-66747 April 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program and the Extended Hours Investor Program under Rule 7014 and to Amend the Liquidity Provider Rebate Schedule under Rule 7018
Comments due:  May 2, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-040
34-66741 Apr. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Transaction Execution Fee and Credit Schedule
Comments due:  May 1, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-042
34-66740 Apr. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-organize NASDAQ's Rules Governing the Fees Applicable to NASDAQ's Depth-of-Book Market Data
Comments due:  May 1, 2012
Comments received are available for this proposal.

SR-NASDAQ-2012-037
34-66729 Apr. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Newly Listed Indexes
Comments due:  April 30, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-044
34-66724 Apr. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees Applicable to Non-Display Usage of Certain NASDAQ Depth-of-Book Market Data
Comments due:  April 30, 2012
Additional Materials:   Exhibit 3A and Exhibit 3B
Comments received are available for this proposal.

SR-NASDAQ-2012-046
34-66719 Apr. 3, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Customer Routing Fees
Comments due:  April 30, 2012
Additional Materials:   Exhibit 5
First Quarter

SR-NASDAQ-2012-045
34-66706 Mar. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Fee Pilot Program for NASDAQ Last Sale
Comments due:  April 26, 2012

SR-NASDAQ-2012-041
34-66699 Mar. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Non-Display of Primary Pegged Orders with an Offset Amount
Comments due:  April 26, 2012

SR-NASDAQ-2011-131
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
See also:  Order: Rel. No. 34-67090; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65435

SR-NASDAQ-2012-038
34-66652 Mar. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120
Comments due:  April 19, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-013
34-66648 Mar. 23, 2012 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Adoption of Listing Standards for Certain Securities
See also:   Notice: Rel. No. 34-66320

SR-NASDAQ-2012-035
34-66636 Mar. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC to Assess a Fee for the QView Service
Comments due:  April 17, 2012

SR-NASDAQ-2012-036
34-66591 Mar. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the 100MB Connectivity Option and Fee
Comments due:  April 10, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-032
34-66544 Mar. 8, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NASDAQ's Investor Support Program
Comments due:  April 4, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-031
34-66540 Mar. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Supplemental Orders
Comments due:  April 4, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-033
34-66515 Mar. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates in Penny Pilot Options and Non-Penny Pilot Options
Comments due:  March 30, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-002
34-66499 Mar. 1, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt an Alternative to the $4 Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 or $3, if Certain Other Listing Requirements Are Met
See also:   Notice: Rel. No. 34-66830; and Notice: Rel. No. 34-66159

SR-NASDAQ-2012-004
34-66489 Feb. 29, 2012 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust
See also:   Notice: Rel. No. 34-66175

SR-NASDAQ-2012-025
34-66439 Feb. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain External and Inter-Cabinet Connectivity Fees
Comments due:  March 20, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-026
34-66431 Feb. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing of Strike Prices
Comments due:  March 19, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-028
34-66428 Feb. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Connectivity Options and Fees
Comments due:  March 19, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-027
34-66409 Feb. 16, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due:  March 15, 2012

SR-NASDAQ-2012-021
34-66372 Feb. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule change by NASDAQ Stock Market LLC Relating to Fidelity Bonds
Comments due:  March 8, 2012

SR-NASDAQ-2012-024
34-66369 Feb. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Pre-Market Investor Program
Comments due:  March 7, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-022
34-66360 Feb. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fees
Comments due:  March 6, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-023
34-66347 Feb. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Post-Only Orders
Comments due:  March 5, 2012

SR-NASDAQ-2012-020
34-66322 Feb. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Transaction Execution Fee and Credit Schedule in Rules 7014 and 7018
Comments due:  March 1, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-013
34-66320 Feb. 3, 2012 Notice of Filing of Proposed Rule Change Relating to the Adoption of Listing Standards for Certain Securities
Comments due:  March 1, 2012
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-66648

SR-NASDAQ-2012-015
34-66310 Feb. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4618
Comments due:  February 28, 2012

SR-NASDAQ-2012-017
34-66288 Feb. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed for Subscription to WebLink ACT under Rule 7015(e)
Comments due:  February 28, 2012

SR-NASDAQ-2012-016
34-66282 Jan. 31, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed under Rule 7015(c) for Subscription to Computer to Computer Interface Stations
Comments due:  February 27, 2012

SR-NASDAQ-2012-019
34-66275 Jan. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Rule 4753(c)
Comments due:  February 24, 2012

SR-NASDAQ-2012-012
34-66256 Jan. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fee for a Written Interpretation of the Nasdaq Listing Rules
Comments due:  February 22, 2012

SR-NASDAQ-2012-011
34-66225 Jan. 24, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due:  February 21, 2012

SR-NASDAQ-2012-008
34-66230 Jan. 24, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rule 5730
Comments due:  February 21, 2012

SR-NASDAQ-2012-010
34-66214 Jan. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due:  February 21, 2012

SR-NASDAQ-2012-004
34-66175 Jan. 18, 2012 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust
Comments due:  February 14, 2012
See also:   Order: Rel. No. 34-66489

SR-NASDAQ-2012-005
34-66165 Jan. 17, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Enhanced Display Distributor Fee
Comments due:  February 13, 2012
Rebuttal comments due:  60 days after publication in the Federal Register
Comments received are available for this proposal.

SR-NASDAQ-2012-002
34-66159 Jan. 13, 2012 Notice of Filing of Proposed Rule Change to Adopt an Alternative to the $4 Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 or $3, if Certain Other Listing Requirements Are Met
Comments due:  February 10, 2012
Additional Materials:   Exhibit 5
See also:   Notice: Rel. No. 34-66830; and Notice: Rel. No. 34-66499
Comments received are available for this proposal.

SR-NASDAQ-2012-006
34-66158 Jan. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fees
Comments due:  February 10, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-009
34-66153 Jan. 13, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 4613(a)(2)(F) and (G) to Allow Exchange Market Makers to opt out of the Automated Quote Management Service
Comments due:  February 10, 2012

SR-NASDAQ-2012-003
34-66126 Jan. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate to Add Liquidity in Penny Pilot Options
Comments due:  February 7, 2012
Additional Materials:   Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2012-001
34-66121 Jan. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due:  February 3, 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-2011-175
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-2011-173
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


NASDAQ File Number List for 2012
Release No. Date Details

SR-NASDAQ-2012-149
34-68626 Jan. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NASDAQ's Order Execution Rebates and Investor Support Program
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-147
34-68581 Jan. 4, 2013 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust High Yield Long/Short ETF of First Trust Exchange-Traded Fund IV
Comments due: January 31, 2013

SR-NASDAQ-2012-145
34-68568 Jan. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: January 30, 2013

SR-NASDAQ-2012-143
34-68519 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of a 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 23, 2013

SR-NASDAQ-2012-142
34-68512 Dec. 21, 2012 Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc.
Comments due: January 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-141
34-68613 Jan. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-140
34-68528 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retire the Automated Quote Management Functionality Described Under Rules 4613(a)(2)(F) and (G), and Make Conforming Changes to Rule 4751(f)(15)
Comments due: January 22, 2013
Comments received are available for this proposal.

SR-NASDAQ-2012-139
34-68502 Dec. 20, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees and a Participant Fee
Comments due: January 18, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-137
34-68515 Dec. 21, 2012 Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish the Market Quality Program
Corrected to Conform to the Federal Register Version
Comments due: January 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-136
34-68400 Dec. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees For SOX, OSX and HGX
Comments due: January 7, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-135
34-68421 Dec. 13, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASDAQ's Fees for Order Execution
Comments due: January 9, 2013

SR-NASDAQ-2012-134
34-68395 Dec. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the NASDAQ Options Market ("NOM") with Respect to the Authority of the Exchange or Nasdaq Options Services LLC ("NOS") to Cancel Options Orders when a Technical or System Issue Occurs and to Describe the Operation of an Error Account for NOS
Comments due: January 5, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-133
34-68493 Dec. 20, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify a Level 2 Subscriber Fee and Related Rule Clarifications
Comments due: January 18, 2013

SR-NASDAQ-2012-131
34-68287 Nov. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Listing Requirements for Other Securities Listed Under Rule 5730
Comments due: December 21, 2012

SR-NASDAQ-2012-130
34-68254 Nov. 16, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer the Equity Trade Journal for Clearing Firms Service and Assess a Related Fee
Comments due: December 14, 2012

SR-NASDAQ-2012-129
34-68694 Jan. 18, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish the Retail Price Improvement Program on a Pilot Basis until 12 Months from the Date of Implementation
34-68336 Dec. 3, 2012 Notice of Filing of Proposed Rule Change to Establish the Retail Price Improvement Program on a Pilot Basis until 12 Months from the Date of Implementation
Comments due: December 28, 2012
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-128
34-68238 Nov. 15, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Exemption to the Direct Registration Program Requirement to All Foreign Issuers Rather Than Only Foreign Private Issuers
Comments due: December 12, 2012

SR-NASDAQ-2012-127
34-68232 Nov. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Penny Pilot and Penny Pilot Options
Comments due: December 11, 2012
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-126
34-68209 Nov. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Rebates for Order Execution and its Fees for Order Entry Ports Through the Introduction of New Market Quality Incentive Programs on a Pilot Basis
Comments due: December 10, 2012
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-125
34-68187 Nov. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: December 7, 2012
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-124
34-68153 Nov. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Several NASDAQ Rules to Reflect Changes to Rules of the Financial Industry Regulatory Authority ("FINRA")
Comments due: November 30, 2012

SR-NASDAQ-2012-123
34-68123 Oct. 31, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Adopt Several NASDAQ Rules to Reflect Changes to Rules of the Financial Industry Regulatory Authority ("FINRA")
Comments due:  November 27, 2012

SR-NASDAQ-2012-122
34-68389 Dec. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Adopt Several NASDAQ Rules to Reflect Changes to Rules of the Financial Industry Regulatory Authority ("FINRA")
Comments due: January 4, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-121
34-68124 Oct. 31, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Apply the Position Limit Exemption Rules of NASDAQ OMX PHLX LLC For Certain Index Options
Comments due:  November 27, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-120
34-68129 Nov. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Annual Fees for Companies Listed on the Nasdaq Capital Market
Comments due:  November 28, 2012

SR-NASDAQ-2012-119
34-68416 Dec. 12, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish Fees for New Optional Wireless Connectivity for Co-located Clients
34-68085 Oct. 23, 2012 Notice of Filing of Proposed Rule Change to Establish Fees for New Optional Wireless Connectivity for Co-located Clients
Comments due:  November 19, 2012
Additional Materials:   Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2012-118
34-68343 Dec. 3, 2012 Order Approving Proposed Rule Change to Modify Certain Disclosure Requirements to Require Issuers to Publicly Describe the Specific Basis and Concern Identified by Nasdaq When a Listed Issuer Does Not Meet a Listing Standard and Give Nasdaq the Authority to Make a Public Announcement When a Listed Issuer Fails to Make a Public Announcement
34-68053 Oct. 15 2012 Notice of Filing of Proposed Rule Change to Modify Certain Disclosure Requirements to Require Listed Companies to Publicly Describe the Specific Basis and Concern Identified by Nasdaq When a Company Does not Meet a Listing Standard and Give Nasdaq the Authority to Make Such Public Announcement When a Listed Company Fails to do so
Comments due:  November 9, 2012

SR-NASDAQ-2012-117
34-68672 Jan. 16, 2013 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change with Respect to INAV Pegged Orders for ETFs
34-68279 Nov. 21, 2012 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change with Respect to INAV Pegged Orders for ETFs
Amended:  34-68279A
34-68042 Oct. 12 2012 Notice of Filing of Proposed Rule Change with Respect to INAV Pegged Orders for ETFs
Comments due:  November 8, 2012
Comments received are available for this proposal.

SR-NASDAQ-2012-115
34-68045 Oct. 12 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ’s Schedule of Execution Fees for Order Routing under Rule 7018
Comments due:  November 8, 2012

SR-NASDAQ-2012-114
34-68029 Oct 10, 2012 Notice of Filing of a Proposed Rule Change Relating to Non-Penny Pilot and Penny Pilot Options
Comments due:  November 6, 2012

SR-NASDAQ-2012-112
34-67997 Oct. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing from an Affiliated Exchange
Comments due:  November 2, 2012

SR-NASDAQ-2012-111
34-68015 Oct. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for Automatic Cancellation of Midpoint Peg Post-Only Orders at Market Close
Comments due:  November 6, 2012

SR-NASDAQ-2012-110
34-67977 Oct. 4, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer the ACT Reject Scan and Assess a Related Fee
Comments due:  November 2, 2012

SR-NASDAQ-2012-109
34-68640 Jan. 11, 2013 Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 to Amend the Listing Rules for Compensation Committees to Comply with Rule 10C-1 under the Act and Make Other Related Changes
Comments due: 21 days after publication in the Federal Register
Additional Materials:  Exhibit 5
34-68313 Nov. 28, 2012 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
Additional File Nos.: SR-BATS-2012-039, SR-BX-2012-063, SR-CBOE-2012-094, SR-NYSE-2012-49, SR-NYSEArca-2012-105, SR-NYSEMKT-2012-48
34-68013 Oct. 9, 2012 Notice of Filing of Proposed Rule Change to Modify the Listing Rules for Compensation Committees To Comply with Rule 10C-1 under the Exchange Act and Make Other Related Changes
Comments due:  November 5, 2012
Additional Materials:   Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2012-108
34-67979 Oct. 4, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due:  November 1, 2012

SR-NASDAQ-2012-107
34-67994 Oct. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed Under Rule 7003(a)
Comments due:  November 2, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-106
34-67904 Sep. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Members the Ability to Pay a Regulatory Fine Pursuant to an Installment Plan
Comments due:  October 18, 2012

SR-NASDAQ-2012-105
34-67852 Sep. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete NASDAQ Rule 7032
Comments due:  October 10, 2012

SR-NASDAQ-2012-104
34-67843 Sep. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate to Add Liquidity and Non-Customer Fees for Removing Liquidity in Penny Pilot Options
Comments due:  October 9, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-103
34-67849 Sep. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program under Rule 7014 and to Amend NASDAQ's Schedule of Execution Fees and Rebates under Rule 7018
Comments due:  October 10, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-102
34-67837 Sep. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing of Options on Facebook, Inc., Google, Inc. and Groupon, Inc.
Comments due:  October 9, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-100
34-67738 Aug. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Direct Registration Requirements under Rule 5210(c)
Comments due:  September 25,2012

SR-NASDAQ-2012-098
34-68073 Oct. 19, 2012 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the isdomTree Global Corporate Bond Fund of the WisdomTree Trust
34-67750 Aug. 29, 2012 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Global Corporate Bond Fund of the Wisdom Tree Trust
Comments due:  September 26, 2012

SR-NASDAQ-2012-097
34-67721 Aug. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership in The NASDAQ Stock Market LLC
Comments due:  September 19, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-095
34-67722 Aug. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Market Maker Pre-Opening Obligations on NOM
Comments due:  September 19, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-094
34-67678 Aug. 16, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove the Expired Pilot Under Rule 4753(c) from the NASDAQ Rule Book
Comments due:  September 12, 2012

SR-NASDAQ-2012-093
34-67594 Aug. 6, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Fee Schedule Governing Order Routing
Comments due:  August 31, 2012

SR-NASDAQ-2012-092
34-67582 Aug. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on the MSCI EM and MSCI EAFE Indexes
Comments due:  August 29, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-091
34-67536 Jul. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due:  August 24, 2012

SR-NASDAQ-2012-090
34-68115 Oct. 26, 2012 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 4626-Limitation of Liability
Comments due:  November 23, 2012
Rebuttal comments due:  December 7, 2012
Comments received are available for this proposal.
34-67842 Sep. 12, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4626—Limitation of Liability
34-67507 Jul. 26, 2012 Notice of Filing of Proposed Rule Change to Amend Rule 4626 - Limitation of Liability
Comments due:  August 22, 2012
Additional Materials:   Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2012-089
34-67518 Jul. 27, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Post-Only Order Type on NOM
Comments due:  August 23, 2012

SR-NASDAQ-2012-088
34-67539 Jul. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Port Fees
Comments due:  August 24, 2012

SR-NASDAQ-2012-087
34-67535 Jul. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due:  August 24, 2012

SR-NASDAQ-2012-086
34-67511 Jul. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Access to BONO and ITTO Ports
Comments due:  August 22, 2012

SR-NASDAQ-2012-084
34-67413 Jul. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price to Comply Order
Comments due:  August 7, 2012

SR-NASDAQ-2012-083
34-67388 Jul. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options
Comments due:  August 7, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-081
34-67389 Jul. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options
Comments due:  August 6, 2012

SR-NASDAQ-2012-080
34-67402 Jul. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Routing U.S. Securities and Exchange Commission
Comments due:  August 7, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-079
34-67355 Jul. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Fee Schedule Governing Order Routing
Comments due:  August 1, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-078
34-67376 Jul. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due:  August 3, 2012
Comments received are available for this proposal.

SR-NASDAQ-2012-077
34-67301 Jun. 28, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Correcting Various NASDAQ Options Market Rules
Comments due:  July 26, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-075
34-67325 Jun. 29, 2012 Notice of Filing and Immediate Effectiveness of a 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:  July 27, 2012

SR-NASDAQ-2012-074
34-67285 Jun. 27, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Terminate Revenue Sharing Agreement and Delete Associated Fee Schedule
Comments due:  July 24, 2012

SR-NASDAQ-2012-073
34-67292 Jun. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Excess Order Fee
Comments due:  July 26, 2012

SR-NASDAQ-2012-072
34-67760 Aug. 30, 2012 Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc.
Additional File Nos.:  SR-BSECC-2012-01, SR-BX-2012-052, SR-PHLX-2012-95, and SR-SCCP-2012-001
34-67293 Jun. 28, 2012 Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. ("NASDAQ OMX")
Comments due:  July 26, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-071
34-67639 Aug. 10, 2012 Order Approving a Proposed Rule Change to Amend Rule 4758(a)(1)(A) to Reflect a Change in NASDAQ's Routing Functionality
34-67246 Jun. 25, 2012 Notice of Filing of Proposed Rule Change to Amend Rule 4758(a)(1)(A) to Reflect a Change in NASDAQ’s Routing Functionality
Comments due:  July 20, 2012

SR-NASDAQ-2012-069
34-67253 Jun. 25, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Optional Depth Data Enterprise License Fee for Broker-Dealer Distribution of Depth-of-Book Data
Comments due:  July 20, 2012
Comments received are available for this proposal.

SR-NASDAQ-2012-068
34-67171 Jun. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NDX Pricing
Comments due:  July 5, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-067
34-67122 Jun. 5, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the NASDAQ Options Market Message Traffic Mitigation Rule
Comments due:  July 2, 2012

SR-NASDAQ-2012-066
34-67584 Aug. 2, 2012 Order Approving Proposed Rule Change, as Modified by Amendment No.1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
34-67203 Jun. 14, 2012 Notice of Filing of Proposed Rule Change to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
Comments due:  July 11, 2012

SR-NASDAQ-2012-065
34-67105 Jun. 4, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals and Position Limits for OSX, SOX, and HGX
Comments due:  June 29, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-064
34-67068 May 29, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee
Comments due:  June 26, 2012

SR-NASDAQ-2012-063
34-67297 Jun. 28, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Applicable to a New Version of the NASDAQ TotalView-ITCH Equities Depth Feed and Related Distributor and Administration Fees
Comments due:  July 26, 2012
Comments received are available for this proposal.

SR-NASDAQ-2012-062
34-67468 Jul. 19, 2012 Order Approving a Proposed Rule Change to Modify its Corporate Governance Rules
34-67076 May 30, 2012 Notice of Filing of Proposed Rule Change to Modify its Corporate Governance Rules
Comments due:  June 26, 2012

SR-NASDAQ-2012-061
34-67295 Jun. 28, 2012 Order Approving a Proposed Rule Change for the NASDAQ Options Market to Accept Inbound Orders from NASDAQ OMX BX’s New Options Market
34-67027 May 18, 2012 Notice of Filing of Proposed Rule Change for the NASDAQ Options Market to Accept Inbound Orders from NASDAQ OMX BX's New Options Market
Comments due:  June 14, 2012

SR-NASDAQ-2012-060
34-67024 May 18, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price to Comply Order
Comments due:  June 14, 2012

SR-NASDAQ-2012-059
34-68629 Jan. 11, 2013 Order Disapproving Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
34-68199 Nov. 9, 2012 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
34-67655 Aug. 14, 2012 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
Comments due:  October 4, 2012
Rebuttal comments due:  October 19, 2012
Comments received are available for this proposal.
34-67258 Jun. 26, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
34-66972 May 11, 2012 Notice of Filing of Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
Comments due:  June 7, 2012

SR-NASDAQ-2012-058
34-67617 Aug. 8, 2012 Order Approving a Proposed Rule Change Relating to the Listing and Trading of Alpha Index-Linked Securities
34-67229 Jun. 21, 2012 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Alpha Index-Linked Securities
Comments due:  July 18, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-057
34-67281 Jun. 27, 2012 Order Approving a Proposed Rule Change With Respect to the Authority of NASDAQ or NASDAQ Execution Services To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account
34-66964 May 10, 2012 Notice of Filing of Proposed Rule Change with Respect to the Authority of NASDAQ or NASDAQ Execution Services to Cancel Orders When a Technical or System Issue Occurs and to Describe the Operation of an Error Account
Comments due:  June 6, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-056
34-66905 May 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7001 and 7018(h)
Comments due:  May 29, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-055
34-66951 May 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute an Excess Order Fee
Comments due:  June 5, 2012

SR-NASDAQ-2012-054
34-66943 May 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NASDAQ Co-Location Super High Density Cabinet Monthly Fee
Comments due:  June 4, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-053
34-66915 May 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program under Rule 7014 and to Amend NASDAQ's Schedule of Execution and Routing Fees and Rebates under Rule 7018
Comments due:  May 30, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-052
34-66848 Apr. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF and BONO Port Fees and Account Fees
Comments due:  May 18, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-050
34-66817 Apr. 16, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due:  May 11, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-049
34-66780 Apr. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4751
Comments due:  May 8, 2012

SR-NASDAQ-2012-048
34-66768 Apr. 6, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees and Rebates in Penny Pilot Options
Comments due:  May 3, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-047
34-66747 April 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program and the Extended Hours Investor Program under Rule 7014 and to Amend the Liquidity Provider Rebate Schedule under Rule 7018
Comments due:  May 2, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-046
34-66719 Apr. 3, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Customer Routing Fees
Comments due:  April 30, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-045
34-66706 Mar. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Fee Pilot Program for NASDAQ Last Sale
Comments due:  April 26, 2012

SR-NASDAQ-2012-044
34-66724 Apr. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees Applicable to Non-Display Usage of Certain NASDAQ Depth-of-Book Market Data
Comments due:  April 30, 2012
Additional Materials:   Exhibit 3A and Exhibit 3B
Comments received are available for this proposal.

SR-NASDAQ-2012-043
34-68378 Dec. 6, 2012 Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Establish the Market Quality Program
34-67961 Oct. 2, 2012 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
34-67411 Jul. 11, 2012 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Market Maker Incentive Programs for Certain Exchange-Traded Products
Additional File No.: SR-NYSEArca-2012-37
Comments due:  August 16, 2012
Rebuttal comments due:  August 31, 2012
34-67022 May 18, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
34-66765 Apr. 6, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
Comments due:  May 3, 2012
Additional Materials:   Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2012-042
34-66740 Apr. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-organize NASDAQ's Rules Governing the Fees Applicable to NASDAQ's Depth-of-Book Market Data
Comments due:  May 1, 2012
Comments received are available for this proposal.

SR-NASDAQ-2012-041
34-66699 Mar. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Non-Display of Primary Pegged Orders with an Offset Amount
Comments due:  April 26, 2012

SR-NASDAQ-2012-040
34-66741 Apr. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Transaction Execution Fee and Credit Schedule
Comments due:  May 1, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-038
34-66652 Mar. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120
Comments due:  April 19, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-037
34-66729 Apr. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Newly Listed Indexes
Comments due:  April 30, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-036
34-66591 Mar. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the 100MB Connectivity Option and Fee
Comments due:  April 10, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-035
34-66636 Mar. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC to Assess a Fee for the QView Service
Comments due:  April 17, 2012

SR-NASDAQ-2012-033
34-66515 Mar. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates in Penny Pilot Options and Non-Penny Pilot Options
Comments due:  March 30, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-032
34-66544 Mar. 8, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NASDAQ's Investor Support Program
Comments due:  April 4, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-031
34-66540 Mar. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Supplemental Orders
Comments due:  April 4, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-028
34-66428 Feb. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Connectivity Options and Fees
Comments due:  March 19, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-027
34-66409 Feb. 16, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due:  March 15, 2012

SR-NASDAQ-2012-026
34-66431 Feb. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing of Strike Prices
Comments due:  March 19, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-025
34-66439 Feb. 22, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain External and Inter-Cabinet Connectivity Fees
Comments due:  March 20, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-024
34-66369 Feb. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Pre-Market Investor Program
Comments due:  March 7, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-023
34-66347 Feb. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Post-Only Orders
Comments due:  March 5, 2012

SR-NASDAQ-2012-022
34-66360 Feb. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fees
Comments due:  March 6, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-021
34-66372 Feb. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule change by NASDAQ Stock Market LLC Relating to Fidelity Bonds
Comments due:  March 8, 2012

SR-NASDAQ-2012-020
34-66322 Feb. 3, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Transaction Execution Fee and Credit Schedule in Rules 7014 and 7018
Comments due:  March 1, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-019
34-66275 Jan. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Rule 4753(c)
Comments due:  February 24, 2012

SR-NASDAQ-2012-017
34-66288 Feb. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed for Subscription to WebLink ACT under Rule 7015(e)
Comments due:  February 28, 2012

SR-NASDAQ-2012-016
34-66282 Jan. 31, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed under Rule 7015(c) for Subscription to Computer to Computer Interface Stations
Comments due:  February 27, 2012

SR-NASDAQ-2012-015
34-66310 Feb. 2, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4618
Comments due:  February 28, 2012

SR-NASDAQ-2012-013
34-66648 Mar. 23, 2012 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Adoption of Listing Standards for Certain Securities
34-66320 Feb. 3, 2012 Notice of Filing of Proposed Rule Change Relating to the Adoption of Listing Standards for Certain Securities
Comments due:  March 1, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-012
34-66256 Jan. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fee for a Written Interpretation of the Nasdaq Listing Rules
Comments due:  February 22, 2012

SR-NASDAQ-2012-011
34-66225 Jan. 24, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due:  February 21, 2012

SR-NASDAQ-2012-010
34-66214 Jan. 23, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due:  February 21, 2012

SR-NASDAQ-2012-009
34-66153 Jan. 13, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 4613(a)(2)(F) and (G) to Allow Exchange Market Makers to opt out of the Automated Quote Management Service
Comments due:  February 10, 2012

SR-NASDAQ-2012-008
34-66230 Jan. 24, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rule 5730
Comments due:  February 21, 2012

SR-NASDAQ-2012-006
34-66158 Jan. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fees
Comments due:  February 10, 2012
Additional Materials:   Exhibit 5

SR-NASDAQ-2012-005
34-66165 Jan. 17, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Enhanced Display Distributor Fee
Comments due:  February 13, 2012
Rebuttal comments due:  60 days after publication in the Federal Register
Comments received are available for this proposal.

SR-NASDAQ-2012-004
34-66489 Feb. 29, 2012 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust
34-66175 Jan. 18, 2012 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust
Comments due:  February 14, 2012

SR-NASDAQ-2012-003
34-66126 Jan. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate to Add Liquidity in Penny Pilot Options
Comments due:  February 7, 2012
Additional Materials:   Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2012-002
34-66830 Apr. 18, 2012 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Adopt an Alternative to the $4 Per Share Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 Closing Price Per Share or $3 Closing Price Per Share, if Certain Other Listing Requirements are Met
Comments due:  May 15, 2012
34-66499 Mar. 1, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt an Alternative to the $4 Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 or $3, if Certain Other Listing Requirements Are Met
34-66159 Jan. 13, 2012 Notice of Filing of Proposed Rule Change to Adopt an Alternative to the $4 Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 or $3, if Certain Other Listing Requirements Are Met
Additional Materials:   Exhibit 5
Comments due:  February 10, 2012
Comments received are available for this proposal.

SR-NASDAQ-2012-001
34-66121 Jan. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due:  February 3, 2012

 

http://www.sec.gov/rules/sro/nasdaq/nasdaqarchive/nasdaqarchive2012.shtml


Modified: 11/21/2014