SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


NASDAQ Stock Market LLC (NASDAQ) Rulemaking Archive: 2013

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 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NASDAQ-2013-162
34-71217 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: January 28, 2014

SR-NASDAQ-2013-157
34-71200 Dec. 30, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Existing Fees in NASDAQ Rule 7034
Comments due: January 27, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-159
34-71199 Dec. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Extranet Access Fee
Comments due: January 27, 2014

SR-NASDAQ-2013-161
34-71198 Dec. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed for Connectivity to the Exchange under Rule 7015, and to Eliminate Fees Assessed Under Rules 7033 and 7059
Comments due: January 27, 2014

SR-NASDAQ-2013-155
34-71193 Dec. 26, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of the AdvisorShares YieldPro ETF
Comments due: January 23, 2014 See also:  Notice: Rel. No. 34-71521

SR-NASDAQ-2013-165
34-71187 Dec. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Aspect of the Implementation of Rule 4626(b)(3)
Comments due: January 23, 2014

SR-NASDAQ-2013-156
34-71173 Dec. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Options Execution Algorithm with Priority Overlays
Comments due: January 21, 2014
Comments received are available for this proposal.

SR-NASDAQ-2013-160
34-71167 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of "System Securities" in NASDAQ Rule 4751
Comments due: January 17, 2014

SR-NASDAQ-2013-158
34-71158 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Acceptable Trade Range
Comments due: January 17, 2014

SR-NASDAQ-2013-154
34-71105 Dec. 17, 2013 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 13, 2014
Comments received are available for this proposal.

SR-NASDAQ-2013-152
34-71098 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Describe the Implementation of Rule 4626(b)(3)
Comments due: January 13, 2014

SR-NASDAQ-2013-151
34-71060 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Recent Changes to Rule 4120(c)(7)(C)
Comments due: January 8, 2014

SR-NASDAQ-2013-150
34-71044 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Modifications to Fees and Credits under Rules 7014 and 7018
Comments due: January 7, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-147
34-71037 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Listing Rules on Independence of Compensation Committee Members
Comments due: January 6, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-149
34-71028 Dec. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Penny and Non-Penny Pilot Options
Comments due: January 3, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-134
34-71017 Dec. 6, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Listing of Additional Shares Fees Payable by Non-U.S. Companies
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-148
34-71013 Dec. 6, 2013 Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: January 2, 2014
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-71353

SR-NASDAQ-2013-146
34-71008 Dec. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-145
34-70985 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Acceptable Trade Range
Comments due: December 31, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-142
34-70945 Nov. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify a Level 2 Subscriber Fee
Comments due: December 24, 2013
Comments received are available for this proposal.

SR-NASDAQ-2013-141
34-70926 Nov. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Market Maker Penny Pilot Options Rebate to Add Liquidity
Comments due: December 20, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-143
34-70911 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4120(c)(7)(C) to Modify the Parameters for Releasing Securities for Trading Upon the Termination of a Trading Halt
Comments due: December 18, 2013

SR-NASDAQ-2013-140
34-70915 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ connectivity Options and Fees
Comments due: December 18, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-139
34-70897 Nov. 19, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Post-Only Orders Received Prior to the Opening
Comments due: December 16, 2013

SR-NASDAQ-2013-138
34-70860 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Modifications to Fees and Rebates under Rules 7014 and 7018
Comments due: December 10, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-137
34-70851 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees under Rule 7030(d) for Use of the Carteret NASDAQ Testing Facility Test Environment
Comments due: December 10, 2013

SR-NASDAQ-2013-122
34-70829 Nov. 7, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the First Trust High Income Fund of First Trust Exchange-Traded Fund VI
See also:  Notice: Rel. No. 34-70460

SR-NASDAQ-2013-121
34-70828 Nov. 7, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the First Trust Low Beta Income Fund of First Trust Exchange-Traded Fund VI
See also:  Notice: Rel. No. 34-70459

SR-NASDAQ-2013-136
34-70820 Nov. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options Rebates and Fees
Comments due: December 4, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-133
34-70747 Oct. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts
Comments due: November 19, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-131
34-70693 Oct. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Dedicated OUCH Port Infrastructure Service
Comments due: November 12, 2013

SR-NASDAQ-2013-107
34-70638 Oct. 9, 2013 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Global Tactical Commodity Strategy Fund of First Trust Exchange-Traded Fund VII
Comments due: 21 days after publication in the Federal Register
See also:  Notice: Rel. No. 34-70253

SR-NASDAQ-2013-130
34-70627 Oct. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt New Regulatory Fees Payable by Certain Listed Companies and Applicants
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-129
34-70614 Oct. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Schedule of Fees and Credits Applicable to Execution and Routing of Orders in Securities Priced at $1 or More Per Share Under Rule 7018
Comments due: November 12, 2013
Third Quarter

SR-NASDAQ-2013-126
34-70575 Sep. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: November 12, 2013
Comments received are available for this proposal.

SR-NASDAQ-2013-102
34-70569 Sep. 30, 2013 Order Approving a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
See also:  Notice: Rel. No. 34-70159

SR-NASDAQ-2013-124
34-70560 Sep. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF Port Fees
Comments due: October 24, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-125
34-70555 Sep. 30, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reduce the Fees Assessed Under NASDAQ Rule 7034 for Certain Co-location Services
Comments due: October 24, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-128
34-70535 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NASDAQ Listing Standards Related to Compliance Determinations for Market Value of Listed Securities and Market Value of Publicly-Held Shares Deficiencies
Comments due: October 24, 2013

SR-NASDAQ-2013-127
34-70529 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-120
34-70489 Sep. 24, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Chapter XV, at Section 2 Governing Pricing for NASDAQ members using the NASDAQ Options Market ("NOM")
Comments due: October 21, 2013

SR-NASDAQ-2013-117
34-70470 Sep. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Minor Modifications to Pricing Incentive Programs under NASDAQ's Schedule of Fees and Credits Applicable to Trading on the NASDAQ Options Market
Comments due: October 18, 2013

SR-NASDAQ-2013-119
34-70467 Sep. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Existing Fees to Receive CME Group Multi-Cast Market Data Feeds Via Wireless Connectivity
Comments due: October 17, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-122
34-70460 Sep. 20, 2013 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust High Income Fund of First Trust Exchange-Traded Fund VI
Comments due: October 17, 2013 See also:  Order: Rel. No. 34-70829

SR-NASDAQ-2013-121
34-70459 Sep. 20, 2013 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Beta Income Fund of First Trust Exchange-Traded Fund VI
Comments due: October 17, 2013
See also:  Order: Rel. No. 34-70828

SR-NASDAQ-2013-118
34-70421 Sep. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error and an Incorrect Cross Reference in Rule 5635(e)(4)
Comments due: October 11, 2013

SR-NASDAQ-2013-115
34-70418 Sep. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Fees and Fee Waivers for Certain Exchange Traded Products
Comments due: October 11, 2013

SR-NASDAQ-2013-114
34-70361 Sep. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Program under Rule 7014, the Fees Assessed under Rule 7015(g), and the Schedule of Fees and Rebates under Rule 7018(a)
Comments due: October 7, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-111
34-70320 Sep. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Time-Limited Waiver of the Monthly Subscription Fee for New and Existing Subscribers to the Equity Trade Journal for Clearing Firms Service under Rule 7060
Comments due: October 1, 2013

SR-NASDAQ-2013-108
34-70316 Sep. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1120 and to Adopt a Corresponding Fee
Comments due: October 1, 2013

SR-NASDAQ-2013-106
34-70269 Aug. 27, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7026
Comments due: September 24, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-112
34-70260 Aug. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: September 20, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-107
34-70253 Aug. 26, 2013 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Global Tactical Commodity Strategy Fund of First Trust Exchange-Traded Fund VII
Comments due: September 20, 2013
See also:  Order: Rel. No. 34-70638

SR-NASDAQ-2013-110
34-70245 Aug. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Chapter VII, Section 6 of the Rules of the NASDAQ Options Market to Permit the Exchange to Establish Wider Bid/Ask Differentials for Certain Options with High Premiums or Other Special Characteristics
Comments due: September 18, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-109
34-70241 Aug. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Optional Anti-Internalization Functionality
Comments due: September 17, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-104
34-70175 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Non-Penny Pilot Option Rebate to Add Liquidity
Comments due: September 9, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-102
34-70159 Aug. 12, 2013 Notice of Filing of a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
Comments due: September 6, 2013
See also:  Order: Rel. No. 34-70569

SR-NASDAQ-2013-105
34-70139 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate the Exchange's Routable Order Program
Comments due: September 4, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-098
34-70143 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Subscription Fee for New Subscribers to Latency Optics for a Limited Period
Comments due: September 4, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-099
34-70129 Aug. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Connectivity Options and Fees
Comments due: September 3, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-100
34-70117 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to its Fees for Routing of Orders Priced at $1 or More Under Rule 7018(a), as Well as Changes to its Excess Order Fee Under Rule 7018(m)
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-096
34-70113 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-101
34-70108 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Chapter IV, Section 6 to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-095
34-70061 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Obvious Errors, of the Rules of the NASDAQ Options Market ("NOM")
Comments due: August 26, 2013

SR-NASDAQ-2013-097
34-70036 Jul. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a New Dedicated OUCH Port Infrastructure Connectivity Option and Adopt Related Fees
Comments due: August 20, 2013

SR-NASDAQ-2013-079
34-69944 Jul. 8, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the WisdomTree Global Corporate Bond Fund and the WisdomTree Emerging Markets Corporate Bond Fund
See also:  Notice: Rel. No. 34-69657

SR-NASDAQ-2013-091
34-69929 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Option Rebates to Add Liquidity
Comments due: July 31, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-094
34-69928 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness to Conform Rule 5705 Governing Exchange Traded Funds to the Listing Requirements of Another Market
Comments due: July 31, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-089
34-69908 Jul. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: July 30, 2013

SR-NASDAQ-2013-093
34-69898 Jul. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees under the QMM Pricing Incentive Program under Rules 7014 and 7015
Comments due: July 29, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-092
34-69897 Jul. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4120(c)(7) to Modify the Parameters for Releasing IPO Securities for Trading Pursuant to the IPO Halt Cross under NASDAQ Rule 4753
Comments due: July 29, 2013
Second Quarter

SR-NASDAQ-2013-088
34-69887 Jun. 28, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce the Fees Assessed Under NASDAQ Rule 7034 for Certain Co-location Services
Comments due: July 26, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-090
34-69880 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross ("Cross")
Comments due: July 24, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-085
34-69858 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Rule 4630 to Remove a Restriction on a Member Acting as a Registered Market Maker in a Commodity-Related Security
Comments due: July 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-084
34-69844 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Third Party Market Data Delivered by NASDAQ
Comments due: July 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-083
34-69830 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate an Erroneous Reference to the Retired Automatic Quotation Refresh Functionality under Rule 4751(d)
Comments due: July 18, 2013

SR-NASDAQ-2013-086
34-69801 Jun. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of an Initial Public Offering on NASDAQ
Comments due: July 16, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-032
34-69792 Jun. 18, 2013 Notice of Withdrawal of Proposed Rule Change to Require that Listed Companies Have an Internal Audit Function
See also:  Notice: Rel. No. 34-69402, Notice: Rel. No. 34-69030

SR-NASDAQ-2013-082
34-69787 Jun. 18, 2013 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: July 15, 2013

SR-NASDAQ-2013-081
34-69758 Jun. 13, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Changes to NASDAQ's Pricing Incentive Programs and Schedule of Fees and Credits
Comments due: July 10, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-070
34-69755 Jun. 13, 2013 Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit NASDAQ Options Market to Accept Inbound Options Orders from NASDAQ OMX BX, Inc.
See also:  Notice: Rel. No. 34-69499

SR-NASDAQ-2013-031
34-69719 Jun. 7, 2013 Order Granting Approval to Proposed Rule Change to Amend the Attestation Requirement of Rule 4780 to Allow a Retail Member Organization to Attest that "Substantially All" Orders Submitted to the Retail Price Improvement Program Will Qualify as "Retail Orders"
See also:  Notice: Rel. No. 34-69450, Notice: Rel. No. 34-69039

SR-NASDAQ-2012-117
34-69718 Jun. 7, 2013 Notice of Withdrawal of Proposed Rule Change with Respect to INAV Pegged Orders for ETFs
See also:  Notice: Rel. No. 34-69363, Order: Rel. No. 34-68672, Notice: Rel. No. 34-68279, Notice: Rel. No. 34-68042

SR-NASDAQ-2013-076
34-69712 Jun. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Clerical Correction to the Nasdaq Rulebook
Comments due: July 5, 2013

SR-NASDAQ-2013-080
34-69700 Jun. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Fees for the MOPB Routing Option under Rule 7018(a)
Comments due: July 2, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-079
34-69657 May 29, 2013 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the WisdomTree Global Corporate Bond Fund and the WisdomTree Emerging Markets Corporate Bond Fund
Comments due: June 25, 2013
See also:  Order: Rel. No. 34-69944

SR-NASDAQ-2013-078
34-69631 May 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Routing Option, MOPB, under Rule 4758(a)(1)(A)
Comments due: June 20, 2013

SR-NASDAQ-2013-077
34-69611 May 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4751(f)(15)
Comments due: June 14, 2013

SR-NASDAQ-2013-075
34-69566 May 13, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Pilot Restrictions from NASDAQ's Qualified Market Maker and NBBO Setter Incentive Programs, and to Make Other Changes to NASDAQ's Schedule of Fees and Credits
Comments due: June 7, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-073
34-69563 May 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of a Trading Halt or Pause on NASDAQ
Comments due: June 7, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-074
34-69559 May 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options and Non-Penny Pilot Options
Comments due: June 6, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-072
34-69536 May 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Fees Assessed Under Rule 7015(h)
Comments due: June 4, 2013

SR-NASDAQ-2013-071
34-69521 May 6, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASDAQ Rule 4763 (Short Sale Price Test Pursuant to Rule 201 of Regulation SHO)
Comments due: May 31, 2013

SR-NASDAQ-2013-070
34-69499 May 2, 2013 Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit NOM to Accept Inbound Options Orders from NASDAQ OMX BX, Inc.
Comments due: May 29, 2013
See also:  Order: Rel. No. 34-69755

SR-NASDAQ-2013-036
34-69464 Apr. 26, 2013 Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV
See also:  Notice: Rel. No. 34-69072

SR-NASDAQ-2013-068
34-69454 Apr. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and to Make Related Clarifications to Rule Text
Comments due: May 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-031
34-69450 Apr. 25, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the Attestation Requirement of Rule 4780 to Allow a Retail Member Organization to Attest that "Substantially All" Orders Submitted to the Retail Price Improvement Program Will Qualify as "Retail Orders"
See also:  Order: Rel. No. 34-69719, Notice: Rel. No. 34-69039

SR-NASDAQ-2013-069
34-69445 Apr. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Free Period for the Limit Up/Limit Down Band Lookup Add-On Service to TradeInfo under Rule 7015(f)
Comments due: May 21, 2013

SR-NASDAQ-2013-066
34-69444 Apr. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Up/Limit Down Band Lookup add-on Service to TradeInfo and Assess a Related Subscription Fee
Comments due: May 21, 2013

SR-NASDAQ-2013-032
34-69402 Apr. 18, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require That Listed Companies Have an Internal Audit Function
See also:  Notice: Rel. No. 34-69792, Notice: Rel. No. 34-69030

SR-NASDAQ-2013-064
34-69391 Apr. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 15, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-063
34-69376 Apr. 15, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: May 10, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-117
34-69363 Apr. 11, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change with Respect to INAV Pegged Orders for ETFs
See also:  Notice: Rel. No. 34-69718, Order: Rel. No. 34-68672, Notice: Rel. No. 34-68279, Notice: Rel. No. 34-68042

SR-NASDAQ-2013-048
34-69341 Apr. 8, 2013 Order Granting Accelerated Approval of a Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
See also:  Notice: Rel. No. 34-69142

SR-NASDAQ-2013-061
34-69322 Apr. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 4120
Comments due: May 2, 2013

SR-NASDAQ-2013-062
34-69321 Apr. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot and Non-Penny Pilot Options
Comments due: May 2, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-043
34-69333 Apr. 5, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
See also:  Notice: Rel. No. 34-69069

SR-NASDAQ-2013-057
34-69308 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7018 to Establish Fees and Rebates in Connection with NASDAQ's Retail Price Improvement ("RPI") Program
Comments due: May 2, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-056
34-69271 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Fee for use of FIX and OUCH Trading Ports for Testing
Comments due: April 29, 2013
First Quarter

SR-NASDAQ-2013-055
34-69250 Mar. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Deadline for Submission of Claims under NASDAQ Rule 4626(b)(3)
Comments due: April 24, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-053
34-69245 Mar. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: April 23, 2013
Comments received are available for this proposal.

SR-NASDAQ-2013-049
34-69236 Mar. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Mini Options
Comments due: April 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-028
34-69233 Mar. 25, 2013 Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit NASDAQ to Accept Inbound Orders Routed by NASDAQ Execution Services LLC from the BX Equities Market and PSX
See also:  Notice: Rel. No. 34-68891

SR-NASDAQ-2013-051
34-69231 Mar. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 23, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-045
34-69217 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 4120
Comments due: April 18, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-050
34-69211 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Assess a Fee for use of FIX and OUCH Trading Ports for Testing
Comments due: April 18, 2013

SR-NASDAQ-2012-090
34-69216 Mar. 22, 2013 Order Granting Approval of a Proposed Rule Change to Amend Rule 4626-Limitation of Liability
See also:  Notice: Rel. No. 34-68707, Notice: Rel. No. 34-68115, Notice: Rel. No. 34-67842, Notice: Rel. No. 34-67507

SR-NASDAQ-2012-137
34-69195 Mar. 20, 2013 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, to Establish the Market Quality Program
See also:  Exemptive Order: Rel. No. 34-69196, Notice: Rel. No. 34-68925, Notice: Rel. No. 34-68515

SR-NASDAQ-2013-046
34-69180 Mar. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of SPY Position Limits
Comments due: April 15, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2013-047
34-69152 Mar. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Security
Comments due: April 15, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-033
34-69151 Mar. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pre-Market Hours of the Exchange to 4:00 a.m. EST
Comments due: April 11, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-048
34-69142 Mar. 15, 2013 Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
Comments due: April 4, 2013
Comments received are available for this proposal.
See also:  Order: Rel. No. 34-69341

SR-NASDAQ-2013-042
34-69133 Mar. 14, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: April 10, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-041
34-69132 Mar. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot and Non-Penny Pilot Options
Comments due: April 9, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-040
34-69120 Mar. 12, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Chapter V, Section 3(d) and (e)
Comments due: April 8, 2013

SR-NASDAQ-2013-037
34-69108 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Maximum Time Afforded to a Market Maker to Meet its Market Making Obligations Upon Rejoining the Market After an Excused Withdrawal Under Rule 4619
Comments due: April 5, 2013

SR-NASDAQ-2013-036
34-69072 Mar. 7, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV
Comments due: April 3, 2013
See also:  Notice: Rel. No. 34-69464

SR-NASDAQ-2013-043
34-69069 Mar. 7, 2013 Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
Comments due: March 28, 2013
See also:  Order: Rel. No. 34-69333

SR-NASDAQ-2013-039
34-69058 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Replace the Current Mid-Point Test Applied to the Definition of Theoretical Price
Comments due: April 3, 2013

SR-NASDAQ-2013-038
34-69055 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fee Schedule Governing Order Routing
Comments due: April 3, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-031
34-69039 Mar. 5, 2013 Notice of Filing of Proposed Rule Change to Amend the Attestation Requirement of Rule 4780 to Allow a Retail Member Organization to Attest that "Substantially All" Orders Submitted to the Retail Price Improvement Program Will Qualify as "Retail Orders"
Comments due: April 1, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69719,   Notice: Rel. No. 34-69450
Comments received are available for this proposal.

SR-NASDAQ-2013-032
34-69030 Mar. 4, 2013 Notice of Filing of Proposed Rule Change to Require that Listed Companies Have an Internal Audit Function
Comments due: March 29, 2013
See also:  Notice: Rel. No. 34-69792, Notice: Rel. No. 34-69402
Comments received are available for this proposal.

SR-NASDAQ-2013-035
34-69028 Mar. 4, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Assess a Fee for the Limit Locator Service
Comments due: March 29, 2013

SR-NASDAQ-2013-034
34-69006 Feb. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 28, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-029
34-68976 Feb. 25, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Routing Fees To C2
Comments due: March 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-147
34-68972 Feb. 22, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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
See also: Notice: Rel. Nos. 34-68581

SR-NASDAQ-2012-129
34-68937 Feb. 15, 2013 Order Granting Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Establish the Retail Price Improvement Program on a Pilot Basis until 12 Months from the Date of Implementation
See also: Notice: Rel. Nos. 34-71827, 34-68694, 34-68336

SR-NASDAQ-2012-137
34-68925 Feb. 14, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, to Establish the Market Quality Program
See also:  Exemptive Order: Rel. No. 34-69196, Order: Rel. No. 34-69195, Notice: Rel. No. 34-68515

SR-NASDAQ-2013-026
34-68917 Feb. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: March 13, 2013

SR-NASDAQ-2013-024
34-68913 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Measure Used to Determine Whether the Price of a Stock is Equal To or Greater Than One Dollar Under Rule 4120(a)(11)
Comments due: March 12, 2013

SR-NASDAQ-2013-025
34-68911 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates to Add Liquidity in Penny Pilot Options
Comments due: March 12, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-023
34-68905 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: March 12, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-027
34-68899 Feb. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 8, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-028
34-68891 Feb. 8, 2013 Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit Inbound Orders Routed by Nasdaq Execution Services LLC from the NASDAQ OMX BX Equities Market and NASDAQ OMX PSX
Comments due: March 7, 2013
See also:  Order: Rel. No. 34-69233

SR-NASDAQ-2013-017
34-68850 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Restore Certain Requirements that Were Inadvertently Deleted from Rule 5815 Relating to a Staff Delisting Determination, Public Reprimand Letter, or Written Denial of a Listing Application
Comments due: March 7, 2013

SR-NASDAQ-2013-016
34-68847 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the Purpose of Amending Rule 7014(g)
Comments due: March 5, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-020
34-68841 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Locator Service Offered at No Cost to Subscribing Members
Comments due: March 5, 2013

SR-NASDAQ-2013-014
34-68839 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Routing Functionality to the NASDAQ System
Comments due: March 5, 2013
Comments received are available for this proposal.

SR-NASDAQ-2012-142
34-68823 Feb. 4, 2013 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-2012-002, SR-BX-2012-075, SR-Phlx-2012-142, SR-SCCP-2012-02
See also:  Notice: Rel. No. 34-68512

SR-NASDAQ-2013-022
34-68819 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program Related to Rule 11890, entitled "Clearly Erroneous Transactions"
Comments due: March 1, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-015
34-68799 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Rule 4120
Comments due: February 28, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-021
34-68786 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to delay the operative date of a rule change to NASDAQ Rule 4121
Comments due: February 27, 2013

SR-NASDAQ-2013-013
34-68761 Jan. 29, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Chapter XV, Section 2 of the Rules Governing the NASDAQ Options Market, NASDAQ's Facility for Executing and Routing Standardized Equity and Index Options
Comments due: February 26, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-012
34-68762 Jan. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4756 and Rule 4763 Regarding Modification of Previously Entered Orders
Comments due: February 25, 2013

SR-NASDAQ-2012-119
34-68735 Jan. 25, 2013 Order Approving a Proposed Rule Change to Establish a New Optional Wireless Connectivity for Colocated Clients
See also:  Notice: Rel. No. 34-68416, Notice: Rel. No. 34-68085

SR-NASDAQ-2013-008
34-68721 Jan. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5710
Comments due: February 20, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-010
34-68718 Jan. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 20, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-011
34-68720 Jan. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: February 20, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-090
34-68707 Jan. 23, 2013 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 4626-Limitation of Liability
See also:  Order: Rel. No. 34-69216, Order: Rel. No. 34-68115, Notice: Rel. No. 34-67842, Notice: Rel. No. 34-67507

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
See also:  Order: Rel. No. 34-71827, Order: Rel. No. 34-68937, Notice: Rel. No. 34-68336;

SR-NASDAQ-2013-003
34-68677 Jan. 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase the Record-Keeping and Substitution Listing Fees Payable by Companies Listed on Nasdaq
Comments due: February 13, 2013

SR-NASDAQ-2013-004
34-68676 Jan. 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees For Review of Delisting Determinations and Appeal of Panel Decisions
Comments due: February 13, 2013

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
Comments due: February 13, 2013
Rebuttal comments due: February 27, 2013
See also:  Notice: Rel. No. 34-69718, Notice: Rel. No. 34-69363, Notice: Rel. No. 34-68279, Notice: Rel. No. 34-68042

SR-NASDAQ-2013-007
34-68654 Jan. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operative Date of Recent Changes Made to Rules 4613(a)(2)(F) and (G), and Rule 4751(f)(15)
Comments due: February 12, 2013

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: February 12, 2013
Additional Materials:  Exhibit 5
See also:   Notice: Rel. No. 34-68313, Notice: Rel. No. 34-68013

SR-NASDAQ-2013-009
34-68636 Jan. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Optional Historical Research and Administrative Report Fee and Related NASDAQ Rule 7022 Revisions
Comments due: February 7, 2013

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: February 7, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-002
34-68624 Jan. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Co-location Services
Comments due: February 7, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2012-059
34-68629 Jan. 11, 2013 Order Disapproving Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
See also:   Order: Rel. No. 34-68199, Order: Rel. No. 34-67655, Notice: Rel. No. 34-67258, and Notice: Rel. No. 34-66972

SR-NASDAQ-2013-005
34-68617 Jan. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Latency Optics add-on Service to QView
Comments due: February 6, 2013

SR-NASDAQ-2013-001
34-68609 Jan. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 5, 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: February 5, 2013
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
See also:  Order: Rel. No. 34-68972

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
Comments received are available for this proposal.


NASDAQ File Number List for 2013
Release No. Date Details

SR-NASDAQ-2013-166
34-71279 Jan. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Modifications to Fees and Credits under Rules 7014 and 7018
Comments due: February 5, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-165
34-71187 Dec. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Aspect of the Implementation of Rule 4626(b)(3)
Comments due: January 23, 2014

SR-NASDAQ-2013-164
34-71226 Jan. 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Describe the Application of Fees Assessed for Connectivity to the Carteret Test Environment under Rule 7030(d)
Comments due: January 29, 2014

SR-NASDAQ-2013-162
34-71217 Dec. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: January 28, 2014

SR-NASDAQ-2013-161
34-71198 Dec. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed for Connectivity to the Exchange under Rule 7015, and to Eliminate Fees Assessed Under Rules 7033 and 7059
Comments due: January 27, 2014

SR-NASDAQ-2013-160
34-71167 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of "System Securities" in NASDAQ Rule 4751
Comments due: January 17, 2014

SR-NASDAQ-2013-159
34-71199 Dec. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Extranet Access Fee
Comments due: January 27, 2014

SR-NASDAQ-2013-158
34-71158 Dec. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Acceptable Trade Range
Comments due: January 17, 2014

SR-NASDAQ-2013-157
34-71200 Dec. 30, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Existing Fees in NASDAQ Rule 7034
Comments due: January 27, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-156
34-71173 Dec. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Options Execution Algorithm with Priority Overlays
Comments due: January 21, 2014
Comments received are available for this proposal.

SR-NASDAQ-2013-155
34-71521 Feb. 11, 2014 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 List and Trade Shares of the AdvisorShares YieldPro ETF of AdvisorShares Trust
Comments due: March 11, 2014
34-71193 Dec. 26, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of the AdvisorShares YieldPro ETF
Comments due: January 23, 2014

SR-NASDAQ-2013-154
34-71105 Dec. 17, 2013 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 13, 2014
Comments received are available for this proposal.

SR-NASDAQ-2013-152
34-71098 Dec. 17, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Describe the Implementation of Rule 4626(b)(3)
Comments due: January 13, 2014

SR-NASDAQ-2013-151
34-71060 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Recent Changes to Rule 4120(c)(7)(C)
Comments due: January 8, 2014

SR-NASDAQ-2013-150
34-71044 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Modifications to Fees and Credits under Rules 7014 and 7018
Comments due: January 7, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-149
34-71028 Dec. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Penny and Non-Penny Pilot Options
Comments due: January 3, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-148
34-71353 Jan. 17, 2014 Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2013-001, SR-BX-2013-057, SR-Phlx-2013-115, SR-SCCP-2013-01
34-71013 Dec. 6, 2013 Notice of Filing of Proposed Rule Change to Amend the Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-147
34-71037 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Listing Rules on Independence of Compensation Committee Members
Comments due: January 6, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-146
34-71008 Dec. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-145
34-70985 Dec. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Acceptable Trade Range
Comments due: December 31, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-143
34-70911 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4120(c)(7)(C) to Modify the Parameters for Releasing Securities for Trading Upon the Termination of a Trading Halt
Comments due: December 18, 2013

SR-NASDAQ-2013-142
34-70945 Nov. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify a Level 2 Subscriber Fee
Comments due: December 24, 2013
Comments received are available for this proposal.

SR-NASDAQ-2013-141
34-70926 Nov. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NOM Market Maker Penny Pilot Options Rebate to Add Liquidity
Comments due: December 20, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-140
34-70915 Nov. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ connectivity Options and Fees
Comments due: December 18, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-139
34-70897 Nov. 19, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Post-Only Orders Received Prior to the Opening
Comments due: December 16, 2013

SR-NASDAQ-2013-138
34-70860 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Modifications to Fees and Rebates under Rules 7014 and 7018
Comments due: December 10, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-137
34-70851 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees under Rule 7030(d) for Use of the Carteret NASDAQ Testing Facility Test Environment
Comments due: December 10, 2013

SR-NASDAQ-2013-136
34-70820 Nov. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options Rebates and Fees
Comments due: December 4, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-134
34-71017 Dec. 6, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Listing of Additional Shares Fees Payable by Non-U.S. Companies
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-133
34-70747 Oct. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts
Comments due: November 19, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-131
34-70693 Oct. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Dedicated OUCH Port Infrastructure Service
Comments due: November 12, 2013

SR-NASDAQ-2013-130
34-70627 Oct. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt New Regulatory Fees Payable by Certain Listed Companies and Applicants
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-129
34-70614 Oct. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Schedule of Fees and Credits Applicable to Execution and Routing of Orders in Securities Priced at $1 or More Per Share Under Rule 7018
Comments due: November 12, 2013

SR-NASDAQ-2013-128
34-70535 Sep. 27, 2013

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NASDAQ Listing Standards Related to Compliance Determinations for Market Value of Listed Securities and Market Value of Publicly-Held Shares Deficiencies
Comments due: October 24, 2013


SR-NASDAQ-2013-127
34-70529 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: October 23, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-126
34-70575 Sep. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: November 12, 2013
Comments received are available for this proposal.

SR-NASDAQ-2013-125
34-70555 Sep. 30, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reduce the Fees Assessed Under NASDAQ Rule 7034 for Certain Co-location Services
Comments due: October 24, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-124
34-70560 Sep. 30, 2013

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF Port Fees
Comments due: October 24, 2013
Additional Materials:  Exhibit 5


SR-NASDAQ-2013-122
34-70829 Nov. 7, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the First Trust High Income Fund of First Trust Exchange-Traded Fund VI
See also:  Notice: Rel. No. 34-70460
34-70460 Sep. 20, 2013 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust High Income Fund of First Trust Exchange-Traded Fund VI
Comments due: October 17, 2013 See also:  Order: Rel. No. 34-70829

SR-NASDAQ-2013-121
34-70828 Nov. 7, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the First Trust Low Beta Income Fund of First Trust Exchange-Traded Fund VI
See also:  Notice: Rel. No. 34-70459
34-70459 Sep. 20, 2013 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Beta Income Fund of First Trust Exchange-Traded Fund VI
Comments due: October 17, 2013 See also:  Order: Rel. No. 34-70828

SR-NASDAQ-2013-120
34-70489 Sep. 24, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Chapter XV, at Section 2 Governing Pricing for NASDAQ members using the NASDAQ Options Market ("NOM")
Comments due: October 21, 2013

SR-NASDAQ-2013-119
34-70467 Sep. 20, 2013

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Existing Fees to Receive CME Group Multi-Cast Market Data Feeds Via Wireless Connectivity
Comments due: October 17, 2013
Additional Materials:  Exhibit 5


SR-NASDAQ-2013-118
34-70421 Sep. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error and an Incorrect Cross Reference in Rule 5635(e)(4)
Comments due: October 11, 2013

SR-NASDAQ-2013-117
34-70470 Sep. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Minor Modifications to Pricing Incentive Programs under NASDAQ's Schedule of Fees and Credits Applicable to Trading on the NASDAQ Options Market
Comments due: October 18, 2013

SR-NASDAQ-2013-115
34-70418 Sep. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Fees and Fee Waivers for Certain Exchange Traded Products
Comments due: October 11, 2013

SR-NASDAQ-2013-114
34-70361 Sep. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Program under Rule 7014, the Fees Assessed under Rule 7015(g), and the Schedule of Fees and Rebates under Rule 7018(a)
Comments due: October 7, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-112
34-70260 Aug. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: September 20, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-111
34-70320 Sep. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Time-Limited Waiver of the Monthly Subscription Fee for New and Existing Subscribers to the Equity Trade Journal for Clearing Firms Service under Rule 7060
Comments due: October 1, 2013

SR-NASDAQ-2013-110
34-70245 Aug. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Chapter VII, Section 6 of the Rules of the NASDAQ Options Market to Permit the Exchange to Establish Wider Bid/Ask Differentials for Certain Options with High Premiums or Other Special Characteristics
Comments due: September 18, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-109
34-70241 Aug. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Optional Anti-Internalization Functionality
Comments due: September 17, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-108
34-70316 Sep. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1120 and to Adopt a Corresponding Fee
Comments due: October 1, 2013

SR-NASDAQ-2013-107
34-70638 Oct. 9, 2013 The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Global Tactical Commodity Strategy Fund of First Trust Exchange-Traded Fund VII
Comments due: 21 days after publication in the Federal Register
34-70253 Aug. 26, 2013 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Global Tactical Commodity Strategy Fund of First Trust Exchange-Traded Fund VII
Comments due: September 20, 2013

SR-NASDAQ-2013-106
34-70269 Aug. 27, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7026
Comments due: September 24, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-105
34-70139 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate the Exchange's Routable Order Program
Comments due: September 4, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-104
34-70175 Aug. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Non-Penny Pilot Option Rebate to Add Liquidity
Comments due: September 9, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-102
34-70569 Sep. 30, 2013 Order Approving a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
34-70159 Aug. 12, 2013 Notice of Filing of a Proposed Rule Change to Assume Operational Responsibility for Certain Surveillance Activity Currently Performed by FINRA under the Exchange's Authority and Supervision
Comments due: September 6, 2013

SR-NASDAQ-2013-101
34-70108 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Chapter IV, Section 6 to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-100
34-70117 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to its Fees for Routing of Orders Priced at $1 or More Under Rule 7018(a), as Well as Changes to its Excess Order Fee Under Rule 7018(m)
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-099
34-70129 Aug. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Connectivity Options and Fees
Comments due: September 3, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-098
34-70143 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Subscription Fee for New Subscribers to Latency Optics for a Limited Period
Comments due: September 4, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-097
34-70036 Jul. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a New Dedicated OUCH Port Infrastructure Connectivity Option and Adopt Related Fees
Comments due: August 20, 2013

SR-NASDAQ-2013-096
34-70113 Aug. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution
Comments due: August 30, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-095
34-70061 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Obvious Errors, of the Rules of the NASDAQ Options Market ("NOM")
Comments due: August 26, 2013

SR-NASDAQ-2013-094
34-69928 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness to Conform Rule 5705 Governing Exchange Traded Funds to the Listing Requirements of Another Market
Comments due: July 31, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-093
34-69898 Jul. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees under the QMM Pricing Incentive Program under Rules 7014 and 7015
Comments due: July 29, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-092
34-69897 Jul. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4120(c)(7) to Modify the Parameters for Releasing IPO Securities for Trading Pursuant to the IPO Halt Cross under NASDAQ Rule 4753
Comments due: July 29, 2013

SR-NASDAQ-2013-091
34-69929 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Option Rebates to Add Liquidity
Comments due: July 31, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-090
34-69880 Jun. 27, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross ("Cross")
Comments due: July 24, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-089
34-69908 Jul. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: July 30, 2013

SR-NASDAQ-2013-088
34-69887 Jun. 28, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce the Fees Assessed Under NASDAQ Rule 7034 for Certain Co-location Services
Comments due: July 26, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-086
34-69801 Jun. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of an Initial Public Offering on NASDAQ
Comments due: July 16, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-085
34-69858 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend Rule 4630 to Remove a Restriction on a Member Acting as a Registered Market Maker in a Commodity-Related Security
Comments due: July 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-084
34-69844 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Third Party Market Data Delivered by NASDAQ
Comments due: July 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-083
34-69830 Jun. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate an Erroneous Reference to the Retired Automatic Quotation Refresh Functionality under Rule 4751(d)
Comments due: July 18, 2013

SR-NASDAQ-2013-082
34-69787 Jun. 18, 2013 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: July 15, 2013

SR-NASDAQ-2013-081
34-69758 Jun. 13, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Changes to NASDAQ's Pricing Incentive Programs and Schedule of Fees and Credits
Comments due: July 10, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-080
34-69700 Jun. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Fees for the MOPB Routing Option under Rule 7018(a)
Comments due: July 2, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-079
34-69944 Jul. 8, 2013 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the WisdomTree Global Corporate Bond Fund and the WisdomTree Emerging Markets Corporate Bond Fund
34-69657 May 29, 2013 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the WisdomTree Global Corporate Bond Fund and the WisdomTree Emerging Markets Corporate Bond Fund
Comments due: June 25, 2013

SR-NASDAQ-2013-078
34-69631 May 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Routing Option, MOPB, under Rule 4758(a)(1)(A)
Comments due: June 20, 2013

SR-NASDAQ-2013-077
34-69611 May 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4751(f)(15)
Comments due: June 14, 2013

SR-NASDAQ-2013-076
34-69712 Jun. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Clerical Correction to the Nasdaq Rulebook
Comments due: July 5, 2013

SR-NASDAQ-2013-075
34-69566 May 13, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Pilot Restrictions from NASDAQ's Qualified Market Maker and NBBO Setter Incentive Programs, and to Make Other Changes to NASDAQ's Schedule of Fees and Credits
Comments due: June 7, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-074
34-69559 May 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options and Non-Penny Pilot Options
Comments due: June 6, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-073
34-69563 May 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120 to Adopt a Modification in the Process for Initiating Trading of a Security that is the Subject of a Trading Halt or Pause on NASDAQ
Comments due: June 7, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-072
34-69536 May 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Fees Assessed Under Rule 7015(h)
Comments due: June 4, 2013

SR-NASDAQ-2013-071
34-69521 May 6, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend NASDAQ Rule 4763 (Short Sale Price Test Pursuant to Rule 201 of Regulation SHO)
Comments due: May 31, 2013

SR-NASDAQ-2013-070
34-69755 Jun. 13, 2013 Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit NASDAQ Options Market to Accept Inbound Options Orders from NASDAQ OMX BX, Inc.
34-69499 May 2, 2013 Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit NOM to Accept Inbound Options Orders from NASDAQ OMX BX, Inc.
Comments due: May 29, 2013

SR-NASDAQ-2013-069
34-69445 Apr. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Free Period for the Limit Up/Limit Down Band Lookup Add-On Service to TradeInfo under Rule 7015(f)
Comments due: May 21, 2013

SR-NASDAQ-2013-068
34-69454 Apr. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Rule Governing Modification of Orders in the Event of an Issuer Corporate Action Related to a Dividend, Payment or Distribution, and to Make Related Clarifications to Rule Text
Comments due: May 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-066
34-69444 Apr. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Up/Limit Down Band Lookup add-on Service to TradeInfo and Assess a Related Subscription Fee
Comments due: May 21, 2013

SR-NASDAQ-2013-064
34-69391 Apr. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 15, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-063
34-69376 Apr. 15, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: May 10, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-062
34-69321 Apr. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot and Non-Penny Pilot Options
Comments due: May 2, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-061
34-69322 Apr. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 4120
Comments due: May 2, 2013

SR-NASDAQ-2013-057
34-69308 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7018 to Establish Fees and Rebates in Connection with NASDAQ's Retail Price Improvement ("RPI") Program
Comments due: May 2, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-056
34-69271 Apr. 2, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Fee for use of FIX and OUCH Trading Ports for Testing
Comments due: April 29, 2013

SR-NASDAQ-2013-055
34-69250 Mar. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Deadline for Submission of Claims under NASDAQ Rule 4626(b)(3)
Comments due: April 24, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-053
34-69245 Mar. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: April 23, 2013
Comments received are available for this proposal.

SR-NASDAQ-2013-051
34-69231 Mar. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 23, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-050
34-69211 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Assess a Fee for use of FIX and OUCH Trading Ports for Testing
Comments due: April 18, 2013

SR-NASDAQ-2013-049
34-69236 Mar. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates for Mini Options
Comments due: April 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-048
34-69341 Apr. 8, 2013 Order Granting Accelerated Approval of a Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
34-69142 Mar. 15, 2013 Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3 Subparagraph (d)(iv) Regarding Obvious Error or Catastrophic Error Review
Comments due: April 4, 2013
Comments received are available for this proposal.

SR-NASDAQ-2013-047
34-69152 Mar. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Security
Comments due: April 15, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-046
34-69180 Mar. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of SPY Position Limits
Comments due: April 15, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2012-045
34-69217 Mar. 22, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 4120
Comments due: April 18, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-043
34-69333 Apr. 5, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
34-69069 Mar. 7, 2013 Notice of Filing of Proposed Rule Change to Adopt Chapter V, Section 3(d)(iii) Regarding Quoting Obligations
Comments due: March 28, 2013

SR-NASDAQ-2013-042
34-69133 Mar. 14, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: April 10, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-041
34-69132 Mar. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot and Non-Penny Pilot Options
Comments due: April 9, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-040
34-69120 Mar. 12, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Chapter V, Section 3(d) and (e)
Comments due: April 8, 2013

SR-NASDAQ-2013-039
34-69058 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Replace the Current Mid-Point Test Applied to the Definition of Theoretical Price
Comments due: April 3, 2013

SR-NASDAQ-2013-038
34-69055 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fee Schedule Governing Order Routing
Comments due: April 3, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-037
34-69108 Mar. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Maximum Time Afforded to a Market Maker to Meet its Market Making Obligations Upon Rejoining the Market After an Excused Withdrawal Under Rule 4619
Comments due: April 5, 2013

SR-NASDAQ-2013-036
34-69464 Apr. 26, 2013 Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV
34-69072 Mar. 7, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV
Comments due: April 3, 2013

SR-NASDAQ-2013-035
34-69028 Mar. 4, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Assess a Fee for the Limit Locator Service
Comments due: March 29, 2013

SR-NASDAQ-2013-034
34-69006 Feb. 28, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 28, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-033
34-69151 Mar. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pre-Market Hours of the Exchange to 4:00 a.m. EST
Comments due: April 11, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-032
34-69792 Jun. 18, 2013 Notice of Withdrawal of Proposed Rule Change to Require that Listed Companies Have an Internal Audit Function
34-69402 Apr. 18, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require That Listed Companies Have an Internal Audit Function
34-69030 Mar. 4, 2013 Notice of Filing of Proposed Rule Change to Require that Listed Companies Have an Internal Audit Function
Comments due: March 29, 2013
Comments received are available for this proposal.

SR-NASDAQ-2013-031
34-69719 Jun. 7, 2013 Order Granting Approval to Proposed Rule Change to Amend the Attestation Requirement of Rule 4780 to Allow a Retail Member Organization to Attest that "Substantially All" Orders Submitted to the Retail Price Improvement Program Will Qualify as "Retail Orders"
34-69450 Apr. 25, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the Attestation Requirement of Rule 4780 to Allow a Retail Member Organization to Attest that "Substantially All" Orders Submitted to the Retail Price Improvement Program Will Qualify as "Retail Orders"
34-69039 Mar. 5, 2013 Notice of Filing of Proposed Rule Change to Amend the Attestation Requirement of Rule 4780 to Allow a Retail Member Organization to Attest that "Substantially All" Orders Submitted to the Retail Price Improvement Program Will Qualify as "Retail Orders"
Comments due: April 1, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2013-029
34-68976 Feb. 25, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Routing Fees To C2
Comments due: March 22, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-028
34-69233 Mar. 25, 2013 Order Approving a Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit NASDAQ to Accept Inbound Orders Routed by NASDAQ Execution Services LLC from the BX Equities Market and PSX
34-68891 Feb. 8, 2013 Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit Inbound Orders Routed by Nasdaq Execution Services LLC from the NASDAQ OMX BX Equities Market and NASDAQ OMX PSX
Comments due: March 7, 2013

SR-NASDAQ-2013-027
34-68899 Feb. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: March 8, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-026
34-68917 Feb. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: March 13, 2013

SR-NASDAQ-2013-025
34-68911 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates to Add Liquidity in Penny Pilot Options
Comments due: March 12, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-024
34-68913 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Measure Used to Determine Whether the Price of a Stock is Equal To or Greater Than One Dollar Under Rule 4120(a)(11)
Comments due: March 12, 2013

SR-NASDAQ-2013-023
34-68905 Feb. 12, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: March 12, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-022
34-68819 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program Related to Rule 11890, entitled "Clearly Erroneous Transactions"
Comments due: March 1, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-021
34-68786 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to delay the operative date of a rule change to NASDAQ Rule 4121
Comments due: February 27, 2013

SR-NASDAQ-2013-020
34-68841 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Locator Service Offered at No Cost to Subscribing Members
Comments due: March 5, 2013

SR-NASDAQ-2013-017
34-68850 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Restore Certain Requirements that Were Inadvertently Deleted from Rule 5815 Relating to a Staff Delisting Determination, Public Reprimand Letter, or Written Denial of a Listing Application
Comments due: March 7, 2013

SR-NASDAQ-2013-016
34-68847 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the Purpose of Amending Rule 7014(g)
Comments due: March 5, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-015
34-68799 Feb. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Rule 4120
Comments due: February 28, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-014
34-68839 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Routing Functionality to the NASDAQ System
Comments due: March 5, 2013
Comments received are available for this proposal.

SR-NASDAQ-2013-012
34-68762 Jan. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4756 and Rule 4763 Regarding Modification of Previously Entered Orders
Comments due: February 25, 2013

SR-NASDAQ-2013-013
34-68761 Jan. 29, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Chapter XV, Section 2 of the Rules Governing the NASDAQ Options Market, NASDAQ's Facility for Executing and Routing Standardized Equity and Index Options
Comments due: February 26, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-011
34-68720 Jan. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: February 20, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-010
34-68718 Jan. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 20, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-009
34-68636 Jan. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Optional Historical Research and Administrative Report Fee and Related NASDAQ Rule 7022 Revisions
Comments due: February 7, 2013

SR-NASDAQ-2013-008
34-68721 Jan. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5710
Comments due: February 20, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-007
34-68654 Jan. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operative Date of Recent Changes Made to Rules 4613(a)(2)(F) and (G), and Rule 4751(f)(15)
Comments due: February 12, 2013

SR-NASDAQ-2013-005
34-68617 Jan. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Latency Optics add-on Service to QView
Comments due: February 6, 2013

SR-NASDAQ-2013-004
34-68676 Jan. 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees For Review of Delisting Determinations and Appeal of Panel Decisions
Comments due: February 13, 2013

SR-NASDAQ-2013-003
34-68677 Jan. 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase the Record-Keeping and Substitution Listing Fees Payable by Companies Listed on Nasdaq
Comments due: February 13, 2013

SR-NASDAQ-2013-002
34-68624 Jan. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Co-location Services
Comments due: February 7, 2013
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-001
34-68609 Jan. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 5, 2013
Additional Materials:  Exhibit 5

 

http://www.sec.gov/rules/sro/nasdaq/nasdaqarchive/nasdaqarchive2013.shtml


Modified: 05/13/2014