Nasdaq ISE Rulemaking
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Chronological List
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Second Quarter |
First Quarter
Nasdaq ISE File Number List for 2021
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Chronological List for 2021
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-ISE-2021-08 | ||
| 34-93814 | Dec. 17, 2021 | Notice of Withdrawal of Proposed Rule Changes to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Additional File Nos.: SR-BX-2021-018, SR-C2-2021-008, SR-CBOE-2021-030, SR-CboeBYX-2021-011, SR-CboeBZX-2021-034, SR-CboeEDGA-2021-010, SR-CboeEDGX-2021-024, SR-GEMX-2021-03, SR-MRX-2021-05, SR-NASDAQ-2021-029, SR-Phlx-2021-25 |
| SR-ISE-2021-26 | ||
| 34-93777 | Dec. 14, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Pricing Schedule at Options 7, Section 1, General Provisions
Comments due: January 10, 2022 Additional Materials: Exhibit 5 |
| SR-ISE-2021-25 | ||
| 34-93658 | Nov. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Position Limits for Options on Certain Exchange-Traded Funds
Comments due: December 21, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-24 | ||
| 34-93582 | Nov. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Fees
Comments due: December 13, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-23 | ||
| 34-93449 | Oct. 28, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Nonstandard Expirations Pilot Program
Comments due: November 24, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-22 | ||
| 34-93448 | Oct. 28, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to Permit the Listing and Trading of Options on the Nasdaq 100 Reduced Value Index
Comments due: November 24, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-08 | ||
| 34-93437 | Oct. 27, 2021 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Additional File Nos.: SR-BX-2021-018, SR-C2-2021-008, SR-CBOE-2021-030, SR-CboeBYX-2021-011, SR-CboeBZX-2021-034, SR-CboeEDGA-2021-010, SR-CboeEDGX-2021-024, SR-GEMX-2021-03, SR-MRX-2021-05, SR-NASDAQ-2021-029, SR-Phlx-2021-25 |
| SR-ISE-2021-21 | ||
| 34-93314 | Oct. 14, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Options 7, Section 6.A to Modify the QCC and Solicitation Rebate Program
Comments due: November 10, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-20 | ||
| 34-93246 | Oct. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF
Comments due: October 29, 2021 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-ISE-2021-19 | ||
| 34-93017 | Sep. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 17, to Decommission the Exchange's Quote Removal Kill Switch Functionality
Comments due: October 13, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-16 | ||
| 34-92577 | Aug. 5, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Options Regulatory Fee
Comments due: September 1, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-ISE-2021-17 | ||
| 34-92494 | Jul. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Opening Process
Comments due: August 20, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-15 | ||
| 34-92394 | Jul. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 2, Section 5, Market Maker Quotations
Comments due: August 9, 2021 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-ISE-2021-14 | ||
| 34-92226 | Jun. 22, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 2, Section 4 (Obligations of Market Makers), Options 4, Section 3 (Criteria for Underlying Securities), Options 4, Section 8 (Long-Term Options Contracts), and Options 4A, Section 12 (Terms of Index Options Contracts)
Comments due: July 19, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-08 | ||
| 34-92207 | Jun. 17, 2021 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: July 15, 2021 Rebuttal comments due: July 29, 2021 Additional File Nos.: SR-BX-2021-018, SR-C2-2021-008, SR-CBOE-2021-030, SR-CboeBYX-2021-011, SR-CboeBZX-2021-034, SR-CboeEDGA-2021-010, SR-CboeEDGX-2021-024, SR-GEMX-2021-03, SR-MRX-2021-05, SR-NASDAQ-2021-029, SR-Phlx-2021-25 |
| SR-ISE-2021-13 | ||
| 34-92190 | Jun. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Pricing Schedule at Options 7, Section 3, "Regular Order Fees and Rebates" and Section 4, "Complex Order Fees and Rebates"
Comments due: July 14, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-11 | ||
| 34-91976 | May 24, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Pricing Schedule at Options 7, Section 5, for NQX Index Options Fees and Rebates for Regular and Complex Orders
Comments due: June 18, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-09 | ||
| 34-91930 | May 18, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 4, Section 5, "Series of Options Contracts Open for Trading" to Limit Short Term Options Series Intervals Between Strikes
Comments due: June 14, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-08 | ||
| 34-91755 | May 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 1, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-07 | ||
| 34-91654 | Apr. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust
Comments due: May 20, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-06 | ||
| 34-91486 | Apr. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Nonstandard Expirations Pilot Program
Comments due: May 3, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-05 | ||
| 34-91485 | Apr. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to Permit the Listing and Trading of Options Based on 1/5 the Value of the Nasdaq-100 Index
Comments due: May 3, 2021 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-ISE-2021-04 | ||
| 34-91420 | Mar. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Pricing Schedule at Options 7, Section 9, Part C to Reduce the Options Regulatory Fee
Comments due: April 22, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-03 | ||
| 34-91295 | Mar. 10, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Options 7, Section 3
Comments due: April 6, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-01 | ||
| 34-91223 | Feb. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Rules in Options 3 and Options 5
Comments due: March 25, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2020-43 | ||
| 34-90903 | Jan. 12, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange Membership Rules and Incorporate by Reference the Membership Rules of The Nasdaq Stock Market LLC
Comments due: February 9, 2021 Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 5 |
File Number List for 2021
| Release No. | Date | Details |
|---|---|---|
| SR-ISE-2021-26 | ||
| 34-93777 | Dec. 14, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Pricing Schedule at Options 7, Section 1, General Provisions
Comments due: January 10, 2022 Additional Materials: Exhibit 5 |
| SR-ISE-2021-25 | ||
| 34-93658 | Nov. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Position Limits for Options on Certain Exchange-Traded Funds
Comments due: December 21, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-24 | ||
| 34-93582 | Nov. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Fees
Comments due: December 13, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-23 | ||
| 34-93449 | Oct. 28, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Nonstandard Expirations Pilot Program
Comments due: November 24, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-22 | ||
| 34-93448 | Oct. 28, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to Permit the Listing and Trading of Options on the Nasdaq 100 Reduced Value Index
Comments due: November 24, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-21 | ||
| 34-93314 | Oct. 14, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Options 7, Section 6.A to Modify the QCC and Solicitation Rebate Program
Comments due: November 10, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-20 | ||
| 34-93246 | Oct. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF
Comments due: October 29, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-19 | ||
| 34-93017 | Sep. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 17, to Decommission the Exchange's Quote Removal Kill Switch Functionality
Comments due: October 13, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-17 | ||
| 34-92494 | Jul. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Opening Process
Comments due: August 20, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-16 | ||
| 34-92577 | Aug. 5, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Options Regulatory Fee
Comments due: September 1, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-ISE-2021-15 | ||
| 34-92394 | Jul. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 2, Section 5, Market Maker Quotations
Comments due: August 9, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-14 | ||
| 34-92226 | Jun. 22, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 2, Section 4 (Obligations of Market Makers), Options 4, Section 3 (Criteria for Underlying Securities), Options 4, Section 8 (Long-Term Options Contracts), and Options 4A, Section 12 (Terms of Index Options Contracts)
Comments due: July 19, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-13 | ||
| 34-92190 | Jun. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Pricing Schedule at Options 7, Section 3, "Regular Order Fees and Rebates" and Section 4, "Complex Order Fees and Rebates"
Comments due: July 14, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-11 | ||
| 34-91976 | May 24, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Pricing Schedule at Options 7, Section 5, for NQX Index Options Fees and Rebates for Regular and Complex Orders
Comments due: June 18, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-09 | ||
| 34-91930 | May 18, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 4, Section 5, "Series of Options Contracts Open for Trading" to Limit Short Term Options Series Intervals Between Strikes
Comments due: June 14, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-08 | ||
| 34-93814 | Dec. 17, 2021 | Notice of Withdrawal of Proposed Rule Changes to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Additional File Nos.: SR-BX-2021-018, SR-C2-2021-008, SR-CBOE-2021-030, SR-CboeBYX-2021-011, SR-CboeBZX-2021-034, SR-CboeEDGA-2021-010, SR-CboeEDGX-2021-024, SR-GEMX-2021-03, SR-MRX-2021-05, SR-NASDAQ-2021-029, SR-Phlx-2021-25 |
| 34-93437 | Oct. 27, 2021 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Additional File Nos.: SR-BX-2021-018, SR-C2-2021-008, SR-CBOE-2021-030, SR-CboeBYX-2021-011, SR-CboeBZX-2021-034, SR-CboeEDGA-2021-010, SR-CboeEDGX-2021-024, SR-GEMX-2021-03, SR-MRX-2021-05, SR-NASDAQ-2021-029, SR-Phlx-2021-25 |
| 34-92207 | Jun. 17, 2021 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: July 15, 2021 Rebuttal comments due: July 29, 2021 Additional File Nos.: SR-BX-2021-018, SR-C2-2021-008, SR-CBOE-2021-030, SR-CboeBYX-2021-011, SR-CboeBZX-2021-034, SR-CboeEDGA-2021-010, SR-CboeEDGX-2021-024, SR-GEMX-2021-03, SR-MRX-2021-05, SR-NASDAQ-2021-029, SR-Phlx-2021-25 |
| 34-91755 | May 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 1, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-07 | ||
| 34-91654 | Apr. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust
Comments due: May 20, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-06 | ||
| 34-91486 | Apr. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Nonstandard Expirations Pilot Program
Comments due: May 3, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-05 | ||
| 34-91485 | Apr. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to Permit the Listing and Trading of Options Based on 1/5 the Value of the Nasdaq-100 Index
Comments due: May 3, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-04 | ||
| 34-91420 | Mar. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE's Pricing Schedule at Options 7, Section 9, Part C to Reduce the Options Regulatory Fee
Comments due: April 22, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-03 | ||
| 34-91295 | Mar. 10, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Options 7, Section 3
Comments due: April 6, 2021 Additional Materials: Exhibit 5 |
| SR-ISE-2021-01 | ||
| 34-91223 | Feb. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Rules in Options 3 and Options 5
Comments due: March 25, 2021 Additional Materials: Exhibit 5 |