Nasdaq ISE Rulemaking: 2021

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Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Nasdaq ISE File Number List for 2021

Additional Archives

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