The Nasdaq Stock Market LLC (NASDAQ) Rulemaking
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
First Quarter
Nasdaq File Number List for 2019
Additional Archives
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| First Quarter | ||
| SR-NASDAQ-2019-001 | ||
| 34-85156 | Feb. 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Listing Standards for Direct Listings and Clarify Related Rules
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-007 | ||
| 34-85153 | Feb. 15, 2019 | Notice of Filing of Proposed Rule Change to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2019-003 | ||
| 34-85132 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations for Purposes of Determining Tiered Pricing
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-006 | ||
| 34-85124 | Feb. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-004 | ||
| 34-85113 | Feb. 12, 2019 | Notice of Filing of Proposed Rule Change to Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-005 | ||
| 34-85111 | Feb. 12, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules of the Rule 7000A Series Concerning the Order Audit Trail System
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-111 | ||
| 34-85039 | Feb. 1, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a) of the Rules
Comments due: February 22, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-080 | ||
| 34-85022 | Jan. 31, 2019 | Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3, to List and Trade Shares of the BrandywineGLOBAL - Global Total Return ETF
Comments due: February 27, 2019 |
| SR-NASDAQ-2018-079 | ||
| 34-85000 | Jan. 29, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Nasdaq Rules 5705 and 5710 to Adopt a Disclosure Requirement for Certain Securities |
Nasdaq File Number List for 2019
| Release No. | Date | Details |
|---|---|---|
| SR-NASDAQ-2019-007 | ||
| 34-85153 | Feb. 15, 2019 | Notice of Filing of Proposed Rule Change to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2019-006 | ||
| 34-85124 | Feb. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-005 | ||
| 34-85111 | Feb. 12, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules of the Rule 7000A Series Concerning the Order Audit Trail System
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-004 | ||
| 34-85113 | Feb. 12, 2019 | Notice of Filing of Proposed Rule Change to Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-003 | ||
| 34-85132 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations for Purposes of Determining Tiered Pricing
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-001 | ||
| 34-85156 | Feb. 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Listing Standards for Direct Listings and Clarify Related Rules
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |