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
Third Quarter |  Second Quarter | First Quarter

NASDAQ File Number List for 2017

Additional Archives


Chronological List for 2017

Release No. Date Details
Third Quarter
SR-NASDAQ-2017-091
34-81591 Sep. 13, 2017 Notice of Filing of Proposed Rule Change to List and Trade Shares of Calvert Ultra-Short Income NextShares™
Comments due: October 10, 2017
Comments received are available for this proposal.
SR-NASDAQ-2017-088
34-81579 Sep. 12, 2017 Notice of Filing of Proposed Rule Change to Amend Rule 4703(a) to Allow Members to Designate when an Order with a RTFY or SCAN Routing Order Attribute will be Activated
Comments due: October 10, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-090
34-81574 Sep. 11, 2017 Notice of Filing of Proposed Rule Change to List and Trade Shares of the Eaton Vance Oaktree Diversified Credit NextShares™
Comments due: October 6, 2017
SR-NASDAQ-2017-061
34-81556 Sep. 8, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 4702 and 4754 Relating to the Nasdaq Closing Cross and to Make Other Related Changes
Comments due: October 5, 2017
See also: Notice: Rel. No. 34-81188
SR-NASDAQ-2017-055
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-80813
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
SR-NASDAQ-2017-059
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80952
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31
SR-NASDAQ-2017-085
34-81493 Aug. 29, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4752(d)(2)(F)(i)
Comments due: September 26, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-083
34-81479 Aug. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2 Entitled "NASDAQ Options Market - Fees and Rebates"
Comments due: September 20, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-084
34-81446 Aug. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Application of Rule 11140 in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
Comments due: September 15, 2017
SR-NASDAQ-2017-081
34-81406 Aug. 16, 2017 Notice of Filing of a Proposed Rule Change to Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810
Comments due: September 12, 2017
SR-NASDAQ-2017-082
34-81390 Aug. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify When Nasdaq Will Utilize the Secondary Source of Data
Comments due: September 8, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-080
34-81361 Aug. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees
Comments due: September 5, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-079
34-81360 Aug. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy Program
Comments due: September 5, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-068
34-81344 Aug. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The NASDAQ Options Market LLC Rules Regarding the Options Regulatory Fee
Comments due: September 5, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-078
34-81323 Aug. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2017-074
34-81311 Aug. 3, 2017 Notice of Filing of Proposed Rule Change to Adopt the Midpoint Extended Life Order
Comments due: August 30, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-038
34-81265 Jul. 31, 2017 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Relating to the First Trust Municipal High Income ETF
Comments due: August 25, 2017
SR-NASDAQ-2017-077
34-81256 Jul. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter the Exchange's Fee Schedule for the Short Interest Report
Comments due: August 24, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-075
34-81250 Jul. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of the TotalView and OpenView Depth-of-Book Products
Comments due: August 23, 2017
SR-NASDAQ-2017-073
34-81245 Jul. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Market Rules at Chapter IV, Section 6
Comments due: August 23, 2017
SR-NASDAQ-2017-061
34-81188 Jul. 21, 2017 Notice of Filing of Proposed Rule Change to Amend Exchange Rules 4702 and 4754 to Enhance the Nasdaq Closing Cross
Comments due: August 17, 2017
Additional Materials: Exhibit 5
See also:  Notice: Rel. No. 34-81556
Comments received are available for this proposal.
SR-NASDAQ-2017-070
34-81182 Jul. 20, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Qualification Criteria Under the Qualified Market Maker Program at Rule 7014
Comments due: August 16, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-069
34-81171 Jul. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance Anti-Internalization Functionality
Comments due: August 15, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-059
34-81167 Jul. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9
See also:  Order: Rel. No. 34-81500, Notice: Rel. No. 34-80952
SR-NASDAQ-2017-055
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-80813, Notice: Rel. No. 34-81499
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
SR-NASDAQ-2017-065
34-81133 Jul. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Trading Rights Fee
Comments due: August 8, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-038
34-81123 Jul. 11, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Municipal High Income ETF
See also: Notice: Rel. No. 34-80802, Notice: Rel. No. 34-81265
SR-NASDAQ-2017-067
34-81121 Jul. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Customer and Professional Penny Pilot Options Tier 8 Rebate to Add Liquidity
Comments due: August 7, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-062
34-81120 Jul. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5705(b) to Provide for the Inclusion of Cash in an Index or Portfolio Underlying a Series of Index Fund Shares
Comments due: August 7, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2016-161
34-81097 Jul. 7, 2017 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757
See also: Notice: Rel. No. 34-80149, Notice: Rel. No. 34-79810, Notice: Rel. No. 34-79428
SR-NASDAQ-2017-063
34-81090 Jul. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the SPY Pilot Program
Comments due: August 3, 2017
Additional Materials: Exhibit 3, Exhibit 5
Second Quarter
SR-NASDAQ-2017-046
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
See also: Notice: Rel. No. 34-80696 
Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
SR-NASDAQ-2017-060
34-80997 Jun. 22, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7014(j)
Comments due: July 19, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-058
34-80994 Jun. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks
Comments due: July 18, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-059
34-80952 Jun. 16, 2017 Notice of Filing of a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9
Comments due: July 13, 2017
Additional Materials: Exhibit 5
See also:  Order: Rel. No. 34-81500, Notice: Rel. No. 34-81167
Comments received are available for this proposal.
SR-NASDAQ-2017-039
34-80946 Jun. 15, 2017 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Guggenheim Limited Duration ETF
Comments due: July 11, 2017
See also: Notice: Rel. No. 34-80540
SR-NASDAQ-2017-056
34-80928 Jun. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018(a)(2)
Comments due: July 11, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-054
34-80891 Jun. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Merge the OpenView Depth-of-Book Product into TotalView
Comments due: July 5, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-053
34-80888 Jun. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5110(c) to Permit a Reverse Merger Company to Qualify for Initial Listing Under Any Applicable Listing Standard After Satisfying the Required Seasoning Period
Comments due: July 5, 2017
SR-NASDAQ-2017-051
34-80856 Jun. 5, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7046
Comments due: June 30, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-015
34-80852 Jun. 2, 2017 Notice of Withdrawal of Proposed Rule Change to Adopt Rule 7017
See also: Notice: Rel. No. 34-80120, Notice: Rel. No. 34-80465
SR-NASDAQ-2017-055
34-80813 May 30, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 26, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81145, Notice: Rel. No. 34-81499
Comments received are available for this proposal.
SR-NASDAQ-2017-052
34-80810 May 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5735
Comments due: June 27, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-038
34-80802 May 26, 2017 Notice of Filing of Proposed Rule Change Relating to the First Trust Municipal High Income ETF
Comments due: June 23, 2017
See also: Notice: Rel. No. 34-81123, Notice: Rel. No. 34-81265
Comments received are available for this proposal.
SR-NASDAQ-2017-049
34-80756 May 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: June 21, 2017
SR-NASDAQ-2017-033
34-80745 May 23, 2017 Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of the First Trust California Municipal High Income ETF
See also: Notice: Rel. No. 34-80369
SR-NASDAQ-2017-040
34-80708 May 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Continued Listing Standards for Exchange-Traded Products
Comments due: June 13, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-046
34-80696 May 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7004 and Chapter XV, Section 14
Comments due: June 12, 2017
Additional Materials: Exhibit 3, Exhibit 5
See also: Order: Rel. No. 34-81067
Comments received are available for this proposal.
SR-NASDAQ-2017-044
34-80655 May 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4770 to Modify the Date of Appendix B Website Data Publication
Comments due: June 7, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-043
34-80630 May 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702 (Order Types)
Comments due: June 5, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-029
34-80614 May 5, 2017 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2, 3, and 4, to List and Trade Shares of the Gabelli Small Cap Growth Fund and the Gabelli RBI Fund Under Nasdaq Rule 5745
See also: Notice: Rel. No. 34-80315
SR-NASDAQ-2017-042
34-80593 May 4, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702 (Order Types) and Rule 4703 (Order Attributes)
Comments due: May 31, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-025
34-80591 May 4, 2017 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 3 and 4, to List and Trade Shares of the Hartford Global Impact NextShares™ Fund Under Nasdaq Rule 5745
See also: Notice: Rel. No. 34-80237
SR-NASDAQ-2017-041
34-80585 May 3, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7047
Comments due: May 30, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2016-120
34-80558 Apr. 28, 2017 Notice of Filing of Amendments No. 1, 2, 3, 4, and 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, to Establish the Third Party Connectivity Service
Comments due: May 25, 2017
SR-NASDAQ-2017-039
34-80540 Apr. 27, 2017 Notice of Filing of Proposed Rule Change to List and Trade the Guggenheim Limited Duration ETF
Comments due: May 24, 2017
Comments received are available for this proposal.
SR-NASDAQ-2017-037
34-80487 Apr. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees at Rule 7030(d)(3)
Comments due: May 16, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-015
34-80465 Apr. 17, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 7017
See also: Notice: Rel. No. 34-80852, Notice: Rel. No. 34-80120
SR-NASDAQ-2017-035
34-80437 Apr. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(f) to Amend the Designated Liquidity Provider Program
Comments due: May 9, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-031
34-80425 Apr. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 (Order Attributes), Rule 4752 (Opening Process), Rule 4753 (Nasdaq Halt Cross) and Rule 4754 (Nasdaq Closing Cross)
Comments due: May 8, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-034
34-80391 Apr. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Functionality Relating to Midpoint Peg Post-Only Orders and Orders with Midpoint Pegging
Comments due: May 3, 2017
SR-NASDAQ-2017-030
34-80380 Apr. 5, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Fees for Certain Connectivity under Rule 7015(g)(1) and Rule 7034(b)
Comments due: May 2, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-033
34-80369 Apr. 4, 2017 Notice of Filing of Proposed Rule Change to List and Trade the Shares of the First Trust California Municipal High Income ETF
Comments due: May 1, 2017
See also: Order: Rel. No. 34-80745
Comments received are available for this proposal.
First Quarter
SR-NASDAQ-2017-032
34-80348 Mar. 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5710
Comments due: April 26, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-029
34-80315 Mar. 27, 2017 Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds
Comments due: April 21, 2017
See also: Order: Rel. No. 34-80614
Comments received are available for this proposal.
SR-NASDAQ-2017-008
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79935
Additional File Nos.:  SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03
SR-NASDAQ-2017-025
34-80237 Mar. 14, 2017 Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds
Comments due: April 10, 2017
See also: Order: Rel. No. 34-80591
Comments received are available for this proposal.
SR-NASDAQ-2017-024
34-80229 Mar. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Collection Requirements in Rule 4470
Comments due: April 7, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-021
34-80217 Mar. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter X, Section 7(a) of the Exchange's Options Rules
Comments due: April 6, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-028
34-80216 Mar. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 and Rule 4753
Comments due: April 6, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-023
34-80210 Mar. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Continued Listing Requirements for Exchange-Traded Products
Comments due: April 6, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-026
34-80192 Mar. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a) to Adopt Two Credits
Comments due: April 5, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-022
34-80153 Mar. 3, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services
Comments due: March 30, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2016-161
34-80149 Mar. 3, 2017 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757
Comments due: April 13, 2017
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Order: Rel. No. 34-81097, Notice: Rel. No. 34-79810, Notice: Rel. No. 34-79428
SR-NASDAQ-2017-015
34-80120 Feb. 28, 2017 Notice of Filing of Proposed Rule Change to Adopt Rule 7017
Comments due: March 27, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-80852, Notice: Rel. No. 34-80465
SR-NASDAQ-2017-020
34-80107 Feb. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VII, Section 6 of the Options Rules Relating to Market Maker Quotations
Comments due: March 23, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2016-120
34-80098 Feb. 24, 2017 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Rules 7034 and 7051 to Establish the Third Party Connectivity Service
See also: Notice: Rel. No. 34-79431, Notice: Rel. No. 34-79049, Notice: Rel. No. 34-78713, Notice: Rel. No. 34-80558
SR-NASDAQ-2017-017
34-80088 Feb. 22, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Port-Related Fees at Rules 7015 and 7016(b) to Eliminate Prorated Billing
Comments due: March 21, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-016
34-80051 Feb. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: March 15, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-013
34-80045 Feb. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of its Functionality Relating to Post-Only Orders and Orders with Midpoint Pegging, and its Trade-Now Functionality
Comments due: March 15, 2017
SR-NASDAQ-2017-007
34-80015 Feb. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Data Fees at Rule 7026
Comments due: March 9, 2017
SR-NASDAQ-2016-183
34-80013 Feb. 10, 2017 Order Granting Approval of a Proposed Rule Change to Conform to Proposed Amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to Shorten the Standard Settlement Cycle from Three Business Days after the Trade Date to Two Business Days after the Trade Date
See also: Notice: Rel. No. 34-79687
SR-NASDAQ-2016-169
34-79996 Feb. 9, 2017 Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1s, To Accept Orders Routed Inbound from the International Stock Exchange, LLC, ISE Gemini, LLC, and ISE Mercury, LLC, by Nasdaq Execution Services, LLC
Additional File Nos.: SR-BX-2016-068, SR-Phlx-2016-120
See also: Notice: Rel. No. 34-79662, Notice: Rel. No. 34-79661, Notice: Rel. No. 34-79660
SR-NASDAQ-2017-008
34-79935 Feb. 2, 2017 Notice of Filing of Proposed Rule Change to Adopt Rules Regarding the CAT NMS Plan
Comments due: March 1, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80256
Comments received are available for this proposal.
SR-NASDAQ-2016-131
34-79876 Jan. 25, 2017 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility
See also: Notice: Rel. No. 34-79551, Notice: Rel. No. 34-79158
SR-NASDAQ-2016-141
34-79874 Jan. 25, 2017 Notice of Withdrawal of a Proposed Rule Change to Amend Rule 4702 to Adopt a New Retail Post-Only Order
See also:  Notice: Rel. No. 34-79554, Notice: Rel. No. 34-79163
SR-NASDAQ-2017-004
34-79863 Jan. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Data Fees at Rule 7023
Comments due: February 17, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-003
34-79862 Jan. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Gabelli All Cap NextShares of the Gabelli NextShares Trust
Comments due: February 17, 2017
SR-NASDAQ-2017-005
34-79849 Jan. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Fees at Rule 7015(h) Assessed for VTE Terminal Connectivity
Comments due: February 16, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-001
34-79809 Jan. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees to Implement New Incentive
Comments due:  February 14, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2016-161
34-79810 Jan. 17, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757
See also: Order: Rel. No. 34-81097, Notice: Rel. No. 34-80149, Notice: Rel. No. 34-79428
SR-NASDAQ-2017-002
34-79791 Jan. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018
Comments due:  February 13, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2016-135
34-79784 Jan. 12, 2017 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Relating to Continued Listing Requirements for Exchange-Traded Products
Comments due:  February 9, 2017
See also: Notice: Rel. No. 34-79399, Notice: Rel. No. 34-79081
Comments received are available for this proposal.
SR-NASDAQ-2016-173
34-79770 Jan. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the All-Inclusive Annual Listing Fee for Limited Partnerships Listed on Nasdaq
Comments due: February 7, 2017

NASDAQ File Number List for 2017

Release No. Date Details
SR-NASDAQ-2017-091
34-81591 Sep. 13, 2017 Notice of Filing of Proposed Rule Change to List and Trade Shares of Calvert Ultra-Short Income NextShares™
Comments due: October 10, 2017
Comments received are available for this proposal.
SR-NASDAQ-2017-090
34-81574 Sep. 11, 2017 Notice of Filing of Proposed Rule Change to List and Trade Shares of the Eaton Vance Oaktree Diversified Credit NextShares™
Comments due: October 6, 2017
SR-NASDAQ-2017-088
34-81579 Sep. 12, 2017 Notice of Filing of Proposed Rule Change to Amend Rule 4703(a) to Allow Members to Designate when an Order with a RTFY or SCAN Routing Order Attribute will be Activated
Comments due: October 10, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-085
34-81493 Aug. 29, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4752(d)(2)(F)(i)
Comments due: September 26, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-084
34-81446 Aug. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Application of Rule 11140 in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
Comments due: September 15, 2017
SR-NASDAQ-2017-083
34-81479 Aug. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2 Entitled "NASDAQ Options Market - Fees and Rebates"
Comments due: September 20, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-082
34-81390 Aug. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify When Nasdaq Will Utilize the Secondary Source of Data
Comments due: September 8, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-081
34-81406 Aug. 16, 2017 Notice of Filing of a Proposed Rule Change to Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810
Comments due: September 12, 2017
SR-NASDAQ-2017-080
34-81361 Aug. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees
Comments due: September 5, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-079
34-81360 Aug. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy Program
Comments due: September 5, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-078
34-81323 Aug. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2017-077
34-81256 Jul. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter the Exchange's Fee Schedule for the Short Interest Report
Comments due: August 24, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-075
34-81250 Jul. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of the TotalView and OpenView Depth-of-Book Products
Comments due: August 23, 2017
SR-NASDAQ-2017-074
34-81311 Aug. 3, 2017 Notice of Filing of Proposed Rule Change to Adopt the Midpoint Extended Life Order
Comments due: August 30, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-073
34-81245 Jul. 28, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Market Rules at Chapter IV, Section 6
Comments due: August 23, 2017
SR-NASDAQ-2017-070
34-81182 Jul. 20, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Qualification Criteria Under the Qualified Market Maker Program at Rule 7014
Comments due: August 16, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-069
34-81171 Jul. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance Anti-Internalization Functionality
Comments due: August 15, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-068
34-81344 Aug. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The NASDAQ Options Market LLC Rules Regarding the Options Regulatory Fee
Comments due: September 5, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-067
34-81121 Jul. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Customer and Professional Penny Pilot Options Tier 8 Rebate to Add Liquidity
Comments due: August 7, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-065
34-81133 Jul. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Trading Rights Fee
Comments due: August 8, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-063
34-81090 Jul. 7, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the SPY Pilot Program
Comments due: August 3, 2017
Additional Materials: Exhibit 3, Exhibit 5
SR-NASDAQ-2017-062
34-81120 Jul. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5705(b) to Provide for the Inclusion of Cash in an Index or Portfolio Underlying a Series of Index Fund Shares
Comments due: August 7, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-061
34-81556 Sep. 8, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 4702 and 4754 Relating to the Nasdaq Closing Cross and to Make Other Related Changes
Comments due: October 5, 2017
34-81188 Jul. 21, 2017 Notice of Filing of Proposed Rule Change to Amend Exchange Rules 4702 and 4754 to Enhance the Nasdaq Closing Cross
Comments due: August 17, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-060
34-80997 Jun. 22, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7014(j)
Comments due: July 19, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-059
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80952
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31
34-81167 Jul. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9
34-80952 Jun. 16, 2017 Notice of Filing of a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9
Comments due: July 13, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-058
34-80994 Jun. 21, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks
Comments due: July 18, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-056
34-80928 Jun. 14, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018(a)(2)
Comments due: July 11, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-055
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
34-80813 May 30, 2017 Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 26, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-054
34-80891 Jun. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Merge the OpenView Depth-of-Book Product into TotalView
Comments due: July 5, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-053
34-80888 Jun. 8, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5110(c) to Permit a Reverse Merger Company to Qualify for Initial Listing Under Any Applicable Listing Standard After Satisfying the Required Seasoning Period
Comments due: July 5, 2017
SR-NASDAQ-2017-052
34-80810 May 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5735
Comments due: June 27, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-051
34-80856 Jun. 5, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7046
Comments due: June 30, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-049
34-80756 May 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: June 21, 2017
SR-NASDAQ-2017-046
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
34-80696 May 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7004 and Chapter XV, Section 14
Comments due: June 12, 2017
Additional Materials: Exhibit 3, Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-044
34-80655 May 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4770 to Modify the Date of Appendix B Website Data Publication
Comments due: June 7, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-043
34-80630 May 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702 (Order Types)
Comments due: June 5, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-042
34-80593 May 4, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702 (Order Types) and Rule 4703 (Order Attributes)
Comments due: May 31, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-041
34-80585 May 3, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7047
Comments due: May 30, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-040
34-80708 May 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Continued Listing Standards for Exchange-Traded Products
Comments due: June 13, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-039
34-80946 Jun. 15, 2017 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Guggenheim Limited Duration ETF
Comments due: July 11, 2017
34-80540 Apr. 27, 2017 Notice of Filing of Proposed Rule Change to List and Trade the Guggenheim Limited Duration ETF
Comments due: May 24, 2017
Comments received are available for this proposal.
SR-NASDAQ-2017-038
34-81265 Jul. 31, 2017 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Relating to the First Trust Municipal High Income ETF
Comments due: August 25, 2017
34-81123 Jul. 11, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Municipal High Income ETF
34-80802 May 26, 2017 Notice of Filing of Proposed Rule Change Relating to the First Trust Municipal High Income ETF
Comments due: June 23, 2017
Comments received are available for this proposal.
SR-NASDAQ-2017-037
34-80487 Apr. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees at Rule 7030(d)(3)
Comments due: May 16, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-035
34-80437 Apr. 12, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(f) to Amend the Designated Liquidity Provider Program
Comments due: May 9, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-034
34-80391 Apr. 6, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Functionality Relating to Midpoint Peg Post-Only Orders and Orders with Midpoint Pegging
Comments due: May 3, 2017
SR-NASDAQ-2017-033
34-80745 May 23, 2017 Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of the First Trust California Municipal High Income ETF
34-80369 Apr. 4, 2017 Notice of Filing of Proposed Rule Change to List and Trade the Shares of the First Trust California Municipal High Income ETF
Comments due: May 1, 2017
Comments received are available for this proposal.
SR-NASDAQ-2017-032
34-80348 Mar. 30, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5710
Comments due: April 26, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-031
34-80425 Apr. 11, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 (Order Attributes), Rule 4752 (Opening Process), Rule 4753 (Nasdaq Halt Cross) and Rule 4754 (Nasdaq Closing Cross)
Comments due: May 8, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-030
34-80380 Apr. 5, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Fees for Certain Connectivity under Rule 7015(g)(1) and Rule 7034(b)
Comments due: May 2, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-029
34-80614 May 5, 2017 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2, 3, and 4, to List and Trade Shares of the Gabelli Small Cap Growth Fund and the Gabelli RBI Fund Under Nasdaq Rule 5745
34-80315 Mar. 27, 2017 Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds
Comments due: April 21, 2017
Comments received are available for this proposal.
SR-NASDAQ-2017-028
34-80216 Mar. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 and Rule 4753
Comments due: April 6, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-026
34-80192 Mar. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a) to Adopt Two Credits
Comments due: April 5, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-025
34-80591 May 4, 2017 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 3 and 4, to List and Trade Shares of the Hartford Global Impact NextShares™ Fund Under Nasdaq Rule 5745
34-80237 Mar. 14, 2017 Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds
Comments due: April 10, 2017
Comments received are available for this proposal.
SR-NASDAQ-2017-024
34-80229 Mar. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Collection Requirements in Rule 4470
Comments due: April 7, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-023
34-80210 Mar. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Continued Listing Requirements for Exchange-Traded Products
Comments due: April 6, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-022
34-80153 Mar. 3, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services
Comments due: March 30, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-021
34-80217 Mar. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter X, Section 7(a) of the Exchange's Options Rules
Comments due: April 6, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-020
34-80107 Feb. 24, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VII, Section 6 of the Options Rules Relating to Market Maker Quotations
Comments due: March 23, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-017
34-80088 Feb. 22, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Port-Related Fees at Rules 7015 and 7016(b) to Eliminate Prorated Billing
Comments due: March 21, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-016
34-80051 Feb. 16, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: March 15, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-015
34-80852 Jun. 2, 2017 Notice of Withdrawal of Proposed Rule Change to Adopt Rule 7017
34-80465 Apr. 17, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 7017
34-80120 Feb. 28, 2017 Notice of Filing of Proposed Rule Change to Adopt Rule 7017
Comments due: March 27, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-013
34-80045 Feb. 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of its Functionality Relating to Post-Only Orders and Orders with Midpoint Pegging, and its Trade-Now Functionality
Comments due: March 15, 2017
SR-NASDAQ-2017-008
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
Additional File Nos.:  SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03
34-79935 Feb. 2, 2017 Notice of Filing of Proposed Rule Change to Adopt Rules Regarding the CAT NMS Plan
Comments due: March 1, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-007
34-80015 Feb. 10, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Data Fees at Rule 7026
Comments due: March 9, 2017
SR-NASDAQ-2017-005
34-79849 Jan. 19, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Fees at Rule 7015(h) Assessed for VTE Terminal Connectivity
Comments due: February 16, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-004
34-79863 Jan. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Data Fees at Rule 7023
Comments due: February 17, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-003
34-79862 Jan. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Gabelli All Cap NextShares of the Gabelli NextShares Trust
Comments due: February 17, 2017
SR-NASDAQ-2017-002
34-79791 Jan. 13, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018
Comments due:  February 13, 2017
Additional Materials: Exhibit 5
SR-NASDAQ-2017-001
34-79809 Jan. 17, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees to Implement New Incentive
Comments due:  February 14, 2017
Additional Materials: Exhibit 5