The Nasdaq Stock Market LLC (NASDAQ) Rulemaking

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

Nasdaq File Number List for 2019

Additional Archives


Chronological List for 2019

Release No. Date Details
Fourth Quarter
SR-NASDAQ-2019-086
34-87370 Oct. 21, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-085
34-87358 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Rule 11890
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-059
34-87328 Oct. 17, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings
SR-NASDAQ-2019-084
34-87276 Oct. 10, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Pricing Schedule at Options 7, Section 2
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-082
34-87262 Oct. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC Rules at Chapter VI and Chapter VII
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-061
34-87230 Oct. 4, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products
SR-NASDAQ-2019-081
34-87219 Oct. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Constitutional Documents
Comments due: October 30, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-064
34-87198 Oct. 2, 2019 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 Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-on-Close Orders
Comments due: October 29, 2019
SR-NASDAQ-2019-079
34-87191 Oct. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust Low Duration Opportunities ETF
Comments due: October 28, 2019
SR-NASDAQ-2019-080
34-87186 Oct. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Fees for the MIDP Routing Option
Comments due: October 28, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-075
34-87179 Oct. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Delay Implementation of the Early Order Imbalance Indicator Functionality
Comments due: October 29, 2019
Third Quarter
SR-NASDAQ-2019-078
34-87160 Sep. 30, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Protocol "Ouch to Trade Options"
Comments due: October 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-073
34-87031 Sep. 19, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Operation of the Nasdaq Opening, Halt and Closing Crosses
Comments due: October 16, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-077
34-87030 Sep. 19, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Routing Rule in NOM Chapter VI, Section 11
Comments due: October 16, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-060
34-87012 Sep. 19, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rules 4120 and 4753
SR-NASDAQ-2019-071
34-86997 Sep. 17, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: October 15, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-049
34-86969 Sep. 13, 2019 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director
Comments due: October 10, 2019
Rebuttal comments due: October 24, 2019
SR-NASDAQ-2019-072
34-86944 Sep. 12, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 4121
Comments due: October 9, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-048
34-86938 Sep. 11, 2019 Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type
Comments due: October 8, 2019
SR-NASDAQ-2019-070
34-86922 Sep. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade the Common Shares of Beneficial Interest of Invesco BulletShares ETFs
Comments due: October 7, 2019
SR-NASDAQ-2019-057
34-86875 Sep. 5, 2019 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 4121
SR-NASDAQ-2019-066
34-86857 Sep. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Rule 4120(c)(9)
Comments due: September 30, 2019
SR-NASDAQ-2019-069
34-86842 Aug. 30, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019
Comments due: September 27, 2019
SR-NASDAQ-2019-067
34-86794 Aug. 28, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Pricing at Options 7
Comments due: September 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-059
34-86792 Aug. 28, 2019 Notice of Filing of Proposed Rule Change to Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings
Comments due: September 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-065
34-86774 Aug. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct and Clarify Rules 4702(b)(3)(B), 4702(b)(5)(B), and 4703(d)
Comments due: September 24, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-061
34-86705 Aug. 19, 2019 Notice of Filing of Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products
Comments due: September 13, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2019-064
34-86642 Aug. 13, 2019 Notice of Filing of Proposed Rule Change to Amend Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-on-Close Orders
Comments due: September 9, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2019-063
34-86625 Aug. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Inadvertent Error in a Recent Filing and Amend the NOM Rules at Chapter 1, Section 1 Definitions
Comments due: September 5, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-062
34-86609 Aug. 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend SCAR Credits at Equity 7, Section 118(a)
Comments due: September 4, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-049
34-86545 Aug. 1, 2019 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director
SR-NASDAQ-2019-060
34-86537 Jul. 31, 2019 Notice of Filing of Proposed Rule Change to Amend Rules 4120 and 4753
Comments due: August 27, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2019-048
34-86512 Jul. 30, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 4702 to Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type
SR-NASDAQ-2019-056
34-86507 Jul. 29, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend The Nasdaq Options Market LLC Pricing at Options 7, Section 3 Titled "Nasdaq Options Market - Ports and Other Services."
Comments due: August 23, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-053
34-86437 Jul. 23, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Rules Governing the Nasdaq Options Market to Modify the Give Up of a Clearing Participant by a Participant on NOM transactions
Comments due: August 19, 2019
Additional Materials: Exhibit 3, Exhibit 5
SR-NASDAQ-2019-044
34-86416 Jul. 19, 2019 Order Approving a Proposed Rule Change to Allow an Odd Lot-Sized Order to Be Eligible for the Midpoint Extended Life Order
SR-NASDAQ-2019-057
34-86412 Jul. 19, 2019 Notice of Filing of Proposed Rule Change to Amend Rule 4121
Comments due: August 15, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-054
34-86399 Jul. 17, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Generic Listing Standards for Fixed Income Securities Included in the Portfolio of a Series of Managed Fund Shares
Comments due: August 13, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-009
34-86314 Jul. 5, 2019 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to Revise the Exchange's Initial Listing Standards Related to Liquidity
Comments due: August 1, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-052
34-86278 Jul. 2, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing and Trading the Shares of the AlphaMark Actively Managed Small Cap ETF
Comments due: July 30, 2019
Second Quarter
SR-NASDAQ-2019-017
34-86246 Jun. 28, 2019 Order Granting Approval of a Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act
SR-NASDAQ-2019-051
34-86153 Jun. 19, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 of the Rules of The Nasdaq Options Market to Extend Through December 31, 2019 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program in Options Classes in Certain Issues
Comments due: July 16, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-049
34-86095 Jun. 12, 2019 Notice of Filing of Proposed Rule Change to Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director
Comments due: July 9, 2019
SR-NASDAQ-2019-050
34-86087 Jun. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the MIDP Routing Option
Comments due: July 8, 2019
SR-NASDAQ-2019-048
34-86083 Jun. 11, 2019 Notice of Filing of Proposed Rule Change to Amend Rule 4702 to Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type
Comments due: July 8, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2019-039
34-86072 Jun. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5615 to Allow Additional Issuers Who List Only Specific Securities to Be Able to Avail Themselves of Certain Exemptions Under Corporate Governance Requirements and to Amend Nasdaq Rule IM-5620 to Exclude Additional Categories of Issuers Listing Only Specific Securities from the Annual Shareholder Meeting Requirement
Comments due: July 5, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-017
34-86067 Jun. 7, 2019 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act
SR-NASDAQ-2019-045
34-86026 Jun. 4, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: July 1, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-047
34-86022 Jun. 4, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Options Rules under Chapter IV, Securities Traded on NOM
Comments due: July 1, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-046
34-85987 May 31, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Order Audit Trail System Rules
Comments due: June 27, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-040
34-85957 May 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complementary Services Offered by the Exchange Under Rule IM-5900-7
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-044
34-85954 May 29, 2019 Notice of Filing of Proposed Rule Change to Allow an Odd Lot-Sized Order to Be Eligible for the Midpoint Extended Life Order
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-042
34-85951 May 29, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-009
34-85933 May 24, 2019 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Revise the Exchange's Initial Listing Standards Related to Liquidity
SR-NASDAQ-2019-004
34-85892 May 20, 2019 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New MIDP Routing Option Under Rule 4758 and Make Conforming Changes to Rule 4703(e)
Comments due: June 14, 2019
SR-NASDAQ-2019-036
34-85861 May 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: June 11, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-037
34-85850 May 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule in Options 7, Section 2
Comments due: June 7, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-033
34-85813 May 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Equity 7 Pricing Schedule, Sections 112, 123, 135, 146, 155 and 158
Comments due: June 5, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-035
34-85806 May 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove the Exchange's Current Primary Contingency Procedure from the Exchange's Rule Book
Comments due: June 4, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-032
34-85745 Apr. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Early Order Imbalance Information Functionality
Comments due:  May 24, 2019
SR-NASDAQ-2019-031
34-85743 Apr. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5702 Concerning an Issuer's Obligation to Disclose Material Information about the Issuer's Listed Non-Convertible Bonds
Comments due:  May 24, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-017
34-85687 Apr. 18, 2019 Notice of Filing of Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act
Comments due: May 15, 2019
Comments received are available for this proposal.
SR-NASDAQ-2019-021
34-85666 Apr. 16, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the First Trust California Municipal High Income ETF and the First Trust Municipal High Income ETF
Comments due: May 13, 2019
SR-NASDAQ-2019-029
34-85662 Apr. 16, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule in Options 7, Section 2
Comments due: May 13, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-026
34-85631 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-028
34-85603 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Clearly Erroneous Transactions
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-027
34-85578 Apr. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 6, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-023
34-85546 Apr. 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: May 3, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-022
34-85513 Apr. 4, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Restate the Exchange's Membership Rules
Comments due: May 1, 2019
Additional Materials: Exhibit 3, Exhibit 5
SR-NASDAQ-2019-007
34-85505 Apr. 3, 2019 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: April 30, 2019
SR-NASDAQ-2019-024
34-85504 Apr. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Equity 7 Pricing Schedule, Section 139
Comments due: April 30, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-009
34-85503 Apr. 3, 2019 Notice of Filing of Proposed Rule Change to Revise the Exchange's Initial Listing Standards Related to Liquidity
Comments due: April 30, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2019-004
34-85498 Apr. 3, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e)
First Quarter
SR-NASDAQ-2019-020
34-85452 Mar. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change The Nasdaq Options Market LLC Rules at Chapter VI, Section 5
Comments due: April 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-019
34-85431 Mar. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Midpoint Trade Now Functionality
Comments due: April 23, 2019
SR-NASDAQ-2019-016
34-85389 Mar. 21, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Protocol Ouch to Trade Options or OTTO on The Nasdaq Options Market LLC
Comments due: April 17, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-015
34-85373 Mar. 20, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)(3)
Comments due: April 16, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-013
34-85372 Mar. 20, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New SCAR Routing Option
Comments due: April 16, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-079
34-85362 Mar. 19, 2019 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Nasdaq Rules 5705 and 5710 to Adopt a Disclosure Requirement for Certain Securities
SR-NASDAQ-2019-014
34-85356 Mar. 19, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 to Make Clarifying Changes
Comments due: April 15, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-011
34-85303 Mar. 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchanges Pricing Schedule at Options 7
Comments due: April 9, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-010
34-85292 Mar. 12, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disseminate Abbreviated Order Imbalance Information Prior to Dissemination of the Order Imbalance Indicator
Comments due: April 8, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-008
34-85188 Feb. 25, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Communications with the Public
Comments due: March 22, 2019
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: March 15, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
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: March 15, 2019
Comments received are available for this proposal.
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: March 14, 2019
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: March 13, 2019
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: March 12, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
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: March 12, 2019
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-2019-086
34-87370 Oct. 21, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-085
34-87358 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Rule 11890
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-084
34-87276 Oct. 10, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Pricing Schedule at Options 7, Section 2
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-082
34-87262 Oct. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC Rules at Chapter VI and Chapter VII
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-081
34-87219 Oct. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Constitutional Documents
Comments due: October 30, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-080
34-87186 Oct. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Fees for the MIDP Routing Option
Comments due: October 28, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-079
34-87191 Oct. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust Low Duration Opportunities ETF
Comments due: October 28, 2019
SR-NASDAQ-2019-078
34-87160 Sep. 30, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Protocol "Ouch to Trade Options"
Comments due: October 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-077
34-87030 Sep. 19, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Routing Rule in NOM Chapter VI, Section 11
Comments due: October 16, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-075
34-87179 Oct. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Delay Implementation of the Early Order Imbalance Indicator Functionality
Comments due: October 29, 2019
SR-NASDAQ-2019-073
34-87031 Sep. 19, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Operation of the Nasdaq Opening, Halt and Closing Crosses
Comments due: October 16, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-072
34-86944 Sep. 12, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 4121
Comments due: October 9, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-071
34-86997 Sep. 17, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: October 15, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-070
34-86922 Sep. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade the Common Shares of Beneficial Interest of Invesco BulletShares ETFs
Comments due: October 7, 2019
SR-NASDAQ-2019-069
34-86842 Aug. 30, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019
Comments due: September 27, 2019
SR-NASDAQ-2019-067
34-86794 Aug. 28, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Pricing at Options 7
Comments due: September 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-066
34-86857 Sep. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Rule 4120(c)(9)
Comments due: September 30, 2019
SR-NASDAQ-2019-065
34-86774 Aug. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct and Clarify Rules 4702(b)(3)(B), 4702(b)(5)(B), and 4703(d)
Comments due: September 24, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-064
34-87198 Oct. 2, 2019 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 Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-on-Close Orders
Comments due: October 29, 2019
34-86642 Aug. 13, 2019 Notice of Filing of Proposed Rule Change to Amend Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-on-Close Orders
Comments due: September 9, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2019-063
34-86625 Aug. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Inadvertent Error in a Recent Filing and Amend the NOM Rules at Chapter 1, Section 1 Definitions
Comments due: September 5, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-062
34-86609 Aug. 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend SCAR Credits at Equity 7, Section 118(a)
Comments due: September 4, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-061
34-87230 Oct. 4, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products
34-86705 Aug. 19, 2019 Notice of Filing of Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products
Comments due: September 13, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2019-060
34-87012 Sep. 19, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rules 4120 and 4753
34-86537 Jul. 31, 2019 Notice of Filing of Proposed Rule Change to Amend Rules 4120 and 4753
Comments due: August 27, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2019-059
34-87328 Oct. 17, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings
34-86792 Aug. 28, 2019 Notice of Filing of Proposed Rule Change to Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings
Comments due: September 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-057
34-86875 Sep. 5, 2019 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 4121
34-86412 Jul. 19, 2019 Notice of Filing of Proposed Rule Change to Amend Rule 4121
Comments due: August 15, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-056
34-86507 Jul. 29, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend The Nasdaq Options Market LLC Pricing at Options 7, Section 3 Titled "Nasdaq Options Market - Ports and Other Services."
Comments due: August 23, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-054
34-86399 Jul. 17, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Generic Listing Standards for Fixed Income Securities Included in the Portfolio of a Series of Managed Fund Shares
Comments due: August 13, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-053
34-86437 Jul. 23, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Rules Governing the Nasdaq Options Market to Modify the Give Up of a Clearing Participant by a Participant on NOM transactions
Comments due: August 19, 2019
Additional Materials: Exhibit 3, Exhibit 5
SR-NASDAQ-2019-052
34-86278 Jul. 2, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing and Trading the Shares of the AlphaMark Actively Managed Small Cap ETF
Comments due: July 30, 2019
SR-NASDAQ-2019-051
34-86153 Jun. 19, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 of the Rules of The Nasdaq Options Market to Extend Through December 31, 2019 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program in Options Classes in Certain Issues
Comments due: July 16, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-050
34-86087 Jun. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the MIDP Routing Option
Comments due: July 8, 2019
SR-NASDAQ-2019-049
34-86969 Sep. 13, 2019 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Change to Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director
Comments due: October 10, 2019
Rebuttal comments due: October 24, 2019
34-86545 Aug. 1, 2019 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director
34-86095 Jun. 12, 2019 Notice of Filing of Proposed Rule Change to Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director
Comments due: July 9, 2019
SR-NASDAQ-2019-048
34-86938 Sep. 11, 2019 Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type
Comments due: October 8, 2019
34-86512 Jul. 30, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 4702 to Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type
34-86083 Jun. 11, 2019 Notice of Filing of Proposed Rule Change to Amend Rule 4702 to Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type
Comments due: July 8, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2019-047
34-86022 Jun. 4, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Options Rules under Chapter IV, Securities Traded on NOM
Comments due: July 1, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-046
34-85987 May 31, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Order Audit Trail System Rules
Comments due: June 27, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-045
34-86026 Jun. 4, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: July 1, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-044
34-86416 Jul. 19, 2019 Order Approving a Proposed Rule Change to Allow an Odd Lot-Sized Order to Be Eligible for the Midpoint Extended Life Order
34-85954 May 29, 2019 Notice of Filing of Proposed Rule Change to Allow an Odd Lot-Sized Order to Be Eligible for the Midpoint Extended Life Order
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-042
34-85951 May 29, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-040
34-85957 May 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complementary Services Offered by the Exchange Under Rule IM-5900-7
Comments due: June 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-039
34-86072 Jun. 10, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5615 to Allow Additional Issuers Who List Only Specific Securities to Be Able to Avail Themselves of Certain Exemptions Under Corporate Governance Requirements and to Amend Nasdaq Rule IM-5620 to Exclude Additional Categories of Issuers Listing Only Specific Securities from the Annual Shareholder Meeting Requirement
Comments due: July 5, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-037
34-85850 May 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule in Options 7, Section 2
Comments due: June 7, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-036
34-85861 May 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: June 11, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-035
34-85806 May 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove the Exchange's Current Primary Contingency Procedure from the Exchange's Rule Book
Comments due: June 4, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-033
34-85813 May 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Equity 7 Pricing Schedule, Sections 112, 123, 135, 146, 155 and 158
Comments due: June 5, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-032
34-85745 Apr. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Early Order Imbalance Information Functionality
Comments due:  May 24, 2019
SR-NASDAQ-2019-031
34-85743 Apr. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5702 Concerning an Issuer's Obligation to Disclose Material Information about the Issuer's Listed Non-Convertible Bonds
Comments due:  May 24, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-029
34-85662 Apr. 16, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule in Options 7, Section 2
Comments due: May 13, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-028
34-85603 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Clearly Erroneous Transactions
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-027
34-85578 Apr. 9, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 6, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-026
34-85631 Apr. 11, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019
Comments due: May 8, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-024
34-85504 Apr. 3, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Equity 7 Pricing Schedule, Section 139
Comments due: April 30, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-023
34-85546 Apr. 8, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: May 3, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-022
34-85513 Apr. 4, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Restate the Exchange's Membership Rules
Comments due: May 1, 2019
Additional Materials: Exhibit 3, Exhibit 5
SR-NASDAQ-2019-021
34-85666 Apr. 16, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the First Trust California Municipal High Income ETF and the First Trust Municipal High Income ETF
Comments due: May 13, 2019
SR-NASDAQ-2019-020
34-85452 Mar. 29, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change The Nasdaq Options Market LLC Rules at Chapter VI, Section 5
Comments due: April 25, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-019
34-85431 Mar. 27, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Midpoint Trade Now Functionality
Comments due: April 23, 2019
SR-NASDAQ-2019-017
34-86246 Jun. 28, 2019 Order Granting Approval of a Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act
34-86067 Jun. 7, 2019 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act
34-85687 Apr. 18, 2019 Notice of Filing of Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act
Comments due: May 15, 2019
Comments received are available for this proposal.
SR-NASDAQ-2019-016
34-85389 Mar. 21, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Protocol Ouch to Trade Options or OTTO on The Nasdaq Options Market LLC
Comments due: April 17, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-015
34-85373 Mar. 20, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)(3)
Comments due: April 16, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-014
34-85356 Mar. 19, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 to Make Clarifying Changes
Comments due: April 15, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-013
34-85372 Mar. 20, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New SCAR Routing Option
Comments due: April 16, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-011
34-85303 Mar. 13, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchanges Pricing Schedule at Options 7
Comments due: April 9, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-010
34-85292 Mar. 12, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disseminate Abbreviated Order Imbalance Information Prior to Dissemination of the Order Imbalance Indicator
Comments due: April 8, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-009
34-86314 Jul. 5, 2019 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to Revise the Exchange's Initial Listing Standards Related to Liquidity
Comments due: August 1, 2019
Additional Materials: Exhibit 5
34-85933 May 24, 2019 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Revise the Exchange's Initial Listing Standards Related to Liquidity
34-85503 Apr. 3, 2019 Notice of Filing of Proposed Rule Change to Revise the Exchange's Initial Listing Standards Related to Liquidity
Comments due: April 30, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2019-008
34-85188 Feb. 25, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Communications with the Public
Comments due: March 22, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-007
34-85505 Apr. 3, 2019 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: April 30, 2019
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: March 15, 2019
Comments received are available for this proposal.
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: March 13, 2019
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: March 12, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2019-004
34-85892 May 20, 2019 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New MIDP Routing Option Under Rule 4758 and Make Conforming Changes to Rule 4703(e)
Comments due: June 14, 2019
34-85498 Apr. 3, 2019 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e)
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: March 12, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
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: March 14, 2019
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: March 15, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.