The Nasdaq Stock Market LLC (NASDAQ) Rulemaking

We encourage the public to submit comments on the following Nasdaq Stock Market LLC (NASDAQ) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
First Quarter

Nasdaq File Number List for 2018

Additional Archives


Chronological List for 2018

Release No. Date Details
First Quarter
SR-NASDAQ-2017-128
34-82757 Feb. 21, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF
SR-NASDAQ-2017-131
34-82730 Feb. 16, 2018 Order Granting Approval of a Proposed Rule Change to List and Trade the Shares of the Reinhart Intermediate Bond NextShares Fund Under Nasdaq Rule 5745
SR-NASDAQ-2018-010
34-82723 Feb. 15, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7039 to Modify Pricing for the Nasdaq Last Sale Data Product and to Make Other Related Changes to Nasdaq Rules
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-011
34-82709 Feb. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-008
34-82702 Feb. 13, 2018 Notice of Filing of Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2017-074
34-82629 Feb. 5, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt the Midpoint Extended Life Order
SR-NASDAQ-2018-007
34-82604 Jan. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-006
34-82589 Jan. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Technical Adjustment to its Rules to Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less than $1.00
Comments due: February 22, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-005
34-82573 Jan. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Listing Underlying Securities
Comments due: February 20, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-123
34-82564 Jan. 22, 2018 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Causeway International Value NextShares™ and the Causeway Global Value NextShares™
SR-NASDAQ-2018-004
34-82541 Jan. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7047
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-124
34-82530 Jan. 18, 2018 Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of Brandes Value NextShares Under Nasdaq Rule 5745
SR-NASDAQ-2017-055
34-82524 Jan. 17, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, 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-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-2017-046
34-82503 Jan. 16, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
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-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37
SR-NASDAQ-2018-001
34-82493 Jan. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Credits at Rule 7018(a)
Comments due:  February 9, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-002
34-82479 Jan. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 6200 to Codify Participant Risk Settings in the Exchange's Trading System (As Set Forth in a Proposed IM-6200-1) and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the Participant
Comments due:  February 7, 2018
SR-NASDAQ-2017-133
34-82481 Jan. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Transitional Rules that Have Expired Related to Compensation Committee Listing Standards
Comments due:  February 7, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-087
34-82478 Jan. 9, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination
Comments due: February 6, 2018
Comments received are available for this proposal.
SR-NASDAQ-2017-134
34-82467 Jan. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7037
Comments due: February 6, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-128
34-82439 Jan. 3, 2018 Notice of Filing of Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF
Comments due: January 30, 2018

Nasdaq File Number List for 2018

Release No. Date Details
SR-NASDAQ-2018-011
34-82709 Feb. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-010
34-82723 Feb. 15, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7039 to Modify Pricing for the Nasdaq Last Sale Data Product and to Make Other Related Changes to Nasdaq Rules
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-008
34-82702 Feb. 13, 2018 Notice of Filing of Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-007
34-82604 Jan. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-006
34-82589 Jan. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Technical Adjustment to its Rules to Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less than $1.00
Comments due: February 22, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-005
34-82573 Jan. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Listing Underlying Securities
Comments due: February 20, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-004
34-82541 Jan. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7047
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-002
34-82479 Jan. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 6200 to Codify Participant Risk Settings in the Exchange's Trading System (As Set Forth in a Proposed IM-6200-1) and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the Participant
Comments due:  February 7, 2018
SR-NASDAQ-2018-001
34-82493 Jan. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Credits at Rule 7018(a)
Comments due:  February 9, 2018
Additional Materials: Exhibit 5