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
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
Nasdaq File Number List for 2021
Additional Archives
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Chronological List for 2021
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NASDAQ-2021-029 | ||
| 34-93437 | Oct. 27, 2021 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Additional File Nos.: SR-BX-2021-018, SR-C2-2021-008, SR-CBOE-2021-030, SR-CboeBYX-2021-011, SR-CboeBZX-2021-034, SR-CboeEDGA-2021-010, SR-CboeEDGX-2021-024, SR-GEMX-2021-03, SR-ISE-2021-08, SR-MRX-2021-05, SR-Phlx-2021-25 |
| SR-NASDAQ-2021-040 | ||
| 34-93428 | Oct. 26, 2021 | 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 Establish the "Extended Trading Close" and a New "Extended Trading Close" Order Type
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| SR-NASDAQ-2021-081 | ||
| 34-93407 | Oct. 22, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Transaction Credits and Charges at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-080 | ||
| 34-93361 | Oct. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-079 | ||
| 34-93296 | Oct. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market Wide Circuit Breaker until March 18, 2022
Comments due: November 9, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-065 | ||
| 34-93277 | Oct. 8, 2021 | Order Granting Approval of a Proposed Rule Change to Amend Nasdaq Rule 5750 (Proxy Portfolio Shares) to Provide for the Use of Custom Baskets Consistent with the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Proxy Portfolio Shares |
| SR-NASDAQ-2021-007 | ||
| 34-93256 | Oct. 4, 2021 | Order Granting Approval of a Proposed Rule Change to Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB with the Ability to Inspect Public Accounting Firms |
| SR-NASDAQ-2021-077 | ||
| 34-93250 | Oct. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of SR-NASDAQ-2021-009
Comments due: October 29, 2021 Comments received are available for this proposal. |
| SR-NASDAQ-2021-076 | ||
| 34-93249 | Oct. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposal to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF
Comments due: October 29, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-075 | ||
| 34-93245 | Oct. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Discretion Attribute, at Equity 4, Rule 4703, in Light of Planned Changes to the System
Comments due: October 29, 2021 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-NASDAQ-2021-054 | ||
| 34-93219 | Sep. 30, 2021 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Nasdaq IM-5101-2 to Permit an Acquisition Company to Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction
Comments due: October 27, 2021 Rebuttal comments due: November 10, 2021 |
| SR-NASDAQ-2021-066 | ||
| 34-93172 | Sep. 29, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund under Nasdaq Rule 5711(g) |
| SR-NASDAQ-2021-045 | ||
| 34-93119 | Sep. 24, 2021 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing Primary Offering
Comments due: October 21, 2021 Rebuttal comments due: November 4, 2021 |
| SR-NASDAQ-2021-073 | ||
| 34-93125 | Sep. 24, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of its Post-Trade Risk Management Tool
Comments due: October 21, 2021 |
| SR-NASDAQ-2021-072 | ||
| 34-93111 | Sep. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118 of the Fee Schedule
Comments due: October 20, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-074 | ||
| 34-93069 | Sep. 20, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 26, Message Traffic Mitigation
Comments due: October 15, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-070 | ||
| 34-93003 | Sep. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate NOM Options 4 Rules By Reference to Nasdaq ISE, LLC Options 4 Rules
Comments due: October 12, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-069 | ||
| 34-92974 | Sep. 14, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market's Pricing Schedule at Options 7, Section 2(1)
Comments due: October 12, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-071 | ||
| 34-92937 | Sep. 10, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Order Audit Trail System Rules in the Equity 5 Series of the Exchange's Rulebook
Comments due: October 7, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-067 | ||
| 34-92911 | Sep. 9, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the
Comments due: October 6, 2021 |
| SR-NASDAQ-2021-040 | ||
| 34-92905 | Sep. 9, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish the "Extended Trading Close" and a New "Extended Trading Close" Order Type |
| SR-NASDAQ-2021-066 | ||
| 34-92865 | Sep. 2, 2021 | Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund under Nasdaq Rule 5711(g)
Comments due: September 30, 2021 |
| SR-NASDAQ-2021-065 | ||
| 34-92790 | Aug. 27, 2021 | Notice of Filing of Proposed Rule Change to Amend Nasdaq Rule 5750 (Proxy Portfolio Shares) to Provide for the Use of Custom Baskets Consistent with the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Proxy Portfolio Shares
Comments due: September 23, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-054 | ||
| 34-92751 | Aug. 25, 2021 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Modify Listing Rule IM-5101-2 to Permit an Acquisition Company to Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction |
| SR-NASDAQ-2021-064 | ||
| 34-92738 | Aug. 24, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 9, Section 51, Research Analysts
Comments due: September 20, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-063 | ||
| 34-92697 | Aug. 18, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 17 (Kill Switch)
Comments due: September 14, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-061 | ||
| 34-92663 | Aug. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Listing Rule 5910 to Modify the Application Fee for Companies Listing Under IM-5101-2
Comments due: September 9, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-062 | ||
| 34-92666 | Aug. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Expiration Timeframe of Long-Term Index Options Series
Comments due: September 9, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-045 | ||
| 34-92649 | Aug. 12, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering |
| SR-NASDAQ-2021-007 | ||
| 34-92637 | Aug. 11, 2021 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB with the Ability to Inspect Public Accounting Firms |
| SR-NASDAQ-2021-057 | ||
| 34-92600 | Aug. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM's Options Regulatory Fee
Comments due: September 2, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2020-081 and SR-NASDAQ-2020-082 | ||
| 34-92590 | Aug. 6, 2021 | Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt Listing Rules Related to Board Diversity and to Offer Certain Listed Companies Access to a Complimentary Board Recruiting Service
Additional File No.: SR-NASDAQ-2020-081 |
| SR-NASDAQ-2021-059 | ||
| 34-92533 | Jul. 30, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 4 Listing Rules
Comments due: August 26, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-040 | ||
| 34-92466 | Jul. 22, 2021 | Notice of Filing of Proposed Rule Change to Establish the "Extended Trading Close" and a New "Extended Trading Close" Order Type
Comments due: August 18, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-058 | ||
| 34-92433 | Jul. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118(a)
Comments due: August 12, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-055 | ||
| 34-92345 | Jul. 7, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Listing Rule 5910 to Establish Entry and All-Inclusive Annual Listing Fees for Companies Listing under IM-5101-2 on the Nasdaq Global Market
Comments due: August 3, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-054 | ||
| 34-92344 | Jul. 7, 2021 | Notice of Filing of Proposed Rule Change to Modify Listing Rule IM-5101-2 to Permit an Acquisition Company to Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction
Comments due: August 3, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| Second Quarter | ||
| SR-NASDAQ-2021-053 | ||
| 34-92300 | Jun. 30, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits and Charges at Equity 7, Section 118(a)
Comments due: July 28, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-045 | ||
| 34-92256 | Jun. 24, 2021 | Notice of Filing of Proposed Rule Change to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing Primary Offering
Comments due: July 21, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-051 | ||
| 34-92242 | Jun. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 9, Section 18, Payments for Market Making
Comments due: July 20, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-049 | ||
| 34-92219 | Jun. 21, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date for Changing the Primary and Secondary Source of Quotation Data of MEMX LLC
Comments due: July 16, 2021 |
| SR-NASDAQ-2021-029 | ||
| 34-92207 | Jun. 17, 2021 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: July 15, 2021 Rebuttal comments due: July 29, 2021 Additional File Nos.: SR-BX-2021-018, SR-C2-2021-008, SR-CBOE-2021-030, SR-CboeBYX-2021-011, SR-CboeBZX-2021-034, SR-CboeEDGA-2021-010, SR-CboeEDGX-2021-024, SR-GEMX-2021-03, SR-ISE-2021-08, SR-MRX-2021-05, SR-Phlx-2021-25 |
| SR-NASDAQ-2021-044 | ||
| 34-92180 | Jun. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rules 4702 and 4703 in Light of Planned Changes to the System
Comments due: July 15, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-046 | ||
| 34-92134 | Jun. 9, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 114(f)
Comments due: July 6, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2020-082 | ||
| 34-92119 | Jun. 7, 2021 | 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. 1, to Offer Certain Listed Companies Access to a Complimentary Board Recruiting Solution to Help Advance Diversity on Company Boards |
| SR-NASDAQ-2020-081 | ||
| 34-92118 | Jun. 7, 2021 | 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. 1, to Adopt Listing Rules Related to Board Diversity |
| SR-NASDAQ-2021-009 | ||
| 34-92068 | May 28, 2021 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Equity 4, Rule 4754 Relating to the Limit Up-Limit Down Closing Cross
Comments due: June 24, 2021 |
| SR-NASDAQ-2021-043 | ||
| 34-92012 | May 25, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118(a)
Comments due: June 22, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2020-062 | ||
| 34-91961 | May 20, 2021 | Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Listing Rules Applicable to Special Purpose Acquisition Companies whose Business Plan is to Complete One or More Business Combinations |
| SR-NASDAQ-2020-057 | ||
| 34-91947 | May 19, 2021 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Allow Companies to List in Connection with a Direct Listing with a Primary Offering In Which the Company Will Sell Shares Itself In the Opening Auction on the First Day of Trading on Nasdaq and to Explain How the Opening Transaction for Such a Listing Will be Effected
Additional Materials: Exhibit 4, Exhibit 5 |
| SR-NASDAQ-2021-032 | ||
| 34-91931 | May 18, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Rules at Options 4, Section 5, "Series of Options Contracts Open for Trading" to Limit Short Term Options Series Intervals Between Strikes
Comments due: June 14, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-007 | ||
| 34-91904 | May 17, 2021 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB with the Ability to Inspect Public Accounting Firms
Comments due: June 11, 2021 Rebuttal comments due: June 25, 2021 |
| SR-NASDAQ-2021-038 | ||
| 34-91885 | May 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of its Nasdaq Opening Cross Enhancements to the End of Q2 2021
Comments due: June 9, 2021 |
| SR-NASDAQ-2021-036 | ||
| 34-91874 | May 12, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Broker-Dealers that Purchase the Nasdaq Basic Enterprise License at Equity 7, Section 147(b)(5) to Distribute Nasdaq Last Sale ("NLS") to the General Investing Public
Comments due: June 8, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-039 | ||
| 34-91843 | May 11, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend Publication on Certain Proprietary Data Feeds
Comments due: June 7, 2021 |
| SR-NASDAQ-2021-030 | ||
| 34-91841 | May 11, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC Rules at Options 3, Section 7, Types of Orders and Order and Quote Protocols, and Options 3, Section 15, Risk Protections
Comments due: June 7, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-033 | ||
| 34-91763 | May 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the
Comments due: June 1, 2021 |
| SR-NASDAQ-2021-029 | ||
| 34-91752 | May 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 1, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-025 | ||
| 34-91744 | May 3, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Connectivity, Surveillance and Risk Management Services and Fees
Comments due: May 28, 2021 |
| SR-NASDAQ-2021-026 | ||
| 34-91735 | Apr. 30, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Temporary Amendments Concerning Exchange Rule 1210 from April 30, 2021, to June 30, 2021
Comments due: May 27, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-021 | ||
| 34-91677 | Apr. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market's Pricing Schedule at Options 7, Section 1, General Provisions, and Options 7, Section 2, Nasdaq Options Market-Fees and Rebates
Comments due: May 21, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-023 | ||
| 34-91675 | Apr. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Nasdaq Rule 5760 to Permit the Listing and Trading of Managed Portfolio Shares
Comments due: May 24, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-028 | ||
| 34-91664 | Apr. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust
Comments due: May 20, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-020 | ||
| 34-91619 | Apr. 21, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118(a)
Comments due: May 18, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-009 | ||
| 34-91581 | Apr. 15, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Equity 4, Rule 4754 Relating to the Limit-Up Limit-Down Closing Cross |
| SR-NASDAQ-2021-022 | ||
| 34-91577 | Apr. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Equity 11, Rule 11890 to the Close of Business on October 20, 2021
Comments due: May 12, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2020-100 | ||
| 34-91567 | Apr. 14, 2021 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No.1, to Modify the Quorum Requirement
Comments due: May 11, 2021 |
| SR-NASDAQ-2021-018 | ||
| 34-91526 | Apr. 9, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Enhancements to the End of Day Summary Message on Nasdaq Last Sale Plus to May 17, 2021
Comments due: May 6, 2021 |
| SR-NASDAQ-2021-013 | ||
| 34-91492 | Apr. 7, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Insert Language Concerning an Initial Listing Requirement Applicable to American Depository Receipts or Shares
Comments due: May 4, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-004 | ||
| 34-91461 | Apr. 2, 2021 | Order Approving Proposed Rule Change, as Modified by Amendment No. 2, to Disseminate Abbreviated Order Imbalance Information for the Nasdaq Opening Cross, Amend Certain Cutoff Times for On-Open Orders Entered for Participation in the Nasdaq Opening Cross, and Extend the Time Period for Accepting Certain Limit-On-Open Orders |
| First Quarter | ||
| SR-NASDAQ-2020-017 | ||
| 34-91446 | Mar. 31, 2021 | Order Disapproving a Proposed Rule Change to Amend Nasdaq Rule 5704 |
| SR-NASDAQ-2021-012 | ||
| 34-91421 | Mar. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Entry Fee and the All-Inclusive Annual Listing Fee for Any Company Not Listed on a National Securities Exchange That Is Listing upon Closing of Its Acquisition of a Special Purpose Acquisition Company Listed on Nasdaq
Comments due: April 22, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-007 | ||
| 34-91413 | Mar. 26, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB with the Ability to Inspect Public Accounting Firms |
| SR-NASDAQ-2020-062 | ||
| 34-91348 | Mar. 18, 2021 | 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. 1, to Amend Listing Rules Applicable to Special Purpose Acquisition Companies whose Business Plan is to Complete One or More Business Combinations |
| SR-NASDAQ-2020-057 | ||
| 34-91345 | Mar. 17, 2021 | 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 No. 1, to Allow Companies to List in Connection with a Direct Listing with a Primary Offering In Which the Company Will Sell Shares Itself In the Opening Auction on the First Day of Trading on Nasdaq and to Explain How the Opening Transaction for Such a Listing Will be Effected |
| SR-NASDAQ-2021-002 | ||
| 34-91318 | Mar. 12, 2021 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Modify and Expand the Package of Complimentary Services Provided to Eligible Companies and to Update the Values of Certain Complimentary Services
Comments due: April 8, 2021 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-NASDAQ-2021-011 | ||
| 34-91307 | Mar. 12, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118(a)
Comments due: April 8, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2020-062 | ||
| 34-91294 | Mar. 10, 2021 | Notice of Filing of Proposed Rule Change, as Modified by Amendment, No. 1, to Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan is to Complete One or More Business Combinations
Comments due: April 6, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2020-081 and SR-NASDAQ-2020-082 | ||
| 34-91286 | Mar. 10, 2021 | Notice of Filing of Amendments No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt Listing Rules Related to Board Diversity and to Offer Certain Listed Companies Access to a Complimentary Board Recruiting Solution to Help Advance Diversity on Company Boards
Comments due: April 6, 2021 Rebuttal comments due: April 20, 2021 Additional File No.: SR-NASDAQ-2020-081 Comments received are available: SR-NASDAQ-2020-082; SR-NASDAQ-2020-081 |
| SR-NASDAQ-2021-010 | ||
| 34-91241 | Mar. 2, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the End of Day Summary Message on Nasdaq Last Sale Plus
Comments due: March 29, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-009 | ||
| 34-91208 | Feb. 25, 2021 | Notice of Filing of Proposed Rule Change to Amend Rule 4754 Relating to the Limit-Up Limit-Down Closing Cross
Comments due: March 24, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2020-100 | ||
| 34-91212 | Feb. 25, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify the Quorum Requirement for Non-U.S. Companies Under Certain Limited Circumstances |
| SR-NASDAQ-2020-057 | ||
| 34-91205 | Feb. 24, 2021 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Allow Companies to List in Connection with a Direct Listing with a Primary Offering In Which the Company Will Sell Shares Itself In the Opening Auction On the First Day of Trading on Nasdaq and to Explain How the Opening Transaction for Such a Listing Will be Effected
Comments due: March 23, 2021 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-NASDAQ-2021-008 | ||
| 34-91138 | Feb. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rule 4759
Comments due: March 15, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2020-090 | ||
| 34-91109 | Feb. 11, 2021 | Order Approving a Proposed Rule Change to Amend the Exchange's Rules at Equity 4, Section 4703(h) Relating to Reserve Orders |
| SR-NASDAQ-2021-006 | ||
| 34-91107 | Feb. 11, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Sections 114 and 118(a)
Comments due: March 11, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-004 | ||
| 34-91096 | Feb. 10, 2021 | Notice of Filing of Proposed Rule Change to Disseminate Abbreviated Order Imbalance Information, Amend Certain Cutoff Times for On-Open Orders Entered For Participation in The Nasdaq Opening Cross and Extend the Time Period for Accepting Certain Limit On-Open Orders
Comments due: March 10, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-007 | ||
| 34-91089 | Feb. 9, 2021 | Notice of Filing of Proposed Rule Change to Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB with the Ability to Inspect Public Accounting Firms
Comments due: March 9, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-005 | ||
| 34-91062 | Feb. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to the ALPS Active REIT ETF of ALPS ETF Trust to list and trade shares of the Fund under Nasdaq Rule 5750
Comments due: March 3, 2021 |
| SR-NASDAQ-2020-028 | ||
| 34-91056 | Feb. 4, 2021 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend IM-5101-1 (Use of Discretionary Authority) to Apply Additional or More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market |
| SR-NASDAQ-2020-026 | ||
| 34-91057 | Feb. 4, 2021 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets |
| SR-NASDAQ-2020-027 | ||
| 34-91055 | Feb. 3, 2021 | Notice of Withdrawal of Proposed Rule Change to Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets |
| SR-NASDAQ-2020-069 | ||
| 34-90995 | Jan. 26, 2021 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Exclude Special Purpose Acquisition Companies from the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities with a Market Value of at Least $2,500 |
| SR-NASDAQ-2020-017 | ||
| 34-90994 | Jan. 26, 2021 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Nasdaq Rule 5704 |
| SR-NASDAQ-2021-002 | ||
| 34-90955 | Jan. 19, 2021 | Notice of Filing of Proposed Rule Change to Modify and Expand the Package of Complimentary Services Provided to Eligible Companies and Update the Values of Certain Complimentary Services
Comments due: February 16, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-003 | ||
| 34-90954 | Jan. 19, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118
Comments due: February 16, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2020-082 | ||
| 34-90952 | Jan. 19, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Offer Certain Listed Companies Access to a Complimentary Board Recruiting Solution to Help Advance Diversity on Company Boards |
| SR-NASDAQ-2020-081 | ||
| 34-90951 | Jan. 19, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Listing Rules Related to Board Diversity |
| SR-NASDAQ-2020-100 | ||
| 34-90883 | Jan. 11, 2021 | Notice of Filing of Proposed Rule Change to Modify the Quorum Requirement for Non-U.S. Companies Under Certain Limited Circumstances
Comments due: February 5, 2021 Comments received are available for this proposal. |
File Number List for 2021
| Release No. | Date | Details |
|---|---|---|
| SR-NASDAQ-2021-081 | ||
| 34-93407 | Oct. 22, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Schedule of Transaction Credits and Charges at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-080 | ||
| 34-93361 | Oct. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-079 | ||
| 34-93296 | Oct. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market Wide Circuit Breaker until March 18, 2022
Comments due: November 9, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-077 | ||
| 34-93250 | Oct. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of SR-NASDAQ-2021-009
Comments due: October 29, 2021 Comments received are available for this proposal. |
| SR-NASDAQ-2021-076 | ||
| 34-93249 | Oct. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposal to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF
Comments due: October 29, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-075 | ||
| 34-93245 | Oct. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Discretion Attribute, at Equity 4, Rule 4703, in Light of Planned Changes to the System
Comments due: October 29, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-074 | ||
| 34-93069 | Sep. 20, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 26, Message Traffic Mitigation
Comments due: October 15, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-073 | ||
| 34-93125 | Sep. 24, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of its Post-Trade Risk Management Tool
Comments due: October 21, 2021 |
| SR-NASDAQ-2021-072 | ||
| 34-93111 | Sep. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118 of the Fee Schedule
Comments due: October 20, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-071 | ||
| 34-92937 | Sep. 10, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Order Audit Trail System Rules in the Equity 5 Series of the Exchange's Rulebook
Comments due: October 7, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-070 | ||
| 34-93003 | Sep. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate NOM Options 4 Rules By Reference to Nasdaq ISE, LLC Options 4 Rules
Comments due: October 12, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-069 | ||
| 34-92974 | Sep. 14, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market's Pricing Schedule at Options 7, Section 2(1)
Comments due: October 12, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-067 | ||
| 34-92911 | Sep. 9, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the
Comments due: October 6, 2021 |
| SR-NASDAQ-2021-066 | ||
| 34-93172 | Sep. 29, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund under Nasdaq Rule 5711(g) |
| 34-92865 | Sep. 2, 2021 | Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund under Nasdaq Rule 5711(g)
Comments due: September 30, 2021 |
| SR-NASDAQ-2021-065 | ||
| 34-93277 | Oct. 8, 2021 | Order Granting Approval of a Proposed Rule Change to Amend Nasdaq Rule 5750 (Proxy Portfolio Shares) to Provide for the Use of Custom Baskets Consistent with the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Proxy Portfolio Shares |
| 34-92790 | Aug. 27, 2021 | Notice of Filing of Proposed Rule Change to Amend Nasdaq Rule 5750 (Proxy Portfolio Shares) to Provide for the Use of Custom Baskets Consistent with the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Proxy Portfolio Shares
Comments due: September 23, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-064 | ||
| 34-92738 | Aug. 24, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 9, Section 51, Research Analysts
Comments due: September 20, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-063 | ||
| 34-92697 | Aug. 18, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 17 (Kill Switch)
Comments due: September 14, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-062 | ||
| 34-92666 | Aug. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Expiration Timeframe of Long-Term Index Options Series
Comments due: Septmember 9, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-061 | ||
| 34-92663 | Aug. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Listing Rule 5910 to Modify the Application Fee for Companies Listing Under IM-5101-2
Comments due: September 9, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-059 | ||
| 34-92533 | Jul. 30, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 4 Listing Rules
Comments due: August 26, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-058 | ||
| 34-92433 | Jul. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118(a)
Comments due: August 12, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-057 | ||
| 34-92600 | Aug. 6, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM's Options Regulatory Fee
Comments due: September 2, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-055 | ||
| 34-92345 | Jul. 7, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Listing Rule 5910 to Establish Entry and All-Inclusive Annual Listing Fees for Companies Listing under IM-5101-2 on the Nasdaq Global Market
Comments due: August 3, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-054 | ||
| 34-93219 | Sep. 30, 2021 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Nasdaq IM-5101-2 to Permit an Acquisition Company to Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction
Comments due: October 27, 2021 Rebuttal comments due: November 10, 2021 |
| 34-92751 | Aug. 25, 2021 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Modify Listing Rule IM-5101-2 to Permit an Acquisition Company to Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction |
| 34-92344 | Jul. 7, 2021 | Notice of Filing of Proposed Rule Change to Modify Listing Rule IM-5101-2 to Permit an Acquisition Company to Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction
Comments due: August 3, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-053 | ||
| 34-92300 | Jun. 30, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits and Charges at Equity 7, Section 118(a)
Comments due: July 28, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-051 | ||
| 34-92242 | Jun. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 9, Section 18, Payments for Market Making
Comments due: July 20, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-049 | ||
| 34-92219 | Jun. 21, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date for Changing the Primary and Secondary Source of Quotation Data of MEMX LLC
Comments due: July 16, 2021 |
| SR-NASDAQ-2021-046 | ||
| 34-92134 | Jun. 9, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 114(f)
Comments due: July 6, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-045 | ||
| 34-93119 | Sep. 24, 2021 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing Primary Offering
Comments due: October 21, 2021 Rebuttal comments due: November 4, 2021 |
| 34-92649 | Aug. 12, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering |
| 34-92256 | Jun. 24, 2021 | Notice of Filing of Proposed Rule Change to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing Primary Offering
Comments due: July 21, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-044 | ||
| 34-92180 | Jun. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rules 4702 and 4703 in Light of Planned Changes to the System
Comments due: July 15, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-043 | ||
| 34-92012 | May 25, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118(a)
Comments due: June 22, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-040 | ||
| 34-93428 | Oct. 26, 2021 | 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 Establish the "Extended Trading Close" and a New "Extended Trading Close" Order Type
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-92905 | Sep. 9, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish the "Extended Trading Close" and a New "Extended Trading Close" Order Type |
| 34-92466 | Jul. 22, 2021 | Notice of Filing of Proposed Rule Change to Establish the "Extended Trading Close" and a New "Extended Trading Close" Order Type
Comments due: August 18, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-039 | ||
| 34-91843 | May 11, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend Publication on Certain Proprietary Data Feeds
Comments due: June 7, 2021 |
| SR-NASDAQ-2021-038 | ||
| 34-91885 | May 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of its Nasdaq Opening Cross Enhancements to the End of Q2 2021
Comments due: June 9, 2021 |
| SR-NASDAQ-2021-036 | ||
| 34-91874 | May 12, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Broker-Dealers that Purchase the Nasdaq Basic Enterprise License at Equity 7, Section 147(b)(5) to Distribute Nasdaq Last Sale ("NLS") to the General Investing Public
Comments due: June 8, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-032 | ||
| 34-91931 | May 18, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Rules at Options 4, Section 5, "Series of Options Contracts Open for Trading" to Limit Short Term Options Series Intervals Between Strikes
Comments due: June 14, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-033 | ||
| 34-91763 | May 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the
Comments due: June 1, 2021 |
| SR-NASDAQ-2021-030 | ||
| 34-91841 | May 11, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC Rules at Options 3, Section 7, Types of Orders and Order and Quote Protocols, and Options 3, Section 15, Risk Protections
Comments due: June 7, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-029 | ||
| 34-93437 | Oct. 27, 2021 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Additional File Nos.: SR-BX-2021-018, SR-C2-2021-008, SR-CBOE-2021-030, SR-CboeBYX-2021-011, SR-CboeBZX-2021-034, SR-CboeEDGA-2021-010, SR-CboeEDGX-2021-024, SR-GEMX-2021-03, SR-ISE-2021-08, SR-MRX-2021-05, SR-Phlx-2021-25 |
| 34-92207 | Jun. 17, 2021 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: July 15, 2021 Rebuttal comments due: July 29, 2021 Additional File Nos.: SR-BX-2021-018, SR-C2-2021-008, SR-CBOE-2021-030, SR-CboeBYX-2021-011, SR-CboeBZX-2021-034, SR-CboeEDGA-2021-010, SR-CboeEDGX-2021-024, SR-GEMX-2021-03, SR-ISE-2021-08, SR-MRX-2021-05, SR-Phlx-2021-25 |
| 34-91752 | May 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 1, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-028 | ||
| 34-91664 | Apr. 23, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust
Comments due: May 20, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-026 | ||
| 34-91735 | Apr. 30, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date of the Temporary Amendments Concerning Exchange Rule 1210 from April 30, 2021, to June 30, 2021
Comments due: May 27, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-025 | ||
| 34-91744 | May 3, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Connectivity, Surveillance and Risk Management Services and Fees
Comments due: May 28, 2021 |
| SR-NASDAQ-2021-023 | ||
| 34-91675 | Apr. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Nasdaq Rule 5760 to Permit the Listing and Trading of Managed Portfolio Shares
Comments due: May 24, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-022 | ||
| 34-91577 | Apr. 15, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Equity 11, Rule 11890 to the Close of Business on October 20, 2021
Comments due: May 12, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-021 | ||
| 34-91677 | Apr. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market's Pricing Schedule at Options 7, Section 1, General Provisions, and Options 7, Section 2, Nasdaq Options Market-Fees and Rebates
Comments due: May 21, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-020 | ||
| 34-91619 | Apr. 21, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118(a)
Comments due: May 18, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-018 | ||
| 34-91526 | Apr. 9, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Enhancements to the End of Day Summary Message on Nasdaq Last Sale Plus to May 17, 2021
Comments due: May 6, 2021 |
| SR-NASDAQ-2021-013 | ||
| 34-91492 | Apr. 7, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Insert Language Concerning an Initial Listing Requirement Applicable to American Depository Receipts or Shares
Comments due: May 4, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-012 | ||
| 34-91421 | Mar. 26, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive the Entry Fee and the All-Inclusive Annual Listing Fee for Any Company Not Listed on a National Securities Exchange That Is Listing upon Closing of Its Acquisition of a Special Purpose Acquisition Company Listed on Nasdaq
Comments due: April 22, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-011 | ||
| 34-91307 | Mar. 12, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118(a)
Comments due: April 8, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-010 | ||
| 34-91241 | Mar. 2, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the End of Day Summary Message on Nasdaq Last Sale Plus
Comments due: March 29, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-009 | ||
| 34-92068 | May 28, 2021 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Equity 4, Rule 4754 Relating to the Limit Up-Limit Down Closing Cross
Comments due: June 24, 2021 |
| 34-91581 | Apr. 15, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Equity 4, Rule 4754 Relating to the Limit-Up Limit-Down Closing Cross |
| 34-91208 | Feb. 25, 2021 | Notice of Filing of Proposed Rule Change to Amend Rule 4754 Relating to the Limit-Up Limit-Down Closing Cross
Comments due: March 24, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-008 | ||
| 34-91138 | Feb. 16, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rule 4759
Comments due: March 15, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-007 | ||
| 34-93256 | Oct. 4, 2021 | Order Granting Approval of a Proposed Rule Change to Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB with the Ability to Inspect Public Accounting Firms |
| 34-92637 | Aug. 11, 2021 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB with the Ability to Inspect Public Accounting Firms |
| 34-91904 | May 17, 2021 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB with the Ability to Inspect Public Accounting Firms
Comments due: June 11, 2021 Rebuttal comments due: June 25, 2021 |
| 34-91413 | Mar. 26, 2021 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB with the Ability to Inspect Public Accounting Firms |
| 34-91089 | Feb. 9, 2021 | Notice of Filing of Proposed Rule Change to Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB with the Ability to Inspect Public Accounting Firms
Comments due: March 9, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-006 | ||
| 34-91107 | Feb. 11, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Sections 114 and 118(a)
Comments due: March 11, 2021 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-005 | ||
| 34-91062 | Feb. 4, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to the ALPS Active REIT ETF of ALPS ETF Trust to list and trade shares of the Fund under Nasdaq Rule 5750
Comments due:& March 3, 2021 |
| SR-NASDAQ-2021-004 | ||
| 34-91461 | Apr. 2, 2021 | Order Approving Proposed Rule Change, as Modified by Amendment No. 2, to Disseminate Abbreviated Order Imbalance Information for the Nasdaq Opening Cross, Amend Certain Cutoff Times for On-Open Orders Entered for Participation in the Nasdaq Opening Cross, and Extend the Time Period for Accepting Certain Limit-On-Open Orders |
| 34-91096 | Feb. 10, 2021 | Notice of Filing of Proposed Rule Change to Disseminate Abbreviated Order Imbalance Information, Amend Certain Cutoff Times for On-Open Orders Entered For Participation in The Nasdaq Opening Cross and Extend the Time Period for Accepting Certain Limit On-Open Orders
Comments due: March 10, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-003 | ||
| 34-90954 | Jan. 19, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118
Comments due: February 16, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-002 | ||
| 34-91318 | Mar. 12, 2021 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Modify and Expand the Package of Complimentary Services Provided to Eligible Companies and to Update the Values of Certain Complimentary Services
Comments due: April 8, 2021 Additional Materials: Exhibit 4, Exhibit 5 |
| 34-90955 | Jan. 19, 2021 | Notice of Filing of Proposed Rule Change to Modify and Expand the Package of Complimentary Services Provided to Eligible Companies and Update the Values of Certain Complimentary Services
Comments due: February 16, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |