The Nasdaq Stock Market LLC (NASDAQ) Rulemaking

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Nasdaq File Number List for 2022

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Chronological List for 2022

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Release No. Date Details
Fourth Quarter
SR-NASDAQ-2022-067
34-96393 Nov. 28, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-064
34-96375 Nov. 22, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Options 7, Section 2
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-065
34-96341 Nov. 17, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Pending Amendments to Equity 4, Rules 4120, 4702 and 4703
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2022-063
34-96311 Nov. 15, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-059
34-96282 Nov. 9, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2022-060
34-96248 Nov. 7, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify an Implementation Timeframe for the Introduction of Enhanced Anti-Internalization Functionality
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
SR-NASDAQ-2022-057
34-96176 Oct. 28, 2022 Notice of Filing of Proposed Rule Change to Adopt Listing Rule 5732 to Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-058
34-96132 Oct. 24, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Equity 2, Section 3
Comments due: November 18, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-054
34-96104 Oct. 19, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Certain Port-Related Fees at Equity 7, Section 115 and Equity 7, Section 130
Comments due: November 15, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-015
34-96094 Oct. 17, 2022 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Exempt Non-Convertible Bonds Listed under Rule 5702 from Certain Corporate Governance Requirements
Comments due: November 11, 2022
SR-NASDAQ-2022-053
34-96091 Oct. 17, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118(a)
Comments due: November 11, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-056
34-96069 Oct. 13, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rule 4757
Comments due: November 9, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-055
34-96042 Oct. 12, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Nasdaq's Program Providing Eligible Companies with Complimentary Board Recruiting Services
Comments due: November 8, 2022
Additional Materials: Exhibit 5
Third Quarter
SR-NASDAQ-2022-027
34-95933 Sep. 27, 2022 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
SR-NASDAQ-2022-052
34-95902 Sep. 23, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Equity 11, Rule 11890
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-027
34-95811 Sep. 16, 2022 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 4, Exhibit 5
SR-NASDAQ-2022-051
34-95768 Sep. 14, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rules 4120, 4702 and 4703 in light of Planned Changes to the System
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-050
34-95718 Sep. 9, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118 and Clarify its Port-related Fees at Options 7, Section 3
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-049
34-95604 Aug. 25, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Port-related Fees, at Equity 7, Section 115, and Options 7, Section 3
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-047
34-95495 Aug. 12, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule Nasdaq Equity 6, Section 5
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-045
34-95458 Aug. 9, 2022 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: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-046
34-95450 Aug. 9, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits, at Equity 7, Section 118
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-044
34-95436 Aug. 5, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2022-015
34-95434 Aug. 5, 2022 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 Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
SR-NASDAQ-2022-042
34-95375 Jul. 27, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees to Add Two New Features to the Enterprise Licenses at Equity 7, Section 123(c)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-043
34-95329 Jul. 20, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Equity 11, Rule 11890 (Clearly Erroneous Transactions) to the Close of Business on October 20, 2022
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-040
34-95300 Jul. 15, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain NOM Market Maker Non-Penny Discounts in Options 7, Section 2
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-039
34-95226 Jul. 11, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits, at Equity 7, Section 118
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-027
34-95220 Jul. 7, 2022 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
SR-NASDAQ-2022-038
34-95216 Jul. 7, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Post-Trade Risk Management Product to Q4 2022
Comments due: 21 days after publication in the Federal Register
Second Quarter
SR-NASDAQ-2022-037
34-95164 Jun. 27, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees Concerning Enterprise Licenses at Equity 7, Section 123(c)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2022-036
34-95091 Jun. 13, 2022 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: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-035
34-95082 Jun. 10, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ALPS Active REIT ETF of ALPS ETF Trust to Provide for the Use of "Custom Baskets" Applicable to a Series of Proxy Portfolio Shares Listed Pursuant to Nasdaq Rule 5750
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2022-017
34-95069 Jun. 8, 2022 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Modify Equity 4, Rule 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
SR-NASDAQ-2022-027
34-94989 May 26, 2022 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 4, Exhibit 5
SR-NASDAQ-2022-027
34-94947 May 19, 2022 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 With a Capital Raise
SR-NASDAQ-2022-015
34-94941 May 18, 2022 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Comments received are available for this proposal.
SR-NASDAQ-2022-034
34-94918 May 16, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Nasdaq Amended and Restated Certificate of Incorporation
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2021-066
34-94853 May 5, 2022 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund under Nasdaq Rule 5711(g)
SR-NASDAQ-2022-017
34-94838 May 3, 2022 Notice of Filing of Amendment No. 1 to Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2022-017
34-94778 Apr. 21, 2022 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
SR-NASDAQ-2022-032
34-94774 Apr. 21, 2022 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 18, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2022-033
34-94763 Apr. 20, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Clearly Erroneous Pilot Until July 20, 2022
Comments due: May 17, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2022-031
34-94713 Apr. 13, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make the Market Wide Circuit Breaker Pilot a Permanent Program
Comments due: May 10, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-029
34-94704 Apr. 12, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Nasdaq's Post-Trade Risk Management Product to Q2 2022
Comments due: May 9, 2022
Comments received are available for this proposal.
SR-NASDAQ-2022-028
34-94610 Apr. 5, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Comments due: May 2, 2022
SR-NASDAQ-2022-027
34-94592 Apr. 4, 2022 Notice of Filing of Proposed Rule Change to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: April 29, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
First Quarter
SR-NASDAQ-2022-020
34-94492 Mar. 23, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4756(a)(3), in Light of Planned Changes to the System as well as to Address Existing Issues
Comments due: April 20, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-022
34-94473 Mar. 18, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 3, Rule 1002, Qualifications of Exchange Members and Associated Persons; Registration of Branch Offices and Designation of Office of Supervisory Jurisdiction
Comments due: April 14, 2022
SR-NASDAQ-2022-015
34-94471 Mar. 18, 2022 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
SR-NASDAQ-2022-024
34-94466 Mar. 18, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Monthly Media Enterprise License For The Distribution of Nasdaq Basic to The General Investing Public For Display Usage
Comments due: April 14, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-025
34-94451 Mar. 17, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Sections 114 and 118
Comments due: April 13, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2021-099
34-94450 Mar. 17, 2022 Order Approving Proposed Rule Change to Amend Nasdaq Rule 5815(d)(4) Regarding the Use of a Hearings Panel Monitor Following a Compliance Determination by a Nasdaq Listings Qualification Hearings Panel
SR-NASDAQ-2022-023
34-94447 Mar. 17, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Various Processes Under Options 3, Section 20 Across The Affiliated Nasdaq Options Exchanges
Comments due: April 13, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-006
34-94431 Mar. 16, 2022 Order Approving Proposed Rule Change to Enable Exchange Participants to Enter Midpoint Extended Life Orders and M-ELO Plus Continuous Book Orders with an Immediate-or-Cancel Time-in-Force Instruction
SR-NASDAQ-2022-026
34-94433 Mar. 16, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Market-Wide Circuit Breaker Pilot to April 18, 2022
Comments due: April 12, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-021
34-94400 Mar. 11, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Registration Rules in General 4
Comments due: April 7, 2022
SR-NASDAQ-2021-054
34-94389 Mar. 9, 2022 Order Disapproving 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
SR-NASDAQ-2022-017
34-94370 Mar. 7, 2022 Notice of Filing of Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
Comments due: April 1, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2021-066
34-94316 Feb. 25, 2022 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 List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund under Nasdaq Rule 5711(g)
SR-NASDAQ-2021-045
34-94311 Feb. 24, 2022 Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing Primary Offering
SR-NASDAQ-2021-101
34-94277 Feb. 17, 2022 Order Approving Proposed Rule Change to Amend Equity 4, Rule 4754 Relating to Certain Order Handling in the Limit Up-Limit Down Closing Cross
SR-NASDAQ-2022-015
34-94265 Feb. 16, 2022 Notice of Filing of Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
Comments due: March 16, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2022-012
34-94226 Feb. 11, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 115 of the Fee Schedule
Comments due: March 10, 2022
SR-NASDAQ-2022-013
34-94218 Feb. 10, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118
Comments due: March 9, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2021-099
34-94145 Feb. 3, 2022 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Nasdaq Rule 5815 Regarding the Use of a Panel Monitor Following a Compliance Determination by a Nasdaq Listings Qualification Hearings Panel
SR-NASDAQ-2022-010
34-94116 Feb. 1, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Obvious Error Rule
Comments due: February 28, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-011
34-94097 Jan. 28, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114 and Section 118 of the Fee Schedule
Comments due: February 24, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-006
34-94076 Jan. 27, 2022 Notice of Filing of Proposed Rule Change to Enable Exchange Members to Enter Midpoint Extended Life Orders and M-ELO Plus Continuous Book Orders with an Immediate-or-Cancel Time-in-Force Instruction
Comments due: February 23, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-004
34-94071 Jan. 26, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Listing Fees at Rule 5910(b) to Adopt a $15,000 All-Inclusive Annual Listing Fee Applicable to a Dually-Listed Company
Comments due: February 22, 2022
SR-NASDAQ-2022-007
34-94064 Jan. 26, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce NOM's Options Regulatory Fee
Comments due: February 22, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2021-040
34-94038 Jan. 24, 2022 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Establish the "Extended Trading Close" and Related Order Types
SR-NASDAQ-2022-003
34-94036 Jan. 24, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend References to FINRA Continuing Education Fees
Comments due: February 18, 2022
SR-NASDAQ-2022-001
34-93987 Jan. 18, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NOM Pricing Schedule at Options 7, Section 2
Comments due: February 14, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2021-107
34-93950 Jan. 11, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain Exchange Traded Product Listing Fees
Comments due: February 8, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2021-045
34-93924 Jan. 6, 2022 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing Primary Offering
Comments due: February 2, 2022
Additional Materials: Exhibit 4, Exhibit 5
SR-NASDAQ-2021-054
34-93891 Jan. 3, 2022 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a 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

File Number List for 2022


Release No. Date Details
SR-NASDAQ-2022-067
34-96393 Nov. 28, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-065
34-96341 Nov. 17, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Pending Amendments to Equity 4, Rules 4120, 4702 and 4703
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2022-064
34-96375 Nov. 22, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Options 7, Section 2
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-063
34-96311 Nov. 15, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-060
34-96248 Nov. 7, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify an Implementation Timeframe for the Introduction of Enhanced Anti-Internalization Functionality
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.
SR-NASDAQ-2022-059
34-96282 Nov. 9, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2022-058
34-96132 Oct. 24, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Equity 2, Section 3
Comments due: November 18, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-057
34-96176 Oct. 28, 2022 Notice of Filing of Proposed Rule Change to Adopt Listing Rule 5732 to Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-056
34-96069 Oct. 13, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rule 4757
Comments due: November 9, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-055
34-96042 Oct. 12, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Nasdaq's Program Providing Eligible Companies with Complimentary Board Recruiting Services
Comments due: November 8, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-054
34-96104 Oct. 19, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Certain Port-Related Fees at Equity 7, Section 115 and Equity 7, Section 130
Comments due: November 15, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-053
34-96091 Oct. 17, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118(a)
Comments due: November 11, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-052
34-95902 Sep. 23, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Equity 11, Rule 11890
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-051
34-95768 Sep. 14, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rules 4120, 4702 and 4703 in light of Planned Changes to the System
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-050
34-95718 Sep. 9, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118 and Clarify its Port-related Fees at Options 7, Section 3
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-049
34-95604 Aug. 25, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Port-related Fees, at Equity 7, Section 115, and Options 7, Section 3
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-047
34-95495 Aug. 12, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule Nasdaq Equity 6, Section 5
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-046
34-95450 Aug. 9, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits, at Equity 7, Section 118
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-045
34-95458 Aug. 9, 2022 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: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-044
34-95436 Aug. 5, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2022-043
34-95329 Jul. 20, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Equity 11, Rule 11890 (Clearly Erroneous Transactions) to the Close of Business on October 20, 2022
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-042
34-95375 Jul. 27, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees to Add Two New Features to the Enterprise Licenses at Equity 7, Section 123(c)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-040
34-95300 Jul. 15, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain NOM Market Maker Non-Penny Discounts in Options 7, Section 2
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-039
34-95226 Jul. 11, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits, at Equity 7,
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-038
34-95216 Jul. 7, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Post-Trade Risk Management Product to Q4 2022
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2022-037
34-95164 Jun. 27, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees Concerning Enterprise Licenses at Equity 7, Section 123(c)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2022-036
34-95091 Jun. 13, 2022 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: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-035
34-95082 Jun. 10, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ALPS Active REIT ETF of ALPS ETF Trust to Provide for the Use of "Custom Baskets" Applicable to a Series of Proxy Portfolio Shares Listed Pursuant to Nasdaq Rule 5750
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2022-034
34-94918 May 16, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Nasdaq Amended and Restated Certificate of Incorporation
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2022-033
34-94763 Apr. 20, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Clearly Erroneous Pilot Until July 20, 2022
Comments due: May 17, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2022-032
34-94774 Apr. 21, 2022 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 18, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2022-031
34-94713 Apr. 13, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make the Market Wide Circuit Breaker Pilot a Permanent Program
Comments due: May 10, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-029
34-94704 Apr. 12, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Nasdaq's Post-Trade Risk Management Product to Q2 2022
Comments due: May 9, 2022
Comments received are available for this proposal.
SR-NASDAQ-2022-028
34-94610 Apr. 5, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Comments due: May 2, 2022
SR-NASDAQ-2022-027
34-95933 Sep. 27, 2022 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
34-95811 Sep. 16, 2022 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 4, Exhibit 5
34-95220 Jul. 7, 2022 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
34-94989 May 26, 2022 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 4, Exhibit 5
34-94947 May 19, 2022 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 With a Capital Raise
34-94592 Apr. 4, 2022 Notice of Filing of Proposed Rule Change to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: April 29, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2022-026
34-94433 Mar. 16, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Market-Wide Circuit Breaker Pilot to April 18, 2022
Comments due: April 12, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-025
34-94451 Mar. 17, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Sections 114 and 118
Comments due: April 13, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-024
34-94466 Mar. 18, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Monthly Media Enterprise License For The Distribution of Nasdaq Basic to The General Investing Public For Display Usage
Comments due: April 14, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-023
34-94447 Mar. 17, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Various Processes Under Options 3, Section 20 Across The Affiliated Nasdaq Options Exchanges
Comments due: April 13, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-022
34-94473 Mar. 18, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 3, Rule 1002, Qualifications of Exchange Members and Associated Persons; Registration of Branch Offices and Designation of Office of Supervisory Jurisdiction
Comments due: April 14, 2022
SR-NASDAQ-2022-021
34-94400 Mar. 11, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Registration Rules in General 4
Comments due: April 7, 2022
SR-NASDAQ-2022-020
34-94492 Mar. 23, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4756(a)(3), in Light of Planned Changes to the System as well as to Address Existing Issues
Comments due: April 20, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-017
34-95069 Jun. 8, 2022 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Modify Equity 4, Rule 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
34-94838 May 3, 2022 Notice of Filing of Amendment No. 1 to Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.
34-94778 Apr. 21, 2022 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
34-94370 Mar. 7, 2022 Notice of Filing of Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
Comments due: April 1, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2022-015
34-96094 Oct. 17, 2022 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Exempt Non-Convertible Bonds Listed under Rule 5702 from Certain Corporate Governance Requirements
Comments due: November 11, 2022
34-95434 Aug. 5, 2022 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 Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
34-94941 May 18, 2022 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Comments received are available for this proposal.
34-94471 Mar. 18, 2022 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
34-94265 Feb. 16, 2022 Notice of Filing of Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
Comments due: March 16, 2022
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2022-013
34-94218 Feb. 10, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118
Comments due: March 9, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-012
34-94226 Feb. 11, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 115 of the Fee Schedule
Comments due: March 10, 2022
SR-NASDAQ-2022-011
34-94097 Jan. 28, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114 and Section 118 of the Fee Schedule
Comments due: February 24, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-010
34-94116 Feb. 1, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Obvious Error Rule
Comments due: February 28, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-007
34-94064 Jan. 26, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce NOM's Options Regulatory Fee
Comments due: February 22, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-006
34-94431 Mar. 16, 2022 Order Approving Proposed Rule Change to Enable Exchange Participants to Enter Midpoint Extended Life Orders and M-ELO Plus Continuous Book Orders with an Immediate-or-Cancel Time-in-Force Instruction
34-94076 Jan. 27, 2022 Notice of Filing of Proposed Rule Change to Enable Exchange Members to Enter Midpoint Extended Life Orders and M-ELO Plus Continuous Book Orders with an Immediate-or-Cancel Time-in-Force Instruction
Comments due: February 23, 2022
Additional Materials: Exhibit 5
SR-NASDAQ-2022-004
34-94071 Jan. 26, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Listing Fees at Rule 5910(b) to Adopt a $15,000 All-Inclusive Annual Listing Fee Applicable to a Dually-Listed Company
Comments due: February 22, 2022
SR-NASDAQ-2022-003
34-94036 Jan. 24, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend References to FINRA Continuing Education Fees
Comments due: February 18, 2022
SR-NASDAQ-2022-001
34-93987 Jan. 18, 2022 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NOM Pricing Schedule at Options 7, Section 2
Comments due: February 14, 2022
Additional Materials: Exhibit 5