NASDAQ Stock Market LLC (NASDAQ) Rulemaking
We encourage the public to submit comments on the following NASDAQ Stock Market LLC (NASDAQ) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Third Quarter |
Second Quarter |
First Quarter
NASDAQ File Number List for 2017
Additional Archives
2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
Chronological List for 2017
| Release No. | Date | Details |
|---|---|---|
| Third Quarter | ||
| SR-NASDAQ-2017-091 | ||
| 34-81591 | Sep. 13, 2017 | Notice of Filing of Proposed Rule Change to List and Trade Shares of Calvert Ultra-Short Income NextShares™
Comments due: October 10, 2017 Comments received are available for this proposal. |
| SR-NASDAQ-2017-088 | ||
| 34-81579 | Sep. 12, 2017 | Notice of Filing of Proposed Rule Change to Amend Rule 4703(a) to Allow Members to Designate when an Order with a RTFY or SCAN Routing Order Attribute will be Activated
Comments due: October 10, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-090 | ||
| 34-81574 | Sep. 11, 2017 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the Eaton Vance Oaktree Diversified Credit NextShares™
Comments due: October 6, 2017 |
| SR-NASDAQ-2017-061 | ||
| 34-81556 | Sep. 8, 2017 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 4702 and 4754 Relating to the Nasdaq Closing Cross and to Make Other Related Changes
Comments due: October 5, 2017 See also: Notice: Rel. No. 34-81188 |
| SR-NASDAQ-2017-055 | ||
| 34-81499 | Aug. 30, 2017 | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register See also: Notice: Rel. No. 34-80813 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-NASDAQ-2017-059 | ||
| 34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80952 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| SR-NASDAQ-2017-085 | ||
| 34-81493 | Aug. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4752(d)(2)(F)(i)
Comments due: September 26, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-083 | ||
| 34-81479 | Aug. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2 Entitled "NASDAQ Options Market - Fees and Rebates"
Comments due: September 20, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-084 | ||
| 34-81446 | Aug. 21, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Application of Rule 11140 in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
Comments due: September 15, 2017 |
| SR-NASDAQ-2017-081 | ||
| 34-81406 | Aug. 16, 2017 | Notice of Filing of a Proposed Rule Change to Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810
Comments due: September 12, 2017 |
| SR-NASDAQ-2017-082 | ||
| 34-81390 | Aug. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify When Nasdaq Will Utilize the Secondary Source of Data
Comments due: September 8, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-080 | ||
| 34-81361 | Aug. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-079 | ||
| 34-81360 | Aug. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy Program
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-068 | ||
| 34-81344 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The NASDAQ Options Market LLC Rules Regarding the Options Regulatory Fee
Comments due: September 5, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-078 | ||
| 34-81323 | Aug. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-074 | ||
| 34-81311 | Aug. 3, 2017 | Notice of Filing of Proposed Rule Change to Adopt the Midpoint Extended Life Order
Comments due: August 30, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-038 | ||
| 34-81265 | Jul. 31, 2017 | Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Relating to the First Trust Municipal High Income ETF
Comments due: August 25, 2017 |
| SR-NASDAQ-2017-077 | ||
| 34-81256 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter the Exchange's Fee Schedule for the Short Interest Report
Comments due: August 24, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-075 | ||
| 34-81250 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of the TotalView and OpenView Depth-of-Book Products
Comments due: August 23, 2017 |
| SR-NASDAQ-2017-073 | ||
| 34-81245 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Market Rules at Chapter IV, Section 6
Comments due: August 23, 2017 |
| SR-NASDAQ-2017-061 | ||
| 34-81188 | Jul. 21, 2017 | Notice of Filing of Proposed Rule Change to Amend Exchange Rules 4702 and 4754 to Enhance the Nasdaq Closing Cross
Comments due: August 17, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-81556 Comments received are available for this proposal. |
| SR-NASDAQ-2017-070 | ||
| 34-81182 | Jul. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Qualification Criteria Under the Qualified Market Maker Program at Rule 7014
Comments due: August 16, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-069 | ||
| 34-81171 | Jul. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance Anti-Internalization Functionality
Comments due: August 15, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-059 | ||
| 34-81167 | Jul. 18, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9
See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-80952 |
| SR-NASDAQ-2017-055 | ||
| 34-81145 | Jul. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-80813, Notice: Rel. No. 34-81499 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-NASDAQ-2017-065 | ||
| 34-81133 | Jul. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Trading Rights Fee
Comments due: August 8, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-038 | ||
| 34-81123 | Jul. 11, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Municipal High Income ETF
See also: Notice: Rel. No. 34-80802, Notice: Rel. No. 34-81265 |
| SR-NASDAQ-2017-067 | ||
| 34-81121 | Jul. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Customer and Professional Penny Pilot Options Tier 8 Rebate to Add Liquidity
Comments due: August 7, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-062 | ||
| 34-81120 | Jul. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5705(b) to Provide for the Inclusion of Cash in an Index or Portfolio Underlying a Series of Index Fund Shares
Comments due: August 7, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2016-161 | ||
| 34-81097 | Jul. 7, 2017 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757
See also: Notice: Rel. No. 34-80149, Notice: Rel. No. 34-79810, Notice: Rel. No. 34-79428 |
| SR-NASDAQ-2017-063 | ||
| 34-81090 | Jul. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the SPY Pilot Program
Comments due: August 3, 2017 Additional Materials: Exhibit 3, Exhibit 5 |
| Second Quarter | ||
| SR-NASDAQ-2017-046 | ||
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 See also: Notice: Rel. No. 34-80696 Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37 Comments received are available for this proposal. |
| SR-NASDAQ-2017-060 | ||
| 34-80997 | Jun. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7014(j)
Comments due: July 19, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-058 | ||
| 34-80994 | Jun. 21, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks
Comments due: July 18, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-059 | ||
| 34-80952 | Jun. 16, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9
Comments due: July 13, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-81167 Comments received are available for this proposal. | SR-NASDAQ-2017-039 |
| 34-80946 | Jun. 15, 2017 | Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Guggenheim Limited Duration ETF
Comments due: July 11, 2017 See also: Notice: Rel. No. 34-80540 |
| SR-NASDAQ-2017-056 | ||
| 34-80928 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018(a)(2)
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-054 | ||
| 34-80891 | Jun. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Merge the OpenView Depth-of-Book Product into TotalView
Comments due: July 5, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-053 | ||
| 34-80888 | Jun. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5110(c) to Permit a Reverse Merger Company to Qualify for Initial Listing Under Any Applicable Listing Standard After Satisfying the Required Seasoning Period
Comments due: July 5, 2017 |
| SR-NASDAQ-2017-051 | ||
| 34-80856 | Jun. 5, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7046
Comments due: June 30, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-015 | ||
| 34-80852 | Jun. 2, 2017 | Notice of Withdrawal of Proposed Rule Change to Adopt Rule 7017
See also: Notice: Rel. No. 34-80120, Notice: Rel. No. 34-80465 |
| SR-NASDAQ-2017-055 | ||
| 34-80813 | May 30, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 26, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-81145, Notice: Rel. No. 34-81499 Comments received are available for this proposal. |
| SR-NASDAQ-2017-052 | ||
| 34-80810 | May 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5735
Comments due: June 27, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-038 | ||
| 34-80802 | May 26, 2017 | Notice of Filing of Proposed Rule Change Relating to the First Trust Municipal High Income ETF
Comments due: June 23, 2017 See also: Notice: Rel. No. 34-81123, Notice: Rel. No. 34-81265 Comments received are available for this proposal. |
| SR-NASDAQ-2017-049 | ||
| 34-80756 | May 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: June 21, 2017 |
| SR-NASDAQ-2017-033 | ||
| 34-80745 | May 23, 2017 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of the First Trust California Municipal High Income ETF
See also: Notice: Rel. No. 34-80369 |
| SR-NASDAQ-2017-040 | ||
| 34-80708 | May 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Continued Listing Standards for Exchange-Traded Products
Comments due: June 13, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-046 | ||
| 34-80696 | May 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7004 and Chapter XV, Section 14
Comments due: June 12, 2017 Additional Materials: Exhibit 3, Exhibit 5 See also: Order: Rel. No. 34-81067 Comments received are available for this proposal. |
| SR-NASDAQ-2017-044 | ||
| 34-80655 | May 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4770 to Modify the Date of Appendix B Website Data Publication
Comments due: June 7, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-043 | ||
| 34-80630 | May 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702 (Order Types)
Comments due: June 5, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-029 | ||
| 34-80614 | May 5, 2017 | Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2, 3, and 4, to List and Trade Shares of the Gabelli Small Cap Growth Fund and the Gabelli RBI Fund Under Nasdaq Rule 5745
See also: Notice: Rel. No. 34-80315 |
| SR-NASDAQ-2017-042 | ||
| 34-80593 | May 4, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702 (Order Types) and Rule 4703 (Order Attributes)
Comments due: May 31, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-025 | ||
| 34-80591 | May 4, 2017 | Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 3 and 4, to List and Trade Shares of the Hartford Global Impact NextShares™ Fund Under Nasdaq Rule 5745
See also: Notice: Rel. No. 34-80237 |
| SR-NASDAQ-2017-041 | ||
| 34-80585 | May 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7047
Comments due: May 30, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2016-120 | ||
| 34-80558 | Apr. 28, 2017 | Notice of Filing of Amendments No. 1, 2, 3, 4, and 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, to Establish the Third Party Connectivity Service
Comments due: May 25, 2017 |
| SR-NASDAQ-2017-039 | ||
| 34-80540 | Apr. 27, 2017 | Notice of Filing of Proposed Rule Change to List and Trade the Guggenheim Limited Duration ETF
Comments due: May 24, 2017 Comments received are available for this proposal. |
| SR-NASDAQ-2017-037 | ||
| 34-80487 | Apr. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees at Rule 7030(d)(3)
Comments due: May 16, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-015 | ||
| 34-80465 | Apr. 17, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 7017
See also: Notice: Rel. No. 34-80852, Notice: Rel. No. 34-80120 |
| SR-NASDAQ-2017-035 | ||
| 34-80437 | Apr. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(f) to Amend the Designated Liquidity Provider Program
Comments due: May 9, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-031 | ||
| 34-80425 | Apr. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 (Order Attributes), Rule 4752 (Opening Process), Rule 4753 (Nasdaq Halt Cross) and Rule 4754 (Nasdaq Closing Cross)
Comments due: May 8, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-034 | ||
| 34-80391 | Apr. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Functionality Relating to Midpoint Peg Post-Only Orders and Orders with Midpoint Pegging
Comments due: May 3, 2017 |
| SR-NASDAQ-2017-030 | ||
| 34-80380 | Apr. 5, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Fees for Certain Connectivity under Rule 7015(g)(1) and Rule 7034(b)
Comments due: May 2, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-033 | ||
| 34-80369 | Apr. 4, 2017 | Notice of Filing of Proposed Rule Change to List and Trade the Shares of the First Trust California Municipal High Income ETF
Comments due: May 1, 2017 See also: Order: Rel. No. 34-80745 Comments received are available for this proposal. |
| First Quarter | ||
| SR-NASDAQ-2017-032 | ||
| 34-80348 | Mar. 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5710
Comments due: April 26, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-029 | ||
| 34-80315 | Mar. 27, 2017 | Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds
Comments due: April 21, 2017 See also: Order: Rel. No. 34-80614 Comments received are available for this proposal. |
| SR-NASDAQ-2017-008 | ||
| 34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79935 Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
| SR-NASDAQ-2017-025 | ||
| 34-80237 | Mar. 14, 2017 | Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds
Comments due: April 10, 2017 See also: Order: Rel. No. 34-80591 Comments received are available for this proposal. |
| SR-NASDAQ-2017-024 | ||
| 34-80229 | Mar. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Collection Requirements in Rule 4470
Comments due: April 7, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-021 | ||
| 34-80217 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter X, Section 7(a) of the Exchange's Options Rules
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-028 | ||
| 34-80216 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 and Rule 4753
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-023 | ||
| 34-80210 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Continued Listing Requirements for Exchange-Traded Products
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-026 | ||
| 34-80192 | Mar. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a) to Adopt Two Credits
Comments due: April 5, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-022 | ||
| 34-80153 | Mar. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services
Comments due: March 30, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2016-161 | ||
| 34-80149 | Mar. 3, 2017 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757
Comments due: April 13, 2017 Rebuttal comments due: 35 days after publication in the Federal Register See also: Order: Rel. No. 34-81097, Notice: Rel. No. 34-79810, Notice: Rel. No. 34-79428 |
| SR-NASDAQ-2017-015 | ||
| 34-80120 | Feb. 28, 2017 | Notice of Filing of Proposed Rule Change to Adopt Rule 7017
Comments due: March 27, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-80852, Notice: Rel. No. 34-80465 |
| SR-NASDAQ-2017-020 | ||
| 34-80107 | Feb. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VII, Section 6 of the Options Rules Relating to Market Maker Quotations
Comments due: March 23, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2016-120 | ||
| 34-80098 | Feb. 24, 2017 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Rules 7034 and 7051 to Establish the Third Party Connectivity Service
See also: Notice: Rel. No. 34-79431, Notice: Rel. No. 34-79049, Notice: Rel. No. 34-78713, Notice: Rel. No. 34-80558 |
| SR-NASDAQ-2017-017 | ||
| 34-80088 | Feb. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Port-Related Fees at Rules 7015 and 7016(b) to Eliminate Prorated Billing
Comments due: March 21, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-016 | ||
| 34-80051 | Feb. 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: March 15, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-013 | ||
| 34-80045 | Feb. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of its Functionality Relating to Post-Only Orders and Orders with Midpoint Pegging, and its Trade-Now Functionality
Comments due: March 15, 2017 |
| SR-NASDAQ-2017-007 | ||
| 34-80015 | Feb. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Data Fees at Rule 7026
Comments due: March 9, 2017 |
| SR-NASDAQ-2016-183 | ||
| 34-80013 | Feb. 10, 2017 | Order Granting Approval of a Proposed Rule Change to Conform to Proposed Amendment to Rule 15c6-1(a) under the Securities Exchange Act of 1934 to Shorten the Standard Settlement Cycle from Three Business Days after the Trade Date to Two Business Days after the Trade Date
See also: Notice: Rel. No. 34-79687 |
| SR-NASDAQ-2016-169 | ||
| 34-79996 | Feb. 9, 2017 | Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1s, To Accept Orders Routed Inbound from the International Stock Exchange, LLC, ISE Gemini, LLC, and ISE Mercury, LLC, by Nasdaq Execution Services, LLC
Additional File Nos.: SR-BX-2016-068, SR-Phlx-2016-120 See also: Notice: Rel. No. 34-79662, Notice: Rel. No. 34-79661, Notice: Rel. No. 34-79660 |
| SR-NASDAQ-2017-008 | ||
| 34-79935 | Feb. 2, 2017 | Notice of Filing of Proposed Rule Change to Adopt Rules Regarding the CAT NMS Plan
Comments due: March 1, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80256 Comments received are available for this proposal. |
| SR-NASDAQ-2016-131 | ||
| 34-79876 | Jan. 25, 2017 | Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility
See also: Notice: Rel. No. 34-79551, Notice: Rel. No. 34-79158 |
| SR-NASDAQ-2016-141 | ||
| 34-79874 | Jan. 25, 2017 | Notice of Withdrawal of a Proposed Rule Change to Amend Rule 4702 to Adopt a New Retail Post-Only Order
See also: Notice: Rel. No. 34-79554, Notice: Rel. No. 34-79163 |
| SR-NASDAQ-2017-004 | ||
| 34-79863 | Jan. 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Data Fees at Rule 7023
Comments due: February 17, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-003 | ||
| 34-79862 | Jan. 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Gabelli All Cap NextShares of the Gabelli NextShares Trust
Comments due: February 17, 2017 |
| SR-NASDAQ-2017-005 | ||
| 34-79849 | Jan. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Fees at Rule 7015(h) Assessed for VTE Terminal Connectivity
Comments due: February 16, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-001 | ||
| 34-79809 | Jan. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees to Implement New Incentive
Comments due: February 14, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2016-161 | ||
| 34-79810 | Jan. 17, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757
See also: Order: Rel. No. 34-81097, Notice: Rel. No. 34-80149, Notice: Rel. No. 34-79428 |
| SR-NASDAQ-2017-002 | ||
| 34-79791 | Jan. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018
Comments due: February 13, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2016-135 | ||
| 34-79784 | Jan. 12, 2017 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Relating to Continued Listing Requirements for Exchange-Traded Products
Comments due: February 9, 2017 See also: Notice: Rel. No. 34-79399, Notice: Rel. No. 34-79081 Comments received are available for this proposal. |
| SR-NASDAQ-2016-173 | ||
| 34-79770 | Jan. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the All-Inclusive Annual Listing Fee for Limited Partnerships Listed on Nasdaq
Comments due: February 7, 2017 |
NASDAQ File Number List for 2017
| Release No. | Date | Details |
|---|---|---|
| SR-NASDAQ-2017-091 | ||
| 34-81591 | Sep. 13, 2017 | Notice of Filing of Proposed Rule Change to List and Trade Shares of Calvert Ultra-Short Income NextShares™
Comments due: October 10, 2017 Comments received are available for this proposal. |
| SR-NASDAQ-2017-090 | ||
| 34-81574 | Sep. 11, 2017 | Notice of Filing of Proposed Rule Change to List and Trade Shares of the Eaton Vance Oaktree Diversified Credit NextShares™
Comments due: October 6, 2017 |
| SR-NASDAQ-2017-088 | ||
| 34-81579 | Sep. 12, 2017 | Notice of Filing of Proposed Rule Change to Amend Rule 4703(a) to Allow Members to Designate when an Order with a RTFY or SCAN Routing Order Attribute will be Activated
Comments due: October 10, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-085 | ||
| 34-81493 | Aug. 29, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4752(d)(2)(F)(i)
Comments due: September 26, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-084 | ||
| 34-81446 | Aug. 21, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Address the Application of Rule 11140 in Connection with the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017
Comments due: September 15, 2017 |
| SR-NASDAQ-2017-083 | ||
| 34-81479 | Aug. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2 Entitled "NASDAQ Options Market - Fees and Rebates"
Comments due: September 20, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-082 | ||
| 34-81390 | Aug. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify When Nasdaq Will Utilize the Secondary Source of Data
Comments due: September 8, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-081 | ||
| 34-81406 | Aug. 16, 2017 | Notice of Filing of a Proposed Rule Change to Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810
Comments due: September 12, 2017 |
| SR-NASDAQ-2017-080 | ||
| 34-81361 | Aug. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-079 | ||
| 34-81360 | Aug. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Access and Routing Subsidy Program
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-078 | ||
| 34-81323 | Aug. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-077 | ||
| 34-81256 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Alter the Exchange's Fee Schedule for the Short Interest Report
Comments due: August 24, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-075 | ||
| 34-81250 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Effective Date of the TotalView and OpenView Depth-of-Book Products
Comments due: August 23, 2017 |
| SR-NASDAQ-2017-074 | ||
| 34-81311 | Aug. 3, 2017 | Notice of Filing of Proposed Rule Change to Adopt the Midpoint Extended Life Order
Comments due: August 30, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-073 | ||
| 34-81245 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Market Rules at Chapter IV, Section 6
Comments due: August 23, 2017 |
| SR-NASDAQ-2017-070 | ||
| 34-81182 | Jul. 20, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Qualification Criteria Under the Qualified Market Maker Program at Rule 7014
Comments due: August 16, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-069 | ||
| 34-81171 | Jul. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance Anti-Internalization Functionality
Comments due: August 15, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-068 | ||
| 34-81344 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The NASDAQ Options Market LLC Rules Regarding the Options Regulatory Fee
Comments due: September 5, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-067 | ||
| 34-81121 | Jul. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Customer and Professional Penny Pilot Options Tier 8 Rebate to Add Liquidity
Comments due: August 7, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-065 | ||
| 34-81133 | Jul. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Trading Rights Fee
Comments due: August 8, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-063 | ||
| 34-81090 | Jul. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the SPY Pilot Program
Comments due: August 3, 2017 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NASDAQ-2017-062 | ||
| 34-81120 | Jul. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5705(b) to Provide for the Inclusion of Cash in an Index or Portfolio Underlying a Series of Index Fund Shares
Comments due: August 7, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-061 | ||
| 34-81556 | Sep. 8, 2017 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 4702 and 4754 Relating to the Nasdaq Closing Cross and to Make Other Related Changes
Comments due: October 5, 2017 |
| 34-81188 | Jul. 21, 2017 | Notice of Filing of Proposed Rule Change to Amend Exchange Rules 4702 and 4754 to Enhance the Nasdaq Closing Cross
Comments due: August 17, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-060 | ||
| 34-80997 | Jun. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7014(j)
Comments due: July 19, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-059 | ||
| 34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80952 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| 34-81167 | Jul. 18, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9 |
| 34-80952 | Jun. 16, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 6896 and Chapter IX, Section 9
Comments due: July 13, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-058 | ||
| 34-80994 | Jun. 21, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks
Comments due: July 18, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-056 | ||
| 34-80928 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7018(a)(2)
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-055 | ||
| 34-81499 | Aug. 30, 2017 | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-81145 | Jul. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-IEX-2017-18, SR-ISE-2017-46, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE- 2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-80813 | May 30, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 26, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-054 | ||
| 34-80891 | Jun. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Merge the OpenView Depth-of-Book Product into TotalView
Comments due: July 5, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-053 | ||
| 34-80888 | Jun. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5110(c) to Permit a Reverse Merger Company to Qualify for Initial Listing Under Any Applicable Listing Standard After Satisfying the Required Seasoning Period
Comments due: July 5, 2017 |
| SR-NASDAQ-2017-052 | ||
| 34-80810 | May 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5735
Comments due: June 27, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-051 | ||
| 34-80856 | Jun. 5, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7046
Comments due: June 30, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-049 | ||
| 34-80756 | May 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: June 21, 2017 |
| SR-NASDAQ-2017-046 | ||
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 Additional File Nos.: SR-BatsBYX-2017-11; SR-BatsBZX-2017-38; SR-BatsEDGA-2017-13; SR-BatsEDGX-2017-22; SR-BOX-2017-16; SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37 Comments received are available for this proposal. |
| 34-80696 | May 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7004 and Chapter XV, Section 14
Comments due: June 12, 2017 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-044 | ||
| 34-80655 | May 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4770 to Modify the Date of Appendix B Website Data Publication
Comments due: June 7, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-043 | ||
| 34-80630 | May 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702 (Order Types)
Comments due: June 5, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-042 | ||
| 34-80593 | May 4, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702 (Order Types) and Rule 4703 (Order Attributes)
Comments due: May 31, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-041 | ||
| 34-80585 | May 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Rule 7047
Comments due: May 30, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-040 | ||
| 34-80708 | May 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Continued Listing Standards for Exchange-Traded Products
Comments due: June 13, 2017 Additional Materials: Exhibit 5 | SR-NASDAQ-2017-039 |
| 34-80946 | Jun. 15, 2017 | Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Guggenheim Limited Duration ETF
Comments due: July 11, 2017 |
| 34-80540 | Apr. 27, 2017 | Notice of Filing of Proposed Rule Change to List and Trade the Guggenheim Limited Duration ETF
Comments due: May 24, 2017 Comments received are available for this proposal. |
| SR-NASDAQ-2017-038 | ||
| 34-81265 | Jul. 31, 2017 | Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Relating to the First Trust Municipal High Income ETF
Comments due: August 25, 2017 |
| 34-81123 | Jul. 11, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Municipal High Income ETF |
| 34-80802 | May 26, 2017 | Notice of Filing of Proposed Rule Change Relating to the First Trust Municipal High Income ETF
Comments due: June 23, 2017 Comments received are available for this proposal. |
| SR-NASDAQ-2017-037 | ||
| 34-80487 | Apr. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees at Rule 7030(d)(3)
Comments due: May 16, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-035 | ||
| 34-80437 | Apr. 12, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(f) to Amend the Designated Liquidity Provider Program
Comments due: May 9, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-034 | ||
| 34-80391 | Apr. 6, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Functionality Relating to Midpoint Peg Post-Only Orders and Orders with Midpoint Pegging
Comments due: May 3, 2017 |
| SR-NASDAQ-2017-033 | ||
| 34-80745 | May 23, 2017 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of the First Trust California Municipal High Income ETF |
| 34-80369 | Apr. 4, 2017 | Notice of Filing of Proposed Rule Change to List and Trade the Shares of the First Trust California Municipal High Income ETF
Comments due: May 1, 2017 Comments received are available for this proposal. |
| SR-NASDAQ-2017-032 | ||
| 34-80348 | Mar. 30, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5710
Comments due: April 26, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-031 | ||
| 34-80425 | Apr. 11, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 (Order Attributes), Rule 4752 (Opening Process), Rule 4753 (Nasdaq Halt Cross) and Rule 4754 (Nasdaq Closing Cross)
Comments due: May 8, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-030 | ||
| 34-80380 | Apr. 5, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Fees for Certain Connectivity under Rule 7015(g)(1) and Rule 7034(b)
Comments due: May 2, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-029 | ||
| 34-80614 | May 5, 2017 | Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2, 3, and 4, to List and Trade Shares of the Gabelli Small Cap Growth Fund and the Gabelli RBI Fund Under Nasdaq Rule 5745 |
| 34-80315 | Mar. 27, 2017 | Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds
Comments due: April 21, 2017 Comments received are available for this proposal. |
| SR-NASDAQ-2017-028 | ||
| 34-80216 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 and Rule 4753
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-026 | ||
| 34-80192 | Mar. 9, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a) to Adopt Two Credits
Comments due: April 5, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-025 | ||
| 34-80591 | May 4, 2017 | Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 3 and 4, to List and Trade Shares of the Hartford Global Impact NextShares™ Fund Under Nasdaq Rule 5745 |
| 34-80237 | Mar. 14, 2017 | Notice of Filing of Proposed Rule Change to List and Trade Exchange-Traded Managed Funds
Comments due: April 10, 2017 Comments received are available for this proposal. |
| SR-NASDAQ-2017-024 | ||
| 34-80229 | Mar. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Data Collection Requirements in Rule 4470
Comments due: April 7, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-023 | ||
| 34-80210 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Continued Listing Requirements for Exchange-Traded Products
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-022 | ||
| 34-80153 | Mar. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services
Comments due: March 30, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-021 | ||
| 34-80217 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter X, Section 7(a) of the Exchange's Options Rules
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-020 | ||
| 34-80107 | Feb. 24, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VII, Section 6 of the Options Rules Relating to Market Maker Quotations
Comments due: March 23, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-017 | ||
| 34-80088 | Feb. 22, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Port-Related Fees at Rules 7015 and 7016(b) to Eliminate Prorated Billing
Comments due: March 21, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-016 | ||
| 34-80051 | Feb. 16, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: March 15, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-015 | ||
| 34-80852 | Jun. 2, 2017 | Notice of Withdrawal of Proposed Rule Change to Adopt Rule 7017 |
| 34-80465 | Apr. 17, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 7017 |
| 34-80120 | Feb. 28, 2017 | Notice of Filing of Proposed Rule Change to Adopt Rule 7017
Comments due: March 27, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-013 | ||
| 34-80045 | Feb. 15, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of its Functionality Relating to Post-Only Orders and Orders with Midpoint Pegging, and its Trade-Now Functionality
Comments due: March 15, 2017 |
| SR-NASDAQ-2017-008 | ||
| 34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
| 34-79935 | Feb. 2, 2017 | Notice of Filing of Proposed Rule Change to Adopt Rules Regarding the CAT NMS Plan
Comments due: March 1, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-007 | ||
| 34-80015 | Feb. 10, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Data Fees at Rule 7026
Comments due: March 9, 2017 |
| SR-NASDAQ-2017-005 | ||
| 34-79849 | Jan. 19, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Fees at Rule 7015(h) Assessed for VTE Terminal Connectivity
Comments due: February 16, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-004 | ||
| 34-79863 | Jan. 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Data Fees at Rule 7023
Comments due: February 17, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-003 | ||
| 34-79862 | Jan. 23, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Gabelli All Cap NextShares of the Gabelli NextShares Trust
Comments due: February 17, 2017 |
| SR-NASDAQ-2017-002 | ||
| 34-79791 | Jan. 13, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018
Comments due: February 13, 2017 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-001 | ||
| 34-79809 | Jan. 17, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees to Implement New Incentive
Comments due: February 14, 2017 Additional Materials: Exhibit 5 |