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

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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 RuleĀ 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 RuleĀ 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.