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
Third Quarter |  Second Quarter |  First Quarter

Nasdaq File Number List for 2018

Additional Archives


Chronological List for 2018

Release No. Date Details
Third Quarter
SR-NASDAQ-2018-056
34-83670 Jul. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7015(b) to Provide for Port Connectivity the FINRA/Nasdaq Trade Reporting Facility Chicago
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-052
34-83653 Jul. 17, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules Relating to Market Maker Quotations
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-051
34-83623 Jul. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules and Adopt a Zero Bid Options Rule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-050
34-83618 Jul. 11, 2018 Notice of Filing of Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2018-038
34-83595 Jul. 5, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
SR-NASDAQ-2017-128
34-83588 Jul. 3, 2018 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF
Second Quarter
SR-NASDAQ-2018-048
34-83527 Jun. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Penny Pilot Program
Comments due: July 23, 2018
SR-NASDAQ-2018-047
34-83522 Jun. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: July 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-046
34-83482 Jun. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702
Comments due: July 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-045
34-83466 Jun. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity
Comments due: July 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-042
34-83435 Jun. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(j) and Rule 7018(a)
Comments due: July 11, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-044
34-83421 Jun. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules at Supplementary Material to Chapter III, Section 7, Entitled "Position Limits," and Section 9, Entitled "Exercise Limits"
Comments due: July 10, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-040
34-83405 Jun. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Descriptions of Certain Data Feeds within The Nasdaq Options Market
Comments due: July 6, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-041
34-83395 Jun. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Listing Standard for Paired Share Units
Comments due: July 5, 2018
SR-NASDAQ-2017-087
34-83383 Jun. 5, 2018 Notice of Withdrawal of Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination
SR-NASDAQ-2018-008
34-83294 May 21, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
Comments due: June 15, 2018
Rebuttal comments due: June 29, 2018
SR-NASDAQ-2018-038
34-83272 May 17, 2018 Notice of Filing of Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
Comments due: June 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-037
34-83228 May 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Order Spread Protection
Comments due: June 8, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-035
34-83198 May 9, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Order and Execution Available to Participants into Chapter VI, Section 19, Entitled Data Feeds
Comments due: June 5, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-036
34-83193 May 9, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reorganize and Amend The Nasdaq Options Market LLC Chapter XV, Section 3, entitled "Nasdaq Options Market - Ports and Other Services
Comments due: June 5, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-032
34-83142 May 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Exchange-Traded Managed Fund Shares of the Gabelli Pet Parent Fund under Nasdaq Rule 5745
Comments due: May 29, 2018
SR-NASDAQ-2018-031
34-83132 Apr. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702(b)(5), Rule 4703(d), Rule 4752(d)(2)(B), and Rule 4754(b)(2)(B)
Comments due: May 25, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-088
34-83125 Apr. 27, 2018 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Nasdaq Rule 4703(a) to Allow Members to Designate an Order with a RTFY or SCAN Routing Order Attribute to Activate at 7:00 a.m. ET
Comments due: May 24, 2018
SR-NASDAQ-2018-030
34-83115 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules of the Rule 7000A Series to Make Conforming and Technical Changes
Comments due: May 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-029
34-83091 Apr. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4120 to Correct a Citation
Comments due: May 18, 2018
SR-NASDAQ-2018-027
34-83054 Apr. 17, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Duplicative Rules Related to the Consolidated Audit Trail from Its Rulebook
Comments due: May 14, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-012
34-83046 Apr. 13, 2018 Order Granting Approval of a Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF
SR-NASDAQ-2018-025
34-83025 Apr. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: May 7, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-087
34-83010 Apr. 6, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination
SR-NASDAQ-2017-128
34-83007 Apr. 6, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Western Asset Total Return ETF
Comments due: May 3, 2018
Rebuttal comments due: May 17, 2018
SR-NASDAQ-2018-008
34-82994 Apr. 4, 2018 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due:  days after publication in the Federal Register
SR-NASDAQ-2018-026
34-82982 Apr. 2, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify that the Validea Market Legends ETF Will Be Passively-Managed Rather than Actively-Managed
Comments due: April 27, 2018
First Quarter
SR-NASDAQ-2018-023
34-82976 Mar. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Disclosure Services Offered to Certain New Listings
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-024
34-82969 Mar. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Requirements for Delivery of a Contrary Exercise Advice
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-022
34-82964 Mar. 29, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7034
Comments due: April 25, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-019
34-82940 Mar. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2, Which Governs the Pricing for Nasdaq Participants Using The Nasdaq Options Market
Comments due: April 19, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-020
34-82921 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4370 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates
Comments due: April 17, 2018
Comments received are available for this proposal.
SR-NASDAQ-2018-021
34-82905 Mar. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Rule 7018 to Charge No Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: April 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-088
34-82871 Mar. 14, 2018 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 Allow Participants to Designate when an Order with a RTFY or SCAN Routing Order Attribute will be Activated During Pre-Market Hours
SR-NASDAQ-2017-074
34-82825 Mar. 7, 2018 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to Adopt the Midpoint Extended Life Order
Comments due:  April 3, 2018
SR-NASDAQ-2018-017
34-82822 Mar. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014 to Eliminate the Small Cap Incentive Program and the Limit Up Limit Down Pricing Program
Comments due:  April 3, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-016
34-82811 Mar. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Nasdaq Options Market LLC Data Feed Offerings
Comments due: March 30, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-015
34-82791 Feb. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify IM-5900-7 to Update the Values of, and Permit a Third-Party Provider Selected by Nasdaq to Offer, Certain Complimentary Services Provided to Certain Newly Listing Companies Pursuant to the Rule
Comments due: March 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-013
34-82790 Feb. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: March 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-014
34-82775 Feb. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule 4758 to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: March 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-012
34-82761 Feb. 22, 2018 Notice of Filing of Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF
Comments due: March 21, 2018
SR-NASDAQ-2017-128
34-82757 Feb. 21, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF
SR-NASDAQ-2017-131
34-82730 Feb. 16, 2018 Order Granting Approval of a Proposed Rule Change to List and Trade the Shares of the Reinhart Intermediate Bond NextShares Fund Under Nasdaq Rule 5745
SR-NASDAQ-2018-010
34-82723 Feb. 15, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7039 to Modify Pricing for the Nasdaq Last Sale Data Product and to Make Other Related Changes to Nasdaq Rules
Comments due: March 15, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-011
34-82709 Feb. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: March 14, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-008
34-82702 Feb. 13, 2018 Notice of Filing of Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due: March 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-074
34-82629 Feb. 5, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt the Midpoint Extended Life Order
SR-NASDAQ-2018-007
34-82604 Jan. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-006
34-82589 Jan. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Technical Adjustment to its Rules to Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less than $1.00
Comments due: February 22, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-005
34-82573 Jan. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Listing Underlying Securities
Comments due: February 20, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-123
34-82564 Jan. 22, 2018 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Causeway International Value NextShares™ and the Causeway Global Value NextShares™
SR-NASDAQ-2018-004
34-82541 Jan. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7047
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-124
34-82530 Jan. 18, 2018 Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of Brandes Value NextShares Under Nasdaq Rule 5745
SR-NASDAQ-2017-055
34-82524 Jan. 17, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
SR-NASDAQ-2017-046
34-82503 Jan. 16, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37
SR-NASDAQ-2018-001
34-82493 Jan. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Credits at Rule 7018(a)
Comments due:  February 9, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-002
34-82479 Jan. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 6200 to Codify Participant Risk Settings in the Exchange's Trading System (As Set Forth in a Proposed IM-6200-1) and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the Participant
Comments due:  February 7, 2018
SR-NASDAQ-2017-133
34-82481 Jan. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Transitional Rules that Have Expired Related to Compensation Committee Listing Standards
Comments due:  February 7, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-087
34-82478 Jan. 9, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination
Comments due: February 6, 2018
Comments received are available for this proposal.
SR-NASDAQ-2017-134
34-82467 Jan. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7037
Comments due: February 6, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-128
34-82439 Jan. 3, 2018 Notice of Filing of Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF
Comments due: January 30, 2018

Nasdaq File Number List for 2018

Release No. Date Details
SR-NASDAQ-2018-056
34-83670 Jul. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7015(b) to Provide for Port Connectivity the FINRA/Nasdaq Trade Reporting Facility Chicago
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-052
34-83653 Jul. 17, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules Relating to Market Maker Quotations
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-051
34-83623 Jul. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules and Adopt a Zero Bid Options Rule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-050
34-83618 Jul. 11, 2018 Notice of Filing of Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2018-048
34-83527 Jun. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Penny Pilot Program
Comments due: July 23, 2018
SR-NASDAQ-2018-047
34-83522 Jun. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: July 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-046
34-83482 Jun. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702
Comments due: July 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-045
34-83466 Jun. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity
Comments due: July 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-044
34-83421 Jun. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules at Supplementary Material to Chapter III, Section 7, Entitled "Position Limits," and Section 9, Entitled "Exercise Limits"
Comments due: July 10, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-042
34-83435 Jun. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(j) and Rule 7018(a)
Comments due: July 11, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-041
34-83395 Jun. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Listing Standard for Paired Share Units
Comments due: July 5, 2018
SR-NASDAQ-2018-040
34-83405 Jun. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Descriptions of Certain Data Feeds within The Nasdaq Options Market
Comments due: July 6, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-038
34-83595 Jul. 5, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
34-83272 May 17, 2018 Notice of Filing of Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
Comments due: June 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-037
34-83228 May 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Order Spread Protection
Comments due: June 8, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-036
34-83193 May 9, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reorganize and Amend The Nasdaq Options Market LLC Chapter XV, Section 3, entitled "Nasdaq Options Market - Ports and Other Services
Comments due: June 5, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-035
34-83198 May 9, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Order and Execution Available to Participants into Chapter VI, Section 19, Entitled Data Feeds
Comments due: June 5, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-032
34-83142 May 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Exchange-Traded Managed Fund Shares of the Gabelli Pet Parent Fund under Nasdaq Rule 5745
Comments due: May 29, 2018
SR-NASDAQ-2018-031
34-83132 Apr. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702(b)(5), Rule 4703(d), Rule 4752(d)(2)(B), and Rule 4754(b)(2)(B)
Comments due: May 25, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-030
34-83115 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules of the Rule 7000A Series to Make Conforming and Technical Changes
Comments due: May 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-029
34-83091 Apr. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4120 to Correct a Citation
Comments due: May 18, 2018
SR-NASDAQ-2018-027
34-83054 Apr. 17, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Duplicative Rules Related to the Consolidated Audit Trail from Its Rulebook
Comments due: May 14, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-026
34-82982 Apr. 2, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify that the Validea Market Legends ETF Will Be Passively-Managed Rather than Actively-Managed
Comments due: April 27, 2018
SR-NASDAQ-2018-025
34-83025 Apr. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: May 7, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-024
34-82969 Mar. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Requirements for Delivery of a Contrary Exercise Advice
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-023
34-82976 Mar. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Disclosure Services Offered to Certain New Listings
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-022
34-82964 Mar. 29, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7034
Comments due: April 25, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-021
34-82905 Mar. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Rule 7018 to Charge No Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: April 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-020
34-82921 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4370 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates
Comments due: April 17, 2018
Comments received are available for this proposal.
SR-NASDAQ-2018-019
34-82940 Mar. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2, Which Governs the Pricing for Nasdaq Participants Using The Nasdaq Options Market
Comments due: April 19, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-017
34-82822 Mar. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014 to Eliminate the Small Cap Incentive Program and the Limit Up Limit Down Pricing Program
Comments due:  April 3, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-016
34-82811 Mar. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Nasdaq Options Market LLC Data Feed Offerings
Comments due: March 30, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-015
34-82791 Feb. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify IM-5900-7 to Update the Values of, and Permit a Third-Party Provider Selected by Nasdaq to Offer, Certain Complimentary Services Provided to Certain Newly Listing Companies Pursuant to the Rule
Comments due: March 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-014
34-82775 Feb. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule 4758 to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: March 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-013
34-82790 Feb. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: March 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-012
34-83046 Apr. 13, 2018 Order Granting Approval of a Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF
34-82761 Feb. 22, 2018 Notice of Filing of Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF
Comments due: March 21, 2018
SR-NASDAQ-2018-011
34-82709 Feb. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: March 14, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-010
34-82723 Feb. 15, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7039 to Modify Pricing for the Nasdaq Last Sale Data Product and to Make Other Related Changes to Nasdaq Rules
Comments due: March 15, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-008
34-83294 May 21, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
Comments due: June 15, 2018
Rebuttal comments due: June 29, 2018
34-82994 Apr. 4, 2018 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due:  days after publication in the Federal Register
34-82702 Feb. 13, 2018 Notice of Filing of Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due: March 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-007
34-82604 Jan. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-006
34-82589 Jan. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Technical Adjustment to its Rules to Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less than $1.00
Comments due: February 22, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-005
34-82573 Jan. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Listing Underlying Securities
Comments due: February 20, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-004
34-82541 Jan. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7047
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-002
34-82479 Jan. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 6200 to Codify Participant Risk Settings in the Exchange's Trading System (As Set Forth in a Proposed IM-6200-1) and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the Participant
Comments due:  February 7, 2018
SR-NASDAQ-2018-001
34-82493 Jan. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Credits at Rule 7018(a)
Comments due:  February 9, 2018
Additional Materials: Exhibit 5