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
First Quarter

Nasdaq File Number List for 2019

Additional Archives


Chronological List for 2019

Release No. Date Details
First Quarter
SR-NASDAQ-2019-001
34-85156 Feb. 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Listing Standards for Direct Listings and Clarify Related Rules
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-007
34-85153 Feb. 15, 2019 Notice of Filing of Proposed Rule Change to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2019-003
34-85132 Feb. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations for Purposes of Determining Tiered Pricing
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-006
34-85124 Feb. 13, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-004
34-85113 Feb. 12, 2019 Notice of Filing of Proposed Rule Change to Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-005
34-85111 Feb. 12, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules of the Rule 7000A Series Concerning the Order Audit Trail System
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2018-111
34-85039 Feb. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a) of the Rules
Comments due: February 22, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-080
34-85022 Jan. 31, 2019 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 List and Trade Shares of the BrandywineGLOBAL - Global Total Return ETF
Comments due: February 27, 2019
SR-NASDAQ-2018-079
34-85000 Jan. 29, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Nasdaq Rules 5705 and 5710 to Adopt a Disclosure Requirement for Certain Securities

Nasdaq File Number List for 2019

Release No. Date Details
SR-NASDAQ-2019-007
34-85153 Feb. 15, 2019 Notice of Filing of Proposed Rule Change to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: 21 days after publication in the Federal Register
SR-NASDAQ-2019-006
34-85124 Feb. 13, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-005
34-85111 Feb. 12, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules of the Rule 7000A Series Concerning the Order Audit Trail System
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-004
34-85113 Feb. 12, 2019 Notice of Filing of Proposed Rule Change to Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-003
34-85132 Feb. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations for Purposes of Determining Tiered Pricing
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2019-001
34-85156 Feb. 15, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Listing Standards for Direct Listings and Clarify Related Rules
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5