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 2022
Additional Archives
2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
Chronological List for 2022
(Search any column)
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NASDAQ-2022-067 | ||
| 34-96393 | Nov. 28, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Fees
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-064 | ||
| 34-96375 | Nov. 22, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Options 7, Section 2
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-065 | ||
| 34-96341 | Nov. 17, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Pending Amendments to Equity 4, Rules 4120, 4702 and 4703
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2022-063 | ||
| 34-96311 | Nov. 15, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-059 | ||
| 34-96282 | Nov. 9, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2022-060 | ||
| 34-96248 | Nov. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify an Implementation Timeframe for the Introduction of Enhanced Anti-Internalization Functionality
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-NASDAQ-2022-057 | ||
| 34-96176 | Oct. 28, 2022 | Notice of Filing of Proposed Rule Change to Adopt Listing Rule 5732 to Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-058 | ||
| 34-96132 | Oct. 24, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Equity 2, Section 3
Comments due: November 18, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-054 | ||
| 34-96104 | Oct. 19, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Certain Port-Related Fees at Equity 7, Section 115 and Equity 7, Section 130
Comments due: November 15, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-015 | ||
| 34-96094 | Oct. 17, 2022 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Exempt Non-Convertible Bonds Listed under Rule 5702 from Certain Corporate Governance Requirements
Comments due: November 11, 2022 |
| SR-NASDAQ-2022-053 | ||
| 34-96091 | Oct. 17, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118(a)
Comments due: November 11, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-056 | ||
| 34-96069 | Oct. 13, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rule 4757
Comments due: November 9, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-055 | ||
| 34-96042 | Oct. 12, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Nasdaq's Program Providing Eligible Companies with Complimentary Board Recruiting Services
Comments due: November 8, 2022 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-NASDAQ-2022-027 | ||
| 34-95933 | Sep. 27, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise |
| SR-NASDAQ-2022-052 | ||
| 34-95902 | Sep. 23, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Equity 11, Rule 11890
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-027 | ||
| 34-95811 | Sep. 16, 2022 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 4, Exhibit 5 |
| SR-NASDAQ-2022-051 | ||
| 34-95768 | Sep. 14, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rules 4120, 4702 and 4703 in light of Planned Changes to the System
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-050 | ||
| 34-95718 | Sep. 9, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118 and Clarify its Port-related Fees at Options 7, Section 3
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-049 | ||
| 34-95604 | Aug. 25, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Port-related Fees, at Equity 7, Section 115, and Options 7, Section 3
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-047 | ||
| 34-95495 | Aug. 12, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule Nasdaq Equity 6, Section 5
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-045 | ||
| 34-95458 | Aug. 9, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Pricing Schedule at Equity 7, Section 114(f)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-046 | ||
| 34-95450 | Aug. 9, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits, at Equity 7, Section 118
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-044 | ||
| 34-95436 | Aug. 5, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2022-015 | ||
| 34-95434 | Aug. 5, 2022 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements |
| SR-NASDAQ-2022-042 | ||
| 34-95375 | Jul. 27, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees to Add Two New Features to the Enterprise Licenses at Equity 7, Section 123(c)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-043 | ||
| 34-95329 | Jul. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Equity 11, Rule 11890 (Clearly Erroneous Transactions) to the Close of Business on October 20, 2022
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-040 | ||
| 34-95300 | Jul. 15, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain NOM Market Maker Non-Penny Discounts in Options 7, Section 2
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-039 | ||
| 34-95226 | Jul. 11, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits, at Equity 7, Section 118
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-027 | ||
| 34-95220 | Jul. 7, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| SR-NASDAQ-2022-038 | ||
| 34-95216 | Jul. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Post-Trade Risk Management Product to Q4 2022
Comments due: 21 days after publication in the Federal Register |
| Second Quarter | ||
| SR-NASDAQ-2022-037 | ||
| 34-95164 | Jun. 27, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees Concerning Enterprise Licenses at Equity 7, Section 123(c)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2022-036 | ||
| 34-95091 | Jun. 13, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-035 | ||
| 34-95082 | Jun. 10, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ALPS Active REIT ETF of ALPS ETF Trust to Provide for the Use of "Custom Baskets" Applicable to a Series of Proxy Portfolio Shares Listed Pursuant to Nasdaq Rule 5750
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2022-017 | ||
| 34-95069 | Jun. 8, 2022 | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Modify Equity 4, Rule 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules |
| SR-NASDAQ-2022-027 | ||
| 34-94989 | May 26, 2022 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 4, Exhibit 5 |
| SR-NASDAQ-2022-027 | ||
| 34-94947 | May 19, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise |
| SR-NASDAQ-2022-015 | ||
| 34-94941 | May 18, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-NASDAQ-2022-034 | ||
| 34-94918 | May 16, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Nasdaq Amended and Restated Certificate of Incorporation
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-066 | ||
| 34-94853 | May 5, 2022 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund under Nasdaq Rule 5711(g) |
| SR-NASDAQ-2022-017 | ||
| 34-94838 | May 3, 2022 | Notice of Filing of Amendment No. 1 to Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2022-017 | ||
| 34-94778 | Apr. 21, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules |
| SR-NASDAQ-2022-032 | ||
| 34-94774 | Apr. 21, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: May 18, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2022-033 | ||
| 34-94763 | Apr. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Clearly Erroneous Pilot Until July 20, 2022
Comments due: May 17, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2022-031 | ||
| 34-94713 | Apr. 13, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make the Market Wide Circuit Breaker Pilot a Permanent Program
Comments due: May 10, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-029 | ||
| 34-94704 | Apr. 12, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Nasdaq's Post-Trade Risk Management Product to Q2 2022
Comments due: May 9, 2022 Comments received are available for this proposal. |
| SR-NASDAQ-2022-028 | ||
| 34-94610 | Apr. 5, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Comments due: May 2, 2022 |
| SR-NASDAQ-2022-027 | ||
| 34-94592 | Apr. 4, 2022 | Notice of Filing of Proposed Rule Change to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: April 29, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| First Quarter | ||
| SR-NASDAQ-2022-020 | ||
| 34-94492 | Mar. 23, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4756(a)(3), in Light of Planned Changes to the System as well as to Address Existing Issues
Comments due: April 20, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-022 | ||
| 34-94473 | Mar. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 3, Rule 1002, Qualifications of Exchange Members and Associated Persons; Registration of Branch Offices and Designation of Office of Supervisory Jurisdiction
Comments due: April 14, 2022 |
| SR-NASDAQ-2022-015 | ||
| 34-94471 | Mar. 18, 2022 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements |
| SR-NASDAQ-2022-024 | ||
| 34-94466 | Mar. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Monthly Media Enterprise License For The Distribution of Nasdaq Basic to The General Investing Public For Display Usage
Comments due: April 14, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-025 | ||
| 34-94451 | Mar. 17, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Sections 114 and 118
Comments due: April 13, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-099 | ||
| 34-94450 | Mar. 17, 2022 | Order Approving Proposed Rule Change to Amend Nasdaq Rule 5815(d)(4) Regarding the Use of a Hearings Panel Monitor Following a Compliance Determination by a Nasdaq Listings Qualification Hearings Panel |
| SR-NASDAQ-2022-023 | ||
| 34-94447 | Mar. 17, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Various Processes Under Options 3, Section 20 Across The Affiliated Nasdaq Options Exchanges
Comments due: April 13, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-006 | ||
| 34-94431 | Mar. 16, 2022 | Order Approving Proposed Rule Change to Enable Exchange Participants to Enter Midpoint Extended Life Orders and M-ELO Plus Continuous Book Orders with an Immediate-or-Cancel Time-in-Force Instruction |
| SR-NASDAQ-2022-026 | ||
| 34-94433 | Mar. 16, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Market-Wide Circuit Breaker Pilot to April 18, 2022
Comments due: April 12, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-021 | ||
| 34-94400 | Mar. 11, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Registration Rules in General 4
Comments due: April 7, 2022 |
| SR-NASDAQ-2021-054 | ||
| 34-94389 | Mar. 9, 2022 | Order Disapproving a Proposed Rule Change to Modify Nasdaq IM-5101-2 to Permit an Acquisition Company to Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction |
| SR-NASDAQ-2022-017 | ||
| 34-94370 | Mar. 7, 2022 | Notice of Filing of Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
Comments due: April 1, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2021-066 | ||
| 34-94316 | Feb. 25, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund under Nasdaq Rule 5711(g) |
| SR-NASDAQ-2021-045 | ||
| 34-94311 | Feb. 24, 2022 | Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing Primary Offering |
| SR-NASDAQ-2021-101 | ||
| 34-94277 | Feb. 17, 2022 | Order Approving Proposed Rule Change to Amend Equity 4, Rule 4754 Relating to Certain Order Handling in the Limit Up-Limit Down Closing Cross |
| SR-NASDAQ-2022-015 | ||
| 34-94265 | Feb. 16, 2022 | Notice of Filing of Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
Comments due: March 16, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2022-012 | ||
| 34-94226 | Feb. 11, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 115 of the Fee Schedule
Comments due: March 10, 2022 |
| SR-NASDAQ-2022-013 | ||
| 34-94218 | Feb. 10, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118
Comments due: March 9, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-099 | ||
| 34-94145 | Feb. 3, 2022 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Nasdaq Rule 5815 Regarding the Use of a Panel Monitor Following a Compliance Determination by a Nasdaq Listings Qualification Hearings Panel |
| SR-NASDAQ-2022-010 | ||
| 34-94116 | Feb. 1, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Obvious Error Rule
Comments due: February 28, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-011 | ||
| 34-94097 | Jan. 28, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114 and Section 118 of the Fee Schedule
Comments due: February 24, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-006 | ||
| 34-94076 | Jan. 27, 2022 | Notice of Filing of Proposed Rule Change to Enable Exchange Members to Enter Midpoint Extended Life Orders and M-ELO Plus Continuous Book Orders with an Immediate-or-Cancel Time-in-Force Instruction
Comments due: February 23, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-004 | ||
| 34-94071 | Jan. 26, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Listing Fees at Rule 5910(b) to Adopt a $15,000 All-Inclusive Annual Listing Fee Applicable to a Dually-Listed Company
Comments due: February 22, 2022 |
| SR-NASDAQ-2022-007 | ||
| 34-94064 | Jan. 26, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce NOM's Options Regulatory Fee
Comments due: February 22, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-040 | ||
| 34-94038 | Jan. 24, 2022 | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Establish the "Extended Trading Close" and Related Order Types |
| SR-NASDAQ-2022-003 | ||
| 34-94036 | Jan. 24, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend References to FINRA Continuing Education Fees
Comments due: February 18, 2022 |
| SR-NASDAQ-2022-001 | ||
| 34-93987 | Jan. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NOM Pricing Schedule at Options 7, Section 2
Comments due: February 14, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-107 | ||
| 34-93950 | Jan. 11, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain Exchange Traded Product Listing Fees
Comments due: February 8, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2021-045 | ||
| 34-93924 | Jan. 6, 2022 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing Primary Offering
Comments due: February 2, 2022 Additional Materials: Exhibit 4, Exhibit 5 |
| SR-NASDAQ-2021-054 | ||
| 34-93891 | Jan. 3, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Listing Rule IM-5101-2 to Permit an Acquisition Company to Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction |
File Number List for 2022
| Release No. | Date | Details |
|---|---|---|
| SR-NASDAQ-2022-067 | ||
| 34-96393 | Nov. 28, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend FINRA Fees
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-065 | ||
| 34-96341 | Nov. 17, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of Pending Amendments to Equity 4, Rules 4120, 4702 and 4703
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2022-064 | ||
| 34-96375 | Nov. 22, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Options 7, Section 2
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-063 | ||
| 34-96311 | Nov. 15, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-060 | ||
| 34-96248 | Nov. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Specify an Implementation Timeframe for the Introduction of Enhanced Anti-Internalization Functionality
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-NASDAQ-2022-059 | ||
| 34-96282 | Nov. 9, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2022-058 | ||
| 34-96132 | Oct. 24, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Equity 2, Section 3
Comments due: November 18, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-057 | ||
| 34-96176 | Oct. 28, 2022 | Notice of Filing of Proposed Rule Change to Adopt Listing Rule 5732 to Provide Listing Standards for Contingent Value Rights on Nasdaq Global Market
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-056 | ||
| 34-96069 | Oct. 13, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rule 4757
Comments due: November 9, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-055 | ||
| 34-96042 | Oct. 12, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Nasdaq's Program Providing Eligible Companies with Complimentary Board Recruiting Services
Comments due: November 8, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-054 | ||
| 34-96104 | Oct. 19, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Certain Port-Related Fees at Equity 7, Section 115 and Equity 7, Section 130
Comments due: November 15, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-053 | ||
| 34-96091 | Oct. 17, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118(a)
Comments due: November 11, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-052 | ||
| 34-95902 | Sep. 23, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Equity 11, Rule 11890
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-051 | ||
| 34-95768 | Sep. 14, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rules 4120, 4702 and 4703 in light of Planned Changes to the System
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-050 | ||
| 34-95718 | Sep. 9, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits at Equity 7, Section 118 and Clarify its Port-related Fees at Options 7, Section 3
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-049 | ||
| 34-95604 | Aug. 25, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Port-related Fees, at Equity 7, Section 115, and Options 7, Section 3
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-047 | ||
| 34-95495 | Aug. 12, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule Nasdaq Equity 6, Section 5
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-046 | ||
| 34-95450 | Aug. 9, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits, at Equity 7, Section 118
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-045 | ||
| 34-95458 | Aug. 9, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Pricing Schedule at Equity 7, Section 114(f)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-044 | ||
| 34-95436 | Aug. 5, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2022-043 | ||
| 34-95329 | Jul. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Equity 11, Rule 11890 (Clearly Erroneous Transactions) to the Close of Business on October 20, 2022
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-042 | ||
| 34-95375 | Jul. 27, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees to Add Two New Features to the Enterprise Licenses at Equity 7, Section 123(c)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-040 | ||
| 34-95300 | Jul. 15, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain NOM Market Maker Non-Penny Discounts in Options 7, Section 2
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-039 | ||
| 34-95226 | Jul. 11, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Schedule of Credits, at Equity 7,
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-038 | ||
| 34-95216 | Jul. 7, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Its Post-Trade Risk Management Product to Q4 2022
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2022-037 | ||
| 34-95164 | Jun. 27, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees Concerning Enterprise Licenses at Equity 7, Section 123(c)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2022-036 | ||
| 34-95091 | Jun. 13, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-035 | ||
| 34-95082 | Jun. 10, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ALPS Active REIT ETF of ALPS ETF Trust to Provide for the Use of "Custom Baskets" Applicable to a Series of Proxy Portfolio Shares Listed Pursuant to Nasdaq Rule 5750
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2022-034 | ||
| 34-94918 | May 16, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Nasdaq Amended and Restated Certificate of Incorporation
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-033 | ||
| 34-94763 | Apr. 20, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Clearly Erroneous Pilot Until July 20, 2022
Comments due: May 17, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2022-032 | ||
| 34-94774 | Apr. 21, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Comments due: May 18, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2022-031 | ||
| 34-94713 | Apr. 13, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make the Market Wide Circuit Breaker Pilot a Permanent Program
Comments due: May 10, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-029 | ||
| 34-94704 | Apr. 12, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of Nasdaq's Post-Trade Risk Management Product to Q2 2022
Comments due: May 9, 2022 Comments received are available for this proposal. |
| SR-NASDAQ-2022-028 | ||
| 34-94610 | Apr. 5, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings
Comments due: May 2, 2022 |
| SR-NASDAQ-2022-027 | ||
| 34-95933 | Sep. 27, 2022 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise |
| 34-95811 | Sep. 16, 2022 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 4, Exhibit 5 |
| 34-95220 | Jul. 7, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-94989 | May 26, 2022 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 4, Exhibit 5 |
| 34-94947 | May 19, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing With a Capital Raise |
| 34-94592 | Apr. 4, 2022 | Notice of Filing of Proposed Rule Change to Modify Certain Pricing Limitations for Companies Listing in Connection with a Direct Listing with a Capital Raise
Comments due: April 29, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2022-026 | ||
| 34-94433 | Mar. 16, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Market-Wide Circuit Breaker Pilot to April 18, 2022
Comments due: April 12, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-025 | ||
| 34-94451 | Mar. 17, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees and Credits at Equity 7, Sections 114 and 118
Comments due: April 13, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-024 | ||
| 34-94466 | Mar. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Monthly Media Enterprise License For The Distribution of Nasdaq Basic to The General Investing Public For Display Usage
Comments due: April 14, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-023 | ||
| 34-94447 | Mar. 17, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Various Processes Under Options 3, Section 20 Across The Affiliated Nasdaq Options Exchanges
Comments due: April 13, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-022 | ||
| 34-94473 | Mar. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 3, Rule 1002, Qualifications of Exchange Members and Associated Persons; Registration of Branch Offices and Designation of Office of Supervisory Jurisdiction
Comments due: April 14, 2022 |
| SR-NASDAQ-2022-021 | ||
| 34-94400 | Mar. 11, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange Registration Rules in General 4
Comments due: April 7, 2022 |
| SR-NASDAQ-2022-020 | ||
| 34-94492 | Mar. 23, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4756(a)(3), in Light of Planned Changes to the System as well as to Address Existing Issues
Comments due: April 20, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-017 | ||
| 34-95069 | Jun. 8, 2022 | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Modify Equity 4, Rule 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules |
| 34-94838 | May 3, 2022 | Notice of Filing of Amendment No. 1 to Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| 34-94778 | Apr. 21, 2022 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules |
| 34-94370 | Mar. 7, 2022 | Notice of Filing of Proposed Rule Change to Modify Equity 4, Section 4120 to Add Categories of Regulatory and Operational Halts, to Reorganize the Remaining Text of the Rule, and to Make Conforming Changes to Related Rules
Comments due: April 1, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2022-015 | ||
| 34-96094 | Oct. 17, 2022 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Exempt Non-Convertible Bonds Listed under Rule 5702 from Certain Corporate Governance Requirements
Comments due: November 11, 2022 |
| 34-95434 | Aug. 5, 2022 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements |
| 34-94941 | May 18, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Comments received are available for this proposal. |
| 34-94471 | Mar. 18, 2022 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements |
| 34-94265 | Feb. 16, 2022 | Notice of Filing of Proposed Rule Change to Exempt Non-Convertible Bonds Listed Under Rule 5702 from Certain Corporate Governance Requirements
Comments due: March 16, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2022-013 | ||
| 34-94218 | Feb. 10, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits at Equity 7, Section 118
Comments due: March 9, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-012 | ||
| 34-94226 | Feb. 11, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 115 of the Fee Schedule
Comments due: March 10, 2022 |
| SR-NASDAQ-2022-011 | ||
| 34-94097 | Jan. 28, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114 and Section 118 of the Fee Schedule
Comments due: February 24, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-010 | ||
| 34-94116 | Feb. 1, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Obvious Error Rule
Comments due: February 28, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-007 | ||
| 34-94064 | Jan. 26, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce NOM's Options Regulatory Fee
Comments due: February 22, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-006 | ||
| 34-94431 | Mar. 16, 2022 | Order Approving Proposed Rule Change to Enable Exchange Participants to Enter Midpoint Extended Life Orders and M-ELO Plus Continuous Book Orders with an Immediate-or-Cancel Time-in-Force Instruction |
| 34-94076 | Jan. 27, 2022 | Notice of Filing of Proposed Rule Change to Enable Exchange Members to Enter Midpoint Extended Life Orders and M-ELO Plus Continuous Book Orders with an Immediate-or-Cancel Time-in-Force Instruction
Comments due: February 23, 2022 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2022-004 | ||
| 34-94071 | Jan. 26, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Listing Fees at Rule 5910(b) to Adopt a $15,000 All-Inclusive Annual Listing Fee Applicable to a Dually-Listed Company
Comments due: February 22, 2022 |
| SR-NASDAQ-2022-003 | ||
| 34-94036 | Jan. 24, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend References to FINRA Continuing Education Fees
Comments due: February 18, 2022 |
| SR-NASDAQ-2022-001 | ||
| 34-93987 | Jan. 18, 2022 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NOM Pricing Schedule at Options 7, Section 2
Comments due: February 14, 2022 Additional Materials: Exhibit 5 |