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 2019
Additional Archives
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| Third Quarter | ||
| SR-NASDAQ-2019-061 | ||
| 34-86705 | Aug. 19, 2019 | Notice of Filing of Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-064 | ||
| 34-86642 | Aug. 13, 2019 | Notice of Filing of Proposed Rule Change to Amend Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-on-Close Orders
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-063 | ||
| 34-86625 | Aug. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Inadvertent Error in a Recent Filing and Amend the NOM Rules at Chapter 1, Section 1 Definitions
Comments due: September 5, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-062 | ||
| 34-86609 | Aug. 8, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend SCAR Credits at Equity 7, Section 118(a)
Comments due: September 4, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-049 | ||
| 34-86545 | Aug. 1, 2019 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director |
| SR-NASDAQ-2019-060 | ||
| 34-86537 | Jul. 31, 2019 | Notice of Filing of Proposed Rule Change to Amend Rules 4120 and 4753
Comments due: August 27, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-048 | ||
| 34-86512 | Jul. 30, 2019 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 4702 to Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type |
| SR-NASDAQ-2019-056 | ||
| 34-86507 | Jul. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend The Nasdaq Options Market LLC Pricing at Options 7, Section 3 Titled "Nasdaq Options Market - Ports and Other Services."
Comments due: August 23, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-053 | ||
| 34-86437 | Jul. 23, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Rules Governing the Nasdaq Options Market to Modify the Give Up of a Clearing Participant by a Participant on NOM transactions
Comments due: August 19, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NASDAQ-2019-044 | ||
| 34-86416 | Jul. 19, 2019 | Order Approving a Proposed Rule Change to Allow an Odd Lot-Sized Order to Be Eligible for the Midpoint Extended Life Order |
| SR-NASDAQ-2019-057 | ||
| 34-86412 | Jul. 19, 2019 | Notice of Filing of Proposed Rule Change to Amend Rule 4121
Comments due: August 15, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-054 | ||
| 34-86399 | Jul. 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Generic Listing Standards for Fixed Income Securities Included in the Portfolio of a Series of Managed Fund Shares
Comments due: August 13, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-009 | ||
| 34-86314 | Jul. 5, 2019 | Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to Revise the Exchange's Initial Listing Standards Related to Liquidity
Comments due: August 1, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-052 | ||
| 34-86278 | Jul. 2, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing and Trading the Shares of the AlphaMark Actively Managed Small Cap ETF
Comments due: July 30, 2019 |
| Second Quarter | ||
| SR-NASDAQ-2019-017 | ||
| 34-86246 | Jun. 28, 2019 | Order Granting Approval of a Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act |
| SR-NASDAQ-2019-051 | ||
| 34-86153 | Jun. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 of the Rules of The Nasdaq Options Market to Extend Through December 31, 2019 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program in Options Classes in Certain Issues
Comments due: July 16, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-049 | ||
| 34-86095 | Jun. 12, 2019 | Notice of Filing of Proposed Rule Change to Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director
Comments due: July 9, 2019 |
| SR-NASDAQ-2019-050 | ||
| 34-86087 | Jun. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the MIDP Routing Option
Comments due: July 8, 2019 |
| SR-NASDAQ-2019-048 | ||
| 34-86083 | Jun. 11, 2019 | Notice of Filing of Proposed Rule Change to Amend Rule 4702 to Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type
Comments due: July 8, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2019-039 | ||
| 34-86072 | Jun. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5615 to Allow Additional Issuers Who List Only Specific Securities to Be Able to Avail Themselves of Certain Exemptions Under Corporate Governance Requirements and to Amend Nasdaq Rule IM-5620 to Exclude Additional Categories of Issuers Listing Only Specific Securities from the Annual Shareholder Meeting Requirement
Comments due: July 5, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-017 | ||
| 34-86067 | Jun. 7, 2019 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act |
| SR-NASDAQ-2019-045 | ||
| 34-86026 | Jun. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: July 1, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-047 | ||
| 34-86022 | Jun. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Options Rules under Chapter IV, Securities Traded on NOM
Comments due: July 1, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-046 | ||
| 34-85987 | May 31, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Order Audit Trail System Rules
Comments due: June 27, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-040 | ||
| 34-85957 | May 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complementary Services Offered by the Exchange Under Rule IM-5900-7
Comments due: June 25, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-044 | ||
| 34-85954 | May 29, 2019 | Notice of Filing of Proposed Rule Change to Allow an Odd Lot-Sized Order to Be Eligible for the Midpoint Extended Life Order
Comments due: June 25, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-042 | ||
| 34-85951 | May 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM
Comments due: June 25, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-009 | ||
| 34-85933 | May 24, 2019 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Revise the Exchange's Initial Listing Standards Related to Liquidity |
| SR-NASDAQ-2019-004 | ||
| 34-85892 | May 20, 2019 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New MIDP Routing Option Under Rule 4758 and Make Conforming Changes to Rule 4703(e)
Comments due: June 14, 2019 |
| SR-NASDAQ-2019-036 | ||
| 34-85861 | May 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: June 11, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-037 | ||
| 34-85850 | May 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule in Options 7, Section 2
Comments due: June 7, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-033 | ||
| 34-85813 | May 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Equity 7 Pricing Schedule, Sections 112, 123, 135, 146, 155 and 158
Comments due: June 5, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-035 | ||
| 34-85806 | May 8, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove the Exchange's Current Primary Contingency Procedure from the Exchange's Rule Book
Comments due: June 4, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-032 | ||
| 34-85745 | Apr. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Early Order Imbalance Information Functionality
Comments due: May 24, 2019 |
| SR-NASDAQ-2019-031 | ||
| 34-85743 | Apr. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5702 Concerning an Issuer's Obligation to Disclose Material Information about the Issuer's Listed Non-Convertible Bonds
Comments due: May 24, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-017 | ||
| 34-85687 | Apr. 18, 2019 | Notice of Filing of Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act
Comments due: May 15, 2019 Comments received are available for this proposal. |
| SR-NASDAQ-2019-021 | ||
| 34-85666 | Apr. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the First Trust California Municipal High Income ETF and the First Trust Municipal High Income ETF
Comments due: May 13, 2019 |
| SR-NASDAQ-2019-029 | ||
| 34-85662 | Apr. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule in Options 7, Section 2
Comments due: May 13, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-026 | ||
| 34-85631 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-028 | ||
| 34-85603 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Clearly Erroneous Transactions
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-027 | ||
| 34-85578 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 6, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-023 | ||
| 34-85546 | Apr. 8, 2019 | 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 3, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-022 | ||
| 34-85513 | Apr. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Restate the Exchange's Membership Rules
Comments due: May 1, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NASDAQ-2019-007 | ||
| 34-85505 | Apr. 3, 2019 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: April 30, 2019 |
| SR-NASDAQ-2019-024 | ||
| 34-85504 | Apr. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Equity 7 Pricing Schedule, Section 139
Comments due: April 30, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-009 | ||
| 34-85503 | Apr. 3, 2019 | Notice of Filing of Proposed Rule Change to Revise the Exchange's Initial Listing Standards Related to Liquidity
Comments due: April 30, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2019-004 | ||
| 34-85498 | Apr. 3, 2019 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e) |
| First Quarter | ||
| SR-NASDAQ-2019-020 | ||
| 34-85452 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change The Nasdaq Options Market LLC Rules at Chapter VI, Section 5
Comments due: April 25, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-019 | ||
| 34-85431 | Mar. 27, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Midpoint Trade Now Functionality
Comments due: April 23, 2019 |
| SR-NASDAQ-2019-016 | ||
| 34-85389 | Mar. 21, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Protocol Ouch to Trade Options or OTTO on The Nasdaq Options Market LLC
Comments due: April 17, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-015 | ||
| 34-85373 | Mar. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)(3)
Comments due: April 16, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-013 | ||
| 34-85372 | Mar. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New SCAR Routing Option
Comments due: April 16, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-079 | ||
| 34-85362 | Mar. 19, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Nasdaq Rules 5705 and 5710 to Adopt a Disclosure Requirement for Certain Securities |
| SR-NASDAQ-2019-014 | ||
| 34-85356 | Mar. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 to Make Clarifying Changes
Comments due: April 15, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-011 | ||
| 34-85303 | Mar. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchanges Pricing Schedule at Options 7
Comments due: April 9, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-010 | ||
| 34-85292 | Mar. 12, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disseminate Abbreviated Order Imbalance Information Prior to Dissemination of the Order Imbalance Indicator
Comments due: April 8, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-008 | ||
| 34-85188 | Feb. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Communications with the Public
Comments due: March 22, 2019 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: March 15, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| 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: March 15, 2019 Comments received are available for this proposal. |
| 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: March 14, 2019 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: March 13, 2019 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: March 12, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| 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: March 12, 2019 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-2019-064 | ||
| 34-86642 | Aug. 13, 2019 | Notice of Filing of Proposed Rule Change to Amend Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-on-Close Orders
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-063 | ||
| 34-86625 | Aug. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Inadvertent Error in a Recent Filing and Amend the NOM Rules at Chapter 1, Section 1 Definitions
Comments due: September 5, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-062 | ||
| 34-86609 | Aug. 8, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend SCAR Credits at Equity 7, Section 118(a)
Comments due: September 4, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-061 | ||
| 34-86705 | Aug. 19, 2019 | Notice of Filing of Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-060 | ||
| 34-86537 | Jul. 31, 2019 | Notice of Filing of Proposed Rule Change to Amend Rules 4120 and 4753
Comments due: August 27, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-057 | ||
| 34-86412 | Jul. 19, 2019 | Notice of Filing of Proposed Rule Change to Amend Rule 4121
Comments due: August 15, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-056 | ||
| 34-86507 | Jul. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend The Nasdaq Options Market LLC Pricing at Options 7, Section 3 Titled "Nasdaq Options Market - Ports and Other Services."
Comments due: August 23, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-054 | ||
| 34-86399 | Jul. 17, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Generic Listing Standards for Fixed Income Securities Included in the Portfolio of a Series of Managed Fund Shares
Comments due: August 13, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-053 | ||
| 34-86437 | Jul. 23, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Rules Governing the Nasdaq Options Market to Modify the Give Up of a Clearing Participant by a Participant on NOM transactions
Comments due: August 19, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NASDAQ-2019-052 | ||
| 34-86278 | Jul. 2, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing and Trading the Shares of the AlphaMark Actively Managed Small Cap ETF
Comments due: July 30, 2019 |
| SR-NASDAQ-2019-051 | ||
| 34-86153 | Jun. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 of the Rules of The Nasdaq Options Market to Extend Through December 31, 2019 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program in Options Classes in Certain Issues
Comments due: July 16, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-050 | ||
| 34-86087 | Jun. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the MIDP Routing Option
Comments due: July 8, 2019 |
| SR-NASDAQ-2019-049 | ||
| 34-86545 | Aug. 1, 2019 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director |
| 34-86095 | Jun. 12, 2019 | Notice of Filing of Proposed Rule Change to Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director
Comments due: July 9, 2019 |
| SR-NASDAQ-2019-048 | ||
| 34-86512 | Jul. 30, 2019 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 4702 to Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type |
| 34-86083 | Jun. 11, 2019 | Notice of Filing of Proposed Rule Change to Amend Rule 4702 to Establish the "Midpoint Extended Life Order + Continuous Book" as a New Order Type
Comments due: July 8, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2019-047 | ||
| 34-86022 | Jun. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Options Rules under Chapter IV, Securities Traded on NOM
Comments due: July 1, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-046 | ||
| 34-85987 | May 31, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Order Audit Trail System Rules
Comments due: June 27, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-045 | ||
| 34-86026 | Jun. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: July 1, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-044 | ||
| 34-86416 | Jul. 19, 2019 | Order Approving a Proposed Rule Change to Allow an Odd Lot-Sized Order to Be Eligible for the Midpoint Extended Life Order |
| 34-85954 | May 29, 2019 | Notice of Filing of Proposed Rule Change to Allow an Odd Lot-Sized Order to Be Eligible for the Midpoint Extended Life Order
Comments due: June 25, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-042 | ||
| 34-85951 | May 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM
Comments due: June 25, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-040 | ||
| 34-85957 | May 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complementary Services Offered by the Exchange Under Rule IM-5900-7
Comments due: June 25, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-039 | ||
| 34-86072 | Jun. 10, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5615 to Allow Additional Issuers Who List Only Specific Securities to Be Able to Avail Themselves of Certain Exemptions Under Corporate Governance Requirements and to Amend Nasdaq Rule IM-5620 to Exclude Additional Categories of Issuers Listing Only Specific Securities from the Annual Shareholder Meeting Requirement
Comments due: July 5, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-037 | ||
| 34-85850 | May 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule in Options 7, Section 2
Comments due: June 7, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-036 | ||
| 34-85861 | May 15, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: June 11, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-035 | ||
| 34-85806 | May 8, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove the Exchange's Current Primary Contingency Procedure from the Exchange's Rule Book
Comments due: June 4, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-033 | ||
| 34-85813 | May 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Equity 7 Pricing Schedule, Sections 112, 123, 135, 146, 155 and 158
Comments due: June 5, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-032 | ||
| 34-85745 | Apr. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Early Order Imbalance Information Functionality
Comments due: May 24, 2019 |
| SR-NASDAQ-2019-031 | ||
| 34-85743 | Apr. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5702 Concerning an Issuer's Obligation to Disclose Material Information about the Issuer's Listed Non-Convertible Bonds
Comments due: May 24, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-029 | ||
| 34-85662 | Apr. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule in Options 7, Section 2
Comments due: May 13, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-028 | ||
| 34-85603 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Clearly Erroneous Transactions
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-027 | ||
| 34-85578 | Apr. 9, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility
Comments due: May 6, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-026 | ||
| 34-85631 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-024 | ||
| 34-85504 | Apr. 3, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Equity 7 Pricing Schedule, Section 139
Comments due: April 30, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-023 | ||
| 34-85546 | Apr. 8, 2019 | 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 3, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-022 | ||
| 34-85513 | Apr. 4, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Restate the Exchange's Membership Rules
Comments due: May 1, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NASDAQ-2019-021 | ||
| 34-85666 | Apr. 16, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the First Trust California Municipal High Income ETF and the First Trust Municipal High Income ETF
Comments due: May 13, 2019 |
| SR-NASDAQ-2019-020 | ||
| 34-85452 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change The Nasdaq Options Market LLC Rules at Chapter VI, Section 5
Comments due: April 25, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-019 | ||
| 34-85431 | Mar. 27, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay Implementation of the Midpoint Trade Now Functionality
Comments due: April 23, 2019 |
| SR-NASDAQ-2019-017 | ||
| 34-86246 | Jun. 28, 2019 | Order Granting Approval of a Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act |
| 34-86067 | Jun. 7, 2019 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act |
| 34-85687 | Apr. 18, 2019 | Notice of Filing of Proposed Rule Change to Adopt Additional Requirements for Listings in Connection with an Offering Under Regulation A of the Securities Act
Comments due: May 15, 2019 Comments received are available for this proposal. |
| SR-NASDAQ-2019-016 | ||
| 34-85389 | Mar. 21, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Protocol Ouch to Trade Options or OTTO on The Nasdaq Options Market LLC
Comments due: April 17, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-015 | ||
| 34-85373 | Mar. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)(3)
Comments due: April 16, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-014 | ||
| 34-85356 | Mar. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 to Make Clarifying Changes
Comments due: April 15, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-013 | ||
| 34-85372 | Mar. 20, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New SCAR Routing Option
Comments due: April 16, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-011 | ||
| 34-85303 | Mar. 13, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchanges Pricing Schedule at Options 7
Comments due: April 9, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-010 | ||
| 34-85292 | Mar. 12, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disseminate Abbreviated Order Imbalance Information Prior to Dissemination of the Order Imbalance Indicator
Comments due: April 8, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-009 | ||
| 34-86314 | Jul. 5, 2019 | Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to Revise the Exchange's Initial Listing Standards Related to Liquidity
Comments due: August 1, 2019 Additional Materials: Exhibit 5 |
| 34-85933 | May 24, 2019 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Revise the Exchange's Initial Listing Standards Related to Liquidity |
| 34-85503 | Apr. 3, 2019 | Notice of Filing of Proposed Rule Change to Revise the Exchange's Initial Listing Standards Related to Liquidity
Comments due: April 30, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2019-008 | ||
| 34-85188 | Feb. 25, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Communications with the Public
Comments due: March 22, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-007 | ||
| 34-85505 | Apr. 3, 2019 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Comments due: April 30, 2019 |
| 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: March 15, 2019 Comments received are available for this proposal. |
| 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: March 13, 2019 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: March 12, 2019 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2019-004 | ||
| 34-85892 | May 20, 2019 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New MIDP Routing Option Under Rule 4758 and Make Conforming Changes to Rule 4703(e)
Comments due: June 14, 2019 |
| 34-85498 | Apr. 3, 2019 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e) |
| 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: March 12, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| 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: March 14, 2019 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: March 15, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |