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.

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Nasdaq File Number List for 2020

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Chronological List for 2020

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Release No. Date Details
Fourth Quarter
SR-NASDAQ-2020-069
34-90245 Oct. 22, 2020 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Exclude Special Purpose Acquisition Companies from the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities with a Market Value of at Least $2,500
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2020-067
34-90164 Oct. 13, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114 and Equity 7, Section 118 of the Fee Schedule
Comments due: November 9, 2020
Additional Materials: Exhibit 4
SR-NASDAQ-2020-066
34-90163 Oct. 13, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: November 9, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-068
34-90144 Oct. 9, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 4121
Comments due: November 5, 2020
Additional Materials: Exhibit 5
Third Quarter
SR-NASDAQ-2020-044
34-89915 Sep. 17, 2020 Order Granting Approval of Proposed Rule Change to Adopt Listing Rule IM-5900-8 to Offer a Complimentary Global Targeting Tool to Acquisition Companies Listed Pursuant to Nasdaq IM-5101-2 that Have Publicly Announced Entering Into a Binding Agreement for a Business Combination
SR-NASDAQ-2020-062
34-89897 Sep. 16, 2020 Notice of Filing of Proposed Rule Change to Amend Listing Rules Applicable to Special Purpose Acquisition Companies whose Business Plan is to Complete One or More Business Combinations
Comments due: October 13, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-060
34-89875 Sep. 15, 2020 Notice of Filing of Proposed Rule Change, as modified by Amendment No. 1, to Treat as an Eligible Switch, for Purposes of IM-5900-7, an Acquisition Company that Switches from NYSE to Nasdaq After Announcing a Business Combination
Comments due: October 13, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-057
34-89878 Sep. 15, 2020 Notice of Filing of Proposed Rule Change to Allow Companies to List in Connection with a Direct Listing with a Primary Offering In Which the Company Will Sell Shares Itself In the Opening Auction On the First Day of Trading on Nasdaq and to Explain How the Opening Transaction for Such a Listing Will be Effected
Comments due: October 13, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-017
34-89823 Sep. 10, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Nasdaq Rule 5704
SR-NASDAQ-2020-027
34-89799 Sep. 9, 2020 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets
Comments due: October 6, 2020
Rebuttal comments due: October 20, 2020
Comments received are available for this proposal.
SR-NASDAQ-2020-026
34-89794 Sep. 9, 2020 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets
Comments due: October 6, 2020
Rebuttal comments due: October 20, 2020
Comments received are available for this proposal.
SR-NASDAQ-2020-059
34-89781 Sep. 8, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114(e) and Equity 7, Section 118 of the Fee Schedule
Comments due: October 5, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-056
34-89767 Sep. 3, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change to Amend The NASDAQ Options Market LLC Pricing Schedule at Options 7, Section 2 and Update Other Rule Text Within Options 7, Section 1 and Options 7, Section 5
Comments due: October 1, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-028
34-89739 Sep. 2, 2020 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend IM-5101-1 (Use of Discretionary Authority) to Deny Listing or Continued Listing or to Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market
Comments due: September 30, 2020
Rebuttal comments due: October 14, 2020
Comments received are available for this proposal.
SR-NASDAQ-2020-002
34-89745 Sep. 2, 2020 Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Procedures Governing the Introduction of Legal Arguments and Material Information by Companies in a Proceeding Before a Hearings Panel
SR-NASDAQ-2020-045
34-89623 Aug. 20, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Obsolete References to NASD Rules in the Nasdaq Rulebook
Comments due: September 16, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-051
34-89594 Aug. 18, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: September 14, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-043
34-89603 Aug. 18, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
Comments due: September 14, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-037
34-89605 Aug. 18, 2020 Notice of Withdrawal of a Proposed Rule Change to Adopt a New "Early Market On Close" Order Type
SR-NASDAQ-2020-050
34-89574 Aug. 17, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5 (Transfer of Positions)
Comments due: September 11, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-046
34-89467 Aug. 4, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Compliance Rule Under General 7 of the Exchange's Rulebook
Comments due: August 31, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2020-017
34-89464 Aug. 4, 2020 Notice of Filing of a Proposed Rule Change to Amend Nasdaq Rule 5704
Comments due: August 28, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-044
34-89413 Jul. 28, 2020 Notice of Filing of Proposed Rule Change to Adopt Listing Rule IM-5900-8 to Offer a Complimentary Global Targeting Tool to Acquisition Companies Listed Pursuant to Nasdaq IM-5101-2 that Have Publicly Announced Entering Into a Binding Agreement for a Business Combination
Comments due: August 24, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2020-038
34-89403 Jul. 27, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Defer Entry Fees for Acquisition Companies
Comments due: August 21, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-039
34-89386 Jul. 23, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Listing Rule IM-5900-4 to Waive the All-Inclusive Annual Listing Fee for Any Company Not Listed on a National Securities Exchange That Is Listing Upon Closing of Its Acquisition of a Special Purpose Acquisition Company Listed on Another National Securities Exchange
Comments due: August 19, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-027
34-89358 Jul. 21, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets
SR-NASDAQ-2020-028
34-89344 Jul. 20, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend IM-5101-1 (Use of Discretionary Authority) to Deny Listing or Continued Listing or to Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market
SR-NASDAQ-2020-041
34-89343 Jul. 20, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
Comments due: August 14, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-026
34-89342 Jul. 20, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets
SR-NASDAQ-2020-042
34-89339 Jul. 17, 2020 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations
Comments due: August 13, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2019-091
34-89331 Jul. 16, 2020 Notice of Withdrawal of Proposed Rule Change To Adopt a New Rule Concerning Nasdaq's Ability To Request Information From a Listed Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances and Halt Trading in the Company's Security Upon the Request, and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares To an Amount That is Higher Than the Applicable Publicly Held Shares Requirement
SR-NASDAQ-2020-037
34-89334 Jul. 16, 2020 Notice of Filing of Proposed Rule Change to Adopt a New "Early Market On Close" Order Type
Comments due: August 12, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2020-002
34-89309 Jul. 14, 2020 Notice of Filing of Proposed Rule Change to Amend the Procedures Governing the Introduction of Legal Arguments and Material Information by Companies in a Proceeding Before a Hearings Panel
Comments due: August 10, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2020-034
34-89225 Jul. 6, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rules 6130 and IM-6200-1
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Second Quarter
SR-NASDAQ-2020-036
34-89167 Jun. 26, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 3 to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-NASDAQ-2020-033
34-89151 Jun. 25, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 9, Sections 13 and 15 to Increase the Position and Exercise Limits for Options on the SPDR® S&P 500® ETF Trust
Comments due: July 22, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-035
34-89137 Jun. 23, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq General 7 (Consolidated Audit Trail Compliance)
Comments due: July 20, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-032
34-89110 Jun. 22, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Nasdaq Rule 5750 to List and Trade Proxy Portfolio Shares
Comments due: July 17, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-030
34-89115 Jun. 22, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114 and Equity 7, Section 118(a) of the Fee Schedule
Comments due: July 17, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-031
34-89077 Jun. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Protocol "Ouch to Trade Options" or "OTTO"
Comments due: July 13, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-027
34-89027 Jun. 8, 2020 Notice of Filing of Proposed Rule Change to Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets
Comments due: July 6, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2020-026
34-89028 Jun. 8, 2020 Notice of Filing of Proposed Rule Change to Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets
Comments due: July 6, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2019-091
34-89026 Jun. 5, 2020 Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New Rule Concerning Nasdaq's Ability To Request Information From a Listed Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances and Halt Trading in the Company's Security Upon the Request, and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares To an Amount That is Higher Than the Applicable Publicly Held Shares Requirement
SR-NASDAQ-2020-028
34-88987 Jun. 2, 2020 Notice of Filing of Proposed Rule Change to Amend IM-5101-1 (Use of Discretionary Authority) to Deny Listing or Continued Listing or to Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business is Principally Administered in a Jurisdiction That is a Restrictive Market
Comments due: June 29, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2020-019
34-88932 May 22, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Amendments to Eliminate the Requirement that the Intraday Indicative Value Be Disseminated for Certain Series of Index Fund Shares and All Series of Managed Fund Shares
Comments due: June 18, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-024
34-88868 May 14, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Implementation Date for a Recent Rule Change Modifying the Delisting Process for Certain Securities with a Bid Price at or Below $0.10 or That Have Had Reverse Stock Splits with a Cumulative Ratio of 250 or More to One over the Prior Two-Year Period
Comments due: June 10, 2020
Comments received are available for this proposal.
SR-NASDAQ-2020-022
34-88852 May 11, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Internal Cross-References in General 5, Discipline
Comments due: June 5, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-018
34-88838 May 8, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Transitional Rule that has Expired Related to Nasdaq Global and Global Select Markets Entry Fees
Comments due: June 4, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2020-023
34-88813 May 5, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Operative Date of SR-NASDAQ-2020-012
Comments due: June 1, 2020
Comments received are available for this proposal.
SR-NASDAQ-2020-025
34-88805 May 4, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Listed Companies With a Temporary Limited Exception From Certain Shareholder Approval Requirements in Nasdaq Rules 5635(c) and (d)
Comments due: May 29, 2020
Additional Materials: Exhibit 5
SR-NASDAQ-2020-011
34-88743 Apr. 24, 2020 Order Approving Proposed Rule Change to Amend Rules 4702(b)(14) and (b)(15) to Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book
SR-NASDAQ-2020-001
34-88716 Apr. 21, 2020 Order Approving a Proposed Rule Change to Modify the Delisting Process for Securities with a Bid Price at or Below $0.10 and for Securities that Have Had One or More Reverse Stock Splits with a Cumulative Ratio of 250 Shares or More to One over the Prior Two-Year Period
  • Submit Comments on SR-NASDAQ-2020-001
  • SR-NASDAQ-2020-021
    34-88685 Apr. 17, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit a Longer Period of Time for Companies to Regain Compliance with the Bid Price and Market Value of Publicly Held Shares Continued Listing Requirements by Tolling the Compliance Periods Through and Including June 30, 2020
    Comments due: May 14, 2020
    SR-NASDAQ-2020-016
    34-88668 Apr. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule Titled Transfer of Positions within Options 6, Section 5
    Comments due: May 13, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-020
    34-88666 Apr. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust Tactical High Yield ETF
    Comments due: May 13, 2020
    SR-NASDAQ-2020-015
    34-88587 Apr. 8, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
    Comments due: May 5, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-014
    34-88568 Apr. 6, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the First Trust California Municipal High Income ETF and the First Trust Municipal High Income ETF
    Comments due: May 1, 2020
    SR-NASDAQ-2019-090
    34-88561 Apr. 3, 2020 Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, to Adopt Nasdaq Rule 5704 Governing the Listing and Trading of Exchange Traded Fund Shares
    Comments due: April 30, 2020
    First Quarter
    SR-NASDAQ-2020-007
    34-88516 Mar. 30, 2020 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA under the Exchanges Authority and Supervision
    Comments due: April 24, 2020
    SR-NASDAQ-2020-013
    34-88504 Mar. 27, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Rule 11890 by Six Months
    Comments due: April 23, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2019-089
    34-88389 Mar. 16, 2020 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 5815 to Preclude Stay During Hearing Panel Review of Staff Delisting Determinations in Certain Circumstances
    Comments due: April 10, 2020
    Additional Materials: Exhibit 4, Exhibit 5
    SR-NASDAQ-2020-012
    34-88383 Mar. 13, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4121 (Trading Halts Due to Extraordinary Market Volatility)
    Comments due: April 9, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-003
    34-88360 Mar. 11, 2020 Order Granting Approval of a Proposed Rule Change to Amend Rule 4121(b)
    SR-NASDAQ-2020-003
    34-88342 Mar. 6, 2020 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 4121(b)
    SR-NASDAQ-2020-001
    34-88325 Mar. 5, 2020 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Modify the Delisting Process for Securities with a Bid Price Below $0.10 and for Securities that Have Had One or More Reverse Stock Splits with a Cumulative Ratio of 250 or More to One over the Prior Two-Year Period
    SR-NASDAQ-2020-011
    34-88320 Mar. 4, 2020 Notice of Filing of Proposed Rule Change to Amend Rules 4702(b)(14) and (b)(15) to Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book
    Comments due: March 31, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal.
    SR-NASDAQ-2019-091
    34-88315 Mar. 4, 2020 Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New Rule Concerning Nasdaq's Ability To Request Information From a Listed Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances and Halt Trading in the Company's Security Upon the Request, and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares To an Amount That is Higher Than the Applicable Publicly Held Shares Requirement
    Comments due: March 31, 2020
    Rebuttal comments due: April 14, 2020
    Comments received are available for this proposal.
    SR-NASDAQ-2020-008
    34-88304 Feb. 28, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5702
    Comments due: March 26, 2020
    SR-NASDAQ-2020-009
    34-88288 Feb. 26, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules at Options 3, Section 7
    Comments due: March 24, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-010
    34-88282 Feb. 25, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 9, Section 1, Titled General Standards
    Comments due: March 23, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2019-049
    34-88210 Feb. 13, 2020 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director
    Comments due: March 12, 2020
    SR-NASDAQ-2020-007
    34-88209 Feb. 13, 2020 Notice of Filing of Proposed Rule Change to Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA under the Exchanges Authority and Supervision
    Comments due: March 12, 2020
    Comments received are available for this proposal.
    SR-NASDAQ-2019-090
    34-88207 Feb. 13, 2020 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Nasdaq Rule 5704 and Other Related Amendments
    Comments due: March 12, 2020
    Rebuttal comments due: March 26, 2020
    Additional Materials: Exhibit 4, Exhibit 5
    SR-NASDAQ-2020-006
    34-88173 Feb. 11, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Listing Rule and other Amendments
    Comments due: March 10, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2019-089
    34-88090 Jan. 30, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 5815 to Preclude Stay During Hearing Panel Review of Staff Delisting Determinations in Certain Circumstances
    SR-NASDAQ-2019-060
    34-88078 Jan. 29, 2020 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 Rules 4120 and 4753
    Comments due: February 25, 2020
    SR-NASDAQ-2020-004
    34-88056 Jan. 28, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Term "Closing Price" in Rule 5635(d)(1)(A) Relating to Shareholder Approval for Transactions Other Than Public Offerings
    Comments due: February 24, 2020
    SR-NASDAQ-2020-005
    34-88046 Jan. 27, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Certain Changes to Investments of the First Trust TCW Opportunistic Fixed Income ETF
    Comments due: February 21, 2020
    SR-NASDAQ-2019-091
    34-88028 Jan. 24, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt a New Rule Permitting Nasdaq to Halt Trading in a Security and Request Information from the Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances
    SR-NASDAQ-2020-003
    34-88004 Jan. 17, 2020 Notice of Filing of Proposed Rule Change to Amend Rule 4121(b)
    Comments due: February 13, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal.
    SR-NASDAQ-2019-057
    34-87995 Jan. 16, 2020 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 4121
    SR-NASDAQ-2020-001
    34-88716 Apr. 21, 2020 Order Approving a Proposed Rule Change to Modify the Delisting Process for Securities with a Bid Price at or Below $0.10 and for Securities that Have Had One or More Reverse Stock Splits with a Cumulative Ratio of 250 Shares or More to One over the Prior Two-Year Period
    SR-NASDAQ-2020-001
    34-87982 Jan. 15, 2020 Notice of Filing of Proposed Rule Change to Modify the Delisting Process for Securities with a Bid Price Below $0.10 and for Securities that Have Had One or More Reverse Stock Splits with a Cumulative Ratio of 250 or More to One over the Prior Two Year Period
    Comments due: February 12, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2019-101
    34-87882 Jan. 2, 2020 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: January 29, 2020
    Additional Materials: Exhibit 5

    File Number List for 2020

    Release No. Date Details
    SR-NASDAQ-2020-069
    34-90245 Oct. 22, 2020 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Exclude Special Purpose Acquisition Companies from the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities with a Market Value of at Least $2,500
    Comments due: 21 days after publication in the Federal Register
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-068
    34-90144 Oct. 9, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 4121
    Comments due: November 5, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-067
    34-90164 Oct. 13, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114 and Equity 7, Section 118 of the Fee Schedule
    Comments due: November 9, 2020
    Additional Materials: Exhibit 4
    SR-NASDAQ-2020-066
    34-90163 Oct. 13, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
    Comments due: November 9, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-062
    34-89897 Sep. 16, 2020 Notice of Filing of Proposed Rule Change to Amend Listing Rules Applicable to Special Purpose Acquisition Companies whose Business Plan is to Complete One or More Business Combinations
    Comments due: October 13, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-060
    34-89875 Sep. 15, 2020 Notice of Filing of Proposed Rule Change, as modified by Amendment No. 1, to Treat as an Eligible Switch, for Purposes of IM-5900-7, an Acquisition Company that Switches from NYSE to Nasdaq After Announcing a Business Combination
    Comments due: October 13, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-059
    34-89781 Sep. 8, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114(e) and Equity 7, Section 118 of the Fee Schedule
    Comments due: October 5, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-057
    34-89878 Sep. 15, 2020 Notice of Filing of Proposed Rule Change to Allow Companies to List in Connection with a Direct Listing with a Primary Offering In Which the Company Will Sell Shares Itself In the Opening Auction On the First Day of Trading on Nasdaq and to Explain How the Opening Transaction for Such a Listing Will be Effected
    Comments due: October 13, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-056
    34-89767 Sep. 3, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change to Amend The NASDAQ Options Market LLC Pricing Schedule at Options 7, Section 2 and Update Other Rule Text Within Options 7, Section 1 and Options 7, Section 5
    Comments due: October 1, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-051
    34-89594 Aug. 18, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
    Comments due: September 14, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-050
    34-89574 Aug. 17, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 5 (Transfer of Positions)
    Comments due: September 11, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-046
    34-89467 Aug. 4, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Compliance Rule Under General 7 of the Exchange's Rulebook
    Comments due: August 31, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal.
    SR-NASDAQ-2020-045
    34-89623 Aug. 20, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Obsolete References to NASD Rules in the Nasdaq Rulebook
    Comments due: September 16, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-044
    34-89915 Sep. 17, 2020 Order Granting Approval of Proposed Rule Change to Adopt Listing Rule IM-5900-8 to Offer a Complimentary Global Targeting Tool to Acquisition Companies Listed Pursuant to Nasdaq IM-5101-2 that Have Publicly Announced Entering Into a Binding Agreement for a Business Combination
    34-89413 Jul. 28, 2020 Notice of Filing of Proposed Rule Change to Adopt Listing Rule IM-5900-8 to Offer a Complimentary Global Targeting Tool to Acquisition Companies Listed Pursuant to Nasdaq IM-5101-2 that Have Publicly Announced Entering Into a Binding Agreement for a Business Combination
    Comments due: August 24, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal. a
    SR-NASDAQ-2020-043
    34-89603 Aug. 18, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
    Comments due: September 14, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-042
    34-89339 Jul. 17, 2020 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations
    Comments due: August 13, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-041
    34-89343 Jul. 20, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a)
    Comments due: August 14, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-039
    34-89386 Jul. 23, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Listing Rule IM-5900-4 to Waive the All-Inclusive Annual Listing Fee for Any Company Not Listed on a National Securities Exchange That Is Listing Upon Closing of Its Acquisition of a Special Purpose Acquisition Company Listed on Another National Securities Exchange
    Comments due: August 19, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-038
    34-89403 Jul. 27, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Defer Entry Fees for Acquisition Companies
    Comments due: August 21, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-037
    34-89605 Aug. 18, 2020 Notice of Withdrawal of a Proposed Rule Change to Adopt a New "Early Market On Close" Order Type
    34-89334 Jul. 16, 2020 Notice of Filing of Proposed Rule Change to Adopt a New "Early Market On Close" Order Type
    Comments due: August 12, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal.
    SR-NASDAQ-2020-036
    34-89167 Jun. 26, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 3 to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options
    Comments due: 21 days after publication in the Federal Register
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-035
    34-89137 Jun. 23, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq General 7 (Consolidated Audit Trail Compliance)
    Comments due: July 20, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-034
    34-89225 Jul. 6, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rules 6130 and IM-6200-1
    Comments due: 21 days after publication in the Federal Register
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-033
    34-89151 Jun. 25, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 9, Sections 13 and 15 to Increase the Position and Exercise Limits for Options on the SPDR® S&P 500® ETF Trust
    Comments due: July 22, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-032
    34-89110 Jun. 22, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Nasdaq Rule 5750 to List and Trade Proxy Portfolio Shares
    Comments due: July 17, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-031
    34-89077 Jun. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Protocol "Ouch to Trade Options" or "OTTO"
    Comments due: July 13, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-030
    34-89115 Jun. 22, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114 and Equity 7, Section 118(a) of the Fee Schedule
    Comments due: July 17, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-028
    34-89739 Sep. 2, 2020 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend IM-5101-1 (Use of Discretionary Authority) to Deny Listing or Continued Listing or to Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market
    Comments due: September 30, 2020
    Rebuttal comments due: October 14, 2020
    Comments received are available for this proposal.
    SR-NASDAQ-2020-028
    34-89344 Jul. 20, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend IM-5101-1 (Use of Discretionary Authority) to Deny Listing or Continued Listing or to Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market
    34-88987 Jun. 2, 2020 Notice of Filing of Proposed Rule Change to Amend IM-5101-1 (Use of Discretionary Authority) to Deny Listing or Continued Listing or to Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business is Principally Administered in a Jurisdiction That is a Restrictive Market
    Comments due: June 29, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal.
    SR-NASDAQ-2020-027
    34-89799 Sep. 9, 2020 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets
    Comments due: October 6, 2020
    Rebuttal comments due: October 20, 2020
    Comments received are available for this proposal.
    34-89358 Jul. 21, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets
    34-89027 Jun. 8, 2020 Notice of Filing of Proposed Rule Change to Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets
    Comments due: July 6, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal.
    SR-NASDAQ-2020-026
    34-89794 Sep. 9, 2020 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets
    Comments due: October 6, 2020
    Rebuttal comments due: October 20, 2020
    Comments received are available for this proposal.
    34-89342 Jul. 20, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets
    34-89028 Jun. 8, 2020 Notice of Filing of Proposed Rule Change to Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets
    Comments due: July 6, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal.
    SR-NASDAQ-2020-025
    34-88805 May 4, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Listed Companies With a Temporary Limited Exception From Certain Shareholder Approval Requirements in Nasdaq Rules 5635(c) and (d)
    Comments due: May 29, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-024
    34-88868 May 14, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Implementation Date for a Recent Rule Change Modifying the Delisting Process for Certain Securities with a Bid Price at or Below $0.10 or That Have Had Reverse Stock Splits with a Cumulative Ratio of 250 or More to One over the Prior Two-Year Period
    Comments due: June 10, 2020
    Comments received are available for this proposal.
    SR-NASDAQ-2020-023
    34-88813 May 5, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Operative Date of SR-NASDAQ-2020-012
    Comments due: June 1, 2020
    Comments received are available for this proposal.
    SR-NASDAQ-2020-022
    34-88852 May 11, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Internal Cross-References in General 5, Discipline
    Comments due: June 5, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-021
    34-88685 Apr. 17, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit a Longer Period of Time for Companies to Regain Compliance with the Bid Price and Market Value of Publicly Held Shares Continued Listing Requirements by Tolling the Compliance Periods Through and Including June 30, 2020
    Comments due: May 14, 2020
    SR-NASDAQ-2020-020
    34-88666 Apr. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust Tactical High Yield ETF
    Comments due: May 13, 2020
    SR-NASDAQ-2020-019
    34-88932 May 22, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Amendments to Eliminate the Requirement that the Intraday Indicative Value Be Disseminated for Certain Series of Index Fund Shares and All Series of Managed Fund Shares
    Comments due: June 18, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-018
    34-88838 May 8, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Transitional Rule that has Expired Related to Nasdaq Global and Global Select Markets Entry Fees
    Comments due: June 4, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal.
    SR-NASDAQ-2020-017
    34-89823 Sep. 10, 2020 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Nasdaq Rule 5704
    34-89464 Aug. 4, 2020 Notice of Filing of a Proposed Rule Change to Amend Nasdaq Rule 5704
    Comments due: August 28, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-016
    34-88668 Apr. 16, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Rule Titled Transfer of Positions within Options 6, Section 5
    Comments due: May 13, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-015
    34-88587 Apr. 8, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759
    Comments due: May 5, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-014
    34-88568 Apr. 6, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the First Trust California Municipal High Income ETF and the First Trust Municipal High Income ETF
    Comments due: May 1, 2020
    SR-NASDAQ-2020-013
    34-88504 Mar. 27, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Rule 11890 by Six Months
    Comments due: April 23, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-012
    34-88383 Mar. 13, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4121 (Trading Halts Due to Extraordinary Market Volatility)
    Comments due: April 9, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-011
    34-88743 Apr. 24, 2020 Order Approving Proposed Rule Change to Amend Rules 4702(b)(14) and (b)(15) to Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book
    SR-NASDAQ-2020-011
    34-88320 Mar. 4, 2020 Notice of Filing of Proposed Rule Change to Amend Rules 4702(b)(14) and (b)(15) to Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book
    Comments due: March 31, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal.
    SR-NASDAQ-2020-010
    34-88282 Feb. 25, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 9, Section 1, Titled General Standards
    Comments due: March 23, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-009
    34-88288 Feb. 26, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules at Options 3, Section 7
    Comments due: March 24, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-008
    34-88304 Feb. 28, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5702
    Comments due: March 26, 2020
    SR-NASDAQ-2020-007
    34-88516 Mar. 30, 2020 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA under the Exchanges Authority and Supervision
    Comments due: April 24, 2020
    34-88209 Feb. 13, 2020 Notice of Filing of Proposed Rule Change to Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA under the Exchanges Authority and Supervision
    Comments due: March 12, 2020
    Comments received are available for this proposal.
    SR-NASDAQ-2020-006
    34-88173 Feb. 11, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Listing Rule and other Amendments
    Comments due: March 10, 2020
    Additional Materials: Exhibit 5
    SR-NASDAQ-2020-005
    34-88046 Jan. 27, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Certain Changes to Investments of the First Trust TCW Opportunistic Fixed Income ETF
    Comments due: February 21, 2020
    SR-NASDAQ-2020-004
    34-88056 Jan. 28, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Term "Closing Price" in Rule 5635(d)(1)(A) Relating to Shareholder Approval for Transactions Other Than Public Offerings
    Comments due: February 24, 2020
    SR-NASDAQ-2020-003
    34-88360 Mar. 11, 2020 Order Granting Approval of a Proposed Rule Change to Amend Rule 4121(b)
    34-88342 Mar. 6, 2020 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 4121(b)
    34-88004 Jan. 17, 2020 Notice of Filing of Proposed Rule Change to Amend Rule 4121(b)
    Comments due: February 13, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal.
    SR-NASDAQ-2020-002
    34-89745 Sep. 2, 2020 Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Procedures Governing the Introduction of Legal Arguments and Material Information by Companies in a Proceeding Before a Hearings Panel
    34-89309 Jul. 14, 2020 Notice of Filing of Proposed Rule Change to Amend the Procedures Governing the Introduction of Legal Arguments and Material Information by Companies in a Proceeding Before a Hearings Panel
    Comments due: August 10, 2020
    Additional Materials: Exhibit 5
    Comments received are available for this proposal.
    SR-NASDAQ-2020-001
    34-88325 Mar. 5, 2020 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Modify the Delisting Process for Securities with a Bid Price Below $0.10 and for Securities that Have Had One or More Reverse Stock Splits with a Cumulative Ratio of 250 or More to One over the Prior Two-Year Period
    34-87982 Jan. 15, 2020 Notice of Filing of Proposed Rule Change to Modify the Delisting Process for Securities with a Bid Price Below $0.10 and for Securities that Have Had One or More Reverse Stock Splits with a Cumulative Ratio of 250 or More to One over the Prior Two Year Period
    Comments due: February 12, 2020
    Additional Materials: Exhibit 5