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 2018
Additional Archives
2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
Chronological List for 2018
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NASDAQ-2018-070 | ||
| 34-84575 | Nov. 13, 2018 | Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Corporate Non-Convertible Bonds on Nasdaq
Comments due: 21 days after publication in the Federal Register |
| SR-NASDAQ-2018-086 | ||
| 34-84571 | Nov. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 8 of the Exchange's Rules
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-085 | ||
| 34-84559 | Nov. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Rules to Reflect Changes to The Nasdaq Options Market LLC ("NOM") Protocols
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-081 | ||
| 34-84538 | Nov. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-080 | ||
| 34-84505 | Oct. 30, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the BrandywineGLOBAL - Global Total Return ETF, a Series of Legg Mason ETF Investment Trust Under Nasdaq Rule 5735
Comments due: November 26, 2018 |
| SR-NASDAQ-2018-082 | ||
| 34-84488 | Oct. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Derivative Securities Traded Under Unlisted Trading Privileges
Comments due: November 21, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-068 | ||
| 34-84454 | Oct. 19, 2018 | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Extend the Cutoff Times for Accepting On Close Orders Entered for Participation in the Nasdaq Closing Cross and to Make Related Changes |
| SR-NASDAQ-2018-070 | ||
| 34-84439 | Oct. 16, 2018 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Corporate Non-Convertible Bonds on Nasdaq |
| SR-NASDAQ-2018-050 | ||
| 34-84425 | Oct. 15, 2018 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV |
| SR-NASDAQ-2018-078 | ||
| 34-84386 | Oct. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend, Reorganize and Enhance its Membership, Registration and Qualification Rules
Comments due: November 5, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-066 | ||
| 34-84355 | Oct. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC
Comments due: October 31, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-077 | ||
| 34-84328 | Oct. 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Minimum Quantity Order Attribute
Comments due: October 26, 2018 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-NASDAQ-2018-075 | ||
| 34-84317 | Sep. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7039, 7047, 7049, 7055, and 7061 to Update the Definition of the Term FINRA/Nasdaq Trade Reporting Facility
Comments due: October 25, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-008 | ||
| 34-84287 | Sep. 26, 2018 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
Comments due: October 23, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-072 | ||
| 34-84214 | Sep. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC
Comments due: October 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-073 | ||
| 34-84209 | Sep. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7021
Comments due: October 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-076 | ||
| 34-84200 | Sep. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees at Rule 7014
Comments due: October 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-074 | ||
| 34-84179 | Sep. 18, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Market Quality Program (Rule 5950)
Comments due: October 15, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-128 | ||
| 34-84047 | Sep. 6, 2018 | Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the Western Asset Total Return ETF
Comments due: October 3, 2018 |
| SR-NASDAQ-2018-050 | ||
| 34-84003 | Aug. 30, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV |
| SR-NASDAQ-2018-070 | ||
| 34-84001 | Aug. 30, 2018 | Notice of Filing of Proposed Rule Change to List and Trade Corporate Non-Convertible Bonds on Nasdaq
Comments due: September 27, 2018 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2018-068 | ||
| 34-83988 | Aug. 29, 2018 | Notice of Filing of Proposed Rule Change to Extend the Cutoff Times for Accepting On Close Orders Entered for Participation in the Nasdaq Closing Cross
Comments due: September 26, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2018-069 | ||
| 34-83888 | Aug. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Definitions of the Protocols to Enter Quotes and Orders
Comments due: September 14, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-008 | ||
| 34-83865 | Aug. 16, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value |
| SR-NASDAQ-2018-059 | ||
| 34-83861 | Aug. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Initial and Continued Listing Standards for Subscription Receipts and Fees for Their Listing
Comments due: September 12, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-067 | ||
| 34-83834 | Aug. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete and Replace the Current Rules on Arbitration
Comments due: September 7, 2018 |
| SR-NASDAQ-2018-063 | ||
| 34-83824 | Aug. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing at Chapter XV, Section 2 Entitled "Nasdaq Options Market - Fees and Rebates"
Comments due: September 6, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-064 | ||
| 34-83823 | Aug. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Under Rules 7014(e) and 7018(a)
Comments due: September 6, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-062 | ||
| 34-83794 | Aug. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Nasdaq Options Regulatory Fee
Comments due: September 4, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-060 | ||
| 34-83771 | Aug. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Terms Under Chapter I, Section 1 of the Options Rules
Comments due: August 30, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-058 | ||
| 34-83751 | Jul. 31, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower Fees and Administrative Costs for Distributors of Nasdaq Basic, Nasdaq Last Sale, NLS Plus and the Nasdaq Depth-of-Book Products Through a Consolidated Enterprise License
Comments due: August 27, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-038 | ||
| 34-83721 | Jul. 26, 2018 | Notice of Withdrawal of Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order |
| SR-NASDAQ-2018-057 | ||
| 34-83702 | Jul. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Credits Under Rule 7018(a)
Comments due: August 21, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-056 | ||
| 34-83670 | Jul. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7015(b) to Provide for Port Connectivity the FINRA/Nasdaq Trade Reporting Facility Chicago
Comments due: August 15, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-052 | ||
| 34-83653 | Jul. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules Relating to Market Maker Quotations
Comments due: August 13, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-051 | ||
| 34-83623 | Jul. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules and Adopt a Zero Bid Options Rule
Comments due: August 8, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-050 | ||
| 34-83618 | Jul. 11, 2018 | Notice of Filing of Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV
Comments due: August 7, 2018 Comments received are available for this proposal. |
| SR-NASDAQ-2018-038 | ||
| 34-83595 | Jul. 5, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order |
| SR-NASDAQ-2017-128 | ||
| 34-83588 | Jul. 3, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF |
| Second Quarter | ||
| SR-NASDAQ-2018-048 | ||
| 34-83527 | Jun. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Penny Pilot Program
Comments due: July 23, 2018 |
| SR-NASDAQ-2018-047 | ||
| 34-83522 | Jun. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: July 23, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-046 | ||
| 34-83482 | Jun. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702
Comments due: July 17, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-045 | ||
| 34-83466 | Jun. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity
Comments due: July 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-042 | ||
| 34-83435 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(j) and Rule 7018(a)
Comments due: July 11, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-044 | ||
| 34-83421 | Jun. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules at Supplementary Material to Chapter III, Section 7, Entitled "Position Limits," and Section 9, Entitled "Exercise Limits"
Comments due: July 10, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-040 | ||
| 34-83405 | Jun. 11, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Descriptions of Certain Data Feeds within The Nasdaq Options Market
Comments due: July 6, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-041 | ||
| 34-83395 | Jun. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Listing Standard for Paired Share Units
Comments due: July 5, 2018 |
| SR-NASDAQ-2017-087 | ||
| 34-83383 | Jun. 5, 2018 | Notice of Withdrawal of Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination |
| SR-NASDAQ-2018-008 | ||
| 34-83294 | May 21, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
Comments due: June 15, 2018 Rebuttal comments due: June 29, 2018 |
| SR-NASDAQ-2018-038 | ||
| 34-83272 | May 17, 2018 | Notice of Filing of Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
Comments due: June 13, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2018-037 | ||
| 34-83228 | May 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Order Spread Protection
Comments due: June 8, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-035 | ||
| 34-83198 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Order and Execution Available to Participants into Chapter VI, Section 19, Entitled Data Feeds
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-036 | ||
| 34-83193 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reorganize and Amend The Nasdaq Options Market LLC Chapter XV, Section 3, entitled "Nasdaq Options Market - Ports and Other Services
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-032 | ||
| 34-83142 | May 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Exchange-Traded Managed Fund Shares of the Gabelli Pet Parent Fund under Nasdaq Rule 5745
Comments due: May 29, 2018 |
| SR-NASDAQ-2018-031 | ||
| 34-83132 | Apr. 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702(b)(5), Rule 4703(d), Rule 4752(d)(2)(B), and Rule 4754(b)(2)(B)
Comments due: May 25, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-088 | ||
| 34-83125 | Apr. 27, 2018 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Nasdaq Rule 4703(a) to Allow Members to Designate an Order with a RTFY or SCAN Routing Order Attribute to Activate at 7:00 a.m. ET
Comments due: May 24, 2018 |
| SR-NASDAQ-2018-030 | ||
| 34-83115 | Apr. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules of the Rule 7000A Series to Make Conforming and Technical Changes
Comments due: May 23, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-029 | ||
| 34-83091 | Apr. 23, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4120 to Correct a Citation
Comments due: May 18, 2018 |
| SR-NASDAQ-2018-027 | ||
| 34-83054 | Apr. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Duplicative Rules Related to the Consolidated Audit Trail from Its Rulebook
Comments due: May 14, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-012 | ||
| 34-83046 | Apr. 13, 2018 | Order Granting Approval of a Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF |
| SR-NASDAQ-2018-025 | ||
| 34-83025 | Apr. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: May 7, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-087 | ||
| 34-83010 | Apr. 6, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination |
| SR-NASDAQ-2017-128 | ||
| 34-83007 | Apr. 6, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Western Asset Total Return ETF
Comments due: May 3, 2018 Rebuttal comments due: May 17, 2018 Comments received are available for this proposal. |
| SR-NASDAQ-2018-008 | ||
| 34-82994 | Apr. 4, 2018 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due: days after publication in the Federal Register |
| SR-NASDAQ-2018-026 | ||
| 34-82982 | Apr. 2, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify that the Validea Market Legends ETF Will Be Passively-Managed Rather than Actively-Managed
Comments due: April 27, 2018 |
| First Quarter | ||
| SR-NASDAQ-2018-023 | ||
| 34-82976 | Mar. 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Disclosure Services Offered to Certain New Listings
Comments due: April 26, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-024 | ||
| 34-82969 | Mar. 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Requirements for Delivery of a Contrary Exercise Advice
Comments due: April 26, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-022 | ||
| 34-82964 | Mar. 29, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7034
Comments due: April 25, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-019 | ||
| 34-82940 | Mar. 23, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2, Which Governs the Pricing for Nasdaq Participants Using The Nasdaq Options Market
Comments due: April 19, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-020 | ||
| 34-82921 | Mar. 22, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4370 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates
Comments due: April 17, 2018 Comments received are available for this proposal. |
| SR-NASDAQ-2018-021 | ||
| 34-82905 | Mar. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Rule 7018 to Charge No Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: April 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-088 | ||
| 34-82871 | Mar. 14, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Allow Participants to Designate when an Order with a RTFY or SCAN Routing Order Attribute will be Activated During Pre-Market Hours |
| SR-NASDAQ-2017-074 | ||
| 34-82825 | Mar. 7, 2018 | Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to Adopt the Midpoint Extended Life Order
Comments due: April 3, 2018 |
| SR-NASDAQ-2018-017 | ||
| 34-82822 | Mar. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014 to Eliminate the Small Cap Incentive Program and the Limit Up Limit Down Pricing Program
Comments due: April 3, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-016 | ||
| 34-82811 | Mar. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Nasdaq Options Market LLC Data Feed Offerings
Comments due: March 30, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-015 | ||
| 34-82791 | Feb. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify IM-5900-7 to Update the Values of, and Permit a Third-Party Provider Selected by Nasdaq to Offer, Certain Complimentary Services Provided to Certain Newly Listing Companies Pursuant to the Rule
Comments due: March 26, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-013 | ||
| 34-82790 | Feb. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: March 26, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-014 | ||
| 34-82775 | Feb. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule 4758 to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: March 23, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-012 | ||
| 34-82761 | Feb. 22, 2018 | Notice of Filing of Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF
Comments due: March 21, 2018 |
| SR-NASDAQ-2017-128 | ||
| 34-82757 | Feb. 21, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF |
| SR-NASDAQ-2017-131 | ||
| 34-82730 | Feb. 16, 2018 | Order Granting Approval of a Proposed Rule Change to List and Trade the Shares of the Reinhart Intermediate Bond NextShares Fund Under Nasdaq Rule 5745 |
| SR-NASDAQ-2018-010 | ||
| 34-82723 | Feb. 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7039 to Modify Pricing for the Nasdaq Last Sale Data Product and to Make Other Related Changes to Nasdaq Rules
Comments due: March 15, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-011 | ||
| 34-82709 | Feb. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: March 14, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-008 | ||
| 34-82702 | Feb. 13, 2018 | Notice of Filing of Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due: March 13, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2017-074 | ||
| 34-82629 | Feb. 5, 2018 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt the Midpoint Extended Life Order |
| SR-NASDAQ-2018-007 | ||
| 34-82604 | Jan. 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 26, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-006 | ||
| 34-82589 | Jan. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Technical Adjustment to its Rules to Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less than $1.00
Comments due: February 22, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-005 | ||
| 34-82573 | Jan. 23, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Listing Underlying Securities
Comments due: February 20, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-123 | ||
| 34-82564 | Jan. 22, 2018 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Causeway International Value NextShares™ and the Causeway Global Value NextShares™ |
| SR-NASDAQ-2018-004 | ||
| 34-82541 | Jan. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7047
Comments due: February 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-124 | ||
| 34-82530 | Jan. 18, 2018 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of Brandes Value NextShares Under Nasdaq Rule 5745 |
| SR-NASDAQ-2017-055 | ||
| 34-82524 | Jan. 17, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-NASDAQ-2017-046 | ||
| 34-82503 | Jan. 16, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37 |
| SR-NASDAQ-2018-001 | ||
| 34-82493 | Jan. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Credits at Rule 7018(a)
Comments due: February 9, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-002 | ||
| 34-82479 | Jan. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 6200 to Codify Participant Risk Settings in the Exchange's Trading System (As Set Forth in a Proposed IM-6200-1) and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the Participant
Comments due: February 7, 2018 |
| SR-NASDAQ-2017-133 | ||
| 34-82481 | Jan. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Transitional Rules that Have Expired Related to Compensation Committee Listing Standards
Comments due: February 7, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-087 | ||
| 34-82478 | Jan. 9, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination
Comments due: February 6, 2018 Comments received are available for this proposal. |
| SR-NASDAQ-2017-134 | ||
| 34-82467 | Jan. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7037
Comments due: February 6, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2017-128 | ||
| 34-82439 | Jan. 3, 2018 | Notice of Filing of Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF
Comments due: January 30, 2018 |
Nasdaq File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| SR-NASDAQ-2018-086 | ||
| 34-84571 | Nov. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 8 of the Exchange's Rules
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-085 | ||
| 34-84559 | Nov. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Rules to Reflect Changes to The Nasdaq Options Market LLC ("NOM") Protocols
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-082 | ||
| 34-84488 | Oct. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Derivative Securities Traded Under Unlisted Trading Privileges
Comments due: November 21, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-081 | ||
| 34-84538 | Nov. 5, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-080 | ||
| 34-84505 | Oct. 30, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the BrandywineGLOBAL - Global Total Return ETF, a Series of Legg Mason ETF Investment Trust Under Nasdaq Rule 5735
Comments due: November 26, 2018 |
| SR-NASDAQ-2018-078 | ||
| 34-84386 | Oct. 9, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend, Reorganize and Enhance its Membership, Registration and Qualification Rules
Comments due: November 5, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-077 | ||
| 34-84328 | Oct. 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Minimum Quantity Order Attribute
Comments due: October 26, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-076 | ||
| 34-84200 | Sep. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees at Rule 7014
Comments due: October 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-075 | ||
| 34-84317 | Sep. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7039, 7047, 7049, 7055, and 7061 to Update the Definition of the Term FINRA/Nasdaq Trade Reporting Facility
Comments due: October 25, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-074 | ||
| 34-84179 | Sep. 18, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Market Quality Program (Rule 5950)
Comments due: October 15, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-073 | ||
| 34-84209 | Sep. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7021
Comments due: October 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-072 | ||
| 34-84214 | Sep. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC
Comments due: October 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-070 | ||
| 34-84575 | Nov. 13, 2018 | Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Corporate Non-Convertible Bonds on Nasdaq
Comments due: 21 days after publication in the Federal Register |
| 34-84439 | Oct. 16, 2018 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Corporate Non-Convertible Bonds on Nasdaq |
| 34-84001 | Aug. 30, 2018 | Notice of Filing of Proposed Rule Change to List and Trade Corporate Non-Convertible Bonds on Nasdaq
Comments due: September 27, 2018 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2018-069 | ||
| 34-83888 | Aug. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Definitions of the Protocols to Enter Quotes and Orders
Comments due: September 14, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-068 | ||
| 34-84454 | Oct. 19, 2018 | Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Extend the Cutoff Times for Accepting On Close Orders Entered for Participation in the Nasdaq Closing Cross and to Make Related Changes |
| 34-83988 | Aug. 29, 2018 | Notice of Filing of Proposed Rule Change to Extend the Cutoff Times for Accepting On Close Orders Entered for Participation in the Nasdaq Closing Cross
Comments due: September 26, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2018-067 | ||
| 34-83834 | Aug. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete and Replace the Current Rules on Arbitration
Comments due: September 7, 2018 |
| SR-NASDAQ-2018-066 | ||
| 34-84355 | Oct. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC
Comments due: October 31, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-064 | ||
| 34-83823 | Aug. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Under Rules 7014(e) and 7018(a)
Comments due: September 6, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-063 | ||
| 34-83824 | Aug. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing at Chapter XV, Section 2 Entitled "Nasdaq Options Market - Fees and Rebates"
Comments due: September 6, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-062 | ||
| 34-83794 | Aug. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Nasdaq Options Regulatory Fee
Comments due: September 4, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-060 | ||
| 34-83771 | Aug. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Terms Under Chapter I, Section 1 of the Options Rules
Comments due: August 30, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-059 | ||
| 34-83861 | Aug. 16, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Initial and Continued Listing Standards for Subscription Receipts and Fees for Their Listing
Comments due: September 12, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-058 | ||
| 34-83751 | Jul. 31, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower Fees and Administrative Costs for Distributors of Nasdaq Basic, Nasdaq Last Sale, NLS Plus and the Nasdaq Depth-of-Book Products Through a Consolidated Enterprise License
Comments due: August 27, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-057 | ||
| 34-83702 | Jul. 25, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Credits Under Rule 7018(a)
Comments due: August 21, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-056 | ||
| 34-83670 | Jul. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7015(b) to Provide for Port Connectivity the FINRA/Nasdaq Trade Reporting Facility Chicago
Comments due: August 15, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-052 | ||
| 34-83653 | Jul. 17, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules Relating to Market Maker Quotations
Comments due: August 13, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-051 | ||
| 34-83623 | Jul. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules and Adopt a Zero Bid Options Rule
Comments due: August 8, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-050 | ||
| 34-84425 | Oct. 15, 2018 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV |
| 34-84003 | Aug. 30, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV |
| 34-83618 | Jul. 11, 2018 | Notice of Filing of Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV
Comments due: August 7, 2018 Comments received are available for this proposal. |
| SR-NASDAQ-2018-048 | ||
| 34-83527 | Jun. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Penny Pilot Program
Comments due: July 23, 2018 |
| SR-NASDAQ-2018-047 | ||
| 34-83522 | Jun. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: July 23, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-046 | ||
| 34-83482 | Jun. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702
Comments due: July 17, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-045 | ||
| 34-83466 | Jun. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity
Comments due: July 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-044 | ||
| 34-83421 | Jun. 13, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules at Supplementary Material to Chapter III, Section 7, Entitled "Position Limits," and Section 9, Entitled "Exercise Limits"
Comments due: July 10, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-042 | ||
| 34-83435 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(j) and Rule 7018(a)
Comments due: July 11, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-041 | ||
| 34-83395 | Jun. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Listing Standard for Paired Share Units
Comments due: July 5, 2018 |
| SR-NASDAQ-2018-040 | ||
| 34-83405 | Jun. 11, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Descriptions of Certain Data Feeds within The Nasdaq Options Market
Comments due: July 6, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-038 | ||
| 34-83721 | Jul. 26, 2018 | Notice of Withdrawal of Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order |
| 34-83595 | Jul. 5, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order |
| 34-83272 | May 17, 2018 | Notice of Filing of Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
Comments due: June 13, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2018-037 | ||
| 34-83228 | May 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Order Spread Protection
Comments due: June 8, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-036 | ||
| 34-83193 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reorganize and Amend The Nasdaq Options Market LLC Chapter XV, Section 3, entitled "Nasdaq Options Market - Ports and Other Services
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-035 | ||
| 34-83198 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Order and Execution Available to Participants into Chapter VI, Section 19, Entitled Data Feeds
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-032 | ||
| 34-83142 | May 1, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Exchange-Traded Managed Fund Shares of the Gabelli Pet Parent Fund under Nasdaq Rule 5745
Comments due: May 29, 2018 |
| SR-NASDAQ-2018-031 | ||
| 34-83132 | Apr. 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702(b)(5), Rule 4703(d), Rule 4752(d)(2)(B), and Rule 4754(b)(2)(B)
Comments due: May 25, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-030 | ||
| 34-83115 | Apr. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules of the Rule 7000A Series to Make Conforming and Technical Changes
Comments due: May 23, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-029 | ||
| 34-83091 | Apr. 23, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4120 to Correct a Citation
Comments due: May 18, 2018 |
| SR-NASDAQ-2018-027 | ||
| 34-83054 | Apr. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Duplicative Rules Related to the Consolidated Audit Trail from Its Rulebook
Comments due: May 14, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-026 | ||
| 34-82982 | Apr. 2, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify that the Validea Market Legends ETF Will Be Passively-Managed Rather than Actively-Managed
Comments due: April 27, 2018 |
| SR-NASDAQ-2018-025 | ||
| 34-83025 | Apr. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: May 7, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-024 | ||
| 34-82969 | Mar. 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Requirements for Delivery of a Contrary Exercise Advice
Comments due: April 26, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-023 | ||
| 34-82976 | Mar. 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Disclosure Services Offered to Certain New Listings
Comments due: April 26, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-022 | ||
| 34-82964 | Mar. 29, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7034
Comments due: April 25, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-021 | ||
| 34-82905 | Mar. 20, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Rule 7018 to Charge No Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: April 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-020 | ||
| 34-82921 | Mar. 22, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4370 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates
Comments due: April 17, 2018 Comments received are available for this proposal. |
| SR-NASDAQ-2018-019 | ||
| 34-82940 | Mar. 23, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2, Which Governs the Pricing for Nasdaq Participants Using The Nasdaq Options Market
Comments due: April 19, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-017 | ||
| 34-82822 | Mar. 7, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014 to Eliminate the Small Cap Incentive Program and the Limit Up Limit Down Pricing Program
Comments due: April 3, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-016 | ||
| 34-82811 | Mar. 6, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Nasdaq Options Market LLC Data Feed Offerings
Comments due: March 30, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-015 | ||
| 34-82791 | Feb. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify IM-5900-7 to Update the Values of, and Permit a Third-Party Provider Selected by Nasdaq to Offer, Certain Complimentary Services Provided to Certain Newly Listing Companies Pursuant to the Rule
Comments due: March 26, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-014 | ||
| 34-82775 | Feb. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule 4758 to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: March 23, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-013 | ||
| 34-82790 | Feb. 28, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: March 26, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-012 | ||
| 34-83046 | Apr. 13, 2018 | Order Granting Approval of a Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF |
| 34-82761 | Feb. 22, 2018 | Notice of Filing of Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF
Comments due: March 21, 2018 |
| SR-NASDAQ-2018-011 | ||
| 34-82709 | Feb. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: March 14, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-010 | ||
| 34-82723 | Feb. 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7039 to Modify Pricing for the Nasdaq Last Sale Data Product and to Make Other Related Changes to Nasdaq Rules
Comments due: March 15, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-008 | ||
| 34-84287 | Sep. 26, 2018 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
Comments due: October 23, 2018 Additional Materials: Exhibit 5 |
| 34-83865 | Aug. 16, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value |
| 34-83294 | May 21, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
Comments due: June 15, 2018 Rebuttal comments due: June 29, 2018 |
| 34-82994 | Apr. 4, 2018 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due: days after publication in the Federal Register |
| 34-82702 | Feb. 13, 2018 | Notice of Filing of Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due: March 13, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NASDAQ-2018-007 | ||
| 34-82604 | Jan. 30, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 26, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-006 | ||
| 34-82589 | Jan. 26, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Technical Adjustment to its Rules to Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less than $1.00
Comments due: February 22, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-005 | ||
| 34-82573 | Jan. 23, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Listing Underlying Securities
Comments due: February 20, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-004 | ||
| 34-82541 | Jan. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7047
Comments due: February 16, 2018 Additional Materials: Exhibit 5 |
| SR-NASDAQ-2018-002 | ||
| 34-82479 | Jan. 10, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 6200 to Codify Participant Risk Settings in the Exchange's Trading System (As Set Forth in a Proposed IM-6200-1) and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the Participant
Comments due: February 7, 2018 |
| SR-NASDAQ-2018-001 | ||
| 34-82493 | Jan. 12, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Credits at Rule 7018(a)
Comments due: February 9, 2018 Additional Materials: Exhibit 5 |