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NASDAQ Stock Market LLC (NASDAQ) Rulemaking

We encourage the public to submit comments on the following NASDAQ Stock Market LLC (NASDAQ) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
First Quarter

NASDAQ File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Second Quarter

SR-NASDAQ-2014-032
34-71931 Apr. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 4120(c)(8) with Respect to Initial Pricing of Certain Securities Not Subject to an Initial Public Offering
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2014-031
34-71925 Apr. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program under Rule 7014, and the Schedule of Fees and Rebates under Rule 7018
Comments due: May 6, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-019
34-71913 Apr. 9, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III
Comments due: May 6, 2014
See also:
  Order: Rel. No. 34-71572

SR-NASDAQ-2014-033
34-71902 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-027
34-71892 Apr. 7, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares Multi-Strategy Alternative Portfolio, a series of PowerShares Actively Managed Exchange-Traded Fund Trust
Comments due: May 2, 2014

SR-NASDAQ-2014-029
34-71874 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Managed Data Solution for Non-Display Usage
Comments due: May 1, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-NASDAQ-2014-029
First Quarter

SR-NASDAQ-2012-129
34-71827 Mar. 28, 2014 Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Price Improvement Program
See also: Incoming Letter, Order: Rel. No. 34-68937, Notice: Rel. No. 34-68694, Notice: Rel. No. 34-68336,

SR-NASDAQ-2014-030
34-71826 Mar. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program, Which Currently Is Set To Expire On March 28, 2014, For An Additional Six Months
Comments due: April 23, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-009
34-71813 Mar. 26, 2014 Notice of Filing of Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV
Comments due: April 22, 2014
See also:  Notice: Rel. No. 34-71473

SR-NASDAQ-2014-025
34-71794 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's DOT, DOTI, and LIST Routing Strategies
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-026
34-71793 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Program and NBBO Setter Incentive Program under Rule 7014, and to Modify the Rules Governing Fees Assessed for Orders Executed in the NASDAQ Opening Cross under Rule 7018
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-028
34-71785 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-023
34-71703 Mar. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-021
34-71697 Mar. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-020
34-71657 Mar. 6, 2014 Notice of Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
Comments due: April 2, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-004
34-71597 Feb. 21, 2014 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 Exchange Rule 4754 Governing the NASDAQ Closing Cross
Comments due: March 20, 2014
See also:  Notice: Rel. No. 34-71254

SR-NASDAQ-2014-019
34-71572 Feb. 19, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III
Comments due: March 18, 2014
See also:  Order: Rel. No. 34-71913

SR-NASDAQ-2014-018
34-71570 Feb. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 18, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-017
34-71555 Feb. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Risk Management Tool Commonly Known as a "Kill Switch"
Comments due: March 17, 2014

SR-NASDAQ-2014-016
34-71553 Feb. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options NOM Market Maker Rebates
Comments due: March 13, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-015
34-71530 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program and NBBO Setter Incentive Program under Rule 7014, and the Schedule of Fees and Rebates under Rule 7018
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-155
34-71521 Feb. 11, 2014 Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the AdvisorShares YieldPro ETF of AdvisorShares Trust
Comments due: March 11, 2014
See also:  Notice: Rel. No. 34-71193

SR-NASDAQ-2014-013
34-71516 Feb. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: March 7, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-011
34-71507 Feb. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for NASDAQ Basic
Comments due: March 6, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-010
34-71504 Feb. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Rule Governing Directed Orders
Comments due: March 5, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-009
34-71473 Feb. 4, 2014 Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Tactical High Yield ETF of First Trust Exchange-Traded Fund IV
Comments due: March 3, 2014
See also:  Notice: Rel. No. 34-71813

SR-NASDAQ-2014-007
34-71419 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing
Comments due: February 24, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-008
34-71418 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders
Comments due: February 24, 2014

SR-NASDAQ-2013-148
34-71353 Jan. 17, 2014 Order Approving Proposed Rule Changes To Amend the Restated Certificate of Incorporation and By-Laws of the NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2013-001, SR-BX-2013-057, SR-Phlx-2013-115, SR-SCCP-2013-01
See also:  Notice: Rel. No. 34-71013

SR-NASDAQ-2014-005
34-71352 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change with Respect to the Composition of NASDAQ Basic
Comments due: February 14, 2014

SR-NASDAQ-2014-006
34-71351 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change with respect to NASDAQ Last Sale
Comments due: February 14, 2014
Comments received are available for this proposal.

SR-NASDAQ-2014-002
34-71299 Jan. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: February 11, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2013-166
34-71279 Jan. 9, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Modifications to Fees and Credits under Rules 7014 and 7018
Comments due: February 5, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-004
34-71254 Jan. 8, 2014 Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC Proposes to Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross ("Cross")
Comments due: February 4, 2014
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-71597
Comments received are available for this proposal.

SR-NASDAQ-2013-164
34-71226 Jan. 2, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Further Describe the Application of Fees Assessed for Connectivity to the Carteret Test Environment under Rule 7030(d)
Comments due: January 29, 2014


NASDAQ File Number List for 2014
Release No. Date Details

SR-NASDAQ-2014-033
34-71902 Apr. 8, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Regarding Options Obvious and Catastrophic Errors in Response to the Regulation NMS Plan to Address Extraordinary Market Volatility
Comments due: May 5, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-032
34-71931 Apr. 11, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 4120(c)(8) with Respect to Initial Pricing of Certain Securities Not Subject to an Initial Public Offering
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2014-031
34-71925 Apr. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program under Rule 7014, and the Schedule of Fees and Rebates under Rule 7018
Comments due: May 6, 2014
Additional Materials: Exhibit 5

SR-NASDAQ-2014-030
34-71826 Mar. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program, Which Currently Is Set To Expire On March 28, 2014, For An Additional Six Months
Comments due: April 23, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-029
34-71874 Apr. 4, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Managed Data Solution for Non-Display Usage
Comments due: May 1, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-NASDAQ-2014-029

SR-NASDAQ-2014-028
34-71785 Mar. 24, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Clearly Erroneous Rule
Comments due: April 18, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-027
34-71892 Apr. 7, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares Multi-Strategy Alternative Portfolio, a series of PowerShares Actively Managed Exchange-Traded Fund Trust
Comments due: May 2, 2014

SR-NASDAQ-2014-026
34-71793 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Program and NBBO Setter Incentive Program under Rule 7014, and to Modify the Rules Governing Fees Assessed for Orders Executed in the NASDAQ Opening Cross under Rule 7018
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-025
34-71794 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's DOT, DOTI, and LIST Routing Strategies
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-023
34-71703 Mar. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-021
34-71697 Mar. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: April 8, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-020
34-71657 Mar. 6, 2014 Notice of Proposed Rule Change Relating to Listing and Trading of Exchange-Traded Managed Fund Shares
Comments due: April 2, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-019
34-71913 Apr. 9, 2014 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III
Comments due: May 6, 2014
34-71572 Feb. 19, 2014 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust Managed Municipal Fund of First Trust Exchange-Traded Fund III
Comments due: March 18, 2014

SR-NASDAQ-2014-018
34-71570 Feb. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 18, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-017
34-71555 Feb. 18, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a Risk Management Tool Commonly Known as a "Kill Switch"
Comments due: March 17, 2014

SR-NASDAQ-2014-016
34-71553 Feb. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options NOM Market Maker Rebates
Comments due: March 13, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-015
34-71530 Feb. 12, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Qualified Market Maker Incentive Program and NBBO Setter Incentive Program under Rule 7014, and the Schedule of Fees and Rebates under Rule 7018
Comments due: March 12, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-013
34-71516 Feb. 10, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: March 7, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-011
34-71507 Feb. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for NASDAQ Basic
Comments due: March 6, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-010
34-71504 Feb. 6, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Rule Governing Directed Orders
Comments due: March 5, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-009
34-71813 Mar. 26, 2014 Notice of Filing of Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV
Comments due: April 22, 2014
34-71473 Feb. 4, 2014 Notice of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Tactical High Yield ETF of First Trust Exchange-Traded Fund IV
Comments due: March 3, 2014

SR-NASDAQ-2014-008
34-71418 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Inbound Routing of Options Orders
Comments due: February 24, 2014

SR-NASDAQ-2014-007
34-71419 Jan. 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Outbound Routing
Comments due: February 24, 2014
Additional Materials:  Exhibit 5

SR-NASDAQ-2014-006
34-71351 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change with respect to NASDAQ Last Sale
Comments due: February 14, 2014
Comments received are available for this proposal.

SR-NASDAQ-2014-005
34-71352 Jan. 17, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change with Respect to the Composition of NASDAQ Basic
Comments due: February 14, 2014

SR-NASDAQ-2014-004
34-71597 Feb. 21, 2014 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 Exchange Rule 4754 Governing the NASDAQ Closing Cross
Comments due: March 20, 2014
34-71254 Jan. 8, 2014 Notice of Filing of a Proposed Rule Change by The NASDAQ Stock Market LLC Proposes to Amend Exchange Rule 4754 Governing the NASDAQ Closing Cross ("Cross")
Comments due: February 4, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2014-002
34-71299 Jan. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: February 11, 2014
Additional Materials:  Exhibit 5

 

http://www.sec.gov/rules/sro/nasdaq.shtml


Modified: 04/16/2014