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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
Second Quarter |  First Quarter

NASDAQ File Number List for 2015

Additional Archives


Chronological List
Release No. Date Details
Second Quarter

SR-NASDAQ-2015-049
34-75349 Jul. 1, 2015 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust
See also: Notice: Rel. No. 34-74979

SR-NASDAQ-2015-064
34-75316 Jun. 26, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Recent Changes to Rules 4751(h) and 4754(b)
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2015-063
34-75283 Jun. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange’s Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2015-062
34-75261 Jun. 22, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rules 7014 and 7018
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2015-055
34-75257 Jun. 22, 2015 Order Approving a Proposed Rule Change Regarding NASDAQ Last Sale Plus
See also: Notice: Rel. No. 34-74972

SR-NASDAQ-2015-024
34-75252 Jun. 22, 2015 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend and Restate Certain Nasdaq Rules that Govern the Nasdaq Market Center
See also:
Notice: Rel. No. 34-74881, Rel. No. 34-74558
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2015-059
34-75178 Jun. 16, 2015 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the Reaves Utilities ETF of ETFis Series Trust I
Comments due: July 13, 2015
Comments received are available for this proposal.

SR-NASDAQ-2015-060
34-75141 Jun. 10, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 18 of the Exchange’s Options Rules
Comments due: July 7, 2015

SR-NASDAQ-2015-036
34-75121 Jun. 8, 2015 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of 18 Eaton Vance NextShares ETMFs of Either the Eaton Vance ETMF Trust or the Eaton Vance ETMF Trust II
See also: Notice: Rel. No. 34-74797

SR-NASDAQ-2015-057
34-75072 May 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4626(b)(3)
Comments due: June 24, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-058
34-75052 May 27, 2015 Notice of Filing of Proposed Rule Change to Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: June 23, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-023
34-75031 May 21, 2015 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade the Shares of the Tuttle Tactical Management Multi-Strategy Income ETF of ETFis Series Trust I
See also: Notice: Rel. No. 34-74653

SR-NASDAQ-2015-049
34-74979 May 15, 2015 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust
Comments due: June 11, 2015
Comments received are available for this proposal.

SR-NASDAQ-2015-055
34-74972 May 15, 2015 Notice of Filing of Proposed Rule Change Regarding NASDAQ Last Sale Plus
Comments due: June 11, 2015

SR-NASDAQ-2015-052
34-74946 May 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Governing Fees and Credits Assessed For Execution and Routing
Comments due: June 9, 2015

SR-NASDAQ-2015-047
34-74931 May 12, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-054
34-74915 May 8, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6
Comments due: June 4, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-050
34-74895 May 7, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Billing Policies
Comments due: June 3, 2015

SR-NASDAQ-2015-024
34-74881 May 6, 2015 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend and Restate Certain Nasdaq Rules That Govern the Nasdaq Market Center
See also: Notice: Rel. No. 34-74558

SR-NASDAQ-2015-045
34-74880 May 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Beta Income ETF, a series of First Trust Exchange-Traded Fund VI
Comments due: June 2, 2015

SR-NASDAQ-2015-044
34-74873 May 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust High Income ETF, a series of First Trust Exchange-Traded Fund VI
Comments due: June 1, 2015

SR-NASDAQ-2015-042
34-74829 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 7015(b) and (g) to Modify Port Fees
Comments due:  May 26, 2015

SR-NASDAQ-2015-046
34-74823 Apr. 28, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Exchange Fees
Comments due:  May 26, 2015

SR-NASDAQ-2015-039
34-74821 Apr. 28, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees, Dues and Other Charges
Comments due:  May 26, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-036
34-74797 Apr. 23, 2015 Notice of Filing of Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of 18 Eaton Vance NextShares ETMFs of either the Eaton Vance ETMF Trust or the Eaton Vance ETMF Trust II
Comments due: May 20, 2015
See also: Notice: Rel. No. 34-75121

SR-NASDAQ-2015-038
34-74795 Apr. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Postpone Implementation of Changes to Rules 4751(h) and 4754(b) Relating to the Closing Process
Comments due: May 20, 2015

SR-NASDAQ-2015-034
34-74784 Apr. 22, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Market Center Participant Registration and Sponsored Access
Comments due: May 19, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-012
34-74780 Apr. 22, 2015 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the WisdomTree Western Unconstrained Bond Fund of the WisdomTree Trust
See also: Notice: Rel. No. 34-74448

SR-NASDAQ-2015-037
34-74764 Apr. 17, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to HGX and OSX
Comments due:  May 14, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-035
34-74745 Apr. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Distributor and Managed Data Solution Distributor Fees for an Optional Hardware-Based Version of NASDAQ ITCH to Trade Options
Comments due:  May 13, 2015

SR-NASDAQ-2015-011
34-74742 Apr. 16, 2015 Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to List and Trade the Shares of the First Trust Strategic Floating Rate ETF of First Trust Exchange-Traded Fund IV
See also: Notice: Rel. No. 34-74378

SR-NASDAQ-2015-013
34-74728 Apr. 15, 2015 Order Approving a Proposed Rule Change to List and Trade Shares of the AlphaMark Actively Managed Small Cap ETF of ETF Series Solutions
See also: Notice: Rel. No. 34-74377

SR-NASDAQ-2015-032
34-74725 Apr. 14, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 7014 and 7018
Comments due:  May 11, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-033
34-74690 Apr. 9, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data
Comments due:  May 6, 2015

SR-NASDAQ-2015-029
34-74680 Apr. 8, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7051 Fees Relating to Pricing for Direct Circuit Connections
Comments due: May 5, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-023
34-74653 Apr. 6, 2015 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Tuttle Tactical Management Multi-Strategy Income ETF of ETFis Series Trust I
Comments due: May 1, 2015
See also: Notice: Rel. No. 34-75031
Comments received are available for this proposal.

SR-NASDAQ-2015-031
34-74644 Apr. 3, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 4758
Comments due: April 30, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-028
34-74637 Apr. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Postpone Implementation of Changes to Rule 4751(h)(5)
Comments due: April 29, 2015

SR-NASDAQ-2015-030
34-74629 Apr. 1, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7001(c)
Comments due: April 27, 2015
First Quarter

SR-NASDAQ-2015-027
34-74616 Mar. 31, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: April 27, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-025
34-74580 Mar. 25, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 5950
Comments due: April 21, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-024
34-74558 Mar. 20, 2015 Notice of Proposed Rule Change to Amend and Restate Certain Nasdaq Rules that Govern the Nasdaq Market Center
Comments due: April 16, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-74881
Comments received are available for this proposal.

SR-NASDAQ-2015-021
34-74524 Mar. 18, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed under NASDAQ Rule 7016(a)
Comments due: April 14, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-022
34-74518 Mar. 17, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(h)(5) Relating to Market Hours IOC Orders
Comments due: April 13, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-020
34-74506 Mar. 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 7014
Comments due: April 9, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-019
34-74475 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options
Comments due: April 7, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-017
34-74472 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide a Limited Price Guarantee to Certain Companies that Switch their Listing to Nasdaq from Another Exchange
Comments due: April 7, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-012
34-74448 Mar. 5, 2015 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the WisdomTree Western Unconstrained Bond Fund of the WisdomTree Trust
Comments due: April 1, 2015
Comments received are available for this proposal.

SR-NASDAQ-2015-011
34-74378 Feb. 25, 2015 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Floating Rate ETF of First Trust Exchange-Traded Fund IV
Comments due: March 24, 2015
See also: Order: Rel. No. 34-74742
Comments received are available for this proposal.

SR-NASDAQ-2015-013
34-74377 Feb. 25, 2015 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the AlphaMark Actively Managed Small Cap ETF of ETF Series Solutions
Comments due: March 24, 2015
See also: Order: Rel. No. 34-74728

SR-NASDAQ-2015-014
34-74342 Feb. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Postpone Implementation of Changes to Rules 4751(h) and 4754(b) Relating to the Closing Proces
Comments due: March 19, 2015

SR-NASDAQ-2015-016
34-74336 Feb. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Regulation of Trading on NOM, to Extend the Pilot Program Under Section 3(d)(iv)
Comments due: March 19, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2014-127
34-74303 Feb. 19, 2015 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Tuttle Tactical Management U.S. Core ETF of ETFis Series Trust I
See also: Notice: Rel. No. 34-73960

SR-NASDAQ-2014-065
34-74299 Feb. 18, 2015 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt New Rule 5713 and List ®Paired Class Shares Issued by AccuShares Commodities Trust I
See also: Notice: Rel. No. 34-73843, Notice: Rel. No. 34-73142, Notice: Rel. No. 34-72779, Notice: Rel. No. 34-72412

SR-NASDAQ-2014-102
34-74279 Feb. 13, 2015 Order Granting Approval of Proposed Rule Change to Require That a Company Publicly Disclose the Denial of a Listing Application
See also: Notice: Rel. No. 34-73912

SR-NASDAQ-2015-010
34-74259 Feb. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Application of Fees to Securities under the Select Symbol Program of Rule 7018(a)(4)
Comments due: March 11, 2015

SR-NASDAQ-2015-008
34-74258 Feb. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees
Comments due: March 11, 2015

SR-NASDAQ-2015-007
34-74198 Feb. 3, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rules of The NASDAQ Options Market Regarding Sharing of Risk Settings
Comments due:  March 2, 2015

SR-NASDAQ-2015-006
34-74190 Feb. 3, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the List of Securities Eligible for the Select Symbol Program under Rule 7018(a)(4)
Comments due: March 2, 2015

SR-NASDAQ-2015-005
34-74146 Jan. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on January 21, 2015. The NASDAQ Stock Market LLC ("NASDAQ" or "Exchange") filed with the Securities and Exchange Commission ("Commission") the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due:  February 23, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2014-116
34-74096 Jan. 20, 2015 Order Approving a Proposed Rule Change Relating to the NASDAQ Opening and Halt Cross
See also: Notice: Rel. No. 34-73739

SR-NASDAQ-2015-004
34-74078 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Application
Comments due: February 13, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-NASDAQ-2015-002
34-74077 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Extranet Access Fee
Comments due: February 13, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2014-110
34-74041 Jan. 13, 2015 Order Approving a Proposed Rule Change to Adopt NASDAQ Rule 7015(i) to Offer the New IPO Workstation
See also: Notice: Rel. No. 34-73683

SR-NASDAQ-2015-003
34-74040 Jan. 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Extranet Access Fee
Comments due: February 6, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2014-125
34-73978 Jan. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Impose a Minimum Fee for Execution Venues Operating a Trading Platform or Multiple Platforms That Utilize NASDAQ Proprietary Depth Data on a Non-Displayed Basis
Comments due: January 29, 2015


NASDAQ File Number List for 2015
Release No

SR-NASDAQ-2015-064
34-75316 Jun. 26, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Recent Changes to Rules 4751(h) and 4754(b)
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2015-063
34-75283 Jun. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange’s Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2015-062
34-75261 Jun. 22, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rules 7014 and 7018
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2015-060
34-75141 Jun. 10, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 18 of the Exchange’s Options Rules
Comments due: July 7, 2015

SR-NASDAQ-2015-059
34-75178 Jun. 16, 2015 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of the Shares of the Reaves Utilities ETF of ETFis Series Trust I
Comments due: July 13, 2015
Comments received are available for this proposal.

SR-NASDAQ-2015-058
34-75052 May 27, 2015 Notice of Filing of Proposed Rule Change to Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due: June 23, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-057
34-75072 May 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4626(b)(3)
Comments due: June 24, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-055
34-75257 Jun. 22, 2015 Order Approving a Proposed Rule Change Regarding NASDAQ Last Sale Plus
34-74972 May 15, 2015 Notice of Filing of Proposed Rule Change Regarding NASDAQ Last Sale Plus
Comments due: June 11, 2015

SR-NASDAQ-2015-054
34-74915 May 8, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Section 6
Comments due: June 4, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-052
34-74946 May 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Governing Fees and Credits Assessed For Execution and Routing
Comments due: June 9, 2015

SR-NASDAQ-2015-050
34-74895 May 7, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Billing Policies
Comments due: June 3, 2015

SR-NASDAQ-2015-049
34-75349 Jul. 1, 2015 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust
34-74979 May 15, 2015 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust
Comments due: June 11, 2015
Comments received are available for this proposal.

SR-NASDAQ-2015-047
34-74931 May 12, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-046
34-74823 Apr. 28, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Exchange Fees
Comments due:  May 26, 2015

SR-NASDAQ-2015-045
34-74880 May 6, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Beta Income ETF, a series of First Trust Exchange-Traded Fund VI
Comments due: June 2, 2015

SR-NASDAQ-2015-044
34-74873 May 5, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust High Income ETF, a series of First Trust Exchange-Traded Fund VI
Comments due: June 1, 2015

SR-NASDAQ-2015-042
34-74829 Apr. 29, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 7015(b) and (g) to Modify Port Fees
Comments due:  May 26, 2015

SR-NASDAQ-2015-039
34-74821 Apr. 28, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees, Dues and Other Charges
Comments due:  May 26, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-038
34-74795 Apr. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Postpone Implementation of Changes to Rules 4751(h) and 4754(b) Relating to the Closing Process
Comments due: May 20, 2015

SR-NASDAQ-2015-037
34-74764 Apr. 17, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to HGX and OSX
Comments due:  May 14, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-036
34-75121 Jun. 8, 2015 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of 18 Eaton Vance NextShares ETMFs of Either the Eaton Vance ETMF Trust or the Eaton Vance ETMF Trust II
34-74797 Apr. 23, 2015 Notice of Filing of Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of 18 Eaton Vance NextShares ETMFs of either the Eaton Vance ETMF Trust or the Eaton Vance ETMF Trust II
Comments due: May 20, 2015

SR-NASDAQ-2015-035
34-74745 Apr. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Distributor and Managed Data Solution Distributor Fees for an Optional Hardware-Based Version of NASDAQ ITCH to Trade Options
Comments due:  May 13, 2015

SR-NASDAQ-2015-034
34-74784 Apr. 22, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Market Center Participant Registration and Sponsored Access
Comments due: May 19, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-033
34-74690 Apr. 9, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data
Comments due:  May 6, 2015

SR-NASDAQ-2015-032
34-74725 Apr. 14, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 7014 and 7018
Comments due:  May 11, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-029
34-74680 Apr. 8, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7051 Fees Relating to Pricing for Direct Circuit Connections
Comments due: May 5, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-031
34-74644 Apr. 3, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 4758
Comments due: April 30, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-030
34-74629 Apr. 1, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7001(c)
Comments due: April 27, 2015

SR-NASDAQ-2015-028
34-74637 Apr. 2, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Postpone Implementation of Changes to Rule 4751(h)(5)
Comments due: April 29,2015

SR-NASDAQ-2015-027
34-74616 Mar. 31, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates
Comments due: April 27, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-025
34-74580 Mar. 25, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 5950
Comments due: April 21, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-024
34-75252 Jun. 22, 2015 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend and Restate Certain Nasdaq Rules that Govern the Nasdaq Market Cente
Comments due: 21 days after publication in the Federal Register
34-74881 May 6, 2015 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend and Restate Certain Nasdaq Rules That Govern the Nasdaq Market Center
34-74558 Mar. 20, 2015

Notice of Proposed Rule Change to Amend and Restate Certain Nasdaq Rules that Govern the Nasdaq Market Center
Comments due: April 16, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal


SR-NASDAQ-2015-023
34-75031 May 21, 2015 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade the Shares of the Tuttle Tactical Management Multi-Strategy Income ETF of ETFis Series Trust I
34-74653 Apr. 6, 2015 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Tuttle Tactical Management Multi-Strategy Income ETF of ETFis Series Trust I
Comments due: May 1, 2015
Comments received are available for this proposal.

SR-NASDAQ-2015-022
34-74518 Mar. 17, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(h)(5) Relating to Market Hours IOC Orders
Comments due: April 13, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-021
34-74524 Mar. 18, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed under NASDAQ Rule 7016(a)
Comments due: April 14, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-020
34-74506 Mar. 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 7014
Comments due: April 9, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-019
34-74475 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options
Comments due: April 7, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-017
34-74472 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide a Limited Price Guarantee to Certain Companies that Switch their Listing to Nasdaq from Another Exchange
Comments due: April 7, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-016
34-74336 Feb. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter V, Regulation of Trading on NOM, to Extend the Pilot Program Under Section 3(d)(iv)
Comments due: March 19, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-014
34-74342 Feb. 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Postpone Implementation of Changes to Rules 4751(h) and 4754(b) Relating to the Closing Proces
Comments due: March 19, 2015

SR-NASDAQ-2015-013
34-74728 Apr. 15, 2015 Order Approving a Proposed Rule Change to List and Trade Shares of the AlphaMark Actively Managed Small Cap ETF of ETF Series Solutions
34-74377 Feb. 25, 2015 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the AlphaMark Actively Managed Small Cap ETF of ETF Series Solutions
Comments due: March 24, 2015

SR-NASDAQ-2015-012
34-74780 Apr. 22, 2015 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the WisdomTree Western Unconstrained Bond Fund of the WisdomTree Trust
34-74448 Mar. 5, 2015 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the WisdomTree Western Unconstrained Bond Fund of the WisdomTree Trust
Comments due: April 1, 2015
Comments received are available for this proposal.

SR-NASDAQ-2015-011
34-74742 Apr. 16, 2015 Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to List and Trade the Shares of the First Trust Strategic Floating Rate ETF of First Trust Exchange-Traded Fund IV
34-74378 Feb. 25, 2015 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Floating Rate ETF of First Trust Exchange-Traded Fund IV
Comments due: March 24, 2015
Comments received are available for this proposal.

SR-NASDAQ-2015-010
34-74259 Feb. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Application of Fees to Securities under the Select Symbol Program of Rule 7018(a)(4)
Comments due: March 11, 2015

SR-NASDAQ-2015-008
34-74258 Feb. 11, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Rule 7018 Fees
Comments due: March 11, 2015

SR-NASDAQ-2015-007
34-74198 Feb. 3, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rules of The NASDAQ Options Market Regarding Sharing of Risk Settings
Comments due:  March 2, 2015

SR-NASDAQ-2015-006
34-74190 Feb. 3, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the List of Securities Eligible for the Select Symbol Program under Rule 7018(a)(4)
Comments due: March 2, 2015

SR-NASDAQ-2015-005
34-74146 Jan. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program 1 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 ("Act"), and Rule 219b-4 thereunder, notice is hereby given that, on January 21, 2015. The NASDAQ Stock Market LLC ("NASDAQ" or "Exchange") filed with the Securities and Exchange Commission ("Commission") the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested person
Comments due:  February 23, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-004
34-74078 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership Application
Comments due: February 13, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-NASDAQ-2015-003
34-74040 Jan. 13, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Extranet Access Fee
Comments due: February 6, 2015
Additional Materials: Exhibit 5

SR-NASDAQ-2015-002
34-74077 Jan. 16, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Extranet Access Fee
Comments due: February 13, 2015
Additional Materials: Exhibit 5

 

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


Modified: 07/01/2015