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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 2016

Additional Archives


Chronological List
Release No. Date Details
Second Quarter

SR-NASDAQ-2016-060
34-77737 Apr. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2016-058
34-77736 Apr. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7023
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-034
34-77722 Apr. 27, 2016 Order Granting Approval of a Proposed Rule Change Regarding Monthly Distributions, Excess Returns, and Share Index ®Factors of Certain AccuShares Trust I Funds On March 2, 2016, The NASDAQ Stock Market LLC ("NASDAQ" or "Exchange") filed with the Securities and Exchange Commission ("Commission"), pursuant to Section 19(b)(1) of 2the Securities Exchange Act of 1934 ("Act") and Rule 19b-4 thereunder, a proposed rule change to modify specific listing requirements applicable to shares of certain funds issued by ®AccuShares Trust I ("AccuShares Trust"). The proposed rule change was published for 3comment in the Federal Register on March 17, 2016. The Commission received two comments 4on the proposed rule change. This order grants approval of the proposed rule change
See also: Notice: Rel. No. 34-77353

SR-NASDAQ-2016-056
34-77715 Apr. 26, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares Variable Rate Investment Grade Portfolio, a series of the PowerShares Actively Managed Exchange-Traded Fund Trust
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2016-028
34-77714 Apr. 26, 2016 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 iSectors Post-MPT Growth ETF of ETFis Series Trust I
See also: Notice: Rel. No. 34-77623, Notice: Rel. No. 34-77301

SR-NASDAQ-2016-059
34-77706 Apr. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require an Issuer of Securities Listed under the Rule 5700 Series to Notify Nasdaq about the Replacement of the Index, Portfolio, or Reference Asset Underlying the Security and Pay a Fee in Connection with the Change
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-002
34-77705 Apr. 26, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-77320, Notice: Rel. No. 34-76944

SR-NASDAQ-2016-030
34-77688 Apr. 22, 2016 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 Elkhorn Dorsey Wright Commodity Rotation Portfolio of Elkhorn ETF Trust
See also: Notice: Rel. No. 34-77338

SR-NASDAQ-2016-035
34-77678 Apr. 21, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Establish a Secondary Contingency Procedure to Enable the Exchange to Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange
See also: Notice: Rel. No. 34-77309

SR-NASDAQ-2016-051
34-77662 Apr. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7014
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-055
34-77661 Apr. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Pricing at Chapter XV, Section 2
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-028
34-77623 Apr. 14, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I
See also: Notice: Rel. No. 34-77301, Order: Rel. No. 34-77714

SR-NASDAQ-2016-021
34-77619 Apr. 14, 2016 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 First Trust Alternative Absolute Return Strategy ETF of First Trust Exchange-Traded Fund VII
See also: Notice: Rel. No. 34-77233

SR-NASDAQ-2016-054
34-77609 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018(a)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-023
34-77592 Apr. 12, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rules 4702 and 4703
See also: Notice: Rel. No. 34-77226

SR-NASDAQ-2016-048
34-77578 Apr. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7039
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-053
34-77552 Apr. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7015(g)(1) and 7034
Comments due:  May 4, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2015-161
34-77548 Apr. 6, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III
See also: Notice: Rel. No. 34-77192, Notice: Rel. No. 34-76817

SR-NASDAQ-2016-046
34-77495 Apr. 1, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees under Rules 7015(b) and (g)
Comments due:  April 28, 2016
Additional Materials: Exhibit 5
First Quarter

SR-NASDAQ-2016-013
34-77481 Mar. 30, 2016 Notice of Filing of Proposed Rule Change to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees
Comments due: April 26, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-043
34-77456 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 4770 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 22, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NASDAQ-2016-040
34-77460 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete From the Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants
Comments due: April 22, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-039
34-77454 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Maximum Number of Times an Order on NASDAQ may be Updated before the System Cancels the Order
Comments due: April 22, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-008
34-77445 Mar. 25, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Rule 4120
See also: Notice: Rel. No. 34-77066

SR-NASDAQ-2016-038
34-77428 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XI (Doing Business with the Public), Section 8 (Supervision of Accounts) of the Exchange's Rulebook
Comments due: April 19, 2016

SR-NASDAQ-2016-041
34-77419 Mar. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Eaton Vance Global Income Builder NextShares of the Eaton Vance ETMF Trust
Comments due:  April 18, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-036
34-77392 Mar. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include U.S. Non-Display Policies in the Nasdaq Rule Book
Comments due:  April 13, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-033
34-77381 Mar. 16, 2016 Notice of Filing of Proposed Rule Change to Offer Remote ITCH to Trade Options Wave Ports
Comments due:  April 12, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-037
34-77378 Mar. 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Rule 7018(a)
Comments due:  April 12, 2016

SR-NASDAQ-2016-031
34-77355 Mar. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees under Rule 7018(a)
Comments due: April 7, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-032
34-77354 Mar. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Quality Incentive Programs under Rule 7014
Comments due: April 7, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-034
34-77353 Mar. 11, 2016 Notice of Filing of Proposed Rule Change Regarding Monthly Distributions, Excess Returns, and Share Index Factors of Certain AccuShares® Trust I Funds
Comments due: April 7, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-030
34-77338 Mar. 10, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Elkhorn Dorsey Wright Commodity Rotation Portfolio of Elkhorn ETF Trust
Comments due: April 6, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-002
34-77320 Mar. 8, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of the First Trust Municipal High Income ETF
See also:  Order: Rel. No. 34-77705, Notice: Rel. No. 34-76944

SR-NASDAQ-2016-035
34-77309 Mar. 7, 2016 Notice of Filing of Proposed Rule Change to Establish a Secondary Contingency Procedure to Enable the Exchange to Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange
Comments due: April 1, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-77678
Comments received are available for this proposal.

SR-NASDAQ-2016-028
34-77301 Mar. 7, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I
Comments due: April 1, 2016
See also: Notice: Rel. No. 34-77623, Order: Rel. No. 34-77714
Comments received are available for this proposal.

SR-NASDAQ-2016-029
34-77285 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Access Services Fees under Rule 7015
Comments due: March 29, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-005
34-77267 Mar. 1, 2016 Notice of Withdrawal of Proposed Rule Change to Adopt Limit Order Protection and Market Order Protection
See also: Notice: Rel. No. 34-76956

SR-NASDAQ-2016-027
34-77239 Feb. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018
Comments due: March 23, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2015-159
34-77235 Feb. 25, 2016 Order Approving a Proposed Rule Change to Implement Additional Price Protections in the Opening Process
See also: Notice: Rel. No. 34-76833

SR-NASDAQ-2016-021
34-77233 Feb. 25, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Alternative Absolute Return Strategy ETF of First Trust Exchange-Traded Fund VII
Comments due: March 23, 2016
See also: Order: Rel. No. 34-77619
Comments received are available for this proposal.

SR-NASDAQ-2016-026
34-77232 Feb. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5745
Comments due: March 23, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-023
34-77226 Feb. 24, 2016 Notice of Filing of Proposed Rule Change to Amend Rules 4702 and 4703
Comments due: March 22, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-77592

SR-NASDAQ-2015-161
34-77192 Feb. 19, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III
See also: Notice: Rel. No. 34-76817, Notice: Rel. No. 34-77548

SR-NASDAQ-2016-025
34-77191 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5940 to Adopt Entry and Annual Fees for NextShares
Comments due:  March 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2015-160
34-77165 Feb. 17, 2016 Order Approving Proposed Rule Changes, as Modified by Amendments Thereto, to Amend the By-Laws of NASDAQ, Inc.
Additional File Nos.: SR-BSECC-2015-002; SR-SCCP-2015-02; SR-BX-2015-085; SR-Phlx-2015-113
See also: Notice: Rel. No. 34-76809

SR-NASDAQ-2016-020
34-77152 Feb. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7014 and Nasdaq Rule 7018
Comments due:  March 15, 2016
Comments received are available for this proposal.

SR-NASDAQ-2015-144
34-77137 Feb. 12, 2016 Order Granting Approval of Proposed Rule Change to Amend Rules 5810(4), 5810(c), 5815(c) and 5820(d) to Provide Staff with Limited Discretion to Grant a Listed Company that Failed to Hold its Annual Meeting of Shareholders an Extension of Time to Comply with the Annual Meeting Requirement
See also: Notice: Rel. No. 34-76731

SR-NASDAQ-2016-015
34-77127 Feb. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Pricing at Chapter XV, Section 2
Comments due:  March 11, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-012
34-77116 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Rules at Chapter XV, Section 2
Comments due:  March 10, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-019
34-77080 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include NextShares in the Lead Market Maker Program
Comments due:  March 4, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-014
34-77077 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retroactively Apply Recently-Reduced Port Fees
Comments due:  March 4, 2016

SR-NASDAQ-2016-008
34-77066 Feb. 5, 2016 Notice of Filing of Proposed Rule Change to Amend Rule 4120
Comments due:  March 3, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77445
Comments received are available for this proposal.

SR-NASDAQ-2016-004
34-76967 Jan. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Rules at Chapter XV, Section 2
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-005
34-76956 Jan. 21, 2016 Notice of Filing of Proposed Rule Change to Adopt a Limit Order Protection and a Market Order Protection
Comments due: February 17, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-76967

SR-NASDAQ-2016-003
34-76950 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-006
34-76946 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Subsection (a)(7) of Rule 7003, Registration and Processing Fees
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-002
34-76944 Jan. 21, 2016 Notice of Filing of Proposed Rule Change to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III
Comments due: April 26, 2016
See also: Order: Rel. No. 34-77705, Notice: Rel. No. 34-77320
Comments received are available for this proposal.

SR-NASDAQ-2015-166
34-76886 Jan. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Chapter XV, entitled "Options Pricing"
Comments due: February 10, 2016

SR-NASDAQ-2015-167
34-76874 Jan. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section (a)(6) of Rule 1120, Continuing Education Requirements
Comments due: February 9, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2015-159
34-76833 Jan. 5, 2016 Notice of Filing of Proposed Rule Change to Implement Additional Price Protections in the Opening Process
Comments due: February 1, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77235
Comments received are available for this proposal.

SR-NASDAQ-2015-163
34-76830 Jan. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay of Implementation of Kill Switch
Comments due: February 1, 2016

SR-NASDAQ-2015-164
34-76826 Jan. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7014
Comments due: February 1, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2015-162
34-76825 Jan. 5, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7015
Comments due: February 1, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2015-161
34-76817 Jan. 4, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and the First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III
Comments due: January 29, 2016
See also: Notice: Rel. No. 34-77192, Notice: Rel. No. 34-77548
Comments received are available for this proposal.


NASDAQ File Number List for 2016
Release No. Date Details

SR-NASDAQ-2016-060
34-77737 Apr. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2016-059
34-77706 Apr. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require an Issuer of Securities Listed under the Rule 5700 Series to Notify Nasdaq about the Replacement of the Index, Portfolio, or Reference Asset Underlying the Security and Pay a Fee in Connection with the Change
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-058
34-77736 Apr. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7023
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-056
34-77715 Apr. 26, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares Variable Rate Investment Grade Portfolio, a series of the PowerShares Actively Managed Exchange-Traded Fund Trust
Comments due: 21 days after publication in the Federal Register

SR-NASDAQ-2016-055
34-77661 Apr. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Pricing at Chapter XV, Section 2
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-054
34-77609 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018(a)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-053
34-77552 Apr. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7015(g)(1) and 7034
Comments due:  May 4, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-051
34-77662 Apr. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7014
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-048
34-77578 Apr. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7039
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-046
34-77495 Apr. 1, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees under Rules 7015(b) and (g)
Comments due:  April 28, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-043
34-77456 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rule 4770 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 22, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NASDAQ-2016-041
34-77419 Mar. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Eaton Vance Global Income Builder NextShares of the Eaton Vance ETMF Trust
Comments due:  April 18, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-040
34-77460 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete From the Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants
Comments due: April 22, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-039
34-77454 Mar. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Maximum Number of Times an Order on NASDAQ may be Updated before the System Cancels the Order
Comments due: April 22, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-038
34-77428 Mar. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XI (Doing Business with the Public), Section 8 (Supervision of Accounts) of the Exchange's Rulebook
Comments due: April 19, 2016

SR-NASDAQ-2016-037
34-77378 Mar. 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Rule 7018(a)
Comments due:  April 12, 2016

SR-NASDAQ-2016-036
34-77392 Mar. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include U.S. Non-Display Policies in the Nasdaq Rule Book
Comments due:  April 13, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-035
34-77678 Apr. 21, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Establish a Secondary Contingency Procedure to Enable the Exchange to Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange
34-77309 Mar. 7, 2016 Notice of Filing of Proposed Rule Change to Establish a Secondary Contingency Procedure to Enable the Exchange to Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange
Comments due: April 1, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-034
34-77722 Apr. 27, 2016 Order Granting Approval of a Proposed Rule Change Regarding Monthly Distributions, Excess Returns, and Share Index ®Factors of Certain AccuShares Trust I Funds On March 2, 2016, The NASDAQ Stock Market LLC ("NASDAQ" or "Exchange") filed with the Securities and Exchange Commission ("Commission"), pursuant to Section 19(b)(1) of 2the Securities Exchange Act of 1934 ("Act") and Rule 19b-4 thereunder, a proposed rule change to modify specific listing requirements applicable to shares of certain funds issued by ®AccuShares Trust I ("AccuShares Trust"). The proposed rule change was published for 3comment in the Federal Register on March 17, 2016. The Commission received two comments 4on the proposed rule change. This order grants approval of the proposed rule change
34-77353 Mar. 11, 2016 Notice of Filing of Proposed Rule Change Regarding Monthly Distributions, Excess Returns, and Share Index Factors of Certain AccuShares® Trust I Funds
Comments due: April 7, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-033
34-77381 Mar. 16, 2016 Notice of Filing of Proposed Rule Change to Offer Remote ITCH to Trade Options Wave Ports
Comments due:  April 12, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-032
34-77354 Mar. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Quality Incentive Programs under Rule 7014
Comments due: April 7, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-031
34-77355 Mar. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees under Rule 7018(a)
Comments due: April 7, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-030
34-77688 Apr. 22, 2016 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 Elkhorn Dorsey Wright Commodity Rotation Portfolio of Elkhorn ETF Trust
34-77338 Mar. 10, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Elkhorn Dorsey Wright Commodity Rotation Portfolio of Elkhorn ETF Trust
Comments due: April 6, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-029
34-77285 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Access Services Fees under Rule 7015
Comments due: March 29, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-028
34-77714 Apr. 26, 2016 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 iSectors Post-MPT Growth ETF of ETFis Series Trust I
34-77623 Apr. 14, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I
34-77301 Mar. 7, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I
Comments due: April 1, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-027
34-77239 Feb. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018
Comments due: March 23, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-026
34-77232 Feb. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5745
Comments due: March 23, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-025
34-77191 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 5940 to Adopt Entry and Annual Fees for NextShares
Comments due:  March 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-023
34-77592 Apr. 12, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rules 4702 and 4703
34-77226 Feb. 24, 2016 Notice of Filing of Proposed Rule Change to Amend Rules 4702 and 4703
Comments due: March 22, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-021
34-77619 Apr. 14, 2016 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 First Trust Alternative Absolute Return Strategy ETF of First Trust Exchange-Traded Fund VII
34-77233 Feb. 25, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Alternative Absolute Return Strategy ETF of First Trust Exchange-Traded Fund VII
Comments due: March 23, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-020
34-77152 Feb. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7014 and Nasdaq Rule 7018
Comments due:  March 15, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-019
34-77080 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include NextShares in the Lead Market Maker Program
Comments due:  March 4, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-015
34-77127 Feb. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Pricing at Chapter XV, Section 2
Comments due:  March 11, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-014
34-77077 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retroactively Apply Recently-Reduced Port Fees
Comments due:  March 4, 2016

SR-NASDAQ-2016-013
34-77481 Mar. 30, 2016 Notice of Filing of Proposed Rule Change to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees
Comments due: April 26, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-012
34-77116 Feb. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Rules at Chapter XV, Section 2
Comments due:  March 10, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-008
34-77445 Mar. 25, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Rule 4120
34-77066 Feb. 5, 2016 Notice of Filing of Proposed Rule Change to Amend Rule 4120
Comments due:  March 3, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-006
34-76946 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Subsection (a)(7) of Rule 7003, Registration and Processing Fees
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-005
34-77267 Mar. 1, 2016 Notice of Withdrawal of Proposed Rule Change to Adopt Limit Order Protection and Market Order Protection
34-76956 Jan. 21, 2016 Notice of Filing of Proposed Rule Change to Adopt a Limit Order Protection and a Market Order Protection
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-004
34-76967 Jan. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM Rules at Chapter XV, Section 2
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-003
34-76950 Jan. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: February 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-002
34-77705 Apr. 26, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
See also: Notice: Rel. No. 34-77320, Notice: Rel. No. 34-76944
34-77320 Mar. 8, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of the First Trust Municipal High Income ETF
See also: Notice: Rel. No. 34-76944
34-76944 Jan. 21, 2016 Notice of Filing of Proposed Rule Change to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III
Comments due: April 26, 2016
Comments received are available for this proposal.

 

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


Modified: 04/28/2016