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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
Third Quarter |  Second Quarter |  First Quarter

NASDAQ File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-NASDAQ-2016-127
34-78979 Sep. 29, 2016 Notice of Filing of Proposed Rule Change to Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-132
34-78977 Sep. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq's Fees and Credits at Rules 7014 and 7018
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-104
34-78918 Sep. 23, 2016 Order Granting Approval of a Proposed Rule Change to Amend Nasdaq Rule 5735 to Adopt Generic Listing Standards for Managed Fund Shares
See also: Notice: Rel. No. 34-78616

SR-NASDAQ-2016-002
34-78913 Sep. 23, 2016 Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, 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
See also: Notice: Rel. No. 34-76944, Notice: Rel. No. 34-77320, Notice: Rel. No. 34-77705, Notice: Rel. No. 34-78384

SR-NASDAQ-2016-130
34-78912 Sep. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq's Fees at Rule 7014(f)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-111
34-78908 Sep. 22, 2016 Notice of Filing of Proposed Rule Change to Amend Nasdaq Rules 4702 and 4703
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-101
34-78886 Sep. 20, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Add Nasdaq Rule 7046 (Nasdaq Trading Insights)
See also: Notice: Rel. No. 34-78462

SR-NASDAQ-2016-126
34-78837 Sep. 14, 2016 Notice of Filing of Proposed Rule Change to Describe Changes to System Functionality Necessary to Implement the Tick Size Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-123
34-78816 Sep. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4770
Comments due:  October 7, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NASDAQ-2016-098
34-78806 Sep. 9, 2016 Order Approving Proposed Rule Change to Modify the Complimentary Services Offered to Certain New Listings
See also: Notice: Rel. No. 34-78392

SR-NASDAQ-2016-121
34-78749 Sep. 1, 2016 Notice of Filing of Proposed Rule Change Related to the NASDAQ Options Market LLC's Pricing At Chapter XV, Section 2(6)
Comments due:  September 29, 2016

SR-NASDAQ-2016-103
34-78738 Aug. 31, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Exchange-Traded Managed Funds
See also: Notice: Rel. No. 34-78385

SR-NASDAQ-2016-120
34-78713 Aug. 29, 2016 Notice of Filing of Proposed Rule Change to Adopt the Third Party Connectivity Service under Rules 7034(b) and 7051
Comments due:  September 23, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-122
34-78695 Aug. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-067
34-78667 Aug. 24, 2016 Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt Limit Order Protections
Comments due:  September 20, 2016
Additional File Nos.: SR-BX-2016-037, SR-Phlx-2016-58
See also: Notice: Rel. No. 34-78246

SR-NASDAQ-2016-117
34-78654 Aug. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elkhorn Commodity Rotation Strategy ETF of the Elkhorn ETF Trust
Comments due:  September 19, 2016

SR-NASDAQ-2016-071
34-78642 Aug. 23, 2016 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF
See also: Notice: Rel. No. 34-78290, Notice: Rel. No. 34-77895

SR-NASDAQ-2016-113
34-78634 Aug. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Options Pricing
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-072
34-78626 Aug. 22, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust
See also: Notice: Rel. No. 34-78225, Notice: Rel. No. 34-77890

SR-NASDAQ-2016-104
34-78616 Aug. 18, 2016 Notice of Filing of Proposed Rule Change to Amend Nasdaq Rule 5735 to Adopt Generic Listing Standards for Managed Fund Shares
Comments due: September 14, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-118
34-78605 Aug. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error in Rules IM-5910-1 and IM-5920-1
Comments due: September 13, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-061
34-78592 Aug. 16, 2016 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII
See also: Notice: Rel. No. 34-78227, Notice: Rel. No. 34-77854

SR-NASDAQ-2016-109
34-78578 Aug. 15, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7047
Comments due: September 9, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-115
34-78567 Aug. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018
Comments due: September 8, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-086
34-78533 Aug. 10, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF
See also: Notice: Rel. No. 34-78150

SR-NASDAQ-2016-097
34-78480 Aug. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Detection of Loss of Connection
Comments due: August 31, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-101
34-78462 Aug. 2, 2016 Notice of Filing of Proposed Rule Change to Add Nasdaq Rule 7046 (Nasdaq Trading Insights)
Comments due: August 29, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78886
Comments received are available for this proposal.

SR-NASDAQ-2016-105
34-78451 Aug. 1, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Eaton Vance Floating-Rate & High Income NextShares of the Eaton Vance NextShares Trust II
Comments due: August 26, 2016

SR-NASDAQ-2016-064
34-78443 Jul. 29, 2016 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII
See also: Notice: Rel. No. 34-77781, Notice: Rel. No. 34-78078

SR-NASDAQ-2016-056
34-78437 Jul. 28, 2016 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 PowerShares Variable Rate Investment Grade Portfolio, a series of the PowerShares Actively Managed Exchange-Traded Fund Trust
Comments due: August 24, 2016
See also: Notice: Rel. No. 34-78063, Notice: Rel. No. 34-77715

SR-NASDAQ-2016-100
34-78406 Jul. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Options Market LLC Pricing at Chapter XV
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-099
34-78404 Jul. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data
Comments due: August 19, 2016

SR-NASDAQ-2016-098
34-78392 Jul. 22, 2016 Notice of Filing of Proposed Rule Change to Modify the Complimentary Services Offered to Certain New Listings
Comments due: August 18, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-103
34-78385 Jul. 21, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Exchange-Traded Managed Funds
Comments due: August 17, 2016

SR-NASDAQ-2016-002
34-78384 Jul. 21, 2016 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 Nos. 1 and 2 thereto, to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III
See also: Order: Rel. No. 34-77705, Notice: Rel. No. 34-77320, Notice: Rel. No. 34-76944, Notice: Rel. No. 34-78913

SR-NASDAQ-2016-090
34-78380 Jul. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliated Entities
Comments due: August 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-096
34-78360 Jul. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Adjustments to Nasdaq's Options Regulatory Fee
Comments due: August 15, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-102
34-78354 Jul. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018
Comments due: August 15, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-071
34-78290 Jul. 12, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF
See also: Notice: Rel. No. 34-77895

SR-NASDAQ-2016-087
34-78285 Jul. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Automated Removal of Orders and Quotes
Comments due: August 5, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-093
34-78251 Jul. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules to Implement the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program
Comments due: August 3, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NASDAQ-2016-067
34-78246 Jul. 7, 2016 Notice of Filing of Proposed Rule Change to Adopt Limit Order Protection
Comments due: August 3, 2016
Additional Materials: Exhibit 5
See also: Notice/Order: Rel. No. 34-78667
Comments received are available for this proposal.

SR-NASDAQ-2016-061
34-78227 Jul. 5, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII
See also: Order: Rel. No. 34-78592, Notice: Rel. No. 34-77854

SR-NASDAQ-2016-072
34-78225 Jul. 5, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust
See also: Notice: Rel. No. 34-77890, Notice: Rel. No. 34-78626

SR-NASDAQ-2016-013
34-78223 Jul. 1, 2016 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees
Comments due: July 28, 2016
See also: Notice: Rel. No. 34-77879, Notice: Rel. No. 34-77481
Second Quarter

SR-NASDAQ-2016-092
34-78208 Jun. 30, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
Comments due: July 28, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-091
34-78200 Jun. 30, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professionals Order Counting
Comments due: July 28, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-082
34-78188 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the AdvisorShares Market Adaptive Unconstrained Income ETF of the AdvisorShares Trust
Comments due: July 26, 2016

SR-NASDAQ-2016-088
34-78175 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Fees for Certain Real Estate Investment Trusts Listed on Nasdaq
Comments due: July 22, 2016

SR-NASDAQ-2016-086
34-78150 Jun. 24, 2016 Notice of Filing of Proposed Rule Change to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF
Comments due: July 21, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-085
34-78149 Jun. 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Listed Companies Not Currently Subject to Nasdaq's All-Inclusive Annual Listing Fee To Opt In to That Fee Program For 2017
Comments due: July 20, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-084
34-78123 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits
Comments due: July 19, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-NASDAQ-2016-089
34-78103 Jun. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Pricing at Chapter XV, Section 2
Comments due: July 15, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-083
34-78089 Jun. 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7018(a) and 7014(h)
Comments due:  July 13, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-064
34-78078 Jun. 15, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII
See also: Order: Rel. No. 34-78443, Notice: Rel. No. 34-77781

SR-NASDAQ-2016-056
34-78063 Jun. 14, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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
See also: Notice: Rel. No. 34-78437, Notice: Rel. No. 34-77715

SR-NASDAQ-2016-078
34-78051 Jun. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed Under Rule 7015(h)
Comments due:  July 8, 2016

SR-NASDAQ-2016-081
34-78050 Jun. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Limited WebLink ACT or Nasdaq Workstation Post Trade Fee Tier under Rule 7015(e)
Comments due:  July 8, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-077
34-78047 Jun. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Certain Fees Charged to Securities Listed on Nasdaq Under the Rule 5700 Series
Comments due:  July 8, 2016

SR-NASDAQ-2016-052
34-78037 Jun. 10, 2016 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:  July 7, 2016

SR-NASDAQ-2016-035
34-78014 Jun. 8, 2016 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Secondary Contingency Procedures for the Exchange's Closing Cross
Comments due:  July 5, 2016
See also: Notice: Rel. No. 34-77678, Notice: Rel. No. 34-77309

SR-NASDAQ-2016-074
34-77913 May 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
Comments due: June 22, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-071
34-77895 May 24, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF of First Trust Exchange-Traded Fund VIII
Comments due:  June 21, 2016
See also: Notice: Rel. No. 34-78290
Comments received are available for this proposal.

SR-NASDAQ-2016-072
34-77890 May 24, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust
Comments due:  June 21, 2016
See also: Notice: Rel. No. 34-78225, Notice: Rel. No. 34-78626

SR-NASDAQ-2016-013
34-77879 May 20, 2016 Notice of Designation of a Longer Period for Commission Action on 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
See also: Notice: Rel. No. 34-77481, Order: Rel. No. 34-78223

SR-NASDAQ-2016-070
34-77878 May 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Pricing at Chapter XV, Section 2
Comments due:  June 16, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-057
34-77855 May 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Clarify Closed-End Funds Annual Fees
Comments due:  June 15, 2016

SR-NASDAQ-2016-061
34-77854 May 19, 2016 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII
Comments due:  June 15, 2016
See also: Order: Rel. No. 34-78592, Notice: Rel. No. 34-78227

SR-NASDAQ-2016-066
34-77839 May 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 4703
Comments due: June 10, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-023
34-77831 May 13, 2016 Notice of Withdrawal of Proposed Rule Change to Amend Rules 4702 and 4703
See also: Notice: Rel. No. 34-77226, Notice: Rel. No. 34-77592

SR-NASDAQ-2016-065
34-77800 May 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Limit Up-Limit Down Pricing Program Under Rule 7014
Comments due: June 6, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-064
34-77781 May 6, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII
Comments due:  June 2, 2016
See also: Order: Rel. No. 34-78443, Notice: Rel. No. 34-78078

SR-NASDAQ-2016-033
34-77765 May 4, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Exchange's Offering of Remote ITCH to Trade Options Wave Ports
Comments due: May 31, 2016
See also: Notice: Rel. No. 34-77381

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: May 25, 2016

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: May 25, 2016
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
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: May 23, 2016
See also: Notice: Rel. No. 34-78437, Notice: Rel. No. 34-78063
Comments received are available for this proposal.

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: May 23, 2016
Rebuttal comments due: June 6, 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: May 23, 2016
Rebuttal comments due: June 6, 2016
See also: Notice: Rel. No. 34-78913, Notice: Rel. No. 34-78384, Notice: Rel. No. 34-77320, Notice: Rel. No. 34-76944
Comments received are available for this proposal.

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, Notice: Rel. No. 34-78014

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:  May 17, 2016
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:  May 17, 2016
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:  May 10, 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
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:  May 6, 2016
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
Comments received are available for this proposal.

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
See also: Notice: Rel. No. 34-77879, Order: Rel. No.: 34-78223
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
See also: Notice: Rel. No. 34-77381
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: Notice: Rel. No. 34-78913, Notice: Rel. No. 34-78384, 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, Notice: Rel. No. 34-78014
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: Notice: Rel. No. 34-78913, Notice: Rel. No. 34-78384, 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-2016-132
34-78977 Sep. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq's Fees and Credits at Rules 7014 and 7018
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-130
34-78912 Sep. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq's Fees at Rule 7014(f)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-127
34-78979 Sep. 29, 2016 Notice of Filing of Proposed Rule Change to Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-126
34-78837 Sep. 14, 2016 Notice of Filing of Proposed Rule Change to Describe Changes to System Functionality Necessary to Implement the Tick Size Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-123
34-78816 Sep. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4770
Comments due:  October 7, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NASDAQ-2016-122
34-78695 Aug. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-121
34-78749 Sep. 1, 2016 Notice of Filing of Proposed Rule Change Related to the NASDAQ Options Market LLC's Pricing At Chapter XV, Section 2(6)
Comments due:  September 29, 2016

SR-NASDAQ-2016-120
34-78713 Aug. 29, 2016 Notice of Filing of Proposed Rule Change to Adopt the Third Party Connectivity Service under Rules 7034(b) and 7051
Comments due:  September 23, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-118
34-78605 Aug. 17, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error in Rules IM-5910-1 and IM-5920-1
Comments due: September 13, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-117
34-78654 Aug. 23, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elkhorn Commodity Rotation Strategy ETF of the Elkhorn ETF Trust
Comments due:  September 19, 2016

SR-NASDAQ-2016-115
34-78567 Aug. 12, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018
Comments due: September 8, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-113
34-78634 Aug. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Options Pricing
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-111
34-78908 Sep. 22, 2016 Notice of Filing of Proposed Rule Change to Amend Nasdaq Rules 4702 and 4703
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-109
34-78578 Aug. 15, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7047
Comments due: September 9, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-105
34-78451 Aug. 1, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Eaton Vance Floating-Rate & High Income NextShares of the Eaton Vance NextShares Trust II
Comments due: August 26, 2016

SR-NASDAQ-2016-104
34-78918 Sep. 23, 2016 Order Granting Approval of a Proposed Rule Change to Amend Nasdaq Rule 5735 to Adopt Generic Listing Standards for Managed Fund Shares
34-78616 Aug. 18, 2016 Notice of Filing of Proposed Rule Change to Amend Nasdaq Rule 5735 to Adopt Generic Listing Standards for Managed Fund Shares
Comments due: September 14, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-103
34-78738 Aug. 31, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Exchange-Traded Managed Funds
34-78385 Jul. 21, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Exchange-Traded Managed Funds
Comments due: August 17, 2016

SR-NASDAQ-2016-102
34-78354 Jul. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 7018
Comments due: August 15, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-101
34-78886 Sep. 20, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Add Nasdaq Rule 7046 (Nasdaq Trading Insights)
34-78462 Aug. 2, 2016 Notice of Filing of Proposed Rule Change to Add Nasdaq Rule 7046 (Nasdaq Trading Insights)
Comments due: August 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-100
34-78406 Jul. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Options Market LLC Pricing at Chapter XV
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-NASDAQ-2016-099
34-78404 Jul. 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Public Disclosure of Exchange Usage of Market Data
Comments due: August 19, 2016

SR-NASDAQ-2016-098
34-78806 Sep. 9, 2016 Order Approving Proposed Rule Change to Modify the Complimentary Services Offered to Certain New Listings
34-78392 Jul. 22, 2016 Notice of Filing of Proposed Rule Change to Modify the Complimentary Services Offered to Certain New Listings
Comments due: August 18, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-097
34-78480 Aug. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Detection of Loss of Connection
Comments due: August 31, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-096
34-78360 Jul. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Adjustments to Nasdaq's Options Regulatory Fee
Comments due: August 15, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-093
34-78251 Jul. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules to Implement the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program
Comments due: August 3, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-NASDAQ-2016-092
34-78208 Jun. 30, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
Comments due: July 28, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-091
34-78200 Jun. 30, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professionals Order Counting
Comments due: July 28, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-090
34-78380 Jul. 21, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliated Entities
Comments due: August 17, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-089
34-78103 Jun. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Pricing at Chapter XV, Section 2
Comments due: July 15, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-088
34-78175 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Fees for Certain Real Estate Investment Trusts Listed on Nasdaq
Comments due: July 22, 2016

SR-NASDAQ-2016-087
34-78285 Jul. 11, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Automated Removal of Orders and Quotes
Comments due: August 5, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-086
34-78533 Aug. 10, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF
34-78150 Jun. 24, 2016 Notice of Filing of Proposed Rule Change to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF
Comments due: July 21, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-085
34-78149 Jun. 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Listed Companies Not Currently Subject to Nasdaq's All-Inclusive Annual Listing Fee To Opt In to That Fee Program For 2017
Comments due: July 20, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-084
34-78123 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits
Comments due: July 19, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-NASDAQ-2016-083
34-78089 Jun. 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7018(a) and 7014(h)
Comments due:  July 13, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-082
34-78188 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the AdvisorShares Market Adaptive Unconstrained Income ETF of the AdvisorShares Trust
Comments due: July 26, 2016

SR-NASDAQ-2016-081
34-78050 Jun. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Limited WebLink ACT or Nasdaq Workstation Post Trade Fee Tier under Rule 7015(e)
Comments due:  July 8, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-078
34-78051 Jun. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Assessed Under Rule 7015(h)
Comments due:  July 8, 2016

SR-NASDAQ-2016-077
34-78047 Jun. 13, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Certain Fees Charged to Securities Listed on Nasdaq Under the Rule 5700 Series
Comments due:  July 8, 2016

SR-NASDAQ-2016-074
34-77913 May 25, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity
Comments due: June 22, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-072
34-78626 Aug. 22, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust
34-78225 Jul. 5, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust
34-77890 May 24, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust
Comments due:  June 21, 2016

SR-NASDAQ-2016-071
34-78642 Aug. 23, 2016 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF
34-78290 Jul. 12, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF
34-77895 May 24, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF of First Trust Exchange-Traded Fund VIII
Comments due:  June 21, 2016
Comments received are available for this proposal.

SR-NASDAQ-2016-070
34-77878 May 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options Pricing at Chapter XV, Section 2
Comments due:  June 16, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-067
34-78667 Aug. 24, 2016 Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt Limit Order Protections
Comments due:  September 20, 2016
Additional File Nos.: SR-BX-2016-037, SR-Phlx-2016-58
34-78246 Jul. 7, 2016 Notice of Filing of Proposed Rule Change to Adopt Limit Order Protection
Comments due: August 3, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-066
34-77839 May 16, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 4703
Comments due: June 10, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-NASDAQ-2016-065
34-77800 May 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Limit Up-Limit Down Pricing Program Under Rule 7014
Comments due: June 6, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-064
34-78443 Jul. 29, 2016 Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII
34-78078 Jun. 15, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII
34-77781 May 6, 2016 Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII
Comments due:  June 2, 2016

SR-NASDAQ-2016-061
34-78592 Aug. 16, 2016 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII
34-78227 Jul. 5, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII
34-77854 May 19, 2016 Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII
Comments due:  June 15, 2016

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: May 25, 2016

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: May 23, 2016
Rebuttal comments due: June 6, 2016
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: May 25, 2016
Additional Materials: Exhibit 5

SR-NASDAQ-2016-057
34-77855 May 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Clarify Closed-End Funds Annual Fees
Comments due:  June 15, 2016

SR-NASDAQ-2016-056
34-78437 Jul. 28, 2016 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 PowerShares Variable Rate Investment Grade Portfolio, a series of the PowerShares Actively Managed Exchange-Traded Fund Trust
Comments due: August 24, 2016
34-78063 Jun. 14, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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
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: May 23, 2016
Comments received are available for this proposal.

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:  May 17, 2016
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:  May 10, 2016
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
Comments received are available for this proposal.

SR-NASDAQ-2016-052
34-78037 Jun. 10, 2016 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:  July 7, 2016

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:  May 17, 2016
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:  May 6, 2016
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
34-78014 Jun. 8, 2016 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish Secondary Contingency Procedures for the Exchange's Closing Cross
Comments due:  July 5, 2016
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
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
34-77765 May 4, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Exchange's Offering of Remote ITCH to Trade Options Wave Ports
Comments due: May 31, 2016
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
34-77831 May 13, 2016 Notice of Withdrawal of Proposed Rule Change to Amend Rules 4702 and 4703
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
34-78223 Jul. 1, 2016 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees
Comments due: July 28, 2016
34-77879 May 20, 2016 Notice of Designation of a Longer Period for Commission Action on 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
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
34-78913 Sep. 23, 2016 Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, 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
34-78384 Jul. 21, 2016 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 Nos. 1 and 2 thereto, to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III
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: May 23, 2016
Rebuttal comments due: June 6, 2016
Comments received are available for this proposal.
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
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: 09/29/2016