The Nasdaq Stock Market LLC (NASDAQ) Rulemaking Archive: 2018

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Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

Nasdaq File Number List for 2018

Additional Archives

Chronological List for 2018

Release No. Date Details
Fourth Quarter
SR-NASDAQ-2018-107
34-84960 Dec. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 of the Rules of The Nasdaq Options Market
Comments due: February 21, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-105
34-84930 Dec. 21, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Entry Fee for Listing on the Exchange's Global and Global Select Market Tiers
Comments due: January 22, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-106
34-84924 Dec. 21, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Extended Life Priority Order Attribute
Comments due: January 22, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-103
34-84880 Dec. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's All-Inclusive Annual Listing Fees for American Depositary Receipts
Comments due: January 18, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-102
34-84856 Dec. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Price Protection
Comments due: January 17, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-101
34-84822 Dec. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Options 7, Section 2(1)
Comments due: January 10, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-079
34-84812 Dec. 13, 2018 Notice of Filing of Proposed Rule Change to Amend Nasdaq Rules 5705 and 5710 to Adopt a Disclosure Requirement for Certain Securities
Comments due: January 9, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-100
34-84752 Dec. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Defined Terms "In-the-Money" and "Out-of-the-Money" in Chapter I, Section 1
Comments due: January 2, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-080
34-84747 Dec. 7, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the BrandywineGLOBAL - Global Total Return ETF, a Series of Legg Mason ETF Investment Trust, Under Nasdaq Rule 5735
SR-NASDAQ-2018-097
34-84723 Dec. 4, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay a New Protocol "Ouch to Trade Options" or "OTTO" on The Nasdaq Options Market LLC ("NOM")
Comments due: January 2, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-098
34-84684 Nov. 29, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Pricing Schedule
Comments due: December 27, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-096
34-84671 Nov. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4756(c)(2)
Comments due: December 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-094
34-84660 Nov. 27, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Options Exercise and Delivery Rules
Comments due: December 24, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-093
34-84638 Nov. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Registration, Qualification Examination and Continuing Education Rules
Comments due: December 18, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-092
34-84634 Nov. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Expired and Obsolete Provisions in Connection with Nasdaq's Transition to an All-Inclusive Annual Fee Program, Rename Certain Existing Annual Fees as All-Inclusive Annual Listing Fees, and Make Other Related Changes
Comments due: December 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-091
34-84633 Nov. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Fees
Comments due: December 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-095
34-84629 Nov. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Nasdaq Rule 5615(b)(4) to Change the Threshold for Qualifying as a Smaller Reporting Company to Qualify for Certain Exemptions from the Compensation Committee Requirements
Comments due: December 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-090
34-84621 Nov. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a New Midpoint Trade Now Functionality
Comments due: December 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-089
34-84622 Nov. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error in Rule 4702(b)(7)(A)
Comments due: December 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-088
34-84588 Nov. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter IV, Securities Traded on NOM, Section 8, Long-Term Options Contracts
Comments due: December 11, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-070
34-84575 Nov. 13, 2018 Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Corporate Non-Convertible Bonds on Nasdaq
Comments due: December 10, 2018
SR-NASDAQ-2018-086
34-84571 Nov. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 8 of the Exchange's Rules
Comments due: December 7, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-085
34-84559 Nov. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Rules to Reflect Changes to The Nasdaq Options Market LLC ("NOM") Protocols
Comments due: December 7, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-081
34-84538 Nov. 5, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open
Comments due: November 30, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-080
34-84505 Oct. 30, 2018 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the BrandywineGLOBAL - Global Total Return ETF, a Series of Legg Mason ETF Investment Trust Under Nasdaq Rule 5735
Comments due: November 26, 2018
Comments received are available for this proposal.
SR-NASDAQ-2018-082
34-84488 Oct. 25, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Derivative Securities Traded Under Unlisted Trading Privileges
Comments due: November 21, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-068
34-84454 Oct. 19, 2018 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Extend the Cutoff Times for Accepting On Close Orders Entered for Participation in the Nasdaq Closing Cross and to Make Related Changes
SR-NASDAQ-2018-070
34-84439 Oct. 16, 2018 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Corporate Non-Convertible Bonds on Nasdaq
SR-NASDAQ-2018-050
34-84425 Oct. 15, 2018 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV
SR-NASDAQ-2018-078
34-84386 Oct. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend, Reorganize and Enhance its Membership, Registration and Qualification Rules
Comments due: November 5, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-066
34-84355 Oct. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC
Comments due:  October 31, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-077
34-84328 Oct. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Minimum Quantity Order Attribute
Comments due: October 26, 2018
Additional Materials: Exhibit 5
Third Quarter
SR-NASDAQ-2018-075
34-84317 Sep. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7039, 7047, 7049, 7055, and 7061 to Update the Definition of the Term FINRA/Nasdaq Trade Reporting Facility
Comments due: October 25, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-008
34-84287 Sep. 26, 2018 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
Comments due: October 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-072
34-84214 Sep. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC
Comments due: October 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-073
34-84209 Sep. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7021
Comments due: October 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-076
34-84200 Sep. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees at Rule 7014
Comments due: October 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-074
34-84179 Sep. 18, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Market Quality Program (Rule 5950)
Comments due: October 15, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-128
34-84047 Sep. 6, 2018 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the Western Asset Total Return ETF
Comments due: October 3, 2018
SR-NASDAQ-2018-050
34-84003 Aug. 30, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV
SR-NASDAQ-2018-070
34-84001 Aug. 30, 2018 Notice of Filing of Proposed Rule Change to List and Trade Corporate Non-Convertible Bonds on Nasdaq
Comments due: September 27, 2018
Additional Materials: Exhibit 3, Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-068
34-83988 Aug. 29, 2018 Notice of Filing of Proposed Rule Change to Extend the Cutoff Times for Accepting On Close Orders Entered for Participation in the Nasdaq Closing Cross
Comments due: September 26, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-069
34-83888 Aug. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Definitions of the Protocols to Enter Quotes and Orders
Comments due: September 14, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-008
34-83865 Aug. 16, 2018 Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
SR-NASDAQ-2018-059
34-83861 Aug. 16, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Initial and Continued Listing Standards for Subscription Receipts and Fees for Their Listing
Comments due: September 12, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-067
34-83834 Aug. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete and Replace the Current Rules on Arbitration
Comments due: September 7, 2018
SR-NASDAQ-2018-063
34-83824 Aug. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing at Chapter XV, Section 2 Entitled "Nasdaq Options Market - Fees and Rebates"
Comments due: September 6, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-064
34-83823 Aug. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Under Rules 7014(e) and 7018(a)
Comments due: September 6, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-062
34-83794 Aug. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Nasdaq Options Regulatory Fee
Comments due: September 4, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-060
34-83771 Aug. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Terms Under Chapter I, Section 1 of the Options Rules
Comments due: August 30, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-058
34-83751 Jul. 31, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower Fees and Administrative Costs for Distributors of Nasdaq Basic, Nasdaq Last Sale, NLS Plus and the Nasdaq Depth-of-Book Products Through a Consolidated Enterprise License
Comments due: August 27, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-038
34-83721 Jul. 26, 2018 Notice of Withdrawal of Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
SR-NASDAQ-2018-057
34-83702 Jul. 25, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Credits Under Rule 7018(a)
Comments due: August 21, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-056
34-83670 Jul. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7015(b) to Provide for Port Connectivity the FINRA/Nasdaq Trade Reporting Facility Chicago
Comments due: August 15, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-052
34-83653 Jul. 17, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules Relating to Market Maker Quotations
Comments due: August 13, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-051
34-83623 Jul. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules and Adopt a Zero Bid Options Rule
Comments due: August 8, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-050
34-83618 Jul. 11, 2018 Notice of Filing of Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV
Comments due: August 7, 2018
Comments received are available for this proposal.
SR-NASDAQ-2018-038
34-83595 Jul. 5, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
SR-NASDAQ-2017-128
34-83588 Jul. 3, 2018 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF
Second Quarter
SR-NASDAQ-2018-048
34-83527 Jun. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Penny Pilot Program
Comments due: July 23, 2018
SR-NASDAQ-2018-047
34-83522 Jun. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: July 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-046
34-83482 Jun. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702
Comments due: July 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-045
34-83466 Jun. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity
Comments due: July 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-042
34-83435 Jun. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(j) and Rule 7018(a)
Comments due: July 11, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-044
34-83421 Jun. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules at Supplementary Material to Chapter III, Section 7, Entitled "Position Limits," and Section 9, Entitled "Exercise Limits"
Comments due: July 10, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-040
34-83405 Jun. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Descriptions of Certain Data Feeds within The Nasdaq Options Market
Comments due: July 6, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-041
34-83395 Jun. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Listing Standard for Paired Share Units
Comments due: July 5, 2018
SR-NASDAQ-2017-087
34-83383 Jun. 5, 2018 Notice of Withdrawal of Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination
SR-NASDAQ-2018-008
34-83294 May 21, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
Comments due: June 15, 2018
Rebuttal comments due: June 29, 2018
SR-NASDAQ-2018-038
34-83272 May 17, 2018 Notice of Filing of Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
Comments due: June 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-037
34-83228 May 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Order Spread Protection
Comments due: June 8, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-035
34-83198 May 9, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Order and Execution Available to Participants into Chapter VI, Section 19, Entitled Data Feeds
Comments due: June 5, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-036
34-83193 May 9, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reorganize and Amend The Nasdaq Options Market LLC Chapter XV, Section 3, entitled "Nasdaq Options Market - Ports and Other Services
Comments due: June 5, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-032
34-83142 May 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Exchange-Traded Managed Fund Shares of the Gabelli Pet Parent Fund under Nasdaq Rule 5745
Comments due: May 29, 2018
SR-NASDAQ-2018-031
34-83132 Apr. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702(b)(5), Rule 4703(d), Rule 4752(d)(2)(B), and Rule 4754(b)(2)(B)
Comments due: May 25, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-088
34-83125 Apr. 27, 2018 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Nasdaq Rule 4703(a) to Allow Members to Designate an Order with a RTFY or SCAN Routing Order Attribute to Activate at 7:00 a.m. ET
Comments due: May 24, 2018
SR-NASDAQ-2018-030
34-83115 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules of the Rule 7000A Series to Make Conforming and Technical Changes
Comments due: May 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-029
34-83091 Apr. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4120 to Correct a Citation
Comments due: May 18, 2018
SR-NASDAQ-2018-027
34-83054 Apr. 17, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Duplicative Rules Related to the Consolidated Audit Trail from Its Rulebook
Comments due: May 14, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-012
34-83046 Apr. 13, 2018 Order Granting Approval of a Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF
SR-NASDAQ-2018-025
34-83025 Apr. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: May 7, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-087
34-83010 Apr. 6, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination
SR-NASDAQ-2017-128
34-83007 Apr. 6, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Western Asset Total Return ETF
Comments due: May 3, 2018
Rebuttal comments due: May 17, 2018
Comments received are available for this proposal.
SR-NASDAQ-2018-008
34-82994 Apr. 4, 2018 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due:  days after publication in the Federal Register
SR-NASDAQ-2018-026
34-82982 Apr. 2, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify that the Validea Market Legends ETF Will Be Passively-Managed Rather than Actively-Managed
Comments due: April 27, 2018
First Quarter
SR-NASDAQ-2018-023
34-82976 Mar. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Disclosure Services Offered to Certain New Listings
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-024
34-82969 Mar. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Requirements for Delivery of a Contrary Exercise Advice
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-022
34-82964 Mar. 29, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7034
Comments due: April 25, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-019
34-82940 Mar. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2, Which Governs the Pricing for Nasdaq Participants Using The Nasdaq Options Market
Comments due: April 19, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-020
34-82921 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4370 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates
Comments due: April 17, 2018
Comments received are available for this proposal.
SR-NASDAQ-2018-021
34-82905 Mar. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Rule 7018 to Charge No Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: April 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-088
34-82871 Mar. 14, 2018 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Allow Participants to Designate when an Order with a RTFY or SCAN Routing Order Attribute will be Activated During Pre-Market Hours
SR-NASDAQ-2017-074
34-82825 Mar. 7, 2018 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to Adopt the Midpoint Extended Life Order
Comments due:  April 3, 2018
SR-NASDAQ-2018-017
34-82822 Mar. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014 to Eliminate the Small Cap Incentive Program and the Limit Up Limit Down Pricing Program
Comments due:  April 3, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-016
34-82811 Mar. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Nasdaq Options Market LLC Data Feed Offerings
Comments due: March 30, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-015
34-82791 Feb. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify IM-5900-7 to Update the Values of, and Permit a Third-Party Provider Selected by Nasdaq to Offer, Certain Complimentary Services Provided to Certain Newly Listing Companies Pursuant to the Rule
Comments due: March 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-013
34-82790 Feb. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: March 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-014
34-82775 Feb. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule 4758 to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: March 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-012
34-82761 Feb. 22, 2018 Notice of Filing of Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF
Comments due: March 21, 2018
SR-NASDAQ-2017-128
34-82757 Feb. 21, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF
SR-NASDAQ-2017-131
34-82730 Feb. 16, 2018 Order Granting Approval of a Proposed Rule Change to List and Trade the Shares of the Reinhart Intermediate Bond NextShares Fund Under Nasdaq Rule 5745
SR-NASDAQ-2018-010
34-82723 Feb. 15, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7039 to Modify Pricing for the Nasdaq Last Sale Data Product and to Make Other Related Changes to Nasdaq Rules
Comments due: March 15, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-011
34-82709 Feb. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: March 14, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-008
34-82702 Feb. 13, 2018 Notice of Filing of Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due: March 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2017-074
34-82629 Feb. 5, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt the Midpoint Extended Life Order
SR-NASDAQ-2018-007
34-82604 Jan. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-006
34-82589 Jan. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Technical Adjustment to its Rules to Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less than $1.00
Comments due: February 22, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-005
34-82573 Jan. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Listing Underlying Securities
Comments due: February 20, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-123
34-82564 Jan. 22, 2018 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Causeway International Value NextShares™ and the Causeway Global Value NextShares™
SR-NASDAQ-2018-004
34-82541 Jan. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7047
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-124
34-82530 Jan. 18, 2018 Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of Brandes Value NextShares Under Nasdaq Rule 5745
SR-NASDAQ-2017-055
34-82524 Jan. 17, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
SR-NASDAQ-2017-046
34-82503 Jan. 16, 2018 Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37
SR-NASDAQ-2018-001
34-82493 Jan. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Credits at Rule 7018(a)
Comments due:  February 9, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-002
34-82479 Jan. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 6200 to Codify Participant Risk Settings in the Exchange's Trading System (As Set Forth in a Proposed IM-6200-1) and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the Participant
Comments due:  February 7, 2018
SR-NASDAQ-2017-133
34-82481 Jan. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Transitional Rules that Have Expired Related to Compensation Committee Listing Standards
Comments due:  February 7, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-087
34-82478 Jan. 9, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination
Comments due: February 6, 2018
Comments received are available for this proposal.
SR-NASDAQ-2017-134
34-82467 Jan. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7037
Comments due: February 6, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2017-128
34-82439 Jan. 3, 2018 Notice of Filing of Proposed Rule Change to List and Trade the Shares of the Western Asset Total Return ETF
Comments due: January 30, 2018

Nasdaq File Number List for 2018

Release No. Date Details
SR-NASDAQ-2018-111
34-85039 Feb. 1, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118(a) of the Rules
Comments due: February 22, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-107
34-84960 Dec. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter VI, Section 5 of the Rules of The Nasdaq Options Market
Comments due: February 21, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-106
34-84924 Dec. 21, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Extended Life Priority Order Attribute
Comments due: January 22, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-105
34-84930 Dec. 21, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Entry Fee for Listing on the Exchange's Global and Global Select Market Tiers
Comments due: January 22, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-103
34-84880 Dec. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's All-Inclusive Annual Listing Fees for American Depositary Receipts
Comments due: January 18, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-102
34-84856 Dec. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Order Price Protection
Comments due: January 17, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-101
34-84822 Dec. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Options 7, Section 2(1)
Comments due: January 10, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-100
34-84752 Dec. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Defined Terms "In-the-Money" and "Out-of-the-Money" in Chapter I, Section 1
Comments due: January 2, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-098
34-84684 Nov. 29, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Pricing Schedule
Comments due: December 27, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-097
34-84723 Dec. 4, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay a New Protocol "Ouch to Trade Options" or "OTTO" on The Nasdaq Options Market LLC ("NOM")
Comments due: January 2, 2019
Additional Materials: Exhibit 5
SR-NASDAQ-2018-096
34-84671 Nov. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4756(c)(2)
Comments due: December 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-095
34-84629 Nov. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Nasdaq Rule 5615(b)(4) to Change the Threshold for Qualifying as a Smaller Reporting Company to Qualify for Certain Exemptions from the Compensation Committee Requirements
Comments due: December 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-094
34-84660 Nov. 27, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Options Exercise and Delivery Rules
Comments due: December 24, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-093
34-84638 Nov. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Registration, Qualification Examination and Continuing Education Rules
Comments due: December 18, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-092
34-84634 Nov. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Expired and Obsolete Provisions in Connection with Nasdaq's Transition to an All-Inclusive Annual Fee Program, Rename Certain Existing Annual Fees as All-Inclusive Annual Listing Fees, and Make Other Related Changes
Comments due: December 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-091
34-84633 Nov. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Fees
Comments due: December 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-090
34-84621 Nov. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce a New Midpoint Trade Now Functionality
Comments due: December 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-089
34-84622 Nov. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct a Typographical Error in Rule 4702(b)(7)(A)
Comments due: December 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-088
34-84588 Nov. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter IV, Securities Traded on NOM, Section 8, Long-Term Options Contracts
Comments due: December 11, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-086
34-84571 Nov. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 8 of the Exchange's Rules
Comments due: December 7, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-085
34-84559 Nov. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Rules to Reflect Changes to The Nasdaq Options Market LLC ("NOM") Protocols
Comments due: December 7, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-082
34-84488 Oct. 25, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Derivative Securities Traded Under Unlisted Trading Privileges
Comments due: November 21, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-081
34-84538 Nov. 5, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open
Comments due: November 30, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-080
34-85022 Jan. 31, 2019 Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3, to List and Trade Shares of the BrandywineGLOBAL - Global Total Return ETF
Comments due: February 27, 2019
34-84747 Dec. 7, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the BrandywineGLOBAL - Global Total Return ETF, a Series of Legg Mason ETF Investment Trust, Under Nasdaq Rule 5735
34-84505 Oct. 30, 2018 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the BrandywineGLOBAL - Global Total Return ETF, a Series of Legg Mason ETF Investment Trust Under Nasdaq Rule 5735
Comments due: November 26, 2018
Comments received are available for this proposal.
SR-NASDAQ-2018-079
34-85362 Mar. 19, 2019 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Nasdaq Rules 5705 and 5710 to Adopt a Disclosure Requirement for Certain Securities
34-85000 Jan. 29, 2019 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Nasdaq Rules 5705 and 5710 to Adopt a Disclosure Requirement for Certain Securities
34-84812 Dec. 13, 2018 Notice of Filing of Proposed Rule Change to Amend Nasdaq Rules 5705 and 5710 to Adopt a Disclosure Requirement for Certain Securities
Comments due: January 9, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-078
34-84386 Oct. 9, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend, Reorganize and Enhance its Membership, Registration and Qualification Rules
Comments due: November 5, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-077
34-84328 Oct. 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Minimum Quantity Order Attribute
Comments due: October 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-076
34-84200 Sep. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees at Rule 7014
Comments due: October 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-075
34-84317 Sep. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7039, 7047, 7049, 7055, and 7061 to Update the Definition of the Term FINRA/Nasdaq Trade Reporting Facility
Comments due: October 25, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-074
34-84179 Sep. 18, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the Market Quality Program (Rule 5950)
Comments due: October 15, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-073
34-84209 Sep. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7021
Comments due: October 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-072
34-84214 Sep. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC
Comments due: October 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-070
34-84575 Nov. 13, 2018 Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Corporate Non-Convertible Bonds on Nasdaq
Comments due: December 10, 2018
34-84439 Oct. 16, 2018 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Corporate Non-Convertible Bonds on Nasdaq
34-84001 Aug. 30, 2018 Notice of Filing of Proposed Rule Change to List and Trade Corporate Non-Convertible Bonds on Nasdaq
Comments due: September 27, 2018
Additional Materials: Exhibit 3, Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-069
34-83888 Aug. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify the Definitions of the Protocols to Enter Quotes and Orders
Comments due: September 14, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-068
34-84454 Oct. 19, 2018 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Extend the Cutoff Times for Accepting On Close Orders Entered for Participation in the Nasdaq Closing Cross and to Make Related Changes
34-83988 Aug. 29, 2018 Notice of Filing of Proposed Rule Change to Extend the Cutoff Times for Accepting On Close Orders Entered for Participation in the Nasdaq Closing Cross
Comments due: September 26, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-067
34-83834 Aug. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete and Replace the Current Rules on Arbitration
Comments due: September 7, 2018
SR-NASDAQ-2018-066
34-84355 Oct. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Align Existing Investigatory and Disciplinary Processes and Related Rules with the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC
Comments due:  October 31, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-064
34-83823 Aug. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Under Rules 7014(e) and 7018(a)
Comments due: September 6, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-063
34-83824 Aug. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing at Chapter XV, Section 2 Entitled "Nasdaq Options Market - Fees and Rebates"
Comments due: September 6, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-062
34-83794 Aug. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Nasdaq Options Regulatory Fee
Comments due: September 4, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-060
34-83771 Aug. 3, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Terms Under Chapter I, Section 1 of the Options Rules
Comments due: August 30, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-059
34-83861 Aug. 16, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Initial and Continued Listing Standards for Subscription Receipts and Fees for Their Listing
Comments due: September 12, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-058
34-83751 Jul. 31, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower Fees and Administrative Costs for Distributors of Nasdaq Basic, Nasdaq Last Sale, NLS Plus and the Nasdaq Depth-of-Book Products Through a Consolidated Enterprise License
Comments due: August 27, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-057
34-83702 Jul. 25, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees and Credits Under Rule 7018(a)
Comments due: August 21, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-056
34-83670 Jul. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7015(b) to Provide for Port Connectivity the FINRA/Nasdaq Trade Reporting Facility Chicago
Comments due: August 15, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-052
34-83653 Jul. 17, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules Relating to Market Maker Quotations
Comments due: August 13, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-051
34-83623 Jul. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules and Adopt a Zero Bid Options Rule
Comments due: August 8, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-050
34-84425 Oct. 15, 2018 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV
34-84003 Aug. 30, 2018 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV
34-83618 Jul. 11, 2018 Notice of Filing of Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV
Comments due: August 7, 2018
Comments received are available for this proposal.
SR-NASDAQ-2018-048
34-83527 Jun. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Penny Pilot Program
Comments due: July 23, 2018
SR-NASDAQ-2018-047
34-83522 Jun. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: July 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-046
34-83482 Jun. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702
Comments due: July 17, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-045
34-83466 Jun. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity
Comments due: July 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-044
34-83421 Jun. 13, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Nasdaq Options Market LLC ("NOM") Rules at Supplementary Material to Chapter III, Section 7, Entitled "Position Limits," and Section 9, Entitled "Exercise Limits"
Comments due: July 10, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-042
34-83435 Jun. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014(j) and Rule 7018(a)
Comments due: July 11, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-041
34-83395 Jun. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Listing Standard for Paired Share Units
Comments due: July 5, 2018
SR-NASDAQ-2018-040
34-83405 Jun. 11, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend The Descriptions of Certain Data Feeds within The Nasdaq Options Market
Comments due: July 6, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-038
34-83721 Jul. 26, 2018 Notice of Withdrawal of Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
34-83595 Jul. 5, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
34-83272 May 17, 2018 Notice of Filing of Proposed Rule Change to Amend Rule 4702(b)(14) to Establish a Price Improvement Only Variation on the Midpoint Extended Life Order
Comments due: June 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-037
34-83228 May 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Market Order Spread Protection
Comments due: June 8, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-036
34-83193 May 9, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reorganize and Amend The Nasdaq Options Market LLC Chapter XV, Section 3, entitled "Nasdaq Options Market - Ports and Other Services
Comments due: June 5, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-035
34-83198 May 9, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Order and Execution Available to Participants into Chapter VI, Section 19, Entitled Data Feeds
Comments due: June 5, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-032
34-83142 May 1, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Exchange-Traded Managed Fund Shares of the Gabelli Pet Parent Fund under Nasdaq Rule 5745
Comments due: May 29, 2018
SR-NASDAQ-2018-031
34-83132 Apr. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4702(b)(5), Rule 4703(d), Rule 4752(d)(2)(B), and Rule 4754(b)(2)(B)
Comments due: May 25, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-030
34-83115 Apr. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Rules of the Rule 7000A Series to Make Conforming and Technical Changes
Comments due: May 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-029
34-83091 Apr. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4120 to Correct a Citation
Comments due: May 18, 2018
SR-NASDAQ-2018-027
34-83054 Apr. 17, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Duplicative Rules Related to the Consolidated Audit Trail from Its Rulebook
Comments due: May 14, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-026
34-82982 Apr. 2, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify that the Validea Market Legends ETF Will Be Passively-Managed Rather than Actively-Managed
Comments due: April 27, 2018
SR-NASDAQ-2018-025
34-83025 Apr. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: May 7, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-024
34-82969 Mar. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Requirements for Delivery of a Contrary Exercise Advice
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-023
34-82976 Mar. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Disclosure Services Offered to Certain New Listings
Comments due: April 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-022
34-82964 Mar. 29, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7034
Comments due: April 25, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-021
34-82905 Mar. 20, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Fees at Rule 7018 to Charge No Transaction Fee for Execution of Midpoint Extended Life Orders
Comments due: April 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-020
34-82921 Mar. 22, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4370 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates
Comments due: April 17, 2018
Comments received are available for this proposal.
SR-NASDAQ-2018-019
34-82940 Mar. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Chapter XV, Section 2, Which Governs the Pricing for Nasdaq Participants Using The Nasdaq Options Market
Comments due: April 19, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-017
34-82822 Mar. 7, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7014 to Eliminate the Small Cap Incentive Program and the Limit Up Limit Down Pricing Program
Comments due:  April 3, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-016
34-82811 Mar. 6, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Nasdaq Options Market LLC Data Feed Offerings
Comments due: March 30, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-015
34-82791 Feb. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify IM-5900-7 to Update the Values of, and Permit a Third-Party Provider Selected by Nasdaq to Offer, Certain Complimentary Services Provided to Certain Newly Listing Companies Pursuant to the Rule
Comments due: March 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-014
34-82775 Feb. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Rule 4758 to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: March 23, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-013
34-82790 Feb. 28, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7018(a)
Comments due: March 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-012
34-83046 Apr. 13, 2018 Order Granting Approval of a Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF
34-82761 Feb. 22, 2018 Notice of Filing of Proposed Rule Change to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF
Comments due: March 21, 2018
SR-NASDAQ-2018-011
34-82709 Feb. 14, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Short Term Option Series Program
Comments due: March 14, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-010
34-82723 Feb. 15, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7039 to Modify Pricing for the Nasdaq Last Sale Data Product and to Make Other Related Changes to Nasdaq Rules
Comments due: March 15, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-008
34-84287 Sep. 26, 2018 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
Comments due: October 23, 2018
Additional Materials: Exhibit 5
34-83865 Aug. 16, 2018 Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
34-83294 May 21, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value
Comments due: June 15, 2018
Rebuttal comments due: June 29, 2018
34-82994 Apr. 4, 2018 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due:  days after publication in the Federal Register
34-82702 Feb. 13, 2018 Notice of Filing of Proposed Rule Change to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value
Comments due: March 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-NASDAQ-2018-007
34-82604 Jan. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate the Consolidated Audit Trail Compliance Rules
Comments due: February 26, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-006
34-82589 Jan. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Technical Adjustment to its Rules to Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less than $1.00
Comments due: February 22, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-005
34-82573 Jan. 23, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Listing Underlying Securities
Comments due: February 20, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-004
34-82541 Jan. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 7047
Comments due: February 16, 2018
Additional Materials: Exhibit 5
SR-NASDAQ-2018-002
34-82479 Jan. 10, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add a New Rule 6200 to Codify Participant Risk Settings in the Exchange's Trading System (As Set Forth in a Proposed IM-6200-1) and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the Participant
Comments due:  February 7, 2018
SR-NASDAQ-2018-001
34-82493 Jan. 12, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Transaction Credits at Rule 7018(a)
Comments due:  February 9, 2018
Additional Materials: Exhibit 5

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