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NASDAQ Stock Market LLC (NASDAQ) Rulemaking

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

Chronological List
Second Quarter | First Quarter

NASDAQ File Number List for 2009

Additional Archives

2009 | 2008 | 2007 | 2006


Chronological List
Release No. Date Details
Second Quarter

SR-NASDAQ-2009-045
34-59871 May 6, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Trade Reporting File Upload Service and Related Fees
Comments due:  21 days after publication in the Federal Register
* Submit comments on SR-NASDAQ-2009-045

SR-NASDAQ-2009-039
34-59858 May 4, 2009 Notice of Filing of Proposed Rule Change to Amend the Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due:  21 days after publication in the Federal Register
* Submit comments on SR-NASDAQ-2009-039

SR-NASDAQ-2009-035
34-59843 Apr. 29, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due:  21 days after publication in the Federal Register
* Submit comments on SR-NASDAQ-2009-035

SR-NASDAQ-2009-034
34-59822 Apr. 27, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Rule 7050 Governing Pricing for The NASDAQ Options Market ("NOM")
Comments due:  21 days after publication in the Federal Register
* Submit comments on SR-NASDAQ-2009-034

SR-NASDAQ-2009-036
34-59807 Apr. 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing
Comments due:  21 days after publication in the Federal Register
* Submit comments on SR-NASDAQ-2009-036

SR-NASDAQ-2006-064
34-59795 Apr. 20, 2009 Order Approving Proposed Rule Change as Modified by Amendments No. 2 and 3 Thereto to Modify the Fee for Connecting to a Nasdaq Data Center Over the Internet
See also:  Notice: Rel. No. 34-55457

SR-NASDAQ-2009-033
34-59786 Apr. 17, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish InterACT, a New Service, and Related Fees
Comments due:  May 15, 2009
Comments received are available for this notice.
* Submit comments on SR-NASDAQ-2009-033

SR-NASDAQ-2009-032
34-59773 Apr. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due:  May 13, 2009
Additional File Nos.:   SR-BX-2009-019, SR-Phlx-2009-31
* Submit comments on SR-NASDAQ-2009-032

SR-NASDAQ-2009-028
34-59712 Apr. 6, 2009 Notice of Filing of Proposed Rule Change to Reduce Fees for NASDAQ Basic Data Feeds
Comments due:  May 5, 2009
* Submit comments on SR-NASDAQ-2009-028

SR-NASDAQ-2009-029
34-59706 Apr. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center
Comments due:  May 5, 2009
* Submit comments on SR-NASDAQ-2009-029

SR-NASDAQ-2009-031
34-59673 Apr. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules
Comments due:  April 29, 2009
* Submit comments on SR-NASDAQ-2009-031
First Quarter

SR-NASDAQ-2009-018
34-59663 Mar. 31, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions and Restructuring of the NASDAQ Listing Rules
Comments due:  April 27, 2009
Additional Materials:  Exhibit 5
Comments received are available for this notice.
* Submit comments on SR-NASDAQ-2009-018

SR-NASDAQ-2009-026
34-59661 Mar. 31, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market through July 19, 2009
Comments due:  April 27, 2009
* Submit comments on SR-NASDAQ-2009-026

SR-NASDAQ-2009-027
34-59652 Mar. 30, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend the Pilot Program for NASDAQ Last Sale Data Feeds and to Reduce the Monthly Cap on Fees
Comments due:  April 27, 2009
* Submit comments on SR-NASDAQ-2009-027

SR-NASDAQ-2009-030
34-59632 Mar. 26, 2009 Notice of Filing and Immediate Effectiveness of a Proposal by to Extend the Options Penny Pilot for The NASDAQ Options Market
Comments due:  April 22, 2009
* Submit comments on SR-NASDAQ-2009-030

SR-NASDAQ-2009-023
34-59610 Mar. 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Trading the Two-Character Ticker Symbol “UG”
Comments due:  April 16, 2009
* Submit comments on SR-NASDAQ-2009-023

SR-NASDAQ-2009-025
34-59588 Mar. 17, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Related To the $1 Strike Price Program
Comments due:  April 14, 2009
* Submit comments on SR-NASDAQ-2009-025

SR-NASDAQ-2008-102
34-59582 Mar. 16, 2009 Order Approving Proposed Rule Change as Modified by Amendment No. 2 Thereto to Establish a Pilot Program for NASDAQ Basic Data Feeds
See also:  Notice: Rel. No. 34-59244

SR-NASDAQ-2007-006
34-59580 Mar. 13, 2009 Order Approving Proposed Rule Change as Modified by Amendment No. 1 Thereto to Establish the Nasdaq Daily Share Volume Service and to Establish Fees for the Service
See also:  Notice: Rel. No. 34-55444

SR-NASDAQ-2006-056
34-59579 Mar. 13, 2009 Order Approving Proposed Rule Change as Modified by Amendment No. 2 Thereto to Establish Nasdaq Custom Data Feeds
See also:  Notice: Rel. No. 34-54959

SR-NASDAQ-2009-017
34-59557 Mar. 11, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Processing of Orders on the NASDAQ Options Market
Comments due:  April 7, 2009
* Submit comments on SR-NASDAQ-2009-017

SR-NASDAQ-2009-021
34-59549 Mar. 10, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding a Clerical Change to Nasdaq Rules
Comments due:  April 7, 2009
* Submit comments on SR-NASDAQ-2009-021

SR-NASDAQ-2009-014
34-59547 Mar. 10, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish New Rules Applicable to the Nasdaq Market Center and Nasdaq Options Market that Explicitly Require Members to Input Accurate Information into Nasdaq Systems
Comments due:  April 7, 2009
* Submit comments on SR-NASDAQ-2009-014

SR-NASDAQ-2009-016
34-59485 Mar. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC to Eliminate the $3 Price Requirement for Continued Approval for an Underlying Security and Listing Additional Series of Options
Comments due:  March 31, 2009
* Submit comments on SR-NASDAQ-2009-016

SR-NASDAQ-2009-010
34-59460 Feb. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due:  March 27, 2009
Additional File Nos.:   SR-BX-2009-009, SR-Phlx-2009-14

SR-NASDAQ-2009-013
34-59455 Feb. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due:  March 25, 2009

SR-NASDAQ-2009-009
34-59424 Feb. 19, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Nasdaq’s Definition of “Controlled Company”
Comments due:  March 19, 2009

SR-NASDAQ-2009-005
34-59421 Feb. 19, 2009 Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Reduce Certain Order Exposure Periods on the NASDAQ Options Market from Three Seconds to One Second
See also:  Notice: Rel. No. 34-59310

SR-NASDAQ-2009-011
34-59420 Feb. 19, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Exchange Direct Order for the NASDAQ Options Market
Comments due:  March 18, 2009

SR-NASDAQ-2009-008
34-59405 Feb. 13, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7050 Governing Pricing For Nasdaq Members Using The NASDAQ Options Market (“NOM”)
Comments due:  March 16, 2009

SR-NASDAQ-2009-004
34-59396 Feb. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consolidating Into a Single Rule Certain Requirements for Products Traded on the Exchange Pursuant to Unlisted Trading Privileges
Comments due:  March 11, 2009

SR-NASDAQ-2009-006
34-59392 Feb. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Post-Only Order
Comments due:  March 13, 2009

SR-NASDAQ-2008-101
34-59370 Feb. 6, 2009 Order Approving Proposed Rule Change to Adopt a Policy Relating to its Treatment of Trade Reports that it Determines to be Inconsistent with the Prevailing Market Retroactive to September 1, 2008
See also:  Notice: Rel. No. 34-59149

SR-NASDAQ-2008-097
34-59369 Feb. 6, 2009 Order Granting Approval of Proposed Rule Change to Adopt a Limited Exemption from OATS Order Data Recordation Requirements for Registered Options Market Makers
See also:  Notice: Rel. No. 34-59163

SR-NASDAQ-2009-003
34-59318 Jan. 29, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Nasdaq’s Listing Requirements Related To The Distribution of Annual Reports
Comments due:  February 26, 2009

SR-NASDAQ-2009-005
34-59310 Jan. 28, 2009 Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Reduce The Order Exposure Period on the NASDAQ Options Market
Comments due:  February 18, 2009
See also:  Order: Rel. No. 34-59421

SR-NASDAQ-2009-002
34-59291 Jan. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Compliance Period Applicable to Companies that Fail to Meet the Market Value of Listed Securities Requirement
Comments due:  21 days after publication in the Federal Register

SR-NASDAQ-2008-104
34-59275 Jan. 22, 2009 Notice of Filing of Proposed Rule Change to Adopt a Modified Sponsored Access Rule
Comments due:  February 19, 2009
Comments received are available for this notice.
* Submit comments on SR-NASDAQ-2008-104

SR-NASDAQ-2008-016
34-59266 Jan. 16, 2009 Order Approving Proposed Rule Change to Create the Nasdaq Market Pathfinders Service and Establish Fees for the Service
See also:  Notice: Rel. No. 34-58145

SR-NASDAQ-2009-001
34-59260 Jan. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7050 Governing Pricing for Nasdaq Members Using The NASDAQ Options Market ("NOM")
Comments due:  February 17, 2009

SR-NASDAQ-2008-102
34-59244 Jan. 13, 2009 Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto to Establish a Pilot Program for NASDAQ Basic Data Feeds
Comments due:  February 12, 2009
See also:  Order: Rel. No. 34-59582
Comments received are available for this notice.

SR-NASDAQ-2008-099
34-59219 Jan. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market through April 19, 2009
Comments due:  February 5, 2009

SR-NASDAQ-2008-096
34-59214 Jan. 7, 2009 Order Granting Accelerated Approval to a Proposed Rule Change Relating to the Generic Listing Standards for Index Multiple Exchange Traded Fund Shares and Index Inverse Exchange Traded Fund Shares
See also:  Notice: Rel. No. 34-59098

SR-NASDAQ-2008-084
34-59203 Jan. 6, 2009 Order Approving Proposed Rule Change to Require Limited Partnerships to Obtain Shareholder Approval for the Use of Equity Compensation and Make Other Clarifying Changes to the Listing Requirements for Limited Partnerships
See also:  Notice: Rel. No. 34-59014


NASDAQ File Number List for 2009

Release No. Date Details

SR-NASDAQ-2009-045
34-59871 May 6, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Trade Reporting File Upload Service and Related Fees
Comments due:  21 days after publication in the Federal Register
* Submit comments on SR-NASDAQ-2009-045

SR-NASDAQ-2009-039
34-59858 May 4, 2009 Notice of Filing of Proposed Rule Change to Amend the Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Comments due:  21 days after publication in the Federal Register
* Submit comments on SR-NASDAQ-2009-039

SR-NASDAQ-2009-036
34-59807 Apr. 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Routing
Comments due:  21 days after publication in the Federal Register
* Submit comments on SR-NASDAQ-2009-036

SR-NASDAQ-2009-035
34-59843 Apr. 29, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due:  21 days after publication in the Federal Register
* Submit comments on SR-NASDAQ-2009-035

SR-NASDAQ-2009-034
34-59822 Apr. 27, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying Rule 7050 Governing Pricing for The NASDAQ Options Market ("NOM")
Comments due:  21 days after publication in the Federal Register
* Submit comments on SR-NASDAQ-2009-034

SR-NASDAQ-2009-033
34-59786 Apr. 17, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish InterACT, a New Service, and Related Fees
Comments due:  May 15, 2009
Comments received are available for this notice.
* Submit comments on SR-NASDAQ-2009-033

SR-NASDAQ-2009-032
34-59773 Apr. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due:  May 13, 2009
Additional File Nos.:   SR-BX-2009-019, SR-Phlx-2009-31
* Submit comments on SR-NASDAQ-2009-032

SR-NASDAQ-2009-031
34-59673 Apr. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rules
Comments due:  April 29, 2009
* Submit comments on SR-NASDAQ-2009-031

SR-NASDAQ-2009-030
34-59632 Mar. 26, 2009 Notice of Filing and Immediate Effectiveness of a Proposal by to Extend the Options Penny Pilot for The NASDAQ Options Market
Comments due:  April 22, 2009
* Submit comments on SR-NASDAQ-2009-030

SR-NASDAQ-2009-029
34-59706 Apr. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Market Center
Comments due:  May 5, 2009
* Submit comments on SR-NASDAQ-2009-029

SR-NASDAQ-2009-028
34-59712 Apr. 6, 2009 Notice of Filing of Proposed Rule Change to Reduce Fees for NASDAQ Basic Data Feeds
Comments due:  May 5, 2009
* Submit comments on SR-NASDAQ-2009-028

SR-NASDAQ-2009-027
34-59652 Mar. 30, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Extend the Pilot Program for NASDAQ Last Sale Data Feeds and to Reduce the Monthly Cap on Fees
Comments due:  April 27, 2009
* Submit comments on SR-NASDAQ-2009-027

SR-NASDAQ-2009-026
34-59661 Mar. 31, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Suspension of the Continued Listing Requirements Related to Bid Price and Market Value of Publicly Held Shares for Listing on the Nasdaq Stock Market through July 19, 2009
Comments due:  April 27, 2009
* Submit comments on SR-NASDAQ-2009-026

SR-NASDAQ-2009-025
34-59588 Mar. 17, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by The NASDAQ Stock Market LLC Related To the $1 Strike Price Program
Comments due:  April 14, 2009
* Submit comments on SR-NASDAQ-2009-025

SR-NASDAQ-2009-023
34-59610 Mar. 20, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Relating to Trading the Two-Character Ticker Symbol “UG”
Comments due:  April 16, 2009
* Submit comments on SR-NASDAQ-2009-023

SR-NASDAQ-2009-021
34-59549 Mar. 10, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC Regarding a Clerical Change to Nasdaq Rules
Comments due:  April 7, 2009
* Submit comments on SR-NASDAQ-2009-021

SR-NASDAQ-2009-018
34-59663 Mar. 31, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions and Restructuring of the NASDAQ Listing Rules
Comments due:  April 27, 2009
Additional Materials:  Exhibit 5
Comments received are available for this notice.
* Submit comments on SR-NASDAQ-2009-018

SR-NASDAQ-2009-017
34-59557 Mar. 11, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Processing of Orders on the NASDAQ Options Market
Comments due:  April 7, 2009
* Submit comments on SR-NASDAQ-2009-017

SR-NASDAQ-2009-016
34-59485 Mar. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC to Eliminate the $3 Price Requirement for Continued Approval for an Underlying Security and Listing Additional Series of Options
Comments due:  March 31, 2009
* Submit comments on SR-NASDAQ-2009-016

SR-NASDAQ-2009-014
34-59547 Mar. 10, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish New Rules Applicable to the Nasdaq Market Center and Nasdaq Options Market that Explicitly Require Members to Input Accurate Information into Nasdaq Systems
Comments due:  April 7, 2009
* Submit comments on SR-NASDAQ-2009-014

SR-NASDAQ-2009-013
34-59455 Feb. 25, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due:  March 25, 2009

SR-NASDAQ-2009-011
34-59420 Feb. 19, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Exchange Direct Order for the NASDAQ Options Market
Comments due:  March 18, 2009

SR-NASDAQ-2009-010
34-59460 Feb. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Certificate of Incorporation of The NASDAQ OMX Group, Inc.
Comments due:  March 27, 2009
Additional File Nos.:   SR-BX-2009-009, SR-Phlx-2009-14

SR-NASDAQ-2009-009
34-59424 Feb. 19, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Nasdaq’s Definition of “Controlled Company”
Comments due:  March 19, 2009

SR-NASDAQ-2009-008
34-59405 Feb. 13, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 7050 Governing Pricing For Nasdaq Members Using The NASDAQ Options Market (“NOM”)
Comments due:  March 16, 2009

SR-NASDAQ-2009-006
34-59392 Feb. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Post-Only Order
Comments due:  March 13, 2009

SR-NASDAQ-2009-005
34-59421 Feb. 19, 2009 Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Reduce Certain Order Exposure Periods on the NASDAQ Options Market from Three Seconds to One Second
34-59310 Jan. 28, 2009 Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Reduce The Order Exposure Period on the NASDAQ Options Market
Comments due:  February 18, 2009

SR-NASDAQ-2009-004
34-59396 Feb. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consolidating Into a Single Rule Certain Requirements for Products Traded on the Exchange Pursuant to Unlisted Trading Privileges
Comments due:  March 11, 2009

SR-NASDAQ-2009-003
34-59318 Jan. 29, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Nasdaq’s Listing Requirements Related To The Distribution of Annual Reports
Comments due:  February 26, 2009

SR-NASDAQ-2009-002
34-59291 Jan. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Compliance Period Applicable to Companies that Fail to Meet the Market Value of Listed Securities Requirement
Comments due:  21 days after publication in the Federal Register

SR-NASDAQ-2009-001
34-59260 Jan. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 7050 Governing Pricing for Nasdaq Members Using The NASDAQ Options Market ("NOM")
Comments due:  February 17, 2009

 

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


Modified: 05/07/2009