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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 2012
Additional Archives
2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NASDAQ-2012-108 |
| 34-67979 |
Oct. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-NASDAQ-2012-108
|
SR-NASDAQ-2012-043 |
| 34-67961 |
Oct. 2, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
See also: Order: Rel. No. 34-67411, Notice: Rel. No. 34-67022, and Notice: Rel. No. 34-66765
|
| Third Quarter |
SR-NASDAQ-2012-106 |
| 34-67904 |
Sep. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Members the Ability to Pay a Regulatory Fine Pursuant to an Installment Plan
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2012-106
|
SR-NASDAQ-2012-105 |
| 34-67852 |
Sep. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete NASDAQ Rule 7032
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2012-105
|
SR-NASDAQ-2012-103 |
| 34-67849 |
Sep. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program under Rule 7014 and to Amend NASDAQ's Schedule of Execution Fees and Rebates under Rule 7018
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-103
|
SR-NASDAQ-2012-104 |
| 34-67843 |
Sep. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate to Add Liquidity and Non-Customer Fees for Removing Liquidity in Penny Pilot Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-104
|
SR-NASDAQ-2012-102 |
| 34-67837 |
Sep. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing of Options on Facebook, Inc., Google, Inc. and Groupon, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-102
|
SR-NASDAQ-2012-090 |
| 34-67842 |
Sep. 12, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4626—Limitation of Liability
See also: Notice: Rel. No. 34-67507
|
SR-NASDAQ-2012-072 |
| 34-67760 |
Aug. 30, 2012 |
Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2012-01, SR-BX-2012-052, SR-PHLX-2012-95, and SR-SCCP-2012-001
See also: Notice: Rel. No. 34-67293 |
SR-NASDAQ-2012-098 |
| 34-67750 |
Aug. 29, 2012 |
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Global Corporate Bond Fund of the Wisdom Tree Trust
Comments due: September 26, 2012
Submit comments on SR-NASDAQ-2012-098
|
SR-NASDAQ-2012-100 |
| 34-67738 |
Aug. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Direct Registration Requirements under Rule 5210(c)
Comments due: September 25,2012
Submit comments on SR-NASDAQ-2012-100
|
SR-NASDAQ-2012-095 |
| 34-67722 |
Aug. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Market Maker Pre-Opening Obligations on NOM
Comments due: September 19, 2012
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-095
|
SR-NASDAQ-2012-097 |
| 34-67721 |
Aug. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership in The NASDAQ Stock Market LLC
Comments due: September 19, 2012
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-097
|
SR-NASDAQ-2012-094 |
| 34-67678 |
Aug. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove the Expired Pilot Under Rule 4753(c) from the NASDAQ Rule Book
Comments due: September 12, 2012
Submit comments on SR-NASDAQ-2012-094
|
SR-NASDAQ-2012-059 |
| 34-67655 |
Aug. 14, 2012 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
Comments due: October 4, 2012
Rebuttal comments due: October 19, 2012
See also: Notice: Rel. No. 34-67258 and Notice: Rel. No. 34-66972
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2012-059
|
SR-NASDAQ-2012-071 |
| 34-67639 |
Aug. 10, 2012 |
Order Approving a Proposed Rule Change to Amend Rule 4758(a)(1)(A) to Reflect a Change in NASDAQ's Routing Functionality
See also: Notice: Rel. No. 34-67246
|
SR-NASDAQ-2012-058 |
| 34-67617 |
Aug. 8, 2012 |
Order Approving a Proposed Rule Change Relating to the Listing and Trading of Alpha Index-Linked Securities
See also: Notice: Rel. No. 34-67229
|
SR-NASDAQ-2012-093 |
| 34-67594 |
Aug. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Fee Schedule Governing Order Routing
Comments due: August 31, 2012
Submit comments on SR-NASDAQ-2012-093
|
SR-NASDAQ-2012-066 |
| 34-67584 |
Aug. 2, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No.1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
See also: Notice: Rel. No. 34-67203
|
SR-NASDAQ-2012-092 |
| 34-67582 |
Aug. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on the MSCI EM and MSCI EAFE Indexes
Comments due: August 29, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-088 |
| 34-67539 |
Jul. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Port Fees
Comments due: August 24, 2012
|
SR-NASDAQ-2012-091 |
| 34-67536 |
Jul. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: August 24, 2012
|
SR-NASDAQ-2012-087 |
| 34-67535 |
Jul. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due: August 24, 2012
|
SR-NASDAQ-2012-089 |
| 34-67518 |
Jul. 27, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Post-Only Order Type on NOM
Comments due: August 23, 2012
|
SR-NASDAQ-2012-086 |
| 34-67511 |
Jul. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Access to BONO and ITTO Ports
Comments due: August 22, 2012
|
SR-NASDAQ-2012-090 |
| 34-67507 |
Jul. 26, 2012 |
Notice of Filing of Proposed Rule Change to Amend Rule 4626 - Limitation of Liability
Comments due: August 22, 2012
Additional Materials: Exhibit 5
See also: Notice (extension): Rel. No. 34-67842
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2012-090
|
SR-NASDAQ-2012-062 |
| 34-67468 |
Jul. 19, 2012 |
Order Approving a Proposed Rule Change to Modify its Corporate Governance Rules
See also: Notice: Rel. No. 34-67076
|
SR-NASDAQ-2012-043 |
| 34-67411 |
Jul. 11, 2012 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Market Maker Incentive Programs for Certain Exchange-Traded Products
Additional File No.: SR-NYSEArca-2012-37
Comments due: August 16, 2012
Rebuttal comments due: August 31, 2012
See also: Notice: Rel. No. 34-67961, Notice: Rel. No. 34-67022, and Notice: Rel. No. 34-66765
Comments received are available for this proposal.
|
SR-NASDAQ-2012-084 |
| 34-67413 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price to Comply Order
Comments due: August 7, 2012
|
SR-NASDAQ-2012-080 |
| 34-67402 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Routing U.S. Securities and Exchange Commission
Comments due: August 7, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-081 |
| 34-67389 |
Jul. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options
Comments due: August 6, 2012
|
SR-NASDAQ-2012-083 |
| 34-67388 |
Jul. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options
Comments due: August 7, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-078 |
| 34-67376 |
Jul. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: August 3, 2012
Comments received are available for this proposal.
|
SR-NASDAQ-2012-079 |
| 34-67355 |
Jul. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Fee Schedule Governing Order Routing
Comments due: August 1, 2012
Additional Materials: Exhibit 5
|
| Second Quarter |
SR-NASDAQ-2012-075 |
| 34-67325 |
Jun. 29, 2012 |
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 27, 2012
|
SR-NASDAQ-2012-077 |
| 34-67301 |
Jun. 28, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Correcting Various NASDAQ Options Market Rules
Comments due: July 26, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-063 |
| 34-67297 |
Jun. 28, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Applicable to a New Version of the NASDAQ TotalView-ITCH Equities Depth Feed and Related Distributor and Administration Fees
Comments due: July 26, 2012
Comments received are available for this proposal.
|
SR-NASDAQ-2012-061 |
| 34-67295 |
Jun. 28, 2012 |
Order Approving a Proposed Rule Change for the NASDAQ Options Market to Accept Inbound Orders from NASDAQ OMX BX’s New Options Market
See also: Notice: Rel. No. 34-67027
|
SR-NASDAQ-2012-073 |
| 34-67292 |
Jun. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Excess Order Fee
Comments due: July 26, 2012
|
SR-NASDAQ-2012-072 |
| 34-67293 |
Jun. 28, 2012 |
Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. ("NASDAQ OMX")
Comments due: July 26, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-67760
|
SR-NASDAQ-2012-074 |
| 34-67285 |
Jun. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Terminate Revenue Sharing Agreement and Delete Associated Fee Schedule
Comments due: July 24, 2012
|
SR-NASDAQ-2012-057 |
| 34-67281 |
Jun. 27, 2012 |
Order Approving a Proposed Rule Change With Respect to the Authority of NASDAQ or NASDAQ Execution Services To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account
See also: Notice: Rel. No. 34-66964
|
SR-NASDAQ-2012-059 |
| 34-67258 |
Jun. 26, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
See also: Order: Rel. No. 34-67655 and Notice: Rel. No. 34-66972
|
SR-NASDAQ-2012-069 |
| 34-67253 |
Jun. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Optional Depth Data Enterprise License Fee for Broker-Dealer Distribution of Depth-of-Book Data
Comments due: July 20, 2012
Comments received are available for this proposal.
|
SR-NASDAQ-2012-071 |
| 34-67246 |
Jun. 25, 2012 |
Notice of Filing of Proposed Rule Change to Amend Rule 4758(a)(1)(A) to Reflect a Change in NASDAQ’s Routing Functionality
Comments due: July 20, 2012
See also: Order: Rel. No. 34-67639
|
SR-NASDAQ-2012-058 |
| 34-67229 |
Jun. 21, 2012 |
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Alpha Index-Linked Securities
Comments due: July 18, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-67617
|
SR-NASDAQ-2012-066 |
| 34-67203 |
Jun. 14, 2012 |
Notice of Filing of Proposed Rule Change to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
Comments due: July 11, 2012
See also: Order: Rel. No. 34-67584
|
SR-NASDAQ-2012-068 |
| 34-67171 |
Jun. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NDX Pricing
Comments due: July 5, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-067 |
| 34-67122 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the NASDAQ Options Market Message Traffic Mitigation Rule
Comments due: July 2, 2012
|
SR-NASDAQ-2012-065 |
| 34-67105 |
Jun. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals and Position Limits for OSX, SOX, and HGX
Comments due: June 29, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2011-131 |
| 34-67090 |
May 31, 2012 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due: June 27, 2012
See also: Notice: Rel. No. 34-66680; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65435
|
SR-NASDAQ-2012-062 |
| 34-67076 |
May 30, 2012 |
Notice of Filing of Proposed Rule Change to Modify its Corporate Governance Rules
Comments due: June 26, 2012
See also: Order: Rel. No. 34-67468
|
SR-NASDAQ-2012-064 |
| 34-67068 |
May 29, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee
Comments due: June 26, 2012
|
SR-NASDAQ-2012-061 |
| 34-67027 |
May 18, 2012 |
Notice of Filing of Proposed Rule Change for the NASDAQ Options Market to Accept Inbound Orders from NASDAQ OMX BX's New Options Market
Comments due: June 14, 2012
See also: Order: Rel. No. 34-67295
|
SR-NASDAQ-2012-060 |
| 34-67024 |
May 18, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price to Comply Order
Comments due: June 14, 2012
|
SR-NASDAQ-2012-043 |
| 34-67022 |
May 18, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
See also: Notice: Rel. No.34-67961, Order: Rel. No.34-67411, and Notice: Rel. No. 34-66765 and
|
SR-NASDAQ-2012-059 |
| 34-66972 |
May 11, 2012 |
Notice of Filing of Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
Comments due: June 7, 2012
See also: Order: Rel. No. 34-67655 and Notice: Rel. No. 34-67258
|
SR-NASDAQ-2012-057 |
| 34-66964 |
May 10, 2012 |
Notice of Filing of Proposed Rule Change with Respect to the Authority of NASDAQ or NASDAQ Execution Services to Cancel Orders When a Technical or System Issue Occurs and to Describe the Operation of an Error Account
Comments due: June 6, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-67281
|
SR-NASDAQ-2012-055 |
| 34-66951 |
May 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute an Excess Order Fee
Comments due: June 5, 2012
|
SR-NASDAQ-2012-054 |
| 34-66943 |
May 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NASDAQ Co-Location Super High Density Cabinet Monthly Fee
Comments due: June 4, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-053 |
| 34-66915 |
May 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program under Rule 7014 and to Amend NASDAQ's Schedule of Execution and Routing Fees and Rebates under Rule 7018
Comments due: May 30, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-056 |
| 34-66905 |
May 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7001 and 7018(h)
Comments due: May 29, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-052 |
| 34-66848 |
Apr. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF and BONO Port Fees and Account Fees
Comments due: May 18, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-002 |
| 34-66830 |
Apr. 18, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Adopt an Alternative to the $4 Per Share Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 Closing Price Per Share or $3 Closing Price Per Share, if Certain Other Listing Requirements are Met
Comments due: May 15, 2012
See also: Notice: Rel. No. 34-66499; and Notice: Rel. No. 34-66159
|
SR-NASDAQ-2012-050 |
| 34-66817 |
Apr. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 11, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-049 |
| 34-66780 |
Apr. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4751
Comments due: May 8, 2012
|
SR-NASDAQ-2012-048 |
| 34-66768 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees and Rebates in Penny Pilot Options
Comments due: May 3, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-043 |
| 34-66765 |
Apr. 6, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
Comments due: May 3, 2012
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-67961, Order: Rel. No. 34-67411, and Notice: Rel. No. 34-67022
Comments received are available for this proposal.
|
SR-NASDAQ-2012-047 |
| 34-66747 |
April 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program and the Extended Hours Investor Program under Rule 7014 and to Amend the Liquidity Provider Rebate Schedule under Rule 7018
Comments due: May 2, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-040 |
| 34-66741 |
Apr. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Transaction Execution Fee and Credit Schedule
Comments due: May 1, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-042 |
| 34-66740 |
Apr. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-organize NASDAQ's Rules Governing the Fees Applicable to NASDAQ's Depth-of-Book Market Data
Comments due: May 1, 2012
Comments received are available for this proposal.
|
SR-NASDAQ-2012-037 |
| 34-66729 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Newly Listed Indexes
Comments due: April 30, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-044 |
| 34-66724 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees Applicable to Non-Display Usage of Certain NASDAQ Depth-of-Book Market Data
Comments due: April 30, 2012
Additional Materials: Exhibit 3A and Exhibit 3B
Comments received are available for this proposal.
|
SR-NASDAQ-2012-046 |
| 34-66719 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Customer Routing Fees
Comments due: April 30, 2012
Additional Materials: Exhibit 5
|
| First Quarter |
SR-NASDAQ-2012-045 |
| 34-66706 |
Mar. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Fee Pilot Program for NASDAQ Last Sale
Comments due: April 26, 2012
|
SR-NASDAQ-2012-041 |
| 34-66699 |
Mar. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Non-Display of Primary Pegged Orders with an Offset Amount
Comments due: April 26, 2012
|
SR-NASDAQ-2011-131 |
| 34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also: Order: Rel. No. 34-67090; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65435
|
SR-NASDAQ-2012-038 |
| 34-66652 |
Mar. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120
Comments due: April 19, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-013 |
| 34-66648 |
Mar. 23, 2012 |
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Adoption of Listing Standards for Certain Securities
See also: Notice: Rel. No. 34-66320
|
SR-NASDAQ-2012-035 |
| 34-66636 |
Mar. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC to Assess a Fee for the QView Service
Comments due: April 17, 2012
|
SR-NASDAQ-2012-036 |
| 34-66591 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the 100MB Connectivity Option and Fee
Comments due: April 10, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-032 |
| 34-66544 |
Mar. 8, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NASDAQ's Investor Support Program
Comments due: April 4, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-031 |
| 34-66540 |
Mar. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Supplemental Orders
Comments due: April 4, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-033 |
| 34-66515 |
Mar. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates in Penny Pilot Options and Non-Penny Pilot Options
Comments due: March 30, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-002 |
| 34-66499 |
Mar. 1, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt an Alternative to the $4 Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 or $3, if Certain Other Listing Requirements Are Met
See also: Notice: Rel. No. 34-66830; and Notice: Rel. No. 34-66159
|
SR-NASDAQ-2012-004 |
| 34-66489 |
Feb. 29, 2012 |
Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust
See also: Notice: Rel. No. 34-66175
|
SR-NASDAQ-2012-025 |
| 34-66439 |
Feb. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain External and Inter-Cabinet Connectivity Fees
Comments due: March 20, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-026 |
| 34-66431 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing of Strike Prices
Comments due: March 19, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-028 |
| 34-66428 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Connectivity Options and Fees
Comments due: March 19, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-027 |
| 34-66409 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: March 15, 2012
|
SR-NASDAQ-2012-021 |
| 34-66372 |
Feb. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule change by NASDAQ Stock Market LLC Relating to Fidelity Bonds
Comments due: March 8, 2012
|
SR-NASDAQ-2012-024 |
| 34-66369 |
Feb. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Pre-Market Investor Program
Comments due: March 7, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-022 |
| 34-66360 |
Feb. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fees
Comments due: March 6, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-023 |
| 34-66347 |
Feb. 7, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Post-Only Orders
Comments due: March 5, 2012
|
SR-NASDAQ-2012-020 |
| 34-66322 |
Feb. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Transaction Execution Fee and Credit Schedule in Rules 7014 and 7018
Comments due: March 1, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-013 |
| 34-66320 |
Feb. 3, 2012 |
Notice of Filing of Proposed Rule Change Relating to the Adoption of Listing Standards for Certain Securities
Comments due: March 1, 2012
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-66648
|
SR-NASDAQ-2012-015 |
| 34-66310 |
Feb. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4618
Comments due: February 28, 2012
|
SR-NASDAQ-2012-017 |
| 34-66288 |
Feb. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed for Subscription to WebLink ACT under Rule 7015(e)
Comments due: February 28, 2012
|
SR-NASDAQ-2012-016 |
| 34-66282 |
Jan. 31, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed under Rule 7015(c) for Subscription to Computer to Computer Interface Stations
Comments due: February 27, 2012
|
SR-NASDAQ-2012-019 |
| 34-66275 |
Jan. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Rule 4753(c)
Comments due: February 24, 2012
|
SR-NASDAQ-2012-012 |
| 34-66256 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fee for a Written Interpretation of the Nasdaq Listing Rules
Comments due: February 22, 2012
|
SR-NASDAQ-2012-011 |
| 34-66225 |
Jan. 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: February 21, 2012
|
SR-NASDAQ-2012-008 |
| 34-66230 |
Jan. 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rule 5730
Comments due: February 21, 2012
|
SR-NASDAQ-2012-010 |
| 34-66214 |
Jan. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and
Warrants
Comments due: February 21, 2012
|
SR-NASDAQ-2012-004 |
| 34-66175 |
Jan. 18, 2012 |
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust
Comments due: February 14, 2012
See also: Order: Rel. No. 34-66489
|
SR-NASDAQ-2012-005 |
| 34-66165 |
Jan. 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Enhanced Display Distributor Fee
Comments due: February 13, 2012
Rebuttal comments due: 60 days after publication in the Federal Register
Comments received are available for this proposal.
|
SR-NASDAQ-2012-002 |
| 34-66159 |
Jan. 13, 2012 |
Notice of Filing of Proposed Rule Change to Adopt an Alternative to the $4 Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 or $3, if Certain Other Listing Requirements Are Met
Comments due: February 10, 2012
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-66830; and Notice: Rel. No. 34-66499
Comments received are available for this proposal.
|
SR-NASDAQ-2012-006 |
| 34-66158 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fees
Comments due: February 10, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-009 |
| 34-66153 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 4613(a)(2)(F) and (G) to Allow Exchange Market Makers to opt out of the Automated Quote Management Service
Comments due: February 10, 2012
|
SR-NASDAQ-2012-003 |
| 34-66126 |
Jan. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate to Add Liquidity in Penny Pilot Options
Comments due: February 7, 2012
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NASDAQ-2012-001 |
| 34-66121 |
Jan. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 3, 2012
|
SR-NASDAQ-2011-174 |
| 34-66095 |
Jan. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Fee Pilot Program for NASDAQ Last Sale
Comments due: January 31, 2012
|
SR-NASDAQ-2011-175 |
| 34-66092 |
Jan. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the NASDAQ Market Center
Comments due: January 31, 2012
|
SR-NASDAQ-2011-173 |
| 34-66078 |
Jan. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for the Trading and Compliance Data Package
Comments due: January 30, 2012
|
| NASDAQ File Number List for 2012 |
| Release No. |
Date |
Details |
SR-NASDAQ-2012-108 |
| 34-67979 |
Oct. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2012-108
|
SR-NASDAQ-2012-106 |
| 34-67904 |
Sep. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Members the Ability to Pay a Regulatory Fine Pursuant to an Installment Plan
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2012-106
|
SR-NASDAQ-2012-105 |
| 34-67852 |
Sep. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete NASDAQ Rule 7032
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2012-105
|
SR-NASDAQ-2012-104 |
| 34-67843 |
Sep. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate to Add Liquidity and Non-Customer Fees for Removing Liquidity in Penny Pilot Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-104
|
SR-NASDAQ-2012-103 |
| 34-67849 |
Sep. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program under Rule 7014 and to Amend NASDAQ's Schedule of Execution Fees and Rebates under Rule 7018
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-103
|
SR-NASDAQ-2012-102 |
| 34-67837 |
Sep. 12, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing of Options on Facebook, Inc., Google, Inc. and Groupon, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-102
|
SR-NASDAQ-2012-100 |
| 34-67738 |
Aug. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Direct Registration Requirements under Rule 5210(c)
Comments due: September 25,2012
Submit comments on SR-NASDAQ-2012-100
|
SR-NASDAQ-2012-098 |
| 34-67750 |
Aug. 29, 2012 |
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the WisdomTree Global Corporate Bond Fund of the Wisdom Tree Trust
Comments due: September 26, 2012
Submit comments on SR-NASDAQ-2012-098
|
SR-NASDAQ-2012-097 |
| 34-67721 |
Aug. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Membership in The NASDAQ Stock Market LLC
Comments due: September 19, 2012
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-097
|
SR-NASDAQ-2012-095 |
| 34-67722 |
Aug. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Market Maker Pre-Opening Obligations on NOM
Comments due: September 19, 2012
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-095
|
SR-NASDAQ-2012-094 |
| 34-67678 |
Aug. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove the Expired Pilot Under Rule 4753(c) from the NASDAQ Rule Book
Comments due: September 12, 2012
Submit comments on SR-NASDAQ-2012-094
|
SR-NASDAQ-2012-093 |
| 34-67594 |
Aug. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Fee Schedule Governing Order Routing
Comments due: August 31, 2012
Submit comments on SR-NASDAQ-2012-093
|
SR-NASDAQ-2012-092 |
| 34-67582 |
Aug. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options on the MSCI EM and MSCI EAFE Indexes
Comments due: August 29, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-091 |
| 34-67536 |
Jul. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: August 24, 2012
|
SR-NASDAQ-2012-090 |
| 34-67842 |
Sep. 12, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 4626—Limitation of Liability
|
| 34-67507 |
Jul. 26, 2012 |
Notice of Filing of Proposed Rule Change to Amend Rule 4626 - Limitation of Liability
Comments due: August 22, 2012
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2012-090
|
SR-NASDAQ-2012-089 |
| 34-67518 |
Jul. 27, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Post-Only Order Type on NOM
Comments due: August 23, 2012
|
SR-NASDAQ-2012-088 |
| 34-67539 |
Jul. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Port Fees
Comments due: August 24, 2012
|
SR-NASDAQ-2012-087 |
| 34-67535 |
Jul. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and Warrants
Comments due: August 24, 2012
|
SR-NASDAQ-2012-086 |
| 34-67511 |
Jul. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Access to BONO and ITTO Ports
Comments due: August 22, 2012
|
SR-NASDAQ-2012-084 |
| 34-67413 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price to Comply Order
Comments due: August 7, 2012
|
SR-NASDAQ-2012-083 |
| 34-67388 |
Jul. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options
Comments due: August 7, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-081 |
| 34-67389 |
Jul. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Rebates in Penny Pilot Options
Comments due: August 6, 2012
|
SR-NASDAQ-2012-080 |
| 34-67402 |
Jul. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Routing U.S. Securities and Exchange Commission
Comments due: August 7, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-079 |
| 34-67355 |
Jul. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Fee Schedule Governing Order Routing
Comments due: August 1, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-078 |
| 34-67376 |
Jul. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: August 3, 2012
Comments received are available for this proposal.
|
SR-NASDAQ-2012-077 |
| 34-67301 |
Jun. 28, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Correcting Various NASDAQ Options Market Rules
Comments due: July 26, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-075 |
| 34-67325 |
Jun. 29, 2012 |
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 27, 2012
|
SR-NASDAQ-2012-074 |
| 34-67285 |
Jun. 27, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Terminate Revenue Sharing Agreement and Delete Associated Fee Schedule
Comments due: July 24, 2012
|
SR-NASDAQ-2012-073 |
| 34-67292 |
Jun. 28, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Excess Order Fee
Comments due: July 26, 2012
|
SR-NASDAQ-2012-072 |
| 34-67760 |
Aug. 30, 2012 |
Order Approving Proposed Rule Changes With Respect to the Amendment of the By-Laws of The NASDAQ OMX Group, Inc.
Additional File Nos.: SR-BSECC-2012-01, SR-BX-2012-052, SR-PHLX-2012-95, and SR-SCCP-2012-001
|
| 34-67293 |
Jun. 28, 2012 |
Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. ("NASDAQ OMX")
Comments due: July 26, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-071 |
| 34-67639 |
Aug. 10, 2012 |
Order Approving a Proposed Rule Change to Amend Rule 4758(a)(1)(A) to Reflect a Change in NASDAQ's Routing Functionality
|
| 34-67246 |
Jun. 25, 2012 |
Notice of Filing of Proposed Rule Change to Amend Rule 4758(a)(1)(A) to Reflect a Change in NASDAQ’s Routing Functionality
Comments due: July 20, 2012
|
SR-NASDAQ-2012-069 |
| 34-67253 |
Jun. 25, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Optional Depth Data Enterprise License Fee for Broker-Dealer Distribution of Depth-of-Book Data
Comments due: July 20, 2012
Comments received are available for this proposal.
|
SR-NASDAQ-2012-068 |
| 34-67171 |
Jun. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NDX Pricing
Comments due: July 5, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-067 |
| 34-67122 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update the NASDAQ Options Market Message Traffic Mitigation Rule
Comments due: July 2, 2012
|
SR-NASDAQ-2012-066 |
| 34-67584 |
Aug. 2, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No.1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
|
| 34-67203 |
Jun. 14, 2012 |
Notice of Filing of Proposed Rule Change to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
Comments due: July 11, 2012
|
SR-NASDAQ-2012-065 |
| 34-67105 |
Jun. 4, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strike Price Intervals and Position Limits for OSX, SOX, and HGX
Comments due: June 29, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-064 |
| 34-67068 |
May 29, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date for its Excess Order Fee
Comments due: June 26, 2012
|
SR-NASDAQ-2012-063 |
| 34-67297 |
Jun. 28, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Applicable to a New Version of the NASDAQ TotalView-ITCH Equities Depth Feed and Related Distributor and Administration Fees
Comments due: July 26, 2012
Comments received are available for this proposal.
|
SR-NASDAQ-2012-062 |
| 34-67468 |
Jul. 19, 2012 |
Order Approving a Proposed Rule Change to Modify its Corporate Governance Rules
|
| 34-67076 |
May 30, 2012 |
Notice of Filing of Proposed Rule Change to Modify its Corporate Governance Rules
Comments due: June 26, 2012
|
SR-NASDAQ-2012-061 |
| 34-67295 |
Jun. 28, 2012 |
Order Approving a Proposed Rule Change for the NASDAQ Options Market to Accept Inbound Orders from NASDAQ OMX BX’s New Options Market
|
| 34-67027 |
May 18, 2012 |
Notice of Filing of Proposed Rule Change for the NASDAQ Options Market to Accept Inbound Orders from NASDAQ OMX BX's New Options Market
Comments due: June 14, 2012
|
SR-NASDAQ-2012-060 |
| 34-67024 |
May 18, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4751(f)(7) Concerning the Processing of the Price to Comply Order
Comments due: June 14, 2012
|
SR-NASDAQ-2012-059 |
| 34-67655 |
Aug. 14, 2012 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
Comments due: October 4, 2012
Rebuttal comments due: October 19, 2012
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2012-059
|
| 34-67258 |
Jun. 26, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
|
| 34-66972 |
May 11, 2012 |
Notice of Filing of Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
Comments due: June 7, 2012
|
SR-NASDAQ-2012-058 |
| 34-67617 |
Aug. 8, 2012 |
Order Approving a Proposed Rule Change Relating to the Listing and Trading of Alpha Index-Linked Securities
|
| 34-67229 |
Jun. 21, 2012 |
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Alpha Index-Linked Securities
Comments due: July 18, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-057 |
| 34-67281 |
Jun. 27, 2012 |
Order Approving a Proposed Rule Change With Respect to the Authority of NASDAQ or NASDAQ Execution Services To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account
|
| 34-66964 |
May 10, 2012 |
Notice of Filing of Proposed Rule Change with Respect to the Authority of NASDAQ or NASDAQ Execution Services to Cancel Orders When a Technical or System Issue Occurs and to Describe the Operation of an Error Account
Comments due: June 6, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-056 |
| 34-66905 |
May 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 7001 and 7018(h)
Comments due: May 29, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-055 |
| 34-66951 |
May 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute an Excess Order Fee
Comments due: June 5, 2012
|
SR-NASDAQ-2012-054 |
| 34-66943 |
May 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NASDAQ Co-Location Super High Density Cabinet Monthly Fee
Comments due: June 4, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-053 |
| 34-66915 |
May 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program under Rule 7014 and to Amend NASDAQ's Schedule of Execution and Routing Fees and Rebates under Rule 7018
Comments due: May 30, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-052 |
| 34-66848 |
Apr. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SQF and BONO Port Fees and Account Fees
Comments due: May 18, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-050 |
| 34-66817 |
Apr. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: May 11, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-049 |
| 34-66780 |
Apr. 11, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4751
Comments due: May 8, 2012
|
SR-NASDAQ-2012-048 |
| 34-66768 |
Apr. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Customer Fees and Rebates in Penny Pilot Options
Comments due: May 3, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-047 |
| 34-66747 |
April 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Investor Support Program and the Extended Hours Investor Program under Rule 7014 and to Amend the Liquidity Provider Rebate Schedule under Rule 7018
Comments due: May 2, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-046 |
| 34-66719 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Customer Routing Fees
Comments due: April 30, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-045 |
| 34-66706 |
Mar. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Fee Pilot Program for NASDAQ Last Sale
Comments due: April 26, 2012
|
SR-NASDAQ-2012-044 |
| 34-66724 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fees Applicable to Non-Display Usage of Certain NASDAQ Depth-of-Book Market Data
Comments due: April 30, 2012
Additional Materials: Exhibit 3A and Exhibit 3B
Comments received are available for this proposal.
|
SR-NASDAQ-2012-043 |
| 34-67961 |
Oct. 2, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
|
| 34-67411 |
Jul. 11, 2012 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Relating to Market Maker Incentive Programs for Certain Exchange-Traded Products
Additional File No.: SR-NYSEArca-2012-37
Comments due: August 16, 2012
Rebuttal comments due: August 31, 2012
|
| 34-67022 |
May 18, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
|
| 34-66765 |
Apr. 6, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program
Comments due: May 3, 2012
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NASDAQ-2012-042 |
| 34-66740 |
Apr. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-organize NASDAQ's Rules Governing the Fees Applicable to NASDAQ's Depth-of-Book Market Data
Comments due: May 1, 2012
Comments received are available for this proposal.
|
SR-NASDAQ-2012-041 |
| 34-66699 |
Mar. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Non-Display of Primary Pegged Orders with an Offset Amount
Comments due: April 26, 2012
|
SR-NASDAQ-2012-040 |
| 34-66741 |
Apr. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Transaction Execution Fee and Credit Schedule
Comments due: May 1, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-038 |
| 34-66652 |
Mar. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4120
Comments due: April 19, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-037 |
| 34-66729 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Newly Listed Indexes
Comments due: April 30, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-036 |
| 34-66591 |
Mar. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the 100MB Connectivity Option and Fee
Comments due: April 10, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-035 |
| 34-66636 |
Mar. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ Stock Market LLC to Assess a Fee for the QView Service
Comments due: April 17, 2012
|
SR-NASDAQ-2012-033 |
| 34-66515 |
Mar. 5, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees and Rebates in Penny Pilot Options and Non-Penny Pilot Options
Comments due: March 30, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-032 |
| 34-66544 |
Mar. 8, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NASDAQ's Investor Support Program
Comments due: April 4, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-031 |
| 34-66540 |
Mar. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Supplemental Orders
Comments due: April 4, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-028 |
| 34-66428 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ Connectivity Options and Fees
Comments due: March 19, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-027 |
| 34-66409 |
Feb. 16, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: March 15, 2012
|
SR-NASDAQ-2012-026 |
| 34-66431 |
Feb. 21, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing of Strike Prices
Comments due: March 19, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-025 |
| 34-66439 |
Feb. 22, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain External and Inter-Cabinet Connectivity Fees
Comments due: March 20, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-024 |
| 34-66369 |
Feb. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Pre-Market Investor Program
Comments due: March 7, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-023 |
| 34-66347 |
Feb. 7, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Post-Only Orders
Comments due: March 5, 2012
|
SR-NASDAQ-2012-022 |
| 34-66360 |
Feb. 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fees
Comments due: March 6, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-021 |
| 34-66372 |
Feb. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule change by NASDAQ Stock Market LLC Relating to Fidelity Bonds
Comments due: March 8, 2012
|
SR-NASDAQ-2012-020 |
| 34-66322 |
Feb. 3, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ’s Transaction Execution Fee and Credit Schedule in Rules 7014 and 7018
Comments due: March 1, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-019 |
| 34-66275 |
Jan. 30, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Rule 4753(c)
Comments due: February 24, 2012
|
SR-NASDAQ-2012-017 |
| 34-66288 |
Feb. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed for Subscription to WebLink ACT under Rule 7015(e)
Comments due: February 28, 2012
|
SR-NASDAQ-2012-016 |
| 34-66282 |
Jan. 31, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Assessed under Rule 7015(c) for Subscription to Computer to Computer Interface Stations
Comments due: February 27, 2012
|
SR-NASDAQ-2012-015 |
| 34-66310 |
Feb. 2, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4618
Comments due: February 28, 2012
|
SR-NASDAQ-2012-013 |
| 34-66648 |
Mar. 23, 2012 |
Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Adoption of Listing Standards for Certain Securities
|
| 34-66320 |
Feb. 3, 2012 |
Notice of Filing of Proposed Rule Change Relating to the Adoption of Listing Standards for Certain Securities
Comments due: March 1, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-012 |
| 34-66256 |
Jan. 26, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Fee for a Written Interpretation of the Nasdaq Listing Rules
Comments due: February 22, 2012
|
SR-NASDAQ-2012-011 |
| 34-66225 |
Jan. 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to the Clearly Erroneous Rule
Comments due: February 21, 2012
|
SR-NASDAQ-2012-010 |
| 34-66214 |
Jan. 23, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for NMS Stocks other than Rights and
Warrants
Comments due: February 21, 2012
|
SR-NASDAQ-2012-009 |
| 34-66153 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 4613(a)(2)(F) and (G) to Allow Exchange Market Makers to opt out of the Automated Quote Management Service
Comments due: February 10, 2012
|
SR-NASDAQ-2012-008 |
| 34-66230 |
Jan. 24, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding a Clerical Change to Nasdaq Rule 5730
Comments due: February 21, 2012
|
SR-NASDAQ-2012-006 |
| 34-66158 |
Jan. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options Fees
Comments due: February 10, 2012
Additional Materials: Exhibit 5
|
SR-NASDAQ-2012-005 |
| 34-66165 |
Jan. 17, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Enhanced Display Distributor Fee
Comments due: February 13, 2012
Rebuttal comments due: 60 days after publication in the Federal Register
Comments received are available for this proposal.
|
SR-NASDAQ-2012-004 |
| 34-66489 |
Feb. 29, 2012 |
Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of Shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust
|
| 34-66175 |
Jan. 18, 2012 |
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Emerging Markets Corporate Bond Fund of the WisdomTree Trust
Comments due: February 14, 2012
|
SR-NASDAQ-2012-003 |
| 34-66126 |
Jan. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate to Add Liquidity in Penny Pilot Options
Comments due: February 7, 2012
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
SR-NASDAQ-2012-002 |
| 34-66830 |
Apr. 18, 2012 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Adopt an Alternative to the $4 Per Share Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 Closing Price Per Share or $3 Closing Price Per Share, if Certain Other Listing Requirements are Met
Comments due: May 15, 2012
|
| 34-66499 |
Mar. 1, 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt an Alternative to the $4 Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 or $3, if Certain Other Listing Requirements Are Met
|
| 34-66159 |
Jan. 13, 2012 |
Notice of Filing of Proposed Rule Change to Adopt an Alternative to the $4 Initial Listing Bid Price Requirement for the Nasdaq Capital Market of Either $2 or $3, if Certain Other Listing Requirements Are Met
Additional Materials: Exhibit 5
Comments due: February 10, 2012
Comments received are available for this proposal.
|
SR-NASDAQ-2012-001 |
| 34-66121 |
Jan. 9, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 3, 2012
|
http://www.sec.gov/rules/sro/nasdaq.shtml
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