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NASDAQ Stock Market LLC (NASDAQ) Rulemaking Rulemaking Archive: 2007
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
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
NASDAQ File Number List
Additional Archives
2009 | 2008 | 2007 | 2006
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NASDAQ-2007-093 |
| 34-57068 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Nasdaq's Rule 7033
Comments due: January 29, 2008
|
SR-NASDAQ-2007-101 |
| 34-57062 |
Dec. 28, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes to Extend the Deadline until March 31, 2008 for Issuers to Become Compliant with Listing Requirements Concerning Direct Registration Programs
Comments due: January 25, 2008
Additional File Nos.: SR-Amex-2007-142; SR-NYSE-2007-122; and SR-NYSEArca-2007-131
|
SR-NASDAQ-2007-099 |
| 34-57001 |
Dec. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fee for Registering and Transferring Registration of Associated Persons
Comments due: January 22, 2008
Comments received are available for this notice.
|
SR-NASDAQ-2007-098 |
| 34-56985 |
Dec. 18, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of Certain Securities Outside of the Regular Market Session
Comments due: January 17, 2008
|
SR-NASDAQ-2007-097 |
| 34-56952 |
Dec. 12, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade the Shares of 45 Funds of the Rydex ETF Trust Based on Numerous Domestic Securities Indexes Pursuant to Unlisted Trading Privileges
Comments due: January 11, 2008
|
SR-NASDAQ-2007-095 |
| 34-56940 |
Dec. 11, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: January 8, 2008
|
SR-NASDAQ-2007-086 |
| 34-56929 |
Dec. 7, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Step-Outs and Transfers of Sales Fees
Comments due: January 4, 2008
|
SR-NASDAQ-2007-085 |
| 34-56917 |
Dec. 6, 2007 |
Order Approving Proposed Rule Change, As Modified By Amendment No. 1 Thereto, Amending Nasdaq's Membership Application Rules
See also: Notice: Rel. No. 34-56722
|
SR-NASDAQ-2007-071 |
| 34-56910 |
Dec. 5, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to Generic Listing and Trading Rules for Securities Linked to the Performance of Indexes, Commodities, and Currencies
Comments due: January 2, 2008
|
SR-NASDAQ-2007-087 |
| 34-56905 |
Dec. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: January 16, 2008
|
SR-NASDAQ-2007-068 |
| 34-56876 |
Nov. 30, 2007 |
Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Amend the Limited Liability Company Agreement of The NASDAQ Stock Market LLC; and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment Nos. 1 and 2
Comments due: January 2, 2008
See also: Notice: Rel. No. 34-56581
|
SR-NASDAQ-2007-065 |
| 34-56867 |
Nov. 29, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform SRO Rules to Changes to Rule 10a-1 and Regulation SHO
Comments due: December 28, 2007
|
SR-NASDAQ-2007-089 |
| 34-56841 |
Nov. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: December 24, 2007
|
SR-NASDAQ-2007-066 |
| 34-56825 |
Nov. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Applicability to Limited Partnerships of Nasdaq’s Direct Registration Program Requirements
Comments due: December 26, 2007
|
SR-NASDAQ-2007-069 |
| 34-56759 |
Nov. 7, 2007 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend Its Rule Governing the Relation of a Nasdaq Market Maker’s Quotations to the Prevailing Market
See also: Notice: Rel. No. 34-56586
|
SR-NASDAQ-2007-082 |
| 34-56739 |
Nov. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify Fees for Members Using the Nasdaq Market Center
Comments due: November 30, 2007
|
SR-NASDAQ-2007-085 |
| 34-56722 |
Oct. 31, 2007 |
Notice of Filing of Proposed Rule Change Amending Nasdaq's Membership Application Rules
Comments due: November 27, 2007
See also: Order: Rel. No. 34-56917
|
SR-NASDAQ-2007-078 |
| 34-56708 |
Oct. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Nasdaq’s Outbound Routing Broker
Comments due: November 23, 2007
|
SR-NASDAQ-2007-081 |
| 34-56683 |
Oct. 22, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Establish a New Service Called Nasdaq Regulation Reconnaissance Service (“Reg Recon”) to Assist Nasdaq Members in Their Efforts to Comply With Applicable Regulatory Requirements
Comments due: November 16, 2007
|
SR-NASDAQ-2007-083 |
| 34-56617 |
Oct. 4, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Annual Membership Fee for Nasdaq Members
Comments due: November 2, 2007
|
SR-NASDAQ-2007-080 |
| 34-56604 |
Oct. 3, 2007 |
Notice of Filing of a Proposed Rule Change Relating to the Establishment of the NASDAQ Options Market LLC
Comments due: November 2, 2007
Additional Materials:
Exhibit 3A and
Exhibit 3B
Additional File No.: SR-NASDAQ-2007-004
See also: Notice/Order: Rel. No. 34-55667
|
SR-NASDAQ-2007-069 |
| 34-56586 |
Oct. 1, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Its Rule Governing the Relation of a Nasdaq Market Maker's Quotations to the Prevailing Market
See also: Order: Rel. No. 34-56759
Comments due: October 26, 2007
|
| Third Quarter |
SR-NASDAQ-2007-068 |
| 34-56581 |
Sep. 28, 2007 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the Limited Liability Company Agreement of The NASDAQ Stock Market LLC
Comments due: October 26, 2007
See also: Notice/Order: Rel. No. 34-56876
|
SR-NASDAQ-2007-056 |
| 34-56477 |
Sep. 20, 2007 |
Order Granting Approval of Proposed Rule Change and Amendment No. 2 Thereto, to Retroactively Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
See also: Notice: Rel. No. 34-56228
|
SR-NASDAQ-2007-077 |
| 34-56461 |
Sep. 19, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: October 17, 2007
|
SR-NASDAQ-2007-075 |
| 34-56390 |
Sep. 12, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the VTE Terminal
Comments due: October 10, 2007
|
SR-NASDAQ-2007-073 |
| 34-56348 |
Aug. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Halt Cross Process
Comments due: October 1, 2007
|
SR-NASDAQ-2007-058 |
| 34-56345 |
Aug. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Step-Outs and Transfers of Sales Fees
Comments due: October 2, 2007
|
SR-NASDAQ-2007-042 |
| 34-56339 |
Aug. 30, 2007 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Modify the Entry and Annual Fees Paid by a Company that Lists on Nasdaq upon Emerging from Bankruptcy
See also: Notice: Rel. No. 34-56092
|
SR-NASDAQ-2006-045 |
| 34-56319 |
Aug. 24, 2007 |
Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2, to Allow the Use of a Company’s Web Site to Distribute an Annual Report and Meet Other Nasdaq Listing Requirements
Comments due: September 20, 2007
See also: Notice: Rel. No. 34-55854
|
SR-NASDAQ-2007-074 |
| 34-56313 |
Aug. 23, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Certain Companies to Notify Nasdaq About Any Quarterly Change in the Number of Outstanding Shares
Comments due: September 20, 2007
|
SR-NASDAQ-2007-024 |
| 34-56294 |
Aug. 21, 2007 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Provide Additional Transparency to How Nasdaq Applies Its Public Interest Authority
See also: Notice: Rel. No. 34-56044
|
SR-NASDAQ-2007-043 |
| 34-56237 |
Aug. 9, 2007 |
Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to Remove Provisions Governing the Operation of the ACES System
See also: Notice: Rel. No. 34-55892
|
SR-NASDAQ-2007-056 |
| 34-56228 |
Aug. 8, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto, to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due: August 30, 2007
See also: Order: Rel. No. 34-56477
|
SR-NASDAQ-2007-070 |
| 34-56204 |
Aug. 3, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Certain FINRA Rules Relating to Trading Halts and Disclosure of Disciplinary Information
Comments due: September 4, 2007
|
SR-NASDAQ-2006-065 |
| 34-56172 |
Jul. 31, 2007 |
Order Approving Proposed Rule Change as Modified by Amendments No. 1, 3, and 4 Thereto to Reestablish a Quotation and Trading System, The PORTAL® Market, for Securities That Are Designated by Nasdaq as PORTAL Securities
See also: Notice: Rel. No. 34-55669
Comments received are available for this notice.
|
SR-NASDAQ-2007-057 |
| 34-56153 |
Jul. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Risk Management Workstation Fees
Comments due: August 24, 2007
|
SR-NASDAQ-2007-061 |
| 34-56130 |
Jul. 25, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute a Pricing Incentive Program for Market Makers in Exchange-Traded Funds and Index-Linked Securities
Comments due: August 22, 2007
|
SR-NASDAQ-2007-060 |
| 34-56120 |
Jul. 24, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Extend Nasdaq’s Authority Under Its Cease and Desist Pilot Program
Comments due: August 20, 2007
|
SR-NASDAQ-2007-064 |
| 34-56112 |
Jul. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: August 16, 2007
|
SR-NASDAQ-2007-037 |
| 34-56096 |
Jul. 18, 2007 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Modify Order Audit Trail System Rules to Provide an Exemption from Transmission Requirements for Proprietary Orders
Comments due: August 15, 2007
See also: Notice: Rel. No. 34-55870
Comments received are available for this notice.
|
SR-NASDAQ-2007-042 |
| 34-56092 |
Jul. 18, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Modify the Entry and Annual Fees Paid by a Company that Lists on Nasdaq upon Emerging from Bankruptcy
Comments due: August 15, 2007
See also: Order: Rel. No. 34-56339
|
SR-NASDAQ-2007-062 |
| 34-56068 |
Jul. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude Partial Trading Days from the Calculation of a Member’s Average Daily Volume
Comments due: August 10, 2007
|
SR-NASDAQ-2007-024 |
| 34-56044 |
Jul. 11, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Provide Additional Transparency to How Nasdaq Applies Its Public Interest Authority
Comments due: August 7, 2007
See also: Order: Rel. No. 34-56294
|
SR-NASDAQ-2007-031 |
| 34-56028 |
Jul. 9, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Three-Characters Ticker Symbols
See also: Notice: Rel. No. 34-55563
Comments received are available for this notice.
|
| Second Quarter |
SR-NASDAQ-2007-055 |
| 34-55979 |
Jun. 28, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: July 27, 2007
|
SR-NASDAQ-2007-001 |
| 34-55937 |
Jun. 21, 2007 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 to Amend Nasdaq’s "Clearly Erroneous" Rule
Comments due: July 18, 2007
See also: Notice/Order: Rel. No. 34-57826
Comments received are available for this notice.
 Submit comments on SR-NASDAQ-2007-001
|
SR-NASDAQ-2007-050 |
| 34-55924 |
Jun. 19, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Modify the Minimum Shareholder Requirement for Initial Listing on the Nasdaq Global Select Market
Comments due: July 18, 2007
|
SR-NASDAQ-2007-043 |
| 34-55892 |
Jun. 11, 2007 |
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 thereto to Remove Provisions Governing the Operation of the ACES Service
Comments due: July 9, 2007
See also: Order: Rel. No. 34-56237
|
SR-NASDAQ-2007-037 |
| 34-55870 |
Jun. 6, 2007 |
Notice of Filing of Proposed Rule Change to Modify Order Audit Trail System Rules to Provide an Exemption from Transmission Requirements for Proprietary Orders and Amendment No. 1 Thereto
Comments due: July 5, 2007
See also: Notice/Order: Rel. No. 34-56096
Comments received are available for this notice.
|
SR-NASDAQ-2007-053 |
| 34-55862 |
Jun. 5, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Trading Shares of the PowerShares DB Energy Fund, the PowerShares DB Oil Fund, the PowerShares DB Precious Metals Fund, the PowerShares DB Gold Fund, the PowerShares DB Silver Fund, the PowerShares DB Base Metals Fund, and the PowerShares DB Agriculture Fund Pursuant to Unlisted Trading Privileges
Comments due: July 3, 2007
|
SR-NASDAQ-2007-054 |
| 34-55861 |
Jun. 5, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade the Shares of the iShares GSCI Commodity-Indexed Trust Pursuant to Unlisted Trading Privileges
Comments due: July 2, 2007
|
SR-NASDAQ-2007-029 |
| 34-55856 |
Jun. 4, 2007 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Require Nasdaq-Listed Issuers to Submit Material News to Nasdaq Using Nasdaq’s Electronic Disclosure Submission System
See also: Notice: Rel. No. 34-55672
|
SR-NASDAQ-2006-045 |
| 34-55854 |
Jun. 4, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Allow the Use of a Company’s Web Site to Distribute an Annual Report and Meet Other Nasdaq Listing Requirements
Comments due: July 3, 2007
See also: Notice/Order: Rel. No. 34-56319
|
SR-NASDAQ-2007-040 |
| 34-55832 |
May 31, 2007 |
Order Granting Approval to a Proposed Rule Change Relating to the Waiver of Fees upon Relisting of Companies Removed for Late Filings
See also: Notice: Rel. No. 34-55645
|
SR-NASDAQ-2007-022 |
| 34-55822 |
May 29, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Change the Conflicts of Interest Rule
Comments due: June 27, 2007
|
SR-NASDAQ-2007-027 |
| 34-55815 |
May 25, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Generic Listing Standards for Portfolio Depositary Receipts and Index Fund Shares
Comments due: June 22, 2007
|
SR-NASDAQ-2007-039 |
| 34-55790 |
May 21, 2007 |
Order Granting Approval of Proposed Rule Change to Modify the Distributor Fee for Nasdaq Index Weighting Information
See also: Notice: Rel. No. 34-55620
|
SR-NASDAQ-2007-052 |
| 34-55781 |
May 17, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to the Trade Units of the United States Natural Gas Fund, LP Pursuant to Unlisted Trading Privileges
Comments due: June 14, 2007
|
SR-NASDAQ-2007-051 |
| 34-55767 |
May 15, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Shares of the PowerShares DB Commodity Index Tracking Fund Pursuant to Unlisted Trading Privileges
Comments due: June 12, 2007
|
SR-NASDAQ-2007-045 |
| 34-55761 |
May 15, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Trade the United States Oil Fund, LP Pursuant to Unlisted Trading Privileges
Comments due: June 12, 2007
|
SR-NASDAQ-2007-046 |
| 34-55760 |
May 15, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Three iPath Exchange-Traded Notes Pursuant to Unlisted Trading Privileges
Comments due: June 12, 2007
|
SR-NASDAQ-2007-048 |
| 34-55740 |
May 10, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Claymore MACROshares Oil Up Tradeable Shares and Claymore MACROshares Oil Down Tradeable Shares Pursuant to Unlisted Trading Privileges
Comments due: June 7, 2007
|
SR-NASDAQ-2007-049 |
| 34-55739 |
May 10, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Shares of the PowerShares DB G10 Currency Harvest Fund Pursuant to Unlisted Trading Privileges
Comments due: June 7, 2007
|
SR-NASDAQ-2007-047 |
| 34-55721 |
May 7, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Opening and Closing Cross for Securities Listed on the NYSE, Amex, and Regional Exchanges
Comments due: June 5, 2007
|
SR-NASDAQ-2007-044 |
| 34-55678 |
Apr. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Nasdaq Trading Rights Fee
Comments due: May 29, 2007
|
SR-NASDAQ-2007-029 |
| 34-55672 |
Apr. 26, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Require that Companies Submit Material News to Nasdaq Using Nasdaq’s Electronic Disclosure System, Except in Emergency Situations
Comments due: May 23, 2007
See also: Order: Rel. No. 34-55856
|
SR-NASDAQ-2006-065 |
| 34-55669 |
Apr. 25, 2007 |
Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, and 3 Thereto to Reestablish a Quotation and Trading System for Securities That are Designated by The PORTAL® Market as PORTAL Securities
Comments due: May 22, 2007
See also: Order: Rel. No. 34-56172
Comments received are available for this notice.
|
SR-NASDAQ-2007-030 |
| 34-55668 |
Apr. 25, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Extension of a Fee Pilot for National Quotation Data Service
Comments due: May 23, 2007
|
SR-NASDAQ-2007-004 |
| 34-55667 |
Apr. 25, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish Rules Governing the Trading of Options on the NASDAQ Options Market
Comments due: May 22, 2007
Additional Material: Exhibit 5
Additional File No.: SR-NASDAQ-2007-080
See also: Notice/Order: Rel. No. 34-57478
Comments received are available for this notice.
|
SR-NASDAQ-2007-021 |
| 34-55652 |
Apr. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule to Describe How a Failure to Comply with Nasdaq’s Requirements Concerning Direct Registration Programs Is Treated
Comments due: May 18, 2007
|
SR-NASDAQ-2007-040 |
| 34-55645 |
Apr. 19, 2007 |
Notice of Filing of Proposed Rule Change Relating to the Waiver of Fees upon Relisting of Companies Removed for Late Filings
Comments due: May 16, 2007
See also: Order: Rel. No. 34-55832
|
SR-NASDAQ-2006-032 |
| 34-55642 |
Apr. 18, 2007 |
Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3 Thereto, to Revise The Nasdaq Capital Market Listing Requirements
Comments due: May 15, 2007
See also: Notice: Rel. No. 34-54378
Comments received are available for this notice.
|
SR-NASDAQ-2007-036 |
| 34-55634 |
Apr. 16, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due: May 11, 2007
|
SR-NASDAQ-2007-041 |
| 34-55633 |
Apr. 16, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees of Other Market Centers Related to Clearly Erroneous Rulings
Comments due: May 11, 2007
|
SR-NASDAQ-2007-039 |
| 34-55620 |
Apr. 12, 2007 |
Notice of Filing of Proposed Rule Change to Modify the Distributor Fee for Nasdaq Index Weighting Information
Comments due: May 9, 2007
See also: Order: Rel. No. 34-55790
|
SR-NASDAQ-2007-035 |
| 34-55611 |
Apr. 10, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Pilot Non-Professional Fee for Certain Market Data from the Nasdaq Market Center
Comments due: May 9, 2007
|
SR-NASDAQ-2007-034 |
| 34-55610 |
Apr. 10, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Augment the TotalView Enterprise License
Comments due: May 9, 2007
|
SR-NASDAQ-2007-033 |
| 34-55609 |
Apr. 10, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Fees for Distributors of Certain Market Data from the Nasdaq Market Center
Comments due: May 9, 2007
|
SR-NASDAQ-2007-032 |
| 34-55608 |
Apr. 10, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower Fees for Distributors of Certain Market Data from the Nasdaq Market Center
Comments due: May 9, 2007
|
SR-NASDAQ-2007-038 |
| 34-55588 |
Apr. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Nasdaq Market Center Fees
Comments due: May 3, 2007
|
SR-NASDAQ-2007-026 |
| 34-55576 |
Apr. 3, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due: May 1, 2007
|
| First Quarter |
SR-NASDAQ-2007-031 |
| 34-55563 |
Mar. 30, 2007 |
Notice of Filing of Proposed Rule Change Relating to Trading Three-Character Symbols
Comments due: April 25, 2007
See also: Order: Rel. No. 34-56028
Comments received are available for this notice.
|
SR-NASDAQ-2007-010 |
| 34-55550 |
Mar. 28, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 2 Thereto to Amend Rule 4611 Relating to Sponsored Access
Comments due: April 25, 2007
|
SR-NASDAQ-2007-025 |
| 34-55519 |
Mar. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading One-, Two-, and Three-Character Symbols
Comments due: April 23, 2007
Comments received are available for this notice.
|
SR-NASDAQ-2007-023 |
| 34-55489 |
Mar. 19, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade the Shares of the PowerShares DB US Dollar Index Bullish Fund and the PowerShares DB US Dollar Index Bearish Fund Pursuant to Unlisted Trading Privileges
Comments due: April 13, 2007
|
SR-NASDAQ-2006-041 |
| 34-55463 |
Mar. 13, 2007 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change as Modified by Amendment No. 1 to Modify an Aspect of the Definition of Independent Director
Comments due: April 11, 2007
See also: Notice: Rel. No. 34-54797
|
SR-NASDAQ-2007-017 |
| 34-55461 |
Mar. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due: April 11, 2007
|
SR-NASDAQ-2006-064 |
| 34-55457 |
Mar. 13, 2007 |
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto to Modify the Fee for Connecting to a Nasdaq Data Center Over the Internet
Comments due: April 11, 2007
See also: Order: Rel. No. 34-59795
|
SR-NASDAQ-2006-049 |
| 34-55445 |
Mar. 12, 2007 |
Notice of Filing of Proposed Rule Change to Incorporate Full Depth of the Nasdaq Quoting of NYSE- and Amex-Listed Stocks into the TotalView Entitlement and Modify the User Fee Schedule for TotalView Data, and to Replace Nasdaq OpenView to Provide the Individual Nasdaq Market Participants' Best Bids and Offers in NYSE- and Amex-Listed Stocks
Comments due: April 6, 2007
Submit comments on SR-NASDAQ-2006-049
|
SR-NASDAQ-2007-006 |
| 34-55444 |
Mar. 12, 2007 |
Notice of Filing of Proposed Rule Change to Establish Daily Share Volume Service and Fees for the Service
Comments due: April 6, 2007
See also: Order: Rel. No. 34-59580
|
SR-NASDAQ-2006-048 |
| 34-55443 |
Mar. 12, 2007 |
Notice of Filing of Proposed Rule Change to Establish a Data Entitlement Named "Depth Feed" Consisting of Data Feeds Nasdaq TotalView and Nasdaq OpenView, and to Establish a Distribution Charge for Depth Feed
Comments due: April 11, 2007
Submit comments on SR-NASDAQ-2006-048
|
SR-NASDAQ-2007-013 |
| 34-55413 |
Mar. 7, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 to Assess a Fee for Unsuccessful Appeals Under Rule 11890
Comments due: April 3, 2007
|
SR-NASDAQ-2007-020 |
| 34-55405 |
Mar. 6, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Directed Order Type
Comments due: April 2, 2007
|
SR-NASDAQ-2006-067 |
| 34-55388 |
Mar. 2, 2007 |
Order Granting Approval of Proposed Rule Change to Retroactively Reduce Fees for Nasdaq's Risk Management Service
See also: Notice: Rel. No. 34-55130
|
SR-NASDAQ-2007-016 |
| 34-55386 |
Mar. 2, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of 16 Commodity-Related Securities Pursuant to Unlisted Trading Privileges on a Pilot Basis
Comments due: March 30, 2007
|
SR-NASDAQ-2007-018 |
| 34-55385 |
Mar. 2, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade iShares Silver Trust Pursuant to Unlisted Trading Privileges
Comments due: March 30, 2007
|
SR-NASDAQ-2007-014 |
| 34-55380 |
Mar. 1, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of the iShares COMEX Gold Trust Pursuant to Unlisted Trading Privileges
Comments due: March 28, 2007
|
SR-NASDAQ-2007-007 |
| 34-55355 |
Feb. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq's 7000 Series Rules
Comments due: March 26, 2007
|
SR-NASDAQ-2007-011 |
| 34-55353 |
Feb. 26, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Permit Trading Pursuant to Unlisted Trading Privileges of Shares of 93 Funds of the Proshares Trust
Comments due: March 26, 2007
|
SR-NASDAQ-2006-057 |
| 34-55344 |
Feb. 23, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 2 Thereto To Trade Certain CurrencyShares Trusts Pursuant to Unlisted Trading Privileges
Comments due: March 26, 2007
|
SR-NASDAQ-2007-005 |
| 34-55335 |
Feb. 23, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Date for Compliance with Regulation NMS
Comments due: March 22, 2007
|
SR-NASDAQ-2007-008 |
| 34-55329 |
Feb. 21, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Opening Process for Nasdaq Market Market Center
Comments due: March 21, 2007
|
SR-NASDAQ-2007-009 |
| 34-55323 |
Feb. 21, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Intermarket Sweep Orders
Comments due: March 20, 2007
|
SR-NASDAQ-2007-002 |
| 34-55300 |
Feb. 15, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Trade the Shares of Certain Exchange-Traded Funds Based on Fixed Income Portfolios Pursuant to Unlisted Trading Privileges
Comments due: March 16, 2007
|
SR-NASDAQ-2007-003 |
| 34-55284 |
Feb. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due: March 16, 2007
|
SR-NASDAQ-2006-050 |
| 34-55269 |
Feb. 9, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 3 Thereto Adopting Generic Listing Standards for Exchange-Traded Funds Based on International or Global Indexes or Indexes Described in Exchange Rules Previously Approved by the Commission as Underlying Benchmarks for Derivative Securities
Comments due: March 8, 2007
|
SR-NASDAQ-2006-060 |
| 34-55255 |
Feb. 8, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish NASDAQ Last Sale Data Feeds
Comments due: March 7, 2007
See also: Notice: Rel. No. 34-57965
Comments received are available for this notice.
Submit comments on SR-NASDAQ-2006-060
|
SR-NASDAQ-2006-061 |
| 34-55061A |
Jan. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the NASDAQ Stock Market LLC to Codify the Nasdaq Sponsored Access Rule [Correction]
Comments due: February 7, 2007
See also: Notice: Rel. No. 34-55061
Comments received are available for this notice.
|
SR-NASDAQ-2006-040 |
| 34-55202 |
Jan. 30, 2007 |
Notice of Filing of Amendment No. 3 to the Proposed Rule Change, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 2 and 3 to Modify Certain Fees for Listing on The Nasdaq Stock Market and to Make Available Certain Products and Services
Comments due: March 1, 2007
See also: Notice: Rel. No. 34-54752
Comments received are available for this notice.
|
SR-NASDAQ-2006-068 |
| 34-55137 |
Jan. 19, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due: February 15, 2007
|
SR-NASDAQ-2006-062 |
| 34-55135 |
Jan. 19, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for TradeInfo as Modified by Amendments No. 1 and 2
Comments due: February 16, 2007
|
SR-NASDAQ-2006-066 |
| 34-55131 |
Jan. 19, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce Risk Management Service Fees
Comments due: February 16, 2007
|
SR-NASDAQ-2006-067 |
| 34-55130 |
Jan. 19, 2007 |
Notice of Filing of Proposed Rule Change to Retroactively Reduce Fees for Nasdaq's Risk Management Service
Comments due: February 16, 2007
See also: Order: Rel. No. 34-55388
|
SR-NASDAQ-2006-059 |
| 34-55119 |
Jan. 18, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Application of Membership Fees
Comments due: February 14, 2007
|
SR-NASDAQ-2006-061 |
| 34-55061 |
Jan. 8, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Codify the Nasdaq Sponsored Access Rule
Comments due: February 7, 2007
See also: Correction Notice: Rel. No. 34-55061A
Comments received are available for this notice.
|
SR-NASDAQ-2006-047 |
| 34-55052 |
Jan. 5, 2007 |
Order Approving Proposed Rule Change to Modify its Listing Rules in the Case of a Reverse Merger
See also: Notice: Rel. No. 34-54825
|
SR-NASDAQ-2006-055 |
| 34-55042 |
Jan. 4, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Amended by Amendment No. 1 to Temporarily Adjust Tier Volume Limits
Comments due: February 2, 2007
|
| Release No. |
Date |
Details |
SR-NASDAQ-2007-101 |
| 34-57062 |
Dec. 28, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes to Extend the Deadline until March 31, 2008 for Issuers to Become Compliant with Listing Requirements Concerning Direct Registration Programs
Comments due: January 25, 2008
Additional File Nos.: SR-Amex-2007-142; SR-NYSE-2007-122; and SR-NYSEArca-2007-131
|
SR-NASDAQ-2007-100 |
| 34-57347 |
Feb. 19, 2008 |
Order Approving Proposed Rule Change to Nasdaq Rule 7033 to Modify the Fees Charged for the Mutual Fund Quotation Service and to Correct Certain Errors in the Rule Manual
|
| 34-57105 |
Jan. 4, 2008 |
Notice of Filing of a Proposed Rule Change To Nasdaq’s Rule 7033 to Modify the Fees Charged for the Mutual Fund Quotation Service and to Correct Certain Errors in the Rule Manual
Comments due: February 4, 2008
|
SR-NASDAQ-2007-099 |
| 34-57001 |
Dec. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fee for Registering and Transferring Registration of Associated Persons
Comments due: January 22, 2008
Comments received are available for this notice.
|
SR-NASDAQ-2007-098 |
| 34-56985 |
Dec. 18, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of Certain Securities Outside of the Regular Market Session
Comments due: January 17, 2008
|
SR-NASDAQ-2007-097 |
| 34-56952 |
Dec. 12, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade the Shares of 45 Funds of the Rydex ETF Trust Based on Numerous Domestic Securities Indexes Pursuant to Unlisted Trading Privileges
Comments due: January 11, 2008
|
SR-NASDAQ-2007-096 |
| 34-57447 |
Mar. 6, 2008 |
Order Approving Proposed Rule Change to Modify the Allocation of the Maximum Time an Adjudicatory Body May Grant a Company to Regain Compliance with the Listing Requirements without Modifying the Maximum Time Available Under Nasdaq Rule 4802
|
| 34-57214 |
Jan. 28, 2008 |
Notice of Filing of Proposed Rule Change to Modify the Allocation of the Maximum Time an Adjudicatory Body May Grant a Company to Regain Compliance with the Listing Requirements without Modifying the Maximum Time Available Under Nasdaq Rule 4802
Comments due: February 22, 2008
|
SR-NASDAQ-2007-095 |
| 34-56940 |
Dec. 11, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: January 8, 2008
|
SR-NASDAQ-2007-094 |
| 34-57198 |
Jan. 24, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Notification Requirements for Issuers Making Distributions to Shareholders
Comments due: February 21, 2008
|
SR-NASDAQ-2007-093 |
| 34-57068 |
Dec. 31, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Nasdaq's Rule 7033
Comments due: January 29, 2008
|
SR-NASDAQ-2007-090 |
| 34-57445 |
Mar. 6, 2008 |
Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Accept Financial Statements Prepared in Accordance with International Financial Reporting Standards, as Issued by the International Accounting Standards Board, for Certain Foreign Private Issuers, Consistent with Commission Rules
|
| 34-57290 |
Feb. 7, 2008 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Accept Financial Statements Prepared in Accordance with International Financial Reporting Standards, as Issued by the International Accounting Standards Board, for Certain Foreign Private Issuers
Comments due: March 4, 2008
|
SR-NASDAQ-2007-089 |
| 34-56841 |
Nov. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: December 24, 2007
|
SR-NASDAQ-2007-087 |
| 34-56905 |
Dec. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: January 16, 2008
|
SR-NASDAQ-2007-086 |
| 34-56929 |
Dec. 7, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Step-Outs and Transfers of Sales Fees
Comments due: January 4, 2008
|
SR-NASDAQ-2007-085 |
| 34-56917 |
Dec. 6, 2007 |
Order Approving Proposed Rule Change, As Modified By Amendment No. 1 Thereto, Amending Nasdaq's Membership Application Rules
|
| 34-56722 |
Oct. 31, 2007 |
Notice of Filing of Proposed Rule Change Amending Nasdaq's Membership Application Rules
Comments due: November 27, 2007
|
SR-NASDAQ-2007-083 |
| 34-56617 |
Oct. 4, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Annual Membership Fee for Nasdaq Members
Comments due: November 2, 2007
|
SR-NASDAQ-2007-082 |
| 34-56739 |
Nov. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify Fees for Members Using the Nasdaq Market Center
Comments due: November 30, 2007
|
SR-NASDAQ-2007-081 |
| 34-56683 |
Oct. 22, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Establish a New Service Called Nasdaq Regulation Reconnaissance Service (“Reg Recon”) to Assist Nasdaq Members in Their Efforts to Comply With Applicable Regulatory Requirements
Comments due: November 16, 2007
|
SR-NASDAQ-2007-080 |
| 34-57478 |
Mar. 12, 2008 |
Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, to Establish Rules Governing the Trading of Options on the NASDAQ Options Market; Order Approving a Proposed Rule Change Relating to the LLC Agreement Establishing the NASDAQ Options Market LLC and Delegation Agreement Delegating to NOM LLC the Authority to Operate the NASDAQ Options Market; Order Granting an Application of The NASDAQ Stock Market LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act from the Requirements of Section 19(b) of the Exchange Act; and Order Granting an Exemption for the NASDAQ Options Market LLC from Section 11A(b) of the Exchange Act
Comments due: April 8, 2008
Additional Materials: Amendment No. 2
|
| 34-56604 |
Oct. 3, 2007 |
Notice of Filing of a Proposed Rule Change Relating to the Establishment of the NASDAQ Options Market LLC
Comments due: November 2, 2007
Additional Materials:
Exhibit 3A and
Exhibit 3B
Additional File No.: SR-NASDAQ-2007-004
|
SR-NASDAQ-2007-079 |
| 34-57189 |
Jan. 23, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Units of the United States Heating Oil Fund, LP and the United States Gasoline Fund, LP Pursuant to Unlisted Trading Privileges
Comments due: February 19, 2008
|
SR-NASDAQ-2007-078 |
| 34-56708 |
Oct. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Nasdaq’s Outbound Routing Broker
Comments due: November 23, 2007
|
SR-NASDAQ-2007-077 |
| 34-56461 |
Sep. 19, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: October 17, 2007
|
SR-NASDAQ-2007-075 |
| 34-56390 |
Sep. 12, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees for the VTE Terminal
Comments due: October 10, 2007
|
SR-NASDAQ-2007-074 |
| 34-56313 |
Aug. 23, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require Certain Companies to Notify Nasdaq About Any Quarterly Change in the Number of Outstanding Shares
Comments due: September 20, 2007
|
SR-NASDAQ-2007-073 |
| 34-56348 |
Aug. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Halt Cross Process
Comments due: October 1, 2007
|
SR-NASDAQ-2007-071 |
| 34-56910 |
Dec. 5, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, Relating to Generic Listing and Trading Rules for Securities Linked to the Performance of Indexes, Commodities, and Currencies
Comments due: January 2, 2008
|
SR-NASDAQ-2007-070 |
| 34-56204 |
Aug. 3, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Certain FINRA Rules Relating to Trading Halts and Disclosure of Disciplinary Information
Comments due: September 4, 2007
|
SR-NASDAQ-2007-069 |
| 34-56759 |
Nov. 7, 2007 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Amend Its Rule Governing the Relation of a Nasdaq Market Maker’s Quotations to the Prevailing Market
|
| 34-56586 |
Oct. 1, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Its Rule Governing the Relation of a Nasdaq Market Maker's Quotations to the Prevailing Market
Comments due: October 26, 2007
|
SR-NASDAQ-2007-068 |
| 34-56876 |
Nov. 30, 2007 |
Notice of Filing of Amendment No. 2 to a Proposed Rule Change to Amend the Limited Liability Company Agreement of The NASDAQ Stock Market LLC; and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment Nos. 1 and 2
Comments due: January 2, 2008
|
| 34-56581 |
Sep. 28, 2007 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the Limited Liability Company Agreement of The NASDAQ Stock Market LLC
Comments due: October 26, 2007
|
SR-NASDAQ-2007-067 |
| 34-58386 |
Aug. 19, 2008 |
Order Granting Approval of Proposed Rule Change as Modified by Amendment No. 1 to Establish an Imbalance Cross
|
| 34-57595 |
Apr. 1, 2008 |
Notice of Filing of A Proposed Rule Change to Establish an Imbalance Cross
Comments due: April 29, 2008
|
SR-NASDAQ-2007-066 |
| 34-56825 |
Nov. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Applicability to Limited Partnerships of Nasdaq’s Direct Registration Program Requirements
Comments due: December 26, 2007
|
SR-NASDAQ-2007-065 |
| 34-56867 |
Nov. 29, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform SRO Rules to Changes to Rule 10a-1 and Regulation SHO
Comments due: December 28, 2007
|
SR-NASDAQ-2007-064 |
| 34-56112 |
Jul. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: August 16, 2007
|
SR-NASDAQ-2007-062 |
| 34-56068 |
Jul. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exclude Partial Trading Days from the Calculation of a Member’s Average Daily Volume
Comments due: August 10, 2007
|
SR-NASDAQ-2007-061 |
| 34-56130 |
Jul. 25, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Institute a Pricing Incentive Program for Market Makers in Exchange-Traded Funds and Index-Linked Securities
Comments due: August 22, 2007
|
SR-NASDAQ-2007-060 |
| 34-56120 |
Jul. 24, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Extend Nasdaq’s Authority Under Its Cease and Desist Pilot Program
Comments due: August 20, 2007
|
SR-NASDAQ-2007-058 |
| 34-56345 |
Aug. 31, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Step-Outs and Transfers of Sales Fees
Comments due: October 2, 2007
|
SR-NASDAQ-2007-057 |
| 34-56153 |
Jul. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Waive Risk Management Workstation Fees
Comments due: August 24, 2007
|
SR-NASDAQ-2007-056 |
| 34-56477 |
Sep. 20, 2007 |
Order Granting Approval of Proposed Rule Change and Amendment No. 2 Thereto, to Retroactively Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
|
| 34-56228 |
Aug. 8, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto, to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due: August 30, 2007
|
SR-NASDAQ-2007-055 |
| 34-55979 |
Jun. 28, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees for Members Using the Nasdaq Market Center
Comments due: July 27, 2007
|
SR-NASDAQ-2007-054 |
| 34-55861 |
Jun. 5, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade the Shares of the iShares GSCI Commodity-Indexed Trust Pursuant to Unlisted Trading Privileges
Comments due: July 2, 2007
|
SR-NASDAQ-2007-053 |
| 34-55862 |
June 5, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Trading Shares of the PowerShares DB Energy Fund, the PowerShares DB Oil Fund, the PowerShares DB Precious Metals Fund, the PowerShares DB Gold Fund, the PowerShares DB Silver Fund, the PowerShares DB Base Metals Fund, and the PowerShares DB Agriculture Fund Pursuant to Unlisted Trading Privileges
Comments due: July 3, 2007
|
SR-NASDAQ-2007-052 |
| 34-55781 |
May 17, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to the Trade Units of the United States Natural Gas Fund, LP Pursuant to Unlisted Trading Privileges
Comments due: June 14, 2007
|
SR-NASDAQ-2007-051 |
| 34-55767 |
May 15, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Shares of the PowerShares DB Commodity Index Tracking Fund Pursuant to Unlisted Trading Privileges
Comments due: June 12, 2007
|
SR-NASDAQ-2007-050 |
| 34-55924 |
Jun. 19, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Modify the Minimum Shareholder Requirement for Initial Listing on the Nasdaq Global Select Market
Comments due: July 18, 2007
|
SR-NASDAQ-2007-049 |
| 34-55739 |
May 10, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Shares of the PowerShares DB G10 Currency Harvest Fund Pursuant to Unlisted Trading Privileges
Comments due: June 7, 2007
|
SR-NASDAQ-2007-048 |
| 34-55740 |
May 10, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Claymore MACROshares Oil Up Tradeable Shares and Claymore MACROshares Oil Down Tradeable Shares Pursuant to Unlisted Trading Privileges
Comments due: June 7, 2007
|
SR-NASDAQ-2007-047 |
| 34-55721 |
May 7, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Opening and Closing Cross for Securities Listed on the NYSE, Amex, and Regional Exchanges
Comments due: June 5, 2007
|
SR-NASDAQ-2007-046 |
| 34-55760 |
May 15, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade Three iPath Exchange-Traded Notes Pursuant to Unlisted Trading Privileges
Comments due: June 12, 2007
|
SR-NASDAQ-2007-045 |
| 34-55761 |
May 15, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Trade the United States Oil Fund, LP Pursuant to Unlisted Trading Privileges
Comments due: June 12, 2007
|
SR-NASDAQ-2007-044 |
| 34-55678 |
Apr. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Nasdaq Trading Rights Fee
Comments due: May 29, 2007
|
SR-NASDAQ-2007-043 |
| 34-56237 |
Aug. 9, 2007 |
Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to Remove Provisions Governing the Operation of the ACES System
|
| 34-55892 |
Jun. 11, 2007 |
Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 thereto to Remove Provisions Governing the Operation of the ACES Service
Comments due: July 9, 2007
|
SR-NASDAQ-2007-042 |
| 34-56339 |
Aug. 30, 2007 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Modify the Entry and Annual Fees Paid by a Company that Lists on Nasdaq upon Emerging from Bankruptcy
|
| 34-56092 |
Jul. 18, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 thereto to Modify the Entry and Annual Fees Paid by a Company that Lists on Nasdaq upon Emerging from Bankruptcy
Comments due: August 15, 2007
|
SR-NASDAQ-2007-041 |
| 34-55633 |
Apr. 16, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees of Other Market Centers Related to Clearly Erroneous Rulings
Comments due: May 11, 2007
|
SR-NASDAQ-2007-040 |
| 34-55832 |
May 31, 2007 |
Order Granting Approval to a Proposed Rule Change Relating to the Waiver of Fees upon Relisting of Companies Removed for Late Filings
|
| 34-55645 |
Apr. 19, 2007 |
Notice of Filing of Proposed Rule Change Relating to the Waiver of Fees upon Relisting of Companies Removed for Late Filings
Comments due: May 16, 2007
|
SR-NASDAQ-2007-039 |
| 34-55790 |
May 21, 2007 |
Order Granting Approval of Proposed Rule Change to Modify the Distributor Fee for Nasdaq Index Weighting Information
|
| 34-55620 |
Apr. 12, 2007 |
Notice of Filing of Proposed Rule Change to Modify the Distributor Fee for Nasdaq Index Weighting Information
Comments due: May 9, 2007
|
SR-NASDAQ-2007-038 |
| 34-55588 |
Apr. 5, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Nasdaq Market Center Fees
Comments due: May 3, 2007
|
SR-NASDAQ-2007-037 |
| 34-56096 |
Jul. 18, 2007 |
Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Modify Order Audit Trail System Rules to Provide an Exemption from Transmission Requirements for Proprietary Orders
Comments due: August 15, 2007
|
| 34-55870 |
Jun. 6, 2007 |
Notice of Filing of Proposed Rule Change to Modify Order Audit Trail System Rules to Provide an Exemption from Transmission Requirements for Proprietary Orders and Amendment No. 1 Thereto
Comments due: July 5, 2007
Comments received are available for this notice.
|
SR-NASDAQ-2007-036 |
| 34-55634 |
Apr. 16, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due: May 11, 2007
|
SR-NASDAQ-2007-035 |
| 34-55611 |
Apr. 10, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Create a Pilot Non-Professional Fee for Certain Market Data from the Nasdaq Market Center
Comments due: May 9, 2007
|
SR-NASDAQ-2007-034 |
| 34-55610 |
Apr. 10, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Augment the TotalView Enterprise License
Comments due: May 9, 2007
|
SR-NASDAQ-2007-033 |
| 34-55609 |
Apr. 10, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Fees for Distributors of Certain Market Data from the Nasdaq Market Center
Comments due: May 9, 2007
|
SR-NASDAQ-2007-032 |
| 34-55608 |
Apr. 10, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower Fees for Distributors of Certain Market Data from the Nasdaq Market Center
Comments due: May 9, 2007
|
SR-NASDAQ-2007-031 |
| 34-56028 |
Jul. 9, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Three-Characters Ticker Symbols
|
| 34-55563 |
Mar. 30, 2007 |
Notice of Filing of Proposed Rule Change Relating to Trading Three-Character Symbols
Comments due: April 25, 2007
Comments received are available for this notice.
|
SR-NASDAQ-2007-030 |
| 34-55668 |
Apr. 25, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Extension of a Fee Pilot for National Quotation Data Service
Comments due: May 23, 2007
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SR-NASDAQ-2007-029 |
| 34-55856 |
Jun. 4, 2007 |
Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Require Nasdaq-Listed Issuers to Submit Material News to Nasdaq Using Nasdaq’s Electronic Disclosure Submission System
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| 34-55672 |
Apr. 26, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Require that Companies Submit Material News to Nasdaq Using Nasdaq’s Electronic Disclosure System, Except in Emergency Situations
Comments due: May 23, 2007
|
SR-NASDAQ-2007-027 |
| 34-55815 |
May 25, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Generic Listing Standards for Portfolio Depositary Receipts and Index Fund Shares
Comments due: June 22, 2007
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SR-NASDAQ-2007-026 |
| 34-55576 |
Apr. 3, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due: May 1, 2007
|
SR-NASDAQ-2007-025 |
| 34-55519 |
Mar. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading One-, Two-, and Three-Character Symbols
Comments due: April 23, 2007
Comments received are available for this notice.
|
SR-NASDAQ-2007-024 |
| 34-56294 |
Aug. 21, 2007 |
Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Provide Additional Transparency to How Nasdaq Applies Its Public Interest Authority
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| 34-56044 |
Jul. 11, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Provide Additional Transparency to How Nasdaq Applies Its Public Interest Authority
Comments due: August 7, 2007
|
SR-NASDAQ-2007-023 |
| 34-55489 |
Mar. 19, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade the Shares of the PowerShares DB US Dollar Index Bullish Fund and the PowerShares DB US Dollar Index Bearish Fund Pursuant to Unlisted Trading Privileges
Comments due: April 13, 2007
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SR-NASDAQ-2007-022 |
| 34-55822 |
May 29, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Change the Conflicts of Interest Rule
Comments due: June 27, 2007
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SR-NASDAQ-2007-021 |
| 34-55652 |
Apr. 20, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule to Describe How a Failure to Comply with Nasdaq’s Requirements Concerning Direct Registration Programs Is Treated
Comments due: May 18, 200721 days after publication in the Federal Register
|
SR-NASDAQ-2007-020 |
| 34-55405 |
Mar. 6, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Directed Order Type
Comments due: April 2, 2007
|
SR-NASDAQ-2007-018 |
| 34-55385 |
Mar. 2, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Trade iShares Silver Trust Pursuant to Unlisted Trading Privileges
Comments due: March 30, 2007
|
SR-NASDAQ-2007-017 |
| 34-55461 |
Mar. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due: April 11, 2007
|
SR-NASDAQ-2007-016 |
| 34-55386 |
Mar. 2, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of 16 Commodity-Related Securities Pursuant to Unlisted Trading Privileges on a Pilot Basis
Comments due: March 30, 2007
|
SR-NASDAQ-2007-014 |
| 34-55380 |
Mar. 1, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Trading of the iShares COMEX Gold Trust Pursuant to Unlisted Trading Privileges
Comments due: March 28, 2007
|
SR-NASDAQ-2007-013 |
| 34-55413 |
Mar. 7, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment No. 1 to Assess a Fee for Unsuccessful Appeals Under Rule 11890
Comments due: April 3, 2007
|
SR-NASDAQ-2007-011 |
| 34-55353 |
Feb. 26, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Permit Trading Pursuant to Unlisted Trading Privileges of Shares of 93 Funds of the Proshares Trust
Comments due: March 26, 2007
|
SR-NASDAQ-2007-010 |
| 34-55550 |
Mar. 28, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 2 Thereto to Amend Rule 4611 Relating to Sponsored Access
Comments due: April 25, 2007
|
SR-NASDAQ-2007-009 |
| 34-55323 |
Feb. 21, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Intermarket Sweep Orders
Comments due: March 20, 2007
|
SR-NASDAQ-2007-008 |
| 34-55329 |
Feb. 21, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Opening Process for Nasdaq Market Market Center
Comments due: March 26, 2007
|
SR-NASDAQ-2007-007 |
| 34-55355 |
Feb. 26, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Technical and Conforming Changes to Nasdaq's 7000 Series Rules
Comments due: March 26, 2007
|
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
|
| 34-55444 |
Mar. 12, 2007 |
Notice of Filing of Proposed Rule Change to Establish Daily Share Volume Service and Fees for the Service
Comments due: April 6, 2007
|
SR-NASDAQ-2007-005 |
| 34-55335 |
Feb. 23, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Date for Compliance with Regulation NMS
Comments due: March 22, 2007
|
SR-NASDAQ-2007-004 |
| 34-57478 |
Mar. 12, 2008 |
Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, to Establish Rules Governing the Trading of Options on the NASDAQ Options Market; Order Approving a Proposed Rule Change Relating to the LLC Agreement Establishing the NASDAQ Options Market LLC and Delegation Agreement Delegating to NOM LLC the Authority to Operate the NASDAQ Options Market; Order Granting an Application of The NASDAQ Stock Market LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act from the Requirements of Section 19(b) of the Exchange Act; and Order Granting an Exemption for the NASDAQ Options Market LLC from Section 11A(b) of the Exchange Act
Comments due: April 8, 2008
Additional Materials: Amendment No. 2
See also: Notice: Rel. No. 34-55667
|
| 34-55667 |
Apr. 25, 2007 |
Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish Rules Governing the Trading of Options on the NASDAQ Options Market
Comments due: May 22, 2007
Additional Material: Exhibit 5
Additional File No.: SR-NASDAQ-2007-080
See also: Notice/Order: Rel. No. 34-57478
Comments received are available for this notice.
|
SR-NASDAQ-2007-003 |
| 34-55284 |
Feb. 13, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for Nasdaq Members Using the Nasdaq Market Center
Comments due: March 16, 2007
|
SR-NASDAQ-2007-002 |
| 34-55300 |
Feb. 15, 2007 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Trade the Shares of Certain Exchange-Traded Funds Based on Fixed Income Portfolios Pursuant to Unlisted Trading Privileges
Comments due: March 16, 2007
|
SR-NASDAQ-2007-001 |
| 34-57826 |
May 15, 2008 |
Notice of Filing of Amendment No. 3 to and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 2 and 3 Thereto, to Amend Nasdaq's Clearly Erroneous Rule
Comments due: June 12, 2008
Comments received are available for this notice.
Submit comments on SR-NASDAQ-2007-001
|
| 34-55937 |
Jun. 21, 2007 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 2 to Amend Nasdaq’s "Clearly Erroneous" Rule
Comments due: 21 days after publication in the Federal Register
Comments received are available for this notice.
Submit comments on SR-NASDAQ-2007-001
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http://www.sec.gov/rules/sro/nasdaq/nasdaqarchive/nasdaqarchive2007.shtml
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