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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
First Quarter
NASDAQ File Number List for 2013
Additional Archives
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006
| Release No. |
Date |
Details |
| First Quarter |
SR-NASDAQ-2012-129 |
| 34-68937 |
Feb. 15, 2013 |
Order Granting Approval to
Proposed Rule Change, as Modified by Amendment No. 1, to Establish the Retail Price
Improvement Program on a Pilot Basis until 12 Months from the Date of Implementation
See also: Notice: Rel. Nos. 34-68694, 34-68336
|
SR-NASDAQ-2012-137 |
| 34-68925 |
Feb. 14, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, to Establish the Market Quality Program
See also: Notice: Rel. No. 34-68515
|
SR-NASDAQ-2013-026 |
| 34-68917 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-NASDAQ-2013-026
|
SR-NASDAQ-2013-024 |
| 34-68913 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Measure Used to Determine Whether the Price of a Stock is Equal To or Greater Than One Dollar Under Rule 4120(a)(11)
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-024
|
SR-NASDAQ-2013-025 |
| 34-68911 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates to Add Liquidity in Penny Pilot Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-025
|
SR-NASDAQ-2013-023 |
| 34-68905 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-023
|
SR-NASDAQ-2013-027 |
| 34-68899 |
Feb. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-027
|
SR-NASDAQ-2013-028 |
| 34-68891 |
Feb. 8, 2013 |
Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit Inbound Orders Routed by Nasdaq Execution Services LLC from the NASDAQ OMX BX Equities Market and NASDAQ OMX PSX
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-028
|
SR-NASDAQ-2013-016 |
| 34-68847 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the Purpose of Amending Rule 7014(g)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-016
|
SR-NASDAQ-2013-020 |
| 34-68841 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Locator Service Offered at No Cost to Subscribing Members
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-020
|
SR-NASDAQ-2013-014 |
| 34-68839 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Routing Functionality to the NASDAQ System
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-014
|
SR-NASDAQ-2012-142 |
| 34-68823 |
Feb. 4, 2013 |
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-2012-002, SR-BX-2012-075, SR-Phlx-2012-142, SR-SCCP-2012-02
See also: Notice: Rel. No. 34-68512
|
SR-NASDAQ-2013-022 |
| 34-68819 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program Related to Rule 11890, entitled "Clearly Erroneous Transactions"
Comments due: March 1, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-022
|
SR-NASDAQ-2013-015 |
| 34-68799 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Rule 4120
Comments due: February 28, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-015
|
SR-NASDAQ-2013-021 |
| 34-68786 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to delay the operative date of a rule change to NASDAQ Rule 4121
Comments due: February 27, 2013
Submit comments on SR-NASDAQ-2013-021
|
SR-NASDAQ-2013-013 |
| 34-68761 |
Jan. 29, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Chapter XV, Section 2 of the Rules Governing the NASDAQ Options Market, NASDAQ's Facility for Executing and Routing Standardized Equity and Index Options
Comments due: February 26, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-013
|
SR-NASDAQ-2013-012 |
| 34-68762 |
Jan. 29, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4756 and Rule 4763 Regarding Modification of Previously Entered Orders
Comments due: February 25, 2013
Submit comments on SR-NASDAQ-2013-012
|
SR-NASDAQ-2012-119 |
| 34-68735 |
Jan. 25, 2013 |
Order Approving a Proposed Rule Change to Establish a New Optional Wireless Connectivity for Colocated Clients
See also: Notice: Rel. No. 34-68416, Notice: Rel. No. 34-68085
|
SR-NASDAQ-2013-010 |
| 34-68718 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 20, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-010
|
SR-NASDAQ-2013-008 |
| 34-68721 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5710
Comments due: February 20, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-008
|
SR-NASDAQ-2013-011 |
| 34-68720 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: February 20, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-011
|
SR-NASDAQ-2012-090 |
| 34-68707 |
Jan. 23, 2013 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend Rule 4626-Limitation of Liability
See also: Order: Rel. No. 34-68115, Notice: Rel. No. 34-67842, Notice: Rel. No. 34-67507
|
SR-NASDAQ-2012-129 |
| 34-68694 |
Jan. 18, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish the Retail Price Improvement Program on a Pilot Basis until 12 Months from the Date of Implementation
See also: Notice: Rel. No. 34-68336; Order: Rel. No. 34-68937
|
SR-NASDAQ-2013-003 |
| 34-68677 |
Jan. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase the Record-Keeping and Substitution Listing Fees Payable by Companies Listed on Nasdaq
Comments due: February 13, 2013
Submit comments on SR-NASDAQ-2013-003
|
SR-NASDAQ-2013-004 |
| 34-68676 |
Jan. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees For Review of Delisting Determinations and Appeal of Panel Decisions
Comments due: February 13, 2013
Submit comments on SR-NASDAQ-2013-004
|
SR-NASDAQ-2012-117 |
| 34-68672 |
Jan. 16, 2013 |
Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change with Respect to INAV Pegged Orders for ETFs
Comments due: February 13, 2013
Rebuttal comments due: February 27, 2013
See also: Notice: Rel. No. 34-68279, Notice: Rel. No. 34-68042
Submit comments on SR-NASDAQ-2012-117
|
SR-NASDAQ-2013-007 |
| 34-68654 |
Jan. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operative Date of Recent Changes Made to Rules 4613(a)(2)(F) and (G), and Rule 4751(f)(15)
Comments due: February 12, 2013
Submit comments on SR-NASDAQ-2013-007
|
SR-NASDAQ-2012-109 |
| 34-68640 |
Jan. 11, 2013 |
Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 to Amend the Listing Rules for Compensation Committees to Comply with Rule 10C-1 under the Act and Make Other Related Changes
Comments due: February 12, 2013
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-68313, Notice: Rel. No. 34-68013
Submit comments on SR-NASDAQ-2012-109
|
SR-NASDAQ-2013-009 |
| 34-68636 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Optional Historical Research and Administrative Report Fee and Related NASDAQ Rule 7022 Revisions
Comments due: February 7, 2013
Submit comments on SR-NASDAQ-2013-009
|
SR-NASDAQ-2012-149 |
| 34-68626 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NASDAQ's Order Execution Rebates and Investor Support Program
Comments due: February 7, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-149
|
SR-NASDAQ-2013-002 |
| 34-68624 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Co-location Services
Comments due: February 7, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-002
|
SR-NASDAQ-2012-059 |
| 34-68629 |
Jan. 11, 2013 |
Order Disapproving Proposed Rule Change to Establish "Benchmark Orders" under NASDAQ Rule 4751(f)
See also: Order: Rel. No. 34-68199, Order: Rel. No. 34-67655, Notice: Rel. No. 34-67258, and Notice: Rel. No. 34-66972
|
SR-NASDAQ-2013-005 |
| 34-68617 |
Jan. 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Latency Optics add-on Service to QView
Comments due: February 6, 2013
Submit comments on SR-NASDAQ-2013-005
|
SR-NASDAQ-2013-001 |
| 34-68609 |
Jan. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-001
|
SR-NASDAQ-2012-141 |
| 34-68613 |
Jan. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Penny Pilot Options
Comments due: February 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2012-141
|
SR-NASDAQ-2012-147 |
| 34-68581 |
Jan. 4, 2013 |
Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust High Yield Long/Short ETF of First Trust Exchange-Traded Fund IV
Comments due: January 31, 2013
Submit comments on SR-NASDAQ-2012-147
|
SR-NASDAQ-2012-145 |
| 34-68568 |
Jan. 3, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Fee Pilot Program for NASDAQ Last Sale
Comments due: January 30, 2013
Comments received are available for this proposal.
Submit comments on SR-NASDAQ-2012-145
|
| NASDAQ File Number List for 2013 |
| Release No. |
Date |
Details |
SR-NASDAQ-2013-028 |
| 34-68891 |
Feb. 8, 2013 |
Notice of Filing of Proposed Rule Change for the Permanent Approval of a Pilot Program to Permit Inbound Orders Routed by Nasdaq Execution Services LLC from the NASDAQ OMX BX Equities Market and NASDAQ OMX PSX
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-028
|
SR-NASDAQ-2013-027 |
| 34-68899 |
Feb. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Pricing Clarification
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-027
|
SR-NASDAQ-2013-026 |
| 34-68917 |
Feb. 13, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Trading Pause for certain NMS Stocks
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-026
|
SR-NASDAQ-2013-025 |
| 34-68911 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates to Add Liquidity in Penny Pilot Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-025
|
SR-NASDAQ-2013-024 |
| 34-68913 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Measure Used to Determine Whether the Price of a Stock is Equal To or Greater Than One Dollar Under Rule 4120(a)(11)
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-024
|
SR-NASDAQ-2013-023 |
| 34-68905 |
Feb. 12, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 7014 and 7018
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-023
|
SR-NASDAQ-2013-022 |
| 34-68819 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program Related to Rule 11890, entitled "Clearly Erroneous Transactions"
Comments due: March 1, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-022
|
SR-NASDAQ-2013-021 |
| 34-68786 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to delay the operative date of a rule change to NASDAQ Rule 4121
Comments due: February 27, 2013
Submit comments on SR-NASDAQ-2013-021
|
SR-NASDAQ-2013-020 |
| 34-68841 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Limit Locator Service Offered at No Cost to Subscribing Members
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-020
|
SR-NASDAQ-2013-016 |
| 34-68847 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change for the Purpose of Amending Rule 7014(g)
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-016
|
SR-NASDAQ-2013-015 |
| 34-68799 |
Feb. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Rule 4120
Comments due: February 28, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-015
|
SR-NASDAQ-2013-014 |
| 34-68839 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Routing Functionality to the NASDAQ System
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-NASDAQ-2013-014
|
SR-NASDAQ-2013-013 |
| 34-68761 |
Jan. 29, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Chapter XV, Section 2 of the Rules Governing the NASDAQ Options Market, NASDAQ's Facility for Executing and Routing Standardized Equity and Index Options
Comments due: February 26, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-013
|
SR-NASDAQ-2013-012 |
| 34-68762 |
Jan. 29, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rule 4756 and Rule 4763 Regarding Modification of Previously Entered Orders
Comments due: February 25, 2013
Submit comments on SR-NASDAQ-2013-012
|
SR-NASDAQ-2013-011 |
| 34-68720 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
Comments due: February 20, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-011
|
SR-NASDAQ-2013-010 |
| 34-68718 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 20, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-010
|
SR-NASDAQ-2013-009 |
| 34-68636 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify an Optional Historical Research and Administrative Report Fee and Related NASDAQ Rule 7022 Revisions
Comments due: February 7, 2013
Submit comments on SR-NASDAQ-2013-009
|
SR-NASDAQ-2013-008 |
| 34-68721 |
Jan. 24, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 5710
Comments due: February 20, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-008
|
SR-NASDAQ-2013-007 |
| 34-68654 |
Jan. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operative Date of Recent Changes Made to Rules 4613(a)(2)(F) and (G), and Rule 4751(f)(15)
Comments due: February 12, 2013
Submit comments on SR-NASDAQ-2013-007
|
SR-NASDAQ-2013-005 |
| 34-68617 |
Jan. 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Latency Optics add-on Service to QView
Comments due: February 6, 2013
Submit comments on SR-NASDAQ-2013-005
|
SR-NASDAQ-2013-004 |
| 34-68676 |
Jan. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees For Review of Delisting Determinations and Appeal of Panel Decisions
Comments due: February 13, 2013
Submit comments on SR-NASDAQ-2013-004
|
SR-NASDAQ-2013-003 |
| 34-68677 |
Jan. 16, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase the Record-Keeping and Substitution Listing Fees Payable by Companies Listed on Nasdaq
Comments due: February 13, 2013
Submit comments on SR-NASDAQ-2013-003
|
SR-NASDAQ-2013-002 |
| 34-68624 |
Jan. 11, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees for Certain Co-location Services
Comments due: February 7, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-002
|
SR-NASDAQ-2013-001 |
| 34-68609 |
Jan. 9, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees
Comments due: February 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-NASDAQ-2013-001
|
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http://www.sec.gov/rules/sro/nasdaq.shtml
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