National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-97466 | May 9, 2023 | SR-NASDAQ-2023-013 | The Nasdaq Stock Market LLC (NASDAQ) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118 Comments Due: June 5, 2023 See Also - Exhibit 5 Submit a Comment on SR-NASDAQ-2023-013
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| 34-97353 | Apr 24, 2023 | SR-NASDAQ-2023-005 | The Nasdaq Stock Market LLC (NASDAQ) | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Establish Listing Standards Related to Recovery of Erroneously Awarded Executive Compensation |
| 34-97263 | Apr 7, 2023 | SR-NASDAQ-2022-079 | The Nasdaq Stock Market LLC (NASDAQ) | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Periods Comments Due: Comments due: May 4, 2023 Rebuttal comments due: May 18, 2023 See Also - Exhibit 5, Exhibit 3a, Exhibit 3b Submit a Comment on Submit Comments on 34-97263 - Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 4702(b)(14) and (b)(15) Concerning Dyn |
| 34-97211 | Mar 28, 2023 | SR-NASDAQ-2023-006 | The Nasdaq Stock Market LLC (NASDAQ) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the SGI Dynamic Tactical ETF Under Nasdaq Rule 5750 ("Proxy Portfolio Shares") Comments Due: 21 days after publication in the Federal Register |
| 34-97194 | Mar 24, 2023 | SR-NASDAQ-2022-077 | The Nasdaq Stock Market LLC (NASDAQ) | Notice of Withdrawal of Proposed Rule Change To Amend Rule 4702 To Establish New "Contra Midpoint Only" and "Contra Midpoint Only With Post-Only" Order Types |
| 34-97060 | Mar 7, 2023 | SR-NASDAQ-2023-005 | The Nasdaq Stock Market LLC (NASDAQ) | Notice of Filing of Proposed Rule Change To Establish Listing Standards Related to Recovery of Erroneously Awarded Executive Compensation Comments Due: 21 days after publication in the Federal Register View Received Comments See Also - Exhibit 5 |
| 34-96969 | Feb 23, 2023 | SR-NASDAQ-2022-077 | The Nasdaq Stock Market LLC (NASDAQ) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 4702 To Establish New "Contra Midpoint Only" and "Contra Midpoint Only With Post-Only" Order Types |
| 34-96966 | Feb 22, 2023 | SR-NASDAQ-2023-004 | The Nasdaq Stock Market LLC (NASDAQ) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees the Exchange Charges Companies Seeking Review of a Delisting Determination, Public Reprimand Letter, or Written Denial of an Initial Listing Application Comments Due: March 21, 2023 |
| 34-96963 | Feb 22, 2023 | SR-NASDAQ-2022-079 | The Nasdaq Stock Market LLC (NASDAQ) | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rules 4702(b)(14) and (b)(15) Concerning Dynamic M-ELO Holding Periods |
| 34-96939 | Feb 15, 2023 | SR-NASDAQ-2023-002 | The Nasdaq Stock Market LLC (NASDAQ) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 5910 and 5920 To Remove Expired and Obsolete Provisions Comments Due: March 15, 2023 View Received Comments See Also - Exhibit 5 |