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The Nasdaq Stock Market Rules

Equity Rules

Rule 0100		General Provisions
Rule 1000		Membership, Registration and Qualification Requirements
Rule 2000		Business Conduct
Rule 2000A		Business Conduct
Rule 3000		Responsibilities Relating to Associated Persons, Employees, and Others' Employees
Rule 3000A		Supervision and Responsibilities Relating to Associated Persons
Rule 4000		Marketplace Rules
Rule 4000A		Financial and Operational Rules
Rule 4000B		Trading of Non-Convertible Bonds Listed on Nasdaq
Rule 5000		The Qualification, Listing and Delisting of Companies
Rule 5000A		NASDAQ Supplementary Conduct Rules
Rule 6000		Other Systems and Programs
Rule 7000A		Order Audit Trail Series
Rule 8000		Investigations and Sanctions
Rule 9000		Code of Procedure
Rule 11000		Uniform Practice Code

Options Rules

Chapter I		General Provisions
Chapter II		Participation
Chapter III		Business Conduct
Chapter V		Regulation of Trading on NOM
Chapter VI		Trading Systems
Chapter VII		Market Participants
Chapter VIII		Exercises and Deliveries
Chapter IX		Records, Reports and Audits
Chapter X		Discipline and Summary Suspensions
Chapter XI		Doing Business with the Public
Chapter XII		Options Order Protection and Locked and Crossed Market Rules
Chapter XIII		Margin Requirements
Chapter XIV		Index Rules

The Nasdaq Stock Market LLC Rules

General Equity and Options Rules

General 1		General Provisions
General 2		Organization and Administration
General 3		Membership and Access
General 4		Regulation
General 5		Discipline
General 6		Arbitration
General 7		Consolidated Audit Trail Compliance
General 8		Connectivity

Equity Rules

Equity 1		Equity Definitions
Equity 2		Equity Trading Rules
Equity 3		Equity Market Participants
Equity 4		Reserved
Equity 5		Order Audit Trail System
Equity 6		Limit Up-Limit Down
Equity 7		Pricing Schedule
Equity 8		Uniform Practice Code
Equity 9		Supplementary Conduct Rules
Equity 10		Qualification, Listing and Delisting of Companies
Equity 11		Reserved

Options Rules

Options 1		Options Definitions
Options 2		Options Trading Rules
Options 3		Options Market Participants
Options 4		Options Listing Rules
Options 5		Options Trade Administration
Options 6		Order Protection and Locked and Cross Markets
Options 7		Pricing Schedule
Options 8		Reserved
Options 9		Reserved

Nasdaq Corporate Organization

The Nasdaq Stock Market LLC

Certificate of Formation

Second Amended Limited Liability Co. Agreement of the Nasdaq Stock Market LLC

By-Laws

The Nasdaq Options Market LLC

Certificate of Formation

Delegation Agreement

Limited Liability Company Agreement

Nasdaq, Inc.

Certificate of Incorporation

Certificate of Designation of Series A Convertible Preferred Stock of THE NASDAQ OMX Group, Inc.

Certificate of Elimination of the Series A Convertible Preferred Stock of THE NASDAQ OMX Group, Inc.

Certificate of Amendment Dated September 8, 2015

Certificate of Amendment Dated November 17, 2014

By-Laws

Additional Information

NEW LISTING RULES

LISTING RULES Conversion Table

OLD Listing Rules

Proposals to Change Rules That Are Incorporated by Reference in the NASDAQ Rules

Predecessor NASD Rules

Rule Filings Status Report


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