NASDAQ Stock Market
Main  |  Rule Filings  |  Alerts  |  SEC Comments  |  NFX  |  BX  |  PHLX  |  ISE  |  GEMX  |  MRX  |  Help  |  Search

About The Nasdaq Stock Market Rules

Covers the By-Laws and Rules of Nasdaq Stock Market.

The Nasdaq Stock Market Rules

Equity Rules

General Provisions
Membership, Registration and Qualification Requirements
Business Conduct
Business Conduct
Responsibilities Relating to Associated Persons, Employees, and Others' Employees
Supervision and Responsibilities Relating to Associated Persons
Marketplace Rules
Financial and Operational Rules
Trading of Non-Convertible Bonds Listed on Nasdaq
The Qualification, Listing and Delisting of Companies
NASDAQ Supplementary Conduct Rules
Other Systems and Programs
Order Audit Trail Series
Investigations and Sanctions
Code of Procedure
Uniform Practice Code

Options Rules

General Provisions
Business Conduct
Regulation of Trading on NOM
Trading Systems
Market Participants
Exercises and Deliveries
Records, Reports and Audits
Discipline and Summary Suspensions
Doing Business with the Public
Options Order Protection and Locked and Crossed Market Rules
Margin Requirements
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 5
Consolidated Audit Trail Compliance


Equity Rules

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

Options Rules

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

Nasdaq Corporate Organization

The Nasdaq Stock Market LLC

The Nasdaq Options Market LLC

Nasdaq, Inc.

Additional Information

  Copyright © 2019 Nasdaq, Inc. All rights reserved.    Back to Top | Print this Page