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Rulebook - Nasdaq GEMX
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The Nasdaq Stock Market LLC Rules
The Qualification, Listing and Delisting of Companies  →
  • Rule 5000:  The Qualification, Listing and Delisting of Companies
General Equity and Options Rules  →
Equity Rules   →
  • Equity 1: Equity Definitions
  • Equity 2: Equity Market Participants
  • Equity 3: Equity Trading Rules
  • Equity 4: Limit Up Limit Down
  • Equity 5: Order Audit Trail System
  • Equity 6: Reserved
  • Equity 7: Pricing Schedule
  • Equity 8: Uniform Practice Code
  • Equity 9: Supplementary Conduct Rules
  • Equity 10: Reserved
  • Rule 1000: Membership and Registration
  • Rules 2000 - 3000: Conduct Rules
  • Rule 4000: Marketplace Rules
  • Rule 4000B: Trading of Non-Convertible Bonds Listed on Nasdaq
  • Rule 6000: Other Systems and Programs
  • Rule 11000: Uniform Practice Code
Alerts
Options Rules   →
Corporate Organization
  • Certificate of Formation
  • Second Amended Limited Liability Co. Agreement of the Nasdaq Stock Market LLC
  • By-Laws
  • Certificate of Formation
  • Delegation Agreement
  • Limited Liability Company Agreement
  • 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
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Nasdaq MRX, LLC Rules
Corporate Organization
  • 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
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NASDAQ Futures Rules
  • Chapter I: Definitions and Governance of the Exchange
  • Chapter II: Membership Rules
  • Chapter III: Obligations of Futures Participants and Authorized Traders
  • Chapter IV: Trading System
  • Chapter V: Trading Procedures and Standards
  • Chapter VI: Disciplinary Rules
  • Chapter VII: Arbitration Rules
  • Chapter VIII: Options Rules
  • Rulebook Appendix A - Listed Contracts
  • Rulebook Appendix B - Energy Products Position Limit & Accountability Table
Corporate Organization
  • 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
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Nasdaq GEMX, LLC Rules →
Corporate Organization
  • 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
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Nasdaq ISE, LLC Rules →
Corporate Organization
  • 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
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Nasdaq PHLX LLC 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 Market Participants
Equity 3 Equity Trading Rules
Equity 4 Limit Up-Limit Down
Equity 5 Order Audit Trail Services
Equity 6 Reserved
Equity 7 Pricing Schedule
Equity 8 Uniform Practice Code
Equity 9 Supplementary Conduct Rules
Equity 10 Reserved

Nasdaq PSX Rules  →

Rule 3000 Nasdaq PSX
Rule 7400A Order Audit Trail System

Minor Rule Violations   →
Nasdaq PHLX LLC Rules (continued)

Options Rules  →

Options 1 General Provisions
Options 2 Options Market Participants
Options 2A Reserved
Options 3 Options Trading Rules
Options 4 Options Listing Rules
Options 4A Options Index Rules
Options 4B Options on Treasury Securities
Options 5 Order Protection and Locked Cross Markets
Options 6 Options Trade Administration
Options 6A Closing Transactions
Options 6B Exercises and Deliveries
Options 6C Margins
Options 6D Net Capital Requirements
Options 6E Records, Reports and Audits
Options 7 Pricing Schedule
Options 8 Floor Trading
Options 9 Business Conduct
Options 10 Doing Business with the Public
Options 11 Minor Rule Plan Violations
Corporate Organization
  • 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
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Nasdaq BX, Inc. Rules
General 1 General Provisions
General 2 Organization and Administration
General 3 Membership and Access
General 4 Registration Requirements
General 5 Discipline
General 6 Arbitration
General 7 Consolidated Audit Trail Compliance
General 8 Connectivity
General 9 Regulation
Equity 1 Equity Definitions
Equity 2 Equity Market Participants
Equity 3 Equity Trading Rules
Equity 4 Limit Up-Limit Down
Equity 5 Order Audit Trail Services
Equity 6 Reserved
Equity 7 Pricing Schedule
Equity 8 Uniform Practice Code
Equity 9 Supplementary Conduct Rules
Equity 10 BX Venture Market Listing Rules
Rule 2170 Disruptive Quoting and Trading Activity Prohibited
Rule 2800 Special Products
Rule 2900 Responsibilities to Other Brokers or Dealers
Rule 2000A Business Conduct
Rule 3000 Responsibilities Relating to Associated Persons, Employees, and Others' Employees
Rule 4000 Listing and Trading on the Exchange
Rule 5000 BX Venture Market Listing 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
Nasdaq BX, Inc. Rules (continued)
Options 1 General Provisions
Options 2 Options Market Participants
Options 2A Options Participation
Options 3 Options Trading Rules
Options 4 Options Listing Rules
Options 4A Options Index Rules
Options 4B Reserved
Options 5 Order Protection and Locked Cross Markets
Options 6 Options Trade Administration
Options 6A Closing Transactions
Options 6B Exercises and Deliveries
Options 6C Margins
Options 6D Net Capital Requirements
Options 6E Records, Reports and Audits
Options 7 Pricing Schedule
Options 8 Reserved
Options 9 Business Conduct
Options 10 Doing Business with the Public
Options 11 Minor Rule Plan Violations
Corporate Organization
  • Certificate of Incorporation
  • Certificate of Amendment to Certificate of Incorporation
  • Certificate of Amendment of Certificate of Incorporation of NASDAQ OMX BX, Inc.
  • By-Laws
  • NASDAQ OMX BX Equities LLC Operating Agreement
  • Delegation Agreement
  • 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
Until May 14, 2012, Boston Options Exchange (BOX) was regulated as a facility of NASDAQ BX (fka NASDAQ OMX BX). BOX is now operated as a separate self-regulatory organization. NASDAQ BX does not have an ownership interest in BOX.
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BSE Clearing Corporation Rules
RULE I MEMBERSHIP
RULE II CLEARING FUND
RULE III SERVICES
RULE IV CONDUCT OF BUSINESS
RULE V CHARGES FOR SERVICES
RULE VIAUDITS AND FINANCIAL REPORTS
RULE VII [RESERVED FOR FUTURE USE]
RULE VIII [RESERVED FOR FUTURE USE]
RULE IX TERMINATION AND SUSPENSION OF MEMBERSHIP
RULE X INSOLVENCY
RULE XIDISCIPLINE AND DENIAL OF ACCESS
RULE XII MISCELLANEOUS
Corporate Organization
  • Articles of Organization
  • By-Laws
  • 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
rulebook-rules-sccp
Stock Clearing Corporation of Philadelphia Rules
Rule 1. Definitions
Rule 2. Membership Application and Requirements
Rule 3. Participants' Qualifications
Rule 4. Participants Fund
Rule 5. Operating Requirements
Rule 6. Audits and Financial Reports
Rule 7. Dividends
Rule 8. Reserved.
Rule 9. Margin Accounts
Rule 10. RIO Accounts
Rule 11. Ex-Clearing Accounts
Rule 12. Lien on Securities in Accounts
Rule 13. Buy-In
Rule 14. Marking to Market
Rule 15. Discretionary Termination
Rule 16. Mandatory Termination
Rule 17. Insolvency
Rule 18. Reinstatement
Rule 19. Suspension of Rules or Extension of Time
Rule 20. Statements
Rule 21. Bills Rendered
Rule 22. Disciplinary Proceedings and Penalties
Rule 23. Right of Appeal
Rule 24. Miscellaneous Services
Rule 25. Late Charge
Rule 26. Receipt and Release of Trade and Clearing Data with Self-Regulatory Agencies, Clearing Agencies, and/or Service Bureaus
Rule 27. Insurance
Rule 28. Financial Reports
Rule 29. Standard of Care
Rule 30. Admission to Premises
Rule 31. Forms
Rule 32. Business Days
Rule 33. Facsimile Signatures
Rule 34. Procedures
Rule 35. Delegation
Rule 36. Instruments with Exercise Privileges
Rule 37. UCC Article 8 Applicability
Rule 38. Captions
Corporate Organization
  • 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
 
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