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Home >
The Nasdaq Stock Market Rulebook
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The Qualification, Listing and Delisting of Companies →
General Equity and Options Rules →
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- 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
- Certificate of Amendment Dated July 19, 2022
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rulebook-rules-mrxrulebook-rules-mrx
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- 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
- Certificate of Amendment Dated July 19, 2022
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rulebook-rules-nfx
- 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
Table of Contents
Preface
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- 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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rulebook-rules-gemxrulebook-rules-gemx
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- 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
- Certificate of Amendment Dated July 19, 2022
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rulebook-rules-iserulebook-rules-ise
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- 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
- Certificate of Amendment Dated July 19, 2022
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rulebook-rules-phlxrulebook-rules-phlx
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- 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
- Certificate of Amendment Dated July 19, 2022
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rulebook-rules-bxrulebook-rules-bx
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- Certificate of Incorporation
- Certificate of Amendment to Certificate of Incorporation
- Certificate of Amendment of Certificate of Incorporation of NASDAQ OMX BX, Inc.
- 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
- Certificate of Amendment Dated July 19, 2022
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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RULE I | MEMBERSHIP |
RULE II | CLEARING FUND |
RULE III | SERVICES |
RULE IV | CONDUCT OF BUSINESS |
RULE V | CHARGES FOR SERVICES |
RULE VI | AUDITS 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 XI | DISCIPLINE AND DENIAL OF ACCESS |
RULE XII | MISCELLANEOUS |
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- 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
- Certificate of Amendment Dated July 19, 2022
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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 |
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- 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
- Certificate of Amendment Dated July 19, 2022
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