| rulebook-banner | | rulebook-rules-menurulebook-rules-menu BSECC | BX | GEMX | ISE | MRX | Nasdaq | PHLX | SCCP | | | Search in | | All BSECC BX GEMX ISE MRX Nasdaq PHLX SCCP | Rule text only Rule filings only Both | Search | | | | Home > The Nasdaq Stock Market Rulebook | Rulebook | Rule Filings | Advanced Search | rulebook-rules-nasdaq | The Nasdaq Stock Market LLC Rules | The Qualification, Listing and Delisting of Companies → - 5000. Nasdaq Listing Rules
- 5100. Nasdaq's Regulatory Authority
- 5200. General Procedures and Prerequisites for Initial and Continued Listing on The Nasdaq Stock Market
- 5300. The Nasdaq Global Select Market
- 5400. The Nasdaq Global Market
- 5500. The Nasdaq Capital Market
- 5600. Corporate Governance Requirements
- 5700. Other Securities
- 5800. Failure to Meet Listing Standards
- 5900. Company Listing Fees
General Equity and Options 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 7A: Consolidated Audit Trail Funding Fees
- General 8: Connectivity
- General 9: Regulation
Equity Rules → - Equity 1: Equity Definitions
- Equity 2: Market Participants
- Equity 3: Reserved
- Equity 3A: Reserved
- Equity 4: Equity Trading Rules
- Equity 5: Reserved
- Equity 6: Nasdaq Risk Management Service; Other Systems and Programs
- Equity 7: Pricing Schedule
- Equity 8: Trading of Non-Convertible Bonds Listed on Nasdaq
- Equity 8A: Reserved
- Equity 9: Business Conduct
- Equity 10: Other Products and Securities
- Equity 11: Uniform Practice Code
Alerts Issuer Alerts | Options Rules → - Options 1: General Provisions
- Options 2: Options Market Participants
- Options 2A: Options Participation
- Options 3: Options Trading Rules
- Options 3A: Reserved
- Options 4: Options Listing Rules
- Options 4A: Options Index Rules
- Options 4B: Reserved
- Options 4C: U.S. Dollar-Settled Foreign Currency Options
- Options 5: Order Protection and Locked and 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 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
- Certificate of Amendment Dated July 19, 2022
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
| | rulebook-rules-mrxrulebook-rules-mrx Nasdaq MRX, LLC Rules General 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 7A: Consolidated Audit Trail Funding Fees
- General 8: Connectivity
- General 9: Reserved
Options Rules → - Options 1: General Provisions
- Options 2: Options Market Participants
- Options 2A: MRX Market Maker Rights
- Options 3: Options Trading Rules
- Options 3A: Reserved
- Options 4: Options Listing Rules
- Options 4A: Options Index Rules
- Options 4B: Reserved
- Options 4C: Reserved
- Options 5: Order Protections and Locked and Crossed 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 Nasdaq MRX, LLC → - Second Certificate of Formation
- By-Laws of Nasdaq MRX, LLC
- Limited Liability Company Agreement of Nasdaq MRX, LLC
International Securities Exchange Holdings, Inc. → - Second Amended and Restated Certificate of Incorporation
- Amended and Restated Certificate of Designations
- By-Laws
U.S. Exchange Holdings, Inc. → - Second Amended and Restated By Laws
- Fourth Amended and restated Certificate of Incorporation
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
- Certificate of Amendment Dated July 19, 2022
Additional Information Proposals to change Nasdaq/ISE rules that are incorporated by reference in the MRX rules | | rulebook-rules-nfx NASDAQ Futures Rules 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
Fee Schedule → Table of Contents Preface - I. Transaction Charges
- II. Permit Fee
- III. Regulatory Fee
- Reference Guides & Alerts
- NFX General Reference Guide
- NFX Off-Exchange Transactions Reference Guide
- NFX Error Trade Reference Guide
- NFX TradeGuard PTRM Reference Guide
- NFX TradeGuard Users Guide
- NFX Mass Quote Protection & Self-Match Prevention Reference Guide
- NFX Tailor Made Combinations Reference Guide
- NFX Standard Combination Orders Reference Guide
- NFX Combination & Implied Orders Technical Reference Document
- NFX CAST Authorized Trader Reference Guide
- Futures Trader Alerts
- Futures Regulatory Alerts
- Futures Technical Alerts
| Corporate Organization NASDAQ Futures → - By-Laws
- Certificate of Incorporation
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
| | rulebook-rules-gemxrulebook-rules-gemx Nasdaq GEMX, LLC Rules → General 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 7A: Consolidated Audit Trail Funding Fees
- General 8: Connectivity
- General 9: Reserved
Options Rules → - Options 1: General Provisions
- Options 2: Options Market Participants
- Options 2A: GEMX Market Maker Rights
- Options 3: Options Trading Rules
- Options 3A: Reserved
- Options 4: Options Listing Rules
- Options 4A: Options Index Rules
- Options 4B: Reserved
- Options 4C: Reserved
- Options 5: Order Protections and Locked and Crossed 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 Nasdaq GEMX, LLC → - Amended Certificate of Formation
- By-Laws of Nasdaq GEMX, LLC
- Limited Liability Company Agreement of Nasdaq GEMX, LLC
International Securities Exchange Holdings, Inc. → - Second Amended and Restated Certificate of Incorporation
- Amended and Restated Certificate of Designations
- By-Laws
U.S. Exchange Holdings, Inc. → - Second Amended and Restated By Laws
- Fourth Amended and restated Certificate of Incorporation
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
- Certificate of Amendment Dated July 19, 2022
Additional Information Proposals to change Nasdaq/ISE rules that are incorporated by reference in the GEMX rules | | rulebook-rules-iserulebook-rules-ise Nasdaq ISE, LLC Rules → General 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 7A: Consolidated Audit Trail Funding Fees
- General 8: Connectivity
- General 9: Reserved
Options Rules - Options 1: General Provisions
- Options 2: Options Market Participants
- Options 2A: ISE Market Maker Rights
- Options 3: Options Trading Rules
- Options 3A: FLEX Options Trading Rules
- Options 4: Options Listing Rules
- Options 4A: Options Index Rules
- Options 4B: Reserved
- Options 4C Reserved
- Options 5: Order Protections and Locked and Crossed 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 Nasdaq ISE, LLC - Certificate of Formation
- By-Laws of Nasdaq ISE, LLC
- Limited Liability Company Agreement of Nasdaq ISE, LLC
International Securities Exchange Holdings, Inc. - Third Amended and Restated Certificate of Incorporation
- Amended and Restated Certificate of Designations
- By-Laws
U.S. Exchange Holdings, Inc. - Second Amended and Restated By Laws
- Fourth Amended and restated Certificate of Incorporation
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
- Certificate of Amendment Dated July 19, 2022
Additional Information Proposals to change Nasdaq, CBOE or NYSE rules that are incorporated by reference in the ISE rules | | rulebook-rules-phlxrulebook-rules-phlx Nasdaq PHLX LLC Rules General Equity and Options 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 7A | Consolidated Audit Trail Funding Fees | | General 8 | Connectivity | | General 9 | Regulation | Options Rules → | Options 1 | General Provisions | | Options 2 | Options Market Participants | | Options 2A | Reserved | | Options 3 | Options Trading Rules | | Options 3A | FLEX Options Trading Rules | | Options 4 | Options Listing Rules | | Options 4A | Options Index Rules | | Options 4B | Options on Treasury Securities | | Options 4C | U.S. Dollar-Settled Foreign Currency Options | | 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 Nasdaq PHLX, LLC → - Certificate of Formation
- Certificate of Amendment to Certificate of Formation
- Second Amended Limited Liability Company Agreement
- By-Laws
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
- Certificate of Amendment Dated July 19, 2022
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