Rules

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Home > The Nasdaq Stock Market
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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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  • 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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  • 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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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 10000 Code of Arbitration Procedure
Rule 11000 Uniform Practice Code
  • 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

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
  • 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
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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
  • 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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