NASDAQ Manual Online

NASDAQ Rules

Equity Rules

• Rule 0100 Series:General Provisions
• Rule 1000 Series:Membership and Registration Rules
• Rule 2000 Series:Conduct Rules
• Rule 3000 Series: Responsibilities Relating to Associated Persons, Employees, and Others' Employees
• Rule 4000 Series: Marketplace Rules
• Selected Rule 4000 Series:Marketplace Rules - Listed Companies Only
• Rule 5000 Series: Other NASDAQ Markets
• Rule 6000 Series: Other Systems and Programs
• Rule 7000 Series: Charges for Membership, Services, and Equipment
• Rule 8000 Series: NASDAQ Procedural Rules
• Rule 9000 Series: Code of Procedure
• Rule 10000 Series: Code of Arbitration Procedure
• Rule 11000 Series: NASDAQ Uniform Practice Code

Options Rules

• Chapter I:General Provisions
• Chapter II:Participation
• Chapter III:Business Conduct
• Chapter IV:Securities Traded on NOM
• Chapter V:Regulation Of Trading on NOM
• Chapter VI:Trading Systems
• Chapter VII:Market Participants
• Chapter VIII:Exercises and Deliveries
• Chapter IX:Records, Reports and Audits
• Chapter X:Discipline and Summary Suspensions
• Chapter XI:Doing Businesss with the Public
• Chapter XII:Intermarket Linkage Rules
• Chapter XIII:Margin Requirements
• Chapter XIV:Index Rules

Additional Information

• Rule Filings
• Rule Filing Status Report
• SEC Requests for Comments
• NASDAQ Rulemaking Process
• Proposals to Change NASD Rules That Are Incorporated by Reference in NASDAQ Rules