NASDAQ Manual - June 2008

Law › Securities

NASDAQ Manual - June 2008

Aspen July 2008

Specifications

ISBN-13
9780808019275
Publisher
Aspen
Publication
July 2008
Format
Paperback
Jurisdiction
U.S. ? Countri(es) for reference only

Details

Stay in Compliance with NASDAQ Requirements!

 

As the official publisher for a dozen exchanges, CCH is recognized as the authority on the complex world of stock and options exchanges. This softcover version of the NASDAQ Manual provides a portable reference to the by-laws, rules and policies governing day-to-day, as well as the regulatory, activities of the Exchange and its members.

Published just after the NASDAQ achieved standalone exchange status, this edition is positioned to have historic reference value for those who need to comply or advise those who trade on the NASDAQ Exchange.

Table of Contents

NASDAQ Corporate Organization

  • The Nasdaq Stock Market LLC
  • The Nasdaq Stock Market, Inc.
  • NASDAQ Options Market LLC

Rules of NASDAQ

  • General Provisions
  • Membership and Registration Rules
  • Conduct Rules
  • Business Conduct

Marketplace Rules

  • The Nasdaq Stock Market
  • Other Nasdaq Markets
  • Other Systems and Programs
  • Charges for Membership, Services, and Equipment

Procedural Rules

  • Investigations and Sanctions
  • Code of Procedure
  • Code of Arbitration Procedure
  • Uniform Practice Code

Options Rules

  • General Provisions
  • Participation
  • Business Conduct
  • Securities Traded on NOM
  • Regulation of Trading on NOM
  • Trading Systems
  • Market Participation
  • Exercises and Deliveries
  • Records, Reports and Audits
  • Discipline and Summary Suspensions
  • Doing Business with the Public
  • Intermarket Linkage Rules

Margin Requirements

Index Rules

Index

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