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NASDAQ Manual - June 2008

NASDAQ Manual - June 2008

NASDAQ Manual - June 2008

Publisher: Aspen
ISBN: 9780808019275
Published In: July 2008
Format: Paperback
Jurisdiction: U.S. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Description
Contents

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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.

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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