NASDAQ BX
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About the Nasdaq BX Rules

Covers the By-Laws and Rules of Nasdaq BX.

Rules of Nasdaq BX

Equity Rules

 
General Provisions
 
Membership, Registration and Qualification Requirements
 
Business Conduct
 
Business Conduct
 
Responsibilities Relating to Associated Persons, Employees, and Others' Employees
 
Listing and Trading on the Exchange
 
Financial and Operational Rules
 
BX Venture Market LISTING RULES
 
Supplementary Conduct Rules
 
Other Systems and Programs
 
Order Audit Trail Series
 
Investigations and Sanctions
 
Code of Procedure
 
Uniform Practice Code

Options Rules

 

General Provisions

 
Participation
 
Business Conduct
 
Securities Traded on BX Options
 
Regulation of Trading on BX Options
 
Trading Systems
 
Market Participants
 
Exercises and Deliveries
 
Records, Reports and Audits
 
Discipline and Summary Suspensions
 
Doing Business with the Public
 
Options Order Protection and Locked
and Crossed Market Rules
 
Margin Requirements
 
Index Rules

Nasdaq BX, Inc. Rules

General Equity and Options Rules

General 1
 
General Provisions
General 2
 
Organization and Administration
General 3
 
Membership and Access
General 4
 
Regulation
General 5
 
Discipline
 
Arbitration
 
Consolidated Audit Trail Compliance
 
Connectivity

 

Equity Rules

Equity 1
 
Equity Definitions
Equity 2
 
Equity Trading Rules
Equity 3
 
Equity Market Participants
Equity 4
 
Reserved
Equity 5
 
Order Audit Trail Services
Equity 6
 
Limit Up-Limit Down
 
Pricing Schedule
Equity 8
 
Uniform Practice Code
Equity 9
 
Supplementary Conduct Rules
Equity 10
 
Reserved
Equity 11
 
BX Venture Market Listing Rules

Options Rules

Options 1
 
Options Definitions
Options 2
 
Options Trading Rules
Options 3
 
Options Market Participants
Options 4
 
Options Listing Rules
Options 5
 
Options Trade Administration
Options 6
 
Order Protection and Locked and Cross Markets
 
Pricing Schedule
Options 8
 
Reserved
Options 9
 
Reserved

Nasdaq BX Corporate Organization

Nasdaq BX, Inc.

Nasdaq, Inc.

Boston Stock Exchange Clearing Corporation

BSECC Rules

Additional Information

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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