NASDAQ BX
Main  |  Rule Filings  |  Alerts  |  SEC Comments  |  NFX  |  NASDAQ  |  PHLX  |  ISE  |  GEMX  |  MRX  |  Help  |  Search

About the Nasdaq BX Rules

Covers the By-Laws and Rules of Nasdaq BX.

Nasdaq BX, Inc. Rules

 

General Equity and Options Rules

 
General Provisions
 
Organization and Administration
 
Membership and Access
 
Registration Requirements
General 5
 
Discipline
 
Arbitration
 
Consolidated Audit Trail Compliance
 
Connectivity
 
Regulation

Equity Rules

 
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
 
Pricing Schedule
Equity 8
 
Uniform Practice Code
Equity 9
 
Supplementary Conduct Rules
Equity 10
 
BX Venture Market Listing Rules
 
Disruptive Quoting and Trading Activity Prohibited
 
Special Products
 
Responsibilities to Other Brokers or Dealers
 
Business Conduct
 
Responsibilities Relating to Associated Persons, Employees, and Others' Employees
 
Listing and Trading on the Exchange
 
BX Venture Market LISTING RULES
 
Other Systems and Programs
 
Order Audit Trail Series
 
Investigations and Sanctions
 
Code of Procedure
 
Uniform Practice Code

 

 

Options Rules

 
General Provisions
 
Options Market Participants
 
Options Participation
 
Options Trading Rules
 
Options Listing Rules
 
Options Index Rules
 
Order Protection and Locked and Cross Markets
 
Options Trade Administration
 
Closing Transactions
 
Exercises and Deliveries
 
Margins
 
Net Capital Requirements
 
Records, Reports and Audits
 
Pricing Schedule
Options 8
 
Reserved
 
Business Conduct
 
Doing Business with the Public
 
Minor Rule Plan Violations

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.
 
  Copyright © 2019 Nasdaq, Inc. All rights reserved.    Back to Top | Print this Page