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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
Supplementary Conduct Rules
Other Systems and Programs
Charges for Membership, Services, and Equipment
Investigations and Sanctions
Code of Procedure
Code of Arbitration Procedure
Uniform Practice Code

Options Rules


General Provisions

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
Options Pricing

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
General 5
General 6
Consolidated Audit Trail Compliance


Equity Rules

Equity 1
Equity Definitions
Equity 2
Equity Trading Rules
Equity 3
Equity Market Participants
Equity 4
Equity Listing Rules
Equity 5
Order Audit Trail Services
Equity 6
Limit Up-Limit Down
Equity 7
Pricing Schedule
Equity 8
Uniform Practice Code
Equity 9
Supplementary Conduct Rules
Equity 10
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
Options 7
Pricing Schedule
Options 8
Options 9

Nasdaq BX Corporate Organization

Nasdaq BX, Inc.

Nasdaq, Inc.

Boston Stock Exchange Clearing Corporation


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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