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1- 12 of 12
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Ordering of Search Results
When searching across multiple libraries:
FAQs will appear in alphabetical order by category and sub-category
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Staff Interpretations will appear in reverse chronological order by year
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Libraries:
FAQs - Market Regulation
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Filters:
All Years; Membership;
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Identification Number
1545
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All Nasdaq members are required to submit their Annual Audited Financials through the FINRA Portal. Refer to the following instructions: Annual
Audit Automation. Submission through the FINRA Portal satisfies the reporting requirements for all Nasdaq exchanges.
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Publication Date*:
8/22/2019
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Identification Number:
1545
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Identification Number
1546
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Identification Number
1547
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Yes. Nasdaq member organizations are required by rule to register all representatives with any of the Nasdaq exchanges on which it is an approved member. The relevant rule is
Nasdaq Rule 1.1210.
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Publication Date*:
8/22/2019
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Identification Number:
1547
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Identification Number
1548
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Nasdaq exchanges require an associated person of a member organization who holds the title of Chief Compliance Officer to successfully complete the Series 24 qualification exam. Alternatively, Nasdaq may accept the Series
14 in certain circumstances where the individual’s responsibilities are limited. See
Nasdaq Rule 1.1220.
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Publication Date*:
8/22/2019
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Identification Number:
1548
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Identification Number
1562
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Nasdaq rules require that all broker dealer members provide an NSCC clearing account number for purposes of collecting, via direct debit, exchange fees.
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Publication Date*:
8/22/2019
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Identification Number:
1562
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Identification Number
1563
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NQX members are required to file, via WebCRD, a full or partial broker dealer withdraw (BDW) removing NQX which begins the 30 day process of termination. Thirty days from the date of the BDW filing, the membership will be terminated and you will receive
written confirmation for your records.
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Publication Date*:
8/22/2019
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Identification Number:
1563
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Identification Number
1564
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BX members are required to file, via WebCRD, a full or partial broker dealer withdraw (BDW) removing BX which begins the 30 day process of termination. Thirty days from the date of the BDW filing, the membership will be terminated and you will receive
written confirmation for your records.
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Publication Date*:
8/22/2019
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Identification Number:
1564
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Identification Number
1565
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Members wishing to withdraw from options participation on any of the Nasdaq options exchanges should email a request for termination to
membership@nasdaq.com. This request should specify from which market the member wishes to terminate and the date of anticipated effectiveness. Most options terminations will be processed
in approximately three business days.
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Publication Date*:
8/22/2019
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Identification Number:
1565
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Identification Number
1566
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Members wishing to withdraw from options participation on any of the Nasdaq options exchanges should email a request for termination to
membership@nasdaq.com. This request should specify from which market the member wishes to terminate and the date of anticipated effectiveness. Most options terminations will be processed
in approximately three business days.
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Publication Date*:
8/22/2019
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Identification Number:
1566
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Identification Number
1567
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No. If a broker dealer is approved or terminates mid-month, they will be assessed the total fee for that month.
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Publication Date*:
8/22/2019
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Identification Number:
1567
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Identification Number
1608
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Broker dealers designated to PHLX for regulatory responsibility are required to submit written notification of a change in business operation at least 10 business days prior to the change pursuant to PHLX
Rule 610. Written notice should be submitted to the Nasdaq Membership Department at
membership@nasdaq.com.
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Publication Date*:
8/22/2019
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Identification Number:
1608
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Identification Number
1714
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Members of PHLX (see
Rule 603) and/or ISE (see
Rule Options 9, Section 3) are required to disclose office sharing arrangements to the Membership Department for consideration. The following information should be submitted to
membership@nasdaq.com: name and description of businesses being conducted; blueprints of space identifying barriers and common areas; what, if any, communication lines are shared; and information barrier procedures
specific to shared space. Upon receipt, the Department will review to determine whether the arrangement is acceptable provided that it does not appear to mislead the public.
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Publication Date*:
8/22/2019
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Identification Number:
1714
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