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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*:
4/23/2021
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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-affiliated exchanges on which it is an approved member. The relevant rule is Nasdaq Rule 1.1210 (contained within Nasdaq General 4, Section 1).
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Publication Date*:
4/28/2021
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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 (contained within Nasdaq General 4, Section 1).
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Publication Date*:
1/7/2020
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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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Members wishing to withdraw from a Nasdaq-affiliated exchange (NQX, BX, PHLX, ISE, GEMX, MRX) should file, via WebCRD, a full or partial broker dealer withdraw (BDW) removing the relevant exchange from its registration and subsequently sending an email to membership@nasdaq.com. The email should specify from which market the member wishes to terminate and the date of anticipated effectiveness. Most terminations will be processed in approximately three business days.
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Publication Date*:
4/28/2021
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Identification Number:
1563
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Identification Number
1565
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Members wishing to make adjustments to their participation status on any of the Nasdaq-affiliated exchanges should email a request to membership@nasdaq.com. This request should specify the desired change and the date of anticipated effectiveness. Most requests will be processed in approximately three business days.
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Publication Date*:
4/28/2021
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Identification Number:
1565
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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*:
4/28/2021
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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 General 9, Section 59. Written notice should be submitted to the Nasdaq Membership Department at membership@nasdaq.com.
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Publication Date*:
4/28/2021
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Identification Number:
1608
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Identification Number
1714
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Members of PHLX (see Rule General 9, Section 57) 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*:
4/28/2021
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Identification Number:
1714
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Identification Number
1721
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Broker Dealers who have questions or require assistance related to FINRA CAT may contact the FINRA CAT Helpdesk at 888-696-3348 or via email at help@finracat.com.
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Publication Date*:
1/14/2020
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Identification Number:
1721
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Identification Number
1722
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Yes. Broker dealers who wish to participate on NOM must be approved members of the Nasdaq SRO.
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Publication Date*:
1/14/2020
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Identification Number:
1722
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Identification Number
1723
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Yes. Broker dealers who wish to participate on BXO must be approved members of the Nasdaq BX SRO.
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Publication Date*:
1/14/2020
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Identification Number:
1723
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Identification Number
1724
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Yes. Broker dealers who wish to participate on PSX must be approved members of the Nasdaq PHLX SRO.
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Publication Date*:
1/14/2020
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Identification Number:
1724
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Identification Number
1725
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In order to qualify as a member on any U.S. based Nasdaq SRO, your organization must be registered as a U.S. broker dealer with the U.S. Securities and Exchange Commission.
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Publication Date*:
1/14/2020
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Identification Number:
1725
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Identification Number
1726
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Yes, a clearing firm must be an approved member on each of the Nasdaq-affiliated exchanges for which they offer clearing services.
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Publication Date*:
4/28/2021
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Identification Number:
1726
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