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Libraries:   FAQs - Market Regulation
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Frequently Asked Questions
  Who at Nasdaq should be contacted with respect to market condition exemptions regarding quoting and quote spread relief?
Identification Number 1552

Contact the Nasdaq Floor Surveillance team regarding market condition exemption questions for all Nasdaq options exchanges at 215.496.5295 or email NasdaqUSoptions.Exchangeofficials@nasdaq.com.

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1552
Frequently Asked Questions
  How do I request an exemption from quote spread or quoting obligation rules?
Identification Number 1553

Member firms may submit a market condition exemption request here.

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1553
Frequently Asked Questions
  How do I submit a complaint with respect to regulatory issues?
Identification Number 1555

Complaints respecting regulatory issues may be filed here.

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1555
Frequently Asked Questions
  What are the Nasdaq options rules relating to quoting obligations?
Identification Number 1556

The rules relating to Nasdaq options exchanges' quoting obligations are NOM / BX Options Chapter VII, Section 6; BX Options Chapter VII, Section 15; PHLX Rule 1014; and ISE / GEMX and MRX Rule 804.

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1556
Frequently Asked Questions
  Who at Nasdaq should I contact regarding options market maker quoting obligations?
Identification Number 1557

Contact the Nasdaq Options Review Team regarding quoting obligation questions for all Nasdaq options exchanges via email at DL-PostTradeSurv@nasdaq.com.

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1557
Frequently Asked Questions
  Why did I receive a File Transfer Protocol (FTP) surveillance report, and does the FTP surveillance report indicate a violation of exchange rules?
Identification Number 1558

Nasdaq generates daily FTP surveillance reports to keep firms apprised of their activity. Receipt of an FTP surveillance report does not indicate a violation. Moreover, firms will be notified of a potential violation in formal correspondence (e.g., an inquiry letter).

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1558
Frequently Asked Questions
  Why is my File Transfer Protocol (FTP) surveillance report blank?
Identification Number 1559

Many FTP surveillance reports generate daily regardless of whether or not an exception exists. If there are no exceptions, the spreadsheet will be blank.

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1559
Frequently Asked Questions
  Who should I be contacting regarding the File Transfer Protocol (FTP) surveillance report or surveillance correspondence that I've received from the Exchange?
Identification Number 1560

Contact the Post-trade Surveillance team via email at DL-PostTradeSurv@nasdaq.com.

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1560
Frequently Asked Questions
  Who at Nasdaq should I contact regarding general questions about surveillance patterns?
Identification Number 1561

Contact the Post-trade Surveillance team via email at DL-PostTradeSurv@nasdaq.com.

Publication Date*: 6/26/2018 Mailto Link Identification Number: 1561
material_search_footer*The Publication Date reflects the date of first inclusion in the Reference Library, which was launched on July 31, 2012, or a subsequent update to the material. Material may have been previously available on a different Nasdaq web site.
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