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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*: 8/22/2019 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*: 8/22/2019 Mailto Link Identification Number: 1553
Frequently Asked Questions
 How do I submit a complaint with respect to regulatory issues?
Identification Number 1555

Complaints with respect to regulatory issues may be filed at regulationquestions@nasdaq.com

Publication Date*: 8/22/2019 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 PhlxNOM, BX, ISE, GEMX and MRX Rules Options 2, Section 5.

Publication Date*: 4/28/2021 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*: 8/22/2019 Mailto Link Identification Number: 1557
Frequently Asked Questions
 Why did I receive a Report HQ surveillance report, and does the Report HQ indicate a violation of exchange rules?
Identification Number 1558

Nasdaq generates daily Report HQ surveillance reports as a courtesy to supplement a firm’s surveillance of its market maker compliance. Report HQ surveillance reports do not obviate the firm’s obligation to implement its own reasonably designed supervisory system to monitor for compliance.  Exceptions contained in a Report HQ surveillance report may indicate a violation.  Firms will be notified of a potential violation in formal correspondence from Nasdaq Regulation (e.g., an inquiry letter).

Publication Date*: 4/30/2024 Mailto Link Identification Number: 1558
Frequently Asked Questions
 Why is my Report HQ surveillance report blank?
Identification Number 1559

Many Report HQ surveillance reports generate daily regardless of whether an exception exists.  A blank spreadsheet does not necessarily mean that the Firm is complying with its market maker obligations.  A Firm must still implement its own reasonably designed supervisory system to monitor for compliance.

Publication Date*: 4/30/2024 Mailto Link Identification Number: 1559
Frequently Asked Questions
 Who should I contact regarding the Report HQ 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*: 1/25/2023 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*: 8/22/2019 Mailto Link Identification Number: 1561
Frequently Asked Questions
 How do I access the options surveillance report?
Identification Number 1720
Options surveillance reports are accessed via Report HQ.  Members may request access using the Report HQ Request Form.  Once verified and approved, an account will be created by Nasdaq Subscriber Services.  Notification of account creation is provided to the requestor via e-mail (2FA@nasdaq.com) after which the member will be able to log in to Report HQ and upload their public SSH Key(s) for SSH File Transfer Protocol (SFTP or SCP) report delivery.  Members may then test SFTP connectivity to “sftp.reporthq.nasdaq.com” and download a test file from their user directories on the SFTP server.
Publication Date*: 1/7/2020 Mailto Link Identification Number: 1720
Frequently Asked Questions
 Where can I find information in Nasdaq options rules relating to Transfer of Positions?
Identification Number 1790
The rules relating to Trader of Positions for options are PHLX, NOM, BX, ISE, GEMX and MRX Rules Options 6, Section 5.  Also, please refer to Options Regulatory Alert #2021-16.
Publication Date*: 4/30/2024 Mailto Link Identification Number: 1790
Frequently Asked Questions
 Who at Nasdaq should I contact regarding Transfer of Positions for options?
Identification Number 1791
Contact the Nasdaq Floor Surveillance team at 215.496.5295 or NasdaqUSOptions.ExchangeOfficials@nasdaq.com regarding any questions regarding Transfer of Positions for all Nasdaq options exchanges.
Publication Date*: 3/1/2021 Mailto Link Identification Number: 1791
Frequently Asked Questions
 How do I submit a Transfer of Positions for review and approval?
Identification Number 1792
Please submit all request for a transfer of positions to NasdaqUSOptions.ExchangeOfficials@nasdaq.com.  In the request, please provide all the relevant details, such as the type of transfer, transferor and transferee, spreadsheet of positions, any netting of positions, etc.
Publication Date*: 3/1/2021 Mailto Link Identification Number: 1792
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