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1- 13 of 13
Search Results for:
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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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Results are returned in order of term frequency (i.e., the number of times the keywords appear in the material).
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Libraries:  
FAQs - Market Regulation
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Filters:  
All Years; Options Regulation;
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Identification Number
1552
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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
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Identification Number:
1552
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Identification Number
1553
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Member firms may submit a market condition exemption request here.
Publication Date*:
8/22/2019
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Identification Number:
1553
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Identification Number
1555
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Complaints with respect to regulatory issues may be filed here.
Publication Date*:
8/22/2019
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Identification Number:
1555
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Identification Number
1556
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The rules relating to Nasdaq options exchanges' quoting obligations are Phlx, NOM, BX, ISE, GEMX and MRX Rules Options 2, Section 5.
Publication Date*:
4/28/2021
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Identification Number:
1556
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Identification Number
1557
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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
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Identification Number:
1557
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Identification Number
1558
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Nasdaq generates daily Report HQ surveillance reports to keep firms apprised of their activity. Receipt of a Report HQ 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*:
1/25/2023
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Identification Number:
1558
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Identification Number
1559
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Many Report HQ surveillance reports generate daily regardless of whether an exception exists. If there are no exceptions, the spreadsheet will be blank.
Publication Date*:
1/25/2023
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Identification Number:
1559
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Identification Number
1560
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Identification Number
1561
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Identification Number
1720
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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
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Identification Number:
1720
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Identification Number
1790
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Identification Number
1791
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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
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Identification Number:
1791
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Identification Number
1792
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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
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Identification Number:
1792
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