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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 here

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 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*: 8/22/2019 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*: 8/22/2019 Mailto Link Identification Number: 1559
Frequently Asked Questions
 Who should I contact 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*: 8/22/2019 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 the following ORA, http://www.nasdaqtrader.com/MicroNews.aspx?id=ORA2021-16
Publication Date*: 3/1/2021 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
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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