Rules | Nasdaq MRX

Home
Listing - US
- Listing Information
  
  Continued Listing Guide
  Initial Listing Guide
  Listing Exchange Traded Products
  Listing of Additional Shares Guide
  Listing on Nasdaq
  Preview Applications and Forms
  Required Notifications
  Symbol Reservation Requests
  
  Reference Library
  
  Library Quick Start Guide
  FAQs - Listings
  Listing Council Decisions
  Staff Interpretation Letters
  Search Library
  
  Investor Information
  
  FINRA Investor Complaint Center
  Issues Pending Suspension or Delisting
  Nasdaq.com
  Noncompliant Companies
  Penny Stock List
  
  Other Online Resources
  
  Contact Us
  Electronic Disclosure
  Governance News + Insights
  Listing Rules
  Nasdaq Trader
  Rules and Regulation
  Rulebook Advanced Search
Market Regulation - US
- Regulatory Information
  
  Investigations and Enforcement
  
  Reference Library
  
  Library Quick Start Guide
  FAQs - Market Regulation
  Search Library
  
  Other Online Resources
  
  Contact Us
  Nasdaq Trader
  Rule Manuals
  BSECC
  BX
  GEMX
  ISE
  MRX
  Nasdaq
  PHLX
  Rulebook Advanced Search
  
  .
  
  Disciplinary Actions
  Industry Regulators
  SEC
  FINRA
  CFTC
  NFA
Listing - Nordics
- Listing Resources
  
  Quick Start Guide
  Going Public - Listing on First North Growth Market
  Frequently Asked Questions
  Preview Applications and Forms
  Rules and Regulations
  Symbol Reservation Requests
  
  Contact Us

rulebook-banner

Rulebook - Nasdaq MRX

Search in

Home > Nasdaq MRX

Rulebook | Rule Filings | Advanced Search

rulebook-rules-nasdaq

rulebook-rules-mrxrulebook-rules-mrx

Nasdaq MRX, LLC Rules

General Rules →

General 1: General Provisions
General 2: Organization and Administration
General 3: Membership and Access
General 4: Registration Requirements
General 5: Discipline
General 6: Arbitration
General 7: Consolidated Audit Trail Compliance
General 7A: Consolidated Audit Trail Funding Fees
General 8: Connectivity
General 9: Reserved

Options Rules →

Options 1: General Provisions
Options 2: Options Market Participants
Options 2A: MRX Market Maker Rights
Options 3: Options Trading Rules
Options 3A: Reserved
Options 4: Options Listing Rules
Options 4A: Options Index Rules
Options 4B: Reserved
Options 4C: Reserved
Options 5: Order Protections and Locked and Crossed Markets
Options 6: Options Trade Administration
Options 6A: Closing Transactions
Options 6B: Exercises and Deliveries
Options 6C: Margins
Options 6D: Net Capital Requirements
Options 6E: Records, Reports and Audits
Options 7: Pricing Schedule
Options 8: Reserved
Options 9: Business Conduct
Options 10: Doing Business with the Public
Options 11: Minor Rule Plan Violations

Corporate Organization

Nasdaq MRX, LLC →

International Securities Exchange Holdings, Inc. →

U.S. Exchange Holdings, Inc. →

Nasdaq, Inc. →

Certificate of Incorporation
Certificate of Designation of Series A Convertible Preferred Stock of THE NASDAQ OMX Group, Inc.
Certificate of Elimination of the Series A Convertible Preferred Stock of THE NASDAQ OMX Group, Inc.
Certificate of Amendment Dated September 8, 2015
Certificate of Amendment Dated November 17, 2014
By-Laws
Certificate of Amendment Dated July 19, 2022

Additional Information

Proposals to change Nasdaq/ISE rules that are incorporated by reference in the MRX rules

rulebook-rules-nfx

rulebook-rules-gemxrulebook-rules-gemx

rulebook-rules-iserulebook-rules-ise

rulebook-rules-phlxrulebook-rules-phlx

rulebook-rules-bxrulebook-rules-bx

Nasdaq BX, Inc. Rules

General Equity and Options Rules →

General 1	General Provisions
General 2	Organization and Administration
General 3	Membership and Access
General 4	Registration Requirements
General 5	Discipline
General 6	Arbitration
General 7	Consolidated Audit Trail Compliance
General 7A	Consolidated Audit Trail Funding Fees
General 8	Connectivity
General 9	Regulation

Equity Rules →

Equity 1	Equity Definitions
Equity 2	Market Participants
Equity 3	BX Venture Market Listing Rules
Equity 3A	Other Listing Rules and Rules Regarding Unlisted Trading Privileges
Equity 4	Equity Trading Rules
Equity 5	Reserved
Equity 6	BX Risk Management Service; Other Systems and Programs
Equity 7	Pricing Schedule
Equity 8	Reserved
Equity 8A	Reserved
Equity 9	Business Conduct
Equity 10	Other Products and Securities
Equity 11	Uniform Practice Code

Nasdaq BX, Inc. Rules (continued)

Options Rules →

Options 1	General Provisions
Options 2	Options Market Participants
Options 2A	Options Participation
Options 3	Options Trading Rules
Options 3A	Reserved
Options 4	Options Listing Rules
Options 4A	Options Index Rules
Options 4B	Reserved
Options 4C	Reserved
Options 5	Order Protection and Locked Cross Markets
Options 6	Options Trade Administration
Options 6A	Closing Transactions
Options 6B	Exercises and Deliveries
Options 6C	Margins
Options 6D	Net Capital Requirements
Options 6E	Records, Reports and Audits
Options 7	Pricing Schedule
Options 8	Reserved
Options 9	Business Conduct
Options 10	Doing Business with the Public
Options 11	Minor Rule Plan Violations

Corporate Organization

Nasdaq BX, LLC →

Certificate of Incorporation
Certificate of Amendment to Certificate of Incorporation
Certificate of Amendment of Certificate of Incorporation of NASDAQ OMX BX, Inc.
By-Laws

Nasdaq, Inc. →

Certificate of Incorporation
Certificate of Designation of Series A Convertible Preferred Stock of THE NASDAQ OMX Group, Inc.
Certificate of Elimination of the Series A Convertible Preferred Stock of THE NASDAQ OMX Group, Inc.
Certificate of Amendment Dated September 8, 2015
Certificate of Amendment Dated November 17, 2014
By-Laws
Certificate of Amendment Dated July 19, 2022

ADDITIONAL INFORMATION

Until May 14, 2012, Boston Options Exchange (BOX) was regulated as a facility of NASDAQ BX (fka NASDAQ OMX BX). BOX is now operated as a separate self-regulatory organization. NASDAQ BX does not have an ownership interest in BOX.

rulebook-rules-bseccrulebook-rules-bsecc

BSE Clearing Corporation Rules

Equity Rules →

RULE I	MEMBERSHIP
RULE II	CLEARING FUND
RULE III	SERVICES
RULE IV	CONDUCT OF BUSINESS
RULE V	CHARGES FOR SERVICES
RULE VI	AUDITS AND FINANCIAL REPORTS
RULE VII	[RESERVED FOR FUTURE USE]
RULE VIII	[RESERVED FOR FUTURE USE]
RULE IX	TERMINATION AND SUSPENSION OF MEMBERSHIP
RULE X	INSOLVENCY
RULE XI	DISCIPLINE AND DENIAL OF ACCESS
RULE XII	MISCELLANEOUS

Corporate Organization

Boston Stock Exchange Clearing Corporation →

Articles of Organization
By-Laws

Nasdaq, Inc. →

Certificate of Incorporation
Certificate of Designation of Series A Convertible Preferred Stock of THE NASDAQ OMX Group, Inc.
Certificate of Elimination of the Series A Convertible Preferred Stock of THE NASDAQ OMX Group, Inc.
Certificate of Amendment Dated September 8, 2015
Certificate of Amendment Dated November 17, 2014
By-Laws
Certificate of Amendment Dated July 19, 2022

rulebook-rules-sccprulebook-rules-sccp

Stock Clearing Corporation of Philadelphia Rules

Rules →

Rule 1.	Definitions
Rule 2.	Membership Application and Requirements
Rule 3.	Participants' Qualifications
Rule 4.	Participants Fund
Rule 5.	Operating Requirements
Rule 6.	Audits and Financial Reports
Rule 7.	Dividends
Rule 8.	Reserved.
Rule 9.	Margin Accounts
Rule 10.	RIO Accounts
Rule 11.	Ex-Clearing Accounts
Rule 12.	Lien on Securities in Accounts
Rule 13.	Buy-In
Rule 14.	Marking to Market
Rule 15.	Discretionary Termination
Rule 16.	Mandatory Termination
Rule 17.	Insolvency
Rule 18.	Reinstatement
Rule 19.	Suspension of Rules or Extension of Time
Rule 20.	Statements
Rule 21.	Bills Rendered
Rule 22.	Disciplinary Proceedings and Penalties
Rule 23.	Right of Appeal
Rule 24.	Miscellaneous Services
Rule 25.	Late Charge
Rule 26.	Receipt and Release of Trade and Clearing Data with Self-Regulatory Agencies, Clearing Agencies, and/or Service Bureaus
Rule 27.	Insurance
Rule 28.	Financial Reports
Rule 29.	Standard of Care
Rule 30.	Admission to Premises
Rule 31.	Forms
Rule 32.	Business Days
Rule 33.	Facsimile Signatures
Rule 34.	Procedures
Rule 35.	Delegation
Rule 36.	Instruments with Exercise Privileges
Rule 37.	UCC Article 8 Applicability
Rule 38.	Captions

Corporate Organization

Stock Clearing Corporation of Philadelphia

By-Laws

Nasdaq, Inc. →

Certificate of Incorporation
Certificate of Designation of Series A Convertible Preferred Stock of THE NASDAQ OMX Group, Inc.
Certificate of Elimination of the Series A Convertible Preferred Stock of THE NASDAQ OMX Group, Inc.
Certificate of Amendment Dated September 8, 2015
Certificate of Amendment Dated November 17, 2014
By-Laws
Certificate of Amendment Dated July 19, 2022

home_footer_links

Nasdaq
What is Nasdaq?
Newsroom
Investor Relations
Careers

Public Policy Advocacy
On the Issues
Nasdaq Filings
Economic Signals

Corporate Solutions
Intelligence
Communications
Governance
Visibility

Related Links
Issuer Alerts
Listing Rules/Rule Filings
MarketWatch Electronic Disclosure
Nasdaq Online
Symbol Reservation

Copyright_statement

The Nasdaq Stock Market, Nasdaq, The Nasdaq Global Select Market, The Nasdaq Global Market, The Nasdaq Capital Market, ExACT and Exchange Analysis and Compliance Tracking system are trademarks of Nasdaq, Inc.
FINRA^® and Financial Industry Regulatory Authority, Inc.^® are registered trademarks of Financial Industry Regulatory Authority, Inc.

My Nasdaq Analyst

My Nasdaq Analyst