The NASDAQ Stock Market: Trading and Operations

NASDAQ Rule Filings (Except Listed Companies)

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Contacts: The NASDAQ Market Center

The NASDAQ Stock Market LLC

Certificate of Formation

Limited Liability Company Agreement

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NASDAQ's Corporate Governance

NASDAQ Certificate of Incorporation

Amendment to NASDAQ Certificate of Incorporation (May 25, 2005)

Letter to SEC Chairman Donaldson (May 9, 2003)

Report Regarding NASDAQ's Corporate Governance (May 6, 2003)

Corporate Governance Guidelines

NASDAQ Board of Directors Code of Conduct

NASDAQ Code of Ethics

Procedures for Communicating with the NASDAQ Board of Directors

Blue Sky Exemption Petition

SEC Approval Order - The SEC approved a modification to Securities Act Rule 146 to designate securities listed on The NASDAQ Capital Market as "covered" securities, which makes them exempt from state "blue sky" registration requirements. The Order will be effective May 24, 2007.(April 18, 2007)

SEC Proposed Rulemaking to designate certain securities listed on NASDAQ as covered securities for purposes of Section 18 of the Securities Act. (November 16, 2006)

NASDAQ's Petition to the Securities & Exchange Commission to Designate Securities Listed on The NASDAQ Capital Market as Covered Securities under the Securities Act of 1933, so that the securities would be eligible for a “blue sky” exemption. (February 28, 2006)

The Nasdaq Stock Market, Inc. - Historical Rule Filings
(For Reference Use Only)

NASDAQ Rule Filings: Listed Companies

NASDAQ Rule Filings (Except Listed Companies)

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brokers and/or alleged fraudulent activity

Listing On NASDAQ