U.S. Regulatory Program
At Nasdaq, our regulatory functions operate independently of Nasdaq’s business units to safeguard the integrity of our markets.
Nasdaq Operates a Multifaceted Regulatory Program
- Real-time surveillance of 3 equities and 6 options markets
- Post-trade surveillance of those equities and options markets
- Surveillance of Nasdaq PHLX’s trading floor
- Issuer listing and on-going compliance for companies listed on Nasdaq
- Membership application reviews and compliance of firms that trade on our equities and options markets
- Testing of exchange trading systems to confirm alignment with exchange rules
- Investigation and enforcement of potential market violations
The Role of an Exchange
Contact Us
We're here to help. If you need assistance, feel free to contact us.
| Contact | For Questions About | By Phone or Email |
|---|---|---|
| LISTINGS | ||
| Listing Center Support Desk | Problems Logging In and Other Technical Questions | +1 (301) 978-8001 |
| Listing Qualifications | New Company Listings, including Companies Switching from Other Companies Continued Listing, Deficiency Process Rule Interpretation Requests, Corporate Governance Listing of Additional Shares | +1 (301) 978-8008 listingapplications@nasdaq.com continuedlisting@nasdaq.com staffinterpretations@nasdaq.com las@nasdaq.com |
| Hearings Department | Hearing Requests and Process | +1 (202) 912-3160 hearings@nasdaq.com |
| Symbol Reservation Team | Reserving or changing a symbol for trading on The Nasdaq Stock | +1 (212) 231-5530 symbol.reservation@nasdaq.com |
| EXCHANGE TRADED PRODUCTS | ||
| Listing Qualifications - Initial and Continued Listings | ETP Listing Applications (including switches from other exchanges), ETP initial and continued listing standards and processes | Jeremy Brown ETP/Options Senior Manager +1 (267) 418-5246 jeremy.brown@nasdaq.com |
| ETP Listing Services and Sales | ETP Listings Benefits of a Nasdaq Liquidity Programs | Gabby Vennitti Head of ETP Listings +1 (914) 510-3354 gabrielle.vennitti@nasdaq.com |
| Office of General Counsel | ETP Rule Filings | Sun Kim Senior Associate General Counsel +1 (646) 420-7816 sun.kim@nasdaq.com |
| SURVEILLANCE | ||
| MarketWatch | Disclosure of Material News, Company Press Releases, Regulation FD Compliance, Trading Halts | +1 (301) 978-8500 or +1 (800) 537-3929 nasdaqmarketwatch@nasdaq.com |
| SUPPORT SERVICES | ||
| Corporate Communications | General Press and Photo Inquiries | CorporateCommunications@nasdaq.com |
| Corporate Data Operations | Stock Splits/Dividends, Company Reorganizations, Name and Symbol Changes | +1 (203) 926-3501 or +1 (877) 308- 0523 nasdaqreorgs@nasdaq.com |
| Corporate Services | Nasdaq Online, IR Intelligence and Governance Solutions | +1 (844) 375-2626 corporatesolutions@nasdaq.com |
| Finance Customer Response Team | Payments and Invoices | +1 (301) 978-4960 or +1 (800) 955-3898 ndqbilling@nasdaq.com |
| Market Intelligence Desk (MID) | The overall marketplace, real-time quotes, trading analysis | +1 (646) 344-7777 Market.IntelligenceDesk@nasdaq.com |
| Broker-Dealer Membership Services | Applications for membership, Registration requirements, On-going member support | +1 (215) 496-5322 membership@nasdaq.com |