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    Nasdaq Market Regulation

    U.S. Regulatory Program

    At Nasdaq, our regulatory functions operate independently of Nasdaq’s business units to safeguard the integrity of our markets.

    Drivers in Trading Transformation: Competition

    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
    • 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

    Videos

    The Role of an Exchange

    Role of an Exchange: Protecting Your Brokerage Account
    Oct 26, 2022

    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 Exchanges

    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

    +1 301 978 8203
    hearings@nasdaq.com

    Symbol Reservation Team

    Reserving or changing a symbol for trading on The Nasdaq Stock Market

    +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

    Benjamin Haskell
    Head of U.S. Initial Listings and Structured Products
    +1 301 978 8092
    benjamin.haskell@nasdaq.com

    ETP Listing Services and Sales

    ETP Listings
    Benefits of a Nasdaq Liquidity Programs

    Giang Bui
    Head of U.S. Exchange Traded Products
    +1 516 540 9363
    giang.bui@nasdaq.com

    Office of General Counsel

    ETP Rule Filings

    Jonathan Cayne
    Principal Associate General Counsel
    +1 301 978 8493
    jonathan.cayne@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, and MID reports

    +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

    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 Exchanges

    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

    +1 301 978 8203
    hearings@nasdaq.com

    Symbol Reservation Team

    Reserving or changing a symbol for trading on The Nasdaq Stock Market

    +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

    Benjamin Haskell
    Head of U.S. Initial Listings and Structured Products
    +1 301 978 8092
    benjamin.haskell@nasdaq.com

    ETP Listing Services and Sales

    ETP Listings
    Benefits of a Nasdaq Liquidity Programs

    Giang Bui
    Head of U.S. Exchange Traded Products
    +1 516 540 9363
    giang.bui@nasdaq.com

    Office of General Counsel

    ETP Rule Filings

    Jonathan Cayne
    Principal Associate General Counsel
    +1 301 978 8493
    jonathan.cayne@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, and MID reports

    +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

    For more information on Nasdaq’s regulatory operations, visit:

    Nasdaq Disciplinary Actions

    Exchange Rulebooks

    Investigations & Enforcement

    Listing Center Reference Library

    Listing Review

    Market Surveillance: Equities & Options