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Monday, March 24, 2008

Options Regulatory Alert #2008 - 1
Firms should Update CRD Records to Include NASDAQ for Options Market Participation

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Options Contacts

What you need to know:

  • The rules for NASDAQ’s Options Market have been approved and the exchange will begin operation Monday, March 31, 2008.
  • Firms should submit U4 amendments through WebCRD to update their records to reflect the inclusion of The NASDAQ Options Market.

Who you should contact:

NASDAQ OMX Market Sales at 800.846.0477

When will the NASDAQ Options Market begin operation?

As announced in Options Trader Alert 2008-001, The NASDAQ Options MarketSM rules were approved by the Securities and Exchange Commission (SEC). The NASDAQ Options Market will begin operation on Monday, March 31, 2008.

What do I need to do?

Firms should now update Central Registration Depository (CRD) records by submitting U4 amendments through WebCRD to reflect the inclusion of The NASDAQ Options Market. Amendments should be submitted for associated persons that fall within the new NASDAQ recognized registration category — the Series 4 Options Principal (OP) by Monday, March 31, 2008.

Who should I contact for more information?

Questions regarding Web CRD matters may be directed to:

Questions regarding The NASDAQ Options Market may be directed to:


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