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Wednesday, September 11, 2019

Equity Regulatory Alert #2019 - 9
Nasdaq BX Regulatory Notice to Members


  • Regulatory

Markets Impacted:

Contact Information:


On July 29, 2019, Nasdaq BX, Inc. (“BX” or “Exchange”) filed a proposal with the Securities and Exchange Commission to incorporate by reference the membership rules and processes of The Nasdaq Stock Market LLC (“Nasdaq”). The Exchange intends for this change to streamline its membership rules and processes while also making them consistent with those of Nasdaq and, ultimately, with the other Nasdaq, Inc. affiliated exchanges. This Alert provides notice to market participants that the new rules will be implemented and effective beginning on September 11, 2019.

Going forward, prospective applicants for Exchange membership or for becoming associated with an Exchange member should utilize the revised application forms, available here.

The rule filing is available for review at the following link: SR-BX-2019-22

Questions regarding these rules should be directed to Susan Murray, Membership Services at (215) 496-5322.

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