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The Nasdaq Stock Market LLC recently filed a rule change to relocate its rules into a new Rulebook Shell that is pending publication by the SEC. For ease of reference in locating the rules of this market, below is a guide.
General 2: Organization and Administration
Proposed Shell Rule Number | Current Rule Number
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| Section 22 | Rule 4615. Sponsored Participants |
General 3: Membership and Access
The Exchange will relocate Membership Rules 1001, 1002, 1010, 1011, 1012, 1013, 1014, 1015, 1016, 1017, 1018 and 1019 into General 3, and retain the current rule numbering.
General 9: Regulation
Proposed Shell Rule Number | Current Rule Number
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| Section 53 | Rule 2170. Disruptive Quoting and Trading Activity Prohibited |
| Section 71 | Rule 4570. Custodian of Books and Records |
Equity 2: Equity Market Participants
Proposed Shell Rule Number | Current Rule Number
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| Section 1 | 4601. Scope |
| Section 2 | 4200. Definitions |
| Section 3 | 4611. Nasdaq Market Center Participant Registration |
| Section 4 | 4612. Registration as a Nasdaq Market Maker |
| Section 5 | 4613. Market Maker Obligations |
| Section 6 | 4614. Stabilizing Bids |
| Section 7 | 4616. Reports |
| Section 8 | 4617. Normal Business Hours |
| Section 9 | 4618. Clearance and Settlement |
| Section 10 | 4619. Withdrawal of Quotations and Passive Market Making |
| Section 11 | 4620. Voluntary Termination of Registration |
| Section 12 | 4621. Suspension and Termination of Quotations |
| Section 13 | 4622. Termination of Nasdaq Service |
| Section 14 | 4623. Alternative Trading Systems |
| Section 15 | 4624. Penalty Bids and Syndicate Covering Transactions |
| Section 16 | 4625. Obligation to Provide Information |
| Section 17 | 4626. Limitation of Liability |
| Section 18 | 4627. Obligation to Honor System Trades |
| Section 19 | 4628. Compliance with Rules and Registration Requirements |
| Section 20 | 4631. Customer Disclosures |
Equity 4: Equity Trading Rules
The Exchange will relocate Rules 4110, 4120, 4121, 4370, 4702, 4703, 4752, 4753, 4754, 4756, 4757, 4758, 4759, 4760, 4761, 4762, 4763, and 4770 into Equity 4, and retain the current rule numbers.
Equity 6: Nasdaq Risk Management Service; Other Systems and Programs
| Proposed Shell Rule Number | Current Rule Number
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| Section 1 | 6110. Definitions |
| Section 2 | 6120. System Functions |
| Section 3 | 6130. Nasdaq Kill Switch |
| Section 4 | 6200. Exchange Sharing of Participant Risk Settings |
| Section 5 | IM-6200-1. Risk Settings |
| Section 6 | 6300. Nasdaq Equity Value Indicator Cross |
Equity 8: Trading of Non-Convertible Bonds Listed on Nasdaq
| Proposed Shell Rule Number | Current Rule Number
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| Section 1 | Rule 4000B. Trading of Non-Convertible Bonds Listed on Nasdaq |
Equity 9: Business Conduct
Proposed Shell Rule Number | Current Rule Number
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| Section 1 | 3220. Adjustment of Open Orders |
| Section 2 | 3230. Clearing Agreements |
| Section 3 | 3310. Publication of Transactions and Quotations |
| Section 4 | IM-3310. Manipulative and Deceptive Quotations |
| Section 5 | 3320. Offers at Stated Prices |
| Section 6 | 3340. Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts |
| Section 7 | 3350. Suspension of Trading |
| Section 8 | 3351. Trading Practices |
| Section 9 | 3360. Short-Interest Reporting |
| Section 10 | 3370. Prompt Receipt and Delivery of Securities |
| Section 11 | 3380. Order Entry and Execution Practices |
| Section 12 | 3381. SEC Rule 19c-1 — Governing Certain Off-Board Agency Transactions by Members of National Securities Exchanges |
| Section 13 | 3385. SEC Rule 19c-3 — Governing Off-Board Trading by Members of National Securities Exchanges |
| Section 14 | 3390. SEC Rule 604 — Display of Customer Limit Orders |
Equity 10: Other Products and Securities
| Proposed Shell Rule Number | Current Rule Number
|
| Section 1 | 2310A. Direct Participation Programs |
| Section 2 | 2830. Investment Company Securities |
| Section 3 | 2840. Trading in Index Warrants, Currency Index Warrants, and Currency Warrants
2841. General
2842. Definitions
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| Section 4 | 2850. Position Limits |
| Section 5 | 2851. Exercise Limits |
| Section 6 | 2852. Reporting Requirements |
| Section 7 | 2853. Liquidation of Index Warrant Positions |
| Section 8 | 4630. Trading in Commodity-Related Securities |
Equity 11: Uniform Practice Code
The Exchange will relocate the current Rule 11000 Series into Equity 11, and retain the current rule numbers.
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