NASDAQ Subscriber Agreements and Forms

Overview

Below are agreements and forms needed to subscribe to NASDAQ trading-related services and the Secure Data and Secure Services sections of this website. Specific instructions on how to subscribe to each product or service, including which agreements and forms you need, are found on the individual Products and Services pages.

All NASDAQ agreements and forms are available in Portable Document Format (.PDF) or web format. To view and print PDF documents, you need the Adobe Reader software.

Subscribers (as defined in the NASDAQ OMX U.S. Services Agreement) must use the relevant request forms when providing written notification to NASDAQ OMX for requesting new services canceling existing services, or changing existing services.



General Agreements and Forms

NASDAQ OMX U.S. Services Agreement

Application for Registration as a Market Maker on the NASDAQ System

NASDAQ Retail Member Organization Application (RMO) Form

Designated Retail Order Attestation Form


Service Bureaus Forms & Agreements

Service Bureau Agreement

Service Bureau Addendum to the NASDAQ OMX U.S. Services Agreement

Options Maintenance Tool (OMT) Service Bureau Agreement

Requirements Document for Service Bureau Subscribers (Software Description)

Certified Partners Program Registration Form

Uniform Trade Reporting Facility Service Bureau/Executing Broker Agreement


FINRA/NASDAQ TRF Agreements

NASDAQ OMX U.S. Services Agreement - Give-Up Addendum

NASDAQ OMX U.S. Services Agreement - Order Delivery Subscriber Addendum

NASDAQ Services Agreement - Non-Member FINRA/NASDAQ Trade Reporting FacilityTM Addendum (for CDS Members)

Uniform Trade Reporting Facility Service Bureau/Executing Broker Agreement

Explicit Fee Agreement

Sales Fee Transfer Agreement


Confidentiality Agreements

Standard Confidentiality and Non-Disclosure Agreement

Mutual Confidentiality and Non-Disclosure Agreement

NASDAQ Monthly Volume Confidentiality Release Agreement


Port Request Forms

NASDAQ Equities Port Request Form

BX Equities Port Request Form

PSX Equities Port Request Form

BX Options Port Request Form

NASDAQ Options Market Port Request Form

PHLX Port Request Form

NASDAQ Futures Port Request Form

FINRA Services Port Request Form

Dedicated OUCH Request Form


Front-End Request Forms

NASDAQ Front-End Access Order Form

Report Center Agreements and Subscription Order Form


Pre-Trade Risk Management Forms

NASDAQ Pre-Trade Risk Management Order Form - RASH/FIX

NASDAQ Pre-Trade Risk Management Order Form - OUCH


MPID Change/Aggregation Forms

MPID Change Request Form

Additional MPID Request Form

Aggregate Pricing Form


Secure Services Forms

Secure Data Agreements and Subscription Order Form

Secure Services Agreements and Subscription Order Form


Regulatory/Other Forms

Petition for Clearly Erroneous Review Form

Soft Dollar Subscriber Amendment

Soft Dollar Subscriber and Payor Agreement

Mutual Fund Quotation Service (MFQS) Agreements and Applications


Service Information

NASDAQ’s policy is that only designated representatives employed by the firm that has been assigned an MPID can be given information related to any activity or servicing of that MPID.

FINRATM, Trade Reporting FacilityTM and TRFTM are trademarks of Financial Industry Regulatory Authority

Contact Information

 

 
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