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NASDAQ Manual
The NASDAQ® Manual continues a long tradition of comprehensive, up-to-date guides to the rules and bylaws of exchanges and SROs. In January 2006, the Securities and Exchange Commission (SEC) unanimously approved NASDAQ’s application to register a new entity, The NASDAQ Stock Market LLC, as a national securities exchange. This action allowed NASDAQ to take the final steps needed to complete its separation from the NASD®. NASDAQ will continue to be subject to SEC oversight, but its independence from the NASD means NASDAQ’s exchange is operating as its own self-regulatory organisation (SRO), with its own rules regarding trading, listing, membership and regulation, and its own members.
Learn the rules and policies of the Exchange
As the official publication of NASDAQ, this soft-cover reference provides the complete bylaws, rules, and policies governing the day-to-day operations, as well as the regulatory activities of the Exchange and its members.
Who Should Use the NASDAQ Manual?
- Compliance officers
- Compliance training managers
- Branch managers
- Securities attorneys
- Anyone responsible with securities compliance
To Order Your Copies Today, call 0800 840 1160 - Price discounted on 5 or more copies
For more information, call 0800 840 1160 or email UKsales@wolterskluwer.com.
