NASDAQ Market Regulation

Nasdaq Issues Pending Suspension or Delisting

Nasdaq publishes daily lists of companies pending suspension or delisting due to failure to meet listing requirements or voluntary delisting intentions. This information helps brokers and dealers comply with SEC Penny Stock Rules.

Nasdaq Noncompliant Company List and SEC Rules

Nasdaq publishes a daily list of companies that are noncompliant with continued listing standards or pending delisting. This list aids brokers and dealers in complying with SEC Penny Stock Rules, specifically SEC Rule 3a51-1(g). Companies are added or removed daily based on compliance status and trading data.

Nasdaq Disciplinary Actions by Firm

Nasdaq has published a list of disciplinary actions taken against various firms, including IMC Chicago, Instinet, LLC, and Virtu Americas LLC, with dates ranging from late 2025 to early 2026. These actions are part of Nasdaq's ongoing market regulation and enforcement activities.

Nasdaq Rulebook Availability and Search

Nasdaq has announced the availability of its Rulebook through an advanced search function on its listing center website. This update provides listed companies and interested parties with enhanced access to Nasdaq's regulatory rules and guidance.