Rules and Regulations of NASDAQ OMX Derivatives Markets

Rules and Regulations

Derivative rules

The Rules and Regulations of Nasdaq Derivatives Markets govern Nasdaq Stockholm's derivative exchange and clearing activities.

Exchange Rules

Exchange rules
Chapter 1
Chapter 2
Chapter 3 (i)
Chapter 3 (ii)
Chapter 3 A Appendices
1. List of Exchange and Clearing Members » (joint with Clearing Rules)
2. Quotation List (joint with Clearing Rules)
3. Fee List (joint with Clearing Rules)
3.A. Market Maker Fee List (joint with Clearing Rules)
3.B. Proprietary Fee List (joint with Clearing Rules)
3.C Liquidity Provider Fee List (joint with Clearing Rules)
4. Trading and Accessibility Hours (joint with Clearing Rules)
5. Fair Value (joint with Clearing Rules)
6. Procedures in connection with system disturbances on the expiration day (joint with Clearing Rules)
7. Exchange Member Agreement
7.A. Direct Market Access Agreement (expired on 20 Nov 2017)
8.A. Market Maker Agreement
8.B. Market Maker Agreement for COM Products
9. Revenue Sharing Agreement (expired on 2 Jan 2018)
10. Information Distribution Agreement
11. Call Auction on Index Futures
12. Deferred publication(expired on 20 Nov 2017)
13. COM Block Trade Facility Procedures
14.Market Maker spread requirements
Definitions

Clearing Rules

Clearing rules
Chapter 1
Chapter 2
Chapter 3 (i)
Chapter 3 (ii)
Chapter 3 A Appendices
1. List of Exchange and Clearing Members » (joint with Exchange Rules)
2. Quotation List (joint with Exchange Rules)
3. Fee List (joint with Exchange Rules)
3.A. Market Maker Fee List (joint with Exchange Rules)
3.B. Proprietary Fee List (joint with Exchange Rules)
3.C Liquidity Provider Fee List (joint with Exchange Rules)
4. Trading and Accessibility Hours (joint with Exchange Rules)
5. Fair Value (joint with Exchange Rules)
6. Procedures in connection with system disturbances on the expiration day (joint with Exchange Rules)
7. Clearing Member Agreement
8. Customer Agreement A (ENG), Kundavtal A (SWE), Asiakassopimus A (FI), Kundeaftale (DK) Kundeavtale (NO)
8. Customer Agreement B1
8. Customer Agreement B2
8. Direct Clearing Client Agreement
8. Customer Agreement B2A
9. Clearing Agreement
10. Non Exchange Trading Broker Agreement
11. Compensation Agreement
12. List of Approved Settlement Banks
13. Parameter Value List
14. Collateral List
15. Designated Sub-accounts Discount Agreement
16. Default Fund Rules
17. Loss sharing Rules
18. Blank
19. Supplement default rules for Contracts Recorded on Client Accounts
20. Supplement default rules for Contracts Recorded on a Direct Pledge Account
20 A. Supplement default rules for Contracts Recorded on a Direct Clearing Account
21. Supplement default rules for Contracts Recorded on an Indirect Pleding Account
22. COM Block Trade Facility Clearing Procedures
23. COM Non Exchange Clearing Procedures
24. COM Third Party Exchange Clearing Procedures
Definitions

Mandatory CCP Provisions and Core Provisions of Nasdaq Clearing AB

Genium INET

Genium INET	Effective Date
Genium INET Market Model - Equity Derivatives version 2.4	11 Jun 2018
Genium INET Market Maker Protection Model - Equity Derivatives
Genium INET Market Model - Commodities	2 Jan 2018
Guidelines for Direct Market Access and Sponsored Access	4 Jan 2016
Genium INET Market Model - Fixed Income Derivatives version 2.1	23 May 2018

News & Consultations

May 31, 2018

Nasdaq Nordic

Changes to the following rules will enter into force on 1 July 2018: Nasdaq First North Equity (Regulatory notice/mark-up version), Nasdaq First North Bond (Regulatory notice/mark-up version), Rules of Nasdaq Nordic for warrants and certificates (Regulatory notice/mark-up version) and Nasdaq Nordic Issuer Rules for Securitized Derivatives Genium INET (Regulatory notice/mark-up version).

May 15, 2018

Nasdaq Helsinki

Ennakkotietoa tulevista sääntömuutoksista 1.7.2018:

OPTIO-OIKEUKSIEN MARKKINAPAIKKAA KOSKEVAN KÄYTÄNNÖN MUUTTAMINEN

NASDAQ FIRST NORTH NORDIC – SÄÄNTÖJEN MUUTOKSET

Sääntötiedote

Mark-up version of Nasdaq First North Nordic Rulebook

February 28, 2018

Nasdaq Copenhagen

Changes to the Nasdaq Copenhagen Rules for Issuers of Alternative Investment Funds, will enter into force on 15 March 2018. For more information please see Regulatory notice (EN/DK) and mark-up version (Nasdaq Copenhagen Rules for Issuers of Alternative Investment Funds (DK). (Please note that an English translation of the rulebook will soon be uploaded).

February 28, 2018

Nasdaq Copenhagen

Changes to the Nasdaq Copenhagen Rules for Issuers of UCITS-shares, will enter into force on 15 March 2018. For more information please see Regulatory notice (EN/DK) and mark-up version (Nasdaq Copenhagen Rules for Issuers of UCITS-Shares (DK)). (Please note that we currently do not have an English version on the web, so the mark-up only refers to the Danish version).

February 27, 2018

Nasdaq Stockholm

Nasdaq Stockholm has decided to make changes in Chapter 6 regarding takeover rules in the Rule book for Issuers of shares. The changes to the takeover rules appendix in Chapter 6 have been proposed by the Swedish Corporate Governance Board and will enter into force on April 1, 2018. Please see regulatory notice for further information.

January 2, 2018

Nasdaq Derivatives Markets
Nasdaq Stockholm AB and Nasdaq Clearing AB have updated the Nasdaq Derivatives Markets Rules in connection with the implementation of MiFID II. For further information, please see here. The amendments are effective as of 2 January 2018.

Contact Us

Office of General Councel

Adam Göransson Associate Vice President

+46 8 405 6109

For older rule or market model versions, please email

Zivilé Slavinskaité,

Rulebooks

Listing Forms

All necessary forms and other relevant documents related to listings and issuer specific matters on Nasdaq Nordic.

Listing forms .
Fee lists .

Surveillance

The Surveillance function within Nasdaq Nordic has the primary goal of working to maintain confidence in the exchange amongst the general public.

Nasdaq Nordic Surveillance .

EU affairs

In Europe the Nasdaq Government Relations professionals, Economists and Legal experts follow the regulatory development on the level of the European Union across all its bodies and via the related Agencies.

Nasdaq on the European Issues .