Sponsored Access

Forms

To sign up for Sponsored Access, please read and fill out the following forms:

Signed documents should be mailed or faxed to:

Membership Services
1900 Market Street
Philadelphia, PA 19103-3584
Fax: +1 215 496 6729

 

Sponsored Access Update: November 3, 2010

 

On November 3, 2010, the SEC approved its Risk Management Controls for Brokers or Dealers with Market Access rule proposal, with minor modifications, which covers the practice commonly known as Sponsored Access. Once the SEC rule is published in the Federal Register, NASDAQ will review its currently delayed Sponsored Access rule to properly reflect the SEC’s market-wide requirements, as per our July notification in ERA 2010-07.

 

Sponsored Access Update: September 16, 2010

 

Refer to Equity Regulatory Alert #2010-12 – “Sponsored Access Agreements Required by October 27, 2010” – for important information.

 

Sponsored Access Update: January 14, 2010

 

On January 13, 2010, the Securities and Exchange Commission (SEC) approved The NASDAQ Stock Market LLC (NASDAQ) rule to modify the requirements for members that provide sponsored access.

This approved filing updates NASDAQ Rule 4611 with Amendments 1, 2 and 3 in order to improve its existing regulatory framework governing the manner in which a NASDAQ member provides other entities with access to the NASDAQ Execution System.

Although the rule proposal has been approved, the new requirements have not been implemented. NASDAQ is coordinating with the SEC to develop an appropriate implementation schedule. As stated in the proposed rule change, NASDAQ believes that all exchanges will adopt similar rules and that an industry-wide implementation is needed. Please refer to Equity Regulatory Alert #2010-1 for more information.

 

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