On December 23, 2019, Rule 6c-11 under the Investment Company Act of 1940 became effective.
801-355-5740 Personalized service. *NBBO liquidity provided means liquidity provided from orders (other than Designated Retail Orders, as defined in Nasdaq Rule 7018), that establish the NBBO, and displayed a quantity of at least one round lot at the time of execution.Member firms that exceed a "Weighted Order-to-Trade Ratio" of 100:1 pay a fee on the orders that cause the firm to exceed the threshold. The building is instantly recognisably by its large outdoor electronic display which provides up to the minute financial information 24 hours a day. By meeting affirmative standards, QMMs receive meaningful benefits to further encourage broad-based liquidity provision.NASDAQ will charge fees for NASDAQ members who file more than two unsuccessful clearly erroneous complaints during a calendar month. Listing fees NYSE Listing Fees for Securities of Closed-End Funds NYSE Listing Fees for Structured Products NYSE American NYSE American Listing Fees NYSE Arca NYSE Arca Listings System status alerts for our market community. *The PRM fees will be capped at $25,000 per firm, per monthNASDAQ and BX sales fee invoicing is performed separately. The rebate will be in addition to any rebate or credit payable under Rule 7018(a) and the QMM and NBBO Program under Rule 7014.Tier B: Shares of added liquidity provided in all Tapes through one or more of its MPIDs that represent above 0.80% to 1.80% of Consolidated Volume or MOC/LOC volume above 0.30% to 0.50% of Consolidated Volume: $0.0011 per executed share² Discount of 15% of fee available to users of 25 or more full cabinets who commit to a 3 year term; Discount of 10% of fee available to users of 25 or more full cabinets who commit to a 2 year term.To encourage increased DLP participants, Nasdaq will extend an incremental additional Tape C ETP rebate of $0.0001 to DLPs with less than 10 DLP assignments meeting the quoting and liquidity criteria. NYSE Listing Fees NYSE Non-U.S. Firms' tier qualifications will be evaluated each quarter for that period's payout.³ Not available to new subscribers. The exchange will aggregate the number of securities meeting the 25% threshold requirement for all of a Member’s MPIDs to determine if the Member met the 1,000 security threshold for the month.Note: Cabinet power cap is based on the available power at 80% of the breakered capacity of all circuit pairs within a cabinet (where a primary/redundant circuit pair is considered a single circuit).Tier F: Shares of added liquidity provided in all Tapes through one or more of its MPIDs that represent 0.00% to 0.015% of Consolidated Volume: $0.0016 per executed shareRegistered Nasdaq market makers that are registered in 100 or more issues will be exempt from this fee. Notices, fees, rules, calendars, forms and order types for our markets. Listing the same number of shares on Nasdaq’s Capital Market will cost $80,000 for the initial listing fee and an additional $27,500 annually. *$7,500 capped per month per correspondent relationship.To subscribe to the add-on packages, a firm must first subscribe to the Short Sale Monitor.Firm B sends 200,000 DOTI/DOTZ orders and 100 of the orders result in executions. The Nasdaq has four sets of listing requirements. Continued Listing Guide; Initial Listing Guide; Listing Exchange Traded Products; Listing of Additional Shares Guide; Listing on Nasdaq; Preview Applications and Forms; Required Notifications; Symbol Reservation Requests; Reference Library.
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