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ARTICLE · 09 FEBRUARY 2012

Structured Thoughts: News For The Financial Services Community - Volume 3, Issue 2

Morrison Foerster
Morrison Foerster
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Morrison Foerster

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In January 2012, Nasdaq proposed new rules for the listing and trading of a wide variety of structured notes and other related products.

United StatesFinance and Banking
Lloyd Harmetz
Lloyd Harmetz
Neeraj Kumar
Neeraj Kumar
Vernicka Shaw
Vernicka Shaw
Anna Pinedo
Anna Pinedo
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Nasdaq Proposes Listing Rules Relating to Structured Products

In January 2012, Nasdaq proposed new rules for the listing and trading of a wide variety of structured notes and other related products.1 These rules would apply to equity-linked, commodity-linked, and other notes.

The proposed rules are based on the listing standards of NYSE Arca, where most U.S.-listed structured products currently trade. In the proposal, Nasdaq indicates that one of the purposes of the proposal is to promote competition and deeper markets.

Amended Nasdaq Rule 5710 would provide the continued listing standards for equity-linked and commodity-linked securities, together with initial and continuing listing standards for fixed-income linked, futures-linked, and multifactor index-linked securities. New Nasdaq Rule 5711 would include listing standards for:

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