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NASDAQ Halt Codes

Trading Halt Codes and Market Category Codes

http://www.nasdaqtrader.com/trader/tradingservices/marketwatch/TrdHaltCodes.stm



NASDAQ-100 Monthly Expirations S&P Daily Additions
The schedule of trading halt codes below identifies the reason for which trading in NASDAQ®/CQS securities is halted. When an issue resumes quoting, the code will change.

Listed below are the trading halt code identifiers and a description of what each represents:

Trade Halt Code Description

T.1 Halt - News Pending
Trading is halted pending the release of material news.
T.2
Halt - News Released
The news has begun the dissemination process through a Regulation FD compliant method(s).
T.3
Halt - Resumption Times
The news has been fully disseminated through a Regulation FD compliant method(s); or NASDAQ has determined either that system misuse or malfunction that caused extraordinary market activity will no longer have a material effect on the market for the security or that system misuse or malfunction is not the cause of the extraordinary market activity; or NASDAQ has determined the conditions which led to a halt in an Exchange-Traded Fund are no longer present. Two times will be displayed: (1) the time when market participants can enter quotations, followed by (2) the time the security will be released for trading. All trade halt and resumption times will be posted in HH:MM:SS format.
T.6
Halt – Extraordinary Market Activity
Trading is halted when extraordinary market activity in the security is occurring; NASDAQ determines that such extraordinary market activity is likely to have a material effect on the market for that security; and 1) NASDAQ believes that such extraordinary market activity is caused by the misuse or malfunction of an electronic quotation, communication, reporting or execution system operated by or linked to NASDAQ; or 2) after consultation with either a national securities exchange trading the security on an unlisted trading privileges basis or a non-NASDAQ NASD facility trading the security, NASDAQ believes such extraordinary market activity is caused by the misuse or malfunction of an electronic quotation, communication, reporting or execution system operated by or linked to such national securities exchange or non-NASDAQ NASD facility.
T.8
Halt – Exchange-Traded-Fund (ETF)
Trading is halted in an ETF due to the consideration of, among other factors: 1) the extent to which trading has ceased in the underlying security(s); 2) whether trading has been halted or suspended in the primary market(s) for any combination of underlying securities accounting for 20% or more of the applicable current index group value; 3) the presence of other unusual conditions or circumstances deemed to be detrimental to the maintenance of a fair and orderly market.
T.12
Halt - Additional Information Requested by NASDAQ
Trading is halted pending receipt of additional information requested by NASDAQ.
H.4
Halt - Non-compliance
Trading is halted due to the company's non-compliance with NASDAQ listing requirements.
H.9
Halt - Not Current
Trading is halted because the company is not current in its required filings.
H.10
Halt - SEC Trading Suspension
The Securities and Exchange Commission has suspended trading in this stock.
H.11
Halt - Regulatory Concern Trading is halted in conjunction with another exchange or market for regulatory reasons.
D
Security deletion from NASDAQ / CQS
Notes:
News Codes H.4 and H.9 will ordinarily be activated in situations where an SEC trading suspension is terminated and a NASDAQ trading halt is terminated, but the issuer in either instance is not in compliance with specific NASDAQ requirements in NASD rule 4120 and its interpretations. H.4 and H.9 codes indicate a qualifications halt, and quotations may not be displayed until the issuer meets NASDAQ requirements or is given a temporary exception.
Any questions related to a specific trading halt or to the trading halts codes should be directed to NASDAQ MarketWatch at 800.537.3929 or 301.978.8500 .


Market Category Code Description

N NASDAQ-Listed Security
C
Exchange-Listed Security







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