NDAQ » Topics » Securities registered pursuant to Section 12(b) of the Act:

These excerpts taken from the NDAQ 10-K filed Feb 27, 2009.

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

 

Name of each exchange on which registered

Common Stock, $.01 par value per share   The NASDAQ Stock Market

 

Securities
registered pursuant to Section 12(g) of the Act:

 

SIZE="2">None

 

 

STYLE="margin-top:0px;margin-bottom:-6px"> 

Indicate by check mark if the registrant is a well-known seasoned issuer, as
defined in Rule 405 of the Securities Act.    Yes  x    No  ¨

STYLE="margin-top:0px;margin-bottom:-6px"> 

Indicate by check mark if the registrant is not required to file reports
pursuant to Section 13 or Section 15(d) of the Exchange Act.    Yes  ¨    No  x

STYLE="margin-top:0px;margin-bottom:-6px"> 

Indicate by check mark whether the registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days.    Yes  x    No  ¨

SIZE="1"> 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained
herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.  FACE="WINGDINGS">¨

 

Indicate by check mark whether
the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting
company” in Rule 12b-2 of the Exchange Act. (Check one):

 




















Large accelerated filer  x

  Accelerated filer  ¨

Non-accelerated filer   ¨  (Do not check if a smaller reporting company)

 Smaller reporting company  ¨

 

Indicate by check
mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act).    Yes  ¨    No  x

 

As of June 30, 2008, the aggregate market value of the
registrant’s common stock held by non-affiliates of the registrant was approximately $3.7 billion (this amount represents approximately 139 million shares of The NASDAQ OMX Group Inc.’s common stock based on the last reported sales
price of $26.55 of the common stock on The NASDAQ Stock Market on such date).

 

FACE="Times New Roman" SIZE="2">Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date.

SIZE="1"> 
















Class

 

Outstanding at February 13, 2009

Common Stock, $.01 par value per share 201,926,244 shares

 

These excerpts taken from the NDAQ 10-K filed Feb 25, 2008.

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

 

Name of each exchange on which registered

Common Stock, $.01 par value per share   The NASDAQ Stock Market LLC

 

Securities
registered pursuant to Section 12(g) of the Act:

 

SIZE="2">None

 

 

STYLE="margin-top:0px;margin-bottom:-6px"> 

Indicate by check mark if the registrant is a well-known seasoned issuer, as
defined in Rule 405 of the Securities Act.    Yes  x    No  ¨

STYLE="margin-top:0px;margin-bottom:-6px"> 

Indicate by check mark if the registrant is not required to file reports
pursuant to Section 13 or Section 15(d) of the Exchange Act.    Yes  ¨    No  x

STYLE="margin-top:0px;margin-bottom:-6px"> 

Indicate by check mark whether the registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days.    Yes  x    No  ¨

SIZE="1"> 

Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained
herein, and will not be contained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K.  FACE="WINGDINGS">¨

 

Indicate by check mark whether
the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting
company” in Rule 12b-2 of the Exchange Act. (Check one):

 




















Large accelerated filer  x

  Accelerated filer  ¨

Non-accelerated filer   ¨  (Do not check if a smaller reporting company)

 Smaller reporting company  ¨

 

 

STYLE="margin-top:0px;margin-bottom:0px; text-indent:3%">Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange
Act).    Yes  ¨    No  x

 

STYLE="margin-top:0px;margin-bottom:0px; text-indent:3%">As of June 30, 2007, the aggregate market value of the registrant’s common stock held by non-affiliates of the registrant was $3,319,317,841
(this amount represents 111,723,926 shares of Nasdaq’s common stock based on the last reported sales price of $29.71 of the common stock on The Nasdaq Stock Market on such date).

SIZE="1"> 

Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable
date.

 
















Class

 

Outstanding at February 14, 2008

Common Stock, $.01 par value per share 139,055,154 shares

 

This excerpt taken from the NDAQ 10-K filed Feb 28, 2007.

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

 

Name of each exchange on which registered

Common Stock, $.01 par value per share   The NASDAQ Stock Market LLC

 

This excerpt taken from the NDAQ 10-K filed Mar 15, 2006.

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class


 

Name of each exchange on which registered


None   The Nasdaq Stock Market

 

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