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NDAQ » Topics » TABLE OF CONTENTS

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

TABLE OF CONTENTS

 

          Page
Part I.      
Item 1.    Business    2
Item 1A.    Risk Factors    22
Item 1B.    Unresolved Staff Comments    39
Item 2.    Properties    40
Item 3.    Legal Proceedings    40
Item 4.    Submission of Matters to a Vote of Security Holders    40
Part II.      
Item 5.    Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities   

41
Item 6.    Selected Financial Data    43
Item 7.    Management’s Discussion and Analysis of Financial Condition and Results of Operations    45
Item 7A.    Quantitative and Qualitative Disclosures About Market Risk    81
Item 8.    Financial Statements and Supplementary Data    81
Item 9.    Changes in and Disagreements with Accountants on Accounting and Financial Disclosure    82
Item 9A.    Controls and Procedures    82
Item 9B.    Other Information    85
Part III.      
Item 10.    Directors, Executive Officers and Corporate Governance    85
Item 11.    Executive Compensation    85
Item 12.    Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters   

85
Item 13.    Certain Relationships and Related Transactions, and Director Independence    87
Item 14.    Principal Accounting Fees and Services    87
Part IV.      
Item 15.    Exhibits, Financial Statement Schedules    87

 

i

Table of Contents

TABLE OF CONTENTS

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      Page
Part I.     
Item 1.  Business  2
Item 1A.  Risk Factors  22
Item 1B.  Unresolved Staff Comments  39
Item 2.  Properties  40
Item 3.  Legal Proceedings  40
Item 4.  Submission of Matters to a Vote of Security Holders  40
Part II.     
Item 5.  Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities  

41
Item 6.  Selected Financial Data  43
Item 7.  Management’s Discussion and Analysis of Financial Condition and Results of Operations  45
Item 7A.  Quantitative and Qualitative Disclosures About Market Risk  81
Item 8.  Financial Statements and Supplementary Data  81
Item 9.  Changes in and Disagreements with Accountants on Accounting and Financial Disclosure  82
Item 9A.  Controls and Procedures  82
Item 9B.  Other Information  85
Part III.     
Item 10.  Directors, Executive Officers and Corporate Governance  85
Item 11.  Executive Compensation  85
Item 12.  Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters  

85
Item 13.  Certain Relationships and Related Transactions, and Director Independence  87
Item 14.  Principal Accounting Fees and Services  87
Part IV.     
Item 15.  Exhibits, Financial Statement Schedules   87

 


i






Table of Contents


These excerpts taken from the NDAQ 8-K filed Mar 3, 2008.

TABLE OF CONTENTS

 

          Page
ARTICLE I DEFINITIONS    1

Section 1.1

    Definitions    1

Section 1.2

    Table of Definitions    6
ARTICLE II TRANSFER RESTRICTIONS    8

Section 2.1

    Transfer by Borse Dubai    8

Section 2.2

    Hedging Transactions    9

Section 2.3

    Trust Matters    10
ARTICLE III BOARD OF DIRECTORS    11

Section 3.1

    Board Appointment Obligation    11

Section 3.2

    No Interference with Board Rights.    12
ARTICLE IV INFORMATION RIGHTS; VOTING RIGHTS    12

Section 4.1

    Information Rights    12

Section 4.2

    Voting Rights    13
ARTICLE V STANDSTILL; PREEMPTIVE RIGHTS    13

Section 5.1

    Standstill    13

Section 5.2

    Permitted Action    14

Section 5.3

    Suspension and Termination    14

Section 5.4

    Certain Tender Offers    15

Section 5.5

    Preemptive Rights    15
ARTICLE VI INDEMNIFICATION    18

Section 6.1

    Indemnification    18
ARTICLE VII MISCELLANEOUS    18

Section 7.1

    Notices    18

Section 7.2

    No Waivers; Amendments    19

Section 7.3

    Non-Disparagement    19

Section 7.4

    Termination    20

Section 7.5

    Confidentiality    20

Section 7.6

    Successors and Assigns    20

Section 7.7

    Headings    21

Section 7.8

    No Inconsistent Agreements.    21

Section 7.9

    Severability    21

Section 7.10

    Recapitalization, Etc.    21

Section 7.11

    No Affiliation    21

Section 7.12

    Specific Performance    21

Section 7.13

    Other Agreements    22

Section 7.14

    New York Law    22

Section 7.15

    Jurisdiction; Service of Process; Waiver of Jury Trial    22

Section 7.15

    Counterparts; Effectiveness    23

Section 7.16

    Entire Agreement    23

Section 7.17

    Interpretation    23

 

ii

TABLE OF CONTENTS

 

          Page
ARTICLE I DEFINITIONS    1
        1.1    Definitions    1
        1.2    Table of Definitions    4
ARTICLE II REGISTRATION RIGHTS    5
        2.1    Demand Registration Rights    5
        2.2    Piggyback Rights    8
        2.3    Priority in Piggyback Registrations    9
        2.4    Expenses    10
        2.5    Registration Form    10
        2.6    Additional Rights    10
        2.7    Rights of Transferee Under NASDAQ Stock Charge    10
ARTICLE III REGISTRATION PROCEDURES    10
        3.1    Registration Procedures    10
        3.2    Restrictions on Public Sale by Nasdaq    14
ARTICLE IV INDEMNIFICATION    14
        4.1    Indemnification by Nasdaq    14
        4.2    Indemnification by the Seller    15
        4.3    Notices of Claims, Etc.    15
        4.4    Contribution    16
        4.5    Other Indemnification    16
        4.6    Non-Exclusivity    17
ARTICLE V RULE 144    17
        5.1    Rule 144    17
ARTICLE VI SELECTION OF COUNSEL    17
        6.1    Selection of Counsel    17
ARTICLE VII MISCELLANEOUS    17
        7.1    Amendments; Waivers    17
        7.2    Successors and Assigns    17
        7.3    Confidentiality of Records    18
        7.4    Notices    18
        7.5    Headings    20

 

i

        7.6    Severability    20
        7.7    Counterparts; Effectiveness    20
        7.8    New York Law    20
        7.9    Jurisdiction; Service of Process; Waiver of Jury Trial    20
        7.10    Specific Performance    21
        7.11    Interpretation    21
        7.12    Limitation of Trustee Liability    22

 

ii

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

TABLE OF CONTENTS

 

          Page
Part I.      
Item 1.    Business    1
Item 1A.    Risk Factors    18
Item 1B.    Unresolved Staff Comments    33
Item 2.    Properties    33
Item 3.    Legal Proceedings    33
Item 4.    Submission of Matters to a Vote of Security Holders    33
Part II.      
Item 5.   

Market For Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities

  

34

Item 6.    Selected Consolidated Financial Data    36
Item 7.    Management’s Discussion and Analysis of Financial Condition and Results of Operations    38
Item 7A.    Quantitative and Qualitative Disclosures About Market Risk    66
Item 8.    Financial Statements and Supplementary Data    66
Item 9.    Changes in and Disagreements With Accountants on Accounting and Financial Disclosure    66
Item 9A.    Controls and Procedures    66
Item 9B.    Other Information    68
Part III.      
Item 10.    Directors, Executive Officers and Corporate Governance    68
Item 11.    Executive Compensation    68
Item 12.   

Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

  

68

Item 13.    Certain Relationships and Related Transactions, and Director Independence    70
Item 14.    Principal Accounting Fees and Services    70
Part IV.      

Item 15.

    Exhibits, Financial Statement Schedules    70

Table of Contents


TABLE OF CONTENTS

 




























































































































































































































































      Page

Part I.		    
Item 1.  
Business		  1
Item 1A.  
Risk Factors		  18
Item 1B.  
Unresolved Staff Comments		  33
Item 2.  
Properties		  33
Item 3.  
Legal Proceedings		  33
Item 4.  
Submission of Matters to a Vote of Security Holders		  33

Part II.		    
Item 5.  


Market For Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities

  

34

Item 6.  
Selected Consolidated Financial Data		  36
Item 7.  
Management’s Discussion and Analysis of Financial Condition and Results of Operations		  38
Item 7A.  
Quantitative and Qualitative Disclosures About Market Risk		  66
Item 8.  
Financial Statements and Supplementary Data		  66
Item 9.  
Changes in and Disagreements With Accountants on Accounting and Financial Disclosure		  66
Item 9A.  
Controls and Procedures		  66
Item 9B.  
Other Information		  68

Part III. 		    
Item 10.  
Directors, Executive Officers and Corporate Governance		  68
Item 11.  
Executive Compensation		  68
Item 12.  


Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

  

68

Item 13.  
Certain Relationships and Related Transactions, and Director Independence		  70
Item 14.  
Principal Accounting Fees and Services		  70

Part IV. 		    

Item 15.

  
Exhibits, Financial Statement Schedules 		  70




Table of Contents


EXCERPTS ON THIS PAGE:

DEF 14A
Apr 3, 2009
10-K (2 sections)
Feb 27, 2009
DEF 14A
Apr 17, 2008
8-K (2 sections)
Mar 3, 2008
10-K (2 sections)
Feb 25, 2008

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