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Nasdaq, Inc. – ‘10-Q’ for 9/30/23 – ‘EX-32.1’

On:  Friday, 11/3/23, at 3:02pm ET   ·   For:  9/30/23   ·   Accession #:  1120193-23-31   ·   File #:  1-38855

Previous ‘10-Q’:  ‘10-Q’ on 8/2/23 for 6/30/23   ·   Next & Latest:  ‘10-Q’ on 5/2/24 for 3/31/24   ·   1 Reference:  By:  Nasdaq, Inc. – ‘10-K’ on 2/21/24 for 12/31/23

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  As Of               Filer                 Filing    For·On·As Docs:Size

11/03/23  Nasdaq, Inc.                      10-Q        9/30/23  111:12M

Quarterly Report   —   Form 10-Q

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-Q        Quarterly Report                                    HTML   2.31M 
 2: EX-10.1     Material Contract                                   HTML     65K 
 3: EX-10.2     Material Contract                                   HTML     79K 
 4: EX-31.1     Certification -- §302 - SOA'02                      HTML     33K 
 5: EX-31.2     Certification -- §302 - SOA'02                      HTML     33K 
 6: EX-32.1     Certification -- §906 - SOA'02                      HTML     32K 
12: R1          Cover Page                                          HTML     94K 
13: R2          Condensed Consolidated Balance Sheets               HTML    163K 
14: R3          Condensed Consolidated Balance Sheets               HTML     43K 
                (Parenthetical)                                                  
15: R4          Condensed Consolidated Statements of Income         HTML    162K 
                (Unaudited)                                                      
16: R5          Condensed Consolidated Statements of Comprehensive  HTML     65K 
                Income (Unaudited)                                               
17: R6          Condensed Consolidated Statements of Changes in     HTML    116K 
                Stockholders' Equity (Unaudited)                                 
18: R7          Condensed Consolidated Statements of Cash Flows     HTML    157K 
                (Unaudited)                                                      
19: R8          Organization and Nature of Operations               HTML     43K 
20: R9          Basis of Presentation and Principles of             HTML     35K 
                Consolidation                                                    
21: R10         Revenue From Contracts With Customers               HTML    145K 
22: R11         Acquisitions                                        HTML     36K 
23: R12         Goodwill and Acquired Intangible Assets             HTML     98K 
24: R13         Investments                                         HTML     41K 
25: R14         Deferred Revenue                                    HTML    144K 
26: R15         Debt Obligations                                    HTML     74K 
27: R16         Retirement Plans                                    HTML     48K 
28: R17         Share-Based Compensation                            HTML     84K 
29: R18         Nasdaq Stockholders? Equity                         HTML     56K 
30: R19         Earnings Per Share                                  HTML     55K 
31: R20         Fair Value of Financial Instruments                 HTML     76K 
32: R21         Clearing Operations                                 HTML     88K 
33: R22         Leases                                              HTML     73K 
34: R23         Income Taxes                                        HTML     44K 
35: R24         Commitments, Contingencies and Guarantees           HTML     44K 
36: R25         Business Segments                                   HTML    125K 
37: R26         Restructuring Charges                               HTML     48K 
38: R27         Pay vs Performance Disclosure                       HTML     41K 
39: R28         Insider Trading Arrangements                        HTML     47K 
40: R29         Basis of Presentation and Principles of             HTML     44K 
                Consolidation (Policies)                                         
41: R30         Revenue From Contracts With Customers (Tables)      HTML     75K 
42: R31         Goodwill and Acquired Intangible Assets (Tables)    HTML    149K 
43: R32         Investments (Tables)                                HTML     36K 
44: R33         Deferred Revenue (Tables)                           HTML     95K 
45: R34         Debt Obligations (Tables)                           HTML     57K 
46: R35         Retirement Plans (Tables)                           HTML     43K 
47: R36         Share-Based Compensation (Tables)                   HTML     84K 
48: R37         Nasdaq Stockholders? Equity (Tables)                HTML     48K 
49: R38         Earnings Per Share (Tables)                         HTML     55K 
50: R39         Fair Value of Financial Instruments (Tables)        HTML     72K 
51: R40         Clearing Operations (Tables)                        HTML     72K 
52: R41         Leases (Tables)                                     HTML     75K 
53: R42         Income Taxes (Tables)                               HTML     39K 
54: R43         Business Segments (Tables)                          HTML    114K 
55: R44         Restructuring Charges (Tables)                      HTML     46K 
56: R45         Organization and Nature of Operations (Details)     HTML     53K 
57: R46         Revenue From Contracts With Customers (Revenue by   HTML     64K 
                Product, Service and Segment) (Details)                          
58: R47         Revenue From Contracts With Customers (Narrative)   HTML     49K 
                (Details)                                                        
59: R48         Revenue From Contracts With Customers (Remaining    HTML     87K 
                Performance Obligation) (Details)                                
60: R49         Acquisitions (Details)                              HTML     54K 
61: R50         Goodwill and Acquired Intangible Assets (Schedule   HTML     43K 
                of Changes in Goodwill) (Details)                                
62: R51         Goodwill and Acquired Intangible Assets             HTML     40K 
                (Narrative) (Details)                                            
63: R52         Goodwill and Acquired Intangible Assets             HTML     63K 
                (Finite-Lived and Indefinite-Lived Intangible                    
                Assets) (Details)                                                
64: R53         Goodwill and Acquired Intangible Assets             HTML     32K 
                (Finite-Lived Intangible Assets Amortization                     
                Expense) (Details)                                               
65: R54         Goodwill and Acquired Intangible Assets (Estimated  HTML     44K 
                Future Amortization Expense) (Details)                           
66: R55         Investments (Schedule of Investments) (Details)     HTML     36K 
67: R56         Investments (Narrative) (Details)                   HTML     45K 
68: R57         Deferred Revenue (Changes in Deferred Revenue)      HTML     56K 
                (Details)                                                        
69: R58         Deferred Revenue (Estimated Deferred Revenue)       HTML     67K 
                (Details)                                                        
70: R59         Debt Obligations (Changes in Debt Obligations)      HTML     94K 
                (Details)                                                        
71: R60         Debt Obligations (Commercial Paper Program)         HTML     37K 
                (Details)                                                        
72: R61         Debt Obligations (Senior Unsecured Notes and Net    HTML     47K 
                Investment Hedge) (Details)                                      
73: R62         Debt Obligations (Narrative) (Details)              HTML     61K 
74: R63         Debt Obligations (Credit Facilities) (Details)      HTML     57K 
75: R64         Debt Obligations (Other Credit Facilities)          HTML     45K 
                (Details)                                                        
76: R65         Retirement Plans (Narrative) (Details)              HTML     33K 
77: R66         Retirement Plans (Cost of Retirement Plans)         HTML     34K 
                (Details)                                                        
78: R67         Share-Based Compensation (Narrative) (Details)      HTML    100K 
79: R68         Share-Based Compensation (Summary of Share-Based    HTML     32K 
                Compensation Expense) (Details)                                  
80: R69         Share-Based Compensation (Summary of Restricted     HTML     53K 
                Stock Activity) (Details)                                        
81: R70         Share-Based Compensation (Schedule of Weighted-     HTML     49K 
                Average Assumptions Used to Determine                            
                Weighted-Average Fair Values) (Details)                          
82: R71         Share-Based Compensation (Summary of PSU Activity)  HTML     53K 
                (Details)                                                        
83: R72         Share-Based Compensation (Summary of Stock Option   HTML     48K 
                Activity) (Details)                                              
84: R73         Nasdaq Stockholders' Equity (Narrative) (Details)   HTML     72K 
85: R74         Nasdaq Stockholders' Equity (Common Stock in        HTML     38K 
                Treasury) (Details)                                              
86: R75         Nasdaq Stockholders' Equity (Schedule of Dividends  HTML     45K 
                Declared) (Details)                                              
87: R76         Earnings Per Share (Details)                        HTML     70K 
88: R77         Fair Value of Financial Instruments (Schedule of    HTML     62K 
                Financial Assets and Liabilities Measured at Fair                
                Value on Recurring Basis) (Details)                              
89: R78         Fair Value of Financial Instruments (Narrative)     HTML     46K 
                (Details)                                                        
90: R79         Clearing Operations (Narrative) (Details)           HTML     76K 
91: R80         Clearing Operations (Schedule of Clearing Member    HTML     40K 
                Default Fund Contributions And Margin Deposits)                  
                (Details)                                                        
92: R81         Clearing Operations (Investment Policy) (Details)   HTML     46K 
93: R82         Clearing Operations (Schedule of Derivative         HTML     46K 
                Contracts) (Details)                                             
94: R83         Leases (Summary of Supplemental Balance Sheet       HTML     40K 
                Information Related to Operating Leases) (Details)               
95: R84         Leases (Leases Cost) (Details)                      HTML     38K 
96: R85         Leases (Narrative) (Details)                        HTML     42K 
97: R86         Leases (Operating Lease Maturity) (Details)         HTML     48K 
98: R87         Leases (Leases Terms and Discount Rate) (Details)   HTML     33K 
99: R88         Leases (Supplemental Cash Flow Information)         HTML     33K 
                (Details)                                                        
100: R89         Income Taxes - Provision and Effective Rate         HTML     35K  
                (Details)                                                        
101: R90         Commitments, Contingencies and Guarantees           HTML     42K  
                (Details)                                                        
102: R91         Business Segments (Narrative) (Details)             HTML     33K  
103: R92         Business Segments (Schedule of Operating Segments)  HTML     61K  
                (Details)                                                        
104: R93         Business Segments (Corporate Items) (Details)       HTML     60K  
105: R94         Restructuring Charges (Narrative) (Details)         HTML     41K  
106: R95         Restructuring Charges (Summary of Restructuring     HTML     48K  
                Plan) (Details)                                                  
109: XML         IDEA XML File -- Filing Summary                      XML    211K  
107: XML         XBRL Instance -- ndaq-20230930_htm                   XML   2.66M  
108: EXCEL       IDEA Workbook of Financial Report Info              XLSX    202K  
 8: EX-101.CAL  XBRL Calculations -- ndaq-20230930_cal               XML    233K 
 9: EX-101.DEF  XBRL Definitions -- ndaq-20230930_def                XML   1.03M 
10: EX-101.LAB  XBRL Labels -- ndaq-20230930_lab                     XML   2.24M 
11: EX-101.PRE  XBRL Presentations -- ndaq-20230930_pre              XML   1.45M 
 7: EX-101.SCH  XBRL Schema -- ndaq-20230930                         XSD    253K 
110: JSON        XBRL Instance as JSON Data -- MetaLinks              636±   922K  
111: ZIP         XBRL Zipped Folder -- 0001120193-23-000031-xbrl      Zip    708K  


‘EX-32.1’   —   Certification — §906 – SOA’02


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 C:   C: 
  Document  

Exhibit 32.1
Certification of CEO and CFO Pursuant to
18 U.S.C. Section 1350
as Adopted Pursuant to
Section 906 of the Sarbanes-Oxley Act of 2002
In connection with the Quarterly Report on Form 10-Q of Nasdaq, Inc. (the “Company”) for the period ended September 30, 2023 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), Adena T. Friedman, as Chief Executive Officer of the Company, and Ann M. Dennison, as Executive Vice President and Chief Financial Officer of the Company, each hereby certifies, pursuant to 18 U.S.C. § 1350, as adopted pursuant to § 906 of the Sarbanes-Oxley Act of 2002, that, to the best of her knowledge:
(1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and
(2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of the operations of the Company.
 
 /s/   Adena T. Friedman
Name:Adena T. Friedman
Title:Chief Executive Officer
Date:November 3, 2023
 /s/   Ann M. Dennison
Name:Ann M. Dennison
Title:Executive Vice President and Chief Financial Officer
Date:November 3, 2023
 
This certification accompanies the Report pursuant to § 906 of the Sarbanes-Oxley Act of 2002 and shall not, except to the extent required by the Sarbanes-Oxley Act of 2002, be deemed filed by the Company for purposes of § 18 of the Securities Exchange Act of 1934, as amended.



Dates Referenced Herein

This ‘10-Q’ Filing    Date    Other Filings
Filed on:11/3/23None on these Dates
For Period end:9/30/23
 List all Filings 


1 Subsequent Filing that References this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/21/24  Nasdaq, Inc.                      10-K       12/31/23  133:17M
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Filing Submission 0001120193-23-000031   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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