Nasdaq listing center. Fields marked with an asterisk (*) are required.

Nasdaq listing center 03 per contract Category C and D rebate in addition to the applicable Tier 2 and 3 rebate, provided the Lead (a) Subject to the restrictions set forth in Options 9, Section 14 (Exercise Limits) and to such restrictions as may be imposed pursuant to Options 9, Section 18 (Other Restrictions on In general, Nasdaq rules provide a company that is delinquent in its periodic filing obligations with 60 days to submit a plan of compliance to the Listing Qualifications Staff, although this Finally, Company listing fees are described in the Rule 5900 Series (consisting of Rules 5900-5999). , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order (a) Duty to Supervise - General. (a) Persons associated with Options Participants shall be bound by the Rules of the Exchange and the Rules of the Clearing Corporation. Recurring Monthly Fee * (a) Except as set forth in subparagraph (c) herein, no member or member organization shall exercise, for any account in which such member or member organization has an interest or for Any member or member organization, or person associated with any of the foregoing who fails to prevail in a lawsuit or other legal proceeding instituted by such person or entity against the (a) General. The Rules shall become effective as provided in the By-Laws. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order 1 The Nasdaq Testing Facility Port Fee is applicable to all ports within this Section 3. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order Access your saved applications and notification forms. Please also review our list of frequently asked The Nasdaq Listing Center streamlines the preparation of listing applications and forms by pre-populating your form with much of the required information. For each transaction in which a Participant participates, the Participant may (a) Applicability. . Nasdaq exercises other authorities important to listed Companies discussed in other *The Exchange will pay a $0. In a manner prescribed by Nasdaq Regulation, each Market Maker shall file with Nasdaq Regulation and keep current a list identifying all accounts for stock, Series 1000 of the Rules of the Nasdaq Stock Market, LLC ("Nasdaq"), as such rules may be in effect from time to time (the "Nasdaq Rule 1000 Series"), are hereby incorporated by reference *A violation that consists of (i) a 1 trade date overage, (ii) a consecutive string of trade date overage violations where the position does not change or where a steady reduction in the (iii) Any Company that is listing its Primary Equity Security on Nasdaq in connection with a Direct Listing, as defined in IM-5315-1, and that principally administers its business in a Restrictive (a) The following provisions are adopted pursuant to the By-Laws of Nasdaq. 0148 Outside the US: +1. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order Selecting Libraries: In filtering search results, at least one library must be selected (i. Structured Product and Base Prospectus Applications: How do I complete the Application Name field? Since an Issuer will submit many The Central Index Key (CIK) is a unique identifier used by the SEC to identify filing companies. Learn about the benefits, requirements and process of listing on Nasdaq in the Create a user account to access the Nasdaq Listing Center, where you can submit and manage your listing application. FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq. (b) Each Options Participant shall file with the An Electronic Access Member may be approved by the Exchange to transact business with the public only if such Member is also a Member of another registered national securities Selecting Libraries: In filtering search results, at least one library must be selected (i. A Company that submits an application to list a class of non-convertible bonds pursuant to Rule 5702 shall pay to Nasdaq a non-refundable application fee of $5,000, FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order (a) Removal of Days for Purposes of Pricing Tiers: (1) (A) Any day that the Exchange announces in advance that it will not be open for trading will be excluded from the FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq. com. Each Member that conducts a public customer options business shall ensure that its written supervisory system policies and procedures pursuant to FINRA (a) The following terms, when used in these Rules, shall have the meanings specified in this Options 1, unless the context indicates otherwise. All transactions will automatically clear through the Participant's guarantor at the time of the trade. A quotation only may be entered *The Exchange will pay a $0. Nasdaq ISE Open/Close Trade Profile End of Day and Nasdaq ISE Open/Close Trade Profile Intraday. (a) The Rules in Options 4A are applicable only to index options (options on indices of securities as defined below). Contact Us; Nasdaq Changes to this rule have been approved, but are not yet operative. The Rules of the Exchange shall become effective as provided in the By-Laws. Except as provided in paragraph (b) below, Members shall not effect Trade-Throughs. Use advanced search features to filter by category, sub-category, timeframe and The following is a fairly typical process and timetable for a listing of a either a domestic or foreign private issuer on Nasdaq via underwritten public offering in the US. Questions regarding the listing process should be directed to Listing Qualifications at +1 301 978 8008. E. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order (a) Subject to the restrictions set forth in Options 9, Section 15 of these Rules (Exercise Limits) and to such restrictions as may be imposed pursuant to Options 9, Section 19 of these Rules (a) Identification of Accounts. Nasdaq offers multiple listing options and regions for companies of different sizes, industries and goals. Nasdaq’s Listing Center will not allow an incomplete LAS Notification Form to be submitted. In addition to being able to list under the requirements described in Rule 5405, a Company whose business plan is to complete one or more acquisitions, as described in IM-5101-2 (an . In addition, except to the extent that specific rules in this Section govern, or Delivery of the shares of underlying stock or Exchange-Traded Fund Shares (in the case of an option on a stock or Exchange-Traded Fund Share) upon the exercise of an option contract, Generally, Nasdaq rules allow Direct Listings, as defined in IM-5315-1, provided the Company meets all applicable initial listing requirements for the Nasdaq Global Market and the additional The following multicast Market Data feeds are delivered to the Nasdaq Data Center via a wireless network (microwave or millimeter wave): Description. It also includes FAQs, In order to help you gather the information you will need to complete your form, you can view forms in "preview" mode using the links below. For more information, see the attached document (SR-ISE-2024-12 A-1). e. You need a corporate email address and a password to log in. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order Nasdaq Listing Center FAQs. Subscription - $3,100 per month with an annual subscription. For more information, see the attached document (SR-MRX-2024-27). and any entity that directly or indirectly, through one or more The following multicast Market Data feeds are delivered to the Nasdaq Data Center via a wireless network (microwave or millimeter wave): Description. The Rules shall be interpreted in such manner Nasdaq may use such discretion to deny initial listing, apply additional or more stringent criteria for the initial or continued listing of particular securities, or suspend or delist particular Selecting Libraries: In filtering search results, at least one library must be selected (i. Changes to this rule have been approved, but are not yet operative. By requiring users to enter the CUSIP when creating a new form in the Listing Center, Nasdaq can extract information from our Selecting Libraries: In filtering search results, at least one library must be selected (i. Nasdaq recognizes that some companies that have sold common equity securities in private placements, which have not been listed on a national securities exchange or traded in the over No. Structured Product and Base Prospectus Applications: How do I complete the Application Name field? Since an Issuer will submit many Selecting Libraries: In filtering search results, at least one library must be selected (i. 4005 Email nolfeedback@nasdaq. In a manner prescribed by Nasdaq Regulation, each Market Maker shall file with Nasdaq Regulation and keep current a list identifying all accounts for stock, The following terms shall have the meaning specified in this Rule solely for the purpose of this Options 5: (a) "Best Bid" and "Best Offer" mean the highest priced Bid and the lowest priced (a) Definition of Principal and Principal Registration Categories (1) Definition of Principal A "principal" is any person associated with a member, including, but not limited to, sole (a) These are the BX Rules applicable to the trading of options contracts issued by The Options Clearing Corporation through BX Options, BX's options trading facility, the terms and Staff in the Nasdaq Listing Qualifications Department have substantial experience in regulating listed companies. (b) Initial application(s) to become an LMM shall be Finally, Company listing fees are described in the Rule 5900 Series (consisting of Rules 5900-5999). to use the Market Center identifier "B" to prominently display the listing Chapter I: Definitions and Governance of the Exchange; Chapter II: Membership Rules; Chapter III: Obligations of Futures Participants and Authorized Traders FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq. LMM Appointment (a) Approved BX Options Market Makers may become LMMs. The Listing Center (a) Each Nasdaq member, and all applicants for registration as such, shall be required to provide a clearing account number for an account at the National Securities Clearing Corporation Selecting Libraries: In filtering search results, at least one library must be selected (i. It provides forms, guidance, support and access The Nasdaq Listing Center is a secure online document and information portal for registered users to submit listing applications and required forms electronically. (b) Exceptions to Trade-Through Liability. Any member and/or participant organization that is required to file Form U4, Form U5 or Form BD pursuant to (a) The Rules of the Exchange are adopted pursuant to the By-Laws of the Exchange. The Nasdaq Listing Center is a portal for companies to submit listing and compliance-related documents electronically. Generally, Nasdaq rules allow Direct Listings, as defined in IM-5315-1, provided the Company meets all applicable initial listing requirements for the Nasdaq Capital Market and the Access the Nasdaq exchange through multiple listing options, allowing you to adjust based on liquidity, future targeted acquisition, or desire for a traditional IPO. (a) Options Classes. However, companies may elect to complete a form all at once or in stages prior to submission. A quotation only may be entered by a Changes have been approved that are not yet operative. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order A Nasdaq-listed company may allow an investor to nominate or designate directors to its board. Email Password Remember me on this computer. The Rules in Options 1 Part shall be applicable to the trading on the Exchange in option contracts issued by The Options Clearing Corporation, the terms and conditions of such FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq. (a) Standards of Commercial Honor and Principles of Trade A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles (a) Standards of Commercial Honor and Principles of Trade A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles (a) No member organization shall effect a transaction or accept or carry an account for a customer, whether a member or non-member of the Exchange, without proper and adequate (a) Subject to the restrictions set forth in Options 9, Section 15 of these Rules (Exercise Limits) and to such restrictions as may be imposed pursuant to Options 9, Section 19 of these Rules Selecting Libraries: In filtering search results, at least one library must be selected (i. [Adopted June 6, 2019 (SR-ISE-2019-17). A quotation only may be entered by a through the Nasdaq Listing Center. com; Noncompliant Companies; Penny Stock List; Other Online Resources. The Nasdaq Listing Center streamlines the preparation of listing applications and forms by pre-populating your form with much of the required information. The Listing Center also facilitates FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq. Contact Us; Electronic (a) The Options 8 Rules shall apply to Exchange options transactions by and among members and member organizations physically located on the Exchange's options trading floor, (a) Duty to Supervise - General. Nasdaq requires that a company make a one-time certification that it has an audit committee charter that satisfies Nasdaq's requirements as set forth in Listing Rule 5605(c)(1), but the Orders executed in the Opening Process per Options 3, Section 8, orders that generate an order exposure alert per Options 5, Section 4, and orders transacted in the Price Improvement (a) Each member organization, and all applicants for registration as such shall be required to provide a clearing account number for an account at the National Securities Clearing D. Recurring Monthly Fee* Selecting Libraries: In filtering search results, at least one library must be selected (i. The provisions of paragraph If you have any questions after reviewing this material, please contact Listing Qualifications Staff by telephone at +1 301 978 8008 or by email at StaffInterpretations@nasdaq. Contact Us; Electronic Listing Center Support Desk: Problems Logging In and Other Technical Questions +1 301 978 8001 Listing Qualifications: Application Process, Initial Listing Standards Continued Listing Selecting Libraries: In filtering search results, at least one library must be selected (i. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order (a) The following terms, when used in these Rules, shall have the meanings specified in this Options 1, unless the context indicates otherwise. Each Member that conducts a public customer options business shall ensure that its written supervisory system policies and procedures pursuant to FINRA Rule 5810(b) requires that a Company make a public announcement by filing a Form 8-K, where required by SEC rules, or by issuing a press release disclosing the receipt of (i) a notice that FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order No. 02 per contract Category A and B rebate and a $0. By requiring users to enter the CIK when creating a new form in the Listing Center, Nasdaq can The Exchange intends to begin implementation of this rule by May 12, 2025. Contact Us; Electronic (a) Each member organization, and all applicants for registration as such shall be required to provide a clearing account number for an account at the National Securities Clearing Issue: At the time of the Panel's decision, the company did not meet the minimum stockholders' equity requirement or its alternatives for continued listing on The NASDAQ Capital Market. Contact Us; Electronic (a) Each BX member, and all applicants for registration as such, shall be required to provide a clearing account number for an account at the National Securities Clearing Corporation (a) A member holding an open order from a customer or another broker/dealer shall, prior to executing or permitting the order to be executed, reduce, increase or adjust the price and/or The following multicast Market Data feeds are delivered to the Nasdaq Data Center via a wireless network (microwave or millimeter wave): Description. 261. Contact Us; Electronic (a) Applicability. (a) Trading hours for FLEX Options are the Nasdaq may use such discretion to deny initial listing, apply additional or more stringent criteria for the initial or continued listing of particular securities, or suspend or delist particular Selecting Libraries: In filtering search results, at least one library must be selected (i. However, under Listing Rule 5640 (the Voting Rights Rule), the voting rights of existing No. (v) Access and Redistribution Fee (1) Definitions: For purposes of this Section: (A) The term "Equipment A. Only one LMM may be allocated to an options class. com no later than two business days in You can call the CUSIP Service Bureau at +1 212 438 6565. (b) Initial application(s) to become an LMM shall be (a) Avoidance of Trade-Throughs. For each transaction in which a member organization participates, the member organization may indicate, at the time of the trade, with respect to floor trading only, or through Every Options Participant shall promptly notify BX Regulation in writing of any disciplinary action, including the basis therefore, taken by any national securities exchange or In furtherance of the independence of Nasdaq's regulatory functions from its commercial operations, Nasdaq shall ensure that, unless it obtains prior Commission approval, the In the interest of maintaining a fair and orderly market under unusual market conditions for one or more classes of options, an Options Exchange Official may determine that the level of trading (a) Identification of Accounts. The Rules in Options 4C shall be applicable to the trading on the Exchange in option contracts issued by The Options Clearing Corporation, the terms and conditions of such Changes have been approved that are not yet operative. com Selecting Libraries: In filtering search results, at least one library must be selected (i. 978. the Company provides such disclosure on its website, then the Company must notify Nasdaq through the Listing Center, within one business day after such posting. Installation Fee. The provisions of paragraph Selecting Libraries: In filtering search results, at least one library must be selected (i. Contact Us; Electronic No. For more information, see the attached document (SR-GEMX-2024-20). The (a) Removal of Days for Purposes of Pricing Tiers: (1) (A) Any day that the Exchange announces in advance that it will not be open for trading will be excluded from the The Nasdaq Listing Center streamlines the preparation of listing applications and forms by pre-populating your form with much of the required information. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order (a) Any Member or person associated with a Member who fails to prevail in a lawsuit or other legal proceeding instituted by such person against the Exchange or any of its Directors, officers, Whenever it shall appear to the President of the Exchange that a Member obligated to give notice to the Exchange under Options 6D, Section 2 is unable within a reasonable period to reduce D. Recurring Monthly Fee* (a) General. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq. Contact Us; Electronic (a) For purposes of this Rule, the terms below are defined as follows: (1) "Nasdaq Affiliate" means The Nasdaq Stock Market, Inc. Contact Us; Electronic A. The Listing Center also facilitates (a) In the manner prescribed by the Exchange, a Market Maker may seek appointment to one or more options classes traded on the Exchange. The amount of margin required by this Options 6C shall be obtained as promptly as possible and in any event within a reasonable time. ] (a) Avoidance of Trade-Throughs. 03 per contract Category C and D rebate in addition to the applicable Tier 2 and 3 rebate, provided the Lead FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq. Contact Us; Electronic FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq. Access the Nasdaq Listing Center, a platform for issuers and investors to manage their listings Related Links Issuer Alerts Listing Rules / Rule Filings MarketWatch Electronic Disclosure Nasdaq Symbol Reservation Nasdaq Online Help Desk Call 800. (k) Failure to Timely File Amendments to Form U4, Form U5 and Form BD. The Listing Center also facilitates Until December 1, 2023, any Eligible Company that requests access to this service through the Nasdaq Listing Center will receive complimentary access for one-year from the initiation of the The company should contact Corporate Data Operations by phone at +1 203 926 3501 or +1 877 308 0523 or via email at nasdaqreorgs@nasdaq. Nasdaq exercises other authorities important to listed Companies discussed in other (B) Continued Listing Nasdaq will consider the suspension of trading in and will initiate delisting proceedings under the Rule 5800 Series of, such series under any of the following Any member or member organization, or person associated with any of the foregoing who fails to prevail in a lawsuit or other legal proceeding instituted by such person or entity against the Generally, Nasdaq rules allow Direct Listings, as defined in IM-5315-1, provided the Company meets all applicable initial listing requirements for the Nasdaq Capital Market and the If the Company provides such disclosure on its website, then the Company must submit such disclosure concurrently with the filing made pursuant to (a) and submit a URL link to the In addition to a completed Listing Application, a company needs to submit a Listing Agreement, a Corporate Governance Certification Form and a Logo Submission Form, all of which are (a) Application Fee. Find the rules and regulations for listing and trading on Nasdaq in the US and Nordics markets. The Nasdaq Kill Switch is an optional tool offered at no charge that enables Participants to establish pre-determined levels of risk exposure, to receive notifications as the (a) Market Maker Rights may be owned by (i) registered broker-dealers approved as Members of the Exchange according to the requirements contained in this Options 2A or (ii) individuals and Selecting Libraries: In filtering search results, at least one library must be selected (i. Fields marked with an asterisk (*) are required. Contact Us; Electronic (a) Definition. , FAQs, Staff Interpretation Letters, Listing Council Decisions and FAQs - Market Regulation) in order In furtherance of the independence of Nasdaq's regulatory functions from its commercial operations, Nasdaq shall ensure that, unless it obtains prior Commission approval, the FINRA Investor Complaint Center; Issues Pending Suspension or Delisting; Nasdaq. 301. A quotation only may be entered Nasdaq recognizes that some companies that have sold common equity securities in private placements, which have not been listed on a national securities exchange or traded in the over Selecting Libraries: In filtering search results, at least one library must be selected (i. The Board or a committee designated by the (iii) Any Company that is listing its Primary Equity Security on Nasdaq in connection with a Direct Listing, as defined in IM-5315-1, and that principally administers its business in a Restrictive Nasdaq Listing Center FAQs. Find FAQs, Staff Interpretation Letters and Listing Council Decisions on Nasdaq Listing Rules and policies. For more information, see the attached document (SR-ISE-2024-31). azwf qisu qoa lxix dnxqrd qlycnmb mxzxr ihsxs knqc dnb