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Frequently Asked Questions
  Does Nasdaq require companies to sign a Listing Agreement, and where is it located on the website?
Identification Number 404
Nasdaq requires each company to sign a Listing Agreement prior to listing on Nasdaq. Listing Agreements may be completed electronically through the Listing Center along with your application.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 404
Frequently Asked Questions
  How do I create a new Corporate Governance Certification Form or Listing Agreement?
Identification Number 62
For companies applying to list on Nasdaq, there are two ways to create a Corporate Governance Certification or a Listing Agreement.
  • From within the application, select one of the blue + buttons at the top of the page. When selected, one button will generate a new Corporate Governance Certification and the other button will generate a new Listing Agreement.
  • From the My Forms Page, select one of the blue + buttons that appears next to the Application Record. When selected, one button will generate a new Corporate Governance Certification and the other button will generate a new Listing Agreement.
For companies already listed on Nasdaq, log in to the Listing Center and complete a Company Event Notification Form. From within this form, select the check box for “Section 6. Event Requiring an Updated Corporate Governance Certification or Listing Agreement” and follow the instructions to generate a new Corporate Governance Certification or Listing Agreement.
 
Publication Date*: 5/23/2013 Mailto Link Identification Number: 62
Frequently Asked Questions
  Can I update my Certification and Listing Agreement after it has been submitted?
Identification Number 63
Yes. Once the Certification or Listing Agreement is submitted, you can update one or both of these forms. There are two ways to update a Certification or Listing Agreement:
  • From within the application, at the top of the page you will see two links, when selected, one link will go to the latest version of the Corporate Governance Certification and the other link will go to the latest version of the Listing Agreement.
  • From the My Forms Page, select the > sign next to the Application. This will display the Certification and Listing Agreement records associated with the application. To update one or both of these forms, double click on the form type you would like to update.
Note that while the Listing Agreement and Certification form may be updated once they are submitted, Listing Applications cannot be updated through the Listing Center once they are submitted. If you need to update an application, you must contact your Listing Analyst.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 63
Frequently Asked Questions
  Who may sign the Corporate Governance Certification and Listing Agreement?
Identification Number 64
The Certification and Listing Agreement can be signed by any person legally authorized by the company to provide such information to Nasdaq on the company's behalf.
 
Publication Date*: 8/30/2013 Mailto Link Identification Number: 64
Frequently Asked Questions
  Are listed companies required to submit a certification of compliance with Nasdaq's corporate governance rules?
Identification Number 400
Yes. As part of initial application process, each company completes a Corporate Governance Certification Form and submits this form along with its Listing Application. The form certifies the company's compliance with Nasdaq's requirements relating to the audit committee, the director nominating process, the determination of officer compensation, board composition, executive sessions, quorum and code of conduct. This form can be completed electronically after logging in to the Listing Center.
 
Once listed, companies do not need to submit annual certifications, but must update the form if a change in the company's status results in the prior certification no longer being accurate.  For example, if a company indicated on its certification that it was not subject to a requirement because it was a controlled company, that company must submit a new form if it ceases to be a controlled company. Similarly, a Foreign Private Issuer that relied on an exemption in its certification would have to file a new certification if the company ceased to be a Foreign Private Issuer. To submit an updated Certification Form once the Company is already listed, log in to the Listing Center and complete a Company Event Notification Form.
 
Publication Date*: 5/23/2013 Mailto Link Identification Number: 400
Frequently Asked Questions
  Who should execute and submit a Dual Listing Agreement?
Identification Number 67
A Dual Listing Agreement should be executed and submitted by issuers currently listed on a registered, national securities exchange ("Other Exchange") seeking initial listing on the Nasdaq Stock Market without having their securities designated as Nasdaq® national market securities within the meaning of Section 11A of the Securities Exchange Act of 1934 or the rules thereunder. Additionally, this Agreement should be executed and submitted by any issuer that has previously submitted a Dual Listing Agreement if such issuer is changing its name.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 67
Frequently Asked Questions
  Does Corporate Data Operations have to be notified about a dividend if notice of the dividend announcement is provided to MarketWatch through the Electronic Disclosure Submission System?
Identification Number 8
Yes. A company must notify Nasdaq Corporate Data Operations as soon as possible after declaration, and, in any event, no later than simultaneously with the public disclosure and no later than 10 calendar days prior to record date. The company should use the Dividend/Distribution/Interest Payment Form, which may be submitted electronically through the Listing Center. Failure to notify Nasdaq of dividend actions or stock distributions may result in the issuance of a deficiency notification.
 
The company must also provide public notice of a dividend action or stock distribution using a Regulation FD compliant method. Appropriate notification of the public disclosure must also be provided to Nasdaq MarketWatch though the Electronic Disclosure Submission System.
  
Publication Date*: 12/12/2012 Mailto Link Identification Number: 8
Frequently Asked Questions
  When must a company report the declaration of a cash dividend or non-cash distribution?
Identification Number 6
Notice of the declaration of a dividend or distribution must be received as soon as possible after declaration, and, in any event, no later than simultaneously with the public disclosure and no later than 10 calendar days prior to the record date in order to be in compliance with Listing Rule 5250(e)(6) and Rule 10b-17 of the Securities and Exchange Act of 1934.
 
Publication Date*: 10/16/2019 Mailto Link Identification Number: 6
Frequently Asked Questions
  How does a company report a cash dividend or non-cash distribution?
Identification Number 7
To report a dividend or distribution, a company should complete the Dividend/Distribution/Interest Payment Form, which may be submitted electronically through the Listing Center.  Please contact Corporate Data Operations Staff directly at dividends@nasdaq.com, +1 203 926 3501 or +1 877 308 0523 with any questions.  
   
The company must also provide public notice of a dividend action or stock distribution using a Regulation FD compliant method. Appropriate notification of the public disclosure must also be provided to Nasdaq MarketWatch through the Electronic Disclosure Submission System.
   
Publication Date*: 12/12/2012 Mailto Link Identification Number: 7
Frequently Asked Questions
  When is a company required to submit a Dividend/Distribution/Interest Payment Form?
Identification Number 1059

Pursuant to Listing Rule 5250(e)(6) and SEC Rule 10b-17, the issuer of any class of securities listed on the Nasdaq Stock Market must notify Nasdaq no later than ten calendar days prior to the record date of a cash or non-cash dividend or other distribution.

The issuer must also provide public disclosure of the dividend action using a Regulation FD compliant method. Notice to Nasdaq should be given as soon as possible after declaration, and, in any event, no later than simultaneously with the public disclosure. Please note that appropriate notification of the public disclosure of material changes in dividends and other distributions must also be provided to Nasdaq MarketWatch through the Electronic Disclosure Submission System.

Publication Date*: 12/12/2012 Mailto Link Identification Number: 1059
Frequently Asked Questions
  How does Nasdaq use the information provided in a Dividend/Distribution/Interest Payment Form?
Identification Number 1104

Nasdaq will use the information in this Notification to determine an ex-dividend date for the distribution, which is the date on which the security will start trading without the right to receive the dividend or distribution. The information provided in this Notification is subject to immediate public disclosure and, upon receipt; Nasdaq will notify market participants about the dividend and the ex-dividend date. Please keep this in mind if public notice of the dividend has not otherwise occurred.

Nasdaq will provide an email confirmation of the ex-dividend date ruling with respect to this Notification. Please call Nasdaq’s Corporate Data Operations Staff directly at +1 203 926 3501 or +1 877 308 0523 with any questions.

Publication Date*: 12/12/2012 Mailto Link Identification Number: 1104
Frequently Asked Questions
  Are companies that list American Depositary Receipts on Nasdaq required to report the declaration of a dividend?    
Identification Number 9
Yes. Nasdaq's rules require that the listed company provide notice to Nasdaq and the public of a dividend action or stock distribution. These notifications are the responsibility of the listed company. The company can designate its Depositary Bank to complete the appropriate Nasdaq form if so desired and Nasdaq will accept the form from the bank on behalf of the issuer. However, any failure to comply with Nasdaq's requirements remains the responsibility of the company.
 
The company (or its designee) should use the Dividend/Distribution/Interest Payment Form online in the Listing Center to report the transaction. When reporting a cash dividend for an ADR, the information provided in the "amount" field should be the amount to be distributed to ADR holders. The company should include in this field not only the net amount of the distribution but also the gross amount and any tax and fee information.
 
This notification should be provided to Nasdaq Corporate Data Operations as soon as possible after declaration, but in any event, no later than simultaneously with the public disclosure described below. Notice must be provided at least ten calendar days prior to the record date.
 
The company must also provide public notice of a dividend action or stock distribution using a Regulation FD compliant method. Appropriate notification of the public disclosure must also be provided to Nasdaq MarketWatch through the Electronic Disclosure Submission System.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 9
Frequently Asked Questions
  What prior notice to Nasdaq is required for the separation of units?
Identification Number 1788
Listed companies, including SPACs, should provide at least three days’ notice about the separation of listed units. Notice should be sent to nasdaqreorgs@nasdaq.com, and include the following information: 1) the date of separation/listing of the components, 2) total share outstanding amounts (i.e., the number listed) for each component that was underlying the unit, and 3) whether the unit will remain listed upon separation.
 
Publication Date*: 3/10/2021 Mailto Link Identification Number: 1788
Frequently Asked Questions
  Who can I contact if I have questions about Nasdaq's listing standards or forms that listed companies are required to submit?
Identification Number 1142
For questions on listing requirements, including corporate governance requirements, and forms for listed companies, please contact Nasdaq's Listing Qualifications Department, which is responsible for monitoring companies for compliance with the initial and continued listing requirements.
 
Representatives of listed companies can also log into the Listing Center to get contact information for their dedicated continued listing analyst.
 
Publication Date*: 1/26/2016 Mailto Link Identification Number: 1142
Frequently Asked Questions
  Can I view a Listing Application or notification form without logging in to the Listing Center?
Identification Number 41
Yes. You can view and print forms using our "preview" mode. These preview forms were created to help you gather all the information needed to complete your form. You will, however, need to log in or create a new user account in order to submit a form.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 41
Frequently Asked Questions
  Can a company proceed with the submission of a listing application even if not all of the information requested in the application is available at the time?
Identification Number 335
If a company does not have all the necessary information currently available, it may submit a substantially completed application provided that the remaining information follows in a timely manner.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 335
Frequently Asked Questions
  When should a company complete a Company Event Form?
Identification Number 1086

Companies should use the Company Event Notification form to:

  • Request name and/or symbol change
  • Report changes in place of incorporation, security title and/or par value
  • Provide notification of reverse stock split
  • Update Corporate Governance Certification and/or Listing Agreement
  • Report other types of substitution listing events, including listing a new class of securities in substitution for a previously listed class, forming a holding company that replaces a listed company, or effecting technical share for share exchanges.

To see a preview of this form, click here. The Company Event Notification form replaces both the Substitution Listing Event and Change in Company Record Forms.

Publication Date*: 8/9/2013 Mailto Link Identification Number: 1086
Frequently Asked Questions
  What types of changes to a company's record require notification to Nasdaq and is there a fee associated with this notification?
Identification Number 15
All companies listed on the Nasdaq Stock Market are required to log in to the Listing Center and file the Company Event Notification when any of the following occur:
  • Change in the company's name;
  • Change in the par value or title of the company's securities; or
  • Voluntary change in the company's symbol.
All notifications are required to be filed with Nasdaq no later than ten calendar days after the change; however, Nasdaq recommends that the submission be made at least two business days prior to the change. Under the All-Inclusive Annual Fee program, Nasdaq does not charge a fee for a change in the company's record.
 
Publication Date*: 11/30/2017 Mailto Link Identification Number: 15
Frequently Asked Questions
  What information does Nasdaq require from a company that is changing its name, par value, or title of its securities?    
Identification Number 17
The company should log in to the Listing Center and complete the Company Event Notification no later than 10 business days after changing its name, par value, or title of its securities; however, Nasdaq recommends that the submission be made no later than two business days prior to a requested change in the company's name. If the company is changing its name, it should also submit a new Listing Agreement, which can be completed as part of the Company Event Notification.
 
Please note that Nasdaq does not assess a fee for a change of name, par value, or title of a company's securities or any other corporate action.
 
Publication Date*: 11/30/2017 Mailto Link Identification Number: 17
Frequently Asked Questions
  What corporate actions require a change in the CUSIP number?    
Identification Number 2
The CUSIP number is assigned to each issue and may need to be changed when there is a:
    • Change in company name;
    • Reorganization;
    • Merger;
    • Forward stock split, when payable upon surrender of certificates;
    • Reverse stock split; or
    • Emergence from bankruptcy.
The company should contact the CUSIP Service Bureau directly at +1 212 438 6565 for guidance regarding whether or not a new CUSIP number is needed and to secure the new number.

The company must notify Nasdaq about the change and should review Continued Listing Guide regarding the submission of the applicable Notification and supporting documentation. The company should contact Corporate Data Operations at +1 203 926 3501, +1 877 308 0523 or via email at nasdaqreorgs@nasdaq.com if it has any questions regarding the notification process.

Please note that Nasdaq does not assess a fee for a change in the CUSIP number or any other corporate action.
 
Publication Date*: 11/30/2017 Mailto Link Identification Number: 2
Frequently Asked Questions
  What type of event is considered to be a "Substitution Listing Event", and what are the notification and fee requirements associated with such an event?  
Identification Number 22
All companies listed on the Nasdaq Stock Market are required to log in to the Listing Center and file the Company Event Notification when the following events occur:
    • Reverse stock split;
    • Re-incorporation or a change in the company's place of organization;
    • The formation of a holding company that replaces a listed company;
    • Reclassification or exchange of a company's shares for another security;
    • The listing of a new class of securities in substitution for a previously-listed class of securities; or
    • Any technical change whereby the shareholders of the original company received a share-for-share interest in the new company without any change in their equity position or rights.
All notifications are required to be filed with Nasdaq 15 calendar days prior to the substitution listing event, with the exception of a re-incorporation or a change to a company's place of organization. For these events, the company shall notify Nasdaq as soon as practicable after the change.
 
Please note that Nasdaq does not assess a fee for a substitution listing event.
 
Please also note that Nasdaq requires notification when a company requests a change of its name, a change in the par value or title of its securities, or a voluntary change in its trading symbol. The company can report all of these changes using the Company Event Notification.
 
Publication Date*: 11/30/2017 Mailto Link Identification Number: 22
Frequently Asked Questions
  What information does Nasdaq require for a reverse stock split?
Identification Number 317

On November 1, 2023, the SEC approved new Nasdaq rules on notification and disclosure of reverse stock splits. Under the new rules, a listed company conducting a reverse stock split must:

  • Log into the Listing Center and complete the Company Event Notification including all supporting documentation by 12:00 P.M. ET five business days prior to the anticipated market effective date.
  • Publicly disclose the reverse stock split by 12:00 P.M. ET as least two business days prior to the anticipated market effective date.

Nasdaq will not process and effect a reverse stock split unless the above requirements have been satisfied and will halt trading in the security of any issuer that effects a reverse stock split without meeting these requirements. 

To notify market participants, Nasdaq will publish announcements of reverse stock splits on the Daily List and in an Equity Corporate Action Alert for the two business days prior to the market effective date. These are both available on the Nasdaq Trader website.

On November 8, 2023, the SEC also approved new Nasdaq rules related to regulatory halts for reverse stock splits. Under the new rules, Nasdaq will halt a Nasdaq-listed security starting around 7:50 p.m. ET on the day immediately before the market effective date of a reverse stock split, and re-open the security for trading at around 9:00 a.m. ET on the effective day of a reverse stock split. 

Publication Date*: 12/23/2022 Mailto Link Identification Number: 317
Frequently Asked Questions
  What information does Nasdaq require for a change in the state of incorporation?  
Identification Number 322
The company should log in to the Listing Center and complete the Company Event Notification as soon as practicable after the re-incorporation or the change in the place of organization has been implemented. The submission should include any applicable proxy statement or board resolutions.
 
Please note that Nasdaq does not assess a fee for a change in the state of incorporation or any other corporate action.
 
Publication Date*: 11/30/2017 Mailto Link Identification Number: 322
Frequently Asked Questions
  If a Nasdaq-listed company is being acquired such that its securities will no longer exist, what information needs to be submitted to Nasdaq?
Identification Number 25
If a Nasdaq-listed company is to merge with or be acquired by another company, the Nasdaq-listed company or its counsel should provide a letter with the following information to Corporate Data Operations:
    • Whether the shareholders have approved the transaction;
    • Name and contact of the acquiring entity;
    • Merger considerations on a per share basis (If there is an election, consideration for the non-electing shareholder should be provided.)
    • Confirmation that the Certificate of Merger has been filed with the appropriate state or non-U.S. agency; and
    • Request to delist at the close of business on the day that the merger is completed.     
The company or its counsel should contact Corporate Data Operations at nasdaqreorgs@nasdaq.com, +1 203 926 3501 or +1 877 308 0523 prior to the declaration of the shareholder meeting date, so that any extraneous issues, which may arise as a result of the merger, can be discussed in advance.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 25
Frequently Asked Questions
  What information does Nasdaq require in connection with a tender offer?
Identification Number 26
If a Nasdaq-listed company is the subject of a tender offer, the company or its counsel should notify Corporate Data Operations and Listing Qualifications as soon as possible after the launch of the tender offer.
 
The notification should identify the Nasdaq company involved and the percentage of shares being tendered. Given the time sensitivity, this notification should be submitted via email to Corporate Data Operations at nasdaqreorgs@nasdaq.com and to Listing Qualifications at continuedlisting@nasdaq.com.
 
If a tender offer is subsequently extended, the company should notify Corporate Data Operations at +1 203 926 3501, +1 877 308 0523 or email.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 26
Frequently Asked Questions
  How does a company notify Nasdaq regarding a rights offering or poison pill?
Identification Number 14

The company should complete the Dividend/Distribution/Interest Payment Form, which may be submitted electronically through the Listing Center, as soon as possible after declaration, and, in any event, no later than simultaneously with the public disclosure and no later than 10 calendar days prior to record date.

In addition, the company may be required to file the Listing of Additional Shares (LAS) notification form. LAS forms are required to be filed with Nasdaq no later than 15 calendar days prior to certain events, including issuing any common stock, or any security convertible into common stock in a transaction that may result in the potential issuance of common stock, greater than 10% of either the total shares outstanding or the voting power outstanding on a pre-transaction basis. Please review Listing Rule 5250(e)(2) to determine whether the company is required to file the LAS form.

Publication Date*: 7/31/2012 Mailto Link Identification Number: 14
Frequently Asked Questions
  Are companies that list debt instruments on Nasdaq required to report interest payments?
Identification Number 1075

Yes. A company must notify Nasdaq Corporate Data Operations no later than 10 calendar days prior to the record date of such action. The company should complete the Dividend/Distribution/Interest Payment Form found in the Listing Center. This notification should be provided as soon as possible after declaration and in any event, no later than simultaneously with the public notice.

 
Publication Date*: 8/29/2013 Mailto Link Identification Number: 1075
Frequently Asked Questions
  When should a company complete a US Share Certification Form?
Identification Number 70
A non-U.S. company with ordinary or common shares listed on the Nasdaq Global Select Market, Global Market or the Capital Market should complete this form annually (in November or December). This form is used to collect the number of shares issued and outstanding in the United States, which is used to generate annual fee invoices issued to companies in January.
 
Publication Date*: 4/10/2023 Mailto Link Identification Number: 70
Frequently Asked Questions
  Does Nasdaq require notification if a listed company changes its transfer agent or depository?
Identification Number 407
Yes. Each listed company is required to notify Nasdaq in writing of any change in its transfer agent or depositary. A letter, signed by an officer of the company, must be sent to the company's Listing Qualifications analyst via email at continuedlisting@nasdaq.com and should include the following information:
    • Complete corporate name;
    • Effective date; and
    • Name of new transfer agent/depositary.
The company should notify Nasdaq as soon as possible after the arrangements with the new transfer agent or depository are finalized.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 407
Frequently Asked Questions
  What information does Nasdaq need for redemptions/expirations or the extensions of warrants, rights, convertible debt or tender offers?
Identification Number 325
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.com at least ten business days prior to the expiration date of a Nasdaq-listed derivative security or any change in the redemption or expiration dates of Nasdaq-listed warrants, rights, or convertible debentures. The company will be requested to confirm the details of the corporate action.  
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 325
Frequently Asked Questions
  What information does Nasdaq need when a company changes its logo?
Identification Number 320
The company should complete a new Company Logo Submission Form, which may be submitted electronically through the Listing Center.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 320
Frequently Asked Questions
  Must a company provide notice to Nasdaq about its shareholder meeting?
Identification Number 85
A company that files its proxy statement via EDGAR in connection with an annual shareholder meeting does not have to provide any additional notice to Nasdaq about its annual meeting. A company that does not file a proxy via EDGAR must send its proxy statement or other shareholder notice to Listing Qualifications via email at continuedlisting@nasdaq.com no later than when it is mailed to shareholders.  
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 85
Frequently Asked Questions
  What notification is required if there is a change in the company's auditors?
Identification Number 399
Companies should provide public notice of the change using a Regulation FD compliant method and inform Nasdaq MarketWatch though the Electronic Disclosure Submission System. Please see the "Disclosure of Material News" section of our Continued Listing Guide publication. In addition, a change in the company's certifying accountants must be reported to the SEC on Form 8-K or Form 6-K.  
 
Publication Date*: 10/16/2019 Mailto Link Identification Number: 399
Frequently Asked Questions
  Does Nasdaq require notification when a company no longer complies with the corporate governance requirements as set forth in the Listing Rule 5600 Series?
Identification Number 113
Yes. As set forth in Listing Rule 5625, a company must provide Nasdaq with prompt notification after an executive officer of the company becomes aware of any noncompliance by the company with the requirements of the Listing Rule 5600 Series, which relates to corporate governance. As such, companies are required to notify Nasdaq if they are relying on the "Cure Periods" set forth in the Listing Rule 5600 Series to regain compliance. The company should provide this notification to its Listing Qualifications Analyst via email to continuedlisting@nasdaq.com.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 113
Frequently Asked Questions
  What are considered Reg FD compliant methods of disclosure for addressing Nasdaq's disclosure rules?
Identification Number 495
Regulation FD compliant methods of disclosure include any one method (or combination of methods) listed below that is reasonably designed to provide broad, non-exclusionary distribution of the information to the public:
    • A broadly disseminated press release
    • Furnishing to or filing a Form 8-K or Form 6-K with the SEC
    • Conference calls*
    • Press conferences*
    • Webcasts*
    • Company web sites (For more information, please see "SEC Guidance on the Use of Company Web Sites - August 2008"
    • Social media channels (For more information, please see “SEC Says Social Media OK for Company Announcements if Investors Are Alerted”).
*So long as the public is provided adequate notice (generally by a press release) and granted access.
 
Publication Date*: 10/16/2019 Mailto Link Identification Number: 495
Frequently Asked Questions
  What does a company need to do to voluntarily delist its securities from Nasdaq?
Identification Number 326
Under Listing Rule 5840(j), an issuer may voluntarily terminate its listing upon compliance with the requirements of Rule 12d2-2(c) under the Exchange Act which requires, in part, that the company: (i) complies with all applicable state laws and Nasdaq rules; (ii) provides written notice to Nasdaq no fewer than 10 calendar days before the company files a Form 25 with the SEC, including a statement of the material facts related to the reason for the delisting; and (iii) publishes a notice of its intent to delist, along with the reasons, via a press release and on its web site, if it has one. The company or its counsel should provide the required written notice to Nasdaq by sending a letter to its Listing Qualifications analyst via email at continuedlisting@nasdaq.com. Nasdaq will post notice that it received this notification on the List of Issues Pending Delisting.
 
Please note that if the company has received notice from Nasdaq, pursuant to Listing Rule 5800, that it fails to comply with one or more requirements for continued listing, or that is aware that it is below such continued listing requirements notwithstanding that it has not received such notice from Nasdaq, it must disclose this fact (including the specific continued listing requirement that it does not meet) in its Form 25, the related press release and web site notices.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 326
Frequently Asked Questions
  How does the Nasdaq Listing Center work?
Identification Number 31
Each user must create an account. The user can then add multiple forms under a single account, and the forms can be shared with other users. Any user with access to the form can make modifications and updates. You may complete the form in stages or all at once.
 
Please read through all of our Listing Center FAQs to get a better understanding of how the electronic submission process works.  If you still have questions, please call Listing Qualifications Staff at +1 301 978 8001.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 31
Frequently Asked Questions
  What information does Nasdaq require when a company is listing additional shares?
Identification Number 1808

You can preview the Listing of Additional Shares Notification prior to logging into the Listing Center to determine what information Nasdaq requires for your company’s particular LAS transaction. 

If you still have questions, please call Listing Qualifications Staff at +1 301 978 8008 or email us at las@nasdaq.com.

Publication Date*: 9/9/2021 Mailto Link Identification Number: 1808
Frequently Asked Questions
  Where can I view a copy of the Listing of Additional Shares Notification Form?
Identification Number 1809
You can preview a copy of Nasdaq’s Listing of Additional Shares Notification Form here.
Publication Date*: 5/15/2023 Mailto Link Identification Number: 1809
Frequently Asked Questions
  Is a company required to alert Nasdaq that the transaction triggering a Listing of Additional Shares Notification Form has been terminated?
Identification Number 1810
Companies can inform the Listing Qualifications Staff that the transaction was terminated by calling +1 301 978 8008 or email us at las@nasdaq.com.
Publication Date*: 9/9/2021 Mailto Link Identification Number: 1810
Frequently Asked Questions
  Can I submit an LAS Notification Form even if I do not have information to fill in all of the required fields?
Identification Number 52

No. While a user may elect to complete this form all at once or in stages, this form cannot be submitted until all questions are completed.  If you hit the Submit Form button prior to completing the form, you will be prompted to complete any required fields that have not been filled out. If you are unable to complete the form at that time, click the button Save for Later to save the form to complete later.

If you have questions or concerns related to completing a Listing of Additional Shares Notification Form, please call Listing Qualifications Staff at +1 301 978 8008 or email us at las@nasdaq.com. 

Publication Date*: 9/9/2021 Mailto Link Identification Number: 52
Frequently Asked Questions
  Can I update or change the Listing of Additional Shares (LAS) Notification Form after it has been submitted?
Identification Number 53
No.  Once your company’s Listing of Additional Shares Notification Form has been submitted, you cannot update or edit it. If you have questions or concerns related to an LAS transaction for which your company has already submitted a notification form, please call Listing Qualifications Staff at +1 301 978 8008 or email us at las@nasdaq.com.
 
Publication Date*: 9/9/2021 Mailto Link Identification Number: 53
Frequently Asked Questions
  Where are the Listing of Additional Shares Notification and instructions located on the website?
Identification Number 381
The LAS Notification Form is located on, and must be submitted electronically through, our Listing Center.  Companies can preview the LAS Notification Form prior to logging into the Listing Center to review instructions and required information.  See these FAQs for more information.

For assistance, please contact Listing Qualifications at +1 301 978 8008 or email us at las@nasdaq.com.

Publication Date*: 9/9/2021 Mailto Link Identification Number: 381
Frequently Asked Questions
  Are non-U.S. companies required to submit Listing of Additional Shares Notification Forms under Listing Rule 5250(e)(2)?
Identification Number 397

Non-U.S. companies are required to submit LAS Notifications unless the non-U.S. company lists only ADRs or ADSs on Nasdaq.

 
Publication Date*: 9/9/2021 Mailto Link Identification Number: 397
Frequently Asked Questions
  How does Nasdaq compute the number of shares issuable in a transaction?
Identification Number 181
In determining the potential issuance in a transaction, Nasdaq will include all shares that are potentially issuable, even if the circumstances for their issuance are remote. For example, if the company has any anti-dilution features or reset provisions or earn-out or similar provisions that could potentially reach the shareholder approval requirement thresholds, then the company would be required to obtain shareholder approval before issuing shares in the transaction.
 
Publication Date*: 9/9/2021 Mailto Link Identification Number: 181
Frequently Asked Questions
  How should the Listing of Additional Shares Notification Form be submitted?
Identification Number 387
The LAS Notification Form must be filed electronically through the Listing Center.

After logging in to the Listing Center, click  on the Create New Form tab at the top of the Listing Center home page. Then select U.S. Market: Nasdaq from the Select Listing Center drop down menu. Then select Currently Listed on Nasdaq. Afterwards you will be given a choice of form to fill out. Select Listing of Additional Shares Notification Form. Then enter unique company identifiers such as ticker and CUSIP or CIK, then enter the unique LETTER code, and then click the Enter button.

You may complete the Listing of Additional Shares Notification Form in stages or all at once; however, the form cannot be submitted until all questions are answered.  Upon submission of the form, an email will be sent from the Listing Center notifying you that Nasdaq has received it. You can always access your company’s completed LAS Notification Form online by logging into the Listing Center, but once the form is submitted it cannot be changed.

For assistance, please contact Listing Qualifications at +1 301 978 8008 or email us at las@nasdaq.com.

 

 
Publication Date*: 9/9/2021 Mailto Link Identification Number: 387
Frequently Asked Questions
  What supporting documentation should be provided with the Listing of Additional Shares Notification Form?
Identification Number 390

Nasdaq’s process for Listing of Additional Shares is a notification process, not an approval process.

There is no supporting documentation required to notify Nasdaq of intent to issue additional shares of the listed class other than the Listing of Additional Shares Notification Form, which must be submitted electronically through the Listing Center. You can preview a copy of Nasdaq’s Listing of Additional Shares Notification Form here

 Staff will review completed LAS transactions for compliance with Nasdaq’s Listing Rules (notably the shareholder approval and voting rights requirements) and will contact your company for additional information only if compliance issues are identified.

If you have further questions, please review these FAQs for important information about Nasdaq’s LAS notification and timing requirements and these FAQs for important information about Nasdaq’s shareholder approval and voting rights rules.

 
Publication Date*: 9/9/2021 Mailto Link Identification Number: 390
Frequently Asked Questions
  May a company submit an incomplete Listing of Additional Shares Notification Form?
Identification Number 391

No.  Nasdaq’s Listing Center will not allow an incomplete LAS Notification Form to be submitted.  However, companies may elect to complete a form all at once or in stages prior to submission. Once a Listing of Additional Shares Notification Form has been submitted, it cannot be updated or edited.

If you have questions or concerns related to completing a Listing of Additional Shares Notification Form, please call Listing Qualifications Staff at +1 301 978 8008 or email us at las@nasdaq.com.

Publication Date*: 9/9/2021 Mailto Link Identification Number: 391
Frequently Asked Questions
  What happens if there are changes to our transaction after we submit the Listing of Additional Shares Notification Form?
Identification Number 392
Once Listing of Additional Shares Notification Form has been submitted, you cannot update or edit it. If you have questions or concerns related to a submitted form, please call Listing Qualifications Staff at +1 301 978 8008 or email us at las@nasdaq.com.

 
Publication Date*: 9/9/2021 Mailto Link Identification Number: 392
Frequently Asked Questions
  What happens if a company is unable to file the Listing of Additional Shares Notification within the prescribed timeframe?
Identification Number 393
Companies are encouraged to submit the LAS Notification Form as soon as all required information to complete the form is known.  If you have questions or concerns related to filing a Listing of Additional Shares Notification Form in a timely manner, please call Listing Qualifications Staff at +1 301 978 8008 or email us at las@nasdaq.com.
Publication Date*: 9/9/2021 Mailto Link Identification Number: 393
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