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1- 9 of 9
Search Results for:
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Ordering of Search Results
When searching across multiple libraries:
FAQs will appear in alphabetical order by category and sub-category
Listing Council Decisions will appear in reverse chronological order by year.
Staff Interpretations will appear in reverse chronological order by year
When searching using keywords:
Results are returned in order of term frequency (i.e., the number of times the keywords appear in the material).
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Libraries:
FAQs - Listings
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Filters:
Notifications and Forms; Material News
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Identification Number
1038
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MarketWatch provides real-time surveillance for activity on the Nasdaq Stock Market, Nasdaq BX, Nasdaq PSX, Nasdaq and Nasdaq BX Options Markets, and Nasdaq Futures to maintain an orderly marketplace and level playing field for investors, market participants and listed companies. In an effort to foster marketplace integrity, MarketWatch oversees the complete and timely disclosure of material information by Nasdaq-listed companies. In addition, MarketWatch monitors compliance with Exchange rules and policies through real-time surveillance of price and volume information reported by market participants in equities, options, and futures transactions. MarketWatch works closely with Nasdaq business lines and FINRA in an effort to provide fair and equitable regulation for the Nasdaq markets. When activity is suspected of being potentially in violation of Exchange rules and policies, MarketWatch refers the activity to FINRA's regulatory groups for further review and potential disciplinary action. Information received by MarketWatch is confidential and used strictly for regulatory purposes. MarketWatch implements fair and independent decisions within the scope of its authority and without influence from other Nasdaq offices. MarketWatch also recognizes the need to have technical expertise on staff to assist with maintaining regulatory compliance when changes are made to Nasdaq trading systems, rule book, data feeds, and surveillance applications. The Regulatory Technology team is responsible for ensuring that both business and technical changes are in compliance with the Nasdaq rule book.
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Publication Date*:
8/12/2015
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Identification Number:
1038
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Identification Number
494
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MarketWatch hours are 4:00 a.m. until 8:00 p.m. ET, Monday – Friday. MarketWatch phone numbers are toll-free at +1 800 537 3929 or at +1 301 978 8500.
Companies are required to notify MarketWatch at least ten minutes prior to the public release of certain material news announcements when the public release of the information is made between 7:00 a.m. to 8:00 p.m. ET. If the public release of the material information is made outside of 7:00 a.m. to 8:00 p.m. ET, companies must notify MarketWatch of the material information prior to 6:50 a.m. ET. Material news disclosures must be submitted directly to MarketWatch through the Electronic Disclosure Submission System. In the event of an emergency situation where the company cannot submit the material news via the Electronic Disclosure Submission System, material news may be faxed to MarketWatch at +1 301 978 8510. Outside of MarketWatch hours, companies may also leave voicemail messages outlining the material news at +1 800 537 3929 or +1 301 978 8500 when unable to electronically submit the material information due to an emergency situation.
Companies do not need verbal confirmation that MarketWatch received their notification. Submission of the material information to MarketWatch is sufficient. MarketWatch neither approves nor disapproves the content of news disclosures. Companies should consult their investor relations and legal counsel regarding the appropriate content of news disclosures.
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Publication Date*:
5/10/2013
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Identification Number:
494
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Identification Number
498
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Nasdaq rules require companies make prompt disclosure of material news to the public through any Regulation FD compliant method (or combination of methods) of disclosure. Notification of certain planned material news announcements to MarketWatch remains a requirement for all disclosure methods and must be provided at least ten minutes prior to the public release of the announcement when the public release of the information is made between 7:00 a.m. to 8:00 p.m. ET. If the public release of the material information is made outside of the hours 7:00 a.m. to 8:00 p.m. ET, companies must notify MarketWatch of the material information prior to 6:50 a.m. ET.
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Publication Date*:
5/10/2013
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Identification Number:
498
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Identification Number
496
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"Could an Exchange Act filing other than a Form 8-K, such as a Form 10-Q or proxy statement, constitute public disclosure? Yes. In general, including information in a document publicly filed on EDGAR with the SEC within the time frames that Regulation FD requires would satisfy the rule. In considering whether that disclosure is sufficient, however, companies must take care to bring the disclosure to the attention of readers of the document, must not bury the information, and must not make the disclosure in a piecemeal fashion throughout the filing."
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Publication Date*:
7/31/2012
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Identification Number:
496
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Identification Number
500
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Listing Rules 5250(a) and IM 5250-1 require Nasdaq companies to provide full and prompt responses to requests by Nasdaq for information related to unusual market activity or to events that may have a material impact on the trading of its securities in Nasdaq. Nasdaq MarketWatch may occasionally call company officials to discuss unusual market activity, material news and/or undisclosed corporate developments. This is routine practice. The information exchanged is confidential and used solely for regulatory purposes. A company official may verify the MarketWatch contact before discussing material information by obtaining the name of the MarketWatch analyst and calling him/her back through the MarketWatch main numbers. This obligation also applies to requests for information by FINRA, acting on behalf of Nasdaq.
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Publication Date*:
7/31/2012
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Identification Number:
500
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Identification Number
499
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A temporary trading halt benefits existing and potential shareholders by ensuring that material news is distributed equally among the investing public and the marketplace and that trading is based on publicly held facts. MarketWatch takes into account the timing of the disclosure by the company, the relative importance of the material news and any other factors that might necessitate a temporary trading halt in its evaluation of the material disclosure. Nasdaq usually reaches out to the company before making a halt determination. MarketWatch generally implements trading halts from 7:00 a.m. – 8:00 p.m. ET. Between 4:00 a.m. and 7:00 a.m. ET, MarketWatch may implement temporary trading halts at the request of a Nasdaq company when related to material news or in conjunction with a regulatory trading halt imposed by a foreign listing market. Trading is normally resumed in a stock about thirty minutes following dissemination of the material disclosure through a Regulation FD compliant method, although Nasdaq may vary the length of the trading halt in consultation with the company or when Nasdaq is scheduling trading resumptions around the open or close of regular market hours.
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Publication Date*:
5/10/2013
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Identification Number:
499
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Identification Number
503
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Publication Date*:
7/31/2012
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Identification Number:
503
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Identification Number
504
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A Clearly Erroneous trade filing must be transmitted online to MarketWatch within a certain time period, depending on when the alleged erroneous trade was executed.
Specifically:
- An Erroneous trade filing must be transmitted online to MarketWatch within 30 minutes of the time the alleged erroneous trade was executed.
- Additional time to file is given for an "Outlier Transaction". In the case of an Outlier Transaction, a Nasdaq official may at its sole discretion, and on a case-by-case basis, consider requests received pursuant to this rule after 30 minutes, but not longer than 60 minutes after the execution time of the transaction in question, depending on the facts and circumstances surrounding such request.
To view the Clearly Erroneous Filing Electronic Submission online, click here.
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Publication Date*:
10/16/2019
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Identification Number:
504
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Identification Number
1321
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Nasdaq rules require the disclosure of material information. While materiality must be assessed based on the applicable facts and circumstances, Nasdaq generally would consider a restatement of a previously disseminated NAV by more than 1% to be material information.
When a company discloses any material information, including material information about the restatement of a previously disseminated NAV, the company must provide prior notification to Nasdaq MarketWatch pursuant to Listing Rules 5250(b)(1) and IM-5250-1. For instructions on how to contact MarketWatch, please click here.
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Publication Date*:
2/10/2017
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Identification Number:
1321
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