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Listing Center Coronavirus FAQs for Nasdaq-listed Companies
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Frequently Asked Questions
  Are listed Exchange Traded Products required to submit any data or certifications in connection with the new continued listing standards?
Identification Number 1388
Yes. ETPs are required to submit portfolio or index component data (as applicable) on a quarterly basis based on the fund's fiscal year end or in connection with an index rebalance or reconstitution. The table below describes the information required for various ETPs, based on the listing requirements under which the ETP is listed.
 

FAQ-ETP-table

 

Nasdaq will send an email reminder 30 days prior to the ETPs period end date indicating when the submissions are due. In lieu of submitting the quarterly component file, issuers can submit the file following an index rebalance or reconstitution if the rebalance or reconstitution took place within the applicable fiscal quarter. Issuers who submit the file in connection with a rebalance or reconstitution do not have to submit a separate file for the same fiscal quarter.

ETP sponsors must use our template for submitting index or portfolio component data. Certifications and submissions of data can be submitted using the Listing Center's Company Event Form. A preview of that form can be found here and instructions for submitting the form can be found here.
 
Publication Date*: 10/16/2019 Mailto Link Identification Number: 1388
material_search_footer*The Publication Date reflects the date of first inclusion in the Reference Library, which was launched on July 31, 2012, or a subsequent update to the material. Material may have been previously available on a different Nasdaq web site.
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