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Frequently Asked Questions
  How do continued listing standards apply to ETPs listed pursuant to a product-specific rule filing under SEC Rule 19b-4?
Identification Number 1458
ETPs listed pursuant to a product-specific rule filing under SEC Rule 19b-4 are required to maintain compliance with the representations made in the filing regarding the index composition, description of the portfolio or reference assets, limitations on portfolio holdings or reference assets, dissemination and availability of index reference asset and intraday indicative values, and the applicability of Nasdaq rules and surveillance procedures (the "19b-4 Representations"). Such ETPs do not also have to meet the continued listing standards otherwise included in the listing rules for the specific type of ETP.

 

Example

An ETF listed pursuant to Rule 5705(b)(3) files a rule proposal requesting relief because it does not meet Rule 5705(b)(3)(A)(i)(a) (90% of the component weight of the index has a minimum market value of $75 million). If the rule proposal is approved, the ETF would thereafter be required to comply with 1) the 19b-4 Representations contained in the rule proposal and 2) the requirements of Rule 5705(b)(3) except for Rule 5705(b)(3(A)(i)(a).

Publication Date*: 12/1/2017 Mailto Link Identification Number: 1458
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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