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Frequently Asked Questions
  When does an ETP have to submit component or portfolio data in connection with the continued listing standards?
Identification Number 1487

In order to allow Nasdaq to determine an ETPs compliance with the continued listing standards, 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. All data submissions are due no later than 30 calendar days following the end of the applicable quarter.

Passive ETFs and ETNs: The index component file must be as of a date within 30 calendar days following the end of the applicable quarter OR if the index was subject to a rebalance or reconstitution during the quarter, as of the date of the rebalance or reconstitution.

Active ETFs: The portfolio component file must be as of a date within 30 calendar days following the end of the applicable quarter.

NextShares: The portfolio component file should be as of the date of the most recent publicly available portfolio.

If you have questions, please contact ETP_regulation@nasdaq.com.

Publication Date*: 1/17/2018 Mailto Link Identification Number: 1487
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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