referencelibrarybanner
Nasdaq Listing Center Anniversary Banner
Reference Library - Advanced Search
Find
 


Library 




 
Timeframe
Category
 
Sub-Category
** To make multiple selections, select the first criterion and then press and hold the Ctrl Key **
 
1- 1 of 1 Search Results for:
Libraries:   FAQs - Listings
Filters:   Non-U.S. Companies;
 
Search   Clear


Expand All
Printer Friendly View
Mailto Link 
Page: 1 of 1
Frequently Asked Questions
  Are there provisions of the Listing Rules for which exceptions are not available?
Identification Number 157
Yes. As set forth in IM-5615-3, a Foreign Private Issuer must comply with Listing Rule 5625 (Notification of Noncompliance). A Foreign Private Issuer must also have an audit committee that satisfies Listing Rule 5605(c)(3). Members of the audit committee must meet the criteria for independence referenced in Listing Rule 5605(c)(2)(A)(ii) (the criteria set forth in Rule 10A-3(b)(1) under the Act, subject to the exemptions provided in Rule 10A-3(c) under the Act). A Foreign Private Issuer must also comply with Listing Rule 5210(c) and Listing Rule 5255 (Direct Registration Program) unless prohibited from complying by a law or regulation in its home country.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 157
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.
Page: 1 of 1
home_footer_links
Copyright_statement
App Store       Google Play       Windows Store       Listing Center Content RSS Feed
The Nasdaq Stock Market, Nasdaq, The Nasdaq Global Select Market, The Nasdaq Global Market, The Nasdaq Capital Market, ExACT and Exchange Analysis and Compliance Tracking system are trademarks of Nasdaq, Inc.
FINRA® and Financial Industry Regulatory Authority, Inc.® are registered trademarks of Financial Industry Regulatory Authority, Inc. OTCBBTM and OTC Bulletin BoardTM are trademarks of FINRA