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Frequently Asked Questions
  Does Nasdaq require notification if a listed company changes its transfer agent or depository?
Identification Number 407
Yes. Each listed company is required to notify Nasdaq in writing of any change in its transfer agent or depositary. A letter, signed by an officer of the company, must be sent to the company's Listing Qualifications analyst via email at and should include the following information:
    • Complete corporate name;
    • Effective date; and
    • Name of new transfer agent/depositary.
The company should notify Nasdaq as soon as possible after the arrangements with the new transfer agent or depository are finalized.
Publication Date*: 7/31/2012 Mailto Link Identification Number: 407
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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