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1- 9 of 9
Search Results for:
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Ordering of Search Results
When searching across multiple libraries:
FAQs will appear in alphabetical order by category and sub-category
Listing Council Decisions will appear in reverse chronological order by year.
Staff Interpretations will appear in reverse chronological order by year
When searching using keywords:
Results are returned in order of term frequency (i.e., the number of times the keywords appear in the material).
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Libraries:
FAQs - Listings, FAQs - Market Regulation
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Filters:
2018, 2017, 2016, 2015, 2014, 2013, 2012, 2011, 2010, 2009, 2008, 2007, 2006, 2005, 2004, 2003, 2002; Additional Reference Materials,Annual Shareholder Meeting/Proxy Solicitation,Board Composition/Committee Assignments,Clearly Erroneous,Continued Listing,Disciplinary Process,Distribution of Annual & Interim Reports,Equity Regulation,Exchange Traded Products,Fees,Financial / Books and Records,Hearings and Appeals,Initial Listing,Listing Center,Listing Information,Membership,Non-U.S. Companies,Notifications and Forms,Obvious Errors,Options Regulation,PHLX Trading Floor,Regulatory Authority,Related Party Transactions,Shareholder Approval,Voting Rights; All
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Yes. Nasdaq's rules require that the listed company provide notice to Nasdaq and the public of a dividend action or stock distribution. These notifications are the responsibility of the listed company. The company can designate its Depositary Bank to complete
the appropriate Nasdaq form if so desired and Nasdaq will accept the form from the bank on behalf of the issuer. However, any failure to comply with Nasdaq's requirements remains the responsibility of the company.
The company (or its designee) should use the Dividend/Distribution/Interest Payment Form online in the Listing Center to report the transaction. When reporting a cash dividend for an ADR, the information provided
in the "amount" field should be the amount to be distributed to ADR holders. The company should include in this field not only the net amount of the distribution but also the gross amount and any tax and fee information.
This notification should be provided to Nasdaq Corporate Data Operations as soon as possible after declaration, but in any event, no later than simultaneously with the public disclosure described below. Notice must be provided at least ten calendar days
prior to the record date.
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Publication Date*:
7/31/2012
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Identification Number:
9
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Identification Number
504
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A Clearly Erroneous trade filing must be transmitted
online to MarketWatch within a certain time period, depending on when the alleged erroneous trade was executed.
Specifically:
- An Erroneous trade filing must be transmitted
online to MarketWatch within 30 minutes of the time the alleged erroneous trade was executed.
- Additional time to file is given for an "Outlier Transaction". In the case of an
Outlier Transaction, a Nasdaq official may at its sole discretion, and on a case-by-case basis, consider requests received pursuant to this rule after 30 minutes, but not longer than 60 minutes after the execution time
of the transaction in question, depending on the facts and circumstances surrounding such request.
To view the Clearly Erroneous Filing Electronic Submission
online, click here.
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Publication Date*:
10/16/2019
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Identification Number:
504
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To report a dividend or distribution, a company should complete the Dividend/Distribution/Interest Payment Form, which may be submitted electronically through the
Listing Center. Please contact Corporate Data Operations Staff directly at
dividends@nasdaq.com, +1 203 926 3501 or +1 877 308 0523 with any questions.
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Publication Date*:
12/12/2012
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Identification Number:
7
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Identification Number
1059
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Pursuant to Listing Rule 5250(e)(6) and SEC Rule 10b-17, the issuer of any class of securities listed on the Nasdaq Stock Market must notify Nasdaq no later than ten calendar days prior to the record date of a cash or non-cash dividend or other distribution.
The issuer must also provide public disclosure of the dividend action using a Regulation FD compliant method. Notice to Nasdaq should be given as soon as possible after declaration, and, in any event,
no later than simultaneously with the public disclosure. Please note that appropriate notification of the public disclosure of material changes in dividends and other distributions must also be provided to Nasdaq
MarketWatch through the
Electronic Disclosure Submission System.
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Publication Date*:
12/12/2012
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Identification Number:
1059
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Identification Number
482
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A Public Reprimand letter is issued when Nasdaq Staff determines that a company has violated Nasdaq rules, but does not believe the circumstances warrant
delisting the company. A Public Reprimand is generally issued to address inadvertent violations of
Nasdaq's corporate governance rules.
A company that receives a Public Reprimand letter must publicly disclose receipt of the letter by filing a Form 8-K, where required by SEC rules, or by issuing a press release disclosing receipt of the Reprimand, including the Rule(s) upon which the Reprimand
was based, and describing each specific basis and concern identified by Nasdaq in reaching its determination that the company does not meet the listing standard.
Before the release of the public announcement, the company must provide a copy of the announcement to
Nasdaq's
MarketWatch Department. As described in
Listing Rule 5250(b)(1) and
IM-5250-1, the company must notify MarketWatch about the announcement through the
Electronic Disclosure Submission System, except in emergency situations when notification may instead be provided by telephone or facsimile. If the public announcement is made during Nasdaq
market hours, the company must notify MarketWatch at least ten minutes prior to the announcement. If the public announcement is made outside of
Nasdaq's market hours, the company must notify
MarketWatch of the announcement prior to 6:50 a.m. ET. The company should make the public announcement as promptly as possible, but not more than four business days following receipt of the Reprimand
letter.
A company that receives a Public Reprimand letter has the opportunity to appeal
Nasdaq's determination to a Hearings Panel. See Hearings
FAQs for additional information.
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Publication Date*:
7/31/2012
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Identification Number:
482
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Identification Number
498
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Nasdaq rules require companies make prompt disclosure of material news to the public through any
Regulation FD compliant method (or combination of methods) of disclosure. Notification of certain planned material news announcements to
MarketWatch remains a requirement for all disclosure methods and must be provided at least ten minutes prior to the public release of the announcement when the public release of the information
is made between 7:00 a.m. to 8:00 p.m. ET. If the public release of the material information is made outside of the hours 7:00 a.m. to 8:00 p.m. ET, companies must notify
MarketWatch of the material information prior to 6:50 a.m. ET.
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Publication Date*:
5/10/2013
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Identification Number:
498
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Identification Number
500
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Listing Rules 5250(a) and
IM 5250-1 require Nasdaq companies to provide full and prompt responses to requests by Nasdaq for information related to unusual market activity or to events that may have a material impact on the trading of its securities in Nasdaq. Nasdaq
MarketWatch may occasionally call company officials to discuss unusual market activity, material news and/or undisclosed corporate developments. This is routine practice. The information exchanged
is confidential and used solely for regulatory purposes. A company official may verify the
MarketWatch contact before discussing material information by obtaining the name of the
MarketWatch analyst and calling him/her back through the
MarketWatch main numbers. This obligation also applies to requests for information by FINRA, acting on behalf of Nasdaq.
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Publication Date*:
7/31/2012
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Identification Number:
500
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Identification Number
494
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MarketWatch hours are 4:00 a.m. until 8:00 p.m. ET, Monday – Friday.
MarketWatch phone numbers are toll-free at +1 800 537 3929 or at +1 301 978 8500.
Companies are required to notify MarketWatch at least ten minutes prior to the public release of certain material news announcements when the public release of the information is made between
7:00 a.m. to 8:00 p.m. ET. If the public release of the material information is made outside of 7:00 a.m. to 8:00 p.m. ET, companies must notify
MarketWatch of the material information prior to 6:50 a.m. ET. Material news disclosures must be submitted directly to
MarketWatch through the
Electronic Disclosure Submission System.
In the event of an emergency situation where the company cannot submit the material news via the
Electronic Disclosure Submission System, material news may be faxed to
MarketWatch at +1 301 978 8510. Outside of
MarketWatch hours, companies may also leave
voicemail messages outlining the material news at +1 800 537 3929 or +1 301 978 8500 when unable to electronically submit the material information due to an emergency situation.
Companies do not need verbal confirmation that MarketWatch received their notification. Submission of the material information to
MarketWatch is sufficient. MarketWatch neither approves nor disapproves the content of news disclosures. Companies should consult their investor relations and legal counsel
regarding the appropriate content of news disclosures.
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Publication Date*:
5/10/2013
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Identification Number:
494
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Identification Number
1038
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MarketWatch provides real-time surveillance for activity on the Nasdaq Stock Market, Nasdaq BX, Nasdaq PSX, Nasdaq and Nasdaq BX Options Markets, and Nasdaq Futures to maintain an orderly
marketplace and level playing field for investors, market participants and listed companies. In an effort to foster marketplace integrity,
MarketWatch oversees the complete and timely disclosure of material information by Nasdaq-listed companies. In addition,
MarketWatch monitors compliance with Exchange rules and policies through real-time surveillance of price and volume information reported by market participants in equities, options, and futures
transactions. MarketWatch works closely with Nasdaq business lines and FINRA in an effort to provide fair and equitable regulation for the Nasdaq markets. When activity is suspected of being
potentially in violation of Exchange rules and policies,
MarketWatch refers the activity to
FINRA's regulatory groups for further review and potential disciplinary action. Information received by
MarketWatch is confidential and used strictly for regulatory purposes.
MarketWatch implements fair and independent decisions within the scope of its authority and without influence from other Nasdaq offices. MarketWatch
also recognizes the need to have technical expertise on staff to assist with maintaining regulatory compliance when changes are made to Nasdaq trading systems, rule book, data feeds, and surveillance applications. The Regulatory Technology team is responsible
for ensuring that both business and technical changes are in compliance with the Nasdaq rule book.
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Publication Date*:
8/12/2015
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Identification Number:
1038
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