referencelibrarybanner
Listings Diversity Rule Campaign
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- 3 of 3 Search Results for:
Libraries:   FAQs - Listings
Filters:   Annual Shareholder Meeting/Proxy Solicitation;
 
Search   Clear


Expand All
Printer Friendly View
Mailto Link 
Page: 1 of 1
Frequently Asked Questions
  Must a Nasdaq-listed company hold an annual shareholder meeting?
Identification Number 80
Yes. Listing Rule 5620(a) requires that each issuer listing common stock or voting preferred stock, and their equivalents, shall hold an annual meeting of shareholders.  
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 80
Frequently Asked Questions
  Are all companies subject to the annual meeting requirements?
Identification Number 81
Pursuant to IM-5620, no. The requirement to hold an annual meeting is not applicable to issuers listing the following types of securities: securities listed pursuant to Listing Rule 5730(a) (such as Trust Preferred Securities and Contingent Value Rights), unless the listed security is a common stock or voting preferred stock equivalent (e.g., a callable common stock); Portfolio Depository Receipts listed pursuant to Listing Rule 5705(a); Index Fund Shares listed pursuant to Listing Rule 5705(b); or Trust Issued Receipts listed pursuant to Listing Rule 5720. Notwithstanding, if the issuer also lists common stock or voting preferred stock, or their equivalent, the issuer must still hold an annual meeting for the holders of that common stock or voting preferred stock, or their equivalent.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 81
Frequently Asked Questions
  Are Nasdaq-listed companies required to solicit proxies for shareholder meetings?
Identification Number 168
Yes. Under Listing Rule 5620(b), each company is required to solicit proxies and provide proxy statements for all shareholder meetings. It must also provide copies of its proxy solicitation to NASDAQ. If the company files its proxy statement via EDGAR, it has fulfilled its notification requirement with Nasdaq. However, under Listing Rule 5615(a)(3) a Foreign Private Issuer may follow its home country practice in lieu of this requirement. See Non U.S. Companies FAQs.  
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 168
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       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