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Frequently Asked Questions
  Is an interim report considered to have been made available for purposes of Listing Rule 5250(d) if it is posted on the issuer's website?
Identification Number 125
Posting an interim report on the issuer's website is not sufficient to comply with this requirement. As is the case with the annual report, an issuer must also send a hard copy of the interim report to any shareholder upon request.
Publication Date*: 7/31/2012 Mailto Link Identification Number: 125
Frequently Asked Questions
  If a company follows the SEC's "notice and access" rules to provide shareholders with its annual report, is it required by Nasdaq to issue a press release announcing the availability of its annual report?
Identification Number 119
No. A company which satisfies the requirements for furnishing an annual report contained in Exchange Act Rule 14a-16 is not required by Nasdaq to follow any additional procedures. However, a company that is not subject to the SEC proxy rules and does not either mail an annual report to shareholders or satisfy the requirements of Exchange Act Rule 14a-16, may rely on Listing Rule 5250(d)(1)(C) to make the annual report available by posting the annual report on its website and issuing a press release stating that the annual report is available.  
Publication Date*: 7/31/2012 Mailto Link Identification Number: 119
Frequently Asked Questions
  Are Nasdaq-listed companies required to provide annual reports to their shareholders?
Identification Number 116
Yes. Under Listing Rule 5250(d), each company must make available to shareholders an annual report containing audited financial statements of the company and its subsidiaries, which, for example, may be on Form 10-K, 20-F, 40-F or N-CSR.
The company may satisfy this requirement by: (i) by mailing the report to shareholders, (ii) satisfying the requirements for furnishing an annual report contained in Exchange Act Rule 14a-16 or (iii) posting the report on or through the company's website, issuing a press release announcing the availability of the report, and sending a hard copy to any shareholder within a reasonable time following a request for a copy.
Publication Date*: 7/31/2012 Mailto Link Identification Number: 116
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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