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Frequently Asked Questions
  When should I fill out a Listing Application?  
Identification Number 40
A Listing Application must be completed by all companies that wish to initially list on Nasdaq or by a company that is already listed on Nasdaq but wishes to transfer between the Nasdaq Global Market and the Nasdaq Capital Market. A listed company should also complete and submit a listing application if it wishes to list a secondary security on Nasdaq.
 
Publication Date*: 7/31/2012 Identification Number: 40 Mailto Link
Frequently Asked Questions
  How do I update the application after it has been submitted?  
Identification Number 45
Once your application is submitted, you must submit any changes directly to your Listing Analyst. You can, however, submit additional documentation and update information contained in your Corporate Governance Certification and Listing Agreement at any time during the process.  Once updated, you can re-submit these documents or upload any additional documents through the Listing Center.
 
Publication Date*: 7/31/2012 Identification Number: 45 Mailto Link
Frequently Asked Questions
  Does Nasdaq require the filing of SEC reports and documents?  
Identification Number 313
Yes. Nasdaq-listed companies are required to file with Nasdaq copies of all reports and other documents filed or required to be filed with the SEC (or other appropriate regulatory authority) on or before the applicable due date. This requirement is considered fulfilled if the company files the report or document with the SEC through the EDGAR system. A company that does not file through the EDGAR system is required to provide two copies of the report to Nasdaq unless the company emails a copy to continuedlisting@nasdaq.com. Please see the Distribution of Annual & Interim Reports Frequently Asked Questions for more information regarding the filing of SEC periodic reports.
 
Banks and officers and directors of listed companies that file with the FDIC must still provide paper copies to Nasdaq. Currently, Nasdaq systems do not have an electronic link with FDICconnect; therefore, Nasdaq is not notified when filings are made through that system.
 
For additional information regarding the reporting requirements of Nasdaq's listed companies, please refer to the Continued Listing Guide.
 
Publication Date*: 7/31/2012 Identification Number: 313 Mailto Link
Frequently Asked Questions
  How does a company reserve a symbol to trade on Nasdaq?
Identification Number 486
A company may request a symbol for trading on the Nasdaq Stock Market by using our online form.
 
A company may request to reserve a symbol up to 24 months in advance of an initial listing application submission. If the symbol is not used during the 24-month reservation period, it will be made free and available for other potential applicants. A company may then re-apply for a symbol reservation after the original reservation expires provided that no other company has reserved the symbol. A reserved symbol may also be released at any time with given notice. A new symbol reservation can then be made if the applicant wishes to change its reserved symbol, assuming the new symbol is free and available.
 
The Nasdaq Stock Market does not reserve symbols for the OTCBB or the OTC Markets. Symbol reservations for OTCBB or OTC Markets are managed by FINRA. Any inquiries regarding symbol reservation for OTCBB or the OTC Markets should be forwarded to otcsymbols@finra.org
 
Publication Date*: 7/31/2012 Identification Number: 486 Mailto Link
Frequently Asked Questions
  Where are the forms and instructions to list an Exchange Traded Product on Nasdaq?  
Identification Number 1383
The Listing applications and related forms are available through the Nasdaq Listing Center. Before completing your application electronically, please take a few minutes to review our Exchange Traded Products website. Generally, companies will need to complete the Listing Application, Listing Agreement, Corporate Governance Certification Form, and Logo Submission Form. However, please note that Issuers registered under the Investment Company Act of 1940 are not required to submit a Corporate Governance Certification Form.
 
Issuers of ETPs should complete the following application: "Listing Application - Seeking to List an Exchange Traded Fund or Other Structured Product". If you are unfamiliar with the contents of the application and related forms, we recommend that you preview the forms prior to logging into the Listing Center. This will help you gather all the information you will need to complete the forms. In addition, you can find instructions for completing the listing application here.
 
An issuer does not need to complete all forms, or all information on a form, at the same time, and the Listing Application can be submitted when it is complete even if the other documents are still pending.
 
Questions regarding the listing process should be directed to Listing Qualifications Staff at +1 301 978 8008.
 
Publication Date*: 6/20/2017 Identification Number: 1383 Mailto Link
Frequently Asked Questions
  Are the application fees to list an Exchange Traded Product refundable?  
Identification Number 1384
There is a $1,000 non-refundable application fee that must be submitted with the application. Any remaining amounts that are paid, such as pre-payment of the entry fee, are refundable. Please refer to the Fees section for further details.
 
Publication Date*: 6/20/2017 Identification Number: 1384 Mailto Link
Frequently Asked Questions
  What happens if an Exchange Traded Product fails to meet a listing requirement?  
Identification Number 1385
If the issuer is aware that an ETP has become deficient, they must notify the Nasdaq Listing Qualifications' Analyst. ETPs that fail to meet the continued listing standards contained in the Rule 5700 Series are subject to the procedures described in Listing Rule 5810. Under these procedures, the Listing Qualifications' Analyst will send the ETP a letter requesting that the company submit a plan to regain compliance. The plan is generally due within 45 calendar days. If Nasdaq staff accepts the plan, the company can be granted an extension of up to 180 calendar days from the date of the initial notification letter. If the plan is not accepted, Nasdaq staff will notify the issuer by phone and subsequently send a delisting letter. The ETP can request that an independent Panel review the Nasdaq staff's decision. More information about this Hearing Process is available here.
 
Publication Date*: 6/20/2017 Identification Number: 1385 Mailto Link
Frequently Asked Questions
  Who can I contact if I have questions about Nasdaq's Exchange Traded Product listing standards or the forms that listed ETPs are required to submit?  
Identification Number 1386
For questions on listing requirements, including forms for listed ETPs, please see the "Contact Us" section of the Exchange Traded Products website. Representatives of listed ETPs can also log into the Listing Center to get contact information for their dedicated Listing Qualifications' Analyst.
 
Publication Date*: 6/20/2017 Identification Number: 1386 Mailto Link
Frequently Asked Questions
  When will the new continued listing standards be implemented?
Identification Number 1387
The new continued listing standards for Exchange Traded Products are scheduled to become effective on January 1, 2018. Nasdaq will require submissions in order to monitor compliance with the new rules beginning with an ETPs first fiscal quarter ending on or after that date.
 
Publication Date*: 6/20/2017 Identification Number: 1387 Mailto Link
Frequently Asked Questions
  Will listed Exchange Traded Products be required to submit any data or certifications in connection with the new continued listing standards?  
Identification Number 1388
Yes. ETPs will be required to submit portfolio or index component data (as applicable) on a quarterly basis based on the fund's fiscal year end. The table below describes the information required for various ETPs, based on the listing requirements under which the ETP is listed.
 

FAQ-ETP-table

 
ETP sponsors must use our templates for submitting index or portfolio component data. Certifications and submissions of data will be done via the Company Event Form. A preview of that form can be found here.
 
Publication Date*: 6/20/2017 Identification Number: 1388 Mailto Link
Frequently Asked Questions
  When must an index-based ETF determine compliance with Nasdaq's continued listing requirements?
Identification Number 1412
When the new continued listing requirements in the Rule 5700 Series become effective, the issuer of an index-based ETF will be required to provide Nasdaq with the index components on a quarterly basis and Nasdaq will assess compliance with the listing requirements at that time. In addition, Nasdaq believes issuers should review the index components underlying their product for compliance with the continued listing requirements in connection with index rebalances, reconstitutions, or when there are other material changes to the index components. Nasdaq rules require that an ETF issuer notify Nasdaq of any non-compliance identified at those times.
 
Publication Date*: 8/14/2017 Identification Number: 1412 Mailto Link
Frequently Asked Questions
  Is there a compliance period for an ETP issuer to cure non-compliance with a continued listing requirement?
Identification Number 1413
When Nasdaq believes that an ETP is not in compliance with a continued listing requirement, Nasdaq will contact the issuer to confirm the underlying facts. Following this initial notification, Nasdaq will draft a deficiency notification, as described in the Rule 5800 Series. The letter generally will be issued within ten business days from the initial contact (following re-confirmation of the non-compliance) and the issuer has 45 calendar days from the date of Nasdaq's letter to submit a plan to regain compliance. Based on this plan, Nasdaq can grant up to 180 calendar days from the date of the deficiency notification for the issuer to cure the deficiency.
 
Publication Date*: 8/14/2017 Identification Number: 1413 Mailto Link
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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