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Frequently Asked Questions
  When must an index-based ETF determine compliance with Nasdaq's continued listing requirements?
Identification Number 1412
If the ETF is not a Rule 6c-11 ETF, the issuer of an index-based ETF is 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. In lieu of submitting the quarterly component file, issuers can submit an index component file following an index rebalance or reconstitution, if the rebalance or reconstitution took place within the fiscal quarter. Issuers who submit the file in connection with a rebalance or reconstitution do not have to submit a separate file for the applicable fiscal quarter.
Publication Date*: 4/10/2023 Mailto Link Identification Number: 1412
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