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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 Mailto Link Identification Number: 1413
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