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Frequently Asked Questions
  How does Nasdaq define securities as "equity" or "fixed income"?
Identification Number 1468


Nasdaq rules allow "U.S. Component Stocks" and "Non-U.S. Component Stocks" to be treated as equities within indices. This includes, but is not limited to, common stock, preferred stock, ordinary shares, and American Depositary Receipts (ADRs).

Fixed Income

"Fixed Income Securities" are defined as "notes, bonds, debentures or evidence of indebtedness that include, but are not limited to, U.S. Department of Treasury securities ("Treasury Securities"), government-sponsored entity securities ("GSE Securities"), municipal securities, trust preferred securities, supranational debt and debt of a foreign country or subdivision thereof." Please see Nasdaq Rule 5705(b)(4).

Securities not specifically mentioned above will be defined on a case by case basis.

Publication Date*: 12/1/2017 Mailto Link Identification Number: 1468
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