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Frequently Asked Questions
  What documentation is required in connection with listing an ETF under Nasdaq Rule 5704?
Identification Number 1734

New Fund Launches

In addition to completing the Listing Application, new funds are required to complete a certification prior to receiving approval of an initial listing application. The certification can be found here.

Listing Transfers

In addition to completing the Listing Application, funds switching from another market to Nasdaq are required to complete a certification regarding compliance with SEC Rule 6c-11. The certification must be completed prior to receiving approval of an initial listing application and can be found here.

Nasdaq Listed ETFs

Prior to December 22, 2020, ETFs that are eligible to rely on Rule 6c-11 must certify that 1) the fund is compliant with the conditions of Rule 6c-11 or 2) do not meet the conditions of Rule 6c-11 and are relying on an SEC exemptive relief order that will not be rescinded. The certification can be found here.

Funds listed under Nasdaq Rule 5704 are required to submit an annual certification regarding the funds compliance with Rule 6c-11 during the most recent fiscal year. The certification is required within 30 calendar days of a fund’s fiscal year end. The certification can be found here.

Publication Date*: 4/10/2020 Mailto Link Identification Number: 1734
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