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Frequently Asked Questions
  What will an ETF listed under Nasdaq Rule 5704 need to submit to Nasdaq to evidence compliance with the continued listing standards?
Identification Number 1737

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 completed by filling out  Section 9, Annual Certification for Exchange Traded Fund Shares, of the Company Event Form.

Publication Date*: 4/10/2023 Mailto Link Identification Number: 1737
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