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Frequently Asked Questions
  Which category should be selected when submitting a disclosure via the Electronic Disclosure portal?
Identification Number 1864

The Electronic Disclosure portal requires disclosures be assigned to one or more news categories. We are providing the following examples to assist Nasdaq-listed companies with selecting categories for their submitted announcements.

Chapter 7 bankruptcy liquidation
Chapter 11 bankruptcy reorganization
Announcement of reorganizations equivalent or similar to the above by non-US companies
SPAC liquidation

Conference Calls/Webcasts/Events
Scheduling notices for future calls (earnings, investor, conference calls)
Investor presentations 
Attendance at industry conferences

Cybersecurity Incidents
Any item being disclosed under Item 1.05 on Form 8-K related to a cybersecurity incident deemed material
Comparable disclosures to the above by a foreign private issuer on Form 6-K

Dividends (Cash or Stock)
Regular or special cash dividends
Stock dividends involving a distribution of the listed security or other securities

Earnings/Quarterly or Annual Reports
Operating or financial results that have not been previously disclosed
Production figures or other metrics significant to analysts or investors
Non-reliance on previously issued financial results 

Equity or Debt Financings
Any financing transaction involving the issuance of debt, equity (or both)

FDA-Related/Clinical Trials/Study Results
Events involving the FDA (or non-US equivalent) including any communications or decisions
Investor presentations involving clinical or study results 
Clinical trial results/updates
Events involving milestone payments, material collaborations and/or partnerships

Listing Deficiency or Compliance Notices
Non-compliance with Nasdaq’s listing requirements 
Regaining compliance with Nasdaq’s listing requirements
Receipt of a Staff Determination Letter (delisting, reprimand)
Requests for Hearings to appeal Staff Determination Letters
Delisting due to non-compliance with the Listing Rules

Announcements related to mergers and acquisitions
Acquisition or sale of significant business lines

New Products or Partnership Agreements
New product or product line announcements
Announcements relating to new joint ventures, joint licensing agreements, joint market agreements

Officer/Director (Appointments or Resignations)
Corporate officer hires/terminations/resignations
Board of Directors additions, resignations or departures
New board committee assignments for new or existing directors

Stock Splits (Forward or Reverse)
Reverse splits effected to regain compliance with minimum bid price requirements
Ratio changes for Nasdaq-listed depository receipts (e.g., ADRs)
Forward stock splits, including forward splits structured as stock dividends 

Any disclosure that does not fit within the other categories

Publication Date*: 10/6/2023 Mailto Link Identification Number: 1864
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