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Frequently Asked Questions
  Does Nasdaq offer a preliminary listing eligibility review for prospective applicants?
Identification Number 328
Yes. A company can seek a preliminary listing eligibility review by Nasdaq's Listing Qualifications Department prior to applying. Pursuant to this review, the Listing Qualifications Staff will review the company's public filings to determine if it meets the numerical listing requirements. In addition, to the extent questions are raised by the company, the Listing Qualifications Staff will consider compliance with the corporate governance requirements of Listing Rule 5600, such as board and board committee structure, and regulatory concerns, such as may be raised under Listing Rule 5101 and IM-5101-1. In considering whether any such questions exist, the company may find it helpful to review the information necessary to be submitted in response to the "Regulatory Proceedings/Litigation" section of the Listing Application. You may view the Listing Application and related forms using our preview function.
 
The Listing Qualifications Staff will, if necessary, meet with a prospective applicant to discuss any preliminary conclusions reached during this review. Once completed, Staff will determine whether it appears that the company satisfies Nasdaq's numerical initial inclusion criteria and whether any corporate governance or regulatory issues raised by the company would serve to prohibit Nasdaq from listing the company. Any final approval, however, will require the company to submit a formal listing application, and is conditioned upon final review of that application and the company's continued compliance with all Nasdaq criteria for initial listing at the time of listing. In addition, any final approval will require a satisfactory conclusion of certain additional qualitative reviews that Nasdaq will perform, including a review of the regulatory history of the company's officers, directors, and significant shareholders.
 
Companies interested in this preliminary review process should contact Bob McCooey, Senior Vice President, New Listings and Capital Markets via email at bob.mccooey@nasdaq.com or by phone at +1 212 401 8724.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 328
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