referencelibrarybanner
Board Diversity
Reference Library - Advanced Search
Find
 


Library 



 
Timeframe
Category
 
Sub-Category
** To make multiple selections, select the first criterion and then press and hold the Ctrl Key **
 
1- 1 of 1 Search Results for:
Libraries:   FAQs - Listings
Filters:   Initial Listing; All
 
Search   Clear


Expand All Printer Friendly View Mailto Link 
Page: 1 of 1
Frequently Asked Questions
  Are securities listed on the Nasdaq Capital Market granted automatic "blue sky" exemptions?
Identification Number 330
Yes. The SEC approved a modification to Securities Act Rule 146 to designate securities listed on the Nasdaq Capital Market as "covered" securities, which makes them exempt from state "blue sky" registration requirements. The Order became effective on May 24, 2007. To view the SEC Approval Order, please click here. Please note that Nasdaq Global Select Market and Nasdaq Global Market securities are currently subject to a "blue sky" exemption contained in the Securities Act of 1933.
 
Publication Date*: 7/31/2012 Mailto Link Identification Number: 330
Page: 1 of 1
home_footer_links
Copyright_statement
App Store       Google Play       Listing Center Content RSS Feed
The Nasdaq Stock Market, Nasdaq, The Nasdaq Global Select Market, The Nasdaq Global Market, The Nasdaq Capital Market, ExACT and Exchange Analysis and Compliance Tracking system are trademarks of Nasdaq, Inc.
FINRA® and Financial Industry Regulatory Authority, Inc.® are registered trademarks of Financial Industry Regulatory Authority, Inc. OTCBBTM and OTC Bulletin BoardTM are trademarks of FINRA