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Frequently Asked Questions
  Will the company be notified that the Listing of Additional Shares Notification has been approved and that the securities are eligible for trading on Nasdaq?
Identification Number 394

Nasdaq’s process for listing additional shares, unlike that of other exchanges, is NOT an approval process but a notification process.

The form acts as notification to Nasdaq that the company intends to issue the securities and is not an application to list the securities.  Nasdaq notifies a company by email when the Listing of Additional Shares Notification Form has been successfully submitted electronically via the Listing Center

No action beyond filing a Listing Additional Shares Notification Form is required to comply with this rule.

Staff will review completed LAS transactions for compliance with Nasdaq’s Listing Rules (particularly the shareholder approval and voting rights requirements) and will contact your company for additional information only if compliance issues or questions are identified.

If you have further questions, please review these FAQs for important information about Nasdaq’s LAS notification and timing requirements and these FAQs for important information about Nasdaq’s shareholder approval and voting rights rules.

Publication Date*: 9/9/2021 Mailto Link Identification Number: 394
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