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Frequently Asked Questions
  Which application type should I select and, why does this matter?
Identification Number 43
You should choose the application type that best describes your Company as this drives the questions that will be asked of you throughout the application process. A description of the different application types is as follows:
 
Company Conducting an Initial Public Offering, Direct Listing or Distribution Spinoff. Choose this option if your Company does not already file periodic and annual reports with the Securities and Exchange Commission and is not listed on another market. Alternatively, you should choose this option if you are a foreign Company performing an initial public offering of ADRs in the United States.
 
Seasoned Company, Company Switching from Another Market. Choose this option if your Company is already trading on another U.S. exchange or if you are traded on the OTCBB or pink sheets. If you are trading on a foreign exchange, please choose Other.
 
Company Seeking Dual Listing. Choose this option if your Company is already listed on the New York Stock Exchange and would like to simultaneously list on Nasdaq.
 
Company Transferring from the Capital Market to the Global or Global Select Market. Choose this option if your Company is already listed on Nasdaq on the Capital Market and would like to switch to the Global or Global Select Market.
 
Company Transferring from the Global or Global Select Market to the Capital Market. Choose this option if your Company is already listed on Nasdaq on the Global or Global Select Market and would like to switch to the Capital Market.
 
Company Transferring from the Global Market to Global Select Market. Choose this option if your Company is already listed on Nasdaq on the Global Market and would like to switch to the Global Select Market.
 
Company Conducting a Change of Control Combination OR for SPACs completing a business combination following which the combined Company is required to meet the requirements for initial listing. Choose this option if your Company is merging with a Company that is already listed on Nasdaq.
 
NOTE: Listing applicants resulting from business combinations with SPACs wherein the Nasdaq-listed entity is acquired by a new SEC registrant are considered to be new listings. Such entities should NOT complete this application, but instead complete the Listing Application – For Seasoned Companies.
 
Company Seeking to list a New Class of Securities. Choose this option if your Company is already listed on Nasdaq and would like to list an additional class of securities. Please do not use this type of application if you are seeking to list structured products (e.g., ETFs, ETNs, Trust Preferred issues).
 
Company Seeking to List an Exchange Traded Fund or Other Structured Product. Choose this option if you would like to list any of the following:
  • Exchange-Traded Funds
  • Exchange-Traded Notes
  • Managed Fund Shares (Active ETFs)
  • Portfolio Depositary Receipts
  • Selected Equity-Linked Debt Securities (SEEDS)
  • Trust Issued Receipts
  • Index-Linked Exchangeable Notes
  • Equity Gold Shares
  • Trust Certificates
  • Commodity-Based Trust Shares
  • Currency Trust Shares
  • Commodity Index Trust Shares
  • Commodity Futures Trust Shares
  • Partnership Units
  • Trust Units
  • Managed Trust Securities
  • Currency Warrants
  • Index Warrants

Please contact Nasdaq Listing Qualifications at +1 301 978 8008 with questions about the listing of products not listed above.

 
Publication Date*: 5/12/2022 Mailto Link Identification Number: 43
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