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Frequently Asked Questions
  How do I complete the Issue-Specific information section of the application?
Identification Number 47
Beneficial Shareholders. A beneficial owner is any individual shareholder.
Current Trading Symbol. The symbol under which the Company is currently trading.
CUSIP. The CUSIP Service Bureau can be reached at +1 212 438 6565.
If you do not have a CUSIP number yet you can enter 999999999 in this field.
Issue Class. This information is only required when the Company has issued multiple classes of a security (e.g., Class A and Class B Common Stock).
Issue Type. Select the issue type from the drop down list that best describes the security you are seeking to list. Generally, this will be Common Stock, Units or Warrants.
Reserved Trading Symbol. This is only required if the Company wants to use a new symbol once it trades on Nasdaq.
Round Lot Holders. A round lot holder is any shareholder who owns 100 or more unrestricted securities.
Timing of Unit Separation. If a Company has units please indicate to us the timing of their separation. If you know the exact date please provide the date. If you only know a time frame (e.g., 30 days after the offering), please provide an estimate.
When completing an application for bonds (non-convertible debt securities):
Coupon Frequency Per Annum. For example, enter 1 for annually, 2 for semi-annually, 4 for quarterly.
Dated Date. The date on which the bond first begins to accrue interest. This is often the same as the issue date, but not always.
First Ordinary Coupon Date. This is the original first ordinary coupon date, regardless of when the bond was issued or where it is currently trading. If the security is switching from another exchange, the first ordinary coupon date will be in the past.
Principal Amount Outstanding. In the case of a new issuance, provide the principal amount of the issuance. In the case of outstanding debt, provide the principal amount currently outstanding.
Reimbursement Date. Provide the last re-payment date. This is the date when investors will get the last coupon payment. It is generally the same as the Last Ordinary Coupon Date.
Please Note: If you have questions about filling out the issue specific information section for an ETF or Other Structured Products application, please contact Ben Haskell at +1 301 978 8092.
Publication Date*: 5/15/2023 Mailto Link Identification Number: 47
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