Certificate of Amendment of Certificate of Incorporation of NASDAQ OMX BX, Inc. NEW LISTING RULES. Proposals to Change Rules That Are Incorporated by Reference in the BX Rules. Until May...
Rules and regulations serve an important purpose to sustain confidence in the financial market, enable a common framework for listed companies and protect minority stakeholders such as...
Rules and Regulations. What is Nasdaq? © 2017-2022, Nasdaq, Inc. All Rights Reserved | Privacy Statement | Terms and Conditions.
The term "Rules" or "Rules of Nasdaq" means the numbered rules set forth in the Nasdaq Manual beginning with the Rule 0100 Series, as adopted by the Nasdaq Board of Directors pursuant to the By-Laws of the
Nasdaq''s Listing Qualifications Team reviews and approves companies applying to list securities on Nasdaq.
Generally, Nasdaq rules allow Direct Listings, as defined in IM-5315-1,
Rule 5810(b) requires that a Company make a public announcement by filing a
NASDAQ''S REGULATORY AUTHORITY. 5101. Preamble to the Rule 5100 Series.
(a) Application Fee. A Company that submits an application to list a class of
In addition to the existing obligations under Nasdaq rules regarding the production of
(a) Applicability. The Rules in Options 4C shall be applicable to the trading on the
Exchange Rules that refer to the Exchange''s Regulation Department,
This Rule Series 5000 (consisting of Rules 5000-5999) contains rules related to the qualification, listing and delisting of Companies on The Nasdaq Stock Market.
Nasdaq exercises other authorities important to listed Companies discussed in other Rules Series in the Marketplace Rules. For example, Nasdaq may close markets upon request of the SEC (see Rule 4121). It may also halt the trading of a Company''s securities under certain circumstances and pursuant to established procedures (See Rule 4120 and IM-5250-1 and IM-5810). These authorities are exercised primarily by the MarketWatch Department and are contained in the Rule 4000 series.
Nasdaq and Financial Industry Regulatory Authority, Inc. ("FINRA") are parties to a regulatory contract pursuant to which FINRA has agreed to perform certain functions described in the Rules on behalf of Nasdaq. Notwithstanding the fact that Nasdaq has entered into the regulatory contract with FINRA to perform some of Nasdaq''s functions, Nasdaq shall retain ultimate legal responsibility for, and control of, such functions.
Amended by SR-NASDAQ-2009-052 eff. June 16, 2009; amended Oct. 18, 2017 (SR-NASDAQ-2017-111).
Adopted Mar. 12, 2009 (SR-NASDAQ-2009-018); amended Apr. 27, 2009 ( SR-NASDAQ-2009-040); amended June 16, 2009 (SR-NASDAQ-2009-052); amended Nov. 8, 2011 (SR-NASDAQ-2011-073); amended Oct. 2, 2013 (SR-NASDAQ-2013-130); amended Apr. 20, 2016 (SR-NASDAQ-2016-059); amended June 8, 2017 (SR-NASDAQ-2017-058), operative July 8, 2017; amended Nov. 13, 2018 (SR-NASDAQ-2018-070); amended Feb. 13, 2019 (SR-NASDAQ-2019-001); amended July 5, 2019 (SR-NASDAQ-2019-009), operative Aug. 4, 2019; amended Oct. 4, 2021 (SR-NASDAQ-2021-007); amended Nov. 1, 2023 (SR-NASDAQ-2023-025).
As of July 2023, there are over 3,300 companies listed on the Nasdaq exchange. The exchange has the highest trading volume of any U.S. exchange with approximately 1.8 billion trades per day.
Many of today's famous companies, which are primarily technology companies, are listed on the Nasdaq. These companies include Apple, Microsoft, Meta (Facebook), Tesla, Amazon, Intel, Netflix, and Alphabet (Google). Famous non-tech companies include Costco, PepsiCo, and Starbucks.
Yes, companies can be listed on more than one exchange, known as a dual listing. In order to do so, a company must meet all of the listing requirements of each exchange. Companies, however, don't usually do this.
Investopedia contributors come from a range of backgrounds, and over 25 years there have been thousands of expert writers and editors who have contributed.
To stay listed on the Nasdaq, a company must continue to meet the minimum listing requirements or risk being delisted and removed from the Nasdaq exchange.
As of July 2023, there are over 3,300 companies listed on the Nasdaq exchange. The exchange has the highest trading volume of any U.S. exchange with approximately 1.8 billion trades per day.
Nasdaq. "Initial Listing Guide: January 2023," Page 6.
U.S. Securities and Exchange Commission. "Marketplace Rules, Listing Requirements for Nasdaq Securities," Pages 35, 64-65, 66.
Nasdaq. "Initial Listing Guide: January 2023," Pages 8, 11.
U.S. Securities and Exchange Commission. "Marketplace Rules, Listing Requirements for Nasdaq Securities," Page 23.
Nasdaq. "Initial Listing Guide: January 2023," Page 7.
Nasdaq. "Initial Listing Guide: January 2023," Page 15.
U.S. Securities and Exchange Commission. "Marketplace Rules, Listing Requirements for Nasdaq Securities," Pages 101-102.
U.S. Securities and Exchange Commission. "Marketplace Rules, Listing Requirements for Nasdaq Securities," Pages 101-111.
ADVFN. "Nasdaq: Company Listings."
Nasdaq is entrusted with the authority to preserve and strengthen the quality of and public confidence in its market. Nasdaq stands for integrity and ethical business practices in order to enhance investor confidence, thereby contributing to the financial health of the economy and supporting the capital formation process. Nasdaq Companies, from new public Companies to Companies of international stature, are publicly recognized as sharing these important objectives.
Amended June 16, 2009 (SR-NASDAQ-2009-052).
To further Companies'' understanding of Rule 5101, Nasdaq has adopted this Interpretive Material as a non-exclusive description of the circumstances in which the Rule is generally invoked.
Nasdaq may use its authority under Rule 5101 to deny initial or continued listing to a Company when an individual with a history of regulatory misconduct is associated with the Company. Such individuals are typically an officer, director, Substantial Shareholder (as defined in Rule 5635(e)(3)), or consultant to the Company. In making this determination, Nasdaq will consider a variety of factors, including:
• the nature and severity of the conduct, taken in conjunction with the length of time since the conduct occurred;
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