The NASDAQ Listing Application

The NASDAQ Listing Application- The NASDAQ application package includes: (i) a symbol reservation form; (ii) the listing application (which requires supplemental documents); (iii) the listing agreement; (iv) the corporate governance certification; (v) the initial application fee, payable via check or wire transfer; and (vi) a logo submission form. Today I will give a brief summary of the each of the forms other than the listing application itself which I will pick up in the next Lawcast in this series.

All the application forms are completed online at the NASDAQ website listing center. The online platform allows for uploading supplemental and supporting documents. All of the forms should be reviewed in advance and the requisite information readily available before submitting the application.

The symbol reservation form is a one-page fill-in electronic form. NASDAQ symbols must be 1-5 characters. The symbol reservation form requests three symbol choices in order of preference. Although NASDAQ will likely give the first choice if available it has full authority to assign, rescind, or reassign a trading symbol at any time. In addition to the symbol choice, the symbol reservation form includes additional basic information regarding the issuer and planned public offering, including, for example, the name of attorney, lead underwriter if applicable, names of CEO and CFO, yearly revenues, company website and company sector…

Laura Anthony, Esq.
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