Get the free Form 19b-4 - NASDAQ Stock Market Rules

OMB APPROVAL OMB Number: 3235-0045 Estimated average burden hours per response............38 Required fields are shown with yellow backgrounds and asterisks. SECURITIES AND EXCHANGE COMMISSION File

How to fill out form 19b-4 - nasdaq

How to fill out Form 19b-4 - Nasdaq:

1. Start by carefully reading the instructions provided with Form 19b-4. These instructions outline the specific requirements and guidelines for completing the form.
2. Provide your personal information in the designated sections of the form. This typically includes your name, address, contact information, and relevant identification details.
3. Indicate the purpose of the filing in the appropriate section. This could involve disclosing a change in ownership, a new listing application, or any other relevant event.
4. Clearly state the details of the securities involved in the filing. This may include information like the name of the security, the stock symbol or CUSIP number, and the total number of shares or units being offered or listed.
5. Fill out any additional sections or exhibits as required by the instructions. These may include information about affiliated persons, listing fees, or any other relevant disclosures.
6. Review the completed form for accuracy and ensure that all necessary attachments are included. Make sure to sign and date the form where required.
7. Submit the completed Form 19b-4 to the appropriate authority, as specified in the instructions. Pay attention to any submission deadlines or specific filing requirements.

Who needs Form 19b-4 - Nasdaq:

1. Publicly traded companies: Companies that are listed on the Nasdaq exchange or are planning to list their securities on Nasdaq may need to fill out and submit Form 19b-4. This form helps facilitate various regulatory processes related to securities offerings, changes in ownership, and ongoing compliance obligations.
2. Securities issuers: Any entity that issues securities, such as stocks or bonds, and wishes to list them on Nasdaq may need to file Form 19b-4 to initiate the listing process and comply with the exchange's rules and regulations.
3. Securities brokers or dealers: Individuals or firms engaged in the buying and selling of securities may need to use Form 19b-4 in certain situations. This could involve obtaining approval for a change in ownership, filing for the resumption of trading, or fulfilling other regulatory requirements.
4. Other relevant parties: Depending on the specific circumstances, other individuals or entities involved in the securities market, such as attorneys, accountants, or regulatory authorities, may also need to access and review Form 19b-4 for various purposes.

For pdfFiller’s FAQs

What is form 19b-4 - nasdaq?

Form 19b-4 - NASDAQ is a form required by the U.S. Securities and Exchange Commission (SEC) for companies seeking to list their securities on NASDAQ market.

Who is required to file form 19b-4 - nasdaq?

Companies that are seeking to list their securities on NASDAQ market are required to file Form 19b-4 with the U.S. Securities and Exchange Commission (SEC).

How to fill out form 19b-4 - nasdaq?

To fill out Form 19b-4 - NASDAQ, companies need to provide detailed information about their securities, financial statements, business operations, and corporate governance practices. The form can be submitted electronically through the SEC's online filing system.

What is the purpose of form 19b-4 - nasdaq?

The purpose of Form 19b-4 - NASDAQ is to provide the U.S. Securities and Exchange Commission (SEC) with information about companies seeking to list their securities on NASDAQ market. This allows the SEC to assess the company's compliance with regulatory requirements and make informed decisions regarding the listing.

What information must be reported on form 19b-4 - nasdaq?

Form 19b-4 - NASDAQ requires companies to report detailed information about their securities, financial statements, business operations, corporate governance practices, and any potential risks associated with the listing on NASDAQ market.

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