Get the free Form 19b-4 - Nasdaq OMX

OMB APPROVAL OMB Number: 3235-0045 Expires: August 31, 2011, Estimated average burden hours per response............38 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 19b-4 Page 1 of

How to fill out form 19b-4 - nasdaq

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

1. Begin by carefully reading the instructions provided by Nasdaq on their official website. Familiarize yourself with the purpose of the form, the required information, and any specific guidelines.
2. Collect all the necessary information before starting the form. This includes details related to your company, such as its name, address, and contact information, as well as any other relevant data required by Nasdaq. It is important to be accurate and provide the most up-to-date information.
3. Start by entering your company's identification information in the designated fields. This usually includes the company's CIK (Central Index Key) number and ticker symbol.
4. Next, provide the required information related to the proposed rule change. This may include details about the reason for the change, the impact it may have, and any supporting documentation that needs to be attached.
5. Ensure that you accurately complete all sections of the form. Be thorough and double-check your entries to avoid any mistakes or omissions that could delay the processing of your application.
6. If you encounter any difficulties or have questions while completing the form, it is advisable to consult with a legal advisor or reach out to the appropriate Nasdaq contact for guidance. They can provide clarification and help ensure you are filling out the form correctly.

Who needs form 19b-4 - Nasdaq?

1. Companies seeking to make certain changes or modifications to the Nasdaq rulebook or membership requirements may need to submit form 19b-4. This form allows companies to request an amendment or waiver from the standard rules.
2. Companies planning to list their securities on Nasdaq or undergo significant corporate events, such as mergers, acquisitions, or reorganizations, may also require form 19b-4.
3. Individuals working within legal or compliance departments of Nasdaq-listed companies may need to fill out this form as part of their responsibilities. It is also possible that external legal counsel or consultants may assist companies in completing form 19b-4 on behalf of their clients.

For pdfFiller’s FAQs

What is form 19b-4 - nasdaq?

Form 19b-4 is a filing with the SEC by a stock exchange like Nasdaq seeking approval for rule changes that affect the exchange's operations.

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

Stock exchanges like Nasdaq are required to file form 19b-4 with the SEC.

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

Form 19b-4 must be filled out with details of the proposed rule changes and submitted to the SEC for review and approval.

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

The purpose of form 19b-4 is to provide transparency to the market and investors regarding rule changes proposed by stock exchanges like Nasdaq.

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

Form 19b-4 must include details of the proposed rule changes, the rationale for the changes, and any potential impact on the market.

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