Get the free Form 19b-4 - Nasdaq PHLX Rule

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OMB APPROVAL OMB Number: 32350045 Estimated average burden hours per response............38 Required fields are shown with yellow backgrounds and asterisks. SECURITIES AND EXCHANGE COMMISSION File

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How to fill out form 19b-4 - nasdaq

01

Step 1: Obtain a copy of form 19b-4 from the NASDAQ website or their designated filing platform.

02

Step 2: Read the instructions provided with the form carefully to understand the required information and supporting documents.

03

Step 3: Fill out the basic information section of the form, including your name, contact details, and any applicable identification numbers.

04

Step 4: Provide a detailed description of the transaction or event that necessitates the filing of form 19b-4.

05

Step 5: Attach any necessary supporting documents, such as contracts, agreements, or financial statements.

06

Step 6: Review the completed form and supporting documents for accuracy and completeness.

07

Step 7: Sign and date the form, certifying that the information provided is true and accurate to the best of your knowledge.

08

Step 8: Submit the form electronically through the NASDAQ's designated filing platform or by mail as per their instructions.

09

Step 9: Keep a copy of the completed form and supporting documents for your own records.

10

Step 10: Follow up on the status of your filing if necessary and address any additional requests for information from the NASDAQ.

Who needs form 19b-4 - nasdaq?

01

Any individual or entity involved in a transaction or event that falls within the scope of NASDAQ's regulations may need to fill out form 19b-4.

02

This includes companies seeking approval for certain corporate actions, such as mergers, acquisitions, or listing changes.

03

Additionally, individuals or entities involved in activities related to the offering or sale of securities on a NASDAQ platform may also be required to file form 19b-4.

04

It is important to consult the specific regulations and guidelines provided by the NASDAQ or seek legal advice to determine if form 19b-4 is applicable to your situation.

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What is form 19b-4 - nasdaq?

Form 19b-4 is a form required by the NASDAQ stock exchange for companies seeking to list their securities on NASDAQ.

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

Companies seeking to list their securities on NASDAQ are required to file form 19b-4.

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

Form 19b-4 can be filled out electronically on the NASDAQ website or submitted through a registered filing agent.

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

The purpose of form 19b-4 is to provide NASDAQ with necessary information about the company seeking to list its securities on the exchange.

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

Form 19b-4 requires information about the company's financials, business operations, and management team.

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