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Selecting the correct application type is essential for successfully navigating the Nasdaq listing process. This guide provides a concise overview of the various application options available to companies looking to join the Nasdaq market.
- Initial Public Offering (IPO), Direct Listing, or Distribution Spinoff
This option is suitable for companies that are new to public reporting or for foreign entities conducting an IPO of American Depositary Receipts (ADRs) in the United States. This route enables companies to access capital markets and attract a broader investor base.
- Seasoned Company Uplisting
Companies already trading on another U.S. exchange or in the over-the-counter market seeking to move to Nasdaq should opt for this application type. Uplisting can provide enhanced visibility and credibility within the investment community.
- Seasoned Company Listing without Public Offering
This option is designed for companies listed on foreign markets that are not conducting a public offering. It allows these companies to take advantage of Nasdaq’s platform while maintaining their existing shareholder structure.
- Switching from NYSE
Companies currently listed on the New York Stock Exchange (NYSE) and looking to make a transition to Nasdaq can apply under this category. This move may be motivated by a desire for greater liquidity or access to a different investor demographic.
- Dual Listing
For companies that are already listed on another U.S. exchange and wish to list simultaneously on Nasdaq, the dual listing application is the appropriate choice. This strategy can help expand the company's reach and investor engagement.
- Transfer within Nasdaq Markets
Capital Market to Global/Global Select Market: For companies moving from the Nasdaq Capital Market to the Global or Global Select Market.
Global/Global Select Market to Capital Market: For companies transitioning from the Nasdaq Global or Global Select Market to the Capital Market.
Global Market to Global Select Market: This option is for companies shifting from the Nasdaq Global Market to the Global Select Market.
- Change of Control Combination or SPAC Business Combination
This application type is for companies merging with an existing Nasdaq-listed entity or for Special Purpose Acquisition Companies (SPACs) completing a business combination. It ensures that the newly formed entity meets Nasdaq’s stringent requirements.
- Listing a New Class of Securities
Existing Nasdaq-listed companies seeking to list additional equity or debt securities can utilize this option. However, it excludes structured products like exchange-traded funds (ETFs).
- Exchange-Traded Funds (Rule 6c-11 ETFs)
For companies looking to list ETFs that comply with SEC Rule 6c-11, this application type is the appropriate choice. It streamlines the listing process for these financial instruments.
- Exchange-Traded Funds or Other Structured Products
This category is for listing a variety of structured products, including:
- Index Fund Shares (non-6c-11 ETFs)
- Exchange-Traded Notes
- Managed Fund Shares
- Portfolio Depositary Receipts
- Equity Gold Shares, among others.
Contact for Further Guidance
For questions about specific products or to seek additional guidance, companies can reach out to Nasdaq Listing Qualifications at +1 301 978 8008. Proper selection of the application type can significantly enhance the listing experience, ensuring a smooth transition into the Nasdaq marketplace.
