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Are Section 16 Reports, Schedules 13-D and 13-G and Forms 144 required to be filed with NASDAQ?

April 26, 2017filed forms reports Schedules section

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Are Section 16 Reports, Schedules 13-D and 13-G and Forms 144 required to be filed with NASDAQ?

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Yes. Federal securities laws require the filing with NASDAQ of Section 16 filings (Forms 3, 4 and 5), Schedules 13-D and 13-G and Form 144 filings that relate to NASDAQ-listed securities. NASDAQ has received no-action relief from the Securities and Exchange Commission that allows the electronic filing of these documents through the SEC’s EDGAR system to satisfy the obligation to file these reports with NASDAQ. A copy of filings not made using the SEC’s EDGAR system should be sent to Listing Qualifications. Banks and officers and directors of such listed companies that file with the FDIC must still provide paper copies to NASDAQ. Currently, NASDAQ systems do not have an electronic link with FDICconnect, and therefore NASDAQ is not notified when filings are made through that system. (Updated: December 23.