Does NASDAQ require the filing of Securities and Exchange Commission reports and documents?
NASDAQ-listed companies are required to file with NASDAQ copies of all reports and other documents filed or required to be filed with the Securities and Exchange Commission (or other appropriate regulatory authority) on or before the applicable due date. This requirement is considered fulfilled if the company files the report or document with the SEC through the EDGAR system. A company that does not file through the EDGAR system is required to provide three copies of the report to NASDAQ. Please see the Distribution of Annual & Interim Reports Frequently Asked Questions for more information regarding the filing of SEC periodic reports. Banks and officers and directors of 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. For additional information regarding the reporting requirements of NASDAQ’s liste
