What are my filing obligations with NASDAQ?
The company must comply with the SEC or other federal or state regulatory authority filing requirements. If the company does not submit its filings via the SEC’s Electronic Data Gathering, Analysis and Retrieval (“EDGAR”) system, then it is required to submit three copies of all documents to NASDAQ Listing Qualifications. The company should refer to Listing Rules 5250(c) and 5250(d).
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