Tally Of NASDAQ Rule Changes And Proposals
Although I have been blogging about the numerous Nasdaq rule amendments and proposals, in light of the fast pace in changes, I think it will be helpful to include a breakdown of all of the amendments in this single blog.
New Nasdaq IM-5101-4 – De-Listing Following an SEC Trading Suspension
On June 3, 2026, the SEC approved Nasdaq listing rule IM-5101-4, which provides Nasdaq with the authority to delist a security where the SEC has previously suspended trading and Nasdaq determines it appropriate and in the public interest to do so. For my blog on the final rule, see HERE. This link also includes the list of factors Nasdaq will consider in making a de-listing determination.
New Nasdaq IM-5101-3 – Expansion of Discretionary Authority to Deny Initial Listing Applications
In December 2025 Nasdaq enacted new IM-5101-3 granting it the authority to deny initial listing applications, even where the applicant meets all stated listing requirements. The rule substantially expands Read More »
