(18) The issuer of any class of securities included in Nasdaq shall notify
Nasdaq promptly in writing of any change in the issuer's transfer agent or
registrar.
(19) The issuer shall comply with any obligation of any person regarding
filing or disclosure of information material to the issuer or the security,
whether such obligation arises under the federal securities laws and the rules
and regulations promulgated thereunder or other applicable federal or state
statutes or rules.
(20) The issuer shall notify Nasdaq promptly in writing of any change in the
general character or nature of its business and any change in the address of
its principal executive offices. The issuer also shall file on a form designated
by Nasdaq notification of any corporate name change no later than 10 days
after the change.
(21) Voting Rights – Voting Rights of existing shareholders of publicly
traded common stock registered under Section 12 of the Act cannot be
disparately reduced or restricted through any corporate action or issuance.
Examples of such corporate action or issuance include, but are not limited to,
the adoption of time-phased voting plans, the adoption of capped voting rights
plans, the issuance of super-voting stock, or the issuance of stock with voting
rights less than the per share voting rights of the existing common stock
through an exchange offer.
Cross Reference - IM-4310, Voting Rights Policy
(22) The issuer of units shall include in its prospectus or other offering
document used in connection with any offering of securities that is required to
be filed with the Commission under the federal securities law and the rules
and regulations thereunder a statement regarding any intention to delist the
units immediately after the minimum inclusion period.
(23) (A) For initial inclusion, a security, except for the security of a
Canadian issuer, shall have a CUSIP number identifying the securities
included in the file of eligible issues maintained by a securities depositary
registered as a clearing agency under Section 17A of the Act ("securities
depositary" or "securities depositaries"), in accordance with the rules and
procedures of such securities depositary; except that this subparagraph shall
not apply to a security if the terms of the security do not and cannot be
reasonably modified to meet the criteria for depositary eligibility at all
securities depositaries.
(B) A security depositor's inclusion of a CUSIP number identifying a
security in its file of eligible issues does not render the security "depositary
eligible" under Rule 11310 until:
(i) in the case of any new issue distributed by an underwriting
syndicate on or after the date a securities depositary system for monitoring
repurchases of distributed shares by the underwriting syndicate is available,
the date of the commencement of trading in such security on The Nasdaq
Stock Market; or
(ii) in the case of any new issue distributed by an underwriting
syndicate prior to the date a securities depositary system for monitoring
repurchases of distributed shares by the underwriting syndicate is available
where the managing underwriter elects not to deposit the securities on the
date of the commencement of trading in such security on The Nasdaq Stock
Market, such later date designated by the managing underwriter in a
notification submitted to the securities depositary; but in no event more than
three (3) months after the commencement of trading in such security on The
Nasdaq Stock Market.
* This notice shall be made to the MarketWatch Department at 9513 Key West Avenue,
Rockville, Maryland 20850-3389. The telephone number is (800) 537-3929, (301) 590-6411, or
from 6 p.m. to 8 a.m. Eastern Time, (301) 590-6413. The Stock Watch fax number is (301)
590-6482.
Rule 4310 continues
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