纳斯达克上市指南Regulatoryrequirements.pdfVIP

Regulatory Requirements July 2010 TABLE OF CONTENTS CORPORATE GOVERNANCE REQUIREMENTS 1 DISCRETIONARY AUTHORITY5 HEARINGS AND APPEALS 6 DISCLOSURE OF MATERIAL NEWS 8 MARKETWATCH 8 REGULATION FD-COMPLIANT DISCLOSURE METHODS 8 PRIOR NOTIFICATION OF MATERIAL NEWS9 MATERIAL NOTIFICATION CATEGORIES 9 TRADING HALTS 10 RELEASING MATERIAL NEWS DURING REGULAR AND EXTENDED TRADING HOURS10 ® THE NASDAQ STOCK MARKET HOURS 10 RESPONDING TO REQUESTS FOR INFORMATION 10 INFORMATION SECURITY11 UNUSUAL CIRCUMSTANCES11 UNUSUAL MARKET ACTIVITY11 HOW TO REACH MARKETWATCH 11 LISTING A NEW CLASS OF SECURITIES 12 GUIDE TO NOTIFICATIONS 13 LISTING OF ADDITIONAL SHARES 14 FORWARD STOCK SPLITS, STOCK DIVIDENDS AND RIGHTS OFFERINGS 15 REVERSE STOCK SPLITS 16 CASH DIVIDENDS AND DISTRIBUTIONS 17 CHANGE IN THE NUMBER OF SHARES OUTSTANDING18 CHANGE IN THE COMPANY’S NAME 19 CHANGE IN THE COMPANY’S TRADING SYMBOL 20 CHANGE IN TITLE OF SECURITY OR PAR VALUE 21 CHANGE IN TRANSFER AGENT OR DEPOSITARY 22 SUBSTITUTION LISTING EVENTS 23 CHANGE IN COMPANY’S STATE OF INCORPORATION OR PLACE OF ORGANIZATION 24 MERGERS, TENDER OFFERS AND REDEMPTIONS OF DERIVATIVE SECURITIES 25 MERGERS 25 TENDER OFFERS 25 REDEMPTIONS/EXTENSIONS OF DERIVATIVE SECURITIES 25 CONTACTS 26 i GUIDE TO PERIODIC REPORTING REQUIREMENTS 27 ® WRITTEN INTERPRETATIONS OF NASDAQ LISTING RULES 29 NASDAQ RESOURCES 30 DIRECTORY OF NEWS SERVICES 33 ANNUAL REPORT RESOURCES 34 SALES PRICE INFORMATION 34 MARKETPLACE DESIGNATION34