ETF LISTING PROCESS AT NASDAQ
High-Touch ETF Support Helping Issuers Navigate Challenges and Opportunities Every Step of the Way
Leveraging our reach, trusted execution platform and experience, Nasdaq helps with the ETF listing process by delivering a complete ETF ecosystem with deep liquidity and unparalleled marketing tools to differentiate, activate and amplify your brand. Our experienced support team of subject-matter experts are always accessible and dedicated to your needs – throughout your product lifecycle.
Always on the Leading Edge of Market Quality, Execution and Reform
Listing an ETF with Nasdaq means partnering with the most liquid and resilient platform around and the creator of automated auctions. We aim for the best investor experience, by developing dedicated ETF liquidity programs and driving better market frameworks.
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Listing an ETF with Nasdaq means partnering with the most liquid and resilient platform around and the creator of automated auctions. We aim for the best investor experience, by developing dedicated ETF liquidity programs and driving better market frameworks.
*Source: UTP Trade Data Feed and Consolidated Tape System (CTS) from January - December 2022.
**Source: The Options Clearing Corporation from January - December 2022.
One-of-a-kind Marketing That Reaches Further
Our unparalleled marketing tools differentiate, activate and amplify your brand – from our seven-story digital tower at Nasdaq MarketSite in Times Square to Nasdaq’s iconic Opening and Closing Bell Ceremonies – helping you grab a global audience from the get-go.
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Nasdaq U.S. Exchange Traded Products Overview
Nasdaq U.S. Exchange Traded Products
Complete the form below to receive the overview brochure and learn more.
Ready to launch? Reach out to our ETP team to get started: ETFs@nasdaq.com
Listing Exchange Traded Products
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New Fund Launches: New funds will be required to complete a certification in connection with the initial listing application. The certification is done within the listing application.
Listing Transfers: Funds switching from another market to Nasdaq are required to complete a certification regarding compliance with Rule 6c-11. The certification is done within the listing application.
Create Listings Center Account* →
*Once logged in, click the "create new form" tab to fill out the listings application.
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Once your application items have been submitted, Listing Qualifications will guide and support you every step of the way and introduce you to our ETF community and key constituents.
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Utilize our ETP Co-Marketing Checklist to amplify and activate your brand and tap into Nasdaq’s global reach, brand exposure, and diversity of activation tools – tailored to your ETP launch.
Continued Listings
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ETFs listed under Nasdaq Rule 5704 are required to submit an annual certification regarding the funds compliance with Rule 6c-11 during the fiscal year. The certification is required to be submitted within 30 calendar days of the fund’s fiscal year end. The certification can be done by submitting a Company Event Form.
Data Submission Requirements and Templates for All Other Products
In order to monitor compliance with the requirements, Nasdaq collects the following data from ETP issuers regarding the index or reference asset underlying the ETP:
•Passive ETFs and ETNs: Index Component File due 30 calendar days following the end of the fund's fiscal quarter.
•Active ETFs: Portfolio Component File due 30 calendar days following the end of the fund's fiscal quarter.
•Listed Pursuant to a Product-Specific Rule Filing under Rule 19b-4 (Active or Passive): Portfolio Component File due 30 calendar days following the end of the fund's fiscal quarter and Annual Compliance Certification due 30 calendar days following the fund's fiscal year-end.
NOTE: Submission of the index component or reference asset data described above is NOT required for Rule 6c-11 ETFs pursuant to Nasdaq Rule 5704.
Index Rebalances/Reconstitutions: In lieu of submitting the quarterly component file, issuers can submit an index component file following an index rebalance or reconstitution if the rebalance or reconstitution took place within the fiscal quarter. Issuers who submit this file in connection with a rebalance or reconstitution do not have to submit a separate component file for the same quarter.
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Issuers can submit component information and annual certifications using the Nasdaq Listing Center by completing the Company Event Form.
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ETP Sponsors must use this template for submitting index or portfolio component data. For assistance with this form, please refer to the ETP Listings Guide.
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The most competitive, simple, and straightforward listings fee: No Initial Fees and $4,000 Flat Annual Listing Fee
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Featured ETF Insights
Contact Us
Reach Out to Our ETP Team
For Questions About |
By Phone or Email |
|---|---|
|
Listing Qualifications - Initial and Continued Listings |
Benjamin Haskell |
|
ETP Listing Applications (including switches from other exchanges) |
Hank Beiter |
| ETP Listings Services and Sales Benefits of Nasdaq Liquidity Programs |
Giang Bui |
| Office of General Counsel - ETP Rule Filings | Jonathan Cayne Principal Associate General Counsel +1 301 978 8493 Jonathan.cayne@nasdaq.com |
| ETP Marketing | etfmarketing@nasdaq.com |
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For Questions About
By Phone or Email
Listing Qualifications - Initial and Continued Listings
Benjamin Haskell
Senior Director – Regulatory Compliance
+1 240 715 8355
Benjamin.Haskell@nasdaq.comETP Listing Applications (including switches from other exchanges)
ETP initial and continued listing standards and processesHank Beiter
ETP/Options Analyst
+ 1 240 204 2094
Hank.beiter@nasdaq.comETP Listings Services and Sales
Benefits of Nasdaq Liquidity ProgramsGiang Bui
Head of U.S. Exchange Traded Products
+1 516 540 9363
Giang.bui@nasdaq.comOffice of General Counsel - ETP Rule Filings Jonathan Cayne
Principal Associate General Counsel
+1 301 978 8493
Jonathan.cayne@nasdaq.comETP Marketing etfmarketing@nasdaq.com