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.