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Syndicate Legal Advisory Services prepares the complete legal documentation package required to apply for an initial listing of a company’s securities on the Nasdaq Stock Market — the Nasdaq Global Select Market, Nasdaq Global Market, or Nasdaq Capital Market. Working alongside the company’s management, independent auditors, and investment bankers, we draft, assemble, and organize every document Nasdaq and the SEC require, so the application is submitted complete, internally consistent, and ready for review.

 

Scope of work includes:

  • Pre-application analysis — written assessment of the company against the quantitative standards of the applicable Nasdaq tier (stockholders’ equity, market value of listed securities, net income, bid price, unrestricted publicly held shares, round-lot holders, and market makers), with a gap memo identifying the most achievable tier and what must be addressed before filing.

  • Nasdaq listing application package — preparation of the Listing Application, Listing Agreement, Corporate Governance Certification, Logo Submission Form, and all supporting exhibits, including the shareholder distribution schedule, DTC eligibility documentation, and transfer agent confirmations, submitted through the Nasdaq Listing Center.

  • SEC registration documents — drafting and coordination of the Form 8-A (Exchange Act Section 12(b) registration), and, for a company going public concurrently, the Form S-1 or Form F-1 registration statement and related prospectus disclosure; for Regulation A issuers uplisting from OTC Markets, coordination of the Form 1-A qualification and the transition to Exchange Act reporting.

  • Corporate governance documents — amended and restated charter and bylaws conforming to Nasdaq Rule 5600 Series requirements; board and committee charters (audit, compensation, nominating); director independence questionnaires and determinations; code of conduct; corporate governance guidelines; related-party transaction, insider trading, clawback, and Regulation FD policies; and documentation supporting any phase-in or controlled-company exemption relied upon.

  • Board and shareholder authorizations — board resolutions and consents approving the listing, the Exchange Act registration, and the governance framework; shareholder approvals where required under Nasdaq Rule 5635 (equity compensation plans, acquisitions, changes of control, and 20% issuances).

  • Officer and director compliance filings — Section 16 reports (Forms 3, 4, and 5), Schedule 13D/13G coordination, and Section 16 and insider-reporting compliance procedures.

  • Certifications and notifications — Sarbanes-Oxley Sections 302 and 906 certifications, the Nasdaq Corporate Governance Certification, and the Listing of Additional Shares (LAS) notification templates for post-listing issuances.

  • Exchange correspondence — preparation of responses to Nasdaq Listing Qualifications staff comment letters, including any required hearing or compliance-plan submissions, and SEC Division of Corporation Finance comments on registration documents.

  • Post-listing compliance toolkit — a calendar and template set for ongoing Nasdaq and Exchange Act reporting obligations (Forms 10-K, 10-Q, 8-K, proxy statement, LAS notifications, and continued-listing monitoring), delivered at closing.

 

Deliverable: a fully assembled, indexed listing application binder (electronic and hard copy) with a filing checklist and a reviewer-ready version of each document for execution by the company.

 

Engagement structure: flat-fee document preparation, scoped by listing track (IPO, direct listing, uplisting from OTC Markets, SPAC business combination, or transfer from another exchange), with milestone billing tied to the pre-application memo, draft package, and final submission.

CM - LIST - NASDAQ

$8,250.00Price
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DISCLAIMER: The information on this site is for informational purposes only and should not be taken as legal or financial advice. Requesting additional information or submitting information through this site or any contact form does not mean an attorney-client, or any other professional services provider-client relationship has been formed. Syndicate Legal Advisory Services is a legal advisory firm. As a legal advisory firm, Syndicate Legal Services provides guidance, analysis, compliance support, and strategic counsel on legal matters, but does not litigate, appear in court, or formally represent clients in legal proceedings.

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