Listings Compliance FAQs for Companies
Updated as of September 19, 2018
The Investors Exchange LLC (IEX) listing requirements are contained in Chapter 14 of the IEX Rule Book. This document provides FAQs on select aspects of IEX’s listing rules, including corporate governance requirements,1 that may be of interest to IEX listed companies and applicants. Responses are intended to provide guidance on these requirements, but do not supersede the relevant rules.Download FAQs
- Board of Director Requirements
- Deficiency Cure Periods
- Code of Conduct Requirements
- Key Disclosure Obligations
- Related Party Transactions
- Annual Meetings and Proxies
- Shareholder Approval
- Shareholder Voting Rights
- Internal Audit Function
- Notification of Noncompliance
1 The corporate governance requirements are set forth in the Rule Series 14.400. These FAQs are provided in part pursuant to Rule 14.401(b).
2 See Rule 14.405(c)(5).