Hamilton & Associates represents issuers seeking to list securities on national securities exchanges, including Nasdaq and the New York Stock Exchange. Our firm advises clients through the legal and regulatory aspects of the listing process, from preliminary eligibility review through submission of application materials and communication with exchange staff.
We work with both U.S. and foreign issuers in connection with going public and SEC compliance:
initial exchange listings on Nasdaq and NYSE
uplistings from OTC markets to Nasdaq and NYSE
Nasdaq and NYSE listing qualification analysis
Nasdaq and NYSE exchange application preparation
responses to exchange comments and information requests
continued listing standards and ongoing compliance for Nasdaq and NYSE issuers
A national exchange listing on Nasdaq and NYSE can be a significant milestone for a public company. The process often requires close coordination among company management, securities counsel, auditors, transfer agents, underwriters, investor relations professionals, and exchange personnel. Our role is to help clients navigate that process efficiently and with a clear understanding of applicable legal, disclosure, governance, and exchange requirements.
Nasdaq Listing Counsel and Continued Compliance Counsel
Issuers pursuing a Nasdaq listing must evaluate applicable quantitative and qualitative listing standards, corporate governance requirements, public float thresholds, shareholder criteria, and other exchange-specific requirements. Our firm assists clients in assessing readiness for a Nasdaq application and identifying issues that should be addressed before submission.
We help clients:
evaluate Nasdaq initial listing eligibility
organize and prepare listing application materials
coordinate supporting documentation
address governance and committee requirements
respond to Nasdaq staff questions and requests
prepare for ongoing continued listing obligations after approval
For companies seeking to uplist from OTCQB or OTCQX, careful planning is often required to align exchange listing objectives with SEC reporting status, corporate governance, capitalization structure, and transaction timing.
NYSE Listing and Continued Compliance Counsel
The firm also represents issuers seeking a listing on the New York Stock Exchange and advises public companies on compliance with NYSE continued listing standards. NYSE applications can involve extensive review of financial, governance, and operational criteria, together with coordination of application materials and exchange communications.
We assist issuers with:
NYSE listing qualification review
preparation and submission of listing materials
coordination with NYSE staff
governance and board committee considerations
continued listing compliance analysis
deficiency response strategy and remediation planning
NASDAQ & NYSE Uplisting and Exchange Readiness
For many issuers, an exchange listing follows a broader transition from private company status, OTC trading, reverse merger, public offering, or other going-public transaction. We advise clients on exchange readiness issues that may affect timing and approval, including:
reporting history and SEC compliance
shareholder distribution and public float
board independence and committee composition
charter and bylaw review
equity structure and corporate cleanup
disclosure controls and governance practices
By identifying listing issues early, issuers can reduce delays and improve the efficiency of the application process.
Representation of U.S. and Foreign Issuers in Nasdaq and NYSE listings
Our firm represents both domestic companies and foreign issuers in exchange listing matters. Foreign private issuers and other international companies may face additional practical and regulatory considerations when pursuing a U.S. exchange listing, including governance, disclosure, accounting, and coordination among advisers in multiple jurisdictions.
We help foreign issuers understand and prepare for the legal and procedural requirements associated with a Nasdaq or NYSE listing and ongoing exchange compliance.
Ongoing NASDAQ and NYSE Exchange Compliance
Exchange counsel is often needed not only at the application stage, but also after listing approval. Public companies listed on Nasdaq or NYSE may need advice regarding continued listing standards, governance obligations, disclosure issues, deficiency notices, and communications with exchange staff.
We assist issuers on maintaining exchange compliance and responding promptly when listing concerns arise.
Speak with Nasdaq and NYSE Listing Counsel
If your company is evaluating a Nasdaq or NYSE listing, preparing an uplisting, or addressing continued listing compliance issues, Securities Lawyer 101 can assist with the legal aspects of the process.
Call to action:
Contact us to discuss Nasdaq and NYSE listing applications, uplistings, and exchange compliance matters.
FAQ Nasdaq & NYSE Counsel
What does Nasdaq listing counsel do?
Nasdaq listing counsel assists issuers with evaluating listing eligibility, preparing listing application materials, coordinating required documentation, responding to exchange staff questions, and advising on continued listing obligations.
Can a company uplist from OTC to Nasdaq?
Yes. Many companies pursue an uplisting from OTC markets to Nasdaq, but eligibility depends on satisfying Nasdaq’s listing, governance, financial, and public float requirements.
Does the firm represent foreign issuers in U.S. exchange listings?
Yes. The firm represents both U.S. and foreign issuers in connection with Nasdaq and NYSE listings and ongoing exchange compliance matters.
Can a securities lawyer help with continued listing standards?
Yes. A securities lawyer can assist listed companies with continued listing compliance, deficiency notices, remediation planning, and communications with exchange staff.
For more information about our Going Public Services, please see: