FAQs: Stock

1. Am I required to provide a ticker symbol?

Providing a ticker symbol will expedite the approval of your report, but a ticker symbol is not absolutely required if you are unable to find the ticker symbol.

2. Am I required to provide the location and line of business of the company that issued the stock?

You do not need to provide the location and line of business of the company if the company is publicly traded. However, if the company is not publicly traded (i.e., the company is privately held), you need to provide the city, state, and line of business of the company.

3. What is a “publicly traded” stock?

A stock is publicly traded if it is listed on a national exchange (NYSE or NASDAQ) or a regional exchange in the United States. 

 

This guide is not intended to provide investment advice, and you should not rely on statements in this guide when making investment decisions.

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