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Exchange and OTC obligations beyond EDGAR
Every venue adds a second layer of obligations to the 10-K, 10-Q and 8-K.
- EDGAR Next
- Annual account confirmation
- OTC Markets
- Verification, certification, fee
- Nasdaq
- Fee, notices, meeting, cure periods
- NYSE
- 303A affirmations and Timely Alert
- TakePublic computes
- EDGAR Next and OTC dates only
EDGAR itself: the EDGAR Next annual confirmation
- What is confirmedThat the account administrators, users, technical administrators and delegated entities on the EDGAR dashboard are authorized and the information is accurate (Regulation S-T Rule 10(d)(4)).
- Due dateThe quarter end selected on the dashboard: March 31, June 30, September 30 or December 31, or the next business day when that date is a weekend or federal holiday. Confirming early moves the deadline to one year after that quarter.
- Cost of missing itA filer that does not confirm eventually loses the ability to file, which blocks every other deadline. TakePublic schedules the confirmation and alerts 30, 7 and 1 days before, in ET.
OTC Markets: OTCIQ verification, certification and fees
- OTCID fee$8,040 a year for the OTC Disclosure & News Service.
- RulesVerification: OTCQX 2.2(F), OTCQB 2.2, OTCID 2.A. Certification: OTCQX 2.2(E), OTCQB 2.2, OTCID 2.B. Fees on the Corporate Services Fee Schedule as posted 2026-09-20; OTCQX for the year beginning January 1, OTCQB before trading begins and each year.
- Continued eligibilityOTCQX: $0.10 bid, $10M market cap, 2 market makers, annual meeting (2.1). OTCQB: $0.01 bid on one of every 30 days (2.1). OTCID: baseline disclosure and share data (1 and 2). Pink Limited companies verify the profile every 12 months on TakePublic's calendar.
Nasdaq: fee, notices, meeting and cure periods
- Annual feeUnder the Rule 5900 Series effective January 1, 2026, billed on total shares outstanding at the prior December 31. Capital Market $56,000 for up to 10 million shares to $86,500 over 50 million; Global and Global Select $59,500 to $199,000 over 150 million shares.
- Listing Center noticesUnder Rule 5250(e): Listing of Additional Shares at least 15 calendar days before issuance; dividend or distribution notice no later than 10 calendar days before the record date; reverse split notice by 12:00 p.m. ET five business days before the market effective date; substitution events 15 calendar days ahead.
- Annual meetingUnder Rule 5620(a), no later than one year after the end of the fiscal year, with proxies solicited for every meeting under 5620(b).
- Material newsUnder Rule 5250(b)(1), notify MarketWatch at least 10 minutes before releasing material news between 7:00 a.m. and 8:00 p.m. ET; before 6:50 a.m. ET when the release falls outside those hours.
- Cure periodsUnder Rule 5810(c): 45 calendar days to submit a plan for equity, holder and publicly held share deficiencies, with up to 180 days to regain compliance; 60 days to submit a plan for a late periodic report, up to 180 days from the report's due date; 180 calendar days after 30 consecutive business days under the $1.00 bid price.
NYSE: 303A affirmations, CEO certification and Timely Alert
- Annual CEO CertificationUnder Section 303A.12(a), the CEO certifies each year that the company complies with NYSE corporate governance standards, submitted with the Annual Written Affirmation.
- Written AffirmationsUnder Section 303A.12(c), the annual affirmation within 30 days after the annual meeting, or within 30 days after the 10-K is filed if no meeting is held; an interim affirmation within five business days after a triggering event such as a board or committee change.
- Notice of noncomplianceUnder Section 303A.12(b), the CEO notifies the NYSE in writing promptly after an executive officer becomes aware of material noncompliance with Section 303A.
- Timely AlertUnder Sections 202.05 and 202.06, call Market Watch at least 10 minutes before releasing material news between 7:00 a.m. and 4:00 p.m. ET, and at least 10 minutes before any dividend or stock distribution announcement at any hour. No material news between the close and 4:05 p.m. ET.
- Meeting and late filingsUnder Sections 302 and 802.01E, hold an annual meeting during each fiscal year; a late 10-K or 10-Q opens a six-month cure period, extendable by up to six more at the exchange's discretion.
NYSE American: the Company Guide equivalents
- Annual meeting (Section 704)No later than one year after fiscal year end; a postponed or adjourned meeting does not count.
- AffirmationsAnnual Written Affirmation and CEO Certification within 30 days after the annual meeting, or after the 10-K is filed if no meeting is held; Interim Written Affirmation within five business days of a triggering event.
- Website posting (Section 610(a))The 10-K on or linked from the company website at the same time it is filed on EDGAR.
- Timely Alert, late filersCall Market Watch 10 minutes before material news between 7:00 a.m. and 4:00 p.m. ET; under Section 1007 a late 10-K or 10-Q opens a six-month cure period, extendable by up to six more.
Which of these TakePublic tracks
- Computed for youThe EDGAR Next confirmation, the OTCQX, OTCQB and OTCID certification dates, and the OTCIQ verification dates, rolled off weekends and holidays and shown in ET.
- Added as mattersExchange fees, Listing Center and SLAP notices, affirmations and meeting dates, with the date counsel sets; the same alert ladder runs on them.
- Not monitoredBid price, market capitalization and other listing standards; TakePublic does not send exchange notices for you.
Frequently asked questions
When is the EDGAR Next annual confirmation due?
By the quarter-end date selected on the EDGAR dashboard, rolled to the next business day when it lands on a weekend or federal holiday. Confirming in an earlier quarter moves the next deadline to one year after that quarter.
How often must an OTC company verify its OTCIQ profile?
At least every six months on OTCQX, OTCQB and OTCID. The annual management certification is separate: concurrently with the annual report and no later than 45 calendar days after its due date.
What does Nasdaq charge each year?
For 2026, the all-inclusive annual fee runs from $56,000 on the Capital Market for up to 10 million shares to $199,000 on the Global and Global Select Markets for more than 150 million shares, based on total shares outstanding at the prior December 31.
When are the NYSE 303A affirmations due?
The Annual Written Affirmation and Annual CEO Certification within 30 days after the annual meeting, or within 30 days after the annual report is filed if no meeting is held. An Interim Written Affirmation is due within five business days after a triggering event.
Does TakePublic monitor listing standards?
No. It computes the EDGAR Next confirmation and the OTC certification and verification dates, and lets you add exchange dates as matters. Bid price, market capitalization and exchange notices stay with the company and counsel.
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TakePublic is a technology platform, not a law firm, broker-dealer, or auditor. Forms 3, 4 and 5 prepared in TakePublic file only after the reviewer the company designates, such as its securities counsel, signs off; any other filing prepared in TakePublic files only after a licensed securities attorney signs off.