FAQs: Stock




1. Do I need to provide a ticker symbol?

Providing a ticker symbol will expedite the approval of your report, but a ticker symbol is not required.  Regardless of whether you provide the ticker symbol, you need to provide the full name of the stock.

2. Do I need to provide the line of business of the company that issued the stock?

You do not need to provide the 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 should provide the 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.