NEO Listings

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Listing Manual & Forms

Listing Manual

The Aequitas NEO Exchange Listing Manual governs listing activity on the Exchange and is applicable to all companies or entities listing or which have listed with NEO.

Click here to view the Listing Manual.

Listing Forms

FORM NAME FORMAT
ALL Download all Listings Forms (.zip) PDF Word (fillable)
1 Listing Agreement for All Listed Issuers PDF Word (fillable)
1A Listing Application - General Issuers PDF Word (fillable)
1B Listing Application - CEF / ETF / ETP Issuers PDF Word (fillable)
2 Listing Statement PDF N/A
3 Personal Information Form PDF Word (fillable)
3A Declaration PDF Word (fillable)
3B Declaration - Other Listed Issuer PDF Word (fillable)
4A Listing Fee Schedule PDF N/A
4A
APPB
Form 4A Appendix B - Fee Remittance Form PDF Word (fillable)
4B Issuer Performance Program (IPP) PDF Word (fillable)
5A Notice of Change of Directors and Officers PDF Word (fillable)
5B Notice of Change of Independent Review Committee Member PDF Word (fillable)
6 Quarterly Update PDF Word (fillable)
7 Notice of Dividend (Stock Dividend) PDF Word (fillable)
7A Notice of Dividend (Cash Dividend) PDF Word (fillable)
8 Notice of Prospectus Offering PDF Word (fillable)
9 Notice of Private Placement PDF Word (fillable)
9A Price Reservation Form PDF Word (fillable)
9B Notice of Amendment of Convertible Security PDF Word (fillable)
10 Notice of Acquisition PDF Word (fillable)
11 Notice of Security Based Compensation Arrangement Award or Amendment PDF Word (fillable)
12 Notice of Rights Offering PDF Word (fillable)
13 Notice of Take-Over Bid PDF Word (fillable)
14A Notice of Additional Listing PDF Word (fillable)
14B Notice of Cancellation of Securities PDF Word (fillable)
14C Notice of Exercise of Over-allotment Option PDF Word (fillable)
15 Notice of Creation or Redemption PDF Word (fillable)
16 Notice of Name Change PDF Word (fillable)
17 Notice of Stock Subdivision (Forward Stock Split) PDF Word (fillable)
18 Notice of Security Consolidation (Reverse Stock Split) PDF Word (fillable)
18A Confirmation of Distribution Requirements in Connection with a Security Consolidation PDF Word (fillable)
19 Notice of Security Restructuring PDF Word (fillable)
20 Notice of Formal Issuer Bid PDF Word (fillable)
20A Notice of Normal Course Issuer Bid PDF Word (fillable)
20B Notice of Normal Course Issuer Bid Purchases PDF Word (fillable)
21 Notice of Shareholder Rights Plan PDF Word (fillable)
22 Notice of Significant Transaction PDF Word (fillable)
23 Notice of Change of Underlying or Composition PDF Word (fillable)
24 Notice of Delisting PDF Word (fillable)

Listing Fee Schedule

The Listing Fee Schedule outlines all initial, ongoing and transactional related fees associated with Listings on NEO.

Click here to view the Listing Fee Schedule.

NEO Exchange ETF Volatility Threshold List

Click here to download