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Trading Halt Request Form

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TRADING HALT REQUEST AND SERVICES AGREEMENT

Client Name:    Exchange Operator:

RECITALS

WHEREAS, Client is the issuer of, or authorized agent for, the securities identified below and seeks a temporary suspension of trading in such securities for the reasons described in this Request; and

WHEREAS, Exchange Operator administers procedures for initiating and implementing temporary trading halts and is willing to process the trading halt request subject to the terms, certifications and fees set forth in this Agreement; and

WHEREAS, the parties desire to set forth the scope of services, payment terms, representations and other provisions governing the Request for and processing of a trading halt.

TRADING HALT REQUEST DETAILS

Issuer or Security Holder:

Ticker Symbol:   CUSIP / ISIN:   Security Type:

Proposed Halt Start Date:   Proposed Start Time:   Anticipated Duration:

REASON FOR HALT

Select applicable reason(s) and provide a concise description where requested:






SCOPE OF WORK

The Exchange Operator will, upon acceptance of the request and subject to applicable policies, implement a temporary halt for the security specified above, notify market participants in accordance with routine procedures, and coordinate restart procedures as required. Services may include verification of authority, dissemination of halt reason, monitoring of market conditions during the halt, and coordination of resumption instructions.

PAYMENT TERMS

Fees for processing a trading halt and associated services shall be as follows. Client agrees to pay the Exchange Operator the amounts set forth below in consideration for services rendered under this Agreement.

TERM AND TERMINATION

This Agreement commences on Start Date and, unless earlier terminated in accordance with this section, remains in effect for the period necessary to process the requested halt and any related post-halt activities.

Start Date:    End Date (if applicable):    Notice Period for Termination:

Either party may terminate this Agreement for cause upon written notice if the other party materially breaches any obligation and fails to cure within the notice period specified above. Termination does not relieve Client of obligations to pay fees for services rendered prior to termination or for reasonable wind-down costs.

CONFIDENTIALITY

The parties acknowledge that information relating to pending material disclosures, regulatory inquiries, internal reviews and the terms of trading halt requests are confidential. Each party shall use such confidential information solely for the purposes of fulfilling obligations under this Agreement and shall not disclose it to third parties except as required by law, regulatory authority, or with the prior written consent of the disclosing party. Reasonable administrative and technical safeguards shall be implemented to protect confidential information.

REPRESENTATIONS, WARRANTIES AND CERTIFICATIONS

Client represents and warrants that it is authorized to request the halt on behalf of the issuer or holder of the specified security, that all information provided in this Request is true and complete to the best of Client's knowledge, and that it will promptly notify Exchange Operator of any material change affecting the Request. Client certifies that it will comply with applicable disclosure obligations and regulatory requirements in connection with the halt and resumption of trading.

GOVERNING LAW

This Agreement shall be governed by and construed in accordance with the laws of the State selected below without regard to choice-of-law rules. The parties submit to the exclusive jurisdiction of the courts of that state for disputes arising under this Agreement.

Governing State:

ENTIRE AGREEMENT

This Agreement, including any schedules and the Request details provided herein, constitutes the entire agreement between the parties concerning the subject matter and supersedes all prior and contemporaneous oral or written agreements. Any amendment must be in writing and signed by authorized representatives of both parties.

CONTACT FOR IMPLEMENTATION

CERTIFICATION

By signing below, the undersigned certifies under penalty of perjury that they are authorized to execute this Trading Halt Request and Services Agreement on behalf of the Client, that all information supplied in this Request is accurate and complete, and that Client will comply with the terms and payment obligations set forth herein. The Exchange Operator, by countersigning, acknowledges acceptance of the terms to the extent indicated and will act in accordance with its internal procedures.

Requesting Party:

By:

Date:

Exchange Operator:

By:

Date:

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What the Trading Halt Request Form Is

The Trading Halt Request Form is a standardized document used by issuers, their counsel, or authorized broker-dealers to request a temporary suspension of trading in a listed or over-the-counter security. It documents the reason for the halt, the proposed effective time, supporting disclosures, and contact details for market participants and regulators. Exchanges and trading venues use the submitted information to decide whether to pause trading, issue a public notice, or require additional disclosures. This form supports orderly market communication and creates an audit trail of the request and the parties involved.

Why a Clear Trading Halt Request Form Matters

A properly completed Trading Halt Request Form reduces review time, supports regulatory compliance, and helps exchanges evaluate the need for a halt quickly. Complete, accurate information minimizes follow-up questions and shortens the interval between request and market action.

Why a Clear Trading Halt Request Form Matters

Who Typically Prepares and Submits This Form

Standard filers include listed issuers, corporate legal teams, investor relations, and designated broker-dealers authorized to communicate with exchanges.

Identify the authorized submitter and retain documentation of internal approvals and the exchange response for your records.

Core Sections to Include in a Professional Trading Halt Request Form

A complete form organizes factual details, regulatory context, contact points, and attachments so exchange staff can assess market impact and disclosure sufficiency without additional follow-up.

Issuer Details

Legal entity name, primary ticker, CIK (if applicable), state of incorporation, and exchange listing are essential for identifying the security and corporate filer.

Reason for Halt

Concise description of the triggering event (e.g., pending material news, regulatory inquiry, pending SEC filing) and whether the information is material or non-public.

Requested Timing

Proposed effective date and time (MM/DD/YYYY HH:MM, exchange time zone) and anticipated duration or whether duration is unknown.

Supporting Attachments

Include draft press releases, SEC filings, trading data, or legal opinions that corroborate the need for a temporary suspension.

Contact Information

Name, role, phone, email, and 24/7 escalation contact for the submitting party and designated exchange liaison.

Signature and Authority

Signed by an authorized officer or broker-dealer representative, with title and date; note any proxy authorization or power of attorney used.

Step-by-Step: How to Complete and Submit the Form

Follow this sequence to assemble a complete request package and reduce back-and-forth with exchange staff.

  • 01
    Assemble Facts: Gather the event timeline and relevant documents.
  • 02
    Draft Narrative: Write a clear, concise summary of material facts.
  • 03
    Attach Evidence: Include draft disclosure and supportive files.
  • 04
    Submit & Confirm: Send to exchange channel and verify receipt.

How to Customize and Complete the Form Online

Set up an online workflow so approvals, signatures, and attachments route automatically to the exchange and internal stakeholders.

Field Configuration
Required Fields Make issuer, ticker, effective time mandatory.
Conditional Fields Show supporting-attachment fields when 'Material Event' is selected.
Signer Order Require legal sign-off before broker-dealer authorization.
Audit Trail Enable audit logging and access controls for all edits.

Where to File or Send the Completed Form

Exchange procedures differ; route the form via the exchange's designated portal or the authorized broker-dealer communication channel.

  • Exchange Portal: Submit via the exchange’s secure submission system when available.
  • Broker-Dealer Filing: Authorized dealers may transmit on issuer's behalf to the exchange.
  • Regulatory Notices: Retain copies for SEC or regulator inquiries if requested.
  • Public Disclosure: Coordinate press release timing with the exchange decision.

Distribution Channels and Digital Requirements

Use secure delivery channels and documented authentication for both internal routing and exchange submission.

  • File Formats: PDF preferred for immutable record.
  • Integrations: Salesforce, NetSuite, Google Workspace integrations support automation.
  • Authentication: Use account-based or multi-factor signer verification.

Ensure recipients can access attachments and that your platform captures an audit trail with timestamps, IPs, and signer attribution.

Timelines and Processing Expectations

Understand expected response windows to coordinate public disclosures and internal escalation procedures.

Immediate Review:

Exchanges often acknowledge receipt within minutes to one hour.

Decision Window:

Exchange evaluation can take minutes to several hours depending on complexity.

Public Notice Timing:

If approved, public notice is typically issued concurrently with halt activation.

Follow-Up Filings:

Exchanges may request supplementary filings within 24–72 hours.

Resumption Process:

Resumption of trading depends on disclosure sufficiency and exchange rules.

Key Milestones from Request to Resumption

A standard processing path includes request submission, exchange evaluation, halt decision, disclosure, and resumption planning.

01

Submit Request

Authorized party transmits completed form and attachments.

02

Exchange Evaluation

Staff review event facts and market data for trading implications.

03

Halt Decision

Exchange issues halt and public notification if warranted.

04

Resumption Planning

Issuer provides disclosures and exchange sets resumption terms.

Common Mistakes That Delay Processing

  • Submitting incomplete contact information which prevents timely exchange follow-up and creates unnecessary delays.
  • Providing vague or conclusory descriptions of material events instead of a clear factual timeline and supporting documents.
  • Uploading incompatible or editable file formats instead of a single PDF that preserves page order and signatures.
  • Failing to indicate the exchange time zone for effective times, causing confusion about the intended halt window.

Risks and Consequences of an Incorrect or Misleading Request

Regulatory Inquiry: SEC enforcement risk
Exchange Sanctions: Fines or trading restrictions
Market Harm: Reputational damage and investor loss
Disclosure Liability: Civil liability for misleading statements
Operational Delay: Extended halt or denial
Internal Control Findings: Audit issues and remediation costs

Required Information and Fields at a Glance

Issuer Name: Full legal name
Ticker: Exact trading symbol
Halt Reason: Concise factual cause
Effective Time: MM/DD/YYYY HH:MM
Primary Contact: Name, phone, email
Attachments: Press release, filings

How Issuer-Requested Halts Differ from Exchange-Requested Halts

Compare the typical authority, documentation, and public-notice implications between issuer-originated and exchange-originated halt events.

Criteria Issuer Halt Exchange Halt
Authority issuer request exchange discretion
Typical Timing immediate request immediate or investigatory
Required Documents issuer attachments exchange data review
Public Notice usually simultaneous exchange issues notice

eSignature Vendor Pricing Snapshot for Completing and Signing the Form

Compare starter pricing and core capabilities relevant to submitting and signing Trading Halt Request Forms electronically. Pricing and plan features may vary by vendor and tier.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial 7-day free trial Varies by plan Varies by plan Varies by plan Varies by plan
Bulk Send Yes (Premium tier) Yes Yes Yes No
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No

How Organizations Use Trading Halt Request Forms — Examples

Real examples show how complete submissions speed exchange decisions and reduce follow-up requests.

Optica Ventures LLC

The interface is simple and easy-to-use for our team; more importantly, it is just as easy for our customers.

  • Issuer submitted complete attachments.
  • The exchange approved the halt quickly and requested only one follow-up clarification, minimizing market uncertainty and internal escalation.

Martin Properties

I can process and execute all of these documents online with 100% compliance and built-in security.

  • Issuer coordinated counsel and IR prior to filing.
  • Rapid submission and clear contact details resulted in a prompt resumption once disclosures were posted, reducing trading disruption.

Practical Tips to Ensure Accurate and Efficient Completion

Implement these practices to reduce errors, improve response times, and maintain a clear audit trail.

Verify Identity and Authority
Confirm the submitting individual's authorization and include documented delegation or power of attorney if not the issuer's officer.
Prepare Attachments in Advance
Draft press releases and supplemental filings before submission so the exchange can review documents without waiting for later uploads.
Use Standardized Templates
Maintain an internal template with required fields and checklists to ensure consistent, complete submissions across events and teams.
Keep an Audit Trail
Record all edits, approvals, and submission confirmations, including timestamps and the method of delivery, to support regulatory inquiries.

Frequently Asked Questions About the Trading Halt Request Form

Answers to common questions about completion, eSignature use, and post-submission follow-up.


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