The approval comes from FINRA after the document is filed with the SEC. They let the last one expire so yes even though they filed to do alternative filing (have yet to file ANYTHING in 2.5 months) they still have to file a SEC document once again to apply.
Even if shareholders find the document when filed it's almost meaningless because they usually never have the RS date. Then shareholders have to keep checking the FINRA website for the RS date but at most you only get 24hrs notice.
News 
Market Data 
Discover 
AI
