Listingrule s


For subfederal and municipal securities (in connection with listing (change in the listing level) and determination of the security trading start date)



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2021-04-23-listing-rules

1.5. For subfederal and municipal securities (in connection with listing (change in the listing level) and determination of the security trading start date):

Document title

Placement/Circulation

Listing level

Filing format

1.

Application for the listing of securities or for a change in the listing level (via the IPA)

placement and circulation

all levels

  • Document with ES via the IPA

or

  • on paper

  • IPA form

2.

Security Questionnaire (via the IPA)

placement and circulation

all levels

  • Document with ES via the IPA

or

  • on paper

  • IPA form

3.

Documents evidencing the powers of the signatory to the Application, Questionnaire, and/or executed agreement, including the consent to personal data processing (standard form) in accordance with the requirements of Annex A to these Rules

placement and circulation

all levels

  • Document with ES via the IPA

or

  • on paper

  • electronically as a pdf. File via the IPA

4.

Text of the regulation containing the general terms and conditions of securities issuance and circulation with all amendments and supplements thereto

placement and circulation

all levels

  • electronically via the IPA

5.

Text of the regulation containing the terms and conditions of securities issuance and circulation with all amendments and supplements thereto

placement and circulation

all levels

  • electronically via the IPA

6.

A copy of the document evidencing state registration of the terms and conditions of issuance and circulation

placement and circulation

all levels

  • electronically via the IPA

7.

Text of the decision to effect a specific issue of securities, and of a document approving the same

placement and circulation

all levels

  • electronically via the IPA

8.

An agreement for the provision of appropriate listing services as envisaged in these Rules (2 copies)15 (also possible via the IPA)

placement and circulation

all levels

  • Document with ES via the IPA

or
on paper

9.

Report on correcting all discrepancies identified in the course of pre-listing (unless three months from the date of Exchange’s notice of discrepancies identified during prelisting procedures are expired)

placement and circulation

all levels

  • Document with ES via the IPA

or

  • on paper

  • electronically, IPA form

10.

Notice of the securities placement/sale start, of the trading start date (produced via the IPA)

Placement and circulation

all levels

  • Document with ES via the IPA

or

  • on paper

  • electronically, IPA from

11.

Coupon rate determination notice (produced via the IPA)

placement

all levels

  • Document with ES via the IPA

or

  • on paper

  • electronically, IPA from

12.

Notice of bond placement completion (produced via the IPA)

placement

bonds

  • or on before the placement completion date

13.

Other documents (information) necessary for the listing of the securities (as requested by the Exchange)

placement and circulation

all levels

upon request:

  • Document with ES via the IPA

or

  • on paper, and/or

  • electronically



Notes:
1. Upon any change in the information contained in the Security Questionnaire, the Entity shall notify the Exchange in writing of such changes and shall re-submit an updated Questionnaire in an electronic form within 10 working days from the date of the coming into force of such changes. The Questionnaire shall not be re-submitted upon any change in the details of the determined coupon size after the placement of the bonds.
3. If the Entity files an Application for the listing (or changing the listing level) of securities, it shall not be necessary to re-submit any earlier provided documents, except where changes and/or additions were made to such documents.
4. It shall not be necessary to file an agreement for the provision of respective listing services referred to in the Rules if there exists an earlier executed contract for such services.


Pre-consideration of documents in accordance with Clause 7.1 hereof:

  1. The documents (draft documents) shall be submitted for pre-consideration electronically via the Issuer’s Personal Account on the website of the Exchange, except for the relevant agreements are originally submitted.

  2. The agreements for listing services/pre-consideration of documents for listing securities on paper in two copies or a document signed with ES via the IPA (the document can be produced via the IPA).

  3. If the Issuer submits an Application for documents pre-consideration for the listing, it shall not be necessary to re-submit any earlier provided documents.



1.6. In relation to subfederal, municipal securities (for the purposes of maintaining the listing of such securities):




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