No. |
Document for Submission |
Hard copy |
No. of Copies |
Deadline |
Basis for
Submission
| Remarks |
Forms |
|
1 |
Listing Agreement for a Foreign Indicator Tracking Trust Beneficiary Certificate (Form 3-13) |
✔ |
1 |
By the business day prior to the Listing Approval Date |
Rule 942, Paragraph 1 of the Regulations and Rule 932 of the Enforcement Rules |
|
Specified by TSE |
|
2 |
Application Form for Initial Listing of a Security |
✔ |
1 |
Listing Application Date |
Rule 944, Paragraph 1 of the Regulations and Rule 933, Paragraph 1 of the Enforcement Rules |
|
Specified by TSE |
|
|
3 |
Notice of Correction to Application Form for Initial Listing of a Security |
✔ |
1 |
When correcting Application Form for Initial Listing of a Security |
Rule 944, Paragraph 1 of the Regulations and Rule 933, Paragraph 1 of the Enforcement Rules |
|
Specified by TSE |
|
4 |
Written Oath Regarding Initial Listing Application (Form 3-14) |
✔ |
1 |
Listing Application Date |
Rule 944, Paragraph 1 of the Regulations and Rule 933, Paragraph 2 of the Enforcement Rules |
|
Specified by TSE |
|
5 |
Documents provided in the following items a through d related to the indicator:
a. A list of securities comprising the indicator;
b The procedure for computation of the indicator;
c A document stating the changes in securities comprising the indicator from three (3) years preceding the date of initial listing application;
d A document stating the basic information such as the corporate identity, etc. of the entity calculating the indicator; provided, however, attachment is not required where such calculating entity is a calculating entity for an indicator pertaining to an ETN or a listed ETF. |
|
1 |
Listing Application Date |
Rule 944, Paragraph 2 of the Regulations and Rule 934, Item 1 of the Enforcement Rules |
*1 |
- |
- |
6 |
Documents containing confirmation items pertaining to the initial listing application issue |
|
1 |
Listing Application Date |
Rule 944, Paragraph 2 and Paragraph 6 of the Regulations |
|
Reference |
|
7 |
Issuance agreement or issuance program of the foreign ETN which is the entrusted security of the initial listing application issue or any document similar thereto as well as the trust agreement pertaining to the initial listing application issue and other documents deemed necessary by TSE (copy) |
|
1 |
Listing Application Date |
Rule 944, Paragraph 2 and Paragraph 4 of the Regulations and Rule 934, Item 3 of the Enforcement Rules |
|
- |
- |
8 |
A document certifying that the representative stated in the "Application Form for Initial Listing of a Security" has proper authority concerning the listing of the initial listing application issue |
✔ |
1 |
Listing Application Date |
Rule 944, Paragraph 2 of the Regulations and Rule 934, Item 4, Sub-item a of the Enforcement Rules |
|
- |
- |
9 |
A document certifying that the agent, etc. of the issuer of the ETNJDR pertaining to the initial listing application pursuant to Rule 950 of the Regulations has been appointed or that the company has received from said agent, etc. an informal consent to accept the appointment |
✔ |
1 |
Listing Application Date |
Rule 944, Paragraph 2 of the Regulations and Rule 934, Item 4, Sub-item b of the Enforcement Rules |
|
- |
- |
10 |
The document proving that the approval, authorization, permission, notification or similar requirements concerning issuance of an ETN which is an entrusted security pertaining to the initial listing application issue have been obtained pursuant to the laws and regulations of the country or region where the ETN which is an entrusted security pertaining to such initial listing application issue was issued (copy) |
|
1 |
Listing Application Date |
Rule 944, Paragraph 2 of the Regulations and Rule 934, Item 4, Sub-item c of the Enforcement Rules |
|
- |
- |
11 |
The written certification of application by a trading participant which is a support member pertaining to the initial listing application issue (copy) |
|
1 |
Listing Application Date |
Rule 944, Paragraph 2 of the Regulations and Rule 934, Item 4, Sub-item d of the Enforcement Rules |
|
- |
- |
12 |
A document stating the status of accounts for the last three business years |
|
1 |
Listing Application Date |
Rule 944, Paragraph 2 of the Regulations and Rule 934, Item 5 of the Enforcement Rules |
*2 |
- |
- |
13 |
Documents assured by the guarantor as prescribed in the provisions of Rule 944, Paragraph 3 of the Regulations |
✔ |
1 |
Listing Application Date |
Rule 944, Paragraph 3 of the Regulations and Rule 935, Paragraph 2, Items 1, 2, and 5 of the Enforcement Rules |
*3 |
Reference |
|
14 |
A document stating the status of accounts for the last three business years pertaining to the guarantor |
|
1 |
Listing Application Date |
Rule 944, Paragraph 3 of the Regulations and Rule 935, Paragraph 2, Item 3 of the Enforcement Rules |
Same as above |
- |
- |
15 |
A written document stating the details of the guarantee (submission is not required where this is described in the document referenced in Item 7 (issuance agreement, issuance program, etc.)) |
|
1 |
Listing Application Date |
Rule 944, Paragraph 3 of the Regulations and Rule 935, Paragraph 2, Item 4 of the Enforcement Rules |
Same as above |
- |
- |
16 |
Securities registration statement and documents attached thereto (copy) |
|
2 |
Listing Application Date |
Rule 944, Paragraph 5 of the Regulations and Rule 937, Paragraph 1, Item 1, Sub-item a of the Enforcement Rules |
*4 |
- |
- |
17 |
Notice of effectiveness of securities registration (copy) |
|
1 |
Listing Application Date |
Rule 944, Paragraph 5 of the Regulations and Rule 937, Paragraph 1, Item 1, Sub-item b of the Enforcement Rules |
Same as above |
- |
- |
18 |
Notice of securities (copy)
*including amendments |
|
2 |
Listing Application Date |
Rule 944, Paragraph 5 of the Regulations and rule 937, Paragraph 1, Item 1, Sub-item c of the Enforcement Rules |
Same as above |
- |
- |
19 |
Registration prospectus (copy)
*including provisional registration prospectus |
|
2 |
Listing Application Date |
Rule 944, Paragraph 5 of the Regulations and Rule 937, Paragraph 1, Item 1, Sub-item d of the Enforcement Rules |
Same as above |
- |
- |
20 |
Securities report and documents attached thereto (copy) |
|
2 |
Listing Application Date |
Rule 944, Paragraph 5 of the Regulations and Rule 937, Paragraph 1, Item 2, Sub-item a of the Enforcement Rules |
*5 |
- |
- |
21 |
Interim Report (copy)
*including amendment thereto |
|
2 |
Listing Application Date |
Rule 944, Paragraph 5 of the Regulations and Rule 937, Paragraph 1, Item 2, Sub-item b of the Enforcement Rules |
Same as above |
- |
- |
22 |
Quarterly Report (copy)
*including amendment thereto |
|
2 |
Listing Application Date |
Rule 944, Paragraph 5 of the Regulations and Rule 937, Paragraph 1, Item 2, Sub-item c of the Enforcement Rules |
Same as above |
- |
- |
23 |
Extraordinary report (copy)
*including amendment thereto |
|
2 |
Listing Application Date |
Rule 944, Paragraph 5 of the Regulations and Rule 937, Paragraph 1, Item 2, Sub-item d of the Enforcement Rules |
Same as above |
- |
- |
24 |
Notice of Execution of Public Offering or Secondary Offering |
✔ |
1 |
Listing Application Date |
Rule 944, Paragraph 5 of the Regulations and Rule 937, Paragraph 1, Item 3 of the Enforcement Rules |
*6 |
- |
- |
25 |
Document outlining such foreign indicator tracking trust beneficiary certificate |
|
1 |
Listing Application Date |
Rule 944, Paragraph 5 of the Regulations and Rule 937, Paragraph 1, Item 4 of the Enforcement Rules |
*7 |
- |
- |
26 |
Written Confirmation that the Applicant has No Ties to Any Criminal Element |
✔ |
1 |
Listing Application Date |
Rule 944, Paragraph 6 of the Regulations |
|
Reference |
|
27 |
Securities Report (Draft) |
|
2 |
Listing Application Date |
Rule 944, Paragraph 6 of the Regulations |
|
- |
- |
28 |
Securities Registration Statement (Draft) |
|
2 |
Listing Application Date |
Rule 944, Paragraph 6 of the Regulations |
|
- |
- |