For Management Companies/Issuers

ETNs

Update : Dec. 17, 2013

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ETN Listing Criteria

The listing examination criteria, timely disclosure criteria, and delisting criteria applied when listing an ETN are as explained in the "Guidelines for Listing ETNs" and the "ETN Listing System Overview" below.

Guidelines for Listing ETNs PDF
ETN Listing System Overview (Japanese) PDF
ETN Listing System Overview (English) PDF
  • Abbreviations for regulations are as follows:
    Regulations: Securities Listing Regulations
    Enforcement Rules: Enforcement Rules for Securities Listing Regulations

Listing Applications pertaining to ETNs

ETN listing application documents required for submission on the listing application date are as below.

  • (*)Signatures on each document should be those of a person who falls under "a person of proper authority" listed on Item 9’s Certificate of Employment.

No. Document for
Submission
No. of Copies Deadline Basis for
Submission
Remarks Forms Download
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 Wordデータ
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 Word
Excel
3 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 Word
4 Written Confirmation Regarding Compliance with Exchange Rules and Regulations 1 Listing Application Date Rule 944, Paragraph 2 of the Regulations   Specified by TSE Word
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 (Note 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
Word
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 (Note 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

(Note 3) Reference
Word
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

(Note 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

(Note 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

(Note 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 (Note7) - -
26 Written Confirmation that the Applicant has No Ties to Any Criminal Element 1 Business day prior to the Listing Date Rule 944, Paragraph 6 of the Regulations

 

Reference
Word
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

 

- -

Note
  • (*1)This is unnecessary in cases where the calculating entity of the indicator pertaining to theinitial listing application.
  • (*2)Limited to cases where redemption guarantee is conducted by the issuer itself.
  • (*3)Limited to cases where a guarantor is present. In cases where the issuer conducts guarantee of redemption itself, and where the issuer voluntary provides a guarantor, submission of documents related to such voluntary guarantor is unnecessary.
  • (*4)- Limited to cases where notification is given or notice is submitted concerning an offering or secondary offering of the initial listing application issue to the Prime Minister, etc. (refers to the Prime Minister or an entity which is entrusted with the authority of the Prime Minister by law; hereinafter the same) during the period after the corresponding date from a year before the end of the business year immediately prior to the initial listing application date to the listing day.
    - Includes amendment securities registration statement.
  • (*5)- Limited to cases where documents were submitted to the Prime Minister, etc. during the period after the corresponding date from a year before the end of the business year immediately prior to the initial listing application date to the listing day.
    - Including amendments thereto
  • (*6)Limited to cases in which an offering or secondary offering was conducted pertaining to initial listing application.
  • (*7)A product outline containing an outline of the ETNJDR and details of rights of the initial listing application issue. Creation is voluntary.

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