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Source: BUS Sachsen-Anhalt (Linie6PLus)

Applying for admission of securities to stock exchange trading

Description

Securities that are to be traded on the regulated market on a stock exchange require approval or inclusion by the management.

The issuer of the securities may have to apply for admission to the stock exchange together with a credit institution, financial services institution or a company operating in accordance with § 53 (1) sentence 1 or § 53b (1) sentence 1 of the German Banking Act.

The announcement of the admission is made at the expense of the applicants in the Federal Gazette by the stock exchange management.

  • The application for admission must be submitted to the stock exchange by the issuer of the securities together with a credit institution, financial services institution or a company operating in accordance with § 53 (1) sentence 1 or § 53b (1) sentence 1 of the German Banking Act.
  • The applicant must submit a prospectus approved or notified by the Federal Financial Supervisory Authority (BaFin), which must be published on the stock exchange before the introduction of the security.
  • The issuer must have existed as an entity for at least three years and disclosed its financial statements for the three financial years preceding the application.
  • Certificate of approval from the Federal Financial Supervisory Authority
  • Copy of the global certificate
  • Articles of Association or Articles of Association in the currently valid version
  • Certified excerpt from the commercial register according to the latest status
  • Proof(s) of the legal basis of the securities issue
  • Annual financial statements and management reports for the last three financial years, including auditors' opinions

The text was automatically translated based on the German content.

Bavarian State Ministry of Economic Affairs, Regional Development and Energy

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