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The document ceased to be valid since  September 7, 2024 according to Item 2 of the Decision of the National commission on securities and the stock market of Ukraine of April 16, 2024 No. 456

It is registered

Ministry of Justice of Ukraine

May 10, 2012

No. 735/21048

DECISION OF THE NATIONAL COMMISSION ON SECURITIES AND STOCK MARKET OF UKRAINE

of April 19, 2012 No. 557

About approval of the Regulations on the State register of issues of securities

According to Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", part one of article 31 of the Law of Ukraine "About securities and the stock market", for the purpose of establishment of procedure for maintaining the State register of issues of securities the National commission on securities and the stock market RESHILA:

1. Approve Regulations on the State register of issues of securities which are applied.

2. And corporate finances (A. Papaik) to provide to corporate management department submission of this decision on state registration in the Ministry of Justice of Ukraine.

3. (Yu. Zhuly) to provide to department of external and internal communications publication of this decision according to requirements of the legislation of Ukraine.

4. This decision becomes effective since September 1, 2012, but not earlier than day of its official publication.

5. I reserve control over the implementation of this decision.

 

Commission chairman
D. Tevelev

Approved by the Decision of the National commission on securities and the stock market of Ukraine of April 19, 2012 No. 557

Regulations on the State register of issues of securities

І. General provisions

1. The state register of issues of securities (further - the State register) is system of collection, accumulating and information processing rather registered by the National commission on securities and the stock market (further - the Commission) share issues, bonds of the companies, bonds of local loans, securities of institutes of general investment, hypothecation certificates, mortgage bonds, certificates of funds of real estate transactions (further - FON).

2. The commission according to the tasks assigned to it:

performs development of the organizational and methodological principles of maintaining the State register;

provides entering of data on issue of securities into the State register and supports them in control condition;

performs development of technology and program technical means of maintaining the State register;

performs maintaining the State register;

performs functions of the database manager (collection, accumulating, data processing which arrive from structural divisions of central office and territorial authorities of the Commission, updating of data, their storages, control of right of access, etc.);

performs development of instructive, technical documents concerning forming, maintaining and use of data of the State register;

performs other functions, stipulated by the legislation.

3. Forming and maintaining the State register is performed by structural divisions of central office and territorial authorities of the Commission which are responsible for consideration of the relevant documents provided by issuers of securities.

4. The basis for entering of information on issues of securities into the State register is registration of release, release and the prospectus of the issue, changes in the prospectus of the issue, the report on results of securities placement; address stop, renewal of the address, cancellation of registration of issue of securities; replacement or issue of the duplicate of the registration certificate of issue of securities, recognition of securities such which answer signs of fictitiousness which is performed by the Commission according to the legislation.

5. Maintaining the State register is performed on electronic media.

ІІ. Data which are entered in the State register

1. Such data concerning shares are entered in the State register (except shares of corporate investment funds):

1.1. Information about the issuer:

code on EGRPOU;

name;

location;

means of communication (phone, the fax, the e-mail address (in case of availability)).

1.2. Information on share issue:

the size of the authorized capital (taking into account the last registered share issue);

total nominal cost of share issue;

number of shares;

nominal share value;

existence form (documentary, paperless);

type of shares (simple, exclusive);

aim (basis) of registration of release (release and the prospectus of the issue) of shares or replacement of the registration certificate of share issue: foundation of joint-stock company; creation of joint-stock company as a result of reorganization (transformation, merge, allocation, separation); increase in the authorized capital by the open (public) or closed (private) placement of additional shares of the existing nominal cost or by increase in nominal share value at the expense of the direction in the authorized capital of profit (its part) and/or the supplementary capital (its part), or as a result of joining of the legal entity; reduction of the authorized capital by reduction of nominal share value or by cancellation of the shares which are earlier redeemed by society and reduction of their total quantity; denomination of shares; change of form of release/existence of shares, change of the name of the issuer);

in case of reorganization - code on EGRPOU, the name of the legal entity (persons) which was reorganized (is);

start date of placement;

end date of placement;

the paid state customs duty;

registering body;

registration date of share issue;

registration certificate number about registration of share issue;

date of issue of the registration certificate of share issue;

type of the registration certificate of share issue (certificate / interim certificate);

the condition of the registration certificate of share issue (operating, cancelled voided);

bases for registration of share issue or replacement of the certificate;

date of issue of the duplicate of the registration certificate of share issue;

information on recognition of shares such which answer fictitiousness signs (with indication of date and number of the relevant decision of the Commission).

1.3. Information on registration of changes in the prospectus of the issue:

registration date of changes;

registering body;

bases for registration of changes;

nature of changes.

1.4. Information on registration of the report on results of share placing:

the size of the authorized capital (taking into account the last share issue concerning which the report on results of placement is registered);

total nominal cost of placed shares;

number of placed shares;

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