INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of August 6, 2014 No. 3360-U

About submission to the Bank of Russia of documents for state registration of releases (additional releases) of issued securities, registration of securities prospectuses, reports on release results (additional release) of the issued securities of issuers which are not credit institutions

This Instruction according to the Federal Law of April 22, 1996 No. 39-FZ "About the security market" (The Russian Federation Code, 1996, No. 17, Art. 1918; 2001, No. 33, Art. 3424; 2002, No. 52, Art. 5141; 2004, No. 27, Art. 2711; No. 31, Art. 3225; 2005, No. 11, Art. 900; No. 25, Art. 2426; 2006, No. 1, Art. 5; No. 2, Art. 172; No. 17, Art. 1780; No. 31, Art. 3437; No. 43, Art. 4412; 2007, No. 1, Art. 45; No. 18, Art. 2117; No. 22, Art. 2563; No. 41, Art. 4845; No. 50, Art. 6247, Art. 6249; 2008, No. 52, Art. 6221; 2009, No. 1, Art. 28; No. 18, Art. 2154; No. 23, Art. 2770; No. 29, Art. 3642; No. 48, Art. 5731; No. 52, Art. 6428; 2010, No. 17, Art. 1988; No. 31, Art. 4193; No. 41, Art. 5193; 2011, No. 7, Art. 905; No. 23, Art. 3262; No. 27, Art. 3880; No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7040; No. 50, Art. 7357; 2012, No. 25, Art. 3269; No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 26, Art. 3207; No. 30, Art. 4043, Art. 4082, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6985; 2014, No. 30, the Art. 4219), the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, Art. 3634; No. 30, of the Art. 4219) establishes procedure for submission to the Bank of Russia of documents for state registration of releases (additional releases) of issued securities (further - securities), registration of securities prospectuses, including state registration of changes in decisions on release (additional release) and (or) in securities prospectuses, reports on release results (additional release) of the securities (further in case of joint mentioning - registration of issued documents) issuers which are not credit institutions (further - issuers).

1. Activities for registration of issued documents of issuers are performed in the Bank of Russia by Department of the corporate relations (further - authorized department) and the territorial offices of the Bank of Russia specified in Items 3 and 4 of this Instruction.

2. The authorized department performs state registration of releases (additional releases):

2.1. securities of the issuers included in the list of issuers approved by the administrative act of the Bank of Russia which registration of issued documents is performed by authorized department (further - the list of issuers);

2.2. securities of issuers whose size of the authorized capital at the time of approval of the decision on release (additional release) of securities constitutes or exceeds five billion rubles;

2.3. securities of issuers if such securities are:

the shares or securities converted into shares, placed by means of open subscription, the total amount of release (additional release) of which at par value constitutes or exceeds 200 million rubles;

the shares or securities converted into shares, placed by means of the closed subscription, the total amount of release (additional release) of which at par value constitutes or exceeds 600 million rubles;

bonds, the total amount of release (additional release) of which at par value constitutes or exceeds one billion rubles;

options of the issuer;

Russian depositary receipts;

bonds with mortgage providing;

housing certificates;

2.4. securities of the issuers having at least one of the following licenses:

on implementation of activities for maintaining the register of owners of securities;

on implementation of clearing activities;

on implementation of activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds;

license of the exchange and (or) license of trade system;

2.5. securities of settlement depositary;

2.6. securities of the issuers who are subject to placement by reorganization in case:

if the size of the authorized capital specified in the charter of the issuer created as a result of reorganization in form of business of joint-stock company constitutes or exceeds five billion rubles;

if at least one of the organizations participating in reorganization is the issuer included in the list of issuers;

if the issuer created as a result of reorganization of the non-state pension fund which is non-profit organization is the joint-stock pension fund;

2.7. securities of issuers, documents for state registration of releases (additional releases) of which are submitted along with representation applications on receipt of permission to placement and (or) the organization of security circulation of the Russian issuers outside the Russian Federation;

2.8. securities of foreign issuers, including international financial institutions.

3. State registration of releases (additional releases) of securities of the issuers who are not provided in Item 2 presents of the Instruction is performed by the following territorial offices of the Bank of Russia:

Head department of the Central bank of the Russian Federation across Central Federal District Moscow - for issuers whose location is Moscow or the Moscow region;

Department across the Oryol region of Head department of the Central bank of the Russian Federation across Central Federal District - for issuers whose location is Central Federal District, except Moscow and the Moscow region;

Northwest head department of the Central bank of the Russian Federation - for issuers whose location is the Northwestern Federal District;

The Ural head department of the Central bank of the Russian Federation - for issuers whose location is the Ural Federal District, the Republic of Bashkortostan, the Orenburg region, Perm Krai;

Head department of the Central bank of the Russian Federation across Primorsky Krai - for issuers whose location is the Far Eastern Federal District;

Head department of the Central bank of the Russian Federation across the Novosibirsk region - for issuers whose location is Siberian Federal District;

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