Chapter 2 Listing of Domestic Securities
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Section 1 Listing of Stock
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| Article 6 | Where the Issuer applies for the listing of its stock, the listing contract shall specify the type, issuing date, number of stock to be issued, amount of each share and total amount of issuance of the security in the initial application for listing.
In the event that any addition, deletion or amendment of the listed stock of the Issuer occurs thereafter, the content of addition, deletion or amendment specified in the Application for Listing of Securities, Application for Change of Contents of Listed Securities or Conversion Notice of Listing of Securities, as approved by the TWSE, shall constitute an integral part of the listing contract.
Items contained in the application form of a Taiwan Innovation Board(TIB)-listed company whose application for identification as a listed company has been approved by the TWSE shall constitute an integral part of the listing contract.
Listing contacts for securities with detachable warrants are governed by the preceding paragraph mutatis mutandis and shall specify the type, issuing date, criteria for setting the subscription conditions (including subscription price, subscription period (or date), type of the share subscribed for, and the number of shares available for subscription in respect of each warrant), total amount of issuance, issuing price, period of validity and other issuing terms and conditions of the stock warrant.
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| Article 7 | When the Issuer issues a letter to consult the TWSE regarding the listing date, it shall provide information on the change in shareholding of any directors, supervisors, officers or shareholders holding more than 10 percent of the total issued shares of the company in the five years prior to the date of the letter (inclusive), provided such provision is not applicable to listing applications of stock warrants after separation as issued by the Issuer to the above-mentioned personnel.
Changes in the shareholding of the personnel indicated in the preceding paragraph include those of their spouse, minor children, those held under the names of other parties, and the representative of the juristic person.
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Section 2 Beneficiary Certificates
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| Article 8 | Where a SITE applies for the listing of a closed-end securities investment trust fund ("closed-end fund"), the listing contract shall specify the name, issuing date, number of units to be issued, amount of each unit and the total amount of issuance of the closed-end fund to be listed.
Where a SITE applies for the listing of the beneficiary certificate of an exchange-traded securities investment trust fund ("ETF") or a FTE applying for the listing of the beneficiary certificate of an exchange-traded futures trust fund, the listing contract shall specify the name, issuing date and minimum net asset value of the ETF to be listed. The listing contract for the beneficiary certificate of an ETF that is linked as referred to in Article 37, Paragraph 4 of the Regulations Governing Securities Investment Trust Funds shall also specify the name of the offshore ETF to which such ETF is linked.
In the event that any addition, deletion or amendment of the listed beneficiary certificate referred to in the preceding two paragraphs occurs thereafter, the content of addition, deletion or amendment specified in the Application for Listing of Beneficiary Certificates or Application for Change of Contents of Listed Beneficiary Certificates, as approved by the TWSE, shall constitute an integral part of the beneficiary certificate listing contract.
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Section 3 Beneficial Securities or Asset-backed Securities
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| Article 9 | Where a trustee institution or special purpose company applies for the listing of beneficial securities or asset-backed securities, the listing contract shall specify the name, issuing date, number of units to be issued, amount of each unit and total amount of issuance of the beneficial securities or asset-backed securities to be listed.
In the event that any addition, deletion or amendment of the listed beneficial securities or asset-backed securities occurs thereafter, the content of addition, deletion or amendment specified in the Application for Listing of Beneficial Securities or Asset-backed Securities or Application for Change of Contents of Listed Beneficial Securities or Asset-backed Securities, as approved by the TWSE, shall constitute an integral part of the beneficial securities or asset-backed securities listing contract.
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Section 4 REIT Beneficiary Securities or REAT Beneficiary Securities
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| Article 10 | Where a trustee institution applies for the listing of REIT beneficiary securities or REAT beneficiary securities, the listing contract shall specify the name, issuing date, number of units to be issued, amount of each unit and total amount of issuance of the REIT beneficiary securities or REAT beneficiary securities to be listed.
In the event that any addition, deletion or amendment of the listed REIT beneficiary securities or REAT beneficiary securities occurs thereafter, the addition, deletion or amendment specified in the Application for Listing of REIT Beneficiary Securities or REAT Beneficiary Securities or Application for Change of Contents of Listed REIT Beneficiary Securities or REAT Beneficiary Securities, as approved by the TWSE, shall constitute an integral part of the REIT beneficiary securities or REAT beneficiary securities listing contract.
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Section 5 Call (put) Warrants
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| Article 11 | Where a call (put) warrant issuer applies for the listing of call (put) warrants, the listing contract shall specify the type, issuing date, abbreviation of follow-on warrant, code of follow-on warrant, exercise ratio, period of validity, underlying instrument or instrument portfolio, number of units to be issued, issuing price, strike price (point), exercise period (date) and other issuing terms and conditions of the call (put) warrants to be listed, as well as the name and quoting method of the liquidity providers.
In the event that the content of any amendment, addition or deletion to the call (put) warrants listed occurs thereafter, the content of addition, deletion or amendment specified in the Application for Listing of Call (Put) Warrants approved by the TWSE shall constitute an integral part of the listing contract for call (put) warrants.
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Section 6 Bank Debentures |
| Article 12 | In the event that any addition or deletion, any change of company name or other event resulting in any amendment to the content of the listed bank debentures occurs thereafter, the addition, deletion or amendment specified in the Registration Statement for Listing or Application for Change of Contents, as approved by the TWSE, shall constitute an integral part of the listing contract for bank debentures.
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| Article 12-1 | Where an exchange traded note issuer applies for the listing of an exchange traded note, the listing contract shall specify the name, issuing date, number of units to be issued, total amount of issuance and listing period of the exchange traded note.
In the event that any addition, deletion or amendment of the listed exchange traded note occurs thereafter, the content of addition, deletion or amendment specified in the Application for Listing of Exchange Traded Notes, Application for Change of Contents of Listed Exchange Traded Notes or Conversion Notice of Listing of Exchange Traded Notes, as approved by the TWSE, shall constitute an integral part of the listing contract.
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