2014-10-25

CVM Instruction No. 373 of June 28, 2002

The Brazilian Securities and Exchange Commission (CVM) issued Instruction No. 373 to amend Article 4 of Instruction No. 202/1993, allowing companies to submit registration and public distribution requests simultaneously. The regulation also mandates that open companies seeking to list securities on a stock exchange or organized over-the-counter market must submit specific documentation to the CVM. Additionally, the instruction revokes Article 12 of the original 1993 instruction and became effective upon its publication in the Official Gazette.

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CVM INSTRUCTION NO. 373, OF JUNE 28, 2002.

Amends Article 4 and revokes Article 12 of CVM Instruction No. 202, of December 6, 1993.

The PRESIDENT OF THE SECURITIES AND EXCHANGE COMMISSION – CVM makes public that the Collegiate Board, in a meeting held on June 18, 2002, based on the provisions of Articles 21 and 22, sole paragraph, item I, of Law No. 6,385, of December 7, 1976, HAS DECIDED to issue the following Instruction:

Article 1

Article 4 of CVM Instruction No. 202, of December 6, 1993, shall be effective with the following wording:

“Article 4

The registration request for a company may be submitted to the CVM together with the request for public distribution of securities referred to in Article 19 of Law No. 6,385, of December 7, 1976, and the approval, if granted, shall cover both requests.

Sole Paragraph. Open companies that already have registration for trading in the over-the-counter market and wish to obtain registration to trade their securities on a Stock Exchange or in the organized over-the-counter market shall send to the CVM the document provided for in item III of Article 7 of this Instruction.”

Article 2

Article 12 of CVM Instruction No. 202, of December 6, 1993, is hereby revoked.

Article 3

This Instruction shall enter into force on the date of its publication in the Official Gazette of the Union.

Signed Original by

LUIZ ANTONIO DE SAMPAIO CAMPOS Acting President