CVM Resolution No. 171 of October 27, 2022

SECURITIES COMMISSION OF BRAZIL
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CVM RESOLUTION NO. 171, OF OCTOBER 27, 2022
Amends CVM Resolution No. 54, of October 20, 2021.

THE PRESIDENT OF THE SECURITIES COMMISSION – CVM makes public that the Collegiate Body, in a meeting held on October 25, 2022, based on Law No. 7,940, of December 20, 1989, and Decree No. 70,235, of March 6, 1972, APPROVED the following Resolution:

Art. 1. CVM Resolution No. 54, of October 20, 2021, shall enter into force with the following wording:

“Art. 13-A. In cases where the initial registration with the CVM of a securities market participant is finalized after validation of information forwarded by other public entities, the supervision fee must be paid within 30 (thirty) days after the date of inclusion in the registry of securities market participants at the CVM, through the sending of a summons, as per Article 11, by the competent superintendence in accordance with the CVM’s internal regulations.

Sole Paragraph. The summons referred to in the main text must be sent upon inclusion in the registry and, where applicable, observe the provisions of the decree governing the administrative tax process, and contain the following information:
I – explicit indication that the registration entails an obligation to pay the supervision fee in accordance with Law No. 7,940, of 1989; II – methods of payment of the supervision fee and warnings resulting from its non-payment.” (NR)

Art. 2. For the purposes of Article 1, securities market participants who have been included in the registry between January 1, 2022, and the entry into force of this Resolution must make the payment within 30 (thirty) days counted from the entry into force of this Resolution.

Art. 3. This Resolution enters into force on December 1, 2022.

Electronically signed by
JOÃO PEDRO BARROSO DO NASCIMENTO
President