Regulatory Alerts2025-01-21 | DOF 5747411Added
General Provisions Applicable to Simplified Issuers and Securities Subject to Simplified Registration
The National Banking and Securities Commission establishes general provisions creating three tiers of simplified issuers—Level I (debt instruments up to 75 million UDIs per issuance), Level II (debt or asset-backed securities up to 1.25 billion UDIs), and Simplified Share Issuers (shares up to 1.25 billion UDIs)—to facilitate financing for medium and small enterprises. These issuers must meet specific age and financial audit requirements, while qualified investors are defined by minimum investment averages or annual gross income thresholds. The rules mandate that securities be placed via public offerings through brokerage houses, restrict trading venues based on security type, and impose strict periodic reporting obligations on issuers and exchanges to ensure transparency.
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