Part II – Original Listings The following is the process for listing an Issuer on TSX. Please note this is a guideline only, and each applicant may be subject to additional requirements upon review of the file. Please refer to Part XI of the Manual for further details. (i) Documents to be Filed LETTER APPLICATION AND FILING FEE Issuers must submit an application to TSX in the form of a letter and/or email along with the applicable filing fee and preliminary prospectus. Issuers may choose to initially submit a draft preliminary prospectus for TSX review. Please refer to the Listing Fee Schedule for more details on the filing fee. LISTING REPRESENTATION IN THE PROSPECTUS If the Issuer would like to include a statement in its prospectus that an application has been made to list its securities on TSX, a draft of the prospectus must be provided to TSX for review prior to being filed. Please refer to Staff Notice 2018-0001 for more details. MATERIAL DOCUMENTS A draft copy of all material documents including, for example, the declaration of trust, must be filed for TSX review. (ii) Stock Symbols Issuers may request a specific stock symbol when applying to list or in the context of a name change, corporate reorganization or similar transaction. Issuers must provide a written request to reserve a specific stock symbol to the applicable TSX staff member. Upon confirmation from TSX of the allocated symbol, the symbol will remain reserved for an initial period of 90 days, and upon request in writing by the Issuer, such period may be extended for up to two additional 90-day periods, for an aggregate maximum period of 270 days. At the end of the 270 day period, the reserved symbol will automatically be released and may not be reserved by or for the same issuer for a period of 10 days. The Issuer is responsible for requesting an extension in writing before the end of any reservation period. If a reservation is not extended by the Issuer by the end of any reservation period, the symbol will be released. At any time, ETF providers and fund families (each considered a separate Issuer) may reserve up to 15 symbols for the reservation period described above. (iii) Filing Personal Information Forms A Personal Information Form (“PIF”) must be filed by each director, officer and principal shareholder (for purposes of this section, an “insider”) of a manager (the “Manager”) of an Issuer at the time of initial listing launched by such Manager (“New Provider”). If a PIF is required by TSX for a New Provider, and the insider of the New Provider has a PIF cleared within the last 60 months, the insider may submit a completed Declaration (Form 4B) in lieu of a PIF, absent any material change in the information submitted in the original PIF. If a new insider joins an existing Manager (after the initial listing), a Form 3 - Change in Officers/Directors/Trustees (“Form 3”) will be required to be filed for that Insider. Issuers are reminded that TSX may require PIFs from any individual associated with the Issuer, as TSX determines 7
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