25 Toronto Stock Exchange Listing Experience Submitting a listing application To secure a listing of securities on TSX, your company must complete a Listing Application Form. This, together with supporting data, should demonstrate that your company meets the original listing requirements of the Exchange. Once approved, your company must also sign a Listing Agreement to formally place on record your commitment to comply with Exchange requirements for the continuance of its listing. The Listing Application is made up of three principal components: the Principal Listing Document, the Listing Application Form and the Supporting Documents. 1. Principal listing document The Principal Listing Document is the primary source of disclosure made by your company to TSX – that is, it is the main source of relevant information about your company. Your Principal Listing Document will be one of the following: Prospectus (using Form 41-101 F1, available from the relevant securities commission) Annual Information Form (using Form 51-102F2 available from the relevant securities commission) Annual Report For U.S. Issuers (using Form 10-K, available from the SEC) Annual Report For Foreign Private Issuers (using Form 20-F, available from the SEC) You may be able to use documents and forms from other jurisdictions, if they provide a level of disclosure acceptable to the Exchange. You must pre-clear the use of any other such form with TSX. Contact your listing team for more details. Your Principal Listing Document should be for the most recently completed financial year. If your Principal Listing Document is a Prospectus, it must have been filed with the Canadian Securities Administrators within the last 12 months preceding the date on which you file your original listing application with TSX. If the Principal Listing Document is an Annual Information Form (AIF), you may present information as at the last day of your company’s most recently completed financial quarter or financial year. Your AIF must specify the relevant date of the disclosure (i. e. of the information it contains). Although your Principal Listing Document is for the most recently completed financial year, the disclosure you provide to TSX must be up-to-date as of the date of your application to the Exchange. Therefore, in an appendix to the Listing Application, your company must supplement the disclosure in the Principal Listing Document by attaching relevant subsequent continuous disclosure filings. This includes material change reports, business acquisition reports and press releases, and any other information required to ensure the disclosure provided to TSX is current. (See Chapter 11 for more information on continuous disclosure and related documents).
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