European Commission 14 March 2019, Commission Delegated Regulation (EU) 2019/980 of 14 March 2019 supplementing Regulation (EU) 2017/1129 of the European Parliament and of the Council as regards the format, content, scrutiny and approval of the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Commission Regulation (EC) No 809/2004 (Text with EEA relevance)

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CHAPTER I. DEFINITIONS
Article 1. Definitions
CHAPTER II. CONTENT OF THE PROSPECTUS
SECTION 1. Minimum information to be included in the registration documents
Article 2. Registration document for equity securities
Article 3. Universal registration document
Article 4. Registration document for secondary issuances of equity securities
Article 5. Registration document for units of closed-end collective investment undertakings
Article 6. Registration document for depository receipts issued over shares
Article 7. Registration document for retail non-equity securities
Article 8. Registration document for wholesale non-equity securities
Article 9. Registration document for secondary issuances of non-equity securities
Article 10. Registration document for asset-backed securities
Article 11. Registration document for non-equity securities issued by third countries and their regional and local authorities
SECTION 2. Minimum information to be included in the securities notes
Article 12. Securities note for equity securities or units issued by collective investment undertakings of the closed-end type
Article 13. Securities note for secondary issuances of equity securities or of units issued by collective investment undertakings of the closed-end type
Article 14. Securities note for depository receipts issued over shares
Article 15. Securities note for retail non-equity securities
Article 16. Securities note for wholesale non-equity securities
Article 17. Securities note for secondary issuances of non-equity securities
SECTION 3. Additional information to be included in the prospectus
Article 18. Complex financial history and significant financial commitment of issuers of equity securities
Article 19. Securities that are exchangeable for or convertible into shares
Article 20. Securities giving rise to payment or delivery obligations linked to an underlying asset
Article 21. Asset backed securities
Article 22. Guarantees
Article 23. Consent
CHAPTER III. FORMAT OF THE PROSPECTUS
Article 24. Format of a prospectus
Article 25. Format of a base prospectus
Article 26. Information to be included in the base prospectus and the final terms
Article 27. Prospectus summary
CHAPTER IV. THE EU GROWTH PROSPECTUS
Article 28. EU Growth registration document for equity securities
Article 29. EU Growth registration document for non-equity securities
Article 30. EU Growth securities note for equity securities
Article 31. EU Growth securities note for non-equity securities
Article 32. Format of the EU Growth prospectus
Article 33. Specific summary for the EU Growth prospectus
Article 34. Supplements to the specific summary for the EU Growth prospectus
CHAPTER V. SCRUTINY AND APPROVAL OF THE PROSPECTUS AND REVIEW OF THE UNIVERSAL REGISTRATION DOCUMENT
Article 35. Scope of the scrutiny
Article 36. Criteria for the scrutiny of the completeness of the information contained in the prospectus
Article 37. Criteria for the scrutiny of the comprehensibility of the information contained in the prospectus
Article 38. Criteria for the scrutiny of the consistency of the information contained in the prospectus
Article 39. Scrutiny of the information contained in the prospectus of specialist issuers
Article 40. Additional criteria for the scrutiny of the completeness, consistency and comprehensibility of the information contained in the prospectus
Article 41. Proportionate approach in the scrutiny of draft prospectuses and review of the universal registration document
Article 42. Submission of an application for approval of a draft prospectus or filing of a universal registration document or of amendments thereto
Article 43. Changes to a draft prospectus during the approval procedure
Article 44. Submission for approval of the final draft of the prospectus
Article 45. Acknowledgment of the receipt of an application for approval of a draft prospectus, or of the filing of a universal registration document or of an amendment thereto, and processing of an application for approval of a draft prospectus
CHAPTER VI. FINAL PROVISIONS
Article 46. Repeal
Article 47. Entry into force and application
PART A.
ANNEX 1. Principal markets

21.6.2019

Official Journal of the European Union

L 166/26

COMMISSION DELEGATED REGULATION (EU) 2019/980

of 14 March 2019

supplementing Regulation (EU) 2017/1129 of the European Parliament and of the Council as regards the format, content, scrutiny and approval of the prospectus to be published when securities are offered to the public or admitted to trading on a regulated

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