Version status: Applicable | Document consolidation status: Updated to reflect all known changes

Published date: 21 June 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)

	Recitals
	Chapter I Definitions (art. 1)
	Article 1 Definitions
	Chapter II Content of the Prospectus (arts. 2-23)
	Section 1 Minimum information to be included in the registration documents (arts. 2-11)
	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 (arts. 12-17)
	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 (arts. 18-23)
	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 (arts. 24-27)
	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 (arts. 28-34)
	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 (arts. 35-45)
	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 (arts. 46-47)
	Article 46 Repeal
	Article 46a Prospectuses approved between 21 July 2019 and 16 September 2020
	Article 47 Entry into force and application
	List of Annexes
	Annex 1 Registration document for equity securities
	Annex 2 Universal registration document
	Annex 3 Registration document for secondary issuances of equity securities
	Annex 4 Registration document for units of closed-end collective investment undertakings
	Annex 5 Registration document for depository receipts issued over shares
	Annex 6 Registration document for retail non-equity securities
	Annex 7 Registration document for wholesale non-equity securities
	Annex 8 Registration document for secondary issuances of non-equity securities
	Annex 9 Registration document for asset-backed securities
	Annex 10 Registration documents for non-equity securities issued by third countries and their regional and local authorities
	Annex 11 Securities note for equity securities or units issued by collective investment undertakings of the closed- end type
	Annex 12 Securities note for secondary issuances of equity securities or of units issued by collective investment undertakings of the closed-end type
	Annex 13 Securities note for depository receipts issued over shares
	Annex 14 Securities note for retail non-equity securities
	Annex 15 Securities note for wholesale non-equity securities
	Annex 16 Securities note for secondary issuances of non-equity securities
	Annex 17 Securities giving rise to payment or delivery obligations linked to an underlying asset
	Annex 18 Underlying share
	Annex 19 Asset-backed securities
	Annex 20 Pro forma information
	Annex 21 Guarantees
	Annex 22 Consent
	Annex 23 Specific summary for the EU Growth prospectus
	Annex 24 EU Growth registration document for equity securities
	Annex 25 EU Growth registration document for non-equity securities
	Annex 26 EU Growth securities note for equity securities
	Annex 27 EU Growth securities note for non-equity securities
	Annex 28 List of additional information in final terms
	Annex 29 List of specialist issuers
	Done at