Shares Investment Funds | B3
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Investment Funds

B3 may list funds that are regularly constituted and that have legal or regulatory authorizations required for the exercise of their activities. In case of Investment Fund subject to Instruction 409/04, the required documents are the records of incorporation and operation, issued by CVM in accordance with the CVM Instruction mentioned above.

The listing of the fund grants the right to have its issuing securities admitted to negotiation on organized markets administered by B3 for an indefinite period of time.

  • 1 - Rules and procedures for listing

    The listing of the Investment Fund subject to Instruction CVM 555/14 on B3 shall comply with the rules and procedures laid down in the Issuer Listing and Securities Trading Admission Regulation, in force since 08/18/2014.

    Issuer Listing and Securities Trading Admission Regulation (portuguese only)

  • 2 - How to request the listing

    The request for listing will be addressed to the Chief Executive Officer of B3 and it shall mention the market intended for having securities admitted to negotiation (pocket or counter). The application shall be accompanied by the following information and documents:

    • Annexes 3.5.1 (h) and 6.16.1 (h) of the Issuer’s Manual;
    • Proof of payment of the analysis fee;
    • Documentation for registration (KIT 408), for the necessary formalization of the contractual relationship with the B3 Deposit Center.

    Annexes - Issuer’s Manual (portuguese only)

    Issuer's manual (portuguese only)

    Analysis fee (portuguese only)

    KIT 408 (portuguese only)


    Attention

  • 3 - Where to refer documents

    The documents must be sent to B3 - under the care of the B3 Monitoring Superintendence of Investment Funds - in hard copies and electronic means (pen drive or CD-ROM) and sent to one of the following addresses:

    • Praça Antônio Prado, 48, 2º andar
      Centro, São Paulo – SP, ZIP Code 01010-901 or;
    • Rua do Mercado, 11, 2º andar
      Centro, Rio de Janeiro – RJ, ZIP Code 20010-120
  • 4 - Responsibility of the administrator on information and documents
    The administrator is fully responsible for the integrity and correctness of the information and documents provided to B3 for the analysis of its request for listing and admission of securities for trading.
  • 5 - Listing Request simultaneously to the issuer registration or public offer of securities
    If the listing request is made concurrently to the request for issuer registration or public offer of securities distribution at CVM, the Protocol on B3 should be made on the same day of the Protocol performed before CVM.
  • 6 - Deadline for analyzing the listing request
    The deadline for the initial analysis of the listing request is 10 working days in case of Investment Funds subject to the Instruction 409/04. Such deadline shall be counted from the date on which all documentation applicable will be suB3itted to B3 and it shall not exceed CVM’s deadlines for analysis set forth in the regulations in force.
  • 7 - Other requirements
    Any other requirement or additional request for information and documents made by B3 will be made in the same way and within the time limits indicated in the Issuer’s Manual.