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Frequently Asked Questions
  Are all companies subject to the annual meeting requirements?
Identification Number 81
Pursuant to IM-5620, no. The requirement to hold an annual meeting is not applicable to issuers listing the following types of securities: securities listed pursuant to Listing Rule 5730(a) (such as Trust Preferred Securities and Contingent Value Rights), unless the listed security is a common stock or voting preferred stock equivalent (e.g., a callable common stock); Portfolio Depository Receipts listed pursuant to Listing Rule 5705(a); Index Fund Shares listed pursuant to Listing Rule 5705(b); or Trust Issued Receipts listed pursuant to Listing Rule 5720. Notwithstanding, if the issuer also lists common stock or voting preferred stock, or their equivalent, the issuer must still hold an annual meeting for the holders of that common stock or voting preferred stock, or their equivalent.
Publication Date*: 7/31/2012 Mailto Link Identification Number: 81
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