Current Listing Rules checklists

The checklists are for issuers to show the FCA how they have complied with the applicable disclosure requirements when submitting documents for FCA approval under the Listing Rules. Use them to confirm and explain compliance with the Listing Rules’ eligibility requirements for admission of securities to the Official List.

If you need help see our instructions[1].

Make sure you use the latest version of the checklists as we do update them.

Find current checklists for:

Eligibility for admission to the Official List under the Listing Rules

Circulars (premium listed issuers)

Listing particulars (debt securities)

Find new checklists[2] for submissions to be approved on or after 21 July 2019.

Eligibility for admission to the Official List under the Listing Rules

For issuers applying to admit securities to a listing segment of the Official List in which that class of security is not already listed. This applies to new applicant issuers seeking admission of securities to the Official List,issuers seeking to transfer securities between listing categories of the Official List, or issuers with existing listings , looking to admit a new line of securities to the Official List. New applicant issuers may also be required to submit an eligibility letter under LR8.4.3 (premium listing of equity shares) or LR18.3.1A (standard listing of certificates representing securities, or GDRs).

Listing rules	Checklist description	Date
LR2 and LR6	Premium Listing - Commercial Companies[3] (including Mineral, Scientific Research and Property Companies)	Jan 2018
LR2 and LR15	Premium Listing - Closed-Ended Investment Funds[4]	Jan 2018
LR2 and LR16	Premium Listing - Open-Ended Investment Companies[5]	Jan 2018
LR2 and LR14	Standard Listing - Shares[6]	Feb 2014
LR2 and LR17	Standard Listing - Debt and Debt-like Securities[7]	Feb 2014
LR2 and LR18	Standard Listing - Depository Receipts[8]	Feb 2014
LR2 and LR19	Standard Listing - Securitised Derivatives[9]	Feb 2014
LR2 and LR20	Standard Listing - Miscellaneous Securities[10]	Feb 2014

Circulars (premium listed issuers)

For issuers with securities admitted to the Official List preparing a circular under the Listing Rules for approval by the FCA.

Listing rules	Checklist description	Date
LR13.3.1	Contents of all Circulars[11]	Feb 2014
	Additional information required by other rules:
LR13.3.3	Pro forma financial information in certain circulars – please use the Prospectus Rules Annex II cross reference lists
LR13.4	Class 1 Circular - Disposal[12]	Feb 2014
LR13.4	Class 1 Circular – Acquisition[13]	Feb 2014
LR13.6	Related Party Circular[14]	Feb 2014
LR13.7	Purchase of Own Equity Securities[15]	Feb 2014
LR13.8.1	Authority to Allot Shares[16]	Feb 2014
LR13.8.2	Disapplying Pre-Emption Rights[17]	Feb 2014
LR13.8.4	Reduction of Capital[18]	Feb 2014
LR13.8.5	Capitalisation or Bonus Issue[19]	Feb 2014
LR13.8.6	Scrip Dividend Alternative[20]	Feb 2014
LR13.8.7	Scrip Dividend Mandate/Dividend Reinvestment Plan[21]	Feb 2014
LR13.8.10	Amendments to Constitution[22]	Feb 2014
LR13.8.11 – 13.8.13	Employees' Share Scheme or Long Term Incentive Scheme[23]	Feb 2014
LR13.8.14	Amendments to Employees' Share Scheme or Long Term Incentive Scheme[24]	Feb 2014
LR13.8.15	Discounted Option Arrangements[16]	Feb 2014
LR13.8.16	Reminder of Conversion Rights[25]	Feb 2014
LR13.8.17	Election of Independent Directors[26]	May 2014

Listing particulars (debt securities)

For issuers seeking FCA approval of listing particulars to be prepared and published for securities that are the subject of an application for listing where a prospectus is not required.

Listing rules	Checklist description
LR4.2	Please use the relevant Prospectus Rules cross-reference lists

First published: 05/05/2016 Last updated: 22/07/2019

Current Listing Rules checklists

Find current checklists for:

Eligibility for admission to the Official List under the Listing Rules

Circulars (premium listed issuers)

Listing particulars (debt securities)

Forms and checklists[27]