CUSIP Procedures
The term “CUSIP” is an acronym for “Committee on Uniform Securities Identification Procedures”
When funds or companies change their name, their business operations or their capital structure, they often require obtaining a new CUSIP number. This cusip number will usually be assigned in order for each class of stock or bond offerings so they will be unique from one to the other for trading purposes.
Some of he following list of documents are just some of the documents that may be required to send in for the CUSIP number. ISIN.net can take care of all your fund or company needs.
- Board Resolution
- Certificate of Amendment
- Court Order
- Disclosure Statement (bankruptcies)
- Exchange Offer,
- 15c-211 Due Diligence,
- Final Offering Circular,
- Final Offering Memorandum,
- Final Prospectus
- Final Private Placement Memorandum
- Form 8
- Lease or Loan Agreement
- Notice of Redemption
- Notice of Shareholder’s meeting,
- Notice to Shareholders,
- N – Registration Statements
- Plan of Merger
- Plan of Reorganization
- Partnership Agreement
- Preliminary Offering Circular
- Preliminary Offering Memorandum
- Preliminary Prospectus
- Preliminary Private Placement Memorandum
- Press Release
- Prospectus Supplement
- Proxy Statement
- Purchase Agreement
- S – Registration Statement
- U-7 Disclosure Statement
- Warrant Agreement
The above documents are required for some offerings, while others are not relevant. Not supplying the proper cusip documents will automatically result in one not obtaining a cusip number.