CGS's on-line application is used to submit requests for the assignment of CGS identifiers for new or existing issuers globally. The identifier request system uses an advanced technology platform that expedites the assignment process and permits the timely return of CUSIPs, CGS CINS, CGS ISINs and standardized descriptions to "Requestors". The application form and accompanying electronic documentation are all that is needed to complete the request.

Please contact us at 212-438-6500 with any questions regarding CUSIP Identifier Requests.

DISCLAIMER AND OTHER TERMS:
The determination of whether a security, financial instrument or any other asset class is eligible for a CUSIP identifier, and whether the requester has supplied the appropriate documentation, shall be made by CGS in its discretion and any such determination shall be final. CGS shall have no liability in connection with a determination that a security, financial instrument or any other asset class is not eligible for a CUSIP identifier. CUSIP standard identifiers, CUSIP standard descriptions and other information about financial instruments ("CGS Data") that are created, developed, maintained and/or updated by CGS are the valuable intellectual property of the American Bankers Association ("ABA") and the assignment of a CUSIP identifier does not convey or transfer any intellectual or other proprietary rights in or to any such CUSIP Data. The use of CGS Data, including storage in databases and distribution to third parties, may require such user to first enter into a license agreement directly with CGS, which can be obtained by contacting CGS at https://www.cusip.com/cusip/contact-us.htm. The assignment of a CUSIP identifier to a particular security, financial instrument or any other asset by CGS is not intended to be and should not be construed as an endorsement of such security, financial instrument or asset, a recommendation to purchase, sell or hold such security, financial instrument or asset, or an opinion as the legal validity of such security, financial security or asset. Because of the possibility of human or mechanical error by issuers, CGS, third party sources and others, neither CGS nor the ABA guarantees the accuracy, adequateness or completeness of any CUSIP Data, and shall not be liable or responsible for any errors or omissions or for the results obtained from the use of any CUSIP Data.

By submitting a request for a CUSIP identifier, the applicant (a) warrants that it has the legal authority to request a CUSIP identifier on behalf of the issuer and all information it supplies is true and correct in all material respects; and (b) acknowledges and agrees to the Disclaimer and Other Terms above.

Choose an Identifier Type to Request

U.S. Corporate/Government

(including GDR/ADR)

Debt Equity Annuity

U.S. Municipal

(Competitive short-term notes cannot be assigned until the day of the sale)

Apply

International

(For GDR/ADR requests use U.S. Corporate/Government form)

Debt Equity

Hedge Funds & Fund of Hedge Funds

US/Canada International

PPN Requests

(Insurance Companies)

Debt Equity

GMEI(LEI) Request

Apply

Derivatives

Clips Request

Verify Request Status

Enter Request Number:

More Information

Features

  • Request a single CUSIP identifier or a series of CUSIPs.
  • One-hour turnaround time for "Express" requests.
  • Confirmations are sent to Requestors for all new identifiers.
  • "Frequent Requestor" functionality minimizes entry of contact information.
  • "Verify Request Status" button confirms your request has been received.

How To Request a CGS Identifier

  1. Select the appropriate application from this page for the type of security for which you are requesting a CGS identifier.
  2. Fill in the form selected for the Offering, providing:
    • Issuer and issue information.
    • Contact and billing information.
  3. Attach the supporting document(s) directly to the CUSIP Request Form under the section "Offering Documents".
  4. Click 'Submit' button to send your request to CGS for processing.
  5. Upon completion of the identifier assignment, an electronic confirmation will be emailed to you. The confirmation will contain the CGS identifier(s) requested, issuer and issue descriptions in the standardized CUSIP format and 12-character ISINs, where applicable.
  6. Retain the Request ID number that displays when the request has been successfully completed.

GMEI / LEI Registration Fee

Registration fee for Global Market Entity Identifier (GMEI) / Legal Entity Identifier (LEI) is a cost recovery of $200 for each legal entity. Starting in 2014, the Central Operating Unit (COU) of the global LEI system will require a $19 surcharge on both the issuance and maintenance fees to help fund the COU's activities.

How Does CGS Handle Special Situations?

Corporate Actions (Name Changes/Mergers/Reorganization):

  • Equity issues (common stock, preferred, rights, etc.) require a new CUSIP based on the type of the corporate action or if the alphabetical sequencing of the issuer has changed.
  • New CUSIPs may be required for debt issues if the debt is listed with the NYSE and a Supplemental Listing Application is filed with the Exchange to list the debt under the new name.

CGS must be notified of any name change that occurs, including mutual funds. Even if the CUSIP is not expected to change, final documentation reflecting the effective date of the action is required as all name changes need to be accurately reflected in the CGS database.

Reverse Split:

When a reverse split occurs a new CUSIP is issued for the new common stock and the underlying common stock number is suspended when the notice of shareholder approval is received. A new CUSIP is not issued if a forward split takes place, unless there is a mandatory exchange of shares.

144A Private Offerings:

For 144A Private offerings, CUSIPs are issued for the 144A and Accredited Investor (Regulation D) portion of a deal; a CGS CINS (CUSIP International number) is issued for the Regulation S portion of the deal, based on the private placement offering memorandum submitted. A CUSIP will also be issued for the registered portion of the deal if there are future registration rights. In total, 4 identifiers can be issued for this type of offering as indicated by the documentation.

Partial Pre-refunding:

If a maturity is partially pre-refunded, it is CGS's procedure to issue two new CUSIPs: one for the pre-refunded portion and one for the un-refunded balance portion of the maturity. The underlying CUSIP will be suspended. When requesting the new identifiers, Requestor must supply the underlying CUSIP.

Secondarily Insured Issues:

When an issue is partially insured in the secondary market, a new CUSIP is assigned to the insured portion of the issue. A request should be submitted by the insurer to receive a CUSIP for the insured portion. The underlying CUSIP remains active.

Bank Bonds:

To request CUSIP identifiers for bank bonds due to a failed remarketing or in the event of a possible failed remarketing in the future, please submit a Tender Notice, Bank Purchase Agreement, Standby Letter of Credit or Notice of Conversion. Draft documents are acceptable. Please include the original CUSIP and the tender or remarketing date in the Special Instructions field. If there are multiple tenders please provide the first tender date.

For situations not covered above, please contact cusip_comments@cusip.com

Which Application Should I Use?

U.S. Corporate/Government

Debt Application:
Bond, Note, Convertible Bond, Certification of Deposit, 144A Debt, ABS, MBS, CDO

Equity Application:
Common Stock, Preferred, ADR/GDR, Open or Closed End Fund, Exchange Traded Fund, Warrant, Right

Annuity Application:
Variable Annuity, Deferred Annuity, Universal Life, and Other Insurance Products


U.S. Municipal

Negotiated Issue Application:
Bond, Note, RAN, TAN, Tender Option Bond


International

Debt Application:
Bond, Note, Convertible Bond, Reg S

Equity Application:
Common Stock, Preferred, Fund


PPN Requests (Insurance Companies)

Debt Application:
Bond, Note, Convertible Bond, etc.

Equity Application:
Common Stock, Preferred


Loans

Syndicated Loan Application (User ID required)
Loan CUSIP Manual


Derivatives/CLIPS/RED Codes (User ID required)

CLIPS Request

Verify Request Status

Verify that CGS has received your electronic request for a CUSIP assignment. Verify Request Status »

Comments/Suggestions

Contact CGS's Operations Supervisors via email: cusip_comments@cusip.com

Required Documentation

What documents do I send to CGS when applying for a CUSIP identifier?

Situation

Document

Corporates
a) Public Offering of Equity or Debt "Red Herring" (Preliminary Prospectus) or Registration Statement
b) American/Global Depository Receipts Registration Statement F-6
c) Bank Holding Company Formation Registration Statement S-4
d) Bankers Acceptances Summary of Offering/Information Statement
e) Bankruptcy: company emerging from Chapter XI Disclosure Statement or Plan of Reorganization
f) Certificates of Deposit (Retail) Summary of Offering Terms ("Fact Sheet")
g) Church Bonds Prospectus/Official Statement
h) Commercial Paper/Institutional CDs (Book Entry only) Commercial Paper/Institutional CD Form
i) Medium-Term Notes (Book Entry only) Prospectus Supplement & DTC-MTN Filing
j) Merger/Acquisition Merger Agreement or Proxy Statement
k) Mutual Funds Registration Statement N-1
l) Name Change Proxy Statement or Certificate of Amendment
m) Publicly Traded Limited Partnerships Prospectus with SEC File
n) Reverse Stock Splits Letter to Shareholders
o) Right Offerings Rights Agreement/Company Press Release
p) Rule 144A Securities Offering Circular/Prospectus with 144A Representation
q) Shelf Registrations (Rule "415") Initial Shelf Filing (S-3) & Subsequent "Prospectus Supplements"
r) Unit Trusts Registration Statement S-6
s) Variable Annuities Prospectus or sample contract
Municipals
a) Negotiated Issues Preliminary Official Statement (to be followed up by final O/S)
b) Competitive Issues Notice of Sale (and follow-up with final documentation)
c) Private Placements Private Placement Memorandum
d) Short-Term Notes Notice of Sale or Legal Opinion

Definitions of Data Fields in the CUSIP Request Applications

Field

Definition/Explanation

Contact Information
Primary Email Address CUSIP identifier(s) confirmation will be sent to this email address; this email address is mandatory.
Secondary Email Address CUSIP identifier(s) confirmation will be sent to this email address; this email address is optional.
Issuer Information
Issuer Legal Description Legal issuer name based on offering document.
Obligor Corporation or entity that is the source of interest and principal payments on a debt security, not always the issuer. For example, the guarantor of a corporate bond or conduit in a municipal industrial development bond.
Co-obligor An additional corporation or entity along with the obligor that is the source of interest and principal payments on a debt security.
State of Incorporation State where the issuer is incorporated.
Issue Information
Alt Min Tax Indicate if issue pays interest that is subject to the alternative minimum tax (AMT) for private activity bonds.
Annuity Type Select type of annuity (i.e. - Variable, Fixed or Indexed).
Bank Qualified Indicate if financial institutions may purchase and deduct a portion of the cost of carrying securities that are designated 'bank-qualified'.
Bond Counsel Law firm representing the issuer.
Bond Form Select the form (bearer or registered) in which the security will be delivered.
Callable Indicate if the issue has a provision that allows the issuer to redeem the security before maturity.
Currency Select the currency for the security coming to market.
Dated Date Issue Date; the date interest starts accruing on the security.
Depository Eligible Indicate if the security will be held at DTCC, Euroclear, Clearstream etc.
Enhancements Select additional backing or source of funds.
Financial Advisor Firm that researches municipal bond issues and advises potential purchasers/underwriters.
First Coupon Date First interest payment date.
Fund Form Select load option.
Fund Investment Policy Select the fund's investment policy, as noted in the offering prospectus.
Fund Type Select Closed End or Open End.
Guarantees Select additional guarantee in the event of the issuer's insolvency.
Insurance Type Select type of policy (i.e. Whole Life, Universal Life, etc.).
Interest Payment Frequency Select frequency of payments: monthly, quarterly, semi-annual, annual.
Issue Description Security description based on offering document.
Maturity Dates The date on which the principal amount becomes due and payable to the security holder.
Ownership Restrictions Select if the issue ownership is free or restricted.
Paying Agent Entity appointed by the issuer to handle the disbursement of funds.
Puttable Select:
Mandatory - A put on a bond that will occur if the bondholder does not take a specific action.
Optional - A put feature that is exercised at the discretion of the bondholder.
Pre-refunded Indicate bonds that have been refunded in advance with a specific call date.
Preferred Type Select type of preferred/preference share: redeemable, exchangeable, etc.
Rate Type Select type of interest for a debt security.
Redemption Options Indicate type of redemption.
Remarketed Indicate if the issue has been re-offered at a reset interest rate.
Sale Type Select method of proposals for the purchase of a new municipal offering.
Secondarily Insured Select secondary insurer.
Sinking Fund Indicate if the issue has a sinking fund option.
Source Document Select the document that is being submitted with this request.
Taxable Indicate if interest on issue is not exempt from federal income tax.
Transfer Agent Entity responsible for handling proxy solicitations, etc. for a Corporate Action.
Underwriter Lead Manager.
Warrant Expiration Date Date the warrant or right expires.
DISCLAIMER:The determination of whether a security, financial instrument or any other asset class is eligible for a CUSIP identifier, and whether the requester has supplied the appropriate documentation, shall be made by CGS in its discretion and any such determination shall be final. CGS shall have no liability in connection with a determination that a security, financial instrument or any other asset class is not eligible for a CUSIP identifier. CUSIP standard identifiers, CUSIP standard descriptions and other information about financial instruments ("CGS Data") that are created, developed, maintained and/or updated by CGS are the valuable intellectual property of the American Bankers Association ("ABA") and the assignment of a CUSIP identifier does not convey or transfer any intellectual or other proprietary rights in or to any such CUSIP Data. The use of CGS Data, including storage in databases and distribution to third parties, may require such user to first enter into a license agreement directly with CGS, which can be obtained by contacting CGS at https://www.cusip.com/cusip/contact-us.htm. The assignment of a CUSIP identifier to a particular security, financial instrument or any other asset by CGS is not intended to be and should not be construed as an endorsement of such security, financial instrument or asset, a recommendation to purchase, sell or hold such security, financial instrument or asset, or an opinion as the legal validity of such security, financial security or asset. Because of the possibility of human or mechanical error by issuers, CGS, third party sources and others, neither CGS nor the ABA guarantees the accuracy, adequateness or completeness of any CUSIP Data, and shall not be liable or responsible for any errors or omissions or for the results obtained from the use of any CUSIP Data.

By submitting a request for a CUSIP identifier, the applicant (a) warrants that it has the legal authority to request a CUSIP identifier on behalf of the issuer and all information it supplies is true and correct in all material respects; and (b) acknowledges and agrees to the Disclaimer and Other Terms above.