Schedule of meetings, public hearings, draft for comments, and other activities are posted on this site.

Advisory

• The Securities and Exchange Commission is pleased to announce that it has been recognized as having the highest sincerity, among government agencies, in the fight against corruption. The recently released results of the Social Weather Station (SWS) 2003/04 Transparent and Accountable Governance (TAG) Enterprises Survey placed SEC first among 24 government agencies in both gross and net sincerity rating in fighting corruption.
  (posted on 14 June 2004)

Notice

• Notice : Guidelines for the Investment Requirement of Foreign Corporation under Section 126 of the Corporation Code of the Philippines (PDF) (posted 1 February 2012)

  • Guidelines on Securities Deposit of Branch Offices of Foreign Corporation (PDF) (posted 1 February 2012)

  • Table of comparison on Guidelines on Securities Deposit of Branch Offices of Foreign Corporations (PDF) (posted 1 February 2012)

• Invitation to bid for SEC Davao Extension Office

  • Security Manpower Services (PDF) (Posted 1 February 2012)

  • Janitorial Services (PDF) (Posted 1 February 2012)

• Invitation to bid Re: Supply and Delivery of one(1) unit 4-Door Sedan with 4-cylinder in-line DOHC Engine (PDF) (posted 19 January 2012) 

• Notice : Planholders of Metropolitan Life Plan Company, Inc. (PDF) (posted 23 December 2012)

• Invitation to bid

  • Document conversion to digital format for 2012 (PDF) Posted 18 November 2011)

  • Renovation of SEC Tarlac Extension Office (PDF) Posted 18 November 2011)

   

• Invitation to bid for SEC Cebu Extension Office

  • Security Manpower Services (PDF) Posted 25 October 2011)

  • Janitorial/Messengerial Services (PDF) Posted 25 October 2011)

• Free Public Seminar (PDF) Posted 24 October 2011)

• Notice : Memorandum of Agreement of SEC and LBP (PDF) (posted 20 October 2011)

• Invitation to Bid RE  :   Security Manpower Services  (PDF) (Posted 19 Sep 2011)

• Notice : Guidelines on Accreditation of Credit Rating Agencies (PDF) (posted 22 August 2011)

• Invitation to Bid   Re:  For the Sale of Unserviceable Properties  (PDF) (Posted 16 Aug 2011)

• Green Lane Registration (PDF) (Posted 16 August 2011)

• Notice : IFRIC 15 (PDF) (Posted 10 August 2011)

• Notice to conduct direct contracting RE :  Annual Maintenance Support Package with Upgraded version of the SEC e-Library System  (PDF) (Posted 29 July 2011)

• Invitation to Bid RE : For the annual maintenance of servers and related equipment of the SEC iReport and SEC iRegister  (PDF) (Posted 25 July 2011)

  • Bid Bulletin No. 1 (PDF) (Posted 5 August 2011)

• Request for Proposal RE : Supply, Delivery, Installation, Configuration, Development, Testing and Implementation of the Integrated Company Registration System (PDF) (Posted 15 July 2011)

  • Supplemental Bulletin (PDF) (Posted 19 August 2011)

  • Advisory : Deadline for the Submission of the Technical and Financial Proposal (PDF) (Posted 10 August 2011)

• Beware of Fraudulent Commercial Documents (PDF) (posted 15 July 2011)

• Invitation to Bid RE  : For the lease contract agreement for Twenty Two (22) units new digital copier machine (PDF) (Posted 8 July 2011)

• Invitation to Bid Re : For the supply of labor, materials, and technical expertise for the of Eleventh (11th.) floor of SEC Bldg. (PDF) (Posted 1 July 2011)

• Company Registration System

  • Request for Expression of Interest for Supply, Delivery, Installation, Configuration, Development, Testing, and Implementation (PDF) (Posted 15 June 2011)

  • Eligibility Documents (PDF) (Posted 15 June 2011)

• Notice :Re-publication of Amendments of the Implementing Rules and Regulations of the Republic Act No. 9856 (REIT LAW) (PDF) (posted 2 May 2011)

• Notice : Extension of the deadline to submit the revised manual on Corporate Governance for covered companies (PDF) (posted 4 March 2011)

• Notice : Implementing Rules and Regulations (IRR) of Republic Act 8799.Download : The Securities Regulation Code of 2000 (PDF) (posted 2 February 2011)

• Notice : Philippine Financial Reporting Standards (PDF) (posted 17 January 2011)

• Philbio Renewable Energy Resources, Corp.

• Invitation to Bid re : Modular Partition and Additional Furniture for the Ground Floor Renovation Project (PDF) (Posted 12 January 2011)

• Beginning with September 2010, decisions of the Commission En Banc can now be accessed at Investor Info

• Announcement  : Free Public Seminar (PDF) (posted 29 Oct 2010)

• Philippine Financial Reporting Standards for Small and Medium Entities

  • Notice : Commission En Banc meeting dated 7 October 2010 (PDF) (posted 12 October 2010)
  • Notice : Commission En Banc meeting dated 3 December 2009

     

• Notice  : Proposed Amendments to the Implementing Rules and Regulation of the Republic Act 9856, otherwise known as the "Real Estate Investment Trust (REIT) Act of 2009 (PDF) (posted 12 October 2010)

• Notice  : Guidelines on Property Valuation (PDF) (posted 29 June 2010)

• Real Estate Investment Trust (REIT) Act of 2009

  • SEC Resolution  (Dated 24 May 2010)  (PDF) (posted 26 May 2010)

  • Implementing Rules and Regulations  (As approved 13 May 2010)  (PDF) (posted 18 May 2010)

• Notice  : To adopt the standards and interpretation as part of its rules and regulations on International Accounting Standards (PDF) (Posted 17 March 2010)

• First Galleon Family Fund, Inc. (PDF) (Posted 13 March 2010)

• Notice  : Reduction of copies of reports and other filings with the Securities and Exchange Commission (PDF) (Posted 5 March 2010)

• Notice  : To all Planholders of Legacy Consolidated Plans, Inc.; Scholarship Plan Phils., Inc., and All Asia Plans Corp. (PDF) (15 Feb 2010)

• Notice  : Implementation Guidelines on Philippine Financial Reporting Standards for Small and Medium Entities (PDF) (9 Feb 2010)

• Mga dapat tandaan upang mapangalagaan ang inyong "Financial Investments"

• Practical Reminders to Protect your Financial Investments

• Simple and Practical Reminders to Safeguard your Deposits

• Philippine Standards on Auditing (Posted 8 January 2010)

  • Notice on adoption

  • Downloads

• Notice  : Philippine Financial Reporting Standards for Small and Medium Entities

• Notice  : San Nicolas Teacher Credit & Finance Corp.

• Proposed Chart Accounts for Brokers and Dealers in Securities

  • Notice (PDF) (posted on 19 October 2009)

  • Chart of Accounts for Broker Dealer in Securities (PDF) (posted on 19 October 2009)

  • Summary of Chart of Accounts  (PDF) (posted on 19 October 2009)

   

• Rise e-Commerce Systems, Inc. : Is NOT licensed to solicit investments from the public, in accordance with Section 8.1 of the Securities Regulation Code (PDF) (Posted 14 December 2009)

• Goodlife Fashion & Accessories Enterprises Corp. : Is NOT a registered issuer of securities and is therefore NOT licensed to offer or issue securities to the public, in accordance with Section 8 and 12 of the Securities Regulation Code. (PDF) (Posted 2 December 2009)

• Notice  : Deadline for submission of CG scorecard (PDF) (Posted 22 September 2009)

• Invitation to apply for eligibility and to bid  re: Supply, Delivery, and Installation of various IT Goods (PDF) (Posted 25 August 2009)

• Notice  : Procedures and Guidelines for the Implementation of the Computer-Assisted Paper Submission Module (PDF) (Posted 13 August 2009)

• Notice  : The Lending Company Regulation Act of 2007 (PDF) (Posted 11 August 2009)

• Invitation to apply for eligibility and to bid  re: Broadsheet and International Magazines (PDF) (Posted 22 July 2009)

• Notice  : Compliance and Enforcement Department to Enforcement and Prosecution Department (PDF) (Posted 9 July 2009)

• Notice  : Primanila Plans, Inc. (PPI) (PDF) (Posted 19 June 2009)

• Notice to all Independent Directors re: Certification of Qualification (PDF) (Posted 18 May 2009)

• Notice re: Financial Instruments : Recognition and Measurement (PDF) (Posted 22 April 2009)

• Notice  : Legacy Consolidated Plans, Inc.; Scholarship Plan Phils., Inc.; All Asia Plans Corp. (PDF) (Posted 20 April 2009)

• ROP Business Provider, Corporation

• Talbot & Reese, Inc

• Investment Scam Checklist

• Notice re: Public Hearing on the proposed Scale of Fines (PDF) (Posted 16 April 2009)

• Reminder  re: Independent Directors (PDF) (Posted 19 March 2009)

• Open Letter : Legacy Consolidated Plans, Inc.; All Asia Corporation; Scholarship Plans, Inc. (PDF) (Posted 18 March 2009)

• Certification Seminars for Associated Person Module 3  re: Books and Records Rule (Zip File) (Posted 17 March 2009)

• Implementing Rules and Regulations of the Personal Equity an Retirement Account (PERA) re: Draft copy for comments (PDF) (Posted 9 March 2009)

• Notice to the Public : Legacy HY Fund, Inc; Legacy GS Fund, Inc.; Legacy TD Fund, Inc.

• Notice re: Scale of Fines (PDF) (Posted 27 January 2009)

• Notice re: Legacy Consolidated Plans, Inc.; Scholarship Plan Phils., Inc.; All Asia Plans, Corp. (PDF) (Posted 16 January 2009)

• Notice re: International Financial Interpretations Committee Interpretation No. 5 (PDF) (Posted 8 December 2008)

• Notice to the Public : SEC Commissioner Atty. Jesus Enrique G. Martinez

• Memorandum Circular No. 10 series 2008 re: Amendments to Philippine Accounting Standards 39 and Financial Reporting Standard 7 (PDF) (Posted 14 November 2008)

• Sample Purpose for Articles of Incorporation/Partnership  (PDF) (Posted 29 October 2008)

• The 2008 Corporate Governance Scorecard for Publicly Listed Companies - Response Form (zip) (Posted 21 October 2008

• Adoption of PAS and PFRS dated October 9, 2008 (PDF) (Posted 14 October 2008

• The 2008 Corporate Governance Scorecard for Publicly Listed Companies (zip) (Posted 10 October 2008

• Erratum re: Presentation Material on Associated Persons Certification Seminar Module 4 (PDF) (Posted 19 Jun 2008)

• SEC iRegister Advisory (PDF) (Posted 19 Jun 2008)

• Presentation Materials of the Associated Persons Certification Seminar -  Module 4 Code of Corporate Governance  (PDF) (Posted 4 June 2008)

• Erratum re: Investment Company Representative Certification Exam given on 24 August 2007 (PDF) (Posted 16 May 2008)

• Amended Guidelines on the Evaluation of Audit Work  (PDF) (Posted 24 April 2008)

• Adoption of auditing statements and practice statements  (PDF) (Posted 24 April 2008)

• Career Executive Service Board (CESB) re: Pinzon, Lilia Oblefias (PDF) (Posted 22 April 2008)

• Important Reminders for the Certified Securities Representative Examination (PDF) (Posted 1 Apr 2008)

• Study Guide for Certified Securities Representative Examination  (PDF) (Posted 1 Apr 2008

• Presentation Materials on Clearing and Settlement (PDF) (Posted 1 Apr 2008)

• Guidelines on Determining the Availability of Retained Earnings for Dividend Declaration (PDF) (Posted 17 Mar 2008)

• Filing of Financial Statements re: Requirements of financial statements that are required to be filed under the Corporation Code, Securities Regulation Code, and applicable rules, regulation, and circulars. (PDF) (Posted 26 Feb 2008)

• Career Executive Service Board Announcement (PDF) (posted on 17 January 2008)

• Checklist of Requirements for "Petition to Lift Order of Revocation" (PDF) (posted on 15 January 2008)

• CSC Issues 2008 Civil Service Exam Calendar (PDF) (posted on 14 January 2008)

• Proposed Implementing Rules and Regulation of Republic Act 9474, Lending Company Act of 2007 (PDF) (posted on 14 August 2007)

• Proposed Rules on Qualified Buyers (PDF) (posted on 30 July 2007)

• Commission En Banc in its meeting resolved to adopt the amendment to Philippine Accounting Standard (PAS) 101 particularly on the change in effective date (PDF) posted on 02 May 2007)

• To all Pre-Need Companies (PDF) (posted on 07 March 2007)

• Exemptive Relief Fee - All Corporations whose Securities are Registered or Listed, and Public Companies (PDF) (posted on 26 Feb 2007)

• Transitional Relief from Philippine Accounting Standard (PAS) No. 39 [Financial Instruments: Recognition and Measurement] Covering the Hedging Contracts of Mining Companies (PDF) (posted on 05 Dec. 2006)

IOSCO

• Update on IOSCO Assessment (PDF) (posted 05 May 2004)

Examination Results

Investment Company Representative Certification Exam

• Investment Company Representative Certification Exam (ICRCE) given on 23 November 2008 (PDF) (posted on 10 February 2009)

• Investment Company Representative Certification Exam (ICRCE) given on 15 February 2008 (PDF) (posted on 10 February 2009)

• Investment Company Representative Certification Exam (ICRCE) given on 5 October 2007 (PDF) (posted on 08 April 2008)

• Investment Company Representative Certification Exam (ICRCE) given on 24 August 2007 (PDF) (posted on 08 April 2008)

• Investment Company Representative Certification Exam (ICRCE) given on 30 March 2007 (posted on 04 Sept. 2007)

• Investment Company Representative Certification Exam (ICRCE) given on 2 February 2007 (posted on 04 Sept. 2007)

Securities Representative Certification Exam (SRCE)

• Securities Representative Certification Exam (SRCE) given on June 27, 2008 (Technical Part) and July 3, 2008 (Regulatory Part)  (posted on 29 July 2008)

• Securities Representative Certification Exam (SRCE) given on 4 and 11 April 2008  (posted on 1 July 2008)

 

Associated Persons Certification Exam (APCE)

• Associated Persons Certification Exam (APCE) Module 5  given on September 26, 2008 (posted on 23 September 2008)

• Associated Persons Certification Exam (APCE) Module 1 and 2 given on September 10 and 12, 2008 (posted on 19 September 2008)

• Associated Persons Certification Exam (APCE) Module 5 given on August 1, 2008 (posted on 11 September 2008)

• Associated Persons Certification Exam (APCE) Module 1- 4 given on April 4, May 16, June 13, and July 4 (posted on  4 September 2008)

• Associated Persons Certification Exam (APCE) Module 1- 5 given on Dec. 5, 12, and 19, 2008 (posted on  15 Feb 2008)