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

• Invitation to Bid : Renovation of the south wing of ground floor SEC building (PDF) (Posted 5 March 2010)

• Invitation to Bid : Supply Delivery, and Installation of various IT Equipment (PDF) (Posted 25 February 2010)

• Invitation to Bid : Supply of Services for the Preventive Maintenance of Air-Conditioning Systems/Units  (PDF) (Posted 24 February 2010)

• Invitation to Bid : Document Conversion for year 2010  (PDF) (Posted 24 February 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)

• Invitation to Bid

  • Supply of Services for the Preventive Maintenance of Air-Conditioning Systems/Units  (PDF) (Posted 27 January 2010)

  • Supply of Services for the Lease Contract of Microfilm Reader/Printer Machine   (PDF) (Posted 27 January 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

• Annual Maintenance of the servers and related equipment of the SEC-iReport and SEC-iRegister

  • Invitation to Bid  (PDF) (Posted 28 December 2009)

  • Bid Bulletin No. 1  (PDF) (Posted 8 January 2010)

• 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.

• Hosting/Co-location Facility for SEC Servers & Network Equipment and Internet Connection Services

  • Invitation to apply for eligibility and to bid (PDF) (Posted 1 December 2009)

  • Bid Bulletin No. 1 (PDF) (Posted 3 December 2009)

  • Bid Bulletin No. 2 (PDF) (Posted 11 December 2009)

   

• 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

• Invitation to bid re: SEC Used Service Vehicles (PDF) (Posted 17 April 2009)

• 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)

• Invitation to apply for eligibility and to bid re: IT Goods and Services (PDF) (Posted 4 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)

• FREE Public Seminar on Accreditation of Accountants and Reportorial Rules for Corporations  (PDF) (Posted 30 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)