Today is November 20, 2017

Capital Market Professionals

 
Initial Application

Form Type Description Law/SRC Provision
SEC Form 28-AP/28-AMD Registration of Associated Person of a Broker Dealer SRC Rule 28.1.5
SEC Form 28-S/28-AMD Registration of Salesman of a Broker Dealer SRC Rule 28.1.5
SEC Form IHU/GSED-CO-AP Application for Registration of Associated Person/ Compliance Officer of Investment House/Underwriter of Securities and Government Securities Eligible Dealers SEC Memorandum Circular No. 8, Series of 2004
SEC Form ICA-CO Registration of a Compliance Officer of an Investment Company Adviser/Manager SEC Memorandum Circular No. 8, Series of 2004
SEC Form ICA-CIS Registration of a Certified Investment Solicitor of an Investment Company Adviser/Manager Section 40 of the Investment Company Act

 

Payment of Annual Fees

Form Type Description Law/SRC Provision
SEC Form NELET-AF Covering/Endorsement Letter Implementing Rules and Regulations of the Securities and Regulation Code
SEC Form TLIST-AF-P Tabular List of Applicants