Today is February 25, 2017

Secondary License

Initial Application for Registration

FORM TYPE COVERED ENTITY SRC PROVISION
SEC FORM 12-1 Issuer of Securities/Mutual Fund Companies/Public Companies SRC Rule 8.1 and 12.1 Section 8 of the Code
Annex C
SEC FORM 12-1-SR Issuer of Securities/Mutual Fund Companies/Public Companies under Shelf Registration
SEC Form 12-1 ETF Issuer of Exchange Traded Fund
SEC Form 12-1 Issuer of Investment Unit instruments SPV Act of 2002

SEC Form MFD
Mutual Fund Distributor SRC Rule 28.1
SEC Form 28-BD Broker Dealer/Government Securities Eligible Dealer Including Branch Office SRC 28.1.1 Section 28 of the Code
SEC Form 33 Exchange SRC Rule 33.1
SEC Form 33-SRO Exchange as an SRO SRC Rule 39.1.2.2
SEC Form 36-TA Application for REgistration as Transfer Agent and Amendment Thereto SRC Rule 36.4.1.4
SEC Form 36-TF Trust and Other Similar Funds SRC 36.5.2
SEC Form 39-BD Association of Securities Brokers & Dealers SRC Rule 39.1.2.1 Section 40 of the code
SEC Form 39-REGISTRAR Registrar of Qualified Institutional Buyers SRC 39.1.4.2
SEC Form 39-SRO Self-Regulatory Organization SRC 39.1.2.2
SEC Form 42-SRO Clearing Agency/Securities Depository as an SRO SRC Rule 39.1.2.2/SRC Rule 42.1
SEC Form 42-CA Clearing Agency SRC Rule 42.1
SEC Form 42-SD Securities Depository SRC Rule 39.1.2.2/SRC Rule 42.1
ATS Form 1 ATS Operator Rules on Alternative Trading System
SEC Form ICA-7 Mutual Fund/Investment Company Investment Company Act
SEC Form ICA-IA Investment Company Adviser
SEC Form IHU-A Investment House/Underwriter of Securities Investment House Law/Omnibus Rules and Regulations for Investment House and Universal Banks Registered as Underwriter of Securities
Authorization Continuing Authority to Verify Bank Deposits
SEC FORM IH-BO Investment House Branch Office
Lending Company - Head Office
Application Form
Information Sheet
Lending Company - Head Office Lending Company Registration Act of 2007
Lending Company - Branch Office
Application Form
Information Sheet
Lending Company - Branch Office
Financing Company - Head Office
Application Form
Company Information Sheet
Personal Information Sheet
Financing Company - Head Office
Financing Company - Branch Office
Application Form
Company Information Sheet
Financing Company - Branch Office
Amendment to Registration
SEC Form 12-1(A) Issuer of Securities/Mutual Fund Companies/Public Companies SRC Rule 14
SEC Form 28.1-1 BOR Broker Dealer including Branch Office SRC Rule 28.1.2.6
SEC Form 28-BDA Exchange Traing Participants and Non-Exchange Broker Dealers SRC Rule 28.1.2.5.2(j)
SEC Form 33-A Exchange SRC Rule 33.2
SEC Form 36-TA Application for REgistration as Transfer Agent and Amendment Thereto SRC Rule 36.4.1.4
SEC Form 39-Registrar-A Registrar of Qualified Institutional Buyers SRC Rule 39.1.4.4.8
SEC Form 42-SRO Clearing Agency/Securities Depository as an SRO SRC Rule 39.1.2.2/SRC Rule 42.1
SEC Form 42-CA Clearing Agency SRC Rule 42.1
SEC Form 42-SD Securities Depository SRC Rule 39.1.2.2/SRC Rule 42.1
Withdrawal of Business/Cancellation of Registration
SEC FORM BDW Broker Dealer SRC Rule 28.1.4.1
Letter Registrar of Qualified Institutional Buyer SRC Rule 39.1.4.2


Voluntary Revocation of Registration of Securities
Revocation of Registration Issuer of Securities/Mutual Fund Companies/Public Companies SRC Rule 13.2
Payment of Annual Fees
SEC Form 28.1-1-AF Broker Dealer Implementation Rules and Regulations of the Securities Regulation Code
SEC Form 28.1-1-BO-AF Broker Dealer - Branch Office
SEC Form ICA-AF Investment Company Adviser Investment Company Act
SEC Form IH-BO-AF Investment House Branch Office Omnibus Rules and Regulations for Investment House and Universal Banks Registered as Underwriter of Securities
SEC Form IHU/GSED-AF Investment House/Underwriters & GSED
SEC Form MFD-AF Mutual Fund Distributor