Entities

• Requirements for New Registration
        Investment Houses
        Broker Dealer
        Investment Adviser of an Investment Company
        Mutual Fund Distributor
        Financing Companies
        Lending Companies
        Issuers
        Market Participants
        Public Companies
        Pre-Need Companies
        Special Purpose Vehicles
        REIT Companies
        Credit Rating Agencies

Instruments

        Rules on the Registration and Sales of Pre-Need Plans

• Dealer's License
• General Agent's License
• Salesmen Licenses
• Pre-Need Plans
• Regular Processing
• Expeditious Processing
• Branch Offices
• Accreditation of Actuaries
• Alternative Trading System
• Others
• Trust Agreements
• Amendments
• Exemptive Relief
• Overissued Securities

        Alternative Trading System Registration

Annexes and Forms