Basic Guide to SEC Registration

MARKET REGULATION DEPARTMENT

• Investment Houses

• Requirements For Renewal

• Broker Dealer in Securities

• Dealer in Government Securities (GSED)

• Broker Dealer in Proprietary Shares

• Salesmen and Associated Person

• Investment Houses

• Investment Adviser of an Investment Company

• Annual fee

Forms for 2007 License Renewal of Broker Dealer Firms and its Associated Persons and Salesman

• Bio Data

• SEC Form 28.1-1 - Application for Broker Dealer Registration Renewal

• SEC Form 28.1-4 - Application for Individual Registration Renewal

• SEC Form 28.1-1 (BOR) - Application for Branch Office Registration Renewal

GUIDELINES

• Guidelines for the 2008 License Renewal of Investment Houses/Underwriter of Securities/Government Securities Eligible Dealers and their Associated Persons/Compliance Officers (PDF)(as of 31 October 2007)

• Guidelines for the 2008 License Renewal of Investment Company Advisers, their Compliance Officers and Certified Investment Solicitors (PDF)(as of 31 October 2007)

• Guidelines for the 2008 License Renewal of Mutual Fund Distributors and their Certified Investment Solicitors (PDF)(as of 31 October 2007)

• Guidelines on Accreditation of Surety Companies (PDF) (Posted on 24 Nov. 2006)

  • SEC Form SCA-0001 - Initial Application for Accreditation as Surety Company and Amendments Thereto

• Guidelines for the 2007 Renewal of License of Investment Houses, Underwriters of Securities, Government Securities Eligible Dealers and their Associated Person/Compliance Officer (PDF) (Posted on 20 Oct. 2006)

• Guidelines for the 2007 Renewal of License of Investment Company Advisers, their Compliance Officer/s and Certified investment Solicitor (PDF) (Posted on 20 Oct. 2006

• Guidelines for the 2007 Renewal of License of Mutual Fund Distributors and their Certified Investment Solicitor (PDF) (Posted on 20 Oct. 2006

• Guidelines on the Imposition of Fines or Penalties for Non-Compliance with Reportorial Requirements (PDF)

CORPORATION FINANCE DEPARTMENT

• Manual on Accreditation and Reportorial Requirements of External Auditors of Public Companies and Secondary Licensees
  • Attachments/Requirements

• Registration of Securities

• Financing Companies

• Credit Rating Company Accreditation

• SEC Form AuF-002-R - Renewal Application for Accreditation of an Auditing Firm (Download: PDF | Microsoft Word)

• SEC Form ExA-001-R - Renewal Application for Accreditation of an Individual External Auditor (Download: PDF | Microsoft Word)

• SEC Form AuF-002 - Initial Application for Accreditation of an Auditing Firm (Download: PDF | Microsoft Word)

• SEC Form ExA-001 - Initial Application for Accreditation of an Individual External Auditor (Download: PDF | Microsoft Word)

NON-TRADITIONAL SECURITIES AND INSTRUMENTS DEPARTMENT

• Pre-Need

• Alternative Trading System