Today is July 7, 2020

Broker/Dealer(s) In Securities

Document Type Description Due Date
SEC Form GIS General Information Sheet Within 30 calendar days following the date of stockholder’s meeting per by-laws. If no meeting was held on that calendar year, on or before 30th of January of the following year.
*** SEC FORM 52 - AR Annual Audited Financial Statement Refer to the Yearly SEC Memorandum Circular on the dates of submission based on the entity’s last digit SEC Registration number.
SEC FORM MCG - 2009 Certificate of Compliance with the Manual of Corporate Governance On or before the 30th day of January of the following yearr
*** Secretary’s Certificate on the Attendance of Board of Directors Certificate of Attendance of Directors in meetings of the Board of Directors On or before the 30th day of January of the following year
RBCA Risk Based Capital Adequacy Report (Bi-Monthly submission) On or before the 20th of the month, for RBCA Report covering the period 1st to15th day of the month and
On the 5th of the following month, for RBCA Report covering the period 16th to 30th/end of the month
SEC FORM 28 - BDA Changes in the Information provided in the application form to the Commission Within 7 days from the date of the occurrence of such change
SEC FORM 28 - T Notice of Discontinuation of employment of a Salesman or Associated Person Not later than five (5) business days after the discontinuation of employment
SEC FORM BD - 30.2 QCR Associated Person’s Quarterly Compliance Report Within fifteen (15) calendar days after the end of each quarter
*** Yearly Schedule/ Timetable of the Implementation of Training Program Implementation of the previous year’s internal training program and current year’s seminar topics, projected dates, target market, planned speakers Submit to the Commission and to the SRO (for Exchange Trading Participants) No later than January 30 of each year
SEC FORM 30.1 Report/Amendment regarding Affiliated Transactions of Brokers and Dealers No later than seven (7) calendar days after the occurrence of the relationship defined under Section 30.1 of the code.
SEC FORM 28-S/28-AMD As a condition for continuing registration, registered salesmen and AP shall:
Report any change in the information provided in the application forms
Within seven (7) days from such change
SEC FORM 28-AP/28-AMD As a condition for continuing registration, registered salesmen and AP shall:
Report any change in the information provided in the application form
Within seven (7) days from such change
BDFS Special Form for Financial Statements of Broker Dealer In Electronic Format. Within thirty (30) days after the submission of Annual FS. (SEC MC#6, Series of 2006.)
*** Annual Report - Chinese Wall Rules (SRC Rule 34.11.4) Report on the measures the BD has taken to enforce the Chinese Wall Rules On or before the 15th of March of the following year
*** Complaint Report (SRC Rule 52.1.9) Written complaints received from the client and the action taken thereon by the Broker Dealer. Duplicate Copies of the complaints shall be attached to the report. Every 15th day of the month covering the period as of the end of the preceding month
*** List of Directors, Officers and Employees List of directors, officers, salesmen and employees together with their respective photos taken within six (6) months, with designations and specimen signatures Updated every three (3) years
*** Schedule of Minimum Commission Rates Minimum commission rates charged by the broker dealer Whenever there is/are changes or revision/s in the schedule of minimum rate on file with the commission
*** Report on the Hiring of Trainees Inform in writing the hiring of trainees by the broker dealer As the need arises

*** - Note: No prescribed format

 

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