Corporations with Secondary Licenses
- Issuers of Securities
- Broker/Dealer(s) In Securities
- Government Securities Eligible Dealer
- Investment Houses / Underwriters of Securities
- Investment Company Adviser
- Mutual Fund Distributor
- Transfer Agent
- Financing Companies
- Lending Companies
- Operator of an ATS
- Registrar of Qualified Institutional Buyers
- Exchanges
- Self Regulatory Organization
- Clearing Agency
- Depositories
Registrar of Qualified Institutional Buyers (QIBS) –Either With Existing Broker/IH Or GSED License
| DOCUMENT TYPE | DESCRIPTION | DUE DATE |
| see reports submitted by company either as BD, IH or GSED | see reports submitted by company either as BD, IH or GSED | see reports submitted by company either as BD, IH or GSED |