• Compliance with International Financial Reporting Standards (IFRS)

• Summary of Findings on 2006 AFS (PDF) (Posted 24 April 2008)

• Amendment to Philippine Financial Reporting Standard (PFRS) No. 7

• Adopted and Effective IFRSs Applicable to all Corporations - Except Pre-need Companies and Non-publicly Accountable Entities (NPAEs)

• Accounting Standards Applicable for Non-Publicly Accountable Entities (NPAEs)

• Accepted Accounting Principles for Pre-Need Companies and Revised Pre-Need Uniform Chart of Accounts (PNUCA)

• Philippine Accounting Standard 101(Financial Reporting Standards for Non-publicly Accountable Entities)

• Transitional and Implementation Issues on IFRS

• Questions and Answers on IFRS (Issued by the Philippine Interpretations Committee)

  • Accounting for Government Loans with Low Interest Rates (PDF) (Posted 18 September 2007)

  • Basis of preparation of Financial Statements if an entity has not applied PFRSs in full (PDF) (Posted 18 September 2007)

  • Revenue recognition for sales of property units under pre-completion contracts (PDF) (Posted 18 September 2007)

  • Clarification of criteria for exemption from presenting consolidated financial statements (PDF) (Posted 18 September 2007)

  • Valuation of bank Real and Other Properties Acquired (ROPA) (PDF) (Posted 18 September 2007)

  • Application of criteria for a qualifying NPAE (PDF) (Posted 18 September 2007)

• Summary of Findings on the 2005 Audited Financial Statements

• Amendments

Notice of Amendments to SRC Rules 68 and 68.1 (PDF) (posted on 15 November 2005)

Download: Rule 68, as amended (PDF)

Rule 68.1, as amended (PDF)

• Corporate Governance

Corporate Governance Scorecard Questionnaire (PDF) (posted on 29 August 2007)

Corporate Governance Scorecard Response (posted on 29 August 2007

Philippines Corporate Governance Report on the Observance of  Standards and Codes (PDF)

• Rules of Procedure

The 2006 Rules of Procedure of the Securities and Exchange Commission (PDF) (posted 10 January 2007)

• Blueprint

Capital Market Development Plan: Progress Report as of 31 January 2008 (PDF) (posted 10 April 2008)

Capital Market Development Plan: Progress Report as of 30 September 2007 (PDF) (posted 10 April 2008)

Capital Market Development Plan: Progress Report as of 31 May 2007 (PDF) (posted 10 April 2008)

Capital Market Development Plan: Blueprint for Growth and Expanded Contributions to the Philippine Economy 2005-2010 (Blueprint) (PDF) (posted 18 December 2006)

• Investors Information

SEC Accredited Auditing Firms and Accredited External Auditors - as of October 2007  (posted 11 November 2007)

Registered Entities : Issuers

      Issuers of Registered Securities to the Public (Listed with the Exchange as of September 

        2007) (PDF)(Posted  3 October 2007)

Registered Entities : Market Particpants

      Exchanges, SROs, Clearing Agencies, Depository (as of 12 September 2007)

Registered Broker Dealer Firms, Salesman, and Associated Person - as of 25 May 2007(posted 28 May 2007)

Corporations With Term Expiring This Year, 2006 (PDF) (posted 26 April 2006)

Compliance with IAS:

Summary of Findings on the 2005 AFS of Top 100 Corporations (PDF)
(posted 26 Apr 2007)

Summary of Findings on the 2005 AFS of Selected Listed Companies (PDF)
(posted 26 Apr 2007)

• SEC Warning

Gold Barrel Social Club Inc. / Gold Barrel Social Club Resort Capital Inc.  (PDF) (Posted 19 December 2007)

Internet-Based Ponzi Investment Schemes (PDF) (posted on 04 Julyl 2007)

SEC Advisory regarding Slobec Realty Development Corporation and Libra 5/777 Foundation of the Philippines 2001, Inc. (PDF) (posted on 02 April 2007)

• Notices

Supplemental Bid Bulletin No. 2 re: Supply, Delivery, and Installation of various IT Goods (PDF) (Posted 13 May 2008)

Invitation To Apply For Eligibility And To Bid re: Supply, Delivery, and Installation of various IT Goods (PDF) (Posted 7 May 2008)

Amended Guidelines on the Evaluation of Audit Work  (PDF) (Posted 24 April 2008)

Adoption of auditing statements and practice statements  (PDF) (Posted 24 April 2008)

Career Executive Service Board (CESB) re: Pinzon, Lilia Oblefias (PDF) (Posted 22 April 2008)

Royal Manchester Five Trading Corp.  (PDF) (Posted 22 April 2008)

Wealth Marketing & General Services Corp.  (PDF) (Posted 17 April 2008)

Supplemental Bid Bulletin No. 1 re: Supply, Delivery, and Installation of various IT Goods (PDF) (Posted 10 Apr 2008)

Important Reminders for the Certified Securities Representative Examination (PDF) (Posted 1 Apr 2008)

Study Guide for Certified Securities Representative Examination  (PDF) (Posted 1 Apr 2008

Presentation Materials on Clearing and Settlement (PDF) (Posted 1 Apr 2008)

Guidelines on Determining the Availability of Retained Earnings for Dividend Declaration (PDF) (Posted 17 Mar 2008)

Invitation To Apply For Eligibility And To Bid re: Conversion of Document to Digital Images (PDF) (Posted 17 Mar 2008)

Invitation To Apply For Eligibility And To Bid re: High Speed Printing Requirements (PDF) (Posted 11 Mar 2008)

Filing of Financial Statements re: Requirements of financial statements that are required to be filed under the Corporation Code, Securities Regulation Code, and applicable rules, regulation, and circulars. (PDF) (Posted 26 Feb 2008)

Invitation To Apply For Eligibility And To Bid re: Janitorial Manpower Services (PDF) (Posted 14 Feb 2008)

Checklist of Requirements for "Petition to Lift Order of Revocation" (PDF) (posted on 15 January 2008)

CSC Issues 2008 Civil Service Exam Calendar (PDF) (posted on 14 January 2008)

• Template

Risk Based Capital Adequacy (RBCA) (posted on 28 Jan. 2005)

• Publication

SEC's Philippines 5000 CY 2005 Edition

SEC's Philippines 5000 CY 2006 Edition

• Guide to SEC Registration

Reportorial and Monitoring Requirements for Domestic Corporation (PDF) (Posted on 18 June 2007)

Reportorial and Monitoring Requirements for Foreign Corporation (PDF) (Posted on 18 June 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

• SEC Memorandum Circular

No. 03 : Rules governing registrars of qualified buyers  (PDF) (Posted on 29 January 2008)

No. 02 : Guidelines on reporting and attestation of pro-forma financial information (PDF) (Posted on 29 January 2008)

No. 01 : Publication of notices in newspapers (PDF) (Posted on 25 January 2008)

• 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 the Management of the Trust Fund of Pre-Need Corporations (PDF) (posted on 20 Feb. 2007)

Guidelines on the Use of Untitled Lands as Consideration for Shares of Stocks of a Corporation (PDF) (posted 29 Nov. 2006)

• Anti-Money Laundering Council

High-yield Investment Programs  (PDF) (Posted 21 August 2007)

Resolution No. 87 series of 2006 (PDF) (posted 15 Nov. 2006)

Resolution No. 43-A series of 2006 (PDF) (posted 02 Oct. 2006)

more...

• Order of Revocation

Cosmos Bottling Corporation (PDF) (posted 8 April 2008)

In the Matter of Hidden Vale Sports Club, Inc. (PDF) (posted 01 June 2006)

In the Matter of Legrand Global Link, Inc. (PDF) (posted 26 April 2006)

• Lifting of Order of Revocation

Second Rural Bank of Basista (PANG.), Inc. (PDF) (posted 9 May 2008)

League of Govt. Nurses, Inc. (PDF) (posted 30 April 2008)

SD Trading Corp. (PDF) (posted 29 April 2008)

Leganes Operators and Drivers Assn., Inc. (PDF) (posted 29 April 2008)

St. Pius X Institute, Inc. (PDF) (posted 29 April 2008)

Silanganan Building Association, Inc. (PDF) (posted 29 April 2008)

Forum Pacific, Inc. (PDF) (posted 10 April 2008)

Tai Guan Temple, Inc. (PDF) (posted 2 April 2008)

Medical Colleges of Northern Philippines, Inc. (PDF) (posted 2 April 2008)

Aklan Baptists Church Philippines Fellowship, Inc. (PDF) (posted 2 April 2008)

South Christian Mission Church, Inc. (PDF) (posted 2 April 2008)

Minuyan Proper Farmers Assn., Inc. (PDF) (posted 31 March 2008)

Alpha Sigma Phi-Philippines International Collegiate Service Organization Inc. (PDF) (posted 31 March 2008)

Katipunan ng mga Artistang Pilipino sa Pelikula at Telebisyon Inc. (PDF) (posted 31 March 2008)

Columbia International Towers Condominium Corp. (PDF) (posted 31 March 2008)

Davao City Muslim Association, Inc. (PDF) (posted 24 March 2008)

Philippine Independent Power Producers Assn., Inc. (PDF) (posted 24 March 2008)

MAICOR Trading Corp. (PDF) (posted 18 March 2008)

Lexington Realty & Development Corp. (PDF) (posted 17 March 2008)

FMA Corp. (PDF) (posted 17 March 2008)

First United Broadcasting Corp. (PDF) (posted 13 March 2008)

Naredico Mining Corp. (PDF) (posted 13 March 2008)

Alchem International Resource, Inc. (PDF) (posted 13 March 2008)

Committee of German Doctors for Developing Countries, Inc. (PDF) (posted 13 March 2008)

Golondrina Holdings Inc. (PDF) (posted 10 March 2008)

Quezon Capital Warehouse Corp. (PDF) (posted 10 March 2008)

Four R Properties, Inc. (PDF) (posted 10 March 2008)

Bayside Council in Obstetrics & Gynecology (BAYCOG) Association Inc.(PDF) (posted 05 March 2008)

Demokratikong Kilusang Magbubukid ng Pilipinas-Lanao (DKMP-Lanao) Inc. (posted 05 March 2008)

Mga Mananampalataya sa Iglesia ng Diyos kay Kristo Hesus Inc. (posted 05 March 2008)

M.P.C. Enterprises Inc. (posted 05 March 2008)

Pacific-World Building Mgt. & Gen. Srvcs. Inc. (posted 05 March 2008)

more...

• SEC Order

:

Setting Aside Order of Revocation of Certificate of Registration

Chip Development, Corp. (PDF) (13 May 2008)

Community Formation, Corp. (PDF) (9 May 2008)

Lamb of God Foundation, Inc. (PDF) (9 May 2008)

Turalba Foundation, Inc. (PDF) (9 May 2008)

Buklod Pagkakaisa ng Mahihirap sa Bagong Silang, Inc. (PDF) (9 May 2008)

Multi-Line Communication, Inc. (PDF) (9 May 2008)

Believers in Christ, Inc. (PDF) (9 May 2008)

Country Funders and Lending Investors, Corp. (PDF) (7 Mayl 2008)

V.V. Aldaba Inc. (PDF) (7 Mayl 2008)

Magenta Holdings, Inc. (PDF) (7 Mayl 2008)

Way Trurth Life Ministries Intl., Inc. (PDF) (30 April 2008)

Credit Card Assn. of the Phils., Inc. (PDF) (30 April 2008)

Tucumcari Phils., Inc. (PDF) (30 April 2008)

Woodside Properties and Land Corp. (PDF) (30 April 2008)

20th. Century Realty Dev't. Corp. (PDF) (30 April 2008)

Minigee Enterprise, Inc. (PDF) (30 April 2008)

The Philippine College of Hospitals Administrators, Inc. (PDF) (30 April 2008)

Golden Gate Tricycle Operators and Drivers Assn., Inc. (PDF) (30 April 2008)

VIL-CLAD Marketing Corp. (PDF) (30 April 2008)

Gensantos Foundation, Inc. (PDF) (30 April 2008)

Northbreeze Realty Corp. (PDF) (30 April 2008)

Sunsphere Corp. (PDF) (29 April 2008)

Integrated Community Health Foundation (ICOMHEALTH), Inc. (PDF) (29 April 2008)

Rural Bank of Sta. Magdalena (SORSOGON), Inc. (PDF) (29 April 2008)

Good Samaritan Baptist Church, Inc. (PDF) (29 April 2008)

New City Builders, Inc. (PDF) (29 April 2008)

The Bicol Islamic Education Foundation, Inc. (PDF) (29 April 2008)

Insular Savings and Investment Agency, Inc. (PDF) (23 April 2008)

Dominican High School of Sto. Domingo N.E., Inc. (PDF) (23 April 2008)

Davao Jack Traders, Inc. (PDF) (23 April 2008)

Doņa Josefa Vda. De Santos, Inc. (PDF) (23 April 2008)

Center for Labor Education Advocacy, Research and Development, Inc. (PDF) (23 April 2008)

M & C Farms, Inc. (PDF) (23 April 2008)

Malaluan Hospital Corp. (PDF) (23 April 2008)

Holy Child Realty and Development Inc. (PDF) (23 April 2008)

Casa Ilongga Inc.. (PDF) (11 April 2008)

Abaņo Realty Development Corp. (PDF) (10 April 2008)

SOVDCA Trading Corp. (PDF) (27 March 2008)

Confradia Sagrada Familia, Inc. (PDF) (24 March 2008)

Provenor Mining Corp. (PDF) (24 March 2008)

Angelour Development Corp. (PDF) (24 March 2008)

Seventh-Day Adventist Church of Northeastern Mindanao Mission, Inc. (PDF) (24 March 2008)

Sunnix Inc. (PDF) (18 March 2008)

R.P. Alingog Development Corp. (PDF) (18 March 2008)

C T Farm Inc. (PDF) (18 March 2008)

Pareb-Northern Mindanao Realtors Board, Inc. (PDF) (10 March 2008)

Claimants 1081 Inc. (PDF) (10 March 2008)

Ancestral Holdings Corp. (PDF) (10 March 2008)

Ecolima Agri-Commercial Corp. (PDF) (22 February 2008)

Seachamp International Export Corp. (PDF) (22 February 2008)

Tandag Chamber of Commerce and Industry, Inc. (PDF) (13 February 2008)

Petrochemical Investment Corp. (PDF) (13 February 2008)

Kraft-Asia Ventures, Inc. (PDF) (13 February 2008)

Earthmovers Mining Corp. (PDF) (13 February 2008)

St. Martin Polyclinic, Inc. (PDF) (13 February 2008)

Lamb of God Special Education Academy, Inc. (PDF) (13 February 2008)

Columbian International Towers Condominium Corp. (PDF) (13 February 2008)

Loyola Park Subdivision TODA Inc. (PDF) (13 February 2008)

Cebu Development Company, Inc. (PDF) (12 February 2008)

Cease and Desist Order

Cease and Desist Order : Primanila Plans, Inc. (PDF) (29 April 2008)

D 1st. Cell Pawnshop, Inc. (PDF) (26 October 2007)

Compliance and Enforcement Department

SEC Admin Case No. 03-08-002: ETXT Business Solutions, Inc. (PDF)(23 Apr 2008)

In the Matter of Green Square Properties Corp. (PDF)(11 Feb 2008)

Market Regulation Department

Order dated 13 August 2007 penalizing PSE for violation of SRC (PDF) (posted 13 September 2007)

Order of Revocation of Registration of Securities and Permit to Sell Securities to the Public

Waterworld Theme Park and Country Club, Inc. (PDF)  (posted 23 April 2008)

Princesa Holiday Resort Inc. (PDF)  (posted 23 April 2008)

Capitol Hills Golf and Country Club Inc. (PDF)  (posted 15 October 2007)

Order of Violation of the Investment Company Act

Legacy HY Fund, Inc. (PDF)  (posted 23 April 2008)

Order of Violation of the Financing Company Act

IBA Finance Corp. (PDF)  (posted 23 April 2008)

Jushin Financing and Leasing Corp. (PDF)  (posted 23 April 2008)

ICC Leasing and Finance Corp. (PDF)  (posted 31 October 2007)

eBiz Financial Services, Inc. (PDF)  (posted 31 October 2007)

Grolier International Finance, Inc. (PDF)  (posted 15 October 2007)

Istana Finance Corp. (PDF)  (posted 15 October 2007)

Order of Revocation of the Certificate of Authority to Operate as a Financing Company

Sta. Cruz Prime Star Financing Corp.  (PDF) (posted 4 September 2007)

Hunter Finance Inc.  (PDF) (posted 4 September 2007)

Violation of Securities Regulation Code

Asian Cable Enterprises, Inc. (PDF)  (posted 23 April 2008)

Mariwasa Manufacturing, Inc. (PDF)  (posted 23 April 2008)

Legacy HY Fund, Inc. (PDF)  (posted 23 April 2008)

Diamond Asia Properties and Builders Corp. (PDF)  (posted 23 April 2008)

Fil Estate Corp. (PDF)  (posted 23 April 2008)

PCI Leasing and Finance, Inc. (PDF)  (posted 23 April 2008)

Interport Resources Corp. (PDF)  (posted 23 April 2008)

ATR-Kim Eng Equity Opportunity Fund, Inc. (PDF)  (posted 23 April 2008)

Forum Pacific, Inc. (PDF)  (posted 23 April 2008)

Pampanga Sugar Development Company, Inc. (PDF)  (posted 23 April 2008)

Philam Strategic Growth Fund Inc. (PDF)  (posted 23 April 2008)

• ISM Communications Corp.

  • Eric O. Rector (PDF)  (posted 31 October 2007)

  • Gregorio MA. Araneta III (PDF)  (posted 31 October 2007)

  • Scott Sproule (PDF)  (posted 31 October 2007)

Jollibee Foods Corp. (PDF)  (posted 31 October 2007)

Lyceum of the Philippines Inc. (PDF)  (posted 31 October 2007)

Pamplona Plantation and Country Club, Inc. (PDF)  (posted 31 October 2007)

Metro Alliance Holdings & Equities Corp. (PDF)  (posted 31 October 2007)

Anchor Savings Bank (PDF)  (posted 15 October 2007)

Zipporah Realty Holdings Inc. (PDF)  (posted 15 October 2007)

eTelecare Global Solutions Inc. (PDF)  (posted 15 October 2007)

East Asia Power Resource Corp. (PDF)  (posted 15 October 2007)

Legacy GS Fund, Inc. (PDF)  (posted 15 October 2007)

Camarines Minerals Inc. (PDF)  (posted 15 October 2007)

A Brown Company Inc. (PDF) (posted 15 October 2007)

                                                                                                             more...

Registration of Securities under the SRC (Certificate of Permit to Offer Securities for Sale)

Philippine Savings Bank (PDF) (posted 23 April 2008)

Grepalife Dollar Bond Fund Corp. (PDF) (posted 15 October 2007)

City and Land Developers Inc. (PDF) (posted 15 October 2007)

Pico De Loro Beach and Country Club, Inc. (PDF) (posted 15 October 2007)

GMA Network Inc. and GMA Holdings, Inc. (PDF) (posted 3 September 2007)

Vista Land & Lifescapes, Inc. (PDF) (posted 3 September 2007)

Aboitiz Power Corp. (PDF) (posted 11 July 2007)

Optima Balance Fund Inc.  (PDF) (posted 11 July 2007)

Phoenix Petroleum Phils, Inc. (PDF) (posted 11 July 2007)

Villa Anna Paradise Resort & Farm Inc.  (PDF) (posted 11 July 2007)

Alliance Global Group, Inc. (PDF) (posted 11 July 2007)

Order of Suspension: 

Celebrity Sports Plaza, Inc.  (PDF) (posted 23 April 2008)

Lakewood Golf & Country Club, Inc.  (PDF) (posted 23 April 2008)

Infinite Investments and Finance Corp.  (PDF) (posted 8 April 2008)

Seascapes Beach Club and Spa, Inc.  (PDF) (posted 31 October 2007)

Pamana Island Resort Hotel and Marina Club, Inc.  (PDF) (posted 3 September 2007)

12 Seventeen Funds & Credit Corp  (PDF) (posted 11 July 2007)

Unioil Resources and Holdings, Inc.  (PDF) (posted 11 May2007)

Forum Pacific, Inc.  (PDF) (posted 25 Aug. 2006)

Magdiwang Finance & Investment Corp.  (PDF) (posted 25 Aug. 2006)

True North Golf and Country Club, Inc.(PDF) (posted 01 June 2006)

Wise Holdings, Inc. (PDF) (posted 01 June 2006)

• SEC Opinions

SEC Opinion No. 08-11

RE   : Power of the Board to Enter in Suretyship Agreement and to Issue Corporate Guarantee.

SEC Opinion No. 07-18

RE   : Request for SEC Opinion on Compliance with the Ownership Requirement for a Public Utility

Mr. Rafael Bueno Jr.

SEC Opinion No. 07-19

RE   : Request for SEC Opinion on Compliance with the Ownership Requirement for a Public Utility

Atty. Peter D. A. Barot

SEC Opinion No. 07-20

RE   : Request for SEC Opinion on the Ownership Requirement for the grantees of public utility franchise

Atty. Amado M. Santiago Jr.

SEC Opinion No. 07-21

RE   : Request for SEC Opinion on the Ownership Requirement for the grantees of public utility franchise

Atty. Andre Navato Jr.

• Examination Results

:

(posted on  14 November 2007)

Securities Representative Certification Exam (SRCE) given on 13 April 2007
(posted on 15 August 2007)

Investment Company Representative Certification Exam (ICRCE) given on 30 March 2007 (posted on 04 September 2007)

Investment Company Representative Certification Exam (ICRCE) given on 2 February 2007 (posted on 04 September 2007)

Investment Company Representative Certification Exam (ICRCE) given on 30 November 2006 (posted on 05 February 2007)

more...

• Pre-Need Data

Sales of Pre-need Corporations for March 2008 (PDF) (posted 29 April 2008)

Directory of Licensed General Agents of Pre-Need Plans For 2008 (as of 31 Jan. 2008) (PDF)

Directory of Licensed Dealers of Pre-Need Plans for 2008 (as of 31 Mar. 2008) (PDF)

2008 Compliance Calendar for Pre-Need Corporation (PDF)

Sales of Pre-need Corporations for February 2008 (PDF) (posted on 11 April 2008)

Sales of Pre-need Corporations for January 2008 (PDF) (posted on 24 March 2008)

Directory of Licensed Dealers of Pre-Need Plans for 2008 (as of 26 Feb. 2008) (PDF)

Sales of Pre-need Corporations for December 2007 (PDF)

Sales of Pre-need Corporations for November 2007 (PDF)

Sales of Pre-need Corporations for September 2007 (PDF)

Sales of Pre-need Corporations for August 2007 (PDF)

Interpretative Bulletin : Section 11 of SEC Memorandum Circular 4, series of 2007 (PDF) (as of 27 Novemberl 2007)

Sales of Pre-need Corporations for July 2007 (PDF) (posted on 13 September 2007)

Sales of Pre-need Corporations for January 2007 (PDF) (posted on 07 March 2007)

• Forms

SEC Blank Forms for Registration (Sample Only)

• Articles of Incorporation and By Laws for Non- Stock Corporation (PDF)    (Posted 9 May 2008)

• Articles of Partnership (PDF) (Posted 9 May 2008)

• Articles of Incorporation and By Laws for Stock Corporation (PDF) (Posted 9 May 2008)

FCIF - Special Form of Interim Financial Statements for Financing Companies (zip) (Posted 18 Apr. 2008)

LCIF - Special Form of Interim Financial Statements for Lending Companies (zip) (Posted 18 Apr. 2008)

SEC Form FCIF - Special Form of Interim Financial Statements for Financing Companies (PDF) (Posted 3 Jan. 2008)

Special Forms for Lending Companies

• SEC Form LCFS - Financial Statements (PDF) (Posted 3 Jan. 2008)

• SEC Form LCFS - Interim Financial Statements (PDF) (Posted 3 Jan. 2008)

Application for Certificate of Authority to Operate as Lending Company under Lending Company Regulation Act of 2007 (PDF) (Posted 3 Jan. 2007)

Application for Certificate of Authority to Operate as Lending Company (Branch Office) under Lending Company Regulation Act of 2007 (PDF) (Posted 7 Nov. 2007)

SEC Form IHU/GSED-RR

Application for Registration Renewal for Investment House, Underwriter of Securities and Government Securities Eligible Dealers

(Download in PDF) Updated 7 Nov. 2007

SEC Form IH-BO-RR

Application for Investment House Branch Office Registration Renewal
(Download in PDF) Updated 7 Nov. 2007

SEC Form IHU/GSED-RCO-AP

Application for Individual Registration Renewal
(Download in PDF) Updated 7 Nov. 2007

SEC Form IHU-Authorization

Authorization for Investment House/Underwriter of Securities and Amendments

(Download in PDF) Updated 7 Nov. 2007

SEC Form ICA-RR

Application for Registration Renewal Investment Company Adviser/Fund Manager
(Download in PDF) Updated 7 Nov. 2007

SEC Form ICA-RCO

Application for Registration Renewal Compliance Officer (CO)
(Download in PDF) Updated 7 Nov. 2007

SEC Form ICA-RCIS

Application for Registration Renewal Certified Investment Solicitor (CIS)
(Download in PDF) Updated 7 Nov. 2007

SEC Form MFD

Application for registration as Mutual Fund Distributor
(Download in PDF) Updated 7 Nov. 2007

SEC Form ICA-T

Notice for Termination of a Certified Investment Solicitor or Compliance Officer of an Investment Company Adviser / Mutual Fund Distributor
(Download in PDF) Updated 7 Nov. 2007