• Compliance with International Financial Reporting Standards (IFRS)
 :
  • 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
 :

The 2008 Corporate Governance Scorecard for Publicly Listed Companies - Response Form (zip) (Posted 21 October 2008

The 2008 Corporate Governance Scorecard for Publicly Listed Companies (zip) (Posted 10 October 2008

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 March 2009  (posted 14 April 2009)

 

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

 

      Broker/Dealer (PSE Trading Participants) (as of 30 September 2008)

      Registered Salesperson/Salesman (as of 30 September 2008)

      Registered Associated Person (as of 30 September 2008)

      Registrars of Qualified Buyers (as of 7 August 2008)

      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 Advisory
 :

Advisory on Bank Deposits  (PDF) (Posted 14 May 2010)

First Galleon Family Fund, Inc. (PDF) (Posted 23 March 2010)

Mga dapat tandaan upang mapangalagaan ang inyong "Financial Investments"

Practical Reminders to Protect your Financial Investments

Simple and Practical Reminders to Safeguard your Deposits

Rise e-Commerce Systems, Inc. : Is NOT licensed to solicit investments from the public, in accordance with Section 8.1 of the Securities Regulation Code (PDF) (Posted 14 December 2009)

Goodlife Fashion & Accessories Enterprises Corp. : Is NOT a registered issuer of securities and is therefore NOT licensed to offer or issue securities to the public, in accordance with Section 8 and 12 of the Securities Regulation Code. (PDF) (Posted 2 December 2009)

Notice  : Procedures and Guidelines for the Implementation of the Computer-Assisted Paper Submission Module (Posted 13 August 2009)

Notice  : Legacy Consolidated Plans, Inc.; Scholarship Plan Phils., Inc.; All Asia Plans Corp. (PDF) (Posted 20 April 2009)

ROP Business Provider, Corporation : Is NOT licensed to solicit investments from the public, in accordance with Section 8.1 of the Securities Regulation Code. (PDF) (Posted 15 April 2009)

Talbot & Reese, Inc. : Is not authorized or licensed to engage in activities and/or solicit investments from the public (PDF) (Posted 1 April 2009)

Reminder  re: Independent Directors (PDF) (Posted 19 March 2009)

Open Letter : Legacy Consolidated Plans, Inc.; All Asia Corporation; Scholarship Plans, Inc. (PDF) (Posted 18 March 2009)

Notice to the Public : Legacy Consolidated, Plans Inc.; Scholarship Plan Phils., Inc.; All Asia Plans, Corp.

Notice to the Public : SEC Commissioner Atty. Jesus Enrique G. Martinez 

 

Phil-Asia Care Plans, Inc.

 

Nomad Sports Club

                                                                                                                                                       more...

     
  • Notices
 :

Invitation to Bid for the Supply, Delivery, Installation, and Configuration of IT Goods

Notice  : Guidelines on Property Valuation (PDF) (posted 26 May 2010)

 

Notice  : To adopt the standards and interpretation as part of its rules and regulations on International Accounting Standards.

First Galleon Family Fund, Inc. (PDF) (Posted 23 March 2010)

Notice  : Reduction of copies of reports and other filings with the Securities and Exchange Commission (PDF) (Posted 5 March 2010)

Invitation to Bid : Renovation of the south wing of ground floor SEC building (PDF) (Posted 5 March 2010)

Invitation to Bid : Supply Delivery, and Installation of various IT Equipment (PDF) (Posted 25 February 2010)

Invitation to Bid : Supply of Services for the Preventive Maintenance of Air-Conditioning Systems/Units  (PDF) (Posted 24 February 2010)

Invitation to Bid : Document Conversion for year 2010  (PDF) (Posted 24 February 2010)

Notice  : To all Planholders of Legacy Consolidated Plans, Inc.; Scholarship Plan Phils., Inc., and All Asia Plans Corp. (PDF) (15 Feb 2010)

Notice  : Implementation Guidelines on Philippine Financial Reporting Standards for Small and Medium Entities (PDF) (9 Feb 2010)

Notice  : Philippine Financial Reporting Standards for Small and Medium Entities

Notice  : San Nicolas Teacher Credit & Finance Corp.

Hosting/Co-location Facility for SEC Servers & Network Equipment and Internet Connection Services

 

Proposed Chart Accounts for Brokers and Dealers in Securities

 

Notice  : Deadline for submission of CG Scorecard (PDF) (Posted 22 September 2009)

Invitation to apply for eligibility and to bid  re: Supply, Delivery, and Installation of various IT Goods (PDF) (Posted 25 August 2009)

Notice  : The Lending Company Regulation Act of 2007 (PDF) (Posted 11 August 2009)

Invitation to apply for eligibility and to bid  re: Broadsheet and International Magazines (PDF) (Posted 22 July 2009)

Invitation to apply for eligibility and to bid  re: IT Goods (PDF) (Posted 16 July 2009)

Invitation to apply for eligibility and to bid  re: 2008 SEC Annual Report (PDF) (Posted 13 July 2009)

Notice  : Compliance and Enforcement Department to Enforcement and Prosecution Department (PDF) (Posted 9 July 2009)

Supplemental/Bid Bulletin No.1- IT Goods (PDF) (Posted 22 June 2009)

Notice  : Primanila Plans, Inc. (PPI) (PDF) (Posted 19 June 2009)

Notice to all Independent Directors re: Certification of Qualification (PDF) (Posted 18 May 2009)

Notice re: Financial Instruments : Recognition and Measurement (PDF) (Posted 22 April 2009)

Notice  : Legacy Consolidated Plans, Inc.; Scholarship Plan Phils., Inc.; All Asia Plans Corp. (PDF) (Posted 20 April 2009)

Notice re: Public Hearing on the proposed Scale of Fines (PDF) (Posted 16 April 2009)

Talbot & Reese, Inc. : Is not authorized or licensed to engage in activities and/or solicit investments from the public (PDF) (Posted 1 April 2009)

 

                                                                                                                  more...

     

  • Template

 :

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

     
  • Publication
:

SEC's Philippines 10000 CY 2009 Edition

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 Memorandum Circular
:

SEC Memorandum Circular No. 7

RE    :   Briefing re: On-line Submission of the Corporate Governance Scorecard (PDF) (Posted 1 Sept  2010)

SEC Memorandum Circular No. 6

RE    :   2011 Schedule of Filing of Annual Financial Statements (PDF) (Posted 26 August 2010)

SEC Memorandum Circular No. 5

RE    :   Coverage of Financing Companies by the Revised Code of Corporate Governance (PDF) (Posted 9 August 2010)

SEC Memorandum Circular No. 4

RE    : Guidelines on Property Valuation (PDF) (Posted 28 July 2010)

SEC Memorandum Circular No. 3

RE    :   Guidelines on the Issuance of Certificates of Eligibility under the Special Purpose Vehicle Act and Status Report of   Registered Special Purpose Vehicle Corporation

SEC Memorandum Circular No. 2

RE    :   Revised Guidelines in the preparation Anti-Money Laundering Operating Manual for SEC Covered Institutions

SEC Memorandum Circular No. 1

RE   :   Adoption of the Broker-Dealer Chart of Accounts (PDF) (24 Mar 2010)
     
  • Guidelines
:

Draft Revised Guidelines on Accreditation of Auditing Firms and External Auditors

 

Sample Corporate Documents

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)

     
:

Resolution No. 48 series of 2010 (PDF) (posted 23 June 2010)

Resolution No. 47 series of 2010 (PDF) (posted 23 June 2010)

Resolution No. 44 series of 2010 (PDF) (posted 23 June 2010)

Resolution No. 43 series of 2010 (PDF) (posted 23 June 2010)

Resolution No. 42 series of 2010 (PDF) (posted 23 June 2010)

Resolution No. 13 series of 2010 (PDF) (posted 8 March 2010)

Resolution No. 115 series of 2009 (PDF) (posted 11 January 2010)

more...

     
  • Order of Revocation
:

Davis Mayer Group, Inc. (16 February 2010)

Leyte Colleges, Inc. (PDF) (posted 3 June 2009)

Prudential Life Plans, Inc. (PDF) (posted 29 April 2009)

Legacy GS Fund, Inc. (PDF)  (posted 16 March 2009)

Global Business Holdings, Inc. (PDF)  (posted 18 February 2009)                                                                                      Legacy HY Fund, Inc. (PDF)  (posted 11 February 2009)

Arcontica Condominium, Corp. (PDF)(9 January 2009)

Leyte Colleges, Inc.  (PDF)(11 December 2008)

Forum Pacific, Inc. (PDF)  (posted 13 October 2008

Lakewood Golf & Country Club, Inc. (PDF)  (posted 13 October 2008

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)

     

  • SEC Order

:

In the matter of North East Luzon Foundation, Inc. (PDF) (1 September 2010)

In the matter of Oda Wara Manufacturing Corp. (PDF) (19 July 2010)

 

In the matter of First Equis, Inc. (PDF) (5 July 2010)

In the matter of Vist Mar Beach Resort & Country Club, Inc. (PDF) (posted 25 June 2010)

 

In the matter of Canlubang Golf & Country Club, Inc. (PDF) (11 May 2010)

Revoked: Davis Mayer Group, Inc. (16 February 2010)

 

In the matter of Novelty Philippines, Inc. re: Petition for voluntary dissolution of corporation affecting creditors. (PDF)  (17 December 2009)

 

Office of the General Accountant

  • Order of Suspension of Group C Accreditation

 

 

In the matter of Novelty Philippines, Inc. (PDF) (30 July 2009)

In the matter off Barlow and Ramsey, Inc.; Grand Shaw Holdings Inc.

Summons dated 3 April 2009 (PDF) (1 June 2009)

Case Order dated 25 March 2009 (PDF) (1 June 2009)

Petition for Revocation of Corporate Registration (PDF) (1 June 2009)

 

Non-Traditional Securities and Instruments Department

  • Order of Suspension of Certificate of Registration as Dealer of Pre-Need Life and Plans

  • Order of Revocation of Certificate of Registration as Dealer of Pre-Need Life and Plans

 

In the matter of Conventional Realty, Corp. (PDF) (30 January 2009)

In the matter of Ang Bagong Lahing Filipino Development Foundation, Inc. (PDF) (22 January 2009)

In the matter of Shinning Armour Property, Inc. (PDF) (22 January 2009)

In the matter of Legacy Motors, Inc. (PDF) (22 January 2009)

In the matter of Good Harvest Orchards Marketing, Corp. (PDF)(8 Jan 2009)

Cease and Desist Order : Omico Corporation (PDF) (31 October 2008)

In the matter of : USA Resources Corp. (PDF) (21 October 2008)

In the matter of : Puting Bato Farmers and Settlers Assn., Inc. (PDF) (14 July 2008)

In the matter of : Primanila Plans, Inc. (PDF) (19 June 2008)

 

Order on Payment of Penalties

Liberty Flour Mills, Inc. (PDF)  (posted 13 July 2009)

Innovative Venture & Financing Corporation (PDF)  (posted 6 July 2009)

First United Finance Corporation (PDF)  (posted 6 July 2009)

Advent Capital and Corporation (PDF)  (posted 6 July 2009)

Quezon A+ Credit Corporation (PDF)  (posted 6 July 2009)

San Antonio Financing Corporation (PDF)  (posted 6 July 2009)

First Filipinas Capital Corporation (PDF)  (posted 6 July 2009)

Asian Cathay Finance and Leasing Corporation (PDF)  (posted 6 July 2009)

JGC Financing Company Inc. (PDF)  (posted 6 July 2009)

Rainbow Finance, Inc. (PDF)  (posted 6 July 2009)

D'First Jam Fiinancing, Inc. (PDF)  (posted 6 July 2009)

Jesman Lending Corp. (PDF)  (posted 6 July 2009)

Primary Finance Company, Inc. (PDF)  (posted 6 July 2009)

Corza Finance Corporation (PDF)  (posted 6 July 2009)

Charton Financing Corporation (PDF)  (posted 1 July 2009)

Glogold Financing Corporation (PDF)  (posted 1 July 2009)

Eastern Eagle Finance Corporation (PDF)  (posted 1 July 2009)

Rural Electrification Financing Corporation (PDF)  (posted 1 July 2009)

Southstar Uni Credit Corporation (PDF)  (posted 1 July 2009)

 

Order on Accreditation of Credit Rating Agency

Credit Rating and Investors Services Phils. (CRISP), Inc. (PDF) (8 August 2008)

 

Cease and Desist Order

Omico Corporation (PDF) (31 October 2008)

Nomad Sports Club, Inc. (PDF) (9 February 2009)

Primanila Plans, Inc. (PDF) (31 April 2008)

ETXT Business Solutions, Inc. (PDF) (3 July 2008)

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

 

Enforcement and Prosecution Department

 

In the matter of : All Asia Plans Corporation, United Farmers Sugar Corporation, Legacy Emergent Asset Management, Inc., Edifice Realty & Development Corporation, C2MPV Realty Corporation, Calayucay Realty Corporation and RL. ROA Realty and Development, Inc. (PDF) (2 February 2010)

 

In the matter of Rehabilitation of Uniwide Group  (PDF) (15 Jan 2010)

In the matter of Mr. Renato L. Reyes (ATN Holdings, Inc.) (PDF) (18 Dec 2009)

Denied motion to lift Cease and Desist Order : Nomad Sports Club, Inc. (PDF)(14 May 2009)

Cease and Desist Order : Nomad Sports Club, Inc. (PDF)(9 Feb 2009)

In the matter of Good Harvest Orchards Marketing, Corp. (PDF)(8 Jan 2009)

CED Case No. 07-2860: Leyte Colleges, Inc.  (PDF)(11 December 2008)

Settlement Order : Carfel Vistamar, Inc. (PDF)(14 Oct 2008)

In the matter of Medicus (Iloilo City), Inc. (PDF)(15 Sept 2008)

In the matter of SLMC Bonifacio Global City MAB Corp. (PDF) (posted 8 August 2008)

In the matter of Celebrity Sports Plaza, Inc. (PDF) (posted 8 August 2008)

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 9 June 2010 penalizing PSE for violation of SRC (PDF) (posted 16 June 2010)

      Order dated 2 July 2009 penalizing PSE for violation of SRC (PDF) (posted 16 July 2009)

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

 

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

Kidzworld Theme Parks Amusement and Recreational Club, Inc. (PDF)  (posted 7 July 2010)

The First Galleon Family Fund, Inc. (PDF)  (posted 19 May 2010)

Primetown Property Group, Inc. (PDF)  (posted 30 April 2010)

Chateau Royale Sports & Country Club, Inc. (PDF)  (posted 10 December 2009)

Club Panoly Resorts, Inc. (PDF)  (posted 2 September 2009)

Fantasy World Theme Parks, Amusement & Recreation Club, Inc. (PDF)  (posted 4 August 2009)

Fairways & Bluewater Resort Golf & Country Club, Inc. (PDF)  (posted 13 July 2009)

Subic Bay golf and Country Club, Inc. (PDF)  (posted 26 May 2009)

Nexstage, Inc. (PDF)  (posted 26 May 2009)

Real Development Company, Inc. (PDF)  (posted 20 May 2009)

 

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

Primetown Property Group, Inc. (PDF) (posted 3 September 2010)

Chateau Royale Sports & Country Club, Inc. (PDF) (posted 11 August 2010)

General Milling Corporation (PDF) (posted 26 May 2010)

Fantasy World Theme Parks Amusement and Recreation Club, Inc. (PDF) (posted 15 January 2010)

Forum Pacific, Inc. (PDF) (posted 6 September 2009)

Real Development Company, Inc. (PDF) (posted 2 September 2009)

Subic Bay Golf & Country Club, Inc. (PDF) (posted 4 August 2009)

Metro Alliance Holdings and Equities, Corp. (PDF) (posted 29 June 2009)

Pamplona Plantation and Country Club, Inc. (PDF) (posted 8 June 2009)

Marsteel Consolidated Inc. (PDF) (posted 3 June 2009)

Gotesco Land, Inc. (PDF)  (posted 26 May 2009)

Leyte Golf and Country Club, Inc. (PDF)  (posted 20 May 2009)

 

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

Infinite Investments and Finance Corp. (PDF) (posted 4 May 2010)

Equal Prime Link and Finance Corporation (PDF) (posted 2 February 2010)

San Nicolas Teacher Credit & Finance Corp. (PDF) (posted 22 December 2009)

Leysaka Finance Corp. (PDF) (posted 28 April 2009)

Magdiwang Finance & Investment, Corp. (PDF) (posted 26 February 2009)

 

Violation of Securities Regulation Code

Philcomsat Holdings Corporation  (PDF) (posted 24 June 2009)

                                                                                                             more...

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

BDO Leasing and Finance, Inc. (PDF) (posted 13 January 2009)

ATR Kimeng Financial, Corp. (PDF) (posted 13 January 2009)

Ayala Corporation (PDF) (posted 13 January 2009)

Cityland Development, Inc. (PDF) (posted 13 January 2009)

First Philippine Infrastructure, Inc. (PDF) (posted 13 January 2009)

Cityland, Inc. (PDF) (posted 13 January 2009)

Basic Energy, Corp. (PDF) (posted 13 January 2009)

Music Semiconductors, Corp. (PDF) (posted 13 January 2009)

                                                                                                                          more...

 

Order of Suspension: 

Philcomsat Holdings Corporation  (PDF) (posted 24 June 2009)

Metro Alliance Holdings and Equities Corp.  (PDF) (posted 8 August 2008)

Marsteel Consolidated, Inc.  (PDF) (posted 8 August 2008)

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)

                                                                                                              more...

 

 

  
  • SEC Opinions

Office of the General Counsel

 

Opinion No. 10-25

RE   : Directors with Dual Citizenship; Qualifications of Directors and Corporate Officers

Opinion No. 10-24

RE   : Acquisition of Own Share of Stock

Opinion No. 10-23

RE   : Ownership Structure of a Land-Owning Corporation

Opinion No. 10-22

RE   : Setting up of Servers in the Philippines by a Foreign Corporation

Opinion No. 10-21

RE   : Interest in Co-ownership as Consideration for Shares of Stock

Opinion No. 10-20

RE   : Acquisition of Land by a Corporation; Dividend Distribution Mechanism; Directors' Fees

Opinion No. 10-19

RE   : Scope of Globe Telecom, Inc.'s authorized retail activity

Opinion No. 10-18

RE   : Capital Restructuring

Opinion No. 10-17

RE   : Qualification of a Corporate Secretary; Revised Code of Corporate Governance

 

 

Market Regulation Department

SEC-MRD Opinion No. 1

RE   : Delivery versus Payment (DVP)

 

more...

  • Examination Results

:

Investment Company Representative Certification Exam (ICRCE) given on 23 November 2008 (PDF) (posted on 10 February 2009)

Investment Company Representative Certification Exam (ICRCE) given on 1 5 February 2008 (PDF) (posted on 10 February 2009)

 

Associated Persons Certification Exam (APCE) Module 5  given on September 26, 2008 (posted on 23 October 2008)

Associated Persons Certification Exam (APCE) Module 3 and 4 given on September 17 and 19, 2008 (posted on 14 October 2008)

Associated Persons Certification Exam (APCE) Module 1 and 2 given on September 10 and 12, 2008 (posted on 19 September 2008)

Associated Persons Certification Exam (APCE) Module 5 given on August 1, 2008 (posted on 11 September 2008)

Associated Persons Certification Exam (APCE) Module 1- 4 given on April 4, May 16, June 13, and July 4 (posted on  4 September 2008)

 

Securities Representative Certification Exam (SRCE) given on June 27, 2008 (Technical Part) and July 3, 2008 (Regulatory Part)  (posted on 29 July 2008)

Securities Representative Certification Exam (SRCE) given on 4 and 11 April 2008  (posted on 1 July 2008)

 
     
  • Pre-Need Data
:

Sales of Pre-need Corporations for November 2009 (PDF) (posted 3 Feb 2010)

Sales of Pre-need Corporations for August 2009 (PDF) (posted 18 Nov 2009)  

Sales of Pre-need Corporations for April 2009 (PDF) (posted 25 Jun 2009)

Pre-Need Corporations with 2009 Dealer's License (as of 15 May 2009) (PDF) (posted 5 Jun 2009)

Sales of Pre-need Corporations for March 2009 (PDF) (posted 5 Jun 2009)

Sales of Pre-need Corporations for December 2008 (PDF) (posted 4 Feb 2009)

Pre-Need Corporations with 2009 Dealer's License (as of 28 Jan 2009) (PDF)

Sales of Pre-need Corporations for November 2008 (PDF) (posted 6 Jan 2009)

                                                                                                                                                                                more...
     
  • Forms
  

Application for Renewal of Surety Company Accreditation : SEC Form SCA R-002 (Zip) (Updated 9 November 2009)

Certified Investment Solicitor  (PDF File) (Zip File)

 

Pro-Forma Complaints for Planholders and Investors of Legacy

Complaint Form  (PDF File) (Zip File

Complaint Affidavit (PDF File) (Zip File)

 

Application for Continuation of Individual Registration : SEC Form 28.1-4 (PDF) (Updated 3 November 2008)

Application for Continuation of Branch Office Registration : SEC Form 28.1-1 (CBOR) (PDF) (Updated 3 November 2008)

Application for Continuation of Broker - Dealer Registration : SEC Form 28.1-1 (PDF) (Updated 3 November 2008)

F-100 For New Corporations with more than 40% foreign equity (updated 17 Sept. 2008)

F-103 For a Branch Office of a Foreign Corporation (updated 17 Sept. 2008)

F-104 For a Representative Office of a Foreign Corporation (updated 17 Sept. 2008)

F-105 For New Partnership with Foreign Equity (updated 17 Sept. 2008)

F-108 For a Branch/Representative Office of a Non-stock Foreign Corporation (updated 17 Sept 2008)

Regional or Area Headquarters (updated 17 Sept 2008)

Regional or Area Operating Headquarters (updated 17 Sept 2008)

Certificate of Authority to operate as a Lending Company Application Form (Zip File) (Updated 8 July 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

 

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

  • Events

 The 6th. Annual PSE Badminton Tournament

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