• 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

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

Mega Trend Consultancy (PDF) (Posted 2 May 2011)

International Securities Trading Corporation (ISTC) Bonds (PDF) (Posted 15 Nov 2010)

• Philippine Financial Reporting Standards for Small and Medium Entities

  • Notice : Commission En Banc meeting dated 7 October 2010 (PDF) (posted 12 October 2010)
  • Notice : Commission En Banc meeting dated 3 December 2009

Notice  : Proposed Amendments to the Implementing Rules and Regulation of the Republic Act 9856, otherwise known as the "Real Estate Investment Trust (REIT) Act of 2009 (PDF) (posted 12 October 2010)

Vacation International Philippines, Inc. (PDF) (Posted 21 Sept 2010)

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.

• Certification dated 5 February 2009 issued by the NTD

• Decision dated 12 September 2008 of the Court of Appeals

• Certification dated 14 October 2008 issued by the NTD

Nomad Sports Club

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

• Cease and Desist Order  (PDF) (Posted9 February 2009)

• SEC Advisory  (PDF) (Posted 29 September 2008)

                                                                                                                                                       more...

• Notices

• Notice : Guidelines for the Investment Requirement of Foreign Corporation under Section 126 of the Corporation Code of the Philippines (PDF) (posted 1 February 2012)

  • Guidelines on Securities Deposit of Branch Offices of Foreign Corporation (PDF) (posted 1 February 2012)

  • Table of comparison on Guidelines on Securities Deposit of Branch Offices of Foreign Corporations (PDF) (posted 1 February 2012)

• Invitation to bid for SEC Davao Extension Office

  • Security Manpower Services (PDF) (Posted 1 February 2012)

  • Janitorial Services (PDF) (Posted 1 February 2012)

• Invitation to bid Re: Supply and Delivery of one(1) unit 4-Door Sedan with 4-cylinder in-line DOHC Engine (PDF) (posted 19 January 2012) 

• Notice : Planholders of Metropolitan Life Plan Company, Inc. (PDF) (posted 23 December 2012)

• Invitation to bid

  • Document conversion to digital format for 2012 (PDF) Posted 18 November 2011)

  • Renovation of SEC Tarlac Extension Office (PDF) Posted 18 November 2011)

   

Notice : Memorandum of Agreement of SEC and LBP (PDF) (posted 20 October 2011)

Invitation to Bid RE  :   Security Manpower Services  (PDF) (Posted 19 Sep 2011)

Notice : Guidelines on Accreditation of Credit Rating Agencies (PDF) (posted 22 August 2011)

Invitation to Bid   Re:  For the Sale of Unserviceable Properties  (PDF) (Posted 16 Aug 2011)

Green Lane Registration (PDF) (Posted 16 August 2011)

Notice : IFRIC 15 (PDF) (Posted 10 August 2011)

Request for Expression of Interest for Supply, Delivery, Installation, Configuration, Development, Testing, and Implementation of the Integrated Company Registration System (PDF) (Posted 2 May 2011)

• Bid Bulletin no. 1 (PDF) (Posted 10 May 2011)

• Bid Bulletin no. 2 (PDF) (Posted 11 May 2011)

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

• SEC Memorandum Circular

SEC Memorandum Circular No. 8

RE    :   Guidelines on Reporting and Filing of Application for a Certificate of Eligibility under the Special Purpose Vehicle Act, as Amended (PDF) (Posted 18 October  2011)

SEC Memorandum Circular No. 7

RE    :   Implementing of the Truth in Lending Act to Enhance Loan Transaction Transparency (PDF) (Posted 16 September 2011)

SEC Memorandum Circular No. 6

RE    :   2012 Schedule of Filing of Annual Financial Statements (PDF) (Posted 15 August 2011)

SEC Memorandum Circular No. 5

RE    :   Amendment of SEC Memorandum Circular No. 5, series of 2008 (PDF) (Posted 5 August 2011)

SEC Memorandum Circular No. 4

RE    :   Amendment of SRC Rule 9.2(2)(D) (PDF) (Posted 21 June 2011)

SEC Memorandum Circular No. 3

RE    :   Guidelines on the implementation of PFRS 9 (Financial Instruments : Recognition and Measurement) (PDF) (Posted 24 May 2011)

SEC Memorandum Circular No. 2

RE    :   Amendment to the Implementing Rules and Regulation (IRR) of Republic Act No. 9856 or Real Estate Investment Trust (REIT) Act of 2009 (PDF) (Posted 2 May 2011)

SEC Memorandum Circular No. 1

RE   : Amendment of SEC Memorandum Circular No. 8, series of 2009 (PDF) (Posted 18 March 2011)

• Guidelines

Draft Revised Guidelines on Accreditation of Auditing Firms and External Auditors

• Notice

• Draft Amended Circular

• Matrix of comparison

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)

• Anti-Money Laundering Council

• Resolution No. 130 series of 2011 (PDF) (posted 4 January 2012)

• Resolution No. 124 series of 2011 (PDF) (posted 4 January 2012)

• Resolution No. 120 series of 2011 (PDF) (posted 4 January 2012)

• Resolution No. 119 series of 2011 (PDF) (posted 2 December 2011)

• Resolution No. 106 series of 2011 (PDF) (posted 2 December 2011)

• Resolution No. 105 series of 2011 (PDF) (posted 2 December 2011)

• Resolution No. 104 series of 2011 (PDF) (posted 2 December 2011)

• Resolution No. 103 series of 2011 (PDF) (posted 2 December 2011)

• Resolution No. 102 series of 2011 (PDF) (posted 2 December 2011)

• Resolution No. 91 series of 2011 (PDF) (posted 2 December 2011)

• Resolution No. 90 series of 2011 (PDF) (posted 2 December 2011)

• Resolution No. 89 series of 2011 (PDF) (posted 2 December 2011)

• Resolution No. 93 series of 2011 (PDF) (posted 30 September 2011)

• Resolution No. 83 series of 2011 (PDF) (posted 30 September  2011)

• Resolution No. 72-A series of 2011 (PDF) (posted 19 August 2011)

• Resolution No. 71-A series of 2011 (PDF) (posted 19 August 2011)

• Resolution No. 70-A series of 2011 (PDF) (posted 19 August 2011)

• Resolution No. 69-A series of 2011 (PDF) (posted 19 August 2011)

• Resolution No. 40-A series of 2011 (PDF) (posted 19 August 2011)

• Resolution No. 39-A series of 2011 (PDF) (posted 19 August 2011)

• Resolution No. 30-A series of 2011 (PDF) (posted 19 August 2011)

• Resolution No. 38 series of 2011 (PDF) (posted 19 August 2011)

• Resolution No. 24-A series of 2011 (PDF) (posted 4 April 2011)

• Resolution No. 23 series of 2011 (PDF) (posted 4 April 2011)

• Resolution No. 5 series of 2011 (PDF) (posted 4 April 2011)

• Resolution No. 4 series of 2011 (PDF) (posted 4 April 2011)

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 ARLEFF HOLDINGS, INC. (PDF) (20 September 2011)

In the matter of Timberland Sports and Nature Club, Inc. (PDF) (posted 16 May 2011)

• In the matter of Filipino Volunteers for Common Good, Inc. and Philippines on Constitutional Provisions Service Association, Inc. SEC Admin Case No. 03-09-105

  • Order dated 6 September 2010 issued by the OGC (PDF) (22 September 2010)

  • Summons dated 6 September 2010 issued by the OGC (PDF) (22 September 2010)

  • Petition for Revocation filed by the EPD dated 25 March 2009 (PDF) (22 September 2010)

   

In the matter of ICS Exports, Inc. (PDF) (17 September 2010)

In the matter of Filipino Volunteers for Common Good, Inc and Philippines on Constitutional Provisions Service Assn., Inc. (PDF) (17 September 2010)

• In the matter of DGF Group, Inc. and Fletcher's Group, Inc.

  • Order dated 8 September 2010 issued by the OGC (PDF) (8 September 2010)

  • Summons dated 8 September 2010 issued by the OGC (PDF) (8 September 2010)

  • Petition for Revocation filed by the EPD dated 6 May 2010 (PDF) (8 September 2010)

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 Zentex Cybert Solution Ltd., Co.

  • Order dated 6 July 2010 issued by the OGC (PDF) (15 July 2010)

  • Summons dated 7 December 2009 issued by the OGC (PDF) (15 July 2010)

  • Petition for Revocation filed by the EPD dated 29 August 2007 (PDF) (15 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 First Asia Client and Depository Services, Inc.

  • Order dated 31 May 2010 issued by the OGC (PDF) (3 June 2010)

  • Summons dated 31 May 2010 issued by the OGC (PDF) (3 June 2010)

  • Petition for Revocation filed by the EPD dated 26 May 2010 (PDF) (3 June 2010)

• In the matter of Urban Financial Services, Inc.

  • Order dated 12 May 2010 issued by the OGC (PDF) (26 May 2010)

  • Summons dated 12 May 2010 issued by the OGC (PDF) (26 May 2010)

  • Petition for Revocation filed by the EPD dated 10 June 2004 (PDF) (26 May 2010)

• In the matter of Rise E-Commerce Systems, Inc. (PDF) (21 May 2010)

  • Order dated 19 May 2010 issued by the OGC (PDF) (25 May 2010)

  • Summons dated 19 May 2010 issued by the OGC (PDF) (25 May 2010)

  • Petition for Revocation filed by the EPD dated 29 April 2010 (PDF) (25 May 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 Goldmany Advisory Services, Inc. (PDF) (12 January 2010)

  • Order of Revocation of Corporate Registration

  • Petition for Revocation of Corporate Registration

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

  • Mr. Jubal L. Ayo (PDF) (posted 8 December 2009)

• Motion to Lift Cease and Desist Order

  • Victorino De Los Angeles

  • Victoria Isabel G. Noel

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

  • Permanent Plans, Inc. (PDF) (posted 29 April 2009)

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

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

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

• Capitol Plans, Inc. CDO - Permanent(PDF) (25 June 2009)

• Primanila PLans, Inc. (PDF) (25 June 2009)

• Capitol Plans, Inc. (PDF) (11 June 2009)

• Cease and Desist Order (Permanent)

  • Crown Regency Holiday International, Inc. (PDF) (2 June 2009)

  • Fuente Triangle realty Development Corporation (PDF) (2 June 2009)

  • Megatrend Realty Network, Inc. (PDF) (2 June 2009)

  • Boracay Multiple Properties Developers, Inc. (PDF) (2 June 2009)

• Cease and Desist Order

  • All Asia Plans Corporation (PDF) (28 May 2009)

  • United Farmers Sugar Corporation (PDF) (28 May 2009)

  • Legacy Emergent Asset Management, Inc. (PDF) (28 May 2009)

  • Edifice Realty & Development Corporation (PDF) (28 May 2009)

  • C2MPV Realty Corporation (PDF) (28 May 2009)

  • Calaucay Realty Corporation (PDF) (28 May 2009)

  • R.L. ROA Realty and Development, Inc. (PDF) (28 May 2009)

• Cease and Desist Order

  • Crown Regency Holiday International, Inc. (PDF) (24 April 2009)

  • Fuente Triangle Realty Development Corp. (PDF) (24 April 2009)

  • Megatrend Realty Network, Inc. (PDF) (24 April 2009)

  • Boracay Multiple Properties Developers, Inc. (PDF) (24 April 2009)

• Cease and Desist Order (Permanent)

  • Legacy Consolidated Plans, Inc. (PDF) (3 April 2009)

  • Legacy Card, Inc. (PDF) (3 April 2009)

  • Galaxy Realty & Holdings, Inc. (PDF) (3 April 2009)

  • Shining Armor Property, Inc. (PDF) (3 April 2009)

  • One Realty Corporation (PDF) (3 April 2009)

  • One Card Company, Inc. (PDF) (3 April 2009)

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 MYGAME.PH Inc. (PDF) (8 October 2010)

• In the matter of Abra Development Fund Program, Inc. SEC Admin Case No. 04-10-113

  • Order dated 6 July 2010 issued by the OGC (PDF) (13 August 2010)

  • Summons dated 6 July 2010 issued by the OGC (PDF) (13 August 2010)

  • Petition for Revocation filed by the EPD dated 7 April 2010 (PDF) (13 August 2010)

• In the matter of Knight Capital Philippines, Inc. SEC Admin Case No. 07-10-121

  • Order dated 23 July 2010 issued by the OGC (PDF) (10 August 2010)

  • Summons dated 23 July 2010 issued by the OGC (PDF) (10 August 2010)

  • Petition for Revocation filed by the EPD dated 19 July 2010 (PDF) (10 August 2010)

• In the matter of Min & Family Global, Inc SEC Admin Case No. 01-09-103

  • Order dated 16 July 2010 issued by the OGC (PDF) (27 July 2010)

  • Summons dated 16 July 2010 issued by the OGC (PDF) (27 July 2010)

  • Petition for Revocation filed by the EPD dated 20 January 2010 (PDF) (27 July 2010)

• In the matter of Talbot and Reese, Inc.

  • Order dated 31 May 2010 issued by the OGC (PDF) (27 July 2010)

  • Summons dated 31 May 2010 issued by the OGC (PDF) (27 July 2010)

  • Petition for Revocation filed by the EPD dated 26 May 2010 (PDF) (27 July 2010)

• In the matter of Orchard Golf & Country Club, Inc. (PDF) (1 Jun 2010)

• In the matter of : Oda Wara Manufacturing Corporation (PDF) (30 April 2010)

  • Order dated 7 April 2010 issued by the OGC;

  • Order dated 5 February 2008 issued by the OGC

• In the matter of : First Equis, Inc. (PDF) (28 April 2010)

  • Order dated 20 April 2010 issued by the OGC;

  • Order dated 21 November 2008 issued by the OGC

• In the matter of : Speed Financial Management Services Technique, Inc and Speed Credit Collection Services Co. (PDF) (26 February 2010)

  • Order dated 29 January 2010 issued by the Office of General Counsel

  • Petition for Revocation dated 5 December 2003

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 26 May 2011 penalizing PSE for violation of SRC (PDF) (posted 31 May 2011)

      Order dated 1 December 2010 penalizing PSE for violation of SRC (PDF) (posted 3 December 2010)

      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

Philand Properties, Inc. (PDF)  (posted 6 June 2011)

Tat Lakehill Golf & Country Club, Inc. (PDF)  (posted 31 May 2011)

Club Morocco Beach Resort & Country Club, Inc. (PDF)  (posted 14 Mar 2011)

Clearwater Country Club, Inc. (PDF)  (posted 21 Feb 2011)

Philippine Realty and Holdings Corporation (PDF)  (posted 18 Nov 2010)

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

Tat Lakehill Golf & Country Club, Inc. (PDF)  (posted 26 October 2011)

MCCI Corporation (PDF)  (posted 21 October 2011)

Philand Property Corporation (PDF)  (posted 12 September 2011)

Wise Holdings, Inc. (PDF)  (posted 16 May 2011)

Forum Pacific, Inc. (PDF)  (posted 3 May 2011)

MCCI Corporation (PDF)  (posted 27 Apr 2011)

Clearwater Country Club, Inc. (PDF)  (posted 18 Feb 2011)

Vista Mar Beach Resort & Country Club, Inc. (PDF)  (posted 13 Dec 2010)

Kidzworld Theme Parks Amusement and Recreational Club, Inc. (PDF)  (posted 18 Nov 2010)

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

A.M. Creditworld Finance Corp. (PDF) (posted 21 September 2011)

Vella Finance Corporation (PDF) (posted 2 February 2011)

Pentacor Credit & Loans Corporation (PDF) (posted 2 February 2011)

Carson Financing and Credit House, Inc. (PDF) (posted 2 February 2011)

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)

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

First Filipino Lending Corporation (PDF) (posted 1 February 2012)

Arrofortis Credit Corporation (PDF) (posted 1 February 2012)

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)

Interport Resources Corporation (PDF) (posted 8 October 2010)

NCM Mutual Fund of the Phils., Inc. (PDF) (posted 8 October 2010)

First Metro Save & Learn Global Currency Fund, Inc. (PDF) (posted 8 October 2010)

Interport Resources Corporation (PDF) (posted 8 October 2010)

ALFM Money Market Fund, Inc. (PDF) (posted 8 October 2010)

First Metro Save & Learn Fixed Income Fund, Inc. (PDF) (posted 8 October 2010)

The Philodrill Corporation (PDF) (posted 8 October 2010)

SM Investment Corporation (PDF) (posted 8 October 2010)

First Metro Save and Learn Money Market Fund, Inc. (PDF) (posted 8 October 2010)

Robinsons Land Corporation (5 Billion) (PDF) (posted 8 October 2010)

Bahay Pari Solidaritas Fund, Inc. (PDF) (posted 8 October 2010)

Philam Strategic Growth Fund, Inc. (PDF) (posted 8 October 2010)

Ripple E-Business International, Inc. (PDF) (posted 8 October 2010)

City & Land Developers, Inc. (200 M) (PDF) (posted 8 October 2010)

Centruy Peak Metals Holdigs Corporation (PDF) (posted 8 October 2010)

Ayala Land, Inc. (504 M) (PDF) (posted 8 October 2010)

Grepalife Bond Fund Corporation (PDF) (posted 8 October 2010)

Megaworld Corporation (PDF) (posted 8 October 2010)

BDO Leasing and Finance, Inc. (8 Billion) (PDF) (posted 8 October 2010)

AIG Global Bond Fund Philippines, Inc. (PDF) (posted 8 October 2010)

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. 11-48

RE   : Re-election of the Members of the Board of Directors

Opinion No. 11-46

RE   : Authority to engage in Mining Activities

Opinion No. 11-45

RE   : Rights of Stockholder

Opinion No. 11-44

RE   : Nationality Restrictions; Control Test and Grandfather Rule; Composition of the Boards

Opinion No. 11-43

RE   : Criminal liability of Directors

Opinion No. 11-42

RE   : Determination of Nationality of a Corporation

Opinion No. 11-41

RE   : Availability of Pre-emptive Rights; Ownership Restriction in the PSE

Opinion No. 11-40

RE   : Licensing of foreign corporation; Doing business; Purchase of condominium units

Opinion No. 11-39

RE   : Trade name, Corporate name

Opinion No. 11-38

RE   : Revoked corporation

Opinion No. 11-37

RE   : Foreign equity/foreign president in mining corporation

Opinion No. 11-36

RE   : Condominium Corporation

Opinion No. 11-35

RE   : Membership in Condominium Corporation; Merger

Opinion No. 11-34

RE   : Retail trade; Incidental to primary purpose

Opinion No. 11-33

RE   : Primary purpose; secondary purpose

Opinion No. 11-32

RE   : Operating Lease; R.A. No. 8556

Opinion No. 11-31

RE   : Queries on Quorum, Special Election, & Financial Assistance

Opinion No. 11-30

RE   : Dissolution & Liquidation (posted 17 June 2011)

Opinion No. 11-29

RE   : Rights of stockholder; Inspection of corporate records

Opinion No. 11-28

RE   : Registration of increase of authorized capital stock by a "non-Philippine national" corporation

(posted 7 May 2011)

Opinion No. 11-27

RE   : Restriction of Ownership by Foreigners of Equity in Domestic Market Enterprises

(posted 28 Apr 2011)

Opinion No. 11-26

RE   : Section 42 of the Corporation Code; Control Test and Grandfather Rule; Disclosures

(posted 27 Apr 2011)

Opinion No. 11-25

RE   : Foreign Ownership Restriction (posted 3 May 2011)

Opinion No. 11-24

RE   : Assignment of real property as consideration for stock subscription (posted 18 Apr 2011)

Opinion No. 11-23

RE   : Quorum (posted 13 Apr 2011)

Opinion No. 11-22

RE   : Condominium corporation (posted 13 Apr 2011)

Opinion No. 11-21

RE   : Definition of securities; Investment contract (posted 13 Apr 2011)

Opinion No. 11-20

RE   : Exemption from the filing of GIS (posted 12 Apr 2011)

Opinion No. 11-19

RE   : Procedure for Election of Directors (posted 13 Apr 2011)

Opinion No. 11-18

RE   : Corporate Investments (posted 12 Apr 2011)

Market Regulation Department

SEC-MRD Opinion No. 1

RE   : Delivery versus Payment (DVP)

more...

• Examination Results

:

• Pre-Need Data

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

• 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

• Events