• 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

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

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

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

Invitation to apply for eligibility and to bid re: Supply, Delivery and Installation of IT Goods (PDF) (Posted 11 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)

Invitation to bid re: SEC Used Service Vehicles (PDF) (Posted 17 April 2009)

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

Invitation to apply for eligibility and to bid re: Document Conversion (PDF) (Posted 14 April 2009)

Invitation to apply for eligibility and to bid re: Supply of design, labor, materials, and technical expertise for the conversion of SEC Air conditioning System from Air cooled to Water cooled System (PDF) (Posted 14 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 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. 9

RE   :   Qualification of Independent Directors (PDF)

SEC Memorandum Circular No. 8

RE   :   Scale of Fines for Non-compliance with the Financial Reporting Requirements of the Commission (PDF) (Posted 24 Jun 2009)

SEC Memorandum Circular No. 7

RE   :   Resolution to further facilitate the registration and monitoring of corporations. (PDF) (posted 19 Jun 2009)

SEC Memorandum Circular No. 6

RE   :   Revised Code of Corporate Governance (PDF) (posted 23 Jun 2009)

SEC Memorandum Circular No. 5

RE   :   Penalty for failure to comply with the Commission's directive to participate in the corporate governance survey (PDF) (posted 8 Jun 2009)

SEC Memorandum Circular No. 4

RE   :   Amendment to the Consolidated Scale of Fines (SEC Memorandum Circular No. 6, series of 2005) (PDF) (posted 8 Jun 2009)

SEC Memorandum Circular No. 3-A

RE   :   Supplement to the Requirements on the Submission of Trust Fund Valuation and Compliance Report of Pre-need Companies (PDF) (posted 16 Jun 2009) Attachment Forms (zip file)

SEC Memorandum Circular No. 3 re: Submission of Trust Fund Valuation and Compliance Report of

           Pre-need Companies (PDF)

SEC Memorandum Circular No. 2 re: Amended Rules Governing Pre-emptive and other Subscription Rights and Declaration of Stock and Cash Dividends of Corporations whose Securities are Registered under the Revised Securities Act or Listed in the Stock Exchange (PDF) (Posted on 28 April 2009)

SEC Memorandum Circular No. 1 re: Multi-year Capital and Trust Fund Build-up (PDF) (Posted on 27 February 2009)

• Guidelines

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. 47 series of 2009 (PDF) (posted 1 June 2009)

Resolution No. 18 series of 2009 (PDF) (posted 28 April 2009)

Resolution No. 24 series of 2009 (PDF) (posted 9 February 2009)

Resolution No. 03 series of 2009 (PDF) (posted 9 February 2009)

more...

• Order of Revocation

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 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

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)

Thunderbird Poro Devt. Ventures, Inc. (PDF)  (posted 12 January 2009)

Pampanga Sugar Development Company, Inc. (PDF)  (posted 12 January 2009)

Jamila and Company, Inc. (PDF)  (posted 12 January 2009)

Export and Industry Bank, Inc. (PDF)  (posted 12 January 2009)

Equicom Savings Bank, Inc. (PDF)  (posted 12 January 2009)

UPSI Property Holdings, Inc. (PDF)  (posted 12 January 2009)

MAA Privilege Dollar Fixed Income Fund, Inc.  (PDF)  (posted 12 January 2009)

Metro Pacific Investments, Corp. (PDF)  (posted 12 January 2009)

Robinsons Land Corporation (PDF)  (posted 12 January 2009)

Splash Corp. (PDF)  (posted 12 January 2009)

Medical Doctors, Inc. (PDF)  (posted 12 January 2009)

EIB Realty Development, Inc. (PDF)  (posted 12 January 2009)

Robinsons Land, Corp. (PDF)  (posted 12 January 2009)

PPC Farm Financing, Inc. (PDF)  (posted 12 January 2009)

Order on Accreditation of Credit Rating Agency

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

Cease and Desist Order

• 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)

Compliance and Enforcement Department

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 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

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

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

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)

Mt. Matutum Medical Center, Inc. (PDF)  (posted 8 August 2008)

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)

                                                                                                             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)

DWS Deutsche Phil. Fixed Income Fund, Inc. (PDF) (posted 13 October 2008)

City and Land Developers, Inc. (PDF) (posted 13 October 2008)

ALFM Growth Fund, Inc. (PDF) (posted 13 October 2008)

DWS Deutsche Phil. Equity Fund, Inc. (PDF) (posted 13 October 2008)

Ayala Land Inc. (PDF) (posted 13 October 2008)

Philam Fund Inc. (PDF) (posted 13 October 2008)

ATR-KIM ENG Equity Opportunity Fund, Inc. (PDF) (posted 8 August 2008)

Philam Fund Inc. (PDF) (posted 7 August 2008)

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

                                                                                                                          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. 09-14

RE   : Freight Forwarding and Anti-Dummy Law

Opinion No. 09-12

RE   : Concept of "doing business"

Opinion No. 09-11

RE   : Power of a Corporation to Purchase Its Own Shares

Opinion No. 09-10

RE   : Reclassification of Shares; Required Equity under the Finance Company Act

Opinion No. 09-09

RE   : Control Test : Alien Acquisition of Land

Opinion No. 09-08

RE   : Ownership, Control, Administration and Student Population of Educational Corporations

Opinion No. 09-07

RE   : Foreign Corporation : Doing Business

Opinion No. 09-06

RE   : Eligibility and Removal of Directors/Trustees

Opinion No. 09-05

RE   : Regular meeting of board of directors.

Opinion No. 09-04

RE   : Registration of Securities. Macam Larcia Ulep & Borge Law Offices.

Opinion No. 09-03

RE   : Anti-Dummy Law: Foreign Manager/Director

Opinion No. 09-02

RE   : Sebastian Liganor & Galinato

Opinion No. 08-27

RE   : Foreign equity in Condominium Corporation

Market Regulation Department

SEC-MRD Opinion No. 1

RE   : Delivery versus Payment (DVP)

more...

• 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 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

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