Miscellaneous Applications - Securities and Exchange Commission

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Miscellaneous Applications

Miscellaneous Applications

Form Type	Description	SRC Provision
SEC Form ACPR	Annual CP Report of Issuer of Exempt Commercial Papers	Rule 17.1.2
SEC Form CP IS	Exempt Commercial Paper Transaction	Rule 17.1.2
SEC Form 10.2	Request for Exemption of Stock Option Plan	SRC Rule 10.2
SEC Form 10.1	Application for Confirmation of Exemption from Registration	SRC Rule 10.1
SEC Form 19-1	Tender Offer Report	SRC Rule 19
SEC Form 20-IS	Information Statement	SRC Rule 20
*** Letter Request	Request for Exemptive Relief under Section 72.1 of the Code	SRC Rule 72.2
Petition for Voluntary Revocation	Revocation of Registration and Permit to Sell Securities to the Public	SRC Rule 13
SEC FARMS	Securing & Expanding Capital for Farms and Agri-business Related Modernization Scheme (SEC FARMS)

*** – No prescribed format

Grant of Amnesty (SEC MC No. 02, series of 2023)
Grant of Amnesty for Non-Filing and Late Filing of General Information Sheet (GIS) and Annual Financial Statement (AFS) and Non-Compliance with MC No. 28, s. 2020

Non-Compliant Companies

Form Type	Forms
Annual Financial Statements (AFS)**	Cover Sheet for Audited Financial Statements
Annual Financial Statements (AFS)**	Undertaking for Submission of Financial Statement (if Annual Financial Statement is not yet available)
Annual Financial Statements (AFS)** – Foundations	Foundation – Notice (Certificate of Existence of Program/Activity)
Annual Financial Statements (AFS)** – Non-Stock, Non-Profit Organizations	Schedules for Non-Stock, Non-Profit Organizations
Application for Amnesty Form	Application for Availment of Amnesty of Fines and Penalties
Expression of Interest Form	EOI Amnesty of Fines and Penalties – Non-Compliant Corporations
General Information Sheet (GIS) – Domestic Stock, Non-stock Corporations	General Information Sheet (GIS) – Non-Stock
	General Information Sheet (GIS) – Stock
General Information Sheet (GIS) – Foreign Corporations	General Information Sheet (GIS) – Representative Office
General Information Sheet (GIS) – Foreign Corporations	General Information Sheet (GIS) – Regional Operating Headquarters and Regional Headquarters of Multinational Companies
General Information Sheet (GIS) – Foundations	General Information Sheet – Non-stock
MC 28 Compliance	MC 28 s. 2020 Annex D to G
Proof of Authority	Board Resolution Template
Proof of Authority	Secretary’s Certificate Template

Suspended Revoked Companies

Form Type	Forms
Annual Financial Statements (AFS) **	Cover Sheet – Audited Financial Statements
Annual Financial Statements (AFS) **	Undertaking for Submission of Financial Statement (if Annual Financial Statement is not yet available)
Annual Financial Statements (AFS)** – Non-Stock, Non-Profit Organization	Foundation – Notice (Certificate of Existence of Program/Activity)
	Schedules for Non-Stock, Non-Profit Organizations
Application for Amnesty Form	Application for Availment of Amnesty of Fines and Penalties
Expression of Interest Form	EOI Amnesty of Fines and Penalties
General Information Sheet (GIS) – Domestic Stock, Non-stock Corporations	General Information Sheet (GIS) – Non-Stock
	General Information Sheet (GIS) – Stock
General Information Sheet (GIS) – Foreign Corporations	General Information Sheet (GIS) – Representative Office
General Information Sheet (GIS) – Foreign Corporations	General Information Sheet (GIS) – Regional Operating Headquarters and Regional Headquarters of Multinational Companies
General Information Sheet (GIS) – Foundations	General Information Sheet – Non-stock
MC 28 Compliance	MC 28 s. 2020 Annexes D to G
Petition to Lift Order of Revocation/ Suspension	SAMPLE FORMAT
Proof of Authority	Board Resolution Template
Proof of Authority	Secretary’s Certificate Template

** – No prescribed format if available