Initial Application for Registration

FORM TYPE	COVERED ENTITY	SRC PROVISION
SEC Form 12-1 SRS	Simplified Registration Statement For Hospitals	SRC Rule 8.1 and 12.1 Section 8 of the Code
SEC HOPES Submission Checklist	Checklist of Requirement for Pre-evaluation.
SEC FORM 12-1	Issuer of Securities/Mutual Fund Companies/Public Companies
SEC FORM 12-1 Checklist
Annex C
SEC FARMS	Securing & Expanding Capital for Farms and Agri-business Related Modernization Scheme (SEC FARMS)
SEC FARMS Submission Checklist
SEC Power Form 2024	Securing & Expanding Capital for PowerGen Operators & Wholesale of Electricity & Retail Servicing
SEC POWERS Submission Checklist 2024
SEC FORM 12-1-SR	Issuer of Securities/Mutual Fund Companies/Public Companies under Shelf Registration
SEC Form 12-1 ETF SEC Form 12-1 ETF – Annex 1	Issuer of Exchange Traded Fund
SEC Form 12-1	Issuer of Investment Unit instruments	SPV Act of 2002
SEC Form MFD	Mutual Fund Distributor	SRC Rule 28.1
SEC Form MFD-AR	Mutual Fund Distributor
SEC Form 28-BD	Broker Dealer/Government Securities Eligible Dealer Including Branch Office	SRC 28.1.1 Section 28 of the Code
SEC FORM 33 – EXCHANGE/SRO	Exchange/SRO	SRC Rule 33.1
SEC Form 36-TA	Application for Registration as Transfer Agent and Amendment Thereto	SRC Rule 36.4.1.4
SEC Form 36-TF	Trust and Other Similar Funds	SRC 36.5.2
SEC Form 39-BD	Association of Securities Brokers & Dealers	SRC Rule 39.1.2.1 Section 40 of the code
SEC Form 39-REGISTRAR	Registrar of Qualified Institutional Buyers	SRC 39.1.4.2
SEC Form 42-SRO	Clearing Agency/Securities Depository as an SRO	SRC Rule 39.1.2.2/SRC Rule 42.1
SEC Form 42-CA	Clearing Agency	SRC Rule 42.1
SEC Form 42-SD	Securities Depository	SRC Rule 39.1.2.2/SRC Rule 42.1
ATS Form 1	ATS Operator	Rules on Alternative Trading System
SEC Form ICA-7-A	Mutual Fund/Investment Company	Investment Company Act
	Checklist Product Highlight Sheet for Securities Offered by Investment Companies
	Sample Product Highlight Sheet
SEC Form ICA-IA	Investment Company Adviser
SEC Form ICA-CO	Investment Company Adviser/Fund Manager
SEC Form IHU-A	Investment House/Underwriter of Securities	Investment House Law/Omnibus Rules and Regulations for Investment House and Universal Banks Registered as Underwriter of Securities
Authorization	Continuing Authority to Verify Bank Deposits
SEC FORM IH-BO	Investment House Branch Office
Lending Company – Head Office Application Form Information Sheet Treasurer’s Affidavit Checklist	Lending Company – Head Office	Lending Company Registration Act of 2007
Lending Company – Branch Office Application Form Information Sheet Treasurer’s Affidavit	Lending Company – Branch Office
Financing Company – Head Office Application Form Company Information Sheet Personal Information Sheet Checklist	Financing Company – Head Office
Financing Company – Branch Office Application Form Company Information Sheet	Financing Company – Branch Office
SEC Form REIT-FM CO	Application for Registration as Compliance Officer of REIT Fund Manager and Amendments	SEC Memorandum Circular No. 19, Series of 2016, as amended
SEC Form REIT-FM IA	Application for Registration as a REIT Fund Manager and Amendments

 

Registration Statement Templates

• External Cousel Opinion

• Authority to Examine Bank Accounts

• Opinion on Independent Tax Counsel

• Opinion on Tax Matters

• Summary of Permit and Licenses of Registrant and all subsidiaries

 

Amendment to Registration

SEC Form 12-1(A)	Issuer of Securities/Mutual Fund Companies/Public Companies	SRC Rule 14
SEC Form 28.1-1 BOR	Broker Dealer including Branch Office	SRC Rule 28.1.2.6
SEC Form 28-BDA	Exchange Traing Participants and Non-Exchange Broker Dealers	SRC Rule 28.1.2.5.2(j)
SEC Form 33-A	Exchange	SRC Rule 33.2
SEC Form 36-TA	Application for REgistration as Transfer Agent and Amendment Thereto	SRC Rule 36.4.1.4
SEC Form 39-Registrar-A	Registrar of Qualified Institutional Buyers	SRC Rule 39.1.4.4.8
SEC Form 42-SRO	Clearing Agency/Securities Depository as an SRO	SRC Rule 39.1.2.2/SRC Rule 42.1
SEC Form 42-CA	Clearing Agency	SRC Rule 42.1
SEC Form 42-SD	Securities Depository	SRC Rule 39.1.2.2/SRC Rule 42.1
SEC Form ICA-IA	Investment Company Adviser/Fund Manager
SEC Form ICA-CIS	Investment Company Adviser/Manager

Withdrawal of Business/Cancellation of Registration

SEC FORM BDW	Broker Dealer	SRC Rule 28.1.4.1
Letter	Registrar of Qualified Institutional Buyer	SRC Rule 39.1.4.2
SEC-FORM ICA-CO CIS	Investment Company/Mutual Fund Distributor

 

Voluntary Revocation of Registration of Securities

Revocation of Registration

Issuer of Securities/Mutual Fund Companies/Public Companies

SRC Rule 13.2

Payment of Annual Fees

SEC Form 28.1-1-AF	Broker Dealer	Implementation Rules and Regulations of the Securities Regulation Code
SEC Form 28.1-1-BO-AF	Broker Dealer – Branch Office
SEC Form ICA-AF	Investment Company Adviser	Investment Company Act
SEC Form IH-BO-AF	Investment House Branch Office	Omnibus Rules and Regulations for Investment House and Universal Banks Registered as Underwriter of Securities
SEC Form IHU/GSED-AF	Investment House/Underwriters & GSED
SEC Form MFD-AF	Mutual Fund Distributor