Forms and Guides from Securities and Exchange Commission (SEC) Philippines

SEC actively promotes the development of a globally competitive Philippine capital market, effectively regulate and monitor its operations, and widely disseminate reliable information for the protection of the investing public.

SEC Building, EDSA, Greenhills Mandaluyong City, Metro Manila Philippines

Telephone:
(632) 726-0931 to 39

Email: mis@sec.gov.ph
Website: http://www.sec.gov.ph

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Amended By-Laws (for stock and non-stock corporations)

Decrease of Authorized Capital Stock

Dissolution ( by shortening corporate term )

Equity Restructuring

LICENSING OF FOREIGN CORPORATIONS

LICENSING OF FOREIGN CORPORATIONS

4. Mutual Fund Distributor [u] SEC Form MFD [/u]

Amended Articled of Partnership (to change partners)

Amended Articles of Partnership (to change partnership name)

Amendment of License of Foreign Corporations

Businesses Requiring Endorsements From Other Government Agencies *

CAPITAL MARKET PARTICIPANTS/ INVESTMENT INSTRUMENTS MARKET REGULATION DEPARTMENT

Cash Dividend Declaration

Certification of Paid-up Capital/Capital Structure

Certification of Percentage of Ownership

Confirmation of Valuation

CORPORATION FINANCE DEPARTMENT

Creation of Additional Paid in Capital

Creation of Bonded Indebtedness

Dissolution of Partnership

FINANCIAL STATEMENT FORMS

For Foreign Corporations

For Other Amendments

FORMS FOR FOREIGN CORPORATIONS

GENERAL INFORMATION SHEET

Guidelines for the 2004 Renewal of License of Investment Company Advisers (ICA), Mutual Fund Distributors (MFD), and their Certified Investment ...

Guidelines for the 2005 Renewal of License of Brokers, Dealers, and their Associated Person/s and Salesmen

Guidelines for the 2005 Renewal of License of Mutual Fund Distributors and (MFD) their Certified Investment Solicitors (CIS)

Guidelines on the Imposition of Fines or Penalties for Non-Compliance with Reportorial Requirements (PDF) [u] Fines and Penalties [/u]

I. Amended Articles of Incorporation (for stock and non-stock corporations)

Increase of Authorized Capital Stock

Increase of Foreign Equity ( for corporations registered under the Foreign Investments Act)

Investment Adviser of an Investment Company

Merger/Consolidation

Minimum Paid-Up Capital Requirement

Other Forms and Instructions

Property Dividend Declaration

Quasi-Reorganization

Reclassification/Declassification/Conversion of Shares

REGISTRATION / RECORDING OF PARTNERSHIPS

REGISTRATION OF CORPORATIONS- Non-Stock Corporation

REGISTRATION OF CORPORATIONS-Stock Corporation

SEC REGISTRATION REQUIREMENTS

Stock Dividend Declaration

Voting Trust Agreements

Withdrawal of License of a Foreign Corporation

Withdrawal of License of Area or Regional Headquarters and Regional Operating Headquarters

Accreditation

SCA R-002 Application for Renewal of Surety Company Accreditation

CRA-12 Application form for Accreditation as Credit Rating Agency

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

AuF-002 Initial Application for Auditing Firm

ExA-001 Initial Application for External Auditor

AuF-002-R Renewal Application for Auditing Firm

ExA-001-R Renewal Application for External Auditor

Annexes

Annex K Balance Sheet - Form of Statement

Annex D Client Agreement

Annex I Customer Account Information Form

Annex B Definition of Terms Used In Full Disclosure Forms

Annex H Explanation of Books and Records Rule

Annex L Form of Statement(S) of Income and Retained Earnings

Annex G Formula for Determination of Reserve Requirements of Broker Dealers Under

Annex J General Notes to Financial Statements

Annex F Information Relating to Possession or Control Requirements

Annex E Minimum requirements for Subordination Agreements and Miscellaneous Provisions

Annex C Non-Financial Disclosure Requirements: Updated 03 March 2004

Capital Market Professionals - CMPRS

CMPRS Form 2 Secretary`s Certificate

CMPRS Form 1 Undertaking

CMPRS Form 3 User Designation Form

Capital Market Professionals - Initial Application

ICA-CIS Application for Registration as a Certified Investment Solicitor of an investment Company Adviser/Manager and Amendments

IHU/GSED-CO-AP Application for Registration as Associated Person/Compliance Officer of an Investment House, Underwriter of Securities and Government Securities Eligible Dealers and Amendments

ICA-CO Application for Registration Renewal of Compliance Officer

28-AP/28-AMD Registration of Associated Person of a Broker Dealer

28-S/28-AMD Registration of Salesman of a Broker Dealer

Capital Market Professionals - Payment of Annual Fees

NELET-AF Covering/Endorsement Letter

TLIST-AF-P Tabular List of Applicants

Financing Company - Branch Office

Application Form

Information Sheet

Financing Company - Head Office

Application Form

Information Sheet

Personal Information Sheet

Lending Company - Branch Office

Application Form

Information Sheet

Treasurer's Affidavit

Lending Company - Head Office

Information Sheet

Lending Company Head Office Application Form

Treasurer's Affidavit

Miscellaneous Applications

ACPR Annual Commercial Paper Issuance Report

10.1 Confirmation of Exempt Transaction

CP IS Exempt Commercial Paper Transaction

20-IS Information Statement

Petition for Voluntary Revocation

10.2 Request for Exemption of Stock Option Plan

19-1 Tender Offer Report

Payment of Annual Fees

28.1-1-AF Application for Payment of Annual Fees for Broker Dealer

28.1-1-BO-AF Application for Payment of Annual Fees for Broker Dealer - Branch Office

ICA-AF Application for Payment of Annual Fees for Investment Company Adviser/Fund Manager

IH-BO-AF Application for Payment of Annual Fees for Investment House Branch Office

IHU/GSED-AF Application for Payment of Annual Fees for Investment House/Underwriter of Securities/ Government Securities Eligible Dealers

MFD-AF Application for Payment of Annual Fees for Mutal Fund Distributor

Primary Registration - Amendment Form

Director's Certificate

Primary Registration: Domestic Stock Corporation

Cover Sheet for Registration

Joint Undertaking to Change Name

Primary Registration for Domestic Stock Corporation

SEC Form Stock and Transfer Book (STB)

Primary Registration: Domestic Non - Stock Corporation

Cover Sheet for Registration

Joint Affidavit of Undertaking to Change Name

Primary Registgration for Domestic Non - Stock Corporation

SEC Form Membership Book (MB)

Primary Registration: Domestic Partnership

Cover Sheet for Registration

Joint Undertaking to Change Name

Primary Registration for Domestic Partnership

Primary Registration: Foreign - Owned Corporation

F-100 Application to do business

Joint Undertaking to Change Name

F-105 Application to do business under the Foreign Investments

Cover Sheet for Registration

Primary Registration: Foreign - Owned Partnership

Application to do business under Foreign Investments

Primary Registration for Foreign - Owned Partnership

Primary Registration: Foreign Corporation

Application of a Foreign Corporation to establish a Representative Office in the Philippines (FIA Form 104)

Ninth Regular Foreign Investment Negative List

F-103 Application of a Foreign Corporation to establish a Branch Office in the Philippines

F-108 Application of a Non - Stock Foreign Corporation to Established a Branch/ Representative Office

F-101 Application of an Existing Corporation to do Business

F-102 Application of an Existing Corporation to Increase its Foreign Equity

Regional Operating Area Headquarters

Regional Operating Area Headquarters

Primary Registration: Foreign Owned Partnership

F-107 Application of an Existing Partnership to Increase Its Foreign Equity

F-106 Application of Existing Partnership to do Business

Primary Registration: Other Forms

Certificate of No Derogatory Information Form

Cover Sheet for Audited Financial Statement

FN Sworn Statement

Notification Update Form

Primary Registration:Amendment Form

Joint Undertaking to Change Name

Secretary's Certificate on non-existence of corporate dispute

Trustees Certificate

Primary Registration:Foreign - Owned Corporation

Primary Registration for Foreign - Owned Corporation

Primary Registration:Foreign Owned Corporation

Cover Sheet for Registration

Secondary Licence: Forms for Capital Market Participants Registry System

CMPRS Form 2 Secretary's Certificate

CMPRS Form 1 Undertaking

Secondary Licence: Forms for Capital Market Participants Registry System:

CMPRS Form 3 User Designation Form

Secondary License - Amendment to Registration

28.1-1 BOR Applicaiton for Branch Office Registration Renewal

28-BDA Application for Registration as a Broker Dealer and Amendments\

42-CA/ 42-SD/42-SRO/42-AMD Application for Registration as Clearing Agency, Securities Depository, Self Regulatory Organization and Amendments

36-TA Application for Rgistration as Transfer Agent and Amendments

12-1 ETF REgistration Statement

Secondary License: Initial Application for Registration

Continuing Authority to Verify Bank Deposits

ATS Form 1 Alternative Trading System Registration Form

MFD Application for Registration of Mutal Fund Distributor

28-BD/28-BDA Application for Registration as a broker dealer and Amendments

ICA-IA Application for Registration as an Investment Company Adviser and Amendments

IHU-A Application for Registration as an Investment House/ Underwriter of Securities and Amendments

42-CA Application for Registration as Clearing Agency

42-SD Application for Registration as Clearing Agency, Securities Depository, Self Regulatory Organization and Amendments

42-SRO Application for Registration as Clearing Agency/Securities Depository as an SRO

36-TA Application for Registration as Transfer Agent and Amendment Thereto

Annex 1 Key Product Information

Annex C Non - Financial Disclosure Requirements

IH-BO Registration for Branch Office Registration/ Amendment

33-SRO Registration of Exchage

12-1 ETF Registration Statement

12-1 Registration Statement

ICA-7-1 Registration Statement of the Investment Company Act

12-1 Registration Statement under the Securities Regulation Code

12-1 SRS Simplified Registration Statement For Hospitals

Voluntary Revocation of Registration of Securities

Voluntary Revocation

Withdrawal of Business/Cancellation of Registration

BDW Uniform Request for Broker-Dealer Withrawal