SEC application form for payment of annual fees for investment house branch office under omnibus rules and regulations for investment House and universal banks registered as underwriter of securities
SEC application form for payment of annual fees for investment house/underwriter of securities/ government securities eligible dealers under the omnibus rules and regulations for investment house and universal banks registered as underwriter of securities
SEC application form for payment of annual fees for mutal fund distributor
SEC undertaking for capital market professionals
SEC secretary's certificate for capital market professionals
SEC registration of associated person of a broker dealer under SRC rule 28.1.5
SEC registration of salesman of a broker dealer under SRC rule 28.1.5
SEC application for registration of associated person/ compliance officer of investment house/underwriter of securities and government securities eligible dealers under SEC memorandum circular no. 8, series of 2004
SEC registration of a compliance officer of an investment company adviser/manager under SEC memorandum circular No. 8, series of 2004
SEC registration of a certified investment solicitor of an investment company adviser/manager under section 40 of the investment company act