Securities and Exchange Commission (SEC)

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.

CONTACT DETAILS:
SEC Building, EDSA, Greenhills Mandaluyong City, Metro Manila Philippines
(632) 726-0931 to 39
Email: mis@sec.gov.ph
Website: http://www.sec.gov.ph

Available Forms:

ANNUAL REPORT PURSUANT TO SECTION 17 OF THE SECURITIES REGULATION CODE AND SECTION 141 OF THE CORPORATION CODE SEC FORM 17-A

APPLICATION FOR BRANCH OFFICE REGISTRATION RENEWAL

Application for Branch Office Registration/Amendment Thereto SEC FORM IH-BO/BOA

APPLICATION FOR BROKER DEALER REGISTRATION RENEWAL SEC FORM 28.1-1

APPLICATION FOR INDIVIDUAL REGISTRATION RENEWAL SEC FORM 28.1-4

APPLICATION FOR INDIVIDUAL REGISTRATION RENEWAL SEC FORM 28.1-4

APPLICATION FOR INVESTMENT HOUSE UNDERWRITER OF SECURITIES REGISTRATION RENEWAL SEC FORM IHU/GSED-RR

APPLICATION FOR REGISTRATION AS A BROKER DEALER AND AMENDMENTS THERETO

APPLICATION FOR REGISTRATION AS A BROKER DEALER AND AMENDMENTS THERETO

APPLICATION FOR REGISTRATION AS A CERTIFIED INVESTMENT SOLICITOR (CIS) OF AN INVESTMENT COMPANY ADVISER/MANAGER AND AMENDMENTS THERETO

APPLICATION FOR REGISTRATION AS A CERTIFIED INVESTMENT SOLICITOR (CIS) OF AN INVESTMENT COMPANY ADVISER/MANAGER AND AMENDMENTS THERETO

APPLICATION FOR REGISTRATION AS A COMPLIANCE OFFICER (CO) OF AN INVESTMENT COMPANY ADVISER/MANAGER AND AMENDMENTS THERETO

APPLICATION FOR REGISTRATION AS AN ASSOCIATED PERSON OF A BROKER DEALER AND AMENDMENTS THERETO SEC FORM 28-AP/28-AMD

APPLICATION FOR REGISTRATION AS AN INVESTMENT COMPANY ADVISER AND AMENDMENTS THERETO

APPLICATION FOR REGISTRATION AS MUTUAL FUND DISTRIBUTOR

APPLICATION FOR REGISTRATION RENEWAL CERTIFIED INVESTMENT SOLICITOR (CIS)

APPLICATION FOR REGISTRATION RENEWAL INVESTMENT COMPANY ADVISER/MANAGER

APPLICATION FORM FOR ACCREDITATION AS CREDIT RATING AGENCY SEC FORM CRA-12

APPLICATION OF A FOREIGN CORPORATION TO ESTABLISH A BRANCH OFFICE IN THE PHILIPPINES S.E.C. FORM NO. F-103

APPLICATION OF A FOREIGN CORPORATION TO ESTABLISH A REPRESENTATIVE OFFICE IN THE PHILIPPINES S.E.C. FORM NO. F-104

APPLICATION OF A NON-STOCK FOREIGN CORPORATION TO ESTABLISH A BRANCH/REPRESENTATIVE OFFICE IN THE PHILIPPINES S.E.C. FORM NO. F-108

APPLICATION OF AN EXISTING CORPORATION TO DO BUSINESS UNDER THE FOREIGN INVESTMENTS ACT OF 1991 S.E.C. FORM No. F-101

APPLICATION OF AN EXISTING CORPORATION TO INCREASE ITS FOREIGN EQUITY UNDER THE FOREIGN INVESTMENTS ACTS OF 1991 S.E.C. FORM NO. F- 102

APPLICATION OF AN EXISTING PARTNERSHIP TO DO BUSINESS UNDER THE FOREIGN INVESTMENTS ACT OF 1991 S.E.C. FORM NO. F-106

APPLICATION OF AN EXISTING PARTNERSHIP TO INCREASE ITS FOREIGN EQUITY UNDER THE FOREIGN INVESTMENTS ACT OF 1991 (RA 7042) S.E.C. FORM NO. F-107

APPLICATION OF MULTINATIONAL COMPANY FOR REGISTRATION AND LICENSE TO ESTABLISH A REGIONAL OPERATING HEADQUARTERS IN THE PHILIPPINES

APPLICATION OF MULTINATIONAL COMPANY FOR REGISTRATION AND LICENSE TO ESTABLISH A REGIONAL OR AREA HEADQUARTERS IN THE PHILIPPINES

APPLICATION TO DO BUSINESS UNDER THE S.E.C. FORM No. F-105

Balance Sheet - Form of Statement Annex K SRC Rule 68

Client Agreement Annex D SRC Rule 30.2-3

CURRENT REPORT UNDER SECTION 17 OF THE SECURITIES REGULATION CODE AND SRC RULE 17(b)(3) THEREUNDER SEC FORM 17-C

CUSTOMER ACCOUNT INFORMATION FORM Annex I SRC Rule 52.1-6

Definition of Terms Used in Full Disclosure Forms Annex B SRC Rule 12 )

EXECUTION PAGE

Explanation of Books and Records Rule Annex H SRC Rule 52.1-1

FOR REPORTING PERSONS WHO PREVIOUSLY OWNED 5% OR MORE BUT LESS THAN 10% DISCLOSURE REQUIREMENTS

FORM AND CONTENT OF SCHEDULES Annex M SRC Rule 68

Form of Statement(s) of Income and Retained Earnings Annex L SRC Rule 68

Formula for Determination Of Reserve Requirements of Broker Dealers Under SRC Rule 49.2-1 Annex G SRC Rule 49.2-1

GENERAL FORM FOR FINANCIAL STATEMENTS GFFS1

GENERAL INFORMATION SHEET NON-STOCK CORPORATION GIS Form 2001

GENERAL INFORMATION SHEET STOCK CORPORATION GIS Form 2001

General Notes to Financial Statements Annex J SRC Rule 68

IN CASE OF MATERIAL CHANGES IN BENEFICIAL OWNERSHIP (50% INCREASE/DECREASE OR EQUIVALENT TO 5% OF THE OUTSTANDING CAPITAL STOCK OF ISSUER)

Information Relating to Possession or Control Requirements Annex F SRC Rule 49.2-1

INFORMATION STATEMENT PURSUANT TO SECTION 17.1(b) OF THE SECURITIES REGULATION CODE SEC FORM 17-IS

INFORMATION STATEMENT PURSUANT TO SECTION 20 OF THE SECURITIES REGULATION CODE SEC FORM 20-IS

Minimum requirements for Subordination Agreements Annex E SRC Rule 49.1-2

NON-FINANCIAL DISCLOSURE REQUIREMENTS ANNEX C SRC Rule 12

NOTICE OF EXEMPT TRANSACTION UNDER 10.1(k)/ APPLICATION FOR CONFIRMATION UNDER SECTION 10.1 OF THE SECURITIES REGULATION CODE SEC FORM 10-1

NOTIFICATION OF INABILITY TO FILE ALL OR ANY PORTION OF SEC FORM 17-A OR 17-Q SEC FORM 17-L

NOTIFICATION OF SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTION 17 OF THE SECURITIES REGULATION CODE SEC FORM 17-EX

QUARTERLY REPORT PURSUANT TO SECTION 17 OF THE SECURITIES REGULATION CODE AND SRC RULE 17(2)(b) THEREUNDER SEC FORM 17-Q

REGISTRATION STATEMENT UNDER THE SECURITIES REGULATION CODE SEC FORM 12-1

REPORT BY BROKER DEALERS ON RESTRICTED TRANSACTIONS SEC REPORT 30.1/30.1-AMD

REPORT BY OWNER OF MORE THAN FIVE PERCENT SEC FORM 18-A

SEC FORM 28-S/28-AMD APPLICATION FOR REGISTRATION AS A SALESMAN OF A BROKER DEALER AND AMENDMENTS THERETO SEC FORM 28-S/28-AMD

SECURITIES AND EXCHANGE COMMISSION ALTERNATIVE TRADING SYSTEM REGISTRATION FORM ATS FORM 1

SECURITIES AND EXCHANGE COMMISSION APPLICATION FOR BRANCH OFFICE REGISTRATION RENEWAL SEC FORM 28.1-1 (BOR)

SECURITIES AND EXCHANGE COMMISSION APPLICATION FOR BROKER DEALER REGISTRATION RENEWAL SEC FORM 28.1-1

SECURITIES AND EXCHANGE COMMISSION APPLICATION FOR INDIVIDUAL REGISTRATION RENEWAL SEC FORM 28.1-4

SECURITIES AND EXCHANGE COMMISSION APPLICATION FOR REGISTRATION AS MUTUAL FUND DISTRIBUTOR

SECURITIES AND EXCHANGE COMMISSION APPLICATION FOR REGISTRATION RENEWAL CERTIFIED INVESTMENT SOLICITOR (CIS)

SECURITIES AND EXCHANGE COMMISSION APPLICATION FOR REGISTRATION RENEWAL INVESTMENT COMPANY ADVISER/FUND MANAGER

SECURITIES AND EXCHANGE COMMISSION APPLICATION FORM FOR ACCREDITATION AS CREDIT RATING AGENCY SEC FORM CRA-12

SECURITIES AND EXCHANGE COMMISSION INITIAL APPLICATION FOR ACCREDITATION OF AN AUDITING FIRM SEC FORM AuF-002

SECURITIES AND EXCHANGE COMMISSION INITIAL APPLICATION FOR ACCREDITATION OF AN INDIVIDUAL EXTERNAL AUDITOR SEC FORM ExA-001

SECURITIES AND EXCHANGE COMMISSION REGISTRATION OF SECURITIES Annex A SRC Rule 8 )

SECURITIES AND EXCHANGE COMMISSION REGISTRATION STATEMENT UNDER THE SECURITIES REGULATION CODE SEC FORM 12-1

SHORT FORM REPORT BY CERTAIN INSTITUTIONAL OWNERS OF MORE THAN FIVE PERCENT SEC FORM 18-AS

SPECIAL FORM FOR FINANCIAL STATEMENTS OF PUBLICLY-HELD AND INVESTMENT COMPANIES PHFS1

SPECIAL FORM FOR FINANCIAL STATEMENTS OF PUBLICLY-HELD AND INVESTMENT COMPANIES PHFS2

SPECIAL FORM FOR FINANCIAL STATEMENTS OF BROKERS/DEALERS IN SECURITIES BDSF1

SPECIAL FORM FOR FINANCIAL STATEMENTS OF BROKERS/DEALERS IN SECURITIES BDSF2

SPECIAL FORM FOR FINANCIAL STATEMENTS OF INVESTMENT HOUSES IHFS1

SPECIAL FORM FOR FINANCIAL STATEMENTS OF INVESTMENT HOUSES IHFS2

SPECIAL FORM FOR FINANCIAL STATEMENTS OF PRE-NEED PLAN COMPANIES USING THE PRE-NEED UNIFORM CHART OF ACCOUNTS PNFS1

SPECIAL FORM FOR QUARTERLY CONSOLIDATED FINANCIAL STATEMENTS OF FINANCING COMPANIES FCQF2

SPECIAL FORM FOR QUARTERLY FINANCIAL STATEMENTS OF FINANCING COMPANIES FCQF1

TENDER OFFER REPORT SEC FORM 19-1

Available Guides:

Amended By-Laws (for stock and non-stock corporat...

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 partne...

Amended Articles of Partnership (to change partner...

Amendment of License of Foreign Corporations ...

Broker Dealer...

Businesses Requiring Endorsements From Other Gover...

CAPITAL MARKET PARTICIPANTS/ INVESTMENT INSTRUMENT...

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 Inve...

Guidelines for the 2005 Renewal of License of Brok...

Guidelines for the 2005 Renewal of License of Mutu...

Guidelines on the Imposition of Fines or Penalties...

I. Amended Articles of Incorporation (for stock an...

Increase of Authorized Capital Stock ...

Increase of Foreign Equity ( for corporations regi...

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 Sh...

REGISTRATION / RECORDING OF PARTNERSHIPS ...

REGISTRATION OF CORPORATIONS- Non-Stock Corporatio...

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 Headquar...