Secondary Registration

Mondays to Fridays, 8:00am-5:00pm without noon break

1. Corporations that will conduct Initial Public Offering

2. Corporation that will apply for Listing on an Exchange

3. Companies issuing securities to raise more capital

4. Companies that will issue Debt Securities to the Public

5. Companies that will issue Club Shares or Membership Certificates

6. Companies that will issue Mutual Funds/Investment Contracts

Type of Securities

Department in Charge

Address

Equity Securities
Debt Instruments

Markets and Securities Regulation Department

Mutual Funds
Exchange-Traded Funds
Membership Certificates
Club Shares
Timeshares

Corporate Governance and Finance Department

Email address:

Contact info:

(02) 8818 – 5952

Pre-evaluation of Documents:	30 Minutes
Processing of Application:	Within 45 calendar days from the filing of the Registration Statement (RS), unless the registrant consent to the extension of processing time of the application or waives the period and are allowed to amend the RS as provided in Section 14 of the Securities Regulation Code (SRC), the Department shall elevate the matter to the Commission En Banc for its decision, to either render effective the RS or reject it, based on the submitted information pursuant to Section 12.6 of the SRC.
Under Section 13.1(b) of the SRC, the Commission may reject Registration Statement which on its face is incomplete.
In the event that the RS is rejected pursuant to Section 13, the filing fee paid thereon is forfeited.

Pre evaluation Procedures

STEP	APPLICANT/CLIENT	SERVICE PROVIDER	PERSON IN CHARGE
1	Pre-filing activities of the Registrant. Secure clearances from the following Commission’s operating department: a. CRMD b. CGFD c. OGC d. EIPD e. OGA	Issue the following: 1. CRMD – Certificate of Good Standing 2. CGFD – validation of the qualification of ID and compliance with website template 3. OGC – Certificate of No pending case 4. EIPD – Certificate of No pending case 5. OGA – Pre-evaluation Clearance	Assigned staff of the department
2	Send via email to [email protected] the following: 1. Pre-evaluation checklist form 2. Registration Statement 3. Prospectus 4. All required exhibits	Pre-evaluate application and supporting documents for completeness: a. If application and supporting and documents are not complete, the same are returned to applicant with list of requirements not complied with as indicated in the Pre-evaluation checklist form b. If application and supporting documents are complete, Specialist prepares Payment Assessment Form (PAF)
3	Pay the registration fee via eSPAYSEC online and using debit and credit cards, digital wallets and other cashless payment options Print copy of the eOR via eSPAYSEC and submit to MSRD	If complete and accepted for processing prepare Payment Assessment Form (PAF)	Assigned Specialist

Note :Duration of activity under normal circumstances

Republic of the philippines