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Secondary License
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/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 RENT | Securing & Expanding Capital for Real Estate Non-Traditional Securities (SEC RENT) | |
| SEC RENT Checklist | Securing & Expanding Capital for Real Estate Non-Traditional Securities (SEC RENT) | |
| 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 Pre-Evaluation Checklist | Issuer of Securities (Pre-Evaluation Checklist for Subsequent Tranches of Shelf Registration) | SEC MC No. 12, s of 2025 (Amendments to SRC Rule 8.1.2) |
| SEC Form 12-1-ICA | Investment Companies (Mutual Fund Companies) | Implementing Rules and Regulations of the Investment Company Act; SRC Rule 8.1 and 12.1; Section 8 of the Code |
| SEC Form 12-1-ICA Checklist | ||
| Checklist Product Highlight Sheet for Securities Offered by Investment Companies | ||
| Sample Product Highlight Sheet | ||
| SEC Form ICA 7-A | ||
| SEC FORM 12-1-SR | Issuer of Securities (Registration Statement for Subsequent Tranches of Shelf Registration) | SEC MC No. 12, s of 2025 (Amendments to SRC Rule 8.1.2) |
| SEC Form 12-1 ETF SEC Form 12-1 ETF – Annex 1 |
Issuer of Exchange Traded Fund | |
| SEC Form 12-1 | Issuer of Proprietary and Non Proprietary Securities | SRC Rule 8.1 and 12.1; Section 8 of the Code |
| Annex C | ||
| 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 and Individual Buyers | SEC MC No. 05, s of 2026 (Amendments to SRC Rule 39.1.4) |
| 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 | |
| Annex A – Cert No Material Changes | ||
| Annex B – Notice of Filing Publication | ||
| Request for No Derogatory Information (SEC Form 2015 001) | ||
| Authorization of Representative Letter |
Registration Statement Templates
• OGA Pre-evaluation Form for Issuers of Securities to the Public
• Authority to Examine Bank Accounts
• Opinion on Independent Tax Counsel
• 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 and Individual Buyers | SEC MC No. 05, s of 2026 (Amendments to SRC Rule 39.1.4) |
| 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 |
Registration as Qualified Buyers Forms and Templates
• Annex 39-QB-Undertaking for Qualified Individual Buyers
• Annex 39-QB-Undertaking for Qualified Institutional Buyers
• Annex 39-QB-Compliance for Qualified Individual Buyers
• Annex 39-QB-Compliance for Qualified Institutional Buyers
• SEC Form 39-Registrar-IS for Qualified Individual Buyers
• SEC Form 39-Registrar-IS for Qualified Institutional Buyers
• SEC Form 39-Registrar-QB for Registrars
• SEC Form 39-Registrar-Code for Registrars
• Annex 39-Registrar-Attestation for Registrars
• SEC Form 39-Registrar AR for Registrars