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Corporations with Secondary Licenses

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Broker/Dealer(s) In Securities

Document Type Description Due Date
  ANNUAL  
SEC FORM 52 – AR Annual Audited Financial Report [EFAST] Refer to the Yearly SEC Memorandum Circular on the date of submission.
SEC FORM MCG – 2009 Certificate of Compliance with the Manual of Corporate Governance [EFAST] On or before the 30th day of January of the following year
*** Yearly Schedule/ Timetable of the Implementation of Training Program Implementation of the previous year’s internal training program and current year’s seminar topics, projected dates, target market, planned speakers [EFAST] Submit to the Commission and to the SRO (for Exchange Trading Participants) No later than 30th day of January of each year
*** Secretary’s Certificate on the Attendance of Board of Directors Certificate of Attendance of Directors in meetings of the Board of Directors [EFAST] On or before the 30th day of January of the following year
*** Written Supervisory Report (Rule 30.2.6.2.7) A written statement from the Associated Person regarding the supervision and compliance review conducted over salesmen and agents, and a record of disciplinary actions (if any). [EFAST] Every 30th day of January of the succeeding year, provided that any amendment to the WSP shall be promptly provided.
SEC Form GIS General Information Sheet [EFAST] Within thirty (30) calendar days following the date of stockholder’s meeting per by-laws. If no meeting was held on that calendar year, on or before 30th of January of the following year.
BDFS Special Form for Financial Statements of Broker Dealer [EFAST] In Electronic Format. Within thirty (30) days after the submission of Annual FS. (SEC MC#6, Series of 2006.)
Chinese Wall Rules (SRC Rule 34.11.4) Report on the measures the BD has taken to enforce the Chinese Wall Rules [EFAST] On or before the 15th of March of the following year
  MONTHLY /BI-MONTHLY  
RBCA
Declaration page
Template		 Risk Based Capital Adequacy Report (Bi-Monthly submission) [EFAST] On or before the 20th of the month, for RBCA Report covering the period 1st to 15th day of the month and
On the 5th of the following month, for RBCA Report covering the period 16th to 30th/end of the month
Monthly Complaint Report (MCR) (SRC Rule 52.1.9) Written complaints received from the client and the action taken thereon by the Broker Dealer. Duplicate Copies of the complaints shall be attached to the report. [EFAST] Every 15th day of the month covering the period as of the end of the preceding month
  QUARTERLY  
SEC FORM BD – 30.2 QCR Associated Person’s Quarterly Compliance Report [EFAST] Within fifteen (15) calendar days after the end of each quarter
  OTHERS  
SEC FORM 28 – BDA Changes in the Information provided in the application form to the Commission [EFAST] Within seven (7) days from the date of the occurrence of such change
SEC FORM 28-AP/28-AMD As a condition for continuing registration, registered salesmen and AP shall:
Report any change in the information provided in the application form		 [EFAST] Within seven (7) days from such change
SEC FORM 28-S/28-AMD As a condition for continuing registration, registered salesmen shall:
Report any change in the information provided in the application forms		 [EFAST]Within seven (7) days from such change
SEC FORM 28 – T Notice of Discontinuation of employment of a Salesman or Associated Person [ERAMP]Not later than five (5) business days after the discontinuation of employment

SEC FORM 30.1 – AMD

SEC FORM 30.1 – Restricted Transactions

 Amendment regarding Affiliated Transactions of Brokers and Dealers [EFAST] No later than seven (7) calendar days after the occurrence of the relationship defined under Section 30.1 of the code.
Report on Affiliated Transaction (SRC Rule 30.1) Report regarding Affiliated Transactions of Brokers and Dealers [EFAST] Within five (5) days after such transaction
*** List of Directors, Officers and Employees List of directors, officers, salesmen and employees together with their respective photos taken within six (6) months, with designations and specimen signatures [EFAST] Updated every three (3) years
*** Schedule of Minimum Commission Rates Minimum commission rates charged by the broker dealer [EFAST] Whenever there is/are changes or revision/s in the schedule of minimum rate on file with the commission
*** Report on the Hiring of Trainees Inform in writing the hiring of trainees by the broker dealer [EFAST] As the need arises
*** Absence of Associated Person Inform the Commission in writing when the Broker Dealer files an application for vacation leave or takes a leave of absence due to emergency, health, or other personal reasons [EMAIL]On or before the first day the vacation leaves or leave of absence takes effect.

*** – Note: No prescribed format