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Secondary License
Forms for Capital Market Participants Registry System (CMPRS)
| Form Type | Description |
| CMPRS Form 1 | Undertaking |
| CMPRS Form 2 | Secretary`s Certificate |
| CMPRS Form 3 | User Designation Form |
| User Guide • CMPRS User Guide Cover Page • Request for An Account • Activate Approved Account • Logging In • Application for New Registration • Application for Annual Payment of Fees • Comply Deficiency • Pay Fees and Upload Payment Details • CMPRS Brochure • List of Authorized Landbank Branches |
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 FORM 12-1 | Issuer of Securities/Mutual Fund Companies/Public Companies | |
| Annex C | ||
| SEC FORM 12-1-SR | Issuer of Securities/Mutual Fund Companies/Public Companies under Shelf Registration | |
| SEC Form 12-1 ETF SEC Form 12-1 ETF – Annex 1</font |
Issuer of Exchange Traded Fund | |
| 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 28-BD | Broker Dealer/Government Securities Eligible Dealer Including Branch Office | SRC 28.1.1 Section 28 of the Code |
| SEC Form 33 | Exchange | SRC Rule 33.1 |
| SEC Form 33-SRO | Exchange as an SRO | SRC Rule 39.1.2.2 |
| 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 Buyers | SRC 39.1.4.2 |
| SEC Form 39-SRO | Self-Regulatory Organization | SRC 39.1.2.2 |
| 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-7-1 | 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 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 |
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 Buyers | SRC Rule 39.1.4.4.8 |
| 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 |
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 |
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 |