Registered Firms / Individuals and Statistics
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Capital Market Professionals
FOR THE YEAR 2018
FOR THE YEAR 2017
| Type of License | Confirmation of Annual Fees | New Registrants |
| Broker/Dealer in Securities |  |
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| Broker in Securities | |
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| Dealer in Securities | |
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| Brokers in Proprietary Shares | |
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| Voice Brokers in Securities | |
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| Investment Houses | |
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| Investment Houses Engaged in Dealing Government Securities | |
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| Government Securities Eligible Dealers | |
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| Underwriters of Securities Engaged in Dealing Government Securities | |
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| Investment Company Advisers | |
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| Mutual Fund Distributors | |
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| Issuer of Timeshares | |
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| Commercial Paper Issuer | |
FOR THE YEAR 2016
| Type of License | Confirmation of Annual Fees | New Registrants |
| Broker/Dealer in Securities | |
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| Broker in Securities | |
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| Dealer in Securities | |
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| Brokers in Proprietary Shares | |
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| Voice Brokers in Securities | |
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| Investment Houses | |
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| Investment Houses Engaged in Dealing Government Securities | |
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| Government Securities Eligible Dealers | |
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| Underwriters of Securities Engaged in Dealing Government Securities | |
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| Investment Company Advisers | |
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| Mutual Fund Distributors | |
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| Issuer of Proprietary Shares | |
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| Issuer of Timeshares | |
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| Commercial Paper Issuer | |
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FOR THE YEAR 2015
FOR THE YEAR 2014
| Broker in Securities | ||||||||||||
| Renewal Registrants for 2014 | ||||||||||||
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New Registrants for 2014
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| Broker/Dealer in Securities | ||||||||||||
| Renewal Registrants for 2014 | ||||||||||||
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New Registrants for 2014
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| Dealer in Securities | ||||||||||||
| Renewal Registrants for 2014 | ||||||||||||
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New Registrants for 2014
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| Broker in Proprietary Shares | ||||||||||||
| Renewal Registrants for 2014 | ||||||||||||
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New Registrants for 2014
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| Voice Broker in Securities | ||||||||||||
| Renewal Registrants for 2014 | ||||||||||||
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New Registrants for 2014
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| Investment House | ||||||||||||
| Renewal Registrants for 2014 | ||||||||||||
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New Registrants for 2014
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| Investment House engaged in Dealing Government Securities | ||||||||||||
| Renewal Registrants for 2014 | ||||||||||||
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New Registrants for 2014
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| Underwriter of Securities engaged in Dealing Government Securities | ||||||||||||
| Renewal Registrants for 2014 | ||||||||||||
|
New Registrants for 2014
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| Government Securities Eligible Dealers | ||||||||||||
| Renewal Registrants for 2014 | ||||||||||||
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New Registrants for 2014
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| Investment Company Adviser | ||||||||||||
| Renewal Registrants for 2014 | ||||||||||||
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New Registrants for 2014
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| Mutual Fund Distributor | ||||||||||||
| Renewal Registrants for 2014 | ||||||||||||
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New Registrants for 2014
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| Issuer of Proprietary Shares | ||||||||||||
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New Registrants for 2014
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| Issuer of Timeshares | ||||||||||||
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New Registrants for 2014
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FOR THE YEAR 2013
| Broker in Securities | ||||||||||||
| Renewal Registrants for 2013 | ||||||||||||
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New Registrants for 2013
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| Broker/Dealer in Securities | ||||||||||||
| Renewal Registrants for 2013 | ||||||||||||
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New Registrants for 2013
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| Dealer in Securities | ||||||||||||
| Renewal Registrants for 2013 | ||||||||||||
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New Registrants for 2013
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| Broker in Proprietary Shares | ||||||||||||
| Renewal Registrants for 2013 | ||||||||||||
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New Registrants for 2013
|
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| Voice Broker in Securities | ||||||||||||
| Renewal Registrants for 2013 | ||||||||||||
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New Registrants for 2013
|
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| Investment House | ||||||||||||
| Renewal Registrants for 2013 | ||||||||||||
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New Registrants for 2013
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| Investment House engaged in Dealing Government Securities | ||||||||||||
| Renewal Registrants for 2013 | ||||||||||||
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New Registrants for 2013
|
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| Underwriter of Securities engaged in Dealing Government Securities | ||||||||||||
| Renewal Registrants for 2013 | ||||||||||||
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New Registrants for 2013
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| Government Securities Eligible Dealers | ||||||||||||
| Renewal Registrants for 2013 | ||||||||||||
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New Registrants for 2013
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| Investment Company Adviser | ||||||||||||
| Renewal Registrants for 2013 | ||||||||||||
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New Registrants for 2013
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| Mutual Fund Distributor | ||||||||||||
| Renewal Registrants for 2013 | ||||||||||||
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New Registrants for 2013
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