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Broker/Dealer(s) In Securities
| Document Type | Description | Due Date |
| SEC Form GIS | General Information Sheet | Within 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. |
| *** SEC FORM 52 – AR | Annual Audited Financial Statement | Refer to the Yearly SEC Memorandum Circular on the dates of submission based on the entity’s last digit SEC Registration number. |
| SEC FORM MCG – 2009 | Certificate of Compliance with the Manual of Corporate Governance | On or before the 30th day of January of the following yearr |
| *** Secretary’s Certificate on the Attendance of Board of Directors | Certificate of Attendance of Directors in meetings of the Board of Directors | On or before the 30th day of January of the following year |
| RBCA Declaration page Template |
Risk Based Capital Adequacy Report (Bi-Monthly submission) | On or before the 20th of the month, for RBCA Report covering the period 1st to15th 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 |
| SEC FORM 28 – BDA | Changes in the Information provided in the application form to the Commission | Within 7 days from the date of the occurrence of such change |
| SEC FORM 28 – T | Notice of Discontinuation of employment of a Salesman or Associated Person | Not later than five (5) business days after the discontinuation of employment |
| SEC FORM BD – 30.2 QCR | Associated Person’s Quarterly Compliance Report | Within fifteen (15) calendar days after the end of each quarter |
| *** 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 | Submit to the Commission and to the SRO (for Exchange Trading Participants) No later than January 30 of each year |
| SEC FORM 30.1 | Report/Amendment regarding Affiliated Transactions of Brokers and Dealers | No later than seven (7) calendar days after the occurrence of the relationship defined under Section 30.1 of the code. |
| SEC FORM 28-S/28-AMD | As a condition for continuing registration, registered salesmen and AP shall: Report any change in the information provided in the application forms |
Within seven (7) days from 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 |
Within seven (7) days from such change |
| BDFS | Special Form for Financial Statements of Broker Dealer | In Electronic Format. Within thirty (30) days after the submission of Annual FS. (SEC MC#6, Series of 2006.) |
| *** Annual Report – Chinese Wall Rules (SRC Rule 34.11.4) | Report on the measures the BD has taken to enforce the Chinese Wall Rules | On or before the 15th of March of the following year |
| *** Complaint Report (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. | Every 15th day of the month covering the period as of the end of the preceding month |
| *** 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 | Updated every three (3) years |
| *** Schedule of Minimum Commission Rates | Minimum commission rates charged by the broker dealer | 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 | As the need arises |
*** – Note: No prescribed format