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Investment Houses/Underwriters of 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. |
| *** AFS | Audited Financial Statement | Please refer to the Yearly SEC Memorandum Circular on the dates of submission based on the entity’s last digit SEC Registration number. |
| SEC FORM IH-14 QPR | Quarterly Progress Report | Within 45 days from the end of each quarter |
| SEC FORM IH-14 AR | Annual Report | On or before March 31 of the following year |
| SEC FORM IHU-IA | Report on any change/s in the information contained in the SEC Form IHU-IA | Within 7 days from the date of the occurrence of the event |
| SEC FORM MCG – 2009 | Certificate of Compliance with the Manual of Corporate Governance | On or before the 30th day of January of the following year |
| *** 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 RBCA Template |
Risk Based Capital Adequacy Report | On or before 15th of the following month or not later than 3 business days after being filed with the BSP |
| SEC FORM 28-T | Notice of Termination of Salesman and/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 | Not later than 15 days after the end of each quarter |
| SEC FORM 28-S | Amendment / Changes in the Information contained in SEC Form 28-S | Within 7 days from the date of the occurrence of the event |
| SEC FORM 28-IHU-GSED-CO/AP | Amendment / Changes in the Information contained in SEC Form 28-S | Within 7 days from the date of the occurrence of the event |
| IHFS | Special Form for Financial Statements | 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 | Whenever there is/are changes or revision/s in the schedule of minimum rate on file with the commission |
| *** 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