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(NAR) VOL. 21 NO.1/ JANUARY - MARCH 2010

[ SEC NOTICE, March 05, 2010 ]

RE: REDUCTION OF COPIES OF REPORTS AND OTHER FILINGS WITH THE SECURITIES & EXCHANGE COMMISSION



In line with the objectives of the Anti-Red Tape Act of 2007 and, by way of contribution to the government’s efforts to protect the environment, the Securities and Exchange Commission will, effective March 15, 2010, reduce the number of copies of reports and other filings by reporting corporations with the Commission (exclusive of the filer’s receiving copy) as follows:

1. Filings with the Company Registration and Monitoring Department:

Applications for registration of Articles of Incorporation (AOI)/Articles of Partnership (AOP); By-laws; Amendments of AOI/AOP and By-laws; mergers; licenses of foreign corporations, regional headquarters and regional operating headquarters; General Information Sheet (GIS) and Financial Statements  ------------------ 3 copies

2. Filings with the Corporation Finance Department:

A. LISTED AND PUBLIC COMPANIES

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC Form 12-1
Registration Statement
3
SEC Form 17-A
Annual Report
3
SEC Form 17-Q
Quarterly Report
2
SEC Form 17-C
Current Report
2
SEC Form 17-L
Notification of Inability to File Form 17-A or 17-Q
2
SEC Form 17-EX
Notification of Suspension of Duty to File Reports Under Sec. 17 of the Securities Regulation Code
2
SEC Form 20-IS
Information Statement
2
SEC Form 23-A
Initial Statement of Beneficial Ownership
2
SEC Form 23-B
Statement of Changes in Beneficial Ownership
2
Secretary’s Certificate of Attendance of Directors
2
Certificate of Compliance with the Revised Code of Corporate Governance
2
SEC Form 18-A
Report of 5% Beneficial Ownership
2
SEC Form 18-AS
Report of 5% Institutional Buyer
2
SEC Form 19.1
Tender Offer Report
2
____________________________________________________________________________________________________________________________________________


B. FINANCING COMPANIES

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC Form FCFS
Semi-Annual Reports
2
SEC Form FCIF
Special Form for Audited Financial Statements
2
Corporate Secretary’s Certification on directors’ attendance in board meetings
2
Compliance Officer’s Certification on extent of compliance with the Revised Code of Corporate Governance
2
Revised Code of Corporate Governance
2
Corporate Governance Scorecard
2
AMLA
Manual on Anti-Money Laundering
2
AMLA Compliance Form
2
____________________________________________________________________________________________________________________________________________


C. LENDING COMPANIES

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC Form LCIF
Semi-Annual Reports
2
SEC Form LCFS
Special Form for Audited Financial Statements (LCFS)
2
____________________________________________________________________________________________________________________________________________


D. COMMERCIAL PAPERS ISSUERS

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
CPAIN
Information Statement
2
____________________________________________________________________________________________________________________________________________



3. Filings with the Market Regulation Department:

A. TRANSFER AGENTS

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC Form 36-AR
Annual Report
2
SEC Form 36-FS
Annual Audited Financial Statement
2
SEC Form 36-ER
Exception Report
2
SEC Form MCG-2002
Certificate of Compliance with the Revised Code of Corporate Governance
2

Certificate of Attendance of Directors in meetings of the Board of the Directors

2
____________________________________________________________________________________________________________________________________________


B. EXCHANGES

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC Form 33-A
Amendment Form for Exchanges
2
SEC Form MCG-2002
Certificate of Compliance with the Revised Code of Corporate Governance
2
Certificate of Attendance of Directors in meetings of the Board of Directors
2
Exchange’s report on Block Sales
2
Broker/Dealer’s report on transactions/trading of PSE shares
2
____________________________________________________________________________________________________________________________________________


C. SELF REGULATORY ORGANIZATIONS

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC Form 33-SRO
Amendment Form for Exchanges
2
Exchange’s Report on Ceiling and Floor Alerts
2
Exchange’s Audit Calendar
2
Exchange’s monthly report on periodic examination
2
Exchange’s monthly report on dockets of Examinations and Investigations being conducted by the Exchange
2
Exchange’s Semi-Annual Report on listed and delisted/suspended issues
 
____________________________________________________________________________________________________________________________________________


D. CLEARING AGENCIES

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC Form 42-CA
Registration Form/Amendment Form for Clearing Agencies
2
SEC Form 42-FS
Annual Audited Financial Statements
2
SEC Form MCG-2002
Certificate of Compliance with the Revised Code of Corporate Governance
2
Certificate of Attendance of Directors in meetings of the Board of Directors
2
Clearing Agency’s report on Breaches of Rules or Difficulties of Participants
2
____________________________________________________________________________________________________________________________________________



E. INVESTMENT HOUSES/UNDER WRITERS OF SECURITIES


____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC FORM IH-14 QPR
Quarterly Progress Report
2
SEC Form IH-14 AR
Annual Report
2
SEC Form IH/U-IA
Report on any change/s in the information contained in SEC Form IH/U-IA
2
SEC Form MCG-2002
Certificate of Compliance with the Revised Code of Corporate Governance
2
Certificate of Attendance of Directors in meetings of Board of Directors
2
Risk Based Capital Adequacy Report
2
SEC Form 28-T
Notice of Termination of Salesman and/or Associated Person
2
SEC Form BD-30.2 QCR
Associated Person’s Quarterly Compliance Report
2
SEC Form 28-S
Amendment/Changes in the Information contained in SEC Form 28-S
2
SEC Form 28-CO/AP
Amendment/Changes in the Information contained in SEC Form 28-CO/AP
2
____________________________________________________________________________________________________________________________________________



F. INVESTMENT COMPANY ADVISERS

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC Form ICA-IA
Registration Form/Amendment Form for Investment Company Advisers
2
SEC Form ICA-CIS
Amendment/Changes in the information contained in SEC Form ICA-CIS
2
SEC Form ICA-CO/AP
Amendment/Changes in the Information contained in SEC Form CO/AP
2
SEC Form ICA-T
Notice of Termination of Salesman and/or Associated Person
2
SEC Form MCG-2002
Certificate of Compliance with the Revised Code of Corporate Governance
2
Certificate of Attendance of Directors in meetings of the Board of Directors
2
____________________________________________________________________________________________________________________________________________



G. MUTUAL FUND DISTRIBUTORS

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC Form MFD
Registration Form/Amendment Form for Mutual Fund Distributors
2
SEC Form ICA-T
Notice of Termination of Salesman and/or Associated Person
2
____________________________________________________________________________________________________________________________________________



H. GOVERNMENT SECURITIES ELIGIBLE DEALERS

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC Form MCG-2002
Certificate of Compliance with the Revised Code of Corporate Governance
2
Certificate of Attendance of Directors in meetings of the Board of Directors
2
Risk Based Capital Adequacy Report
2
SEC Form 28-BDA
Amendment Form for Government Securities Eligible Dealer
2
SEC Form 28-T Notice of Termination of Salesman and/or Associated Person
2
SEC Form BD-30.2 QCR
Associated Person’s Quarterly Compliance Report
2
SEC Form 28-S
Amendment/Changes in the Information contained in SEC Form 28-S
2
SEC Form 28-CO/AP
Amendment/Changes in the Information contained in SEC Form 28-CO/AP
2
____________________________________________________________________________________________________________________________________________


I. BROKER/DEALER(S) IN SECURITIES

____________________________________________________________________________________________________________________________________________
Form Type
DESCRIPTION
COPIES
____________________________________________________________________________________________________________________________________________
SEC Form MCG-2002
Certificate of Compliance with the Revised Code of Corporate Governance
2
Certificate of Attendance of Directors in meetings of the Board of Directors
2
Risk Based Capital Adequacy Report
2
SEC Form 30.1
Report on Monitoring of Affiliated Transactions of Brokers and Dealers
2
SEC Form BD-30.2 QCR
Associated Person’s Quarterly Compliance Report
2
SEC Form 28-S
Amendment/Changes in the Information contained in SEC Form 28-S
2
SEC Form 28-CO/AP
Amendment/Changes in the Information contained in SEC Form 28-CO/AP
2
____________________________________________________________________________________________________________________________________________


4. Filings and pleadings filed with the Office of the General Counsel:
a) Request for Opinion--------------------------------------------------------1 copy
b) En Banc cases--------------------------------------------------------------2 copies
c) Complaints and other cases   
  • One respondent---------------------------------------------------------2 copies
  • Two or more respondents-----------------------------------------------2 copies per respondent
All other reports and filings with the Commission that are not included in the enumeration above shall be in the same number of copies as presently in effect.

Please be guided accordingly.

Adopted: 05 March 2010

(SGD.) FE B. BARIN
Chairperson
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