SEC forms

Company and partnership filings: registration, general information sheets, reports. 275 forms, sorted by form number.

• 12 -1 -SRRegistration Statement for Subsequent Tranches of Shelf Registration
• 12-1-SWRegistration Statement
• 12-1,As Amended
• 23-AInitial Statement of Beneficial Ownership of Securities
• 23-BStatement of Changes in Beneficial Ownership of Securities
• 23-BStatement of Changes in Beneficial Ownership of Securities
• F-101Application of an Existing Corporation to Do Business Under the Foreign Investments Act
• F-102Application of an Existing Corporation to Increase Its Foreign Equity Under the
• F-105Application to Do Business Under the Foreign Investments Act of 1991
• F-106Application of an Existing Partnership to Do Business Under the Foreign Investments Act
• F-107Application of an Existing Partnership to Increase Its Foreign Equity Under the
• —A Registration Statement Relating to These Securities Has Been Filed with the
• —Accredited External Auditor Pre-Evaluation Checklist (2019 version)
• —Accredited External Auditor Pre-Evaluation Checklist (2025 forms)
• —Affidavit Of Compliance Sec FORM-1
• —Affidavit Of Compliance Sec FORM-2
• —Affidavit of Undertaking
• —Affidavit of Undertaking
• —Annual Commercial Paper Issuance Report
• —Annual Corporate Governance Report for Public Companies and Registered Issuers
• —Annual Information Statement
• —Annual Registrar Attestation on Continued Eligibility of Qualified Buyers
• —Annual Report of a Mutual Fund Distributor
• —Annual Report of an Investment Company Adviser / Mutual Fund Distributor
• —Annual Reporting Requirement for Registered Transfer Agents
• —Anti-Money Laundering Compliance Form
• —Application for Amnesty of Fines and Penalties
• —Application for Amnesty of Fines and Penalties of Suspended/Revoked Corporations
• —Application for Inclusion in the List of Accredited Asset Valuer
• —Application for Inclusion in the List of Accredited/Selected External Auditors
• —Application for Inclusion in the List of Accredited/Selected External Auditors - Auditing
• —Application for Payment of Annual Fees
• —Application for Payment of Annual Fees Investment Company Adviser/Fund Manager
• —Application for Registration as a Certified Investment Solicitor (Cis)
• —Application for Registration as a Certified Investment Solicitor (Cis)
• —Application for Registration as a Compliance Officer (Co)
• —Application for Registration as a Compliance Officer (Co)
• —Application for Registration as a Reit Fund Manager/Property Manager and Amendments
• —Application for Registration as a Salesman of a Broker Dealer
• —Application for Registration as an
• —Application for Registration as an
• —Application for Registration as an Associated Person of a Broker Dealer
• —Application for Registration as an Investment House/Underwriter of Securities* and
• —Application for Release of Bond for One Person Corporation
• —Application Form for Accreditation as Credit Rating Agency
• —Application Form for Lending Company – Head Office
• —Application of Multi National Company for Registration and License to Establish a Regional
• —Articles of Incorporation
• —Associated Person's Quarterly Compliance Report
• —Associated Person's Quarterly Compliance Report
• —Authority to Examine Bank Accounts and Undertaking
• —Basis of Fair Market Value/
• —Board Resolution
• —Business Plan for Financing and Lending Companies
• —Certificate of Authority Application — Financing Company (RA 8556)
• —Certificate of Basis of Transfer Value
• —Certificate of Increase of Authorized Capital Stock
• —Certificate of Increase of Authorized Capital Stock (One Person Corporation)
• —Certificate of No Material Change
• —Certification of Independent Director
• —Checklist -Product Highlight Sheet for Securities Offered by Investment Companies
• —Chinese Wall Report
• —Company Registration and Monitoring Department
• —Compliance Officer (Co)
• —Conforme and Undertaking to QB Status (for Qualified Individual Buyers)
• —Conforme and Undertaking to QB Status (for Qualified Institutional Buyers)
• —Consolidated Certification (Company Accountant)
• —Continuing Authority to Verify Bank Deposits
• —Continuing Compliance Attestation to QB Status (for Qualified Institutional Buyers)
• —Continuing Compliance Attestion to QB Status (for Qualified Individual Buyers)
• —Cover Sheet for Audited Financial Statements
• —Customer Account Information Form
• —Declaration on Risk Based Capital Adequacy Requirement Report
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Deed of Assignment
• —Director’s Certificate
• —Director's Certificate
• —Documentary Requirements: Lending Company - Head Office
• —Email Certification for Accreditation
• —Expression of Interest to Avail Amnesty of Fines and Penalties
• —Fair Market Value/ Basis of Appraised Value
• —FIA Form F-100
• —FIA Form F-103
• —FIA Form F-104
• —Financing and Lending Companies Department
• —Financing Company – Branch Office
• —Financing Company – Branch Office
• —For Registration of an Exchange as an SRO
• —Form for Appointment for One Person Corporation
• —Form No F108-U04042016
• —FORM-30-1-30-1-AMD Restricted Transactions
• —Formula for Determination of Reserve Requirements of Broker Dealers Under SRC Rule 49.2-1
• —General Form for Financial Statements
• —General Information Sheet (GIS)
• —General Information Sheet (GIS)
• —General Information Sheet (GIS)
• —General Information Sheet (GIS)
• —General Information Sheet (GIS)
• —Guidance on How to Accomplish the Unaudited Financial Statements Template for Non-Stock
• —Information and Communications Technology Department
• —Information Relating to Possession or Control Requirements Under SRC Rule 49.2-1
• —Information Sheet – Financing Company – Head Office
• —Information Sheet – Lending Company – Head Office
• —Information Sheet of the Proposed
• —Joint Undertaking To Change Name Registration
• —Lending Company – Branch Office
• —Markets and Securities Department Securities and Exchange Commission 7907 Makati Avenue
• —Membership Book — Member List Page
• —Membership Book (MB)
• —Monthly Complaint Report
• —Notice
• —Notice
• —Notice for Termination
• —Notice for Termination
• —Notice for Termination
• —Notification of Suspension of Duty to File Reports Under Section 17 of the Securities
• —Notification Update Form
• —Opinion of Independent Tax Counsel on a Securities Registration
• —Opinion on Tax Matters for a Securities Registration
• —Per Audited Financial
• —Per Audited Financial Basis of Transfer Fair Market Value/
• —Per Audited Financial Basis of Transfer Fair Market Value/ Value Book Value
• —Per Audited Financial Value
• —Personal Information Sheet
• —Petition for Voluntary Revocation of Order of Registration and Permit to Sell Securities
• —Photocopy of Alien Certificate of Registration Card/Immigrant Certificate of Residence
• —Pre-Evaluation Form for Issuers of Securities to the Public (Aug 2025)
• —Pre-Evaluation Form for Issuers of Securities to the Public (May 2026 upload)
• —Pre-Evaluation Notice Accreditation as an Asset Valuer
• —Quarterly Report of an Investment Company Adviser / Mutual Fund Distributor
• —Relationship of Transaction Traded Transaction No. of Traded the Broker
• —Request for Certificate of No Derogatory Information
• —Request for Certification on Capital Contribution
• —Resolution of a One Person Corporation (OPC)
• —Risk-Based Capital Navigation Page
• —S & EC for REN -T S
• —Schedules for Non Stock Non Profit Organizations
• —SEC Form – I-Acgr
• —SEC Form 3 9 -Registrar -QB Report of Registration of Qualified Buyer
• —SEC Form 10.1 Application for Optional Confirmation of Exempt Transaction Under Section
• —SEC Form 12 -1 -Ica
• —SEC Form 12 -1 -SR Pre -Evaluation Checklist for Subsequent Tranches of Shelf Registration
• —SEC Form 12-1 Etf
• —SEC Form 17-Q
• —SEC Form 19-1
• —SEC Form 28 BD/28-BDA Application for Registration as a Broker Dealer and Amendments
• —SEC FORM 28.1 – 1 – AF Application for Payment of Annual Fees Broker Dealer
• —SEC FORM 28.1 – 1 – BO – AF Application for Payment of Annual Fees Broker Dealer – Branch
• —SEC Form 36 TA/36-TAA Application for Registration as a Transfer Agent and Amendments
• —SEC Form 39-REGISTRAR-AR
• —SEC Form 39-REGISTRAR-CODE
• —SEC Form 39-REGISTRAR-IS Information Sheet for Qualified Individual Buyers
• —SEC Form 39-REGISTRAR-IS Information Sheet for Qualified Institutional Buyers
• —SEC Form 39-REGISTRAR/ SEC Form 39-REGISTRAR-A
• —SEC Form 42-CA/42-SD/42-SRO/42-AMD Application for Registration as Clearing Agency
• —SEC Form Ac -Ar
• —SEC form ANNEX M
• —SEC FORM Au-Rep
• —SEC form COVER SHEET AMENDMENT
• —SEC form ERAMP FORM2 SECRETARYS CERTIFICATE
• —SEC form FORMANNEXC
• —SEC Form Ica 7 -a
• —SEC Form Ih-Bo-Af Application for Payment of Annual Fees Investment House – Branch Office
• —SEC Form Ih-Bo/Boa
• —SEC Form Ihu/Gsed-Af Application for Payment of Annual Fees
• —SEC Form Ihu/Gsed-Co-Ap
• —SEC Form Reit-FM Co
• —SEC form SEC FARMS SUBMISSION CHECKLIST 2024
• —SEC Form Tlist-Af-P (Tabular List of Applicants-Annual Fees-Professionals)
• —SEC form UTCN CORPORATE AP
• —SEC Form-Acgr (for PC/Ri)
• —SEC Hopes Submission Checklist
• —Secretary's Certificate
• —Secretary's Certificate — Increase of Capital Stock
• —Secretary's Certificate (Authorized Filer for Securities and Exchange Commission)
• —Secretary's Certificate (of the Issuer-Corporation)
• —Secretary's Certificate for Amendment of Articles of Incorporation and/or By-Laws
• —Secretary’s Certificate for Cash Dividend Declaration
• —Secretary’s Certificate for Certification of Paid-Up Capital
• —Secretary’s Certificate for Confirmation of Valuation
• —Secretary’s Certificate for Declaration of Property Dividend
• —Secretary’s Certificate for Equity Restructuring
• —Secretary’s Certificate for Merger
• —Secretary's Certificate for Reclassification of Shares
• —Secretary’s Certificate for the Creation of Additional Paid-In Capital (APIC)
• —Secretarys Certificate Waiver Pre Emptive Rights
• —Securities and Exchange Commision SEC Headquarter, 7907 Makati Avenue Salcedo Village
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission
• —Securities and Exchange Commission Alternative Trading System (Ats) System Error Report
• —Securities and Exchange Commission Registration Statement ecuring & xpanding apital for
• —Securities and Exchange Commission SEC Bldg., Edsa, Greenhills, Mandaluyong City
• —Securities and Exchange Commission SEC Form 12-1 SRS Simplified Registration Statement
• —Securities and Exchange Commission SEC Form 28-AP/28-AMD Application for Registration as
• —Securities and Exchange Commission SEC Form 28.1-1 (Bor) Application for Branch Office
• —Securities and Exchange Commission SEC Form IH – 14 AR
• —Securities and Exchange Commission SEC Form MCG – 200 9
• —Securities and Exchange Commission The SEC Headquarters, 7907 Makati Avenue,
• —Simplified Application for Confirmation of Qualification as an Asean Green/Social
• —Special Form for Financial Statements of Brokers/Dealers in Securities
• —Special Form for Financial Statements of Investment Houses
• —Special Form for Financial Statements of Publicly-Held and Investment Companies
• —Special Form of Financial Statements for Financing Companies
• —Special Form of Financial Statements for Pre-Need Companies
• —Special Form of Interim Financial Statements for Financing Companies
• —Stock and Transfer Book — Journal Page
• —Stock and Transfer Book (STB)
• —Stock Certificate No. of Shares per No. of Shares for Basis of Transfer
• —Stock Option Plan
• —Subscription Contract (One Person Corporation)
• —Subscription Contract for Cash Payment
• —Sworn Statement of Sources and Application of Funds
• —Table 1. Balance Sheet
• —Table 1. Balance Sheet
• —Table 1. Balance Sheet
• —Technical Basis of Transfer Fair Market Value/ Description Value Book Value
• —Template for Sample Computation of Effective Interest Rates
• —Template Summary Of Permit And Licenses Of Registrant And All Subsidiaries
• —The person accomplishing this Form is
• —Transferor’s Affidavit of Untitled Land
• —Treasurer's Affidavit
• —Treasurer's Affidavit for Increase in Authorized Capital Stock
• —Treasurer's Affidavit of Paid-Up Capital Deposit
• —Trustees' Certificate
• —Undertaking for Submission of Financial Statements
• —Undertaking of Company Filer/User for eRAMP
• —Undertaking to Change Name (For Amendment of OPC)
• —Unified Certification and Subscription Contract for Increase in Authorized Capital Stock
• —Unified Certification for Decrease in Authorized Capital Stock of
• —Unified Certification for Increase in Authorized Capital Stock of Corporation
• —Unified Certification for Increase in Authorized Capital Stock of OPC
• —User Designation Form
• —Voluntary Revocation of Registration of Securities