Forms, Instructions and Other Documents

Forms and Other Documents

  • Form No. 1-Registration as a Self Regulatory Organization
    Download
  • Form No. 2A-Registration as a Broker-Dealer, Investment Adviser or Underwriter (Corporate-Form Only)
    Download
  • Form No. 2B-Registration as an Investment Adviser (Individuals Only)
    Download
  • Form No. 3A-Form for Registered Representatives
    Download
  • Form No. 3B-Registration as Registered Representatives
    Download
  • Form No. 4-Registration of Sponsored Broker-Dealer or Sponsored Investment Adviser
    Download
  • Form No. 5-Approval of Substantial Shareholders of Registrants Registered Under Section 51(1)
    Download
  • Form No. 6-Notifications
    Download
  • Form No. 7-Registration of Branch Offices
    Download
  • Form No. 8-Registration and Revised Statement for Reporting Issuers
    Download
  • Form No. 9-Distribution Statement
    Download
  • Form No. 10-Material Change Form
    Download
  • Form No. 11-Financial Statement Certification
    Download
  • Form No. 12-Form of Proxy – Notice of Meeting
    Download
  • Form No. 13-Proxy Circular – Notice of Meeting
    Download
  • Form No. 14-Dissident Proxy Circular
    Download
  • Form No. 15-Risk Disclosure Statement for Asset Backed Securities
    Download
  • Form No. 16-Certificate as an Approved Foreign Issuer
    Download
  • Form No. 17-Submission to Jurisdiction and Appointment of Agent for Service of Process
    Download
  • Form No. 18-Addendum to Prospectus for Distributions by Approved Foreign Issuer
    Download
  • Form No. 19-Post Distribution Statement
    Download
  • Form No. 20-Notification of Limited Offering
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  • Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange
    Download
  • Form No. 22-Trading Report of a Person Connected to a Reporting Issuer
    Download
  • Form No. 23-Conflict of Interest Rules Statement
    Download

Schedule of Fees

The latest schedule of fees came into force from February 7, 2006 and was implemented by the Commission on April 1, 2006:

Hypothecation Agreement

This Agreement can be used by Applicants for Registration as Individual Investment Advisers as evidence of meeting the capital requirement of TT$50,000.  This Agreement must be completed and submitted to the Commission in triplicate.

The forms below should be opened in Adobe 7 so that they can be edited and saved on your personal computer or device. Other versions of Adobe may enable editing and printing only.

Authorisation for the hypothecation of funds – Attorney at law PDF Form

Authorisation for the Hypothecation of Funds – Notary Public PDF Form

Hypothecation Agreement for Non-Bank FIs – 30 8 2016 Comm of Affid PDF Form

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