Forms, Fees and Schedules

Form No. 1-Registration as a Self Regulatory Organization
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Form No. 2A-Registration as a Broker-Dealer, Investment Advisor or Underwrite (Corporate Form Only)
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Form No. 2B-Registration as an Investment Adviser (Individuals Only)
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Form No. 3A- Registration as Registered Representative
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Form No. 3B-Registered Representative Questionnaire
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Form No. 4-Registration of Sponsored Broker-Dealer or Sponsored Investment Adviser
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Form No. 5-Approval of Substantial Shareholders of Registrants Registered Under Section 51(1)
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Form No. 6-Notifications
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Form No. 7-Registration of a Branch Office
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Form No. 8 – Registration and Revised Registration Statements for Reporting Issuers
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Form-8A-Reporting Issuer Registration for Collective Investment Schemes
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Form No. 9-Form-9-Distribution Statement
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Form No. 10 A – Material Change Form
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Form No. 10 B – Publication of Notices of Material Change
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Form No. 11-Financial Statement Certification
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Form No. 12-Form of Proxy – Notice of Meeting
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Form No. 13-Proxy Circular – Notice of Meeting
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Form No. 14-Dissident Proxy Circular
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Form No. 15-Risk Disclosure Statement for Asset Backed Securities
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Form No. 16-Certificate as an Approved Foreign Issuer
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Form No. 17-Submission to Jurisdiction and Appointment of Agent for Service of Process
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Form No. 18-Addendum to Prospectus for Distribution by Approved Foreign Issuer
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Form No. 19-Post Distribution Statement
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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 – General Information
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Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange – Appendix – A- Equity
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Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange – Appendix – B -Debt
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Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange – Appendix – C – Collective Investment Schemes
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Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange – Appendix D – Securitized Instrument
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Form No. 21-Report by Registrant of Trades Executed other than through a Securities Exchange – Appendix – E -Other
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Form No. 22-Trading Report of a Person Connected to a Reporting Issuer
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Form No. 23- Conflict of Interest Rules Statement
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Form No. 24- Quarterly Capital Requirements
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Form No. 25- Authorisation Form For Collective Investment Schemes
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Form No.26- Authorisation as a Responsible Person Or Custodian
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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:

Schedule of Fees

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.