SEC forms

Where do these SEC forms come from?

Each one is the form SEC publishes itself. Its page names the issuing office and the edition, so you can check it against SEC's own copy before you file.

How do I submit a filled SEC form?

Download the PDF, print it, sign where the form asks, and hand it to SEC the way the form says: at the office, by mail or through SEC's own online system. PhilForms does not file anything for you.

Is PhilForms part of SEC?

No. PhilForms is an independent site that helps you fill the form. Questions about your record, payments or the status of a filing go to SEC.

SEC forms

• SEC Application for Amnesty of Fines and Penalties
• SEC Expression of Interest to Avail Amnesty of Fines and Penalties
• SEC: Board Resolution
• SEC: Annual Commercial Paper Issuance Report
• SEC Affidavit Of Compliance Sec FORM-1
• SEC Affidavit Of Compliance Sec FORM-2
• SEC Transferor’s Affidavit of Untitled Land
• SEC Affidavit of Undertaking
• SEC Annual Information Statement
• SEC Form 23-A: Initial Statement of Beneficial Ownership of Securities
• SEC Form 23-B: Statement of Changes in Beneficial Ownership of Securities
• SEC Form 23-B: Statement of Changes in Beneficial Ownership of Securities
• SEC Anti-Money Laundering Compliance Form
• SEC Continuing Compliance Attestion to QB Status (for Qualified Individual Buyers)
• SEC Continuing Compliance Attestation to QB Status (for Qualified Institutional Buyers)
• SEC Annual Registrar Attestation on Continued Eligibility of Qualified Buyers
• SEC Conforme and Undertaking to QB Status (for Qualified Individual Buyers)
• SEC Conforme and Undertaking to QB Status (for Qualified Institutional Buyers)
• SEC Certificate of No Material Change
• SEC: Registration of Securities Notice
• SEC: Registration of Securities (Direct Public Offering) Notice
• SEC Information Relating to Possession or Control Requirements Under SRC Rule 49.2-1
• SEC Formula for Determination of Reserve Requirements of Broker Dealers Under SRC Rule 49.2-1
• SEC Customer Account Information Form
• SEC Annex M (SRC Rule 68): Form and Content of Schedules
• SEC Form 12-1-SR Pre-Evaluation Checklist for Subsequent Tranches of Shelf Registration
• SEC Form 12-1-SR: Registration Statement for Subsequent Tranches of Shelf Registration
• SEC Annual Corporate Governance Report for Public Companies and Registered Issuers
• SEC: Articles of Incorporation
• SEC Application for Inclusion in the List of Accredited/Selected External Auditors - Auditing
• SEC Financing Company – Branch Office
• SEC Lending Company – Branch Office
• SEC: Certificate of Authority Application — Financing Company (RA 8556)
• SEC Application Form for Lending Company – Head Office
• SEC Application for Inclusion in the List of Accredited/Selected External Auditors
• SEC Application for Release of Bond for One Person Corporation
• SEC Application for Inclusion in the List of Accredited Asset Valuer
• SEC ATS Form 1: Alternative Trading System Registration Form
• SEC ATS Form 2: Alternative Trading System Initial Operation Report
• SEC ATS Form 2-A: Alternative Trading System Change in Operation Report
• SEC ATS Form 3: Alternative Trading System Annual Report
• SEC ATS Form 4: Alternative Trading System Cessation of Operation Report
• SEC ATS Form 5: Alternative Trading System Change in the System Report
• SEC ATS Form 6: Alternative Trading System (ATS) System Error Report
• SEC Form AU-REP: Report of an Accredited External Auditor
• SEC Affidavit of Undertaking
• SEC Application for Amnesty of Fines and Penalties of Suspended/Revoked Corporations
• Secretary's Certificate (Authorized Filer for Securities and Exchange Commission)
• SEC Special Form for Financial Statements of Brokers/Dealers in Securities
• Secretary’s Certificate for Cash Dividend Declaration
• SEC Certificate of Increase of Authorized Capital Stock
• SEC: Request for Certificate of No Derogatory Information
• SEC: Certificate of Increase of Authorized Capital Stock (One Person Corporation)
• SEC Certification of Independent Director
• Secretary’s Certificate for Certification of Paid-Up Capital
• SEC: Request for Certification on Capital Contribution
• Securities and Exchange Commission SEC Form MCG – 200 9
• SEC Checklist-Product Highlight Sheet for Securities Offered by Investment Companies
• SEC Chinese Wall Report
• Secretary’s Certificate for Confirmation of Valuation
• SEC Cover Sheet for Audited Financial Statements
• SEC Cover Sheet for Applications at Company Registration and Monitoring Department (Amendment)
• SEC: Cover Sheet for Registration
• Secretary’s Certificate for the Creation of Additional Paid-In Capital (APIC)
• SEC: Request for Certificate of No Derogatory Information
• SEC: Deed of Assignment: Heavy Equipment and Machinery
• SEC: Deed of Assignment: Intangibles
• SEC: Deed of Assignment: Inventories, Furniture and Personal Properties
• SEC: Deed of Assignment: Land, Buildings and Condominium
• SEC: Deed of Assignment: Motor Vehicles
• SEC: Deed of Assignment: Multiple Assignors
• SEC: Deed of Assignment: Net Assets
• SEC: Deed of Assignment: Sea Vessels and Aircraft
• SEC: Deed of Assignment: Shares of Stock
• SEC: Deed of Assignment: Single Assignor
• SEC: Deed of Assignment: Untitled Lands
• SEC Unified Certification for Decrease in Authorized Capital Stock of
• SEC: Deed of Assignment: Non-Cash Payment of Advances
• SEC: Director’s Certificate
• SEC: Director's Certificate
• SEC: Detailed Schedule of Heavy Equipment and Machineries
• SEC: Detailed Schedule of Intangibles
• SEC Detailed Schedule of Inventories/Furniture/Personal Properties
• SEC: Detailed Schedule of Land, Buildings, Condominium Units, Other Real Properties
• SEC: Detailed Schedule of Motor Vehicles
• SEC: Detailed Schedule of Net Assets
• SEC: Detailed Schedule of Sea Vessel/Aircraft
• SEC: Detailed Schedule of Shares of Stock
• SEC: Detailed Schedule of Untitled Lands
• SEC Email Certification for Accreditation
• Secretary’s Certificate for Equity Restructuring
• SEC Undertaking of Company Filer/User for eRAMP
• SEC eRAMP Form 2 — Secretary’S Certificate
• SEC User Designation Form
• SEC: Authorization of Representative for Registration Under the Form SEC RENT
• SEC Application of an Existing Corporation to Do Business Under the Foreign Investments Act
• SEC: Application of an Existing Corporation to Increase Its Foreign Equity Under the Foreign Investments Acts of 1991
• SEC Application to Do Business Under the Foreign Investments Act of 1991
• SEC Application of an Existing Partnership to Do Business Under the Foreign Investments Act
• SEC: Application of an Existing Partnership to Increase Its Foreign Equity Under the Foreign Investments Act of 1991
• SEC: Special Form of Financial Statements for Financing Companies
• SEC Special Form of Financial Statements for Financing Companies
• SEC Special Form of Interim Financial Statements for Financing Companies
• SEC FIA Form F-100
• SEC FIA Form F-103
• SEC FIA Form F-104
• SEC: Impact Evaluation Report Survey Form
• SEC: Documentary Requirements: Financing Company - Head Office
• SEC Sworn Statement of Sources and Application of Funds
• SEC Form 12-1,: As Amended
• SEC Form 12-1 Etf
• SEC Form 12-1-ETF: Key Product Information
• SEC Form 12-1-Ica
• SEC Form 12-1 Pre-Evaluation Checklist
• SEC Form 12-1-SW: Registration Statement
• SEC Form 12-1-SW Pre-Evaluation Checklist
• SEC Form 17-A, as Amended
• SEC Form 17-C, as Amended
• SEC Form 17-L Notification of Inability to File
• SEC Form 17-LC (COVID 19) Notification of Inability to File
• SEC Form 18-A Report by Owner of More Than Five Percent
• SEC Form 18-AS Short Form Report by Certain Institutional Owners of More Than Five Percent
• SEC Form 19-1 Tender Offer Report
• SEC Form 20-IS Information Statement Pursuant to Section 20 of the Securities Regulation Code
• 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
• Securities and Exchange Commission SEC Form 28.1-1 (Bor) Application for Branch Office
• SEC Form 28-AP/28-AMD Application for Registration as an Associated Person of a Broker Dealer and Amendments Thereto
• SEC: Application for Registration as an Associated Person of a Broker Dealer
• SEC Form 28 BD/28-BDA Application for Registration as a Broker Dealer and Amendments
• SEC: Application for Registration as a Salesman of a Broker Dealer
• SEC Notice for Termination
• SEC FORM-30-1-30-1-AMD Restricted Transactions
• SEC The person accomplishing this Form is
• SEC: Associated Person's Quarterly Compliance Report
• SEC: Associated Person's Quarterly Compliance Report
• SEC For Registration of an Exchange as an SRO
• SEC Annual Reporting Requirement for Registered Transfer Agents
• SEC Form 36 TA/36-TAA Application for Registration as a Transfer Agent and Amendments
• SEC Form 39-Registrar / 39-Registrar-A — Application for Registration as Registrar of Qualified Buyers and Amendments Thereto
• SEC Form 39-Registrar-AR — Annual Report of Registrar for Qualified Buyers
• SEC Form 39-Registrar-Code — Nomination of 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-QB — Report of Registration of Qualified Buyer
• SEC Form 42-CA/42-SD/42-SRO/42-AMD Application for Registration as Clearing Agency
• SEC Form 52-AR Annual Audited Financial Report
• SEC Form AC-AR: Annual Report Pursuant to Guidelines on Asset Valuations
• SEC Form-Acgr (for PC/Ri)
• SEC Form CP IS Exempt Commercial Paper Transactions
• SEC: Application Form for Accreditation as Credit Rating Agency
• SEC Form I-ACGR: Integrated Annual Corporate Governance Report
• SEC Form ICA 7-A: Registration Statement Under Section 7 of the Investment Company Act
• SEC Application for Payment of Annual Fees Investment Company Adviser/Fund Manager
• SEC Application for Registration as a Certified Investment Solicitor (Cis)
• SEC Compliance Officer (Co)
• SEC Application for Registration as a Compliance Officer (Co)
• SEC: Application for Registration as an Investment Company Adviser and Amendments Thereto
• SEC Notice for Termination
• SEC Form IH – 14 AR Annual Report
• SEC Form IH – 14 QPR Quarterly Progress Report
• SEC Form Ih-Bo/Boa
• SEC Form Ih-Bo-Af Application for Payment of Annual Fees Investment House – Branch Office
• SEC: Application for Registration as an Investment House/Underwriter of Securities* and Amendments Thereto
• SEC Continuing Authority to Verify Bank Deposits
• SEC Form Ihu/Gsed-Af Application for Payment of Annual Fees
• SEC Form Ihu/Gsed-Co-Ap
• SEC Application for Payment of Annual Fees
• SEC: Application for Registration as Mutual Fund Distributor
• SEC: Application of a Non-Stock Foreign Corporation to Establish a Branch/Representative Office in the Philippines
• SEC: Registration Statement Securing & Expanding Capital for Real Estate Non-Traditional Securities (SEC RENT)
• SEC Form 17-EX: Notification of Suspension of Duty to File Reports Under Section 17 of the Securities Regulation Code
• SEC Form 17-Q Quarterly Report
• SEC Annex C, as Amended (SRC Rule 12): Non-Financial Disclosure Requirements
• SEC General Form for Financial Statements
• SEC General Information Sheet (GIS): Foreign corporation branch or representative office · 2026
• SEC General Information Sheet (GIS): Regional (operating) headquarters · 2026
• SEC General Information Sheet (GIS): Non-stock corporation · 2026 Version
• SEC General Information Sheet (GIS): Stock corporation · 2026 Version
• SEC: Deed of Assignment: Heavy Equipment and Machinery
• SEC Annual Report of an Investment Company Adviser / Mutual Fund Distributor
• SEC Application for Registration as a Certified Investment Solicitor (Cis)
• SEC Notice for Termination
• SEC Application for Registration as a Compliance Officer (Co)
• SEC: Application for Registration as an Investment Company Adviser/Fund Manager and Amendments Thereto
• SEC Quarterly Report of an Investment Company Adviser / Mutual Fund Distributor
• SEC Special Form for Financial Statements of Investment Houses
• SEC Financing Company – Branch Office
• SEC: Lending Company – Branch Office Information Sheet
• SEC Information Sheet – Financing Company – Head Office
• SEC Information Sheet – Lending Company – Head Office
• SEC: Deed of Assignment: Intangibles
• SEC: Deed of Assignment: Inventories, Furniture and Personal Properties
• SEC Joint Undertaking To Change Name Registration
• SEC: Deed of Assignment: Land, Buildings and Condominium
• SEC: Special Form of Financial Statements for Lending Companies
• SEC: Special Form of Interim Financial Statements for Lending Companies
• SEC Documentary Requirements: Lending Company - Head Office
• SEC Membership Book (MB)
• SEC: Membership Book — Member List Page
• Secretary’s Certificate for Merger
• SEC Annual Report of a Mutual Fund Distributor
• SEC Monthly Complaint Report
• SEC: Deed of Assignment: Motor Vehicles
• SEC: Deed of Assignment: Multiple Assignors
• SEC: Deed of Assignment: Net Assets
• SEC Business Plan for Financing and Lending Companies
• SEC: Notarized Endorsement Letter-Annual Fees
• SEC Notification Update Form
• SEC Form for Appointment for One Person Corporation
• SEC Personal Information Sheet
• SEC Petition for Voluntary Revocation of Order of Registration and Permit to Sell Securities
• SEC Special Form for Financial Statements of Publicly-Held and Investment Companies
• SEC Special Form of Financial Statements for Pre-Need Companies
• SEC: Accredited External Auditor Pre-Evaluation Checklist (2019 version)
• SEC: Accredited External Auditor Pre-Evaluation Checklist (2025 forms)
• SEC: Pre-Evaluation Notice Accreditation as an Asset Valuer
• Secretary’s Certificate for Declaration of Property Dividend
• SEC Consolidated Certification (Company Accountant)
• SEC Declaration on Risk Based Capital Adequacy Requirement Report
• SEC Risk-Based Capital Navigation Page
• Secretary's Certificate for Reclassification of Shares
• SEC: Application of Multi National Company for Registration and License to Establish a Regional or Area Headquarters in the Philippines
• SEC: Application of Multi National Company for Registration and License to Establish a Regional Operating Headquarters in the Philippines
• SEC Form Reit-FM Co
• SEC Application for Registration as a Reit Fund Manager/Property Manager and Amendments
• SEC: Report on Affiliated Transactions by Broker Dealers
• SEC Resolution of a One Person Corporation (OPC)
• SEC Schedules for Non Stock Non Profit Organizations
• SEC: Deed of Assignment: Sea Vessels and Aircraft
• SEC: Registration Statement Securing & Expanding Capital for Farms & Agribusiness Related Modernization Schemes (SEC FARMS)
• SEC FARMS Submission Checklist
• SEC Hopes Submission Checklist
• SEC: Securing & Expanding Capital for PowerGen, Operators & Wholesale of Electricity & Retail Servicing (SEC POWERS)
• SEC: SEC POWERS Submission Checklist
• SEC: SEC RENT Pre-Evaluation Checklist
• SEC: Secretary's Certificate — Increase of Capital Stock
• Secretary's Certificate for Amendment of Articles of Incorporation and/or By-Laws
• Secretarys Certificate Waiver Pre Emptive Rights
• SEC: Deed of Assignment: Shares of Stock
• SEC: Simplified Application for Confirmation of Qualification as an ASEAN Green/Social/Sustainability/Sustainability-Linked/Blue Bond Issuance
• SEC: Deed of Assignment: Single Assignor
• SEC Form 12-1 SRS Simplified Registration Statement for Hospitals
• SEC Stock and Transfer Book (STB)
• SEC: Stock and Transfer Book — Journal Page
• SEC: Secretary's Certificate
• SEC Subscription Contract for Cash Payment
• SEC Subscription Contract (One Person Corporation)
• SEC Form Tlist-Af-P (Tabular List of Applicants-Annual Fees-Professionals)
• SEC: Authority to Examine Bank Accounts and Undertaking
• Securities and Exchange Commision SEC Headquarter, 7907 Makati Avenue Salcedo Village
• SEC Template for Sample Computation of Effective Interest Rates
• SEC: Pre-Evaluation Form for Issuers of Securities to the Public (Aug 2025)
• SEC: Pre-Evaluation Form for Issuers of Securities to the Public (May 2026 upload)
• SEC: Opinion of Independent Tax Counsel on a Securities Registration
• SEC: Opinion on Tax Matters for a Securities Registration
• SEC: Summary of Permits and Licenses
• SEC: Treasurer's Affidavit
• SEC Treasurer's Affidavit of Paid-Up Capital Deposit
• SEC Treasurer's Affidavit for Increase in Authorized Capital Stock
• SEC: Trustees' Certificate
• SEC Guidance on How to Accomplish the Unaudited Financial Statements Template for Non-Stock
• SEC Undertaking for Submission of Financial Statements
• SEC Unified Certification and Subscription Contract for Increase in Authorized Capital Stock of OPC
• SEC Unified Certification for Increase in Authorized Capital Stock of OPC (Other than Cash)
• SEC Unified Certification for Increase in Authorized Capital Stock of Corporation
• SEC: Deed of Assignment: Untitled Lands
• SEC: Request for ICTD Information Services
• SEC Form 10.1 Application for Optional Confirmation of Exempt Transaction Under Section 10.1 of the SRC
• SEC Form 10-2-SEC: Request for Confirmation of Exemption: Stock Option Plan
• Secretary's Certificate (of the Issuer-Corporation)
• SEC Undertaking to Change Name (For Amendment of Corporate/Partnership)
• SEC: Undertaking to Change Name (For Amendment of OPC)
• SEC Voluntary Revocation of Registration of Securities