SCHEDULE OF FEES II.

REGISTRATION FOR SECONDARY LICENSE (In addition to filing fee for

As of 25 March 2002
Following is the list of fees charged by SEC for its services, publications and
other documents.
I. REGISTRATION OF NEW CORPORATIONS / PARTNERSHIPS
A. Name Verification /
Reservation Fee
B. Articles of Incorporation/Partnership
REPUBLIC OF THE PHILIPPINES
Stock Corporation with par
SECURITIES AND EXCHANGE COMMISSION value
Stock corporation without
par value
A CITIZEN’S MANUAL ON Non-stock corporation
(Foundation, association,
non-government
organization, religious
organization, corporation
registration of corporation)
Registration Fee License Renewal Fees
A. Broker/Dealer
Head Office P50,000.00 plus LRF P20,000.00 plus LRF
Branch Office P10,000.00 plus LRF P 5,000.00 plus LRF
B. Salesman P 2,000.00 plus LRF P 1,000.00 plus LRF
C. Associated Person P 3,000.00 plus LRF P1,500.00 plus LRF
P40.00 per allowed name (30 day-reservation) D. P3,000.00 plus LRF &
P200.00 per issue being
Transfer Agent P 1,000.00 plus LRF
handled but not more
Filing fee is 1/5 of 1% of the authorized capital than P5,000.00
stock or the subscription price of the subscribed
capital stock whichever is higher but not less
E. Investment House
Head Office P50,000.00 plus LRF P10,000.00 plus LRF
than P1,000.00 plus LRF *.
Branch Office P10,000.00 plus LRF P 5,000.00 plus LRF
Filing fee is 1/5 of 1% of the authorized capital
Associated Person P 1,000.00 plus LRF P 500.00 plus LRF
stock computed at P100.00 per share or the
F. Investment Company Adviser
subscription price of the subscribed capital stock
Head Office P10,000.00 plus LRF P 3,000.00 plus LRF
whichever is higher but not less than P1,000.00
plus LRF. Sales Agent **
Year 2002 P 420.00 P 415.00
Year 2003 P 630.00 P 520.00
Year 2004 P 945.00 P 650.00
P 210.00 Year 2005 P 1,420.00 P 815.00
Year 2006 P 2,125.00 P 1,015.00

REGISTRATION
sole, etc.) G. 1/10 of 1% of the paid
1/8 of 1% of the required
For capital contribution of P500,000.00 and up capital based on
Financing Company paid- up capital based on
below, filing fee is P510.00. principal office, plus
SEC’s
principal office, plus LRF
Partnerships For capital contribution of more than LRF
P500,000.00, filing fee is 1/10 of 1% of the H. Investment Company P 5,000.00 plus LRF

FEES AND CHARGES contributed capital plus LRF. I. Pre-need Company

FUNCTIONS
PARTNERSHIPS
(PAMPHLET NO.3)
25 III 2002
SEC Building, EDSA, Greenhills
Mandaluyong City
Tel. Nos. 726-0931 to 39
http://www.sec.gov.ph
C. By-laws P 210.00 Dealer
Applications Under Foreign P2,000.00 (In addition to filing fee for articles of Head Office P10,000.00 plus LRF P 5,000.00 plus LRF
D.
E.
Investments Act incorporation)
License to Operate – Foreign Corporations
Branch Office/Branch Transfer
- Within Metro Mnl P 5,000.00 plus LRF P 2,500.00 plus LRF
Branch Office
Filing fee is1% of the actual inward remittance of
the branch of foreign corporation, converted into
- Outside Metro Mnl
General Agent
P 2,500.00 plus LRF
P 5,000.00 plus LRF
P 1,500.00 plus LRF
P 2,500.00 Plus LRF
Philippine currency plus LRF & P2,000.00. Salesman
Filing fee is 1/10 of 1% of the amount actually P200.00/salesman P200.00/salesman plus
Representative Office remitted to the Philippines, converted into - Dealer
plus LRF LRF
Philippine currency plus LRF & P2,000.00. P200.00/salesman P200.00/salesman plus
Regional Headquarters of - General Agent
plus LRF LRF
P2,000.00 plus LRF
Multinational Corporations Approval of Trust
Regional Operating P 2,500.00 plus LRF
Agreement
Headquarters or petition Filing fee is 1% of the actual remittance but not Accreditation of Pre-
for conversion of an area less than 1% of Philippine currency equivalent of P 1,000.00 plus LRF
Need Actuaries
or regional headquarters US$200,000.00 at the time of remittance, plus Certification P 300.00 plus LRF
into regional operating LRF. ** Staggered payments approved by the Commission on 21 March 2002
headquarters
Non-stock foreign III. REGISTRATION / LICENSING OF SECURITIES
P 510.00
corporation A. Registration Statement (Based on maximum aggregate price of securities to be
F. Registration fee - Stock & offered)
P 150.00
Transfer Book 0.10% of the maximum aggregate price of
G. Registration fee - Not more than P500 Million
P 75.00 the securities to be offered
Membership Book
More than P500 Million but not P500,000.00 plus 0.075% of the excess
LRF – Legal Research Fee equivalent to 1% of filing fee but not less than more than P750 Million over P500 Million
*
P10.00
III. REGISTRATION / LICENSING OF SECURITIES (Continued) IV. AMENDMENTS (Continued) VII. OTHERS (Continued)
A. More than P750 Million but not P687,500.00 plus 0.05% of the excess E. Filing fee is 1/5 of 1% of the increase in E. Application for Revocation of
P500.00 plus LRF
more than P1 Billion over the P750 Million authorized capital stock computed at License of Foreign Corporation
P812,500.00 plus 0.025% of the excess Stock Corporation without par P100.00 per share or the subscription Filing fee is 1/10 of 1% of the increase in
More than P1 Billion
over P1 Billion value price of the subscribed capital stock Partnership contribution but not less than P500.00 plus
B. Short-Term Commercial Paper (STCP) whichever is higher but not less than LRF
Registration (Sec. 15 (a)) Filing fee is 1/10 of 1% plus LRF P1,000.00 plus LRF F. Application for Revocation of
Exempt Issuers Under Sec. 4(f) Exemption fee is 1/10 of 1% plus LRF Filing fee is 1/10 of 1% of the increase in Appointment of Resident Agent P500.00 plus LRF
Exempt Under Sec. 5 of STCP Annual exemption fee is P10,000.00 Partnership contribution but not less than P500.00 plus or Substitute Resident Agent
Rules plus LRF LRF G. Application for Cancellation of
C. Long-Term Commercial Paper (LTCP) F. Decrease of Capital Stock License of RHQ of Multinational P500.00 plus LRF
Registration (Sec. 14 (a)) Filing fee is 1/10 of 1% plus LRF Return of Capital P3,000.00 plus LRF Corporation
Exemption fee of not more than 1/10 of All others P2,000.00 plus LRF H. Certification of Paid-Up Capital,
Exempt Issuers Under Sec. 7(g) Partnership P1,010.00 Outstanding Stock, Percentage P400.00
1% plus LRF
Exempt Under Sec. 8 of LTCP Annual exemption fee is P10,000.00 G. Equity Restructuring of Filipino Stockholdings, etc.
Rules plus LRF To Wipe Out Existing Deficit Filing Fee is P3,000.00 plus LRF I. Certification of Corporate Filing &
P300.00
D. Preliminary Information Statement P5,000.00 plus LRF Filing Fee is 1/5 of 1% of the amount Information
Infusion as Additional Paid-up J. Certificate of Good Standing P500.00
E. Preliminary Proxy Statement P5,000.00 plus LRF infused but not less than P1,000.00 plus
Capital
Proxy Solicitations in case of LRF K. Deed of Assignment of Shares of
P300.00 plus LRF
Acquisition, Merger, & 1/10 of 1% plus LRF H. Petition of Amendment of Stockholder
P500.00 plus LRF
Consolidation License
F. Tender Offer 1/10 of 1% plus LRF I. Extension of Corporate Life 1/5 of 1% of authorized capital plus LRF
Exempt Under SRC Rule 19.1 VIII. PUBLIC REFERENCE UNIT CHARGES
P5,000.00 PRU Service Charge P 50.00 per transaction
(3)(a)
G. Exempt from Registration Under V. DIVIDENDS Direct On-Line P 2.00 per minute
P5,000.00 A. For Stock/Cash Dividend Hard Copy P 3.00 per page
SRC Sec. 72.1
H. Pre-Need Declaration up to P50 Million of P500.00 plus LRF Soft Copy P 50.00 per diskette
1/10 of 1% of maximum aggregate price Non-listed Corporation Companies/Individual Researchers P 500.00
New and Additional at which securities are proposed to be B. For Stock/Cash Dividend Plain Microfilm Authenticated
Reproduction of Documents
offered plus LRF Declaration over P50 Million of P1,000.00 plus LRF Copy Copy
Petition for Price Increase P2,500.00 plus LRF Non-listed Corporation Articles of Incorporation P100.00 P150.00
Petition for Amendment of C. Filing fee is 1/5 of 1% of the amount By-Laws P100.00 P150.00
Registration Statement, Contracts P2,500.00 plus LRF Property Dividend declared but not less than P1,000.00 plus General Information Sheet P 25.00 P 50.00
and All Applications LRF Increase in Capital Stock P 50.00 P100.00
Petition for Release of Balance P2,500.00 plus LRF Resolution P 15.00 P 50.00
Petition for Cancellation of Secretary’s Certificate P 15.00 P 50.00
P2,500.00 plus LRF VI. ORGANIZATION CHANGES
Registration Board Resolution P 15.00 P 50.00
Petition for Suspension and/or A. Filing fee is 1/10 of 1% of the equity of the Registration Data Sheet P 25.00 P 50.00
P2,500.00 plus LRF absorbed corporation which was used as
Cancellation of Permit to Sell Deed of Assignment P 15.00 P 50.00
Mergers or Consolidations basis of the merger or consolidation plus Borrowing Fee P50.00 per Document
LRF. (If filed together with Increase in
Reproduction Fee Actual Cost plus P20.00 per Corporation
IV. AMENDMENTS Capital, filing fee is the higher amount.)
A. Articles of Incorporation P210.00 B. Application for Quasi-
P3,000.00 plus LRF
B. By-Laws P210.00 Reorganization
IX. PUBLICATIONS
C. Articles of Partnership P510.00 SEC Bulletin P150.00
D. Foreign Corporations
VII. OTHERS
Articles of Incorporation P500.00 plus LRF
A. Petition to Set Aside Order of Suspension
By-Laws P500.00 plus LRF
E. Increase in Capital Stock Corporation P600.00 plus LRF
Non-Stock Corporation P300.00 plus LRF
Filing fee is 1/5 of 1% of the increase in
authorized capital stock or the Application for Approval of Voting
B. P200.00 plus LRF
Stock Corporation with par value subscription price of the subscribed Trust Agreement
capital stock whichever is higher but not Custodian Fee for Acceptance of
less than P1,000.00 plus LRF C. Deposit of Securities of Foreign P2,000.00 plus LRF
Corporation
Application for Appointment of
D. Resident Agent or Substitute P500.00 plus LRF
Resident Agent