SEC/BED Memo Circ. No. 06 s. of 1997 as amended
PSE Circular for Brokers No. 005-98 • Philippine Stock Exchange • Circulars for Brokers • Jan 13, 1998
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January 13, 1998 PSE CIRCULAR FOR BROKERS NO. 005-98 SUBJECT : SEC/BED Memo Circ . No . 06 s . of 1997 as amended As clarified this afternoon, and as per the latest intervention of Chairman Emeritus Eduardo C. Lim, the Securities & Exchange Commission (SEC) has agreed to further simplify the submission expected from the brokers in connection with the above-mentioned Memo Circular. Brokers shall therefore submit to SEC a certification indicating the number of active customers they have for the year 1997, the total number of buy transactions of all these customers, the total volume of the buy transactions, the total number of sell transactions and the total volume of sell transactions. cdasaia For expediency, attached is a pro-forma certification for brokers to accomplish which as required, must be made under oath. Deadline for submission to the SEC will still be on 31 January 1998. (SGD.) JOSE LUIS U. YULO, JR. President & CEO
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