Public Form Type Masterlist

January 28, 1997 SEC-AFD * MEMORANDUM CIRCULAR NO. 02-97 TO : All Corporations and Partnerships Registered Under All Acts and Laws Administered by the SEC, and All Companies Subject to Rule 11(a)-1 Under Section 11 of the Revised Securities A c t FROM : Commission En Banc of the SEC SUBJECT : Public Form Type Masterlist The Public Form Type Masterlist contains the listing of form types for submitting fillings to SEC. All files referred to above shall use the Masterlist in determining the appropriate form type code that should be indicated in the cover sheet of filings. The basis for this Masterlist and its use is Paragraph 7 of SEC Memorandum Circular No. 2 series of 1996 on physical filing criteria regarding a cover page or sheet for all filing submitted under all acts and laws administered by the SEC and in compliance with RSA Rule 3-4(d)(6) regarding information required to be written on the cover page for filings made under Revised Securities Act. The list shall be revised whenever there are new rules creating new filing requirements or as there are amendments to existing rules. Revisions to the Masterlist shall be accordingly published from time to time. LexLib For your compliance effective immediately. (SGD.) PERFECTO R. YASAY, JR. Chairman PUBLIC FORM TYPE MASTERLIST AS OF 1/28/97 FORM TYPE FORM FILING CODE DESCRIPTION CODE CORPORATE AND PARTNERSHIP ARTICLES/BY LAWS/REORGS/TRUST/DEEDS EL-C EXPRESS LANE-DOM CORP 01 EL-P EXPRESS LAND-DOM PARTNER 01 PL-C PRIMARY LIC-DOM CORP 01 PL-P PRIMARY LIC-DOM PARTNER 01 PL-FC PRIMARY LIC-FGN CORP 01 PL-FP PRIMARY LIC-FGN PARTNER 01 P-DOA DEED OF ASSIGN TO TRANS SHARES 01 P-VTA VOTING TRUST AGREEMENT 01 P-CON PRIMARY LIC-CONSOLIDATION 01 P-MER PRIMARY LIC-MERGER 01 MISCELLANEOUS CORPORATE FILINGS BYLAW DELAYED BYLAW/PRIMARY AMDT 01 BCERT BANK CERTIFICATE/MANILA 01 BVRPT BANK VERIFICATION RPT 01 REMIT INWARD REMITTANCE 01 SDEPW SECURITY DEPOSIT/WITHDRAWAL 01 MEMBK MEMBERSHIP BOOK 01 STBK STOCK/TRANSFER BOOK 01 P-DIS PRIMARY LIC-DISSOLUTION 01 SECURITIES REGISTRATIONS/EXEMPTIONS S-6EX FORM 6-EX: SOLD ABROAD 6(B)-1 02 S-8-1 FORM 8-1: SECURITIES REG STMT 02 S-ABS FORM ABS: ASSET BACK SECURITY 02 S-CPL FORM LTCP: CM PAPER LONG TERM 02 S-CPS FORM STCP: CM PAPER SHORT TERM 02 S-PAY SECURITIES-PAY SEC FOR PROP 02 S-WTS SECURITIES-WARRANTS REG STMT 02 SN-CP SEC NTCE-CP EXEMPT DISCL STMT 02 SN PV SEC NTCE-EXEMPT PRIVATE OFFER 02 SN-X5 SEC NTCE-RSA 5 EXEMPT SECURITY 02 SN-X6 SEC NTCE-RSA 6(B) EXEMPT TRANS 02 MISCELLANEOUS SECURITIES FILINGS PROSP POST-EFFECTIVE PROSPECTUS 02 RS-W REG SECURITIES WITHDRAWAL 02 SR-8A FORM 8A-1A3: NTCE OFFER TERMIN 02 TCERT TRUSTEE CERT OF ELIGIBILITY 02 TQUAL TRUST INDENTURED QUAL APPL 02 PROPRIETARY CERTS/SHARES REGISTRATION S-PRS SEC-PROPRIETARY REG STMT 02 S-PER SECURITIES-PERMIT TO OFFER 02 SCG STANDBY CREDIT GUARANTEE/AMDT 02 SR SALES RPT-STOCK SOLD/PCT FILIP 02 LISTING MATTERS LIST LISTING APPLICATION 03 LISTE LISTING APPL EXEMPTIONS 03 LISTW LISTING APPL WITHDRAWAL 03 INVESTMENT COMPANY REGISTRATIONS IC-CL INVEST CO REG-CLOSED END 05 IC-OP INVEST CO REG-OPEN END 05 IC-UN INVEST CO REG-UNIT TRUST 05 IC-EX INVEST CO EXEMPTIONS 05 IC-W INVEST CO WITHDRAWAL 05 SR-IC SALES RPT-SECUR SOLD/PCT FILIP 05 INVESTMENT COMPANY REGULATORY REPORTS FS-Q INVEST CO QTR AUDITED FS 05 PORT INVEST CO QTR PORTFOLIO RPT 05 TR-IC ANNUAL TRANSACTION RPT/INV CO 05 BROKER, DEALER, INVESTMENT HOUSE and FUND ADVISOR REGISTRATION 19-BD FORM 19-BD: BKR DLR ADVISR REG 07 19-S FORM 19-S: BD SALESMAN REG 07 24SUB BD SUBORD AGREEMT FOR APPROVAL 07 25EXT BD APPL EXTEND CUST PMT PERIOD 07 37REQ BD SEC COUNT EXEMPT REQ 37A-13 07 BD-EX BKR DLR EXEMPTIONS 07 CF-EX COMMOD/FUT EXEMPTIONS 07 GS-EX GOVT SEC DLR EXEMPTIONS 07 IA-EX INVEST ADV EXEMPTIONS 07 IH-EX INVEST HOUSE EXEMPTIONS 07 BROKER, DEALER, INVESTMENT HOUSE and FUND ADVISOR RENEWAL 19-R FORM 19-BDR: BKR DLR ADV RENEW 07 19-SR FORM 19-SR: BD SALESMAN RENEW 07 19-ST FORM 19-ST: BD SALESMAN TERMIN 07 37-FY BD NTCE FOR FISCAL YR APPROVAL 07 BD-W BKR DLR WITHDRAWAL 07 CF-W COMMOD/FUT WITHDRAWAL 07 GS-W GOVT SEC DLR WITHDRAWAL 07 IA-W INVEST ADV WITHDRAWAL 07 IH-W INVEST HOUSE WITHDRAWAL 07 BROKER AND DEALER REGULATORY REPORTS/NOTICES 24 COL BD NTCE COLLAT BELOW PRINCIPAL 08 24DEP BD NTCE NOT MAKE REQ DEPOSIT 08 24MAT BD NTCE MATURITY DEBT/CAP PROB 08 24NET BD NTCE MINIMUM NET CAPITAL 08 24-OP FORM 24-FINOP: BD MONTHLY RPT 08 24EXT EXTENSION REQUEST FOR 24-FINOP 08 24BDQ BD QTR SECURITIES CONTROL INFO 08 31SEC BD INVENT OF LINKED ISSUER SEC 08 37-AR FORM 37-AR: BD ANNUAL RPT/FS 08 INVESTMENT HOUSE REGULATORY REPORTS IH-OD IH CHANGES: OFCRS/BD OF DIRS 08 IH129 FORM 129-1:IH ANNUAL REPORT 08 IHQ IH-QUARTERLY PROGRESS RPT 08 IHSFS IH-SEMI ANNUAL UNAUDITED FS 08 WP-BD WORK PERMIT: BD, IH 08 COMMODITIES/FUTURES BROKERS AND DEALERS REGULATORY REPORTS BD-OE BD CHANGES: OFCRS/EMPLOYEES 08 BDCFB BD CONTRACTS WITH FGN BKRS 08 BDDHA BD DAILY HOUSE ACCT TRANS RPT 08 BDDTR BD DAILY TRANSACTIONS RPT 08 BDMCA BD MONTHLY CLIENT ACCT MOVEMNT 08 BDMFS BD MONTHLY UNAUDITED FS 08 BDMSB BD MONTHLY STMT BY BANK 08 BDMTR BD MONTHLY TRANSACTIONS RPT 08 BDSFS BD SEMI ANNUAL AUDITED FS 08 BDUPC BD UNIMPAIRED PAIDUP CAP 08 CLEARING AGENCY AND EXCHANGE REGISTRATION 40-CA FORM 40-CA:CLEARING AGENCY REG 09 CA-EX CLEAR AGENCY EXEMPTIONS 09 CA-SV CLEAR AGENCY SERVICE PROPOSAL 09 EX-1 EXCHANGE REGISTRATION 09 EX-EX EXCH EXEMPTIONS 09 EX-PR EXCHANGE PRODUCT PROPOSAL 09 RULES EXCH/CA/SRO, RULE PROPOSAL 09 SRO-1 SELF REG ORG REGISTRATION 09 CA-W CLEAR AGENCY WITHDRAWAL 09 EX-W EXCH WITHDRAWAL 09 SRO-W SELF REG ORG WITHDRAWAL 09 CLEARING AGENCY NOTICE AND EXCHANGE REGULATORY REPORTS 24EXM EXCH-MO APPROVED SUBAGRMNT RPT 09 40NTC CA NTCE PARTICIPANT BREACH/DIF 09 EX-AF EXCH-ADDITIONAL FEES/RSA 54 09 WP-EX WORK PERMIT: EX, CA, SRO 09 TRANSFER AGENT REGISTRATION and RENEWAL 40-TA FORM 40-TA: TRANSFER AGENT REG 10 40-2K TRANS AGENT RENEWAL/RULE 40-2K 10 TA-EX TRANS AGENT EXEMPTIONS 10 TA-W TRANS AGENT WITHDRAWAL 10 TRANSFER AGENT REGULATORY REPORTS 40-AR FORM 40-AR: TA ANNUAL RPT/FS 10 40RPT TA EXCEPTION/CESSATION REPORT 10 WP-TA WORK PERMIT: TA, CU 10 PRIVATE COMPANY REPORTS/ORDINARY CORPORATIONS GIS GENERAL INFORMATION SHEET 11 GIS-N NTCE OF CESSATION/CODE SECT 26 11 ANHAM AFFIDAVIT OF NONHOLDING OF AM 11 ANO AFFIDAVIT OF NON OPERATION 11 NAAM NTCE OF ADJOURNMENT OF AM 11 NPAM NTCE OF POSTPONEMENT OF AM 11 HOLDR LIST OF STOCKHOLDER (PVT CO) 11 ANNUAL FINANCIAL STATEMENTS NOT INCLUDED IN REPORTS FS FINANCIAL STATEMENT-ANNUAL 12 ANNUAL REPORTS AND PROXIES/INFO STATEMENTS 11-A FORM 11-A: ANNUAL REPOT/FS 13 AR-SH ANNUAL RPT TO SHAREHOLDERS 13 AR-AA ANNUAL RPT-ASSET BACK ACCTANT 13 AR-AS ANNUAL RPT-ASSET BACK SERVICER 13 AR-FC ANNUAL RPT-FGN CORP PRIMARY/FS 13 AR-FR ANNUAL RPT-FGN REGIONAL HQ 13 CPX-P PRELIMINARY CONTEST PXY/CONFID 13 PXY-P PRELIMINARY PROXY STMT/CONFID 13 INF-P PRELIMINARY INFO STMT/CONFID 13 INFO FORM 34-C: INFORMATION STMT 13 PROXY FORM 34-A: PROXY STATEMENT 13 CPROX FORM 34-A(1): CONTESTED PROXY 13 QUARTERLY REPORTS 11-Q FORM 11-Q: QUARTERLY REPORT/FS 15 CPQCF QTR RPT-CP/BOND CASH FLOW 85-1 15 CPQFS QTR RPT-CP/BOND INTERIM FS 101 15 QR-AS QTR RPT-ASSET BACK SERVICER 15 CURRENT REPORTS/REPORTING EXEMPTION OR DELAY 11-C FORM 11-C: CURRENT DISCL RPT 16 11-EX FORM 11-EX: NTCE EXEMPT RPTNG 16 11-L FORM 11-L: NTCE TO DELAY RPT 16 COMMERCIAL PAPER REGULATORY REPORTS CPAIN CP-ANNUAL INFO STMT 04 CPM CP-MONTHLY M-101/1040 04 CPM-N CP-MONTHLY M-101/NQB 04 CPM23 CP-MONTHLY M-23-01 04 CPQ23 CP-QTR Q-23-01/INTERIM FS 04 CPQES CP-QTR EPS STMT 4-83 04 PROPRIETARY CERTS/SHARES REPORTS COA CHANGE OF ADDRESS 16 DIV DIVIDEND DECLARATION 16 EDN EXPANSION/DEVELOPMENT NTCE 16 MER MERGER/CONSOLIDATION CONTRACT 16 MOC MGT/OPERATING CONTRACT 16 OFFDR LIST OF OFFICERS AND DIRECTORS 16 TENDER OFFERS STEND FORM 32-B: SELF-TENDER INFO 17 TENDR FORM 33-A: TENDER OFFER STMT 17 ACQUISITION REPORTS ACQ FORM 32-A1: ACQUISITION STMT 18 ACQ-N FORM 32-A2: ACQUISITION NTCE 18 BENEFICIAL REPORTS BEN FORM 36-A: BENEFICIAL OWNER 19 BEN-C FORM 36-B: BENEFICIAL CHANGES 19 PRE-NEED REGISTRATION and RENEWALS PN-1 PRE-NEED CO/PLAN/DLR FILING 60 PN-S PRE-NEED SALESMAN REG 60 PN-RB PN RELEASE OF BALANCE 60 PN-TF PN AGREEMENT WITH TR FUND BK 60 PN-EX PRE-NEED EXEMPTIONS 60 PN-W PRE-NEED WITHDRAWAL 60 PND-R PN DEALER RENEWAL 60 PNS-R PRE-NEED SALESMAN RENEW 60 PRE-NEED REPORTS PNAVR PN ANNUAL ACTUARIAL VAL RPT 61 PNMCD PN MONTHLY COLLECTION/DEP RPTS 61 PNMSA PN MONTHLY SALESMAN/APPARENT RPT 61 PNMSR PRN MONTHLY PLAN SALES/HLDR RPT 61 PNQFS PN QTR UNAUDITED FS 61 PNQLP PN QTR LAPSED PLANS RPT 61 PNQTF QTR STMT BY PN TRUST FUND 61 PNUPC PN DLR UNIMPAIRED PAIDUP CAP 61 WP-PN WORK PERMIT: PN DLR 61 FINANCING COMPANY REGISTRATION FC-1 FINANCE CO REGISTRATION 70 FC-EX FINANCE CO EXEMPTIONS 70 FC-W FINANCE CO WITHDRAWAL 70 FINANCING COMPANY REGULATORY REPORTS FCQ88 FIN CO QTR RPT FCQ-88-01 OFFDR 71 FCQBS FIN CO QTR BAL SHEET 7-26-02B 71 FCQIS FIN CO QTR INC STMT 7-26-03B 71