*Please note that guideline information on this page is subject to change. Check SEC Rules and Codes  and Minimum Capital Requirements for more information*

 

Title Description
Broker/Dealer Registration requirements for Broker/Dealers
Capital Market Consultants Registration requirements for Reporting Accountants/Auditors/Solicitors/Estate Surveyors And Valuers Etc
Capital Trade Points Registration requirements for Capital Trade Points
Commodities Exchange Registration requirements for Commodities Exchange
Custodian Agency Registration requirements for Custodian Agency
FMDQ OTC Dealers

Fund/Porfolio Manager

 Registration requirements for over-the-counter securities dealers

Registration requirements for Fund/Portfolio Managers
Investment Adviser(Corporate) Registration requirements for Investment Adviser (Corporate)
Issuing House Registration requirements for Issuing House
Market Maker Registration requirements for Market Makers
Rating Agency Registration requirements for Rating Agencies
Real Estate Investment Trust Scheme (REITS) Registration requirements Real Estate Investment Trust Scheme (REITS)
Receiving Banker Registration requirements for Receiving Bankers
Registrar Registration requirements for Registrar
Securities Clearing & Settlement Company Registration requirements for Securities Clearing & Settlement Company
Securities Exchange

Self Regulatory Organization/Trade Association

Sub-Broker

 Registration requirements for Securities Exchanges

Registration requirements for Self Regulatory Organization/Trade Association

Registration requirements for Sub-Broker(Corporate/Individual)
Trustees Registration requirements for Trustees
Underwriter Registration requirements for Underwriters
Unit Trust Scheme Registration requirements for Unit Trust Schemes
Venture Capital Manager Registration requirements for Venture Capital Managers
 

For the purpose of filing applications relating to Public Offers, Mergers, Acquisitions and Takeovers, please send e-mail to offerapplications@sec.gov.ng