In order to effectively and efficiently carry out the objectives of securities regulation as embedded in the Investments and Securities Act (The Act), the Securities and Exchange Commission (The Commission), has prescribed these Rules and Regulations.

 

SEC RULES     |

CONTENT GUIDE

PART A

A1.  Rules of General Application

A2.  General Rules on Registration of Capital market Operators

A3. Post-registration Compliance Requirements by Capital Market Operators

 and other Regulated entities

                                                           

PART B

 Regulation of Public Companies([SECRR(A) March 2010]

PART C

Regulation of Capital Market Operators

C1. General Provisions

SPECIFIC PROVISIONS

C2.  Brokers/Dealers and Jobbers

C3.  Sub-broker

C4.  Market Maker

C5.  Issuing Houses

C6. Underwriters

C7.   Fund/Portfolio Managers

C8.   Investment Advisers

C9.     Registrars

C10.     Trustees

C11.    Banker to an issue

C12.   Rating agency

C13.   Custodian of Securities

C14. Depository and Participants

C15. Securities Clearing and Settlement Company.

 

PART D

Capital Market Experts or Professionals

 

PART E

Regulation of Securities Exchanges and Transactions on Exchanges, Capital Trade Points

and other Self-Regulatory Organizations

 

E1.General Provisions

E2. Securities Exchanges

E3.   Capital Trade Points

E4. Inter- Dealer Broker

E5.  Over the Counter Market.

E6.  Commodity and Futures Exchanges

E7.  Self-Regulatory Organizations and Trade Associations

 

PART F

Registration of Securities

Regulation of Distribution of Securities

F1.  Public Offer

F3. Private Placement by Public Companies

 

PART G

G 1. Regulation of Conduct of Securities Business

G2. Margin Lending.

G3. Securities Lending and Borrowing

G4.  Trading in Securities

PART H

Regulation of Foreign Investments and Cross-border Securities Transactions

H 1. Foreign Investments

H2. Cross-border Securities Transactions

PART I

Regulation of Mergers, Take-Over and Acquisitions

I 1. Mergers

I 2. Acquisition

I 3.  External Restructuring

I 4. Take-Over

PART J

Regulation of Collective Investment Schemes

J 1.   Unit Trust

J2. Money Market Fund

J3.  Islamic Fund

 

J4.  Investments by Collective Investment Schemes in Unlisted Securities

J5. Fund of Funds and Feeder Funds

J 6.   Real Estate Investment Schemes

J 7.  Specialized Funds

PART K

Fixed Income Securities

A. Borrowing by Federal, States, Local Governments, Government Agencies and Supra nationals

B. Corporate Bonds

C.    Sukuk

 

PART L

Regulation of Solicitation and Use of Proxies

PART M

Administrative Procedures

 

PART N

Miscellaneous Rules

                                                               SCHEDULES

SCHEDULE I

Registration Fees, Minimum Capital Requirements, Securities and Others

SCHEDULE II

Penalties/Fines

SCHEDULE III

Forms

SCHEDULE IV

Information, Returns and Reports Required to be Filed by Public Companies, Capital

Market Operators, Collective Investment Schemes and other Self-Regulatory Organizations

SCHEDULE V

Report on Securities and Use of Proceeds

SCHEDULE VI

Basis of Computation of Bid and Offer Prices for Collective Investment Schemes

SCHEDULE VII

Method Of Calculation Of Annual Turnover Or Assets To Be Applied In Relation

To Merger Thresholds

SCHEDULE VIII

Rules of Procedure of S.E.C. Administrative Proceedings Committee (APC)

SCHEDULE IX

Code of Conduct for Capital Market Operators and their Employees

SCHEDULE X

Code of Corporate Governance for Public Companies

SCHEDULE XI

Anti-Money Laundering/Combating Financing of Terrorism (AML/CFT) Regulations for Capital Market Operators.2013