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OCIF

OFICINA DEL COMISIONADO DE
INSTITUCIONES FINANCIERAS

OCIF

GOBIERNO DE PUERTO RICO

Reglamentación de Valores

Bienvenidos al área de Reglamentación de Valores. En esta sección encontrará instrucciones generales y los formularios requeridos para la inscripción de valores y entidades de valores en Puerto Rico. Para información adicional sobre nuestras leyes y reglamentos.

Calendario de Actividades

Se muestran las actividades más recientes.  Seleccione el mes para filtrar la lista de actividades
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11 Nov
2023
Veniam Deleniti
2 Feb
2023
Sit Quia Nobis
18 Sep
2023
Praesentium Dolorem
7 Sep
2022
Non Ratione
3 Oct
2023
Est Quod
20 Oct
2023
Ipsam Ab Nobis Sit

Reglamentaciones de Valores

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Issuer Agents
Issuer Agent Renewal Instructions
October 17, 2024
Securities Registration Division Form
S-402 (b)(9)
November 15, 2023
Securities Agents
Securities Agents - Agent Dual Registration Consent
November 15, 2023
Securities Agents
Securities Agent - General Requirements and Instructions [AG] (Rev. 10-2018)
November 15, 2023
Issuer Agents
Issuer Agents - General Requirements and Instructions [A] (Rev. 10-2018)
November 15, 2023
Issuer Agents
Issuer Agents - Form R-2 Application for Registration
November 15, 2023
Investment Adviser Registration
Written Consent
November 15, 2023
Broker-Dealer
General Requirements and Instructions BD (Rev. 08-2023)
August 1, 2023
Broker-Dealer
Written Consent of Members for Limited Liability Companies
March 1, 2023
Investment Adviser Registration
Investmet Advisor Renewal Instructions
October 17, 2024

Securities Forms
Securities Registration Division - Form

In this section you will find general instructions and the forms required for the registration of securities and securities entities in Puerto Rico.

In this section you will find general instructions and forms required to register securities and securities entities in Puerto Rico.

Brokerage House Registration

Written Consent for Limited Liability Companies, Sole Proprietorships or Partnerships
Broker Dealer Questionnaire and Affidavit Prior Sales
Form R-5 Corporate Resolution
General Requirements and Instructions BD (Rev. 05-2021)

Registro de Casas de Corretaje

Glovista aciicalasses allocation Fund
Oiganlcation of the Atlas us lacucal income rund, inc. /pnl 2015
Global Opportunities Capital Appreciation Fund Amended and Restated Ruling Upon Conversion Under l.aw 93-2013
UBS-Popular Funds-Repurchase of Shares of Closed end Funds Co-advised by Popular Asset Nigmt and UBS Asset Managers under Art 25 of act 92.201
First Puerto Rico Family of Funds-repurchase of shares under Art. 25 Act 93-2013-Feb 5 2014
UBS Funds Ruling authonzing Repurchase of shares of Sommon stock of cerlain oerS 12 19 2013

Determinaciones Administrativas

General Requirements and Instructions for Regulation A - Tier 1
General Requirements and Instructions for Regulation A - Tier 2
General Requirements and Instructions for Regulation A - Tier 2
Form S 2 (Rev 03-13)
Form S-5 (Rev 03-13)
S 402 (b)(9) Rev 03-13
Form R-6 Consent to Services (Rev 01-19)

Additional Forms

Networking Agreement
IRA Advertisement Certification Form