Application of Registration of Securities - Securities and Exchange Commission Appointment System

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FY 2019
•	Equity Securities and Debt Securities – MSRD Securities Registration Division
FY 2018
•	Equity Securities and Debt Securities – MSRD Securities Registration Division
FY 2017
•	Pending Application for Registration of Securities – CGFD Licensing Division
•	Equity Securities and Debt Securities – MSRD Securities Registration Division
•	Mutual Funds / Registered Issuer of Proprietary Shares or Certificates and Timeshares – MSRD Securities Registration Division

•	FY 2019
	> Equity Securities, Debt Securities and Shelf Registration – MSRD Securities Registration Division
	> Application for Registration – CGFD Licensing Division
	> Approved Application for Registration – MSRD Securities Registration Division
•	FY 2018
	> Equity Securities, Debt Securities and Shelf Registration – MSRD Securities Registration Division
	> Application for Registration – CGFD Licensing Division
	> Approved Application for Registration – MSRD Securities Registration Division
•	FY 2017
	> Approved Application for Registration – CGFD Licensing Division
	> Equity Securities and Debt Securities – MSRD Securities Registration Division
	> Mutual Funds / Registered Issuer of Proprietary Shares or Certificates and Timeshares – MSRD Securities Registration Division
•	FY 2016
	> Equity Securities and Debt Securities
	> Mutual Funds
	> Mutual Funds / Registered Issuer of Proprietary Shares or Certificates and Timeshares
•	FY 2015
•	FY 2014