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Registered Broker-Dealers, Representatives (Brokers), Investment Advisors and Securities – You can verify online if a Broker-Dealer or Representative (broker) is registered with the OCFI to do business in Puerto Rico at http://www.nasdr.com/2000.asp or by contacting OCIF’s Securities Area directly.
You may also check if an investment advisor or security is registered or licensed by the OCFI. To do so, please fill out an inquiry form and send it by mail, email (valores@ocif.gobierno.pr) or fax at (787)723-4225. If you prefer, you may call us at (787) 723-3131 extensions 2305, 2306, or 2308
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SECURITIES |
*Uniform
Securities Act (Law 60
of June 18, 1963, as amended)(Spanish only)
*Uniform
Securities Act Regulation (Regulation
6078 of February
18 2000)
*Registered
Securities
- To
verify if a security is registered
at the OCFI.
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VENTURE
CAPITAL FUNDS |
*Venture
Capital Funds Law of Puerto
Rico (Law
46 of January 28,
2000)(Spanish only)
*Venture
Capital Funds Regulation (Regulation
6576 of March 2,
2003)
*Application
for Registration as a Venture
Capital Fund
(FCI-001)
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INVESTMENT
COMPANIES |
*Investment
Companies Act of Puerto Rico
(Law
6 of October 19,
1954, as amended)(Spanish only)
*Regulation
to carry out the Investment
Companies Act of Puerto Rico
(Regulation
143
of May 6, 1955, in Spanish)
*Registered
Investment Companies
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To see a list of all
authorized Puerto Rico Investment
Companies (mutual funds).
Forms
Education
for Investors and the General
Public
Contact
us
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