Documents to submit:

  • Registration fee of TT$5,000.00
  • Form No. 2 dated and signed by applicant, CEO & two (2) Directors
  • Certified copies of a degree and/or professional certificates in Economics, Banking, Law, Accounting, Business Administration or Chartered Secretaryship
  • Documentary evidence indicating that the individual has at least two years experience as a trader or in some capacity in which he was actively associated with and involved in stockbroking activities of a company that is a member of the securities exchange in the Commonwealth or United States
  • If the applicant is an officer of a registered Securities Company, provide a letter from the company stating that the individual is employed with the company, giving his position and outlining the activities or functions performed in the company
  • A statement signed by the applicant stating that he/she has no interests, direct or indirect which may conflict with or likely to affect the conduct and integrity of his business as a broker
  • Conflict of Interest Rules Statement
    • Where the applicant is applying for registration in his personal capacity this statement is to be dated and signed by the applicant
    • Where the applicant is an employee of a Securities Company however, the statement must be dated and signed by the applicant as well as the principal executive officer and at least two directors of the Securities Company
  • A Police Certificate of Character
  • A statement indicating that there is no bankruptcy order made against him that remains undischarged
  • Documentary evidence of satisfying the capital requirements of:
  • TT$50,000 – brokering in equity securities only
  • TT$500,000 – brokering in equity and/or other securities
  • This does not apply to an individual who is an officer or director of a registered Securities Company
  • Two passport sized photographs.

Note – The required submissions for registration include but are not limited to the above


March 06, 2008

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