There are 45 broker dealers and 19 persons/companies registered as investment advisers in Trinidad and Tobago.

Acts

Bye-Laws

Rules

Orders

• Delegated Orders
• Exemption Orders
• Delisting and Deregistration Orders
• Other

Guidelines

SRO Rule Making

• Orders Approving SRO Rule/Rule Changes

Circulars, Bulletins, Policy Statements

Market Guidance

Proposed Bye-Laws, Rules, Guidelines & Policies

• Draft Bye-Laws
• Draft Guidelines
• Draft Policy

Registration

• Approved List of Designated Foreign Jurisdictions
• Categories of Registration
• Categories of Securities to be Registered
• Commission-Issued Forms
• List of Registered and/or Authorized Companies and Individuals
• List of Registered Securities

Prudential Requirements and Filings

• Filings
• Documents Filed-Securities Registrations
• MMRF Framework
• Volume Report

AML-CFT-CPF

• Beneficial Ownership
• Compliance Officers
• Reporting / Application Forms & Questionnaires
• Public Statements
• Guidance
• Updates
• Frequently Asked Questions (FAQs)

Investor Protection

• Filing a Complaint

Submit a Tip or Complaint

Resources for Investors

• Investor Alerts
• Fraud Awareness
• InvestucateTT
• Registrant Listing
• TTSE Trading Summaries

Orders

• Settlement Orders
• Administrative Sanctions Orders

Notices

Media & Communications

• Media Releases
• Speeches & Statements
• Presentations
• Multimedia
• Social Media Directory

Policy, Publications and Research

• Policy and Guidance Papers
• Market Newsletters
• Annual Report
• Reports
• Research and Working Papers
• Data and Statistics

Our History

Who We Are

• Vision and Mission
• Strategic Priorities
• Powers and Functions
• FOIA Statements

Our Leadership

• Board of Commissioners
• Executive Team
• Management
• Divisional Profiles
• Organisational Structure

Careers

• Vacancies

Memorandums of Understanding

Procurement

• Annual Schedule of Planned Procurement Activities

Factsheets

Contact Us