Welcome to the OCFI’s Securities Area Section.

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 www.finra.org/investors/toolscalculators/brokercheck 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

 

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.

 

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)

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 - To see a list of all authorized Puerto Rico Investment Companies (mutual funds).

Forms

Education for Investors and the General Public

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Aviso Legal / Derecho a la Intimidad

2003-2010 Oficina del Comisionado de Instituciones Financieras.