Brokerage Activities

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Old No. 1497 Text/Section/Part/Date: 2025-12-31

Basic Circular for Banks No. 31 Also addressed to financial institutions and brokerage firms

We enclose a copy of Basic Decision No. 6464 dated January 28, 1997, concerning the status of daily transactions for financial instruments executed in organized financial markets in Lebanon.

Beirut, January 28, 1997 Governor Riad T. Salamé

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Basic Decision No. 6464

The Governor of the Central Bank of Lebanon, pursuant to the Monetary and Loan Law, particularly Article 70 thereof, and Article 1 of Law No. 520 dated June 6, 1996 and Articles 8 and 18 of Basic Decision No. 6213 dated June 28, 1996 and the resolution of the Central Council adopted in its meeting held on January 22, 1997

decides as follows:

Article 1: Banks, financial institutions, and brokerage firms acting as brokers in any of the organized financial markets in Lebanon, particularly the Beirut Stock Exchange 1, are requested to provide the Central Bank of Lebanon (Non-Banking Financial Institutions Directorate and Banks Supervision Committee) with:

1. The status of daily transactions executed in organized financial markets in Lebanon for all financial instruments, according to attached Form No. 1, before 10:00 AM on the following business day.
2. A monthly statement for transactions concerning these financial instruments, according to attached Form No. 2, within a period not exceeding the third business day of the month following the reported month.

Article 2: The Central Bank of Lebanon may receive the daily status directly or through the concerned organized financial markets in Lebanon, particularly the Beirut Stock Exchange.

Article 3: This decision takes effect upon its publication in the Official Gazette. Beirut, January 28, 1997 Governor of the Central Bank of Lebanon Riad T. Salamé

1 - The name "Financial Markets Directorate" was amended to become "Banking Directorate" pursuant to Central Bank of Lebanon Decision No. 11943 dated February 4, 2015, and subsequently amended to become "Non-Banking Financial Institutions Directorate" pursuant to Decision No. 13788 dated December 30, 2025, effective as of January 1, 2026.

• Reference No. 910 dated November 2, 2015

133 Date: 2015-12-31 / Section/Part

Form No. 1 Daily Transactions Status Broker Name: Broker Number: Financial Instrument Traded: Date:

Settlement	Purchase Transactions	Total Value ($...)
Total:	Counterparty Broker
	Quantity Executed
	Special Orders
	Mandatory Purchase
	Execution Price
	Total
	Of which due to him
	Of which for others
Signature:

134 Form No. 2 Monthly Transactions Statement Broker Name: Broker Number: Date:

Purchase Transactions	Company Name	Financial Instrument	Total Value ($000)	Quantity	Of which for residents *	Of which for non-residents *
Sales Transactions	Company Name	Financial Instrument	Total Value ($000)	Quantity	Of which for residents *	Of which for non-residents *
Total:
Signature:

• The classification between residents and non-residents must be based on the source of the purchase or sales order, in accordance with Basic Circular No. 24 dated May 17, 1996.