Resolution modifying the General Provisions applicable to brokerage houses

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DOF: 06/07/2026

RESOLUTION that modifies the General Provisions applicable to brokerage houses

At the margin, a seal with the National Coat of Arms, which says: United Mexican States.- Treasury.- Ministry of Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission, based on the provisions of articles 205, second paragraph, and 210, second paragraph of the Securities Market Law; 98 Bis of the Credit Institutions Law; 19, fractions XIV and XV, and 24 of the National Law to Eliminate Bureaucratic Procedures; as well as 4, fractions II, III, V, XXXVI, and XXXVIII; 14; 16, fractions I and XVII of the National Banking and Securities Commission Law, and

CONSIDERING

That, on July 24, 2025, the "Resolution that modifies the General Provisions applicable to brokerage houses" was published in the Official Gazette of the Federation, through which adjustments were made to the regulations regarding special accounting criteria and special accounting records, with the objective of providing legal certainty regarding natural phenomena that trigger the condition for their authorization and the requirements that must be met to demonstrate adverse impact on the solvency or liquidity of brokerage houses and, if applicable, on the stability of the financial system as a whole, or when such financial entities are carrying out financial rehabilitation or corporate restructuring processes, and

That, in compliance with what is established in the "General Agreement by which simplification and administrative improvement actions are established for procedures carried out before the National Banking and Securities Commission" published in the Official Gazette of the Federation on December 31, 2025, as well as article 24, second paragraph of the National Law to Eliminate Bureaucratic Procedures, it is necessary to modify the "General Provisions applicable to brokerage houses" to establish the application formats for procedures related to the authorization of special accounting records and special accounting criteria, as well as to reduce the maximum response times of the authority regarding such authorizations, has resolved to issue the following:

RESOLUTION THAT MODIFIES THE GENERAL PROVISIONS APPLICABLE TO BROKERAGE HOUSES

SINGLE.- Articles 171, fourth and fifth paragraphs; 171 Bis, second and third paragraphs, are REFORMED, and Annex 20 is added to the "General Provisions applicable to brokerage houses" published in the Official Gazette of the Federation on September 6, 2004 and modified through various resolutions, to read as follows:

" FIRST TO SEVENTH TITLES . . .

TRANSITORY PROVISIONS

List of Annexes

ANNEXES A to D . . .

ANNEXES 1 TO 19

. . .

ANNEX 20

Formats for the submission of information to the National Banking and Securities Commission.

CONSIDERATIONS

REFERENCES "

" Article 171.- . . .

. . .

. . .

The authorization request must be sent to the Commission in accordance with the format contained in Annex 20 of these provisions and must be signed with an autograph signature, or by means of Advanced or Reliable Electronic Signature, by the legal representative of the brokerage houses or, if applicable, by the legal representative of the self-regulatory organizations recognized by the Commission or of any guild representation body.

The Commission will resolve the authorization request referred to in the previous paragraph, within a period of sixty business days counted from the day following its receipt. Until the respective resolution is notified, brokerage houses must continue using the accounting criteria established in Annex 5 of these provisions.

If this period elapses without the Commission issuing or notifying the corresponding resolution, it will be understood in a negative sense and the request will be considered dismissed.

. . . "

" Article 171 Bis.- . . .

The request to obtain authorization for the application of special accounting records must be sent to the Commission in accordance with the format contained in Annex 20 of these provisions and must be signed with an autograph signature, or by means of Advanced or Reliable Electronic Signature, by the legal representative of the brokerage house, and must contain at least the following:

I. to V.

. . .

. . .

a) and b)

. . .

The Commission will resolve the authorization request referred to in the previous paragraph, within a period of sixty business days counted from the day following its receipt. Until the respective resolution is notified, brokerage houses must continue using the accounting criteria established in Annex 5 of these provisions.

If this period elapses without the Commission issuing or notifying the corresponding resolution, it will be understood in a negative sense and the request will be considered dismissed. "

TRANSITORY PROVISIONS

FIRST.- This Resolution will enter into force from the day following its publication in the Official Gazette of the Federation.

SECOND.- Brokerage houses that, prior to the entry into force of this modifying Resolution, have presented their authorization request to the Commission in terms of what is established by articles 171 or 171 Bis, as applicable, will continue their process in accordance with what is provided in the "General Agreement by which simplification and administrative improvement actions are established for procedures carried out before the National Banking and Securities Commission" published in the Official Gazette of the Federation on December 31, 2025, in the case of those authorization requests that were entered prior to the entry into force of the aforementioned Agreement, they will be processed in accordance with the second transitory article of the same.

THIRD.- Brokerage houses that, prior to the entry into force of this modifying Resolution, have authorization issued by the Commission in terms of what is established in articles 171 or 171 Bis, as applicable, will remain in effect until the date of their conclusion.

Respectfully

Mexico City, June 25, 2026.- President of the National Banking and Securities Commission, Ángel Cabrera Mendoza.- Rubric.

" ANNEX 20

FORMATS FOR THE SUBMISSION OF INFORMATION TO THE NATIONAL BANKING AND SECURITIES COMMISSION

Brokerage houses must present the corresponding formats in accordance with what is established in these provisions, duly completed in their entirety, as follows:

INDEX

Legal Basis

Name of the Format

Article 171

Request for authorization or extension of special accounting criteria to supervised financial entities when competent authorities issue declarations of emergency or natural disaster due to the occurrence of perturbing natural phenomena that generate effects on the economy and that could cause an adverse impact on the solvency or liquidity of the entities and, if applicable, on the stability of the financial system.

Article 171 Bis

Request for authorization of special accounting records to supervised financial entities that carry out financial rehabilitation or corporate restructuring processes, seeking their stability and correct functioning.

Request for authorization or extension of special accounting criteria to supervised financial entities when competent authorities issue declarations of emergency or natural disaster due to the occurrence of perturbing natural phenomena that generate effects on the economy and that could cause an adverse impact on the solvency or liquidity of the entities and, if applicable, on the stability of the financial system

Request for authorization of special accounting records to supervised financial entities that carry out financial rehabilitation or corporate restructuring processes, seeking their stability and correct functioning

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