Resolution modifying the general provisions applicable to securities broker-dealers

DOF: 12/12/2018

RESOLUTION modifying the general provisions applicable to securities broker-dealers

A seal with the National Coat of Arms appears at the margin, which reads: United Mexican States.- Ministry of Finance and Public Credit.- National Banking and Securities Commission.

The National Banking and Securities Commission,

based on the provisions of Article 180 of the Securities Market Law, as well as Articles 4, fractions XXXVI and XXXVIII, and 16, fraction I of the Law of the National Banking and Securities Commission, and

CONSIDERING

That it is important for securities depository institutions to have timely information regarding debt instrument transactions conducted by securities broker-dealers, and therefore it is essential to specify the deadline and manner in which such transactions must be reported to these securities depository institutions, has resolved to issue the following:

RESOLUTION MODIFYING THE GENERAL PROVISIONS APPLICABLE TO SECURITIES BROKER-DEALERS

SOLE ARTICLE. Article 30 is AMENDED and the fourth paragraph of Article 99 of the General Provisions Applicable to Securities Broker-Dealers, published in the Official Gazette of the Federation on September 6, 2004, and modified by Resolutions published in the said Official Gazette on March 9, 2005; March 29, June 26, December 6 and 22, 2006; January 17, 2007; August 11, September 19 and October 23, 2008; April 30 and December 30, 2009; February 4, July 29 and November 26, 2010; August 23, 2011; February 16, March 23 and December 17, 2012; January 31, July 2 and 11, 2013; January 30, June 5 and 30 and December 19, 2014; January 6, 8 and 9, March 13, September 18 and December 31, 2015; May 12, September 28 and December 27, 2016; June 23, July 24, September 5, October 3 and 18 and December 18, 2017; January 4, April 10, 26, May 11 and August 21, 2018, shall read as follows:

" Article 30.- Securities broker-dealers shall communicate to the securities depository institution in which they have deposited the securities, each of the transactions they conduct regarding securities that are debt instruments, no later than the same day of their execution, except as provided in the following paragraph.

When dealing with buy-sell transactions with debt instruments conducted with other securities broker-dealers or credit institutions, they shall make the communication referred to in this article, as soon as technologically possible without exceeding thirty minutes.

In the communications referred to in this article, the time at which each of the transactions was closed must be reported in the terms established for such effect in the internal regulations of the respective securities depository institutions.

The provisions of this article shall also apply to securities traded abroad for which securities depository institutions maintain a record. "

" Article 99.- . . .

. . .

Third paragraph.- Repealed.

Fourth paragraph.- Repealed.

. . .

. . . "

TRANSITIONAL PROVISION

SOLE. This Resolution shall enter into force on July 31, 2019.

Respectfully,

Mexico City, November 21, 2018.- The President of the National Banking and Securities Commission, José Bernardo González Rosas.- Signature.

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