This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order. Please note that you will need Adobe Acrobat Reader plug-in to view these forms (available for free from Adobe through our About Adobe Acrobat (PDF) page).
| Number |
Description |
SEC Number |
Updated |
1933 Act — Forms |
| 1-A |
Offering Statement under Regulation A |
SEC486 |
12/01 |
|
| 2-A |
Report of sales and use of proceeds pursuant to Rule 257 of Regulation A |
SEC816 |
12/01 |
|
| 144 |
Notice of proposed sale of securities pursuant to Rule 144 |
SEC1147 |
01/04 |
|
| D |
Notice of sales of securites pursuant to Regulation D, Section 4(6), and/or uniform limited offering exemption |
SEC1972 |
6/02 |
|
| F-1 |
Registration statement for securities of certain foreign private issuers |
SEC1981 |
7/02 |
|
| F-2 |
Registration statement for securities of certain foreign private issuers |
SEC1982 |
11/03 |
|
| F-3 |
Registration statement for securities of certain foreign private issuers |
SEC1983 |
02/04 |
|
| F-4 |
Registration statement for securities of certain foreign private issuers issued in certain business combination transactions |
SEC2078 |
3/03 |
|
| F-6 |
Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts |
SEC2001 |
11/02 |
|
| F-7 |
Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders |
SEC2289 |
2/04 |
|
| F-8 |
Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination |
SEC2290 |
2/04 |
|
| F-9 |
Registration statement under the Securities Act of 1933 for certain investment grade preferred securities of certain Canadian issuers |
SEC2291 |
12/02 |
|
| F-10 |
Registration statement for securities of certain Candadian issuers |
SEC2292 |
11/02 |
|
| F-80 |
Registration statement for securities of certain Candadian issuers to be issued in exchange offers or a business combination |
SEC2282 |
2/04 |
|
| F-N |
Appointment of agent for service of process by foreign banks and foreign insurance companies |
SEC2306 |
2/04 |
|
| F-X |
Appointment of agent for service of process and undertaking |
SEC2288 |
1/04 |
|
| S-1 |
Registration statement under Securites Act of 1933 |
SEC870 |
10/03 |
|
| S-2 |
Registration statement under Securites Act of 1933 |
SEC1380 |
8/04 |
|
| S-3 |
Registration statement under Securites Act of 1933 |
SEC1379 |
8/04 |
|
| S-4 |
Registration statement under Securites Act of 1933 |
SEC2077 |
11/03 |
|
| S-6 |
Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 |
SEC649 |
09/02 |
|
| S-8 |
Registration statement under Securites Act of 1933 to be offered to employees pursuant to certain plans |
SEC1398 |
9/04 |
|
| S-11 |
Registration of securities of certain real estate companies |
SEC907 |
02/04 |
|
| S-20 |
Registration statement under the Securities Act of 1933 |
SEC2013 |
7/01 |
|
| SB-1 |
Registration statement for securities to be sold to the public by certain small business issuers |
SEC2338 |
02/04 |
|
| SB-2 |
Registration statement for securities to be sold to the public by certain small business issuers |
SEC2335 |
11/03 |
|
| ID |
Uniform application for access codes to file on EDGAR |
SEC2084 |
4/04 |
|
| SE |
Submission of Paper Format Exhibits by Electronic Filers |
SEC2082 |
3/99 |
|
| TH |
Notification of reliance on temporary hardship exemption |
SEC2348 |
3/99 |
|
1933 Act — Regulations |
| Reg. 15D |
Reports of registrants under the Securities Act of 1933 |
SEC2219 |
10/01 |
|
| Reg. A |
Conditional small issues exemption from registration |
SEC1782 |
12/01 |
|
| Reg. D |
Rules governing the limited offer and sale of securities without registration |
SEC1972A |
7/02 |
|
| Reg. M-A |
Mergers and acquisitions |
SEC2558 |
6/00 |
|
| Reg. S-B |
Integrated disclosure system for small business issuers |
SEC2345 |
12/03 |
|
| Reg. S-K |
Part 229 – Standard Instructions for Filing Forms Under Securities Act of 1933, Securities Exchange Act of 1934 and Energy Policy and Conservation Act of 1975 |
SEC1845 |
12/03 |
|
| Reg. S-T |
Part 232 – General Rules and Regulations for Electronic Filings |
SEC2351 |
02/04 |
|
| Reg. S-X |
Accounting Rules  |
SEC1887 |
11/04 |
|
1933 Act — Rules and Schedules |
| Rule 144 |
Persons deemed not to be engaged in a distribution and therefore not underwriters |
SEC2039 |
01/04 |
|
1934 Act — Forms |
| 1-N |
Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products |
SEC2568 |
11/02 |
|
| 3 |
Initial statement of beneficial ownership of securities |
SEC1473 |
6/04 |
|
| 3 |
Initial statement of beneficial ownership of securities — general instructions |
SEC1472 |
6/04 |
|
| 4 |
Statement of changes in beneficial ownership of securities |
SEC1474 |
6/03 |
|
| 4 |
Statement of changes in beneficial ownership of securities — general instructions |
SEC1475 |
6/03 |
|
| 5 |
Annual statement of changes in beneficial ownership of securities |
SEC2270T |
7/03 |
|
| 5 |
Annual statement of changes in beneficial ownership of securities — general instructions |
SEC2270 |
6/03 |
|
| 6-K |
Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 |
SEC1815 |
11/02 |
|
| 8-A |
Registration of certain classes of securities pursuant to Section 12(b) or (g) |
SEC1922 |
11/03 |
|
8-K  |
Current report pursuant to Section 13 or 15(d)
(Effective August 23, 2004) |
SEC873 |
8/04 |
|
| 10 |
General form for registration of securities pursuant to Section 12(b) or (g) |
SEC1396 |
11/03 |
|
| 10-K |
Annual report pursuant to Section 13 or 15(d) |
SEC1673 |
8/04 |
|
| 10-KSB |
Optional form for annual and transition reports of small business issuers under Section 13 or 15(d) |
SEC2337 |
8/04 |
|
| 10-Q |
General form for quarterly reports under Section 13 or 15(d) |
SEC1296 |
10/04 |
|
| 10-QSB |
Optional form for quarterly and transition reports of small business issuers under Sections 13 or 15(d) |
SEC2334 |
10/04 |
|
| 10-SB |
General form for the registration of securities of small business issuers |
SEC2336 |
11/03 |
|
| 11-K |
Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) |
SEC617 |
02/04 |
|
| 12b-25 |
Notification of late filing |
SEC1344 |
7/03 |
|
| 13F |
Information required of institutional investment managers pursuant to Section 13(f) |
SEC1685 |
10/03 |
|
| 15 |
Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d) |
SEC2069 |
9/03 |
|
| 18 |
Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 |
SEC1421 |
11/03 |
|
| 18-K |
Annual report for foreign governments and political subdivisions thereof |
SEC1797 |
11/03 |
|
| 20-F |
Registration statement / Annual report / Transition report |
SEC1852 |
6/04 |
|
| 40-F |
Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) |
SEC2285 |
8/03 |
|
| CB |
Tender offer/rights offering notification form |
SEC2560 |
10/03 |
|
| ID |
Uniform application for access codes to file on EDGAR |
SEC2084 |
4/04 |
|
| R31 |
Form for Reporting Covered Sales and Covered Round Turn
Transactions Under Section 31 of the Securities Exchange Act of 1934 |
SEC2502 |
7/04 |
|
| SE |
Submission of Paper Format Exhibits by Electronic Filers |
SEC2082 |
3/99 |
|
| TH |
Notification of Reliance on Temporary Hardship Exemption |
SEC2348 |
3/99 |
|
1934 Act — Regulations |
| Reg. 13A |
Reports of issuers of securities registered pursuant to Section 12 |
SEC2220 |
9/03 |
|
| Reg. 14A |
Solicitation of Proxies |
SEC733 |
3/03 |
|
| Reg. 14C |
Distribution of information pursuant to Section 14(C) |
SEC733A |
3/03 |
|
| Reg. 14D |
Disclosure requirements and minimum time for tender offers |
SEC1916 |
8/94 |
|
| Reg. M-A |
Mergers and acquisitions |
SEC2558 |
6/00 |
|
| Reg. S-X |
Accounting Rules |
SEC1887 |
11/04 |
|
1934 Act — Rules and Schedules |
| Rule 13e-3 |
Going private transactions by certain issuers or their affiliates |
SEC1893 |
11/01 |
|
| Sched. 13D |
Information to be included in statements filed pursuant to Rule 13-1(a) and amendments thereto filed pursuant to Rule 13d-2(a) |
SEC1746 |
11/03 |
|
| Sched. 13E-3 |
Rule 13e-3 transaction statement pursuant to Section 13(e) of the Securities Exchange Act of 1934 |
SEC1893A |
8/03 |
|
| Sched. 13E-4F |
Issuer tender offer statement pursuant to Section 13(e)(1) of the Securities Exchange Act of 1934 |
SEC2283 |
01/04 |
|
| Sched. 13G |
Information to be included in statements filed pursuant to §240.13d-1(G) and amendments thereto filed pursuant to §240.13d-2(G) |
SEC1745 |
12/02 |
|
| Sched. 14A |
Proxy statement pursuant to Section 14(a) |
SEC1913 |
4/04 |
|
| Sched. 14D-1F |
Tender Offer Statement Pursuant to Rule 14d-1(b) Under the Securities Exchange Act of 1934 |
SEC2296 |
5/04 |
|
| Sched. 14D-9 |
Solicitation/recommendation statement under Section 14(d)(4) of the Securities Exchange Act of 1934 |
SEC1917 |
3/00 |
|
| Sched. 14D-9F |
Solicitation/recommendation statement under Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) |
SEC2286 |
5/04 |
|
| Sched. TO |
Tender offer statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 |
SEC2559 |
6/02 |
|
Proxy and Tender Offer Forms, Rules, Regulations, and Schedules |
| CB |
Tender offer/rights offering notification form |
SEC2560 |
10/03 |
|
| Reg. 14A |
Solicitation of Proxies |
SEC733 |
3/03 |
|
| Reg. 14C |
Distribution of information pursuant to Section 14(C) |
SEC733A |
3/03 |
|
| Reg. 14D |
Disclosure requirements and minimum time for tender offers |
SEC1916 |
8/94 |
|
| Reg. M-A |
Mergers and acquisitions |
SEC2558 |
6/00 |
|
| Rule 13e-3 |
Going private transactions by certain issuers or their affiliates |
SEC1893 |
11/01 |
|
| Sched. 13D |
Information to be included in statements filed pursuant to Rule 13-1(a) and amendments thereto filed pursuant to Rule 13d-2(a) |
SEC1746 |
11/03 |
|
| Sched. 13E-3 |
Rule 13e-3 transaction statement pursuant to Section 13(e) of the Securities Exchange Act of 1934 |
SEC1893A |
8/03 |
|
| Sched. 13G |
Information to be included in statements filed pursuant to §240.13d-1(G) and amendments thereto filed pursuant to §240.13d-2(G) |
SEC1745 |
12/02 |
|
| Sched. 14A |
Proxy statement pursuant to Section 14(a) |
SEC1913 |
4/04 |
|
| Sched. 14D-1F |
Tender Offer Statement Pursuant to Rule 14d-1(b) Under the Securities Exchange Act of 1934 |
SEC2296 |
5/04 |
|
| Sched. 14D-9 |
Solicitation/recommendation statement under Section 14(d)(4) of the Securities Exchange Act of 1934 |
SEC1917 |
3/00 |
|
| Sched. TO |
Tender offer statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 |
SEC2559 |
6/02 |
|
Small Business Forms, Regulations, and Rules |
| 1-A |
Regulation A Offering Statement |
SEC486 |
12/01 |
|
| 2-A |
Report of sales and use of proceeds pursuant to Rule 257 of Regulation A |
SEC816 |
12/01 |
|
| 1-E |
Notification under Regulation E |
SEC1807 |
8/01 |
|
| 2-E |
Report of sales pursuant to Rule 609 of Regulation E |
SEC1808 |
12/00 |
|
| D |
Notice of sales of securites pursuant to Regulation D, Section 4(6), and/or uniform limited offering exemption |
SEC1972 |
6/02 |
|
| N-5 |
Registration statement of small business investment companies |
SEC993 |
11/01 |
|
| Reg. A |
Conditional small issues exemption from registration |
SEC1782 |
12/01 |
|
| Reg. D |
Rules governing the limited offer and sale of securities without registration |
SEC1972A |
7/02 |
|
| Reg. S-B |
Integrated disclosure system for small business issuers |
SEC2345 |
12/03 |
|
| Rule 144 |
Persons deemed not to be engaged in a distribution and therefore not underwriters |
SEC2039 |
01/04 |
|
| Reg. E |
Exemption for securities of small business investment companies |
SEC1949 |
10/03 |
|
| S-1 |
Registration statement under Securites Act of 1933 |
SEC870 |
10/03 |
|
| SB-1 |
Registration statement for securities to be sold to the public by certain small business issuers |
SEC2338 |
02/04 |
|
| SB-2 |
Registration statement for securities to be sold to the public by certain small business issuers |
SEC2335 |
11/03 |
|
International Business Forms, Regulations, and Rules |
| 6-K |
Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 |
SEC1815 |
11/02 |
|
| 20-F |
Registration statement / Annual report / Transition report |
SEC1852 |
6/04 |
|
| 40-F |
Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) |
SEC2285 |
8/03 |
|
| F-1 |
Registration statement for securities of certain foreign private issuers |
SEC1981 |
7/02 |
|
| F-2 |
Registration statement for securities of certain foreign private issuers |
SEC1982 |
11/03 |
|
| F-3 |
Registration statement for securities of certain foreign private issuers |
SEC1983 |
02/04 |
|
| F-4 |
Registration statement for securities of certain foreign private issuers issued in certain business combination transactions |
SEC2078 |
3/03 |
|
| F-6 |
Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts |
SEC2001 |
11/02 |
|
| F-7 |
Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders |
SEC2289 |
2/04 |
|
| F-8 |
Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination |
SEC2290 |
2/04 |
|
| F-9 |
Registration statement under the Securities Act of 1933 for certain investment grade preferred securities of certain Canadian issuers |
SEC2291 |
12/02 |
|
| F-10 |
Registration statement for securities of certain Candadian issuers |
SEC2292 |
11/02 |
|
| F-80 |
Registration statement for securities of certain Candadian issuers to be issued in exchange offers or a business combination |
SEC2282 |
2/04 |
|
| F-X |
Appointment of agent for service of process and undertaking |
SEC2288 |
1/04 |
|
| Sched. 14D-9F |
Solicitation/recommendation statement under Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) |
SEC2286 |
5/04 |
|
EDGAR Forms and Regulations |
| ID |
Uniform application for access codes to file on EDGAR |
SEC2084 |
4/04 |
|
| SE |
Submission of paper format exhibits by electronic filers |
SEC2082 |
3/99 |
|
| TH |
Notification of reliance on temporary hardship exemption |
SEC2348 |
3/99 |
|
Trust Indenture Act of 1939 — Forms |
| T-1 |
Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees |
SEC1836 |
7/04 |
|
| T-2 |
Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee |
SEC1849 |
8/04 |
|
| T-3 |
For applications for qualification of indentures under the Trust Indenture Act of 1939 |
SEC1919 |
02/04 |
|
| T-4 |
Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 |
SEC1920 |
8/04 |
|
| T-6 |
Application under Section 310(a)(1) of the Trust Indenture Act of 1939 for determination of eligibility of a foreign personal to act as institutional trustee |
SEC2275 |
8/04 |
|
Public Utility Holding Company Act of 1935 — Forms |
| U-1 |
Application or declaration under the PUHCA of 1935 |
SEC1476 |
10/04 |
|
| U-3A-2 |
Statement by holding company claiming exemption under Rule U-3A-2 of the PUHCA of 1935 |
SEC1834 |
4/02 |
|
| U-3A3-1 |
Twelve month statement by bank claiming exemptions as a holding company or exemption from Section 9(a)(2) of the PUHCA of 1935 |
SEC1835 |
6/01 |
|
| U5A |
Notification of registration filed under Section 5(a) of the PUHCA of 1935 |
SEC1843 |
10/03 |
|
| U5B |
Registration statement filed pursuant to Section 5 of PUHCA of 1935 |
SEC1844 |
10/03 |
|
| U-5S |
Annual report for Public Utility Holding Company |
SEC1306 |
11/04 |
|
| U-6B-2 |
Certificate of notification |
SEC242 |
7/04 |
|
| U-7D |
Certificate pursuant to Rule 7(d) of the Public Utility Holding Company Act of 1935 |
SEC1771 |
7/01 |
|
| U-9C-3 |
Quarterly report pursuant to Rule 58 |
SEC2422 |
4/02 |
|
| U-12(I)-A |
Statement pursuant to Section 12(I) of PUHCA of 1935 by a person employed or retained by a registered holding company or a subsidiary thereof |
SEC1381 |
4/02 |
|
| U-12(I)-B |
Statement pursuant to Section 12(I) of PUHCA of 1935 by a person regularly employed or retained by a registered holding company or a subsidiary thereof and whose employment contemplates only routine expenses as specified in Rule 71(b) |
SEC979 |
4/02 |
|
| U-13-1 |
Application for approval of mutual service company pursuant to Rule 88 or declaration with respect to organization and conduct of business of subsidiary service company pursuant to Rule 88 |
SEC1925 |
7/01 |
|
| U-13-60 |
Annual report for the period by a reporting company |
SEC1926 |
4/02 |
|
| U-13E-1 |
Report to be filed pursuant to Rule U-13e-1 under the Public Holding Company Act by an affilliate service company or a company principally engaged in the performance of services |
SEC1888 |
4/04 |
|
| U-57 |
Notification of foreign utility company status |
SEC2372 |
6/04 |
|
| U-R-1 |
Declarations as to solicitations pursuant to Rule U-62 |
SEC1927 |
7/01 |
|
Insiders (Officers, Directors & Significant Shareholders) |
| 3 |
Initial statement of beneficial ownership of securities |
SEC1473 |
6/04 |
|
| 3 |
Initial statement of beneficial ownership of securities — general instructions |
SEC1472 |
6/04 |
|
| 4 |
Statement of changes in beneficial ownership of securities |
SEC1474 |
6/03 |
|
| 4 |
Statement of changes in beneficial ownership of securities — general instructions |
SEC1475 |
6/03 |
|
| 5 |
Annual statement of changes in beneficial ownership of securities |
SEC2270T |
7/03 |
|
| 5 |
Annual statement of changes in beneficial ownership of securities — general instructions |
SEC2270 |
6/03 |
|
| Sched. 13D |
Information to be included in statements filed pursuant to Rule 13-1(a) and amendments thereto filed pursuant to Rule 13d-2(a) |
SEC1746 |
11/03 |
|
| Sched. 13G |
Information to be included in statements filed pursuant to §240.13d-1(G) and amendments thereto filed pursuant to §240.13d-2(G) |
SEC1745 |
12/02 |
|
| Rule 144 |
Persons deemed not to be engaged in a distribution and therefore not underwriters |
SEC2039 |
01/04 |
|
Investment Company Registration & Reporting |
| 1-E |
Notification under Regulation E |
SEC1807 |
8/01 |
|
| 2-E |
Report of sales pursuant to Rule 609 of Regulation E |
SEC1808 |
12/00 |
|
| 24F-2 |
Annual notice of securities sold pursuant to Rule 24-f2 |
SEC2393 |
6/02 |
|
| N-1A |
Registration form for open-end management investment companies |
SEC2052 |
8/04 |
|
| N-2 |
Registration statement for closed-end management investment companies |
SEC1716 |
4/04 |
|
| N-3 |
Registration statement of separate accounts organized as management investment companies |
SEC2124 |
6/04 |
|
| N-4 |
Registration statement of separate accounts organized as unit investment trusts |
SEC2125 |
6/04 |
|
| N-5 |
Registration statement of small business investment company |
SEC993 |
11/01 |
|
| N-6 |
Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies |
SEC2567 |
6/04 |
|
| N-6E1-1 |
Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 |
SEC1130 |
3/03 |
|
| N-6F |
Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 |
SEC1936 |
3/01 |
|
| N-8A |
Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 |
SEC1102 |
12/01 |
|
| N-8B-2 |
Registration statement of unit investment trusts which are currently issuing securities |
SEC977 |
6/02 |
|
| N-8F |
Application for deregistration of certain registered investment companies |
SEC1691 |
5/02 |
|
| N-14 |
Form for the registration of securities issued in business combination transactions by investment companies and business development companies |
SEC2106 |
6/02 |
|
| N-17D-1 |
Report filed by small business investment company (SBIC) |
SEC1839 |
10/03 |
|
| N-17f-1 |
Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securites exchanges |
SEC2205 |
11/03 |
|
| N-17f-2 |
Certificate of accounting of securities and similar investments in the custody of management investment companies |
SEC2198 |
10/03 |
|
| N-18f-1 |
Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 |
SEC1846 |
10/03 |
|
| N-23c-3 |
Notification of repurchase offer |
SEC2380 |
10/03 |
|
| N-27D-1 |
Accounting of Segregated Trust Account |
SEC1840 |
10/03 |
|
| N-27E-1 |
Notice to periodic payment plan certificate holders of 18-month surrender rights with respect to periodic payment plan certificates |
SEC1928 |
4/04 |
|
| N-27F-1 |
Notice to periodic payment plan certificate holders of 45 days withdrawal right with respect to periodic payment plan certificates |
SEC1929 |
10/03 |
|
| N-54A |
Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 |
SEC1937 |
10/03 |
|
| N-54C |
Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 |
SEC1938 |
3/01 |
|
| N-CSR |
Certified shareholder report of registered management investment companies |
SEC2569 |
4/04 |
|
| N-PX |
Annual Report of Proxy Voting Record of Registered Management Investment Company |
SEC2451 |
4/03 |
|
| N-Q |
Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company |
SEC2455 |
4/04 |
|
| N-SAR |
Semi-annual report of registered investment companies |
SEC2100 |
05/03 |
|
Investment Adviser Forms |
| ADV |
Uniform application for investment adviser registration |
SEC1707 |
10/03 |
|
| ADV-E |
Certificate of accounting of client securities and funds in the possession or custody of an investment adviser |
SEC2223 |
11/00 |
|
| ADV-H |
Application for a temporary or continuing hardship exemption |
SEC2566 |
10/03 |
|
| ADV-NR |
Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser |
SEC2565 |
10/03 |
|
| ADV-W |
Notice of withdrawal from registration as investment adviser |
SEC777 |
10/03 |
|
Broker-Dealer Registration & Reporting |
| 17-H |
Risk Assessment for Brokers & Dealers |
SEC2332 |
4/01 |
|
| BD |
Uniform application for broker-dealer registration |
SEC1490 |
5/02 |
|
| BD-N |
Notice of registration as a broker-dealer for the purpose of trading security futures products pursuant to Section 15(b)(11) |
SEC1500 |
11/01 |
|
| BDW |
Uniform request for broker-dealer withdrawal |
SEC122 |
11/00 |
|
| X-17A-5 Schedule I |
(Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5 |
SEC1675 |
6/02 |
|
| X-17A-5 Part I |
FOCUS Report, Part I |
SEC1705 |
4/03 |
|
| X-17A-5 Part II |
FOCUS Report, Part II |
SEC1695 |
7/02 |
|
| X-17A-5 Part II |
FOCUS Report, Part II Instructions |
SEC1695A |
2/04 |
|
| X-17A-5 Part IIA |
FOCUS Report Part IIa |
SEC1696 |
2/03 |
|
| X-17A-5 Part IIA |
FOCUS Report Part IIa Instructions |
SEC1696A |
4/02 |
|
| X-17A-5 Part IIB |
FOCUS Report, Part IIb (OTC Derivatives Dealer) |
SEC2430 |
2/02 |
|
| X-17A-5 Part III |
FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III |
SEC1410 |
6/02 |
|
Clearing Agency Application |
| CA-1 |
Registration or exemption from registration as a clearing agency and for amendment to registration |
SEC1853 |
10/02 |
|
Municipal Securities Dealer Registration |
| MSD |
Application for registration as a municipal securities dealer or amendment to such application |
SEC1534 |
4/02 |
|
| MSDW |
Notice of withdrawal from registration as a municipal securities dealer |
SEC1588 |
4/02 |
|
Transfer Agent Registration |
| TA-1 |
Uniform form for registration as a transfer agent and for amendment to registration |
SEC1528 |
9/01 |
|
| TA-2 |
Form for reporting activities of transfer agents |
SEC2113 |
12/00 |
|
| TA-W |
Notice of withdrawal from registration as transfer agent |
SEC1669 |
7/02 |
|
SROs, Exchanges & Alternative Trading Systems |
| 1 |
Application for registration or exemption from registration as a national securities exchange |
SEC1935 |
2/99 |
|
| 1-N |
Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products |
SEC2568 |
11/02 |
|
| 19b-4 |
Proposed rule change by self-regulatory organization |
SEC1832 |
6/01 |
|
| 19b-4(e) |
Information required of a self-regulatory organization listing and trading a new derivative securities product pursuant to Rule 19b-4(e) under the Securities Exchange Act of 1934 |
SEC2449 |
6/01 |
|
| 19b-7 |
Proposed rule change by self-regulatory organization |
SEC2450 |
4/03 |
|
| 25 |
Notification of the removal from listing and registration of matured, redeemed or retired securities |
SEC1654 |
10/02 |
|
| 26 |
Notification of the admission to trading of a substituted or additional class of security under Rule 12a-5 |
SEC483 |
6/01 |
|
| ATS |
Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems |
SEC2550 |
4/02 |
|
| ATS-R |
Quarterly report of alternative trading systems activities |
SEC2551 |
4/02 |
|
| PILOT |
Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations |
SEC2552 |
6/01 |
|
| R31 |
Form for Reporting Covered Sales and Covered Round Turn
Transactions Under Section 31 of the Securities Exchange Act of 1934 |
SEC2502 |
7/04 |
|
| X-15AJ-1 |
Amendatory and/or supplementary statement to registration statement |
SEC894 |
4/01 |
|
| X-15AJ-2 |
Annual consolidated supplement |
SEC895 |
5/00 |
|
Other Forms |
| |
Supplemental Information for Regulated Entities* Directed to Supply Information Other Than Pursuant to a Commission Subpoena |
SEC1661 |
5/04 |
|
| |
Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena |
SEC1662 |
5/04 |
|
| |
Notice on Supplying Information Voluntarily |
SEC2405 |
7/96 |
|
| SIP |
Application or amendment to application for registration as securities infomation processor |
SEC1939 |
9/02 |
|
