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Forms List

 
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 Reader plug-in to view these forms (available for free from Adobe through our About Adobe Acrobat (PDF) page).
 
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Number Description Last Updated SEC Number Topic(s)
CFPORTAL Application or Amendment to Application for Registration or Withdrawal from Registration as Funding Portal Under the Securities Exchange Act of 1934 (PDF)
Oct. 2015Securities Exchange Act of 1934, Funding Portal
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 (PDF)
May 2013SEC1675Broker-Dealers
N-27D-1 Accounting of Segregated Trust Account (PDF)
April 2014

SEC1840

Investment Company Act of 1940, Investment Companies
24F-2 Annual notice of securities sold pursuant to Rule 24-f2 (PDF)
June 2002SEC2393Investment Company Act of 1940, Investment Companies
18-K Annual report for foreign governments and political subdivisions thereof (PDF)
April 2007SEC1797Securities Exchange Act of 1934
N-PX Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)
April 2003SEC2451Investment Company Act of 1940, Investment Companies
10-K Annual report pursuant to Section 13 or 15(d) (PDF)
Nov. 2014SEC1673Securities Exchange Act of 1934, Form 10-K
1-K Annual Reports and Special Financial Reports (PDF)
June 2015

SEC2913

Securities Act of 1933, Small Businesses
11-K Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (PDF)
Feb. 2008SEC617Securities Exchange Act of 1934
5 Annual statement of changes in beneficial ownership of securities (PDF)
Nov. 2011SEC2270TSecurities Exchange Act of 1934, Directors, Significant Shareholders, Officers
5 Annual statement of changes in beneficial ownership of securities -— general instructions (PDF)
Nov. 2011SEC2270Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
ADV-H Application for a temporary or continuing hardship exemption (PDF)
Sept. 2011SEC2566Investment Advisers Act of 1940, Investment Advisers
WB-APP Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (PDF)
Aug. 2011SEC2851Tips Complaints and Referrals, Whistleblower
N-8F Application for deregistration of certain registered investment companies (PDF)
Sept. 2010SEC1691Investment Company Act of 1940, Investment Companies
T-4 Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (PDF)
Jan. 2007SEC1920Trust Indenture Act of 1939
MA Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration (PDF)
Sept. 2013

SEC2898

Securities Exchange Act of 1934, Municipal Advisors
MSD Application for registration as a municipal securities dealer or amendment to such application (PDF)
Dec. 2013SEC1534Municipal Securities
NRSRO Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (PDF)
April 2015SEC1541NRSRO
SBSE Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)
Jan. 2016

SEC2924

Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-BD Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers (PDF)
Jan. 2016

SEC2926

Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-A Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer (PDF)
Jan. 2016

SEC2925

Dodd-Frank Act of 2010, Securities Exchange Act of 1934
1 Application for registration or exemption from registration as a national securities exchange (PDF)
Feb. 1999SEC1935Self-Regulatory Organizations
18 Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF)
Jan. 2007SEC1421Securities Exchange Act of 1934
SIP Application or amendment to application for registration as securities infomation processor (PDF)
March 2013SEC1939Other Forms and Materials
SDR Application or Amendment to Application for Registration or Withdrawal from Registration As Security-Based Swap Data Repository Under the Securities Exchange Act of 1934 (PDF)
Feb. 2015

SEC2911

Dodd-Frank Act of 2010, Securities Exchange Act of 1934, SBS Data Repositories
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 (PDF)
Jan. 2007SEC2275Trust Indenture Act of 1939
F-X Appointment of agent for service of process and undertaking (PDF)
Feb. 2008SEC2288Securities Act of 1933, International
F-N Appointment of agent for service of process by foreign banks and foreign insurance companies (PDF)
Oct. 2006SEC2306Securities Act of 1933
ADV-NR Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (PDF)
Sept. 2011SEC2565Investment Advisers Act of 1940, Investment Advisers
10-D Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (PDF)
July 2016SEC2503Securities Exchange Act of 1934
ABS-15G Asset-Backed Securitizer Report (PDF)
June 2015SEC2860Securities Exchange Act of 1934
ADV-E Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (PDF)
Jan. 2013SEC2223Investment Advisers Act of 1940, Investment Advisers
N-17f-2 Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF)
April 2009SEC2198Investment Company Act of 1940, Investment Companies
N-17f-1 Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (PDF)
Nov. 2003SEC2205Investment Company Act of 1940, Investment Companies
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) (PDF)
Feb. 2008SEC2069Securities Exchange Act of 1934
15F Certification of a Foreign Private Issuer’s Termination of Registration of a Class of Securities Under Section 12(G) of the Securities Exchange Act of 1934 or Its Termination of the Duty to File Reports Under Section 13(A) or Section 15(D) of the Securities Exchange Act of 1934 (PDF)
Jan. 2014Securities Exchange Act of 1934
ABS DD-15E Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities (PDF)
June 2015

SEC2917

Securities Exchange Act of 1934, Form ABS Due Diligence-15E
SBSE-C Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)
Jan. 2016

SEC2927

Dodd-Frank Act of 2010, Securities Exchange Act of 1934
N-CSR Certified shareholder report of registered management investment companies (PDF)
Oct. 2010SEC2569Investment Company Act of 1940, Investment Companies
N-CR Current Report, Money Market Fund Material Events (PDF)
Jan. 2015

SEC2918

Investment Company Act of 1940, Investment Companies
1-U Current Report Pursuant to Regulation A (PDF)
June 2015

SEC2915

Securities Act of 1933, Small Businesses
8-K Current report pursuant to Section 13 or 15(d) (PDF)
July 2016SEC873Securities Exchange Act of 1934
MA-NR Designation of U.S. Agent for Service of Process for Non-Residents (PDF)
Sept. 2013

SEC2900

Securities Exchange Act of 1934, Municipal Advisors
1-Z Exit Report Under Regulation A (PDF)
June 2015

SEC2916

Securities Act of 1933, Small Businesses
X-17A-5 Part I FOCUS Report, Part I (PDF)
April 2003SEC1705Broker-Dealers
X-17A-5 Part II FOCUS Report, Part II (PDF)
July 2002SEC1695Broker-Dealers
X-17A-5 Part II FOCUS Report, Part II Instructions (PDF)
Feb. 2004SEC1695ABroker-Dealers
X-17A-5 Part IIB FOCUS Report, Part IIb (OTC Derivatives Dealer) (PDF)
March 2012SEC2430Broker-Dealers
X-17A-5 Part III FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III (PDF)
May 2013SEC1410Broker-Dealers
X-17A-5 Part IIA FOCUS Report Part IIa (PDF)
Feb. 2003SEC1696Broker-Dealers
X-17A-5 Part IIA FOCUS Report Part IIa Instructions (PDF)
April 2002SEC1696ABroker-Dealers
T-3 For applications for qualification of indentures under the Trust Indenture Act of 1939 (PDF)
Jan. 2007SEC1919Trust Indenture Act of 1939
1-N Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF)
Dec. 2013SEC2568Securities Exchange Act of 1934, Self-Regulatory Organizations
C Form C (PDF)
May 2016

SEC 2930

Securities Act of 1933
TA-2 Form for reporting activities of transfer agents (PDF)
Aug. 2012

SEC2113

Transfer Agents
R31 Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (PDF)
Sept. 2013SEC2502Securities Exchange Act of 1934, Self-Regulatory Organizations
ABS-EE Form for Submission of Electronic Exhibits for Asset-Backed Securities (PDF)
Nov. 2014

SEC2910

Securities Act of 1933
N-14 Form for the registration of securities issued in business combination transactions by investment companies and business development companies (PDF)
July 2013SEC2106Investment Company Act of 1940, Investment Companies
NRSRO Form NRSRO - April 2009 Instructions (PDF)
April 2009NRSRO
10-Q General form for quarterly reports under Section 13 or 15(d) (PDF)
Jan. 2012SEC1296Securities Exchange Act of 1934
10 General form for registration of securities pursuant to Section 12(b) or (g) (PDF)
Feb. 2008SEC1396Securities Exchange Act of 1934
n/a Industry Guides (PDF)
May 2007SEC2056Other Forms and Materials
MA-I Information Regarding Natural Persons who Engage in Municipal Advisory Activities (PDF)
Sept. 2013

SEC2899

Securities Exchange Act of 1934, Municipal Advisors
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 (PDF)
July 2013SEC2449Self-Regulatory Organizations
13F Information required of institutional investment managers pursuant to Section 13(f) (PDF)
Jan. 2012

SEC1685

Securities Exchange Act of 1934
13H Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 (PDF)
Nov. 2011SEC2858Securities Exchange Act of 1934
ATS Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (PDF)
May 2005SEC2550Self-Regulatory Organizations
PILOT Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (PDF)
Sept. 2013SEC2552Self-Regulatory Organizations
3 Initial statement of beneficial ownership of securities (PDF)
Nov. 2011SEC1473Securities Exchange Act of 1934, Directors, Officers, Significant Shareholders
3 Initial statement of beneficial ownership of securities -— general instructions (PDF)
Nov. 2011SEC1472Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
MA Instructions for the Form MA Series (PDF)
Sept. 2013Securities Exchange Act of 1934, Municipal Advisors
8-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (PDF)
June 2012SEC877Broker-Dealers
7-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (PDF)
June 2012SEC876Broker-Dealers
10-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer (PDF)
June 2012SEC878Broker-Dealers
9-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer (PDF)
June 2012SEC878Broker-Dealers
X-17F-1A Missing/Lost/Stolen/Counterfeit Securities Report (PDF)
May 2001SEC1666Broker-Dealers
N-MFP Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF)
June 2016SEC2847Investment Company Act of 1940, Investment Companies
D Notice of Exempt Offering of Securities
March 2009SEC1972Securities Act of 1933, Small Businesses
N-6F Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
March 2001SEC1936Investment Company Act of 1940, Investment Companies
144 Notice of proposed sale of securities pursuant to Rule 144 (PDF)
Aug. 2007SEC1147Securities Act of 1933
BD-N Notice of registration as a broker-dealer for the purpose of trading security futures products pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 (PDF)
Jan. 2008SEC1500Broker-Dealers
MA-W Notice of Withdrawal from Registration as a Municipal Advisor (PDF)
Sept. 2013

SEC2901

Securities Exchange Act of 1934, Municipal Advisors
MSDW Notice of withdrawal from registration as a municipal securities dealer (PDF)
Dec. 2013SEC1588Municipal Securities
ADV-W Notice of withdrawal from registration as investment adviser (PDF)
Nov. 2010SEC777Investment Advisers Act of 1940, Investment Advisers
TA-W Notice of withdrawal from registration as transfer agent (PDF)
Dec. 2006SEC1669Transfer Agents
n/a Notice on Supplying Information Voluntarily (PDF)
Jan. 2014SEC2405Other Forms and Materials
N-6EI-1 Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF)
March 2003SEC1130Investment Company Act of 1940, Investment Companies
N-18f-1 Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF)
Jan. 2012SEC1846Investment Company Act of 1940, Investment Companies
N-54A Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Oct. 2003SEC1937Investment Company Act of 1940, Investment Companies
12b-25 Notification of late filing (PDF)
April 2009

SEC1344

Securities Exchange Act of 1934
N-8A Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)
Dec. 2001SEC1102Investment Company Act of 1940, Investment Companies
TH Notification of Reliance on Temporary Hardship Exemption (PDF)
July 2006SEC2348Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
N-23c-3 Notification of repurchase offer (PDF)
Oct. 2003SEC2380Investment Company Act of 1940, Investment Companies
25 Notification of the removal from listing and registration of matured, redeemed or retired securities (PDF)
March 2006SEC1654Self-Regulatory Organizations
N-54C Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
March 2001SEC1938Investment Company Act of 1940, Investment Companies
1-E Notification under Regulation E (PDF)
Aug. 2001SEC1807Investment Company Act of 1940, Investment Companies, Small Businesses
19b-7 Proposed rule change by self-regulatory organization (PDF)
July 2007SEC2450Self-Regulatory Organizations
19b-4 Proposed rule change by self-regulatory organization (PDF)
Jan. 2013SEC1832Self-Regulatory Organizations
ATS-R Quarterly report of alternative trading systems activities (PDF)
June 2009SEC2551Self-Regulatory Organizations
N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (PDF)
Aug. 2005

SEC2455

Investment Company Act of 1940, Investment Companies
N-1A Registration form for open-end management investment companies (PDF)
Oct. 2016

SEC2052

Investment Company Act of 1940, Investment Companies
8-A Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF)
June 2015SEC1922Securities Exchange Act of 1934
S-11 Registration of securities of certain real estate companies (PDF)
Feb. 2008SEC907Securities Act of 1933
CA-1 Registration or exemption from registration as a clearing agency and for amendment to registration (PDF)
Oct. 2002SEC1853Clearing Agencies
20-F Registration statement / Annual report / Transition report (PDF)
Jan. 2012SEC1852Securities Exchange Act of 1934, International
N-2 Registration statement for closed-end management investment companies (PDF)
April 2015SEC1716Investment Company Act of 1940, Investment Companies
F-10 Registration statement for securities of certain Canadian issuers (PDF)
Dec. 2013SEC2292Securities Act of 1933, International
F-80 Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)
Jan. 2007SEC2282Securities Act of 1933, International
F-3 Registration statement for securities of certain foreign private issuers (PDF)
Sept. 2011SEC1983Securities Act of 1933, International
F-1 Registration statement for securities of certain foreign private issuers (PDF)
Jan. 2016SEC1981Securities Act of 1933, International
F-4 Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (PDF)
Dec. 2008SEC2078Securities Act of 1933, International
N-6 Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (PDF)
Aug. 2006SEC2567Investment Company Act of 1940, Investment Companies
N-8B-4 Registration statement of face-amount certificate companies (PDF)
Nov. 2005SEC1285Investment Company Act of 1940, Investment Companies
N-3 Registration statement of separate accounts organized as management investment companies (PDF)
May 2015SEC2124Investment Company Act of 1940, Investment Companies
N-4 Registration statement of separate accounts organized as unit investment trusts (PDF)
Nov. 2009SEC2125Investment Company Act of 1940, Investment Companies
N-5 Registration statement of small business investment company (PDF)
March 2010SEC993Investment Company Act of 1940, Investment Companies, Small Businesses
N-8B-2 Registration statement of unit investment trusts which are currently issuing securities (PDF)
March 2010SEC977Investment Company Act of 1940, Investment Companies
40-F Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (PDF)
Jan. 2012SEC2285Securities Exchange Act of 1934, International
S-4 Registration statement under Securities Act of 1933 (PDF)
Dec. 2008SEC2077Securities Act of 1933
S-3 Registration statement under Securities Act of 1933 (PDF)
Nov. 2014SEC1379Securities Act of 1933
S-1 Registration statement under Securities Act of 1933 (PDF)
Jan. 2016SEC870Securities Act of 1933, Small Businesses
S-8 Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (PDF)
April 2009

SEC1398

Securities Act of 1933
S-20 Registration statement under the Securities Act of 1933 (PDF)
June 2005SEC2013Securities Act of 1933
SF-3 Registration Statement under the Securities Act of 1933 (PDF)
July 2016

SEC2909

Securities Act of 1933
SF-1 Registration Statement under the Securities Act of 1933 (PDF)
Nov. 2014

SEC2908

Securities Act of 1933
F-6 Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (PDF)
Oct. 2008SEC2001Securities Act of 1933, International
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 (PDF)
Jan. 2007SEC2289Securities Act of 1933, International
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 (PDF)
Jan. 2007SEC2290Securities Act of 1933, International
S-6 Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (PDF)
Jan. 2008SEC649Securities Act of 1933
1-A Regulation A Offering Statement (PDF)
June 2015SEC486Securities Act of 1933, Small Businesses
N-17D-1 Report filed by small business investment company (SBIC) (PDF)
Aug. 2005SEC1839Investment Company Act of 1940, Investment Companies
X-17A-19 Report of Change in Membership Status (PDF)
July 2001SEC1414Self-Regulatory Organizations
6-K Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (PDF)
April 2009SEC1815Securities Exchange Act of 1934, International
2-E Report of sales pursuant to Rule 609 of Regulation E (PDF)
Oct. 2006SEC1808Investment Company Act of 1940, Investment Companies, Small Businesses
PF Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF)
July 2014SEC2048Investment Advisers Act of 1940, Investment Advisers
SBSE-W Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant (PDF)
Jan. 2016

SEC2928

Dodd-Frank Act of 2010, Securities Exchange Act of 1934
17-H Risk Assessment for Brokers & Dealers (PDF)
Jan. 2010SEC2332Broker-Dealers
N-SAR Semi-annual report of registered investment companies (PDF)
Oct. 2010SEC2100Investment Company Act of 1940, Investment Companies
1-SA Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF)
June 2015

SEC2914

Securities Act of 1933, Small Businesses
SD Specialized Disclosure Report (PDF)
Jan. 2014SEC697Securities Exchange Act of 1934
4 Statement of changes in beneficial ownership of securities (PDF)
Nov. 2011SEC1474Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
4 Statement of changes in beneficial ownership of securities —- general instructions (PDF)
Nov. 2011SEC1475Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
T-1 Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees (PDF)
Jan. 2007SEC1836Trust Indenture Act of 1939
T-2 Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee (PDF)
Jan. 2007

SEC1849

Trust Indenture Act of 1939
SE Submission of Paper Format Exhibits by Electronic Filers (PDF)
Nov. 2011SEC2082Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
n/a Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (PDF)
Aug. 2016SEC1662Other Forms and Materials
n/a Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commission’s Examination Staff (PDF)
April 2016SEC2866Other Forms and Materials
n/a Supplemental Information for Persons Requested to Supply Information Voluntarily to the Office of Credit Ratings’Monitoring Staff (PDF)
Sept. 2014

SEC2903

Securities Exchange Act of 1934
n/a Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena (PDF)
Aug. 2016SEC1661Other Forms and Materials
SCI Systems Compliance and Integrity (PDF)
Sept. 2015

SEC 2919

Securities Exchange Act of 1934, Clearing Agencies, Self-Regulatory Organizations
CB Tender offer/rights offering notification form (PDF)
Dec. 2008SEC2560Securities Act of 1933, Securities Exchange Act of 1934, Proxy and Tender Offer
TCR Tip, Complaint, or Referral (PDF)
Aug. 2011SEC2850Tips Complaints and Referrals, Whistleblower
ID Uniform application for access codes to file on EDGAR
Dec. 2013SEC2084Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
BD Uniform application for broker-dealer registration (PDF)
Jan. 2008

SEC1490

Broker-Dealers
ADV Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF)
Sept. 2011SEC1707Investment Advisers Act of 1940, Investment Advisers
TA-1 Uniform form for registration as a transfer agent and for amendment to registration (PDF)
Dec. 2006

SEC1528

Transfer Agents
BDW Uniform request for broker-dealer withdrawal (PDF)
April 2007SEC122Broker-Dealers
  

Number

Last Updated

Number: CFPORTAL

Description: Application or Amendment to Application for Registration or Withdrawal from Registration as Funding Portal Under the Securities Exchange Act of 1934 (PDF)

Last Updated: Oct. 2015

Show More Details

SEC Number:

Topic(s): Securities Exchange Act of 1934, Funding Portal

Number: X-17A-5 Schedule I

Description: (Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5 (PDF)

Last Updated: May 2013

Show More Details

SEC Number: SEC1675

Topic(s): Broker-Dealers

Number: N-27D-1

Description: Accounting of Segregated Trust Account (PDF)

Last Updated: April 2014

Show More Details

SEC Number:

SEC1840

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 24F-2

Description: Annual notice of securities sold pursuant to Rule 24-f2 (PDF)

Last Updated: June 2002

Show More Details

SEC Number: SEC2393

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 18-K

Description: Annual report for foreign governments and political subdivisions thereof (PDF)

Last Updated: April 2007

Show More Details

SEC Number: SEC1797

Topic(s): Securities Exchange Act of 1934

Number: N-PX

Description: Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)

Last Updated: April 2003

Show More Details

SEC Number: SEC2451

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 10-K

Description: Annual report pursuant to Section 13 or 15(d) (PDF)

Last Updated: Nov. 2014

Show More Details

SEC Number: SEC1673

Topic(s): Securities Exchange Act of 1934, Form 10-K

Number: 1-K

Description: Annual Reports and Special Financial Reports (PDF)

Last Updated: June 2015

Show More Details

SEC Number:

SEC2913

Topic(s): Securities Act of 1933, Small Businesses

Number: 11-K

Description: Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (PDF)

Last Updated: Feb. 2008

Show More Details

SEC Number: SEC617

Topic(s): Securities Exchange Act of 1934

Number: 5

Description: Annual statement of changes in beneficial ownership of securities (PDF)

Last Updated: Nov. 2011

Show More Details

SEC Number: SEC2270T

Topic(s): Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers

Number: 5

Description: Annual statement of changes in beneficial ownership of securities -— general instructions (PDF)

Last Updated: Nov. 2011

Show More Details

SEC Number: SEC2270

Topic(s): Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers

Number: ADV-H

Description: Application for a temporary or continuing hardship exemption (PDF)

Last Updated: Sept. 2011

Show More Details

SEC Number: SEC2566

Topic(s): Investment Advisers Act of 1940, Investment Advisers

Number: WB-APP

Description: Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (PDF)

Last Updated: Aug. 2011

Show More Details

SEC Number: SEC2851

Topic(s): Tips Complaints and Referrals, Whistleblower

Number: N-8F

Description: Application for deregistration of certain registered investment companies (PDF)

Last Updated: Sept. 2010

Show More Details

SEC Number: SEC1691

Topic(s): Investment Company Act of 1940, Investment Companies

Number: T-4

Description: Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (PDF)

Last Updated: Jan. 2007

Show More Details

SEC Number: SEC1920

Topic(s): Trust Indenture Act of 1939

Number: MA

Description: Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration (PDF)

Last Updated: Sept. 2013

Show More Details

SEC Number:

SEC2898

Topic(s): Securities Exchange Act of 1934, Municipal Advisors

Number: MSD

Description: Application for registration as a municipal securities dealer or amendment to such application (PDF)

Last Updated: Dec. 2013

Show More Details

SEC Number: SEC1534

Topic(s): Municipal Securities

Number: NRSRO

Description: Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (PDF)

Last Updated: April 2015

Show More Details

SEC Number: SEC1541

Topic(s): NRSRO

Number: SBSE

Description: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)

Last Updated: Jan. 2016

Show More Details

SEC Number:

SEC2924

Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934

Number: SBSE-BD

Description: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers (PDF)

Last Updated: Jan. 2016

Show More Details

SEC Number:

SEC2926

Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934

Number: SBSE-A

Description: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer (PDF)

Last Updated: Jan. 2016

Show More Details

SEC Number:

SEC2925

Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934

Number: 1

Description: Application for registration or exemption from registration as a national securities exchange (PDF)

Last Updated: Feb. 1999

Show More Details

SEC Number: SEC1935

Topic(s): Self-Regulatory Organizations

Number: 18

Description: Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF)

Last Updated: Jan. 2007

Show More Details

SEC Number: SEC1421

Topic(s): Securities Exchange Act of 1934

Number: SIP

Description: Application or amendment to application for registration as securities infomation processor (PDF)

Last Updated: March 2013

Show More Details

SEC Number: SEC1939

Topic(s): Other Forms and Materials

Number: SDR

Description: Application or Amendment to Application for Registration or Withdrawal from Registration As Security-Based Swap Data Repository Under the Securities Exchange Act of 1934 (PDF)

Last Updated: Feb. 2015

Show More Details

SEC Number:

SEC2911

Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934, SBS Data Repositories

Number: T-6

Description: 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 (PDF)

Last Updated: Jan. 2007

Show More Details

SEC Number: SEC2275

Topic(s): Trust Indenture Act of 1939

Number: F-X

Description: Appointment of agent for service of process and undertaking (PDF)

Last Updated: Feb. 2008

Show More Details

SEC Number: SEC2288

Topic(s): Securities Act of 1933, International

Number: F-N

Description: Appointment of agent for service of process by foreign banks and foreign insurance companies (PDF)

Last Updated: Oct. 2006

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SEC Number: SEC2306

Topic(s): Securities Act of 1933

Number: ADV-NR

Description: Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (PDF)

Last Updated: Sept. 2011

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SEC Number: SEC2565

Topic(s): Investment Advisers Act of 1940, Investment Advisers

Number: 10-D

Description: Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (PDF)

Last Updated: July 2016

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SEC Number: SEC2503

Topic(s): Securities Exchange Act of 1934

Number: ABS-15G

Description: Asset-Backed Securitizer Report (PDF)

Last Updated: June 2015

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SEC Number: SEC2860

Topic(s): Securities Exchange Act of 1934

Number: ADV-E

Description: Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (PDF)

Last Updated: Jan. 2013

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SEC Number: SEC2223

Topic(s): Investment Advisers Act of 1940, Investment Advisers

Number: N-17f-2

Description: Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF)

Last Updated: April 2009

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SEC Number: SEC2198

Topic(s): Investment Company Act of 1940, Investment Companies

Number: N-17f-1

Description: Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (PDF)

Last Updated: Nov. 2003

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SEC Number: SEC2205

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 15

Description: Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d) (PDF)

Last Updated: Feb. 2008

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SEC Number: SEC2069

Topic(s): Securities Exchange Act of 1934

Number: 15F

Description: Certification of a Foreign Private Issuer’s Termination of Registration of a Class of Securities Under Section 12(G) of the Securities Exchange Act of 1934 or Its Termination of the Duty to File Reports Under Section 13(A) or Section 15(D) of the Securities Exchange Act of 1934 (PDF)

Last Updated: Jan. 2014

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SEC Number:

Topic(s): Securities Exchange Act of 1934

Number: ABS DD-15E

Description: Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities (PDF)

Last Updated: June 2015

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SEC Number:

SEC2917

Topic(s): Securities Exchange Act of 1934, Form ABS Due Diligence-15E

Number: SBSE-C

Description: Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)

Last Updated: Jan. 2016

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SEC Number:

SEC2927

Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934

Number: N-CSR

Description: Certified shareholder report of registered management investment companies (PDF)

Last Updated: Oct. 2010

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SEC Number: SEC2569

Topic(s): Investment Company Act of 1940, Investment Companies

Number: N-CR

Description: Current Report, Money Market Fund Material Events (PDF)

Last Updated: Jan. 2015

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SEC Number:

SEC2918

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 1-U

Description: Current Report Pursuant to Regulation A (PDF)

Last Updated: June 2015

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SEC Number:

SEC2915

Topic(s): Securities Act of 1933, Small Businesses

Number: 8-K

Description: Current report pursuant to Section 13 or 15(d) (PDF)

Last Updated: July 2016

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SEC Number: SEC873

Topic(s): Securities Exchange Act of 1934

Number: MA-NR

Description: Designation of U.S. Agent for Service of Process for Non-Residents (PDF)

Last Updated: Sept. 2013

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SEC Number:

SEC2900

Topic(s): Securities Exchange Act of 1934, Municipal Advisors

Number: 1-Z

Description: Exit Report Under Regulation A (PDF)

Last Updated: June 2015

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SEC Number:

SEC2916

Topic(s): Securities Act of 1933, Small Businesses

Number: X-17A-5 Part I

Description: FOCUS Report, Part I (PDF)

Last Updated: April 2003

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SEC Number: SEC1705

Topic(s): Broker-Dealers

Number: X-17A-5 Part II

Description: FOCUS Report, Part II (PDF)

Last Updated: July 2002

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SEC Number: SEC1695

Topic(s): Broker-Dealers

Number: X-17A-5 Part II

Description: FOCUS Report, Part II Instructions (PDF)

Last Updated: Feb. 2004

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SEC Number: SEC1695A

Topic(s): Broker-Dealers

Number: X-17A-5 Part IIB

Description: FOCUS Report, Part IIb (OTC Derivatives Dealer) (PDF)

Last Updated: March 2012

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SEC Number: SEC2430

Topic(s): Broker-Dealers

Number: X-17A-5 Part III

Description: FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III (PDF)

Last Updated: May 2013

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SEC Number: SEC1410

Topic(s): Broker-Dealers

Number: X-17A-5 Part IIA

Description: FOCUS Report Part IIa (PDF)

Last Updated: Feb. 2003

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SEC Number: SEC1696

Topic(s): Broker-Dealers

Number: X-17A-5 Part IIA

Description: FOCUS Report Part IIa Instructions (PDF)

Last Updated: April 2002

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SEC Number: SEC1696A

Topic(s): Broker-Dealers

Number: T-3

Description: For applications for qualification of indentures under the Trust Indenture Act of 1939 (PDF)

Last Updated: Jan. 2007

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SEC Number: SEC1919

Topic(s): Trust Indenture Act of 1939

Number: 1-N

Description: Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF)

Last Updated: Dec. 2013

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SEC Number: SEC2568

Topic(s): Securities Exchange Act of 1934, Self-Regulatory Organizations

Number: C

Description: Form C (PDF)

Last Updated: May 2016

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SEC Number:

SEC 2930

Topic(s): Securities Act of 1933

Number: TA-2

Description: Form for reporting activities of transfer agents (PDF)

Last Updated: Aug. 2012

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SEC Number:

SEC2113

Topic(s): Transfer Agents

Number: R31

Description: Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (PDF)

Last Updated: Sept. 2013

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SEC Number: SEC2502

Topic(s): Securities Exchange Act of 1934, Self-Regulatory Organizations

Number: ABS-EE

Description: Form for Submission of Electronic Exhibits for Asset-Backed Securities (PDF)

Last Updated: Nov. 2014

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SEC Number:

SEC2910

Topic(s): Securities Act of 1933

Number: N-14

Description: Form for the registration of securities issued in business combination transactions by investment companies and business development companies (PDF)

Last Updated: July 2013

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SEC Number: SEC2106

Topic(s): Investment Company Act of 1940, Investment Companies

Number: NRSRO

Description: Form NRSRO - April 2009 Instructions (PDF)

Last Updated: April 2009

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SEC Number:

Topic(s): NRSRO

Number: 10-Q

Description: General form for quarterly reports under Section 13 or 15(d) (PDF)

Last Updated: Jan. 2012

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SEC Number: SEC1296

Topic(s): Securities Exchange Act of 1934

Number: 10

Description: General form for registration of securities pursuant to Section 12(b) or (g) (PDF)

Last Updated: Feb. 2008

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SEC Number: SEC1396

Topic(s): Securities Exchange Act of 1934

Number: n/a

Description: Industry Guides (PDF)

Last Updated: May 2007

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SEC Number: SEC2056

Topic(s): Other Forms and Materials

Number: MA-I

Description: Information Regarding Natural Persons who Engage in Municipal Advisory Activities (PDF)

Last Updated: Sept. 2013

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SEC Number:

SEC2899

Topic(s): Securities Exchange Act of 1934, Municipal Advisors

Number: 19b-4(e)

Description: 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 (PDF)

Last Updated: July 2013

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SEC Number: SEC2449

Topic(s): Self-Regulatory Organizations

Number: 13F

Description: Information required of institutional investment managers pursuant to Section 13(f) (PDF)

Last Updated: Jan. 2012

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SEC Number:

SEC1685

Topic(s): Securities Exchange Act of 1934

Number: 13H

Description: Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 (PDF)

Last Updated: Nov. 2011

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SEC Number: SEC2858

Topic(s): Securities Exchange Act of 1934

Number: ATS

Description: Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (PDF)

Last Updated: May 2005

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SEC Number: SEC2550

Topic(s): Self-Regulatory Organizations

Number: PILOT

Description: Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (PDF)

Last Updated: Sept. 2013

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SEC Number: SEC2552

Topic(s): Self-Regulatory Organizations

Number: 3

Description: Initial statement of beneficial ownership of securities (PDF)

Last Updated: Nov. 2011

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SEC Number: SEC1473

Topic(s): Securities Exchange Act of 1934, Directors, Officers, Significant Shareholders

Number: 3

Description: Initial statement of beneficial ownership of securities -— general instructions (PDF)

Last Updated: Nov. 2011

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SEC Number: SEC1472

Topic(s): Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers

Number: MA

Description: Instructions for the Form MA Series (PDF)

Last Updated: Sept. 2013

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SEC Number:

Topic(s): Securities Exchange Act of 1934, Municipal Advisors

Number: 8-M

Description: Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (PDF)

Last Updated: June 2012

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SEC Number: SEC877

Topic(s): Broker-Dealers

Number: 7-M

Description: Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (PDF)

Last Updated: June 2012

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SEC Number: SEC876

Topic(s): Broker-Dealers

Number: 10-M

Description: Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer (PDF)

Last Updated: June 2012

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SEC Number: SEC878

Topic(s): Broker-Dealers

Number: 9-M

Description: Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer (PDF)

Last Updated: June 2012

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SEC Number: SEC878

Topic(s): Broker-Dealers

Number: X-17F-1A

Description: Missing/Lost/Stolen/Counterfeit Securities Report (PDF)

Last Updated: May 2001

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SEC Number: SEC1666

Topic(s): Broker-Dealers

Number: N-MFP

Description: Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF)

Last Updated: June 2016

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SEC Number: SEC2847

Topic(s): Investment Company Act of 1940, Investment Companies

Number: D

Description: Notice of Exempt Offering of Securities

Last Updated: March 2009

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SEC Number: SEC1972

Topic(s): Securities Act of 1933, Small Businesses

Number: N-6F

Description: Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)

Last Updated: March 2001

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SEC Number: SEC1936

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 144

Description: Notice of proposed sale of securities pursuant to Rule 144 (PDF)

Last Updated: Aug. 2007

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SEC Number: SEC1147

Topic(s): Securities Act of 1933

Number: BD-N

Description: Notice of registration as a broker-dealer for the purpose of trading security futures products pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 (PDF)

Last Updated: Jan. 2008

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SEC Number: SEC1500

Topic(s): Broker-Dealers

Number: MA-W

Description: Notice of Withdrawal from Registration as a Municipal Advisor (PDF)

Last Updated: Sept. 2013

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SEC Number:

SEC2901

Topic(s): Securities Exchange Act of 1934, Municipal Advisors

Number: MSDW

Description: Notice of withdrawal from registration as a municipal securities dealer (PDF)

Last Updated: Dec. 2013

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SEC Number: SEC1588

Topic(s): Municipal Securities

Number: ADV-W

Description: Notice of withdrawal from registration as investment adviser (PDF)

Last Updated: Nov. 2010

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SEC Number: SEC777

Topic(s): Investment Advisers Act of 1940, Investment Advisers

Number: TA-W

Description: Notice of withdrawal from registration as transfer agent (PDF)

Last Updated: Dec. 2006

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SEC Number: SEC1669

Topic(s): Transfer Agents

Number: n/a

Description: Notice on Supplying Information Voluntarily (PDF)

Last Updated: Jan. 2014

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SEC Number: SEC2405

Topic(s): Other Forms and Materials

Number: N-6EI-1

Description: Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF)

Last Updated: March 2003

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SEC Number: SEC1130

Topic(s): Investment Company Act of 1940, Investment Companies

Number: N-18f-1

Description: Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF)

Last Updated: Jan. 2012

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SEC Number: SEC1846

Topic(s): Investment Company Act of 1940, Investment Companies

Number: N-54A

Description: Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)

Last Updated: Oct. 2003

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SEC Number: SEC1937

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 12b-25

Description: Notification of late filing (PDF)

Last Updated: April 2009

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SEC Number:

SEC1344

Topic(s): Securities Exchange Act of 1934

Number: N-8A

Description: Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)

Last Updated: Dec. 2001

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SEC Number: SEC1102

Topic(s): Investment Company Act of 1940, Investment Companies

Number: TH

Description: Notification of Reliance on Temporary Hardship Exemption (PDF)

Last Updated: July 2006

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SEC Number: SEC2348

Topic(s): Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers

Number: N-23c-3

Description: Notification of repurchase offer (PDF)

Last Updated: Oct. 2003

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SEC Number: SEC2380

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 25

Description: Notification of the removal from listing and registration of matured, redeemed or retired securities (PDF)

Last Updated: March 2006

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SEC Number: SEC1654

Topic(s): Self-Regulatory Organizations

Number: N-54C

Description: Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)

Last Updated: March 2001

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SEC Number: SEC1938

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 1-E

Description: Notification under Regulation E (PDF)

Last Updated: Aug. 2001

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SEC Number: SEC1807

Topic(s): Investment Company Act of 1940, Investment Companies, Small Businesses

Number: 19b-7

Description: Proposed rule change by self-regulatory organization (PDF)

Last Updated: July 2007

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SEC Number: SEC2450

Topic(s): Self-Regulatory Organizations

Number: 19b-4

Description: Proposed rule change by self-regulatory organization (PDF)

Last Updated: Jan. 2013

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SEC Number: SEC1832

Topic(s): Self-Regulatory Organizations

Number: ATS-R

Description: Quarterly report of alternative trading systems activities (PDF)

Last Updated: June 2009

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SEC Number: SEC2551

Topic(s): Self-Regulatory Organizations

Number: N-Q

Description: Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (PDF)

Last Updated: Aug. 2005

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SEC Number:

SEC2455

Topic(s): Investment Company Act of 1940, Investment Companies

Number: N-1A

Description: Registration form for open-end management investment companies (PDF)

Last Updated: Oct. 2016

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SEC Number:

SEC2052

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 8-A

Description: Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF)

Last Updated: June 2015

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SEC Number: SEC1922

Topic(s): Securities Exchange Act of 1934

Number: S-11

Description: Registration of securities of certain real estate companies (PDF)

Last Updated: Feb. 2008

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SEC Number: SEC907

Topic(s): Securities Act of 1933

Number: CA-1

Description: Registration or exemption from registration as a clearing agency and for amendment to registration (PDF)

Last Updated: Oct. 2002

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SEC Number: SEC1853

Topic(s): Clearing Agencies

Number: 20-F

Description: Registration statement / Annual report / Transition report (PDF)

Last Updated: Jan. 2012

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SEC Number: SEC1852

Topic(s): Securities Exchange Act of 1934, International

Number: N-2

Description: Registration statement for closed-end management investment companies (PDF)

Last Updated: April 2015

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SEC Number: SEC1716

Topic(s): Investment Company Act of 1940, Investment Companies

Number: F-10

Description: Registration statement for securities of certain Canadian issuers (PDF)

Last Updated: Dec. 2013

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SEC Number: SEC2292

Topic(s): Securities Act of 1933, International

Number: F-80

Description: Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)

Last Updated: Jan. 2007

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SEC Number: SEC2282

Topic(s): Securities Act of 1933, International

Number: F-3

Description: Registration statement for securities of certain foreign private issuers (PDF)

Last Updated: Sept. 2011

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SEC Number: SEC1983

Topic(s): Securities Act of 1933, International

Number: F-1

Description: Registration statement for securities of certain foreign private issuers (PDF)

Last Updated: Jan. 2016

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SEC Number: SEC1981

Topic(s): Securities Act of 1933, International

Number: F-4

Description: Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (PDF)

Last Updated: Dec. 2008

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SEC Number: SEC2078

Topic(s): Securities Act of 1933, International

Number: N-6

Description: Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (PDF)

Last Updated: Aug. 2006

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SEC Number: SEC2567

Topic(s): Investment Company Act of 1940, Investment Companies

Number: N-8B-4

Description: Registration statement of face-amount certificate companies (PDF)

Last Updated: Nov. 2005

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SEC Number: SEC1285

Topic(s): Investment Company Act of 1940, Investment Companies

Number: N-3

Description: Registration statement of separate accounts organized as management investment companies (PDF)

Last Updated: May 2015

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SEC Number: SEC2124

Topic(s): Investment Company Act of 1940, Investment Companies

Number: N-4

Description: Registration statement of separate accounts organized as unit investment trusts (PDF)

Last Updated: Nov. 2009

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SEC Number: SEC2125

Topic(s): Investment Company Act of 1940, Investment Companies

Number: N-5

Description: Registration statement of small business investment company (PDF)

Last Updated: March 2010

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SEC Number: SEC993

Topic(s): Investment Company Act of 1940, Investment Companies, Small Businesses

Number: N-8B-2

Description: Registration statement of unit investment trusts which are currently issuing securities (PDF)

Last Updated: March 2010

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SEC Number: SEC977

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 40-F

Description: Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (PDF)

Last Updated: Jan. 2012

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SEC Number: SEC2285

Topic(s): Securities Exchange Act of 1934, International

Number: S-4

Description: Registration statement under Securities Act of 1933 (PDF)

Last Updated: Dec. 2008

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SEC Number: SEC2077

Topic(s): Securities Act of 1933

Number: S-3

Description: Registration statement under Securities Act of 1933 (PDF)

Last Updated: Nov. 2014

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SEC Number: SEC1379

Topic(s): Securities Act of 1933

Number: S-1

Description: Registration statement under Securities Act of 1933 (PDF)

Last Updated: Jan. 2016

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SEC Number: SEC870

Topic(s): Securities Act of 1933, Small Businesses

Number: S-8

Description: Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (PDF)

Last Updated: April 2009

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SEC Number:

SEC1398

Topic(s): Securities Act of 1933

Number: S-20

Description: Registration statement under the Securities Act of 1933 (PDF)

Last Updated: June 2005

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SEC Number: SEC2013

Topic(s): Securities Act of 1933

Number: SF-3

Description: Registration Statement under the Securities Act of 1933 (PDF)

Last Updated: July 2016

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SEC Number:

SEC2909

Topic(s): Securities Act of 1933

Number: SF-1

Description: Registration Statement under the Securities Act of 1933 (PDF)

Last Updated: Nov. 2014

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SEC Number:

SEC2908

Topic(s): Securities Act of 1933

Number: F-6

Description: Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (PDF)

Last Updated: Oct. 2008

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SEC Number: SEC2001

Topic(s): Securities Act of 1933, International

Number: F-7

Description: 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 (PDF)

Last Updated: Jan. 2007

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SEC Number: SEC2289

Topic(s): Securities Act of 1933, International

Number: F-8

Description: Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)

Last Updated: Jan. 2007

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SEC Number: SEC2290

Topic(s): Securities Act of 1933, International

Number: S-6

Description: Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (PDF)

Last Updated: Jan. 2008

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SEC Number: SEC649

Topic(s): Securities Act of 1933

Number: 1-A

Description: Regulation A Offering Statement (PDF)

Last Updated: June 2015

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SEC Number: SEC486

Topic(s): Securities Act of 1933, Small Businesses

Number: N-17D-1

Description: Report filed by small business investment company (SBIC) (PDF)

Last Updated: Aug. 2005

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SEC Number: SEC1839

Topic(s): Investment Company Act of 1940, Investment Companies

Number: X-17A-19

Description: Report of Change in Membership Status (PDF)

Last Updated: July 2001

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SEC Number: SEC1414

Topic(s): Self-Regulatory Organizations

Number: 6-K

Description: Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (PDF)

Last Updated: April 2009

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SEC Number: SEC1815

Topic(s): Securities Exchange Act of 1934, International

Number: 2-E

Description: Report of sales pursuant to Rule 609 of Regulation E (PDF)

Last Updated: Oct. 2006

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SEC Number: SEC1808

Topic(s): Investment Company Act of 1940, Investment Companies, Small Businesses

Number: PF

Description: Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF)

Last Updated: July 2014

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SEC Number: SEC2048

Topic(s): Investment Advisers Act of 1940, Investment Advisers

Number: SBSE-W

Description: Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant (PDF)

Last Updated: Jan. 2016

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SEC Number:

SEC2928

Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934

Number: 17-H

Description: Risk Assessment for Brokers & Dealers (PDF)

Last Updated: Jan. 2010

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SEC Number: SEC2332

Topic(s): Broker-Dealers

Number: N-SAR

Description: Semi-annual report of registered investment companies (PDF)

Last Updated: Oct. 2010

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SEC Number: SEC2100

Topic(s): Investment Company Act of 1940, Investment Companies

Number: 1-SA

Description: Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF)

Last Updated: June 2015

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SEC Number:

SEC2914

Topic(s): Securities Act of 1933, Small Businesses

Number: SD

Description: Specialized Disclosure Report (PDF)

Last Updated: Jan. 2014

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SEC Number: SEC697

Topic(s): Securities Exchange Act of 1934

Number: 4

Description: Statement of changes in beneficial ownership of securities (PDF)

Last Updated: Nov. 2011

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SEC Number: SEC1474

Topic(s): Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers

Number: 4

Description: Statement of changes in beneficial ownership of securities —- general instructions (PDF)

Last Updated: Nov. 2011

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SEC Number: SEC1475

Topic(s): Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers

Number: T-1

Description: Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees (PDF)

Last Updated: Jan. 2007

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SEC Number: SEC1836

Topic(s): Trust Indenture Act of 1939

Number: T-2

Description: Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee (PDF)

Last Updated: Jan. 2007

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SEC Number:

SEC1849

Topic(s): Trust Indenture Act of 1939

Number: SE

Description: Submission of Paper Format Exhibits by Electronic Filers (PDF)

Last Updated: Nov. 2011

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SEC Number: SEC2082

Topic(s): Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers

Number: n/a

Description: Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (PDF)

Last Updated: Aug. 2016

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SEC Number: SEC1662

Topic(s): Other Forms and Materials

Number: n/a

Description: Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commission’s Examination Staff (PDF)

Last Updated: April 2016

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SEC Number: SEC2866

Topic(s): Other Forms and Materials

Number: n/a

Description: Supplemental Information for Persons Requested to Supply Information Voluntarily to the Office of Credit Ratings’Monitoring Staff (PDF)

Last Updated: Sept. 2014

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SEC Number:

SEC2903

Topic(s): Securities Exchange Act of 1934

Number: n/a

Description: Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena (PDF)

Last Updated: Aug. 2016

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SEC Number: SEC1661

Topic(s): Other Forms and Materials

Number: SCI

Description: Systems Compliance and Integrity (PDF)

Last Updated: Sept. 2015

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SEC Number:

SEC 2919

Topic(s): Securities Exchange Act of 1934, Clearing Agencies, Self-Regulatory Organizations

Number: CB

Description: Tender offer/rights offering notification form (PDF)

Last Updated: Dec. 2008

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SEC Number: SEC2560

Topic(s): Securities Act of 1933, Securities Exchange Act of 1934, Proxy and Tender Offer

Number: TCR

Description: Tip, Complaint, or Referral (PDF)

Last Updated: Aug. 2011

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SEC Number: SEC2850

Topic(s): Tips Complaints and Referrals, Whistleblower

Number: ID

Description: Uniform application for access codes to file on EDGAR

Last Updated: Dec. 2013

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SEC Number: SEC2084

Topic(s): Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers

Number: BD

Description: Uniform application for broker-dealer registration (PDF)

Last Updated: Jan. 2008

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SEC Number:

SEC1490

Topic(s): Broker-Dealers

Number: ADV

Description: Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF)

Last Updated: Sept. 2011

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SEC Number: SEC1707

Topic(s): Investment Advisers Act of 1940, Investment Advisers

Number: TA-1

Description: Uniform form for registration as a transfer agent and for amendment to registration (PDF)

Last Updated: Dec. 2006

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SEC Number:

SEC1528

Topic(s): Transfer Agents

Number: BDW

Description: Uniform request for broker-dealer withdrawal (PDF)

Last Updated: April 2007

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SEC Number: SEC122

Topic(s): Broker-Dealers

 
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