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).

Number
Description
Last Updated
SEC Number
Topic(s)
Number:1 Description: Application for registration or exemption from registration as a national securities exchange (PDF)
Last Updated: SEC Number:SEC1935 Topic(s):Self-Regulatory Organizations
Number:1-A Description: Regulation A Offering Statement (PDF)
Last Updated: SEC Number:SEC486 Topic(s):Securities Act of 1933, Small Businesses
Number:1-E Description: Notification under Regulation E (PDF)
Last Updated: SEC Number:SEC1807 Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies
Number:1-K Description: Annual Reports and Special Financial Reports (PDF)
Last Updated: SEC Number:

SEC2913

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

SEC2568

 Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations
Number:1-SA Description: Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF)
Last Updated: SEC Number:

SEC2914

 Topic(s):Securities Act of 1933, Small Businesses
Number:1-U Description: Current Report Pursuant to Regulation A (PDF)
Last Updated: SEC Number:

SEC2915

 Topic(s):Securities Act of 1933, Small Businesses
Number:1-Z Description: Exit Report Under Regulation A (PDF)
Last Updated: SEC Number:

SEC2916

 Topic(s):Securities Act of 1933, Small Businesses
Number:10 Description: General form for registration of securities pursuant to Section 12(b) or (g) (PDF)
Last Updated: SEC Number:

SEC1396

 Topic(s):Securities Exchange Act of 1934
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: SEC Number:

SEC2503

 Topic(s):Securities Exchange Act of 1934
Number:10-K Description: Annual report pursuant to Section 13 or 15(d) (PDF)
Last Updated: SEC Number:

SEC1673

 Topic(s):Form 10-K, Securities Exchange Act of 1934
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: SEC Number:SEC878 Topic(s):Broker-Dealers
Number:10-Q Description: General form for quarterly reports under Section 13 or 15(d) (PDF)
Last Updated: SEC Number:

SEC1296

 Topic(s):Securities Exchange Act of 1934
Number:11-K Description: Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (PDF)
Last Updated: SEC Number:SEC617 Topic(s):Securities Exchange Act of 1934
Number:12b-25 Description: Notification of late filing (PDF)
Last Updated: SEC Number:

SEC1344

 Topic(s):Securities Exchange Act of 1934
Number:13F Description: Information required of institutional investment managers pursuant to Section 13(f) (PDF)
Last Updated: 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: SEC Number:SEC2858 Topic(s):Securities Exchange Act of 1934
Number:144 Description: Notice of proposed sale of securities pursuant to Rule 144 (PDF)
Last Updated: SEC Number:SEC1147 Topic(s):Securities Act of 1933
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: 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) or its termination of the duty to file reports under Section 13(a) or Section 15(d) (PDF)
Last Updated: SEC Number: Topic(s):Securities Exchange Act of 1934
Number:17-H Description: Risk Assessment for Brokers & Dealers (PDF)
Last Updated: SEC Number:SEC2332 Topic(s):Broker-Dealers
Number:18 Description: Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF)
Last Updated: SEC Number:SEC1421 Topic(s):Securities Exchange Act of 1934
Number:18-K Description: Annual report for foreign governments and political subdivisions thereof (PDF)
Last Updated: SEC Number:SEC1797 Topic(s):Securities Exchange Act of 1934
Number:19b-4 Description: Proposed rule change by self-regulatory organization (PDF)
Last Updated: SEC Number:SEC1832 Topic(s):Self-Regulatory Organizations
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: SEC Number:SEC2449 Topic(s):Self-Regulatory Organizations
Number:19b-7 Description: Proposed rule change by self-regulatory organization (PDF)
Last Updated: SEC Number:SEC2450 Topic(s):Self-Regulatory Organizations
Number:2-E Description: Report of sales pursuant to Rule 609 of Regulation E (PDF)
Last Updated: SEC Number:SEC1808 Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies
Number:20-F Description: Registration statement / Annual report / Transition report (PDF)
Last Updated: SEC Number:

SEC1852

 Topic(s):Securities Exchange Act of 1934, International
Number:24F-2 Description: Annual notice of securities sold pursuant to Rule 24-f2 (PDF)
Last Updated: SEC Number:SEC2393 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: SEC Number:SEC1654 Topic(s):Self-Regulatory Organizations
Number:3 Description: Initial statement of beneficial ownership of securities (PDF)
Last Updated: SEC Number:SEC1473 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders
Number:3 Description: Initial statement of beneficial ownership of securities -— general instructions (PDF)
Last Updated: SEC Number:

SEC1472

 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders
Number:4 Description: Statement of changes in beneficial ownership of securities (PDF)
Last Updated: SEC Number:SEC1474 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders
Number:4 Description: Statement of changes in beneficial ownership of securities —- general instructions (PDF)
Last Updated: SEC Number:

SEC1475

 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders
Number:40-F Description: Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (PDF)
Last Updated: SEC Number:

SEC2285

 Topic(s):Securities Exchange Act of 1934, International
Number:5 Description: Annual statement of changes in beneficial ownership of securities (PDF)
Last Updated: SEC Number:

SEC2270T

 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders
Number:5 Description: Annual statement of changes in beneficial ownership of securities -— general instructions (PDF)
Last Updated: SEC Number:

SEC2270

 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders
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: SEC Number:SEC1815 Topic(s):Securities Exchange Act of 1934, International
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: SEC Number:SEC876 Topic(s):Broker-Dealers
Number:8-A Description: Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF)
Last Updated: SEC Number:

SEC1922

 Topic(s):Securities Exchange Act of 1934
Number:8-K Description: Current report pursuant to Section 13 or 15(d) (PDF)
Last Updated: SEC Number:

SEC873

 Topic(s):Securities Exchange Act of 1934
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: SEC Number:SEC877 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: SEC Number:SEC878 Topic(s):Broker-Dealers
Number:ABS DD-15E Description: Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities (PDF)
Last Updated: SEC Number:

SEC2917

 Topic(s):Form ABS Due Diligence-15E, Securities Exchange Act of 1934
Number:ABS-15G Description: Asset-Backed Securitizer Report (PDF)
Last Updated: SEC Number:SEC2860 Topic(s):Securities Exchange Act of 1934
Number:ABS-EE Description: Form for Submission of Electronic Exhibits for Asset-Backed Securities (PDF)
Last Updated: SEC Number:

SEC2910

 Topic(s):Securities Act of 1933
Number:ADV Description: Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF)
Last Updated: SEC Number:

SEC1707

 Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ADV-E Description: Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (PDF)
Last Updated: SEC Number:SEC2223 Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ADV-H Description: Application for a temporary or continuing hardship exemption (PDF)
Last Updated: SEC Number:SEC2566 Topic(s):Investment Advisers Act of 1940, Investment Advisers
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: SEC Number:SEC2565 Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ADV-W Description: Notice of withdrawal from registration as investment adviser (PDF)
Last Updated: SEC Number:SEC777 Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ATS Description: Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (PDF)
Last Updated: SEC Number:

SEC2550

 Topic(s):Alternative Trading Systems
Number:ATS-N Description: NMS Stock Alternative Trading Systems (PDF)
Last Updated: SEC Number: Topic(s):Alternative Trading Systems
Number:ATS-R Description: Quarterly report of alternative trading systems activities (PDF)
Last Updated: SEC Number:

SEC2551

 Topic(s):Alternative Trading Systems
Number:BD Description: Uniform application for broker-dealer registration (PDF)
Last Updated: SEC Number:

SEC1490

 Topic(s):Broker-Dealers
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: SEC Number:

SEC1500

 Topic(s):Broker-Dealers
Number:BDW Description: Uniform request for broker-dealer withdrawal (PDF)
Last Updated: SEC Number:SEC122 Topic(s):Broker-Dealers
Number:C Description: Form C (PDF)
Last Updated: SEC Number:

SEC 2930

 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: SEC Number:SEC1853 Topic(s):Clearing Agencies
Number:CB Description: Tender offer/rights offering notification form (PDF)
Last Updated: SEC Number:SEC2560 Topic(s):Proxy and Tender Offer, Securities Act of 1933, Securities Exchange Act of 1934
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: SEC Number: Topic(s):Funding Portal, Securities Exchange Act of 1934
Number:CRS Description: Customer Relationship Summary (PDF)
Last Updated: SEC Number:

SEC 2942

 Topic(s):Securities Exchange Act of 1934, Broker-Dealers
Number:CUSTODY Description: Form Custody for Broker-Dealers (PDF)
Last Updated: SEC Number:

SEC2897

 Topic(s):Securities Exchange Act of 1934, Broker-Dealers
Number:D Description: Notice of Exempt Offering of Securities
Last Updated: SEC Number:

SEC1972

 Topic(s):Securities Act of 1933, Small Businesses
Number:F-1 Description: Registration statement for securities of certain foreign private issuers (PDF)
Last Updated: SEC Number:

SEC1981

 Topic(s):Securities Act of 1933, International
Number:F-10 Description: Registration statement for securities of certain Canadian issuers (PDF)
Last Updated: SEC Number:

SEC2292

 Topic(s):Securities Act of 1933, International
Number:F-3 Description: Registration statement for securities of certain foreign private issuers (PDF)
Last Updated: SEC Number:

SEC1983

 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: SEC Number:

SEC2078

 Topic(s):Securities Act of 1933, International
Number:F-6 Description: Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (PDF)
Last Updated: 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: 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: SEC Number:

SEC2290

 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: SEC Number:

SEC2282

 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: SEC Number:SEC2306 Topic(s):Securities Act of 1933
Number:F-X Description: Appointment of agent for service of process and undertaking (PDF)
Last Updated: SEC Number:SEC2288 Topic(s):Securities Act of 1933, International
Number:ID Description: Uniform application for access codes to file on EDGAR
Last Updated: SEC Number:

SEC2084

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

SEC2898

 Topic(s):Securities Exchange Act of 1934, Municipal Advisors
Number:MA Description: Instructions for the Form MA Series (PDF)
Last Updated: SEC Number: Topic(s):Securities Exchange Act of 1934, Municipal Advisors
Number:MA-I Description: Information Regarding Natural Persons who Engage in Municipal Advisory Activities (PDF)
Last Updated: SEC Number:

SEC2899

 Topic(s):Securities Exchange Act of 1934, Municipal Advisors
Number:MA-NR Description: Designation of U.S. Agent for Service of Process for Non-Residents (PDF)
Last Updated: SEC Number:

SEC2900

 Topic(s):Securities Exchange Act of 1934, Municipal Advisors
Number:MA-W Description: Notice of Withdrawal from Registration as a Municipal Advisor (PDF)
Last Updated: SEC Number:

SEC2901

 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: SEC Number:

SEC1534

 Topic(s):Municipal Securities
Number:MSDW Description: Notice of withdrawal from registration as a municipal securities dealer (PDF)
Last Updated: SEC Number:SEC1588 Topic(s):Municipal Securities
Number:N-14 Description: Form for the registration of securities issued in business combination transactions by investment companies and business development companies - Informational Version Indicating Recent Amendments (PDF)
Last Updated: SEC Number:

SEC2106

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-17D-1 Description: Report filed by small business investment company (SBIC) (PDF)
Last Updated: SEC Number:SEC1839 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: SEC Number:SEC2205 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-17f-2 Description: Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF)
Last Updated: SEC Number:SEC2198 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: SEC Number:SEC1846 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-1A Description: Registration form for open-end management investment companies (PDF)
Last Updated: SEC Number:

SEC2052

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-2 Description: Registration statement for closed-end management investment companies - Informational Version Indicating Recent Amendments (PDF)
Last Updated: SEC Number:

SEC1716

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-23c-3 Description: Notification of repurchase offer (PDF)
Last Updated: SEC Number:SEC2380 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-27D-1 Description: Accounting of Segregated Trust Account (PDF)
Last Updated: SEC Number:

SEC1840

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-3 Description: Registration statement of separate accounts organized as management investment companies - Informational Version Indicating Recent Amendments (PDF)
Last Updated: SEC Number:

SEC2124

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-3 Description: Registration statement of separate accounts organized as management investment companies - Prior Version (PDF)
Last Updated: 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: SEC Number:

SEC2125

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-4 Description: Registration statement of separate accounts organized as unit investment trusts - Prior Version (PDF)
Last Updated: 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: SEC Number:

SEC993

 Topic(s):Investment Company Act of 1940, Small Businesses, 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: SEC Number:SEC1937 Topic(s):Investment Company Act of 1940, Investment Companies
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: SEC Number:SEC1938 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-6 Description: Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies - Informational Version Indicating Recent Amendments (PDF)
Last Updated: SEC Number:

SEC2567

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-6 Description: Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies – Prior Version (PDF)
Last Updated: SEC Number:

SEC2567

 Topic(s):Investment Company Act of 1940, Investment Companies
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: SEC Number:SEC1130 Topic(s):Investment Company Act of 1940, Investment Companies
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: SEC Number:SEC1936 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8A Description: Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:

SEC1102

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8B-2 Description: Informational Version Indicating Recent Amendments (PDF)
Last Updated: SEC Number: Topic(s):
Number:N-8B-2 Description: Registration statement of unit investment trusts which are currently issuing securities (PDF)
Last Updated: SEC Number:

SEC977

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8B-4 Description: Registration statement of face-amount certificate companies (PDF)
Last Updated: SEC Number:SEC1285 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8F Description: Application for deregistration of certain registered investment companies (PDF)
Last Updated: SEC Number:SEC1691 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-CEN Description: Annual Report for Registered Investment Companies (PDF)
Last Updated: SEC Number:

SEC 2846

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-CR Description: Current Report, Money Market Fund Material Events (PDF)
Last Updated: SEC Number:

SEC2918

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-CSR Description: Informational Version Indicating Recent Amendments (PDF)
Last Updated: SEC Number: Topic(s):
Number:N-CSR Description: Certified shareholder report of registered management investment companies (PDF)
Last Updated: SEC Number:

SEC2569

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-LIQUID Description: Current Report Open-End Management Investment Company Liquidity (PDF)
Last Updated: SEC Number:

SEC 2941

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-MFP Description: Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF)
Last Updated: SEC Number:SEC2847 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-PORT Description: Informational Version Indicating Recent Amendments (PDF)
Last Updated: SEC Number: Topic(s):
Number:N-PORT Description: Monthly Portfolio Investments Report (PDF)
Last Updated: SEC Number:

SEC 2940

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-PX Description: Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)
Last Updated: SEC Number:SEC2451 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-Q Description: Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (PDF)
Last Updated: SEC Number:

SEC2455

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:n/a Description: Supplemental Information for Persons Requested to Supply Information Voluntarily to the Office of Credit Ratings’Monitoring Staff (PDF)
Last Updated: 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: SEC Number:SEC1661 Topic(s):Other Forms and Materials
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: SEC Number:SEC1662 Topic(s):Other Forms and Materials
Number:n/a Description: Industry Guides (PDF)
Last Updated: SEC Number:SEC2056 Topic(s):Other Forms and Materials
Number:n/a Description: Notice on Supplying Information Voluntarily (PDF)
Last Updated: SEC Number:

SEC2405

 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: SEC Number:SEC2866 Topic(s):Other Forms and Materials
Number:NRSRO Description: Form NRSRO - April 2009 Instructions (PDF)
Last Updated: SEC Number: Topic(s):NRSRO
Number:NRSRO Description: Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (PDF)
Last Updated: SEC Number:

SEC1541

 Topic(s):NRSRO
Number:PF Description: Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF)
Last Updated: SEC Number:SEC2048 Topic(s):Investment Advisers Act of 1940, Investment Advisers
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: SEC Number:SEC2552 Topic(s):Self-Regulatory Organizations
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: SEC Number:SEC2502 Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations
Number:S-1 Description: Registration statement under Securities Act of 1933 (PDF)
Last Updated: SEC Number:

SEC870

 Topic(s):Securities Act of 1933, Small Businesses
Number:S-11 Description: Registration of securities of certain real estate companies (PDF)
Last Updated: SEC Number:

SEC907

 Topic(s):Securities Act of 1933
Number:S-20 Description: Registration statement under the Securities Act of 1933 (PDF)
Last Updated: SEC Number:SEC2013 Topic(s):Securities Act of 1933
Number:S-3 Description: Registration statement under Securities Act of 1933 (PDF)
Last Updated: SEC Number:

SEC1379

 Topic(s):Securities Act of 1933
Number:S-4 Description: Registration statement under Securities Act of 1933 (PDF)
Last Updated: SEC Number:

SEC2077

 Topic(s):Securities Act of 1933
Number:S-6 Description: Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (PDF)
Last Updated: SEC Number:

SEC649

 Topic(s):Securities Act of 1933
Number:S-8 Description: Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (PDF)
Last Updated: SEC Number:

SEC1398

 Topic(s):Securities Act of 1933
Number:SBSE Description: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)
Last Updated: SEC Number:

SEC2924

 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: SEC Number:

SEC2925

 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: SEC Number:

SEC2926

 Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934
Number:SBSE-C Description: Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)
Last Updated: SEC Number:

SEC2927

 Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934
Number:SBSE-W Description: Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant (PDF)
Last Updated: SEC Number:

SEC2928

 Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934
Number:SCI Description: Systems Compliance and Integrity (PDF)
Last Updated: SEC Number:

SEC 2919

 Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations, Clearing Agencies
Number:SD Description: Specialized Disclosure Report (PDF)
Last Updated: SEC Number:SEC697 Topic(s):Securities Exchange Act of 1934
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: SEC Number:

SEC2911

 Topic(s):Dodd-Frank Act of 2010, SBS Data Repositories, Securities Exchange Act of 1934
Number:SE Description: Submission of Paper Format Exhibits by Electronic Filers (PDF)
Last Updated: SEC Number:

SEC2082

 Topic(s):Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
Number:SF-1 Description: Registration Statement Under the Securities Act of 1933 (PDF)
Last Updated: SEC Number:

SEC2908

 Topic(s):Securities Act of 1933
Number:SF-3 Description: Registration Statement Under the Securities Act of 1933 (PDF)
Last Updated: SEC Number:

SEC2909

 Topic(s):Securities Act of 1933
Number:SIP Description: Application or amendment to application for registration as securities infomation processor (PDF)
Last Updated: SEC Number:SEC1939 Topic(s):Other Forms and Materials
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: 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: SEC Number:

SEC1849

 Topic(s):Trust Indenture Act of 1939
Number:T-3 Description: For applications for qualification of indentures under the Trust Indenture Act of 1939 (PDF)
Last Updated: SEC Number:SEC1919 Topic(s):Trust Indenture Act of 1939
Number:T-4 Description: Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (PDF)
Last Updated: SEC Number:SEC1920 Topic(s):Trust Indenture Act of 1939
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: SEC Number:SEC2275 Topic(s):Trust Indenture Act of 1939
Number:TA-1 Description: Uniform form for registration as a transfer agent and for amendment to registration (PDF)
Last Updated: SEC Number:

SEC1528

 Topic(s):Transfer Agents
Number:TA-2 Description: Form for reporting activities of transfer agents (PDF)
Last Updated: SEC Number:

SEC2113

 Topic(s):Transfer Agents
Number:TA-W Description: Notice of withdrawal from registration as transfer agent (PDF)
Last Updated: SEC Number:SEC1669 Topic(s):Transfer Agents
Number:TCR Description: Tip, Complaint, or Referral (PDF)
Last Updated: SEC Number:SEC2850 Topic(s):Tips Complaints and Referrals, Whistleblower
Number:TH Description: Notification of Reliance on Temporary Hardship Exemption (PDF)
Last Updated: SEC Number:

SEC2348

 Topic(s):Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
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: SEC Number:SEC2851 Topic(s):Tips Complaints and Referrals, Whistleblower
Number:X-17A-19 Description: Report of Change in Membership Status (PDF)
Last Updated: SEC Number:SEC1414 Topic(s):Self-Regulatory Organizations
Number:X-17A-5 Part I Description: FOCUS Report, Part I (PDF)
Last Updated: SEC Number:SEC1705 Topic(s):Broker-Dealers
Number:X-17A-5 Part II Description: FOCUS Report, Part II (PDF)
Last Updated: SEC Number:

SEC1695

 Topic(s):Broker-Dealers
Number:X-17A-5 Part II Description: FOCUS Report, Part II Instructions (PDF)
Last Updated: SEC Number:

SEC1695A

 Topic(s):Broker-Dealers
Number:X-17A-5 Part IIA Description: FOCUS Report Part IIa Instructions (PDF)
Last Updated: SEC Number:

SEC1696A

 Topic(s):Broker-Dealers
Number:X-17A-5 Part IIA Description: FOCUS Report Part IIa (PDF)
Last Updated: SEC Number:

SEC1696

 Topic(s):Broker-Dealers
Number:X-17A-5 Part IIB Description: FOCUS Report, Part IIb (OTC Derivatives Dealer) (PDF)
Last Updated: 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: SEC Number:

SEC1410

 Topic(s):Broker-Dealers
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: SEC Number:

SEC1675

 Topic(s):Broker-Dealers
Number:X-17F-1A Description: Missing/Lost/Stolen/Counterfeit Securities Report (PDF)
Last Updated: SEC Number:SEC1666 Topic(s):Broker-Dealers
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