Forms List

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).
 
Number Description Last Updated SEC Number Topic(s)
1 Application for registration or exemption from registration as a national securities exchange (pdf)
Feb. 1999 SEC1935 Self-Regulatory Organizations
1-A Regulation A Offering Statement (pdf)
Dec. 2013 SEC486 Securities Act of 1933, Small Businesses
1-E Notification under Regulation E (pdf)
Aug. 2001 SEC1807 Investment Company Act of 1940, Investment Companies, Small Businesses
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. 2013 SEC2568 Securities Exchange Act of 1934, Self-Regulatory Organizations
10 General form for registration of securities pursuant to Section 12(b) or (g) (pdf)
Feb. 2008 SEC1396 Securities Exchange Act of 1934
10-D Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (pdf)
March 2005 SEC2503 Securities Exchange Act of 1934
10-K Annual report pursuant to Section 13 or 15(d) (pdf)
Jan. 2012 SEC1673 Securities Exchange Act of 1934
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 2012 SEC878 Broker-Dealers
10-Q General form for quarterly reports under Section 13 or 15(d) (pdf)
Jan. 2012 SEC1296 Securities Exchange Act of 1934
11-K Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (pdf)
Feb. 2008 SEC617 Securities Exchange Act of 1934
12b-25 Notification of late filing (pdf)
April 2009 SEC1344 Securities Exchange Act of 1934
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. 2011 SEC2858 Securities Exchange Act of 1934
144 Notice of proposed sale of securities pursuant to Rule 144 (pdf)
Aug. 2007 SEC1147 Securities Act of 1933
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. 2008 SEC2069 Securities 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. 2014 Securities Exchange Act of 1934
17-H Risk Assessment for Brokers & Dealers (pdf)
Jan. 2010 SEC2332 Broker-Dealers
18 Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (pdf)
Jan. 2007 SEC1421 Securities Exchange Act of 1934
18-K Annual report for foreign governments and political subdivisions thereof (pdf)
April 2007 SEC1797 Securities Exchange Act of 1934
19b-4 Proposed rule change by self-regulatory organization (pdf)
Sept. 2013 SEC1832 Self-Regulatory Organizations
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 2013 SEC2449 Self-Regulatory Organizations
19b-7 Proposed rule change by self-regulatory organization (pdf)
July 2007 SEC2450 Self-Regulatory Organizations
2-A Report of sales and use of proceeds pursuant to Rule 257 of Regulation A (pdf)
April 2005 SEC816 Securities Act of 1933, Small Businesses
2-E Report of sales pursuant to Rule 609 of Regulation E (pdf)
Oct. 2006 SEC1808 Investment Company Act of 1940, Investment Companies, Small Businesses
20-F Registration statement / Annual report / Transition report (pdf)
Jan. 2012 SEC1852 Securities Exchange Act of 1934, International
24F-2 Annual notice of securities sold pursuant to Rule 24-f2 (pdf)
June 2002 SEC2393 Investment Company Act of 1940, Investment Companies
25 Notification of the removal from listing and registration of matured, redeemed or retired securities (pdf)
March 2006 SEC1654 Self-Regulatory Organizations
3 Initial statement of beneficial ownership of securities (pdf)
Nov. 2011 SEC1473 Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
3 Initial statement of beneficial ownership of securities -— general instructions (pdf)
Nov. 2011 SEC1472 Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
4 Statement of changes in beneficial ownership of securities (pdf)
Nov. 2011 SEC1474 Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
4 Statement of changes in beneficial ownership of securities —- general instructions (pdf)
Nov. 2011 SEC1475 Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
40-F Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (pdf)
Jan. 2012 SEC2285 Securities Exchange Act of 1934, International
5 Annual statement of changes in beneficial ownership of securities (pdf)
Nov. 2011 SEC2270T Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
5 Annual statement of changes in beneficial ownership of securities -— general instructions (pdf)
Nov. 2011 SEC2270 Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
6-K Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (pdf)
April 2009 SEC1815 Securities Exchange Act of 1934, International
7-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (pdf)
June 2012 SEC876 Broker-Dealers
8-A Registration of certain classes of securities pursuant to Section 12(b) or (g) (pdf)
Feb. 2008 SEC1922 Securities Exchange Act of 1934
8-K Current report pursuant to Section 13 or 15(d) (pdf)
Jan. 2012 SEC873 Securities Exchange Act of 1934
8-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (pdf)
June 2012 SEC877 Broker-Dealers
9-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer (pdf)
June 2012 SEC878 Broker-Dealers
ABS-15G Asset-Backed Securitizer Report (pdf)
March 2011 SEC2860 Securities Exchange Act of 1934
ADV Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (pdf)
Sept. 2011 SEC1707 Investment Advisers Act of 1940, Investment Advisers
ADV-E Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (pdf)
Jan. 2013 SEC2223 Investment Advisers Act of 1940, Investment Advisers
ADV-H Application for a temporary or continuing hardship exemption (pdf)
Sept. 2011 SEC2566 Investment Advisers Act of 1940, Investment Advisers
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. 2011 SEC2565 Investment Advisers Act of 1940, Investment Advisers
ADV-W Notice of withdrawal from registration as investment adviser (pdf)
Nov. 2010 SEC777 Investment Advisers Act of 1940, Investment Advisers
ATS Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (pdf)
May 2005 SEC2550 Self-Regulatory Organizations
ATS-R Quarterly report of alternative trading systems activities (pdf)
June 2009 SEC2551 Self-Regulatory Organizations
BD Uniform application for broker-dealer registration (pdf)
Jan. 2008 SEC1490 Broker-Dealers
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. 2008 SEC1500 Broker-Dealers
BDW Uniform request for broker-dealer withdrawal (pdf)
April 2007 SEC122 Broker-Dealers
CA-1 Registration or exemption from registration as a clearing agency and for amendment to registration (pdf)
Oct. 2002 SEC1853 Clearing Agencies
CB Tender offer/rights offering notification form (pdf)
Dec. 2008 SEC2560 Securities Act of 1933, Securities Exchange Act of 1934, Proxy and Tender Offer
D Notice of Exempt Offering of Securities
March 2009 SEC1972 Securities Act of 1933, Small Businesses
F-1 Registration statement for securities of certain foreign private issuers (pdf)
Dec. 2008 SEC1981 Securities Act of 1933, International
F-10 Registration statement for securities of certain Canadian issuers (pdf)
Dec. 2013 SEC2292 Securities Act of 1933, International
F-3 Registration statement for securities of certain foreign private issuers (pdf)
April 2009 SEC1983 Securities Act of 1933, International
F-4 Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (pdf)
Dec. 2008 SEC2078 Securities Act of 1933, International
F-6 Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (pdf)
Oct. 2008 SEC2001 Securities 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. 2007 SEC2289 Securities 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)
June 2013 SEC2290 Securities 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. 2007 SEC2282 Securities Act of 1933, International
F-N Appointment of agent for service of process by foreign banks and foreign insurance companies (pdf)
Oct. 2006 SEC2306 Securities Act of 1933
F-X Appointment of agent for service of process and undertaking (pdf)
Feb. 2008 SEC2288 Securities Act of 1933, International
ID Uniform application for access codes to file on EDGAR
Dec. 2013 SEC2084 Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
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
MA Instructions for the Form MA Series (pdf)
Sept. 2013 Securities Exchange Act of 1934, Municipal Advisors
MA-I Information Regarding Natural Persons who Engage in Municipal Advisory Activities (pdf)
Sept. 2013

SEC2899

Securities Exchange Act of 1934, Municipal Advisors
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
MA-T Municipal Advisor Registration Form
Sept. 2010 Municipal Advisors
MA-W Notice of Withdrawal from Registration as a Municipal Advisor (pdf)
Sept. 2013

SEC2901

Securities Exchange Act of 1934, Municipal Advisors
MSD Application for registration as a municipal securities dealer or amendment to such application (pdf)
Dec. 2013 SEC1534 Municipal Securities
MSDW Notice of withdrawal from registration as a municipal securities dealer (pdf)
Dec. 2013 SEC1588 Municipal Securities
N-14 Form for the registration of securities issued in business combination transactions by investment companies and business development companies (pdf)
July 2013 SEC2106 Investment Company Act of 1940, Investment Companies
N-17D-1 Report filed by small business investment company (SBIC) (pdf)
Aug. 2005 SEC1839 Investment 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. 2003 SEC2205 Investment Company Act of 1940, Investment Companies
N-17f-2 Certificate of accounting of securities and similar investments in the custody of management investment companies (pdf)
April 2009 SEC2198 Investment 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. 2012 SEC1846 Investment Company Act of 1940, Investment Companies
N-1A Registration form for open-end management investment companies (pdf)
Feb. 2010 SEC2052 Investment Company Act of 1940, Investment Companies
N-2 Registration statement for closed-end management investment companies (pdf)
Feb. 2010 SEC1716 Investment Company Act of 1940, Investment Companies
N-23c-3 Notification of repurchase offer (pdf)
Oct. 2003 SEC2380 Investment Company Act of 1940, Investment Companies
N-27D-1 Accounting of Segregated Trust Account (pdf)
April 2014

SEC1840

Investment Company Act of 1940, Investment Companies
N-3 Registration statement of separate accounts organized as management investment companies (pdf)
Feb. 2010 SEC2124 Investment Company Act of 1940, Investment Companies
N-4 Registration statement of separate accounts organized as unit investment trusts (pdf)
Nov. 2009 SEC2125 Investment Company Act of 1940, Investment Companies
N-5 Registration statement of small business investment company (pdf)
March 2010 SEC993 Investment Company Act of 1940, Investment Companies, Small Businesses
N-54A Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (pdf)
Oct. 2003 SEC1937 Investment Company Act of 1940, Investment Companies
N-54C Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (pdf)
March 2001 SEC1938 Investment Company Act of 1940, Investment Companies
N-6 Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (pdf)
Aug. 2006 SEC2567 Investment Company Act of 1940, Investment Companies
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 2003 SEC1130 Investment Company Act of 1940, Investment Companies
N-6F Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (pdf)
March 2001 SEC1936 Investment Company Act of 1940, Investment Companies
N-8A Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (pdf)
Dec. 2001 SEC1102 Investment Company Act of 1940, Investment Companies
N-8B-2 Registration statement of unit investment trusts which are currently issuing securities (pdf)
March 2010 SEC977 Investment Company Act of 1940, Investment Companies
N-8B-4 Registration statement of face-amount certificate companies (pdf)
Nov. 2005 SEC1285 Investment Company Act of 1940, Investment Companies
N-8F Application for deregistration of certain registered investment companies (pdf)
Aug. 2013 SEC1691 Investment Company Act of 1940, Investment Companies
N-CSR Certified shareholder report of registered management investment companies (pdf)
Oct. 2010 SEC2569 Investment Company Act of 1940, Investment Companies
N-MFP Monthly Schedule of Portfolio Holdings of Money Market Funds (pdf)
Sept. 2010 SEC2847 Investment Company Act of 1940, Investment Companies
N-PX Annual Report of Proxy Voting Record of Registered Management Investment Company (pdf)
April 2003 SEC2451 Investment Company Act of 1940, Investment Companies
N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (pdf)
Aug. 2005 SEC2455 Investment Company Act of 1940, Investment Companies
N-SAR Semi-annual report of registered investment companies (pdf)
Oct. 2010 SEC2100 Investment Company Act of 1940, Investment Companies
NRSRO Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (pdf)
April 2009 SEC1541 NRSRO
PF Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (pdf)
Dec. 2011 SEC2048 Investment Advisers Act of 1940, Investment Advisers
PILOT Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (pdf)
Sept. 2013 SEC2552 Self-Regulatory Organizations
R31 Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (pdf)
Sept. 2013 SEC2502 Securities Exchange Act of 1934, Self-Regulatory Organizations
S-1 Registration statement under Securities Act of 1933 (pdf)
Feb. 2008 SEC870 Securities Act of 1933, Small Businesses
S-11 Registration of securities of certain real estate companies (pdf)
Feb. 2008 SEC907 Securities Act of 1933
S-20 Registration statement under the Securities Act of 1933 (pdf)
June 2005 SEC2013 Securities Act of 1933
S-3 Registration statement under Securities Act of 1933 (pdf)
Jan. 2012 SEC1379 Securities Act of 1933
S-4 Registration statement under Securities Act of 1933 (pdf)
Dec. 2008 SEC2077 Securities Act of 1933
S-6 Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (pdf)
Sept. 2013 SEC649 Securities Act of 1933
S-8 Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (pdf)
Sept. 2013 SEC1398 Securities Act of 1933
SD Specialized Disclosure Report (pdf)
Jan. 2014 SEC697 Securities Exchange Act of 1934
SE Submission of Paper Format Exhibits by Electronic Filers (pdf)
Nov. 2011 SEC2082 Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
SIP Application or amendment to application for registration as securities infomation processor (pdf)
March 2013 SEC1939 Other Forms and Materials
T-1 Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees (pdf)
Jan. 2007 SEC1836 Trust 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
T-3 For applications for qualification of indentures under the Trust Indenture Act of 1939 (pdf)
Jan. 2007 SEC1919 Trust Indenture Act of 1939
T-4 Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (pdf)
Jan. 2007 SEC1920 Trust Indenture Act of 1939
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. 2007 SEC2275 Trust Indenture Act of 1939
TA-1 Uniform form for registration as a transfer agent and for amendment to registration (pdf)
Jan. 2008 SEC1528 Transfer Agents
TA-2 Form for reporting activities of transfer agents (pdf)
Aug. 2012 SEC2113 Transfer Agents
TA-W Notice of withdrawal from registration as transfer agent (pdf)
Dec. 2006 SEC1669 Transfer Agents
TCR Tip, Complaint, or Referral (pdf)
Aug. 2011 SEC2850 Whistleblower, Tips Complaints and Referrals
TH Notification of Reliance on Temporary Hardship Exemption (pdf)
July 2006 SEC2348 Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
WB-APP 2Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (pdf)
Aug. 2011 SEC2851 Whistleblower, Tips Complaints and Referrals
X-17A-19 Report of Change in Membership Status (pdf)
July 2001 SEC1414 Self-Regulatory Organizations
X-17A-5 Part I FOCUS Report, Part I (pdf)
April 2003 SEC1705 Broker-Dealers
X-17A-5 Part II FOCUS Report, Part II (pdf)
July 2002 SEC1695 Broker-Dealers
X-17A-5 Part II FOCUS Report, Part II Instructions (pdf)
Feb. 2004 SEC1695A Broker-Dealers
X-17A-5 Part IIA FOCUS Report Part IIa Instructions (pdf)
April 2002 SEC1696A Broker-Dealers
X-17A-5 Part IIA FOCUS Report Part IIa (pdf)
Feb. 2003 SEC1696 Broker-Dealers
X-17A-5 Part IIB FOCUS Report, Part IIb (OTC Derivatives Dealer) (pdf)
March 2012 SEC2430 Broker-Dealers
X-17A-5 Part III FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III (pdf)
May 2013 SEC1410 Broker-Dealers
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 2013 SEC1675 Broker-Dealers
X-17F-1A Missing/Lost/Stolen/Counterfeit Securities Report (pdf)
May 2001 SEC1666 Broker-Dealers
n/a Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (pdf)
Aug. 2013 SEC1662 Other Forms and Materials
n/a Industry Guides (pdf)
May 2007 SEC2056 Other Forms and Materials
n/a Notice on Supplying Information Voluntarily (pdf)
Jan. 2014 SEC2405 Other Forms and Materials
n/a Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commission’s Examination Staff (pdf)
May 2012 SEC2866 Other Forms and Materials
n/a Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena (pdf)
Aug. 2013 SEC1661 Other Forms and Materials
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Number

Number: 1

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

Last Updated: Feb. 1999

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SEC Number:SEC1935

Topic(s): Self-Regulatory Organizations

Number: 1-A

Description: Regulation A Offering Statement (pdf)

Last Updated: Dec. 2013

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SEC Number:SEC486

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

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: 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: 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: 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: March 2005

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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: Jan. 2012

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SEC Number:SEC1673

Topic(s): Securities Exchange Act of 1934

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: 11-K

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

Last Updated: Feb. 2008

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SEC Number:SEC617

Topic(s): Securities Exchange Act of 1934

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: 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: 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: 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: 18

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

Last Updated: Jan. 2007

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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: April 2007

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SEC Number:SEC1797

Topic(s): Securities Exchange Act of 1934

Number: 19b-4

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

Last Updated: Sept. 2013

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SEC Number:SEC1832

Topic(s): Self-Regulatory Organizations

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: 2-A

Description: Report of sales and use of proceeds pursuant to Rule 257 of Regulation A (pdf)

Last Updated: April 2005

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SEC Number:SEC816

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

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: 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: 24F-2

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

Last Updated: June 2002

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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: March 2006

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SEC Number:SEC1654

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, Significant Shareholders, Officers

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: 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: 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: 5

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

Last Updated: Nov. 2011

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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

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SEC Number:SEC2270

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

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: 8-A

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

Last Updated: Feb. 2008

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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: Jan. 2012

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SEC Number:SEC873

Topic(s): Securities Exchange Act of 1934

Number: ABS-15G

Description: Asset-Backed Securitizer Report (pdf)

Last Updated: March 2011

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SEC Number:SEC2860

Topic(s): Securities Exchange Act of 1934

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: 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: ADV-H

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

Last Updated: Sept. 2011

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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: Sept. 2011

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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: Nov. 2010

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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: May 2005

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SEC Number:SEC2550

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: 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: BDW

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

Last Updated: April 2007

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SEC Number:SEC122

Topic(s): Broker-Dealers

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: 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: 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: F-1

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

Last Updated: Dec. 2008

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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: Dec. 2013

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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: April 2009

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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: Dec. 2008

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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: Oct. 2008

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SEC Number:SEC2001

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-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: F-X

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

Last Updated: Feb. 2008

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SEC Number:SEC2288

Topic(s): Securities Act of 1933, International

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: 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

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SEC Number:

SEC2898

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

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: 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: 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: MA-T

Description: Municipal Advisor Registration Form

Last Updated: Sept. 2010

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SEC Number:

Topic(s): Municipal Advisors

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: MSD

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

Last Updated: Dec. 2013

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SEC Number:SEC1534

Topic(s): Municipal Securities

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: 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: 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: 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: 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-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-1A

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

Last Updated: Feb. 2010

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SEC Number:SEC2052

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

Number: N-2

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

Last Updated: Feb. 2010

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SEC Number:SEC1716

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

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: N-27D-1

Description: Accounting of Segregated Trust Account (pdf)

Last Updated: April 2014

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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 (pdf)

Last Updated: Feb. 2010

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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-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: 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: 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-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-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: 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: 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: 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-8F

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

Last Updated: Aug. 2013

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SEC Number:SEC1691

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

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-MFP

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

Last Updated: Sept. 2010

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SEC Number:SEC2847

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: April 2003

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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: Aug. 2005

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SEC Number:SEC2455

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

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: NRSRO

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

Last Updated: April 2009

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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: Dec. 2011

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SEC Number:SEC2048

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

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: S-1

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

Last Updated: Feb. 2008

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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: Feb. 2008

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SEC Number:SEC907

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: S-3

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

Last Updated: Jan. 2012

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SEC Number:SEC1379

Topic(s): Securities Act of 1933

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-6

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

Last Updated: Sept. 2013

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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: Sept. 2013

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SEC Number:SEC1398

Topic(s): Securities Act of 1933

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: 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: SIP

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

Last Updated: March 2013

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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: 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: 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: T-4

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

Last Updated: Jan. 2007

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SEC Number:SEC1920

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: Jan. 2008

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SEC Number:SEC1528

Topic(s): Transfer Agents

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: 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: TCR

Description: Tip, Complaint, or Referral (pdf)

Last Updated: Aug. 2011

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SEC Number:SEC2850

Topic(s): Whistleblower, Tips Complaints and Referrals

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: WB-APP

Description: 2Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (pdf)

Last Updated: Aug. 2011

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SEC Number:SEC2851

Topic(s): Whistleblower, Tips Complaints and Referrals

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: 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 IIA

Description: FOCUS Report Part IIa Instructions (pdf)

Last Updated: April 2002

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SEC Number:SEC1696A

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 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 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

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SEC Number:SEC1675

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/a

Description: Industry Guides (pdf)

Last Updated: May 2007

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SEC Number:SEC2056

Topic(s): Other Forms and Materials

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/a

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

Last Updated: May 2012

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SEC Number:SEC2866

Topic(s): Other Forms and Materials

Number: n/a

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

Last Updated: Aug. 2013

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SEC Number:SEC1661

Topic(s): Other Forms and Materials

Last Updated

Updated Date: Feb. 1999

Number: 1

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

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SEC Number:SEC1935

Topic(s): Self-Regulatory Organizations

Updated Date: Dec. 2013

Number: 1-A

Description: Regulation A Offering Statement (pdf)

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SEC Number:SEC486

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

Updated Date: Aug. 2001

Number: 1-E

Description: Notification under Regulation E (pdf)

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SEC Number:SEC1807

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

Updated Date: Dec. 2013

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)

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SEC Number:SEC2568

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

Updated Date: Feb. 2008

Number: 10

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

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SEC Number:SEC1396

Topic(s): Securities Exchange Act of 1934

Updated Date: March 2005

Number: 10-D

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

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SEC Number:SEC2503

Topic(s): Securities Exchange Act of 1934

Updated Date: Jan. 2012

Number: 10-K

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

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SEC Number:SEC1673

Topic(s): Securities Exchange Act of 1934

Updated Date: Jan. 2012

Number: 10-Q

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

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SEC Number:SEC1296

Topic(s): Securities Exchange Act of 1934

Updated Date: Feb. 2008

Number: 11-K

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

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SEC Number:SEC617

Topic(s): Securities Exchange Act of 1934

Updated Date: April 2009

Number: 12b-25

Description: Notification of late filing (pdf)

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SEC Number:SEC1344

Topic(s): Securities Exchange Act of 1934

Updated Date: Jan. 2012

Number: 13F

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

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SEC Number:SEC1685

Topic(s): Securities Exchange Act of 1934

Updated Date: Nov. 2011

Number: 13H

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

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SEC Number:SEC2858

Topic(s): Securities Exchange Act of 1934

Updated Date: Aug. 2007

Number: 144

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

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SEC Number:SEC1147

Topic(s): Securities Act of 1933

Updated Date: Jan. 2010

Number: 17-H

Description: Risk Assessment for Brokers & Dealers (pdf)

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SEC Number:SEC2332

Topic(s): Broker-Dealers

Updated Date: Jan. 2007

Number: 18

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

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SEC Number:SEC1421

Topic(s): Securities Exchange Act of 1934

Updated Date: April 2007

Number: 18-K

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

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SEC Number:SEC1797

Topic(s): Securities Exchange Act of 1934

Updated Date: Sept. 2013

Number: 19b-4

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

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SEC Number:SEC1832

Topic(s): Self-Regulatory Organizations

Updated Date: July 2007

Number: 19b-7

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

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SEC Number:SEC2450

Topic(s): Self-Regulatory Organizations

Updated Date: April 2005

Number: 2-A

Description: Report of sales and use of proceeds pursuant to Rule 257 of Regulation A (pdf)

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SEC Number:SEC816

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

Updated Date: Oct. 2006

Number: 2-E

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

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SEC Number:SEC1808

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

Updated Date: Jan. 2012

Number: 20-F

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

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SEC Number:SEC1852

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

Updated Date: June 2002

Number: 24F-2

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

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SEC Number:SEC2393

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

Updated Date: March 2006

Number: 25

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

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SEC Number:SEC1654

Topic(s): Self-Regulatory Organizations

Updated Date: Nov. 2011

Number: 3

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

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SEC Number:SEC1473

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

Updated Date: Nov. 2011

Number: 3

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

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SEC Number:SEC1472

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

Updated Date: Nov. 2011

Number: 4

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

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SEC Number:SEC1474

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

Updated Date: Nov. 2011

Number: 4

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

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SEC Number:SEC1475

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

Updated Date: Jan. 2012

Number: 40-F

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

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SEC Number:SEC2285

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

Updated Date: Nov. 2011

Number: 5

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

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SEC Number:SEC2270T

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

Updated Date: Nov. 2011

Number: 5

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

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SEC Number:SEC2270

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

Updated Date: April 2009

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)

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SEC Number:SEC1815

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

Updated Date: Feb. 2008

Number: 8-A

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

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SEC Number:SEC1922

Topic(s): Securities Exchange Act of 1934

Updated Date: Jan. 2012

Number: 8-K

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

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SEC Number:SEC873

Topic(s): Securities Exchange Act of 1934

Updated Date: March 2011

Number: ABS-15G

Description: Asset-Backed Securitizer Report (pdf)

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SEC Number:SEC2860

Topic(s): Securities Exchange Act of 1934

Updated Date: Sept. 2011

Number: ADV

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

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SEC Number:SEC1707

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

Updated Date: Jan. 2013

Number: ADV-E

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

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SEC Number:SEC2223

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

Updated Date: Sept. 2011

Number: ADV-H

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

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SEC Number:SEC2566

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

Updated Date: Sept. 2011

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)

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SEC Number:SEC2565

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

Updated Date: Nov. 2010

Number: ADV-W

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

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SEC Number:SEC777

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

Updated Date: May 2005

Number: ATS

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

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SEC Number:SEC2550

Topic(s): Self-Regulatory Organizations

Updated Date: June 2009

Number: ATS-R

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

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SEC Number:SEC2551

Topic(s): Self-Regulatory Organizations

Updated Date: Jan. 2008

Number: BD

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

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SEC Number:SEC1490

Topic(s): Broker-Dealers

Updated Date: April 2007

Number: BDW

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

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SEC Number:SEC122

Topic(s): Broker-Dealers

Updated Date: Oct. 2002

Number: CA-1

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

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SEC Number:SEC1853

Topic(s): Clearing Agencies

Updated Date: Dec. 2008

Number: CB

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

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SEC Number:SEC2560

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

Updated Date: March 2009

Number: D

Description: Notice of Exempt Offering of Securities

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SEC Number:SEC1972

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

Updated Date: Dec. 2008

Number: F-1

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

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SEC Number:SEC1981

Topic(s): Securities Act of 1933,International

Updated Date: Dec. 2013

Number: F-10

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

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SEC Number:SEC2292

Topic(s): Securities Act of 1933,International

Updated Date: April 2009

Number: F-3

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

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SEC Number:SEC1983

Topic(s): Securities Act of 1933,International

Updated Date: Dec. 2008

Number: F-4

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

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SEC Number:SEC2078

Topic(s): Securities Act of 1933,International

Updated Date: Oct. 2008

Number: F-6

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

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SEC Number:SEC2001

Topic(s): Securities Act of 1933,International

Updated Date: Jan. 2007

Number: F-80

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

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SEC Number:SEC2282

Topic(s): Securities Act of 1933,International

Updated Date: Oct. 2006

Number: F-N

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

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SEC Number:SEC2306

Topic(s): Securities Act of 1933

Updated Date: Feb. 2008

Number: F-X

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

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SEC Number:SEC2288

Topic(s): Securities Act of 1933,International

Updated Date: Dec. 2013

Number: ID

Description: Uniform application for access codes to file on EDGAR

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SEC Number:SEC2084

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

Updated Date: Sept. 2013

Number: MA

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

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SEC Number:

SEC2898

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

Updated Date: Sept. 2013

Number: MA

Description: Instructions for the Form MA Series (pdf)

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SEC Number:

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

Updated Date: Sept. 2013

Number: MA-I

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

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SEC Number:

SEC2899

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

Updated Date: Sept. 2013

Number: MA-NR

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

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SEC Number:

SEC2900

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

Updated Date: Sept. 2010

Number: MA-T

Description: Municipal Advisor Registration Form

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SEC Number:

Topic(s): Municipal Advisors

Updated Date: Sept. 2013

Number: MA-W

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

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SEC Number:

SEC2901

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

Updated Date: Dec. 2013

Number: MSD

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

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SEC Number:SEC1534

Topic(s): Municipal Securities

Updated Date: Dec. 2013

Number: MSDW

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

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SEC Number:SEC1588

Topic(s): Municipal Securities

Updated Date: July 2013

Number: N-14

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

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SEC Number:SEC2106

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

Updated Date: Aug. 2005

Number: N-17D-1

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

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SEC Number:SEC1839

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

Updated Date: Nov. 2003

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)

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SEC Number:SEC2205

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

Updated Date: April 2009

Number: N-17f-2

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

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SEC Number:SEC2198

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

Updated Date: Jan. 2012

Number: N-18f-1

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

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SEC Number:SEC1846

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

Updated Date: Feb. 2010

Number: N-1A

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

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SEC Number:SEC2052

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

Updated Date: Feb. 2010

Number: N-2

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

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SEC Number:SEC1716

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

Updated Date: Oct. 2003

Number: N-23c-3

Description: Notification of repurchase offer (pdf)

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SEC Number:SEC2380

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

Updated Date: April 2014

Number: N-27D-1

Description: Accounting of Segregated Trust Account (pdf)

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SEC Number:

SEC1840

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

Updated Date: Feb. 2010

Number: N-3

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

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SEC Number:SEC2124

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

Updated Date: Nov. 2009

Number: N-4

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

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SEC Number:SEC2125

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

Updated Date: March 2010

Number: N-5

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

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SEC Number:SEC993

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

Updated Date: Oct. 2003

Number: N-54A

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

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SEC Number:SEC1937

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

Updated Date: March 2001

Number: N-54C

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

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SEC Number:SEC1938

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

Updated Date: Aug. 2006

Number: N-6

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

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SEC Number:SEC2567

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

Updated Date: March 2003

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)

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SEC Number:SEC1130

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

Updated Date: March 2001

Number: N-6F

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

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SEC Number:SEC1936

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

Updated Date: Dec. 2001

Number: N-8A

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

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SEC Number:SEC1102

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

Updated Date: March 2010

Number: N-8B-2

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

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SEC Number:SEC977

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

Updated Date: Nov. 2005

Number: N-8B-4

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

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SEC Number:SEC1285

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

Updated Date: Aug. 2013

Number: N-8F

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

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SEC Number:SEC1691

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

Updated Date: Oct. 2010

Number: N-CSR

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

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SEC Number:SEC2569

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

Updated Date: Sept. 2010

Number: N-MFP

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

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SEC Number:SEC2847

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

Updated Date: April 2003

Number: N-PX

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

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SEC Number:SEC2451

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

Updated Date: Aug. 2005

Number: N-Q

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

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SEC Number:SEC2455

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

Updated Date: Oct. 2010

Number: N-SAR

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

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SEC Number:SEC2100

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

Updated Date: April 2009

Number: NRSRO

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

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SEC Number:SEC1541

Topic(s): NRSRO

Updated Date: Dec. 2011

Number: PF

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

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SEC Number:SEC2048

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

Updated Date: Sept. 2013

Number: R31

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

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SEC Number:SEC2502

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

Updated Date: Feb. 2008

Number: S-1

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

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SEC Number:SEC870

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

Updated Date: Feb. 2008

Number: S-11

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

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SEC Number:SEC907

Topic(s): Securities Act of 1933

Updated Date: June 2005

Number: S-20

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

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SEC Number:SEC2013

Topic(s): Securities Act of 1933

Updated Date: Jan. 2012

Number: S-3

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

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SEC Number:SEC1379

Topic(s): Securities Act of 1933

Updated Date: Dec. 2008

Number: S-4

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

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SEC Number:SEC2077

Topic(s): Securities Act of 1933

Updated Date: Sept. 2013

Number: S-6

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

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SEC Number:SEC649

Topic(s): Securities Act of 1933

Updated Date: Sept. 2013

Number: S-8

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

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SEC Number:SEC1398

Topic(s): Securities Act of 1933

Updated Date: Jan. 2014

Number: SD

Description: Specialized Disclosure Report (pdf)

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SEC Number:SEC697

Topic(s): Securities Exchange Act of 1934

Updated Date: Nov. 2011

Number: SE

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

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SEC Number:SEC2082

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

Updated Date: March 2013

Number: SIP

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

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SEC Number:SEC1939

Topic(s): Other Forms and Materials

Updated Date: Jan. 2007

Number: T-1

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

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SEC Number:SEC1836

Topic(s): Trust Indenture Act of 1939

Updated Date: Jan. 2007

Number: T-2

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

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SEC Number:SEC1849

Topic(s): Trust Indenture Act of 1939

Updated Date: Jan. 2007

Number: T-3

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

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SEC Number:SEC1919

Topic(s): Trust Indenture Act of 1939

Updated Date: Jan. 2007

Number: T-4

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

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SEC Number:SEC1920

Topic(s): Trust Indenture Act of 1939

Updated Date: Jan. 2008

Number: TA-1

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

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SEC Number:SEC1528

Topic(s): Transfer Agents

Updated Date: Aug. 2012

Number: TA-2

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

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SEC Number:SEC2113

Topic(s): Transfer Agents

Updated Date: Dec. 2006

Number: TA-W

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

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SEC Number:SEC1669

Topic(s): Transfer Agents

Updated Date: Aug. 2011

Number: TCR

Description: Tip, Complaint, or Referral (pdf)

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SEC Number:SEC2850

Topic(s): Whistleblower,Tips Complaints and Referrals

Updated Date: July 2006

Number: TH

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

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SEC Number:SEC2348

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

Updated Date: Aug. 2011

Number: WB-APP

Description: 2Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (pdf)

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SEC Number:SEC2851

Topic(s): Whistleblower,Tips Complaints and Referrals

Updated Date: July 2001

Number: X-17A-19

Description: Report of Change in Membership Status (pdf)

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SEC Number:SEC1414

Topic(s): Self-Regulatory Organizations

Updated Date: April 2003

Number: X-17A-5 Part I

Description: FOCUS Report, Part I (pdf)

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SEC Number:SEC1705

Topic(s): Broker-Dealers

Updated Date: July 2002

Number: X-17A-5 Part II

Description: FOCUS Report, Part II (pdf)

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SEC Number:SEC1695

Topic(s): Broker-Dealers

Updated Date: Feb. 2004

Number: X-17A-5 Part II

Description: FOCUS Report, Part II Instructions (pdf)

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SEC Number:SEC1695A

Topic(s): Broker-Dealers

Updated Date: April 2002

Number: X-17A-5 Part IIA

Description: FOCUS Report Part IIa Instructions (pdf)

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SEC Number:SEC1696A

Topic(s): Broker-Dealers

Updated Date: Feb. 2003

Number: X-17A-5 Part IIA

Description: FOCUS Report Part IIa (pdf)

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SEC Number:SEC1696

Topic(s): Broker-Dealers

Updated Date: March 2012

Number: X-17A-5 Part IIB

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

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SEC Number:SEC2430

Topic(s): Broker-Dealers

Updated Date: May 2013

Number: X-17A-5 Part III

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

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SEC Number:SEC1410

Topic(s): Broker-Dealers

Updated Date: May 2013

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)

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SEC Number:SEC1675

Topic(s): Broker-Dealers

Updated Date: May 2001

Number: X-17F-1A

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

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SEC Number:SEC1666

Topic(s): Broker-Dealers

Updated Date: May 2007

Number: n/a

Description: Industry Guides (pdf)

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SEC Number:SEC2056

Topic(s): Other Forms and Materials

Updated Date: Jan. 2014

Number: n/a

Description: Notice on Supplying Information Voluntarily (pdf)

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SEC Number:SEC2405

Topic(s): Other Forms and Materials

Updated Date: May 2012

Number: n/a

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

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SEC Number:SEC2866

Topic(s): Other Forms and Materials

Updated Date: Aug. 2013

Number: n/a

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

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SEC Number:SEC1661

Topic(s): Other Forms and Materials