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).

This list does not include Schedules and certain other non-Form Submissions that are included in the Code of Federal Regulations, including Schedule 13D and Schedule 13G which are separately hyperlinked. For more information, please visit the relevant Division’s webpage.

Forms List Table

Number
Description
Last Updated
SEC Number
Topic(s)
Number: Description: Examination Brochure: Information about Examinations (PDF)
Last Updated: SEC Number: Topic(s):
Number: Description: Transferred Federal Employees
Last Updated: SEC Number: Topic(s):
Number: Description: Term Employees
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, Small Businesses
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, Public Companies
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, Public Companies
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, Public Companies
Number:12b-25 Description: Notification of late filing (PDF)
Last Updated: SEC Number:

SEC1344

 Topic(s):Securities Exchange Act of 1934, Public Companies
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, Investors
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, International
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, International
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, Public Companies, 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):Public Companies, 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, Investors
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, Investors
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, Investors
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, Investors
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, Public Companies, 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, Investors
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, Investors
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, Public Companies, 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, Public Companies
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, Public Companies
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, Small Businesses
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
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 (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 (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 (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-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 (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: 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: 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-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: Monthly Portfolio Investments Report (PDF)
Last Updated: SEC Number:

SEC 2940

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-PX Description: DISCLAIMER: This version of Form N-PX is effective July 1, 2024. DO NOT USE UNTIL JULY 1, 2024.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-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-RN Description: Current Report For Registered Management Investment Companies and Business Development Companies (PDF)
Last Updated: SEC Number:

SEC 2941

 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: 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, Public Companies, 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, Public Companies
Number:S-20 Description: Registration statement under the Securities Act of 1933 (PDF)
Last Updated: SEC Number:

SEC2013

 Topic(s):Securities Act of 1933, Public Companies
Number:S-3 Description: Registration statement under Securities Act of 1933 (PDF)
Last Updated: SEC Number:

SEC1379

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

SEC2077

 Topic(s):Securities Act of 1933, Public Companies
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, Public Companies
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, Public Companies
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, Public Companies
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):Security-Based Swap Entities, Broker-Dealers
Number:X-17A-5 Part II Description: FOCUS Report, Part II (PDF)
Last Updated: SEC Number:

SEC1695

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

SEC1695A

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

SEC1696A

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

SEC1696

 Topic(s):Security-Based Swap Entities, Broker-Dealers
Number:X-17A-5 Part IIC Description: FOCUS Report, Part IIC Instructions (PDF)
Last Updated: SEC Number: Topic(s):Security-Based Swap Entities
Number:X-17A-5 Part IIC Description: FOCUS Report, Part IIC (PDF)
Last Updated: SEC Number: Topic(s):Security-Based Swap Entities
Number:X-17A-5 Part III Description: FOCUS Report Part III (PDF)
Last Updated: SEC Number:

SEC1410

 Topic(s):Security-Based Swap Entities, 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):Security-Based Swap Entities, 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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