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).
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 Commissions 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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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Last Updated: |
SEC Number: SEC2908 |
Topic(s):Securities Act of 1933 |
Number:SF-3 |
Description:
Registration Statement Under the Securities Act of 1933 (PDF)
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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)
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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)
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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)
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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)
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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)
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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)
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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)
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Last Updated: |
SEC Number: SEC1528 |
Topic(s):Transfer Agents |
Number:TA-2 |
Description:
Form for reporting activities of transfer agents (PDF)
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Last Updated: |
SEC Number: SEC2113 |
Topic(s):Transfer Agents |
Number:TA-W |
Description:
Notice of withdrawal from registration as transfer agent (PDF)
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Last Updated: |
SEC Number: SEC1669 |
Topic(s):Transfer Agents |
Number:TCR |
Description:
Tip, Complaint, or Referral (PDF)
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Last Updated: |
SEC Number: SEC2850 |
Topic(s):Tips Complaints and Referrals, Whistleblower |
Number:TH |
Description:
Notification of Reliance on Temporary Hardship Exemption (PDF)
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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)
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Last Updated: |
SEC Number: SEC2851 |
Topic(s):Tips Complaints and Referrals, Whistleblower |
Number:X-17A-19 |
Description:
Report of Change in Membership Status (PDF)
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Last Updated: |
SEC Number: SEC1414 |
Topic(s):Self-Regulatory Organizations |
Number:X-17A-5 Part I |
Description:
FOCUS Report, Part I (PDF)
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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)
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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)
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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)
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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)
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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)
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Last Updated: | SEC Number: | Topic(s):Security-Based Swap Entities |
Number:X-17A-5 Part IIC |
Description:
FOCUS Report, Part IIC (PDF)
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Last Updated: | SEC Number: | Topic(s):Security-Based Swap Entities |
Number:X-17A-5 Part III |
Description:
FOCUS Report Part III (PDF)
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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)
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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)
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Last Updated: |
SEC Number: SEC1666 |
Topic(s):Broker-Dealers |