This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order. Please note that you will need Adobe Reader plug-in to view these forms (available for free from Adobe through our About Adobe Acrobat (PDF) page).

Number
Description
Last Updated
SEC Number
Topic(s)
Number:1-N Description: Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF)
Last Updated: SEC Number:

SEC2568

Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations
Number:10 Description: General form for registration of securities pursuant to Section 12(b) or (g) (PDF)
Last Updated: SEC Number:

SEC1396

Topic(s):Securities Exchange Act of 1934
Number:10-D Description: Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (PDF)
Last Updated: SEC Number:

SEC2503

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

SEC1673

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

SEC1296

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

SEC1344

Topic(s):Securities Exchange Act of 1934
Number:13F Description: Information required of institutional investment managers pursuant to Section 13(f) (PDF)
Last Updated: SEC Number:

SEC1685

Topic(s):Securities Exchange Act of 1934
Number:13H Description: Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 (PDF)
Last Updated: SEC Number:SEC2858 Topic(s):Securities Exchange Act of 1934
Number: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:18 Description: Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF)
Last Updated: SEC Number:SEC1421 Topic(s):Securities Exchange Act of 1934
Number:18-K Description: Annual report for foreign governments and political subdivisions thereof (PDF)
Last Updated: SEC Number:SEC1797 Topic(s):Securities Exchange Act of 1934
Number:20-F Description: Registration statement / Annual report / Transition report (PDF)
Last Updated: SEC Number:

SEC1852

Topic(s):Securities Exchange Act of 1934, International
Number:3 Description: Initial statement of beneficial ownership of securities (PDF)
Last Updated: SEC Number:SEC1473 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders
Number:3 Description: Initial statement of beneficial ownership of securities -— general instructions (PDF)
Last Updated: SEC Number:

SEC1472

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

SEC1475

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

SEC2285

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

SEC2270T

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

SEC2270

Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders
Number:6-K Description: Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (PDF)
Last Updated: SEC Number:SEC1815 Topic(s):Securities Exchange Act of 1934, International
Number:8-A Description: Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF)
Last Updated: SEC Number:

SEC1922

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

SEC873

Topic(s):Securities Exchange Act of 1934
Number: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: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:ID Description: Uniform application for access codes to file on EDGAR
Last Updated: SEC Number:

SEC2084

Topic(s):Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
Number:MA Description: Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration (PDF)
Last Updated: SEC Number:

SEC2898

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

SEC2899

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

SEC2900

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

SEC2901

Topic(s):Securities Exchange Act of 1934, Municipal Advisors
Number: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: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:SBSE Description: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)
Last Updated: SEC Number:

SEC2924

Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934
Number:SBSE-A Description: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer (PDF)
Last Updated: SEC Number:

SEC2925

Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934
Number:SBSE-BD Description: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers (PDF)
Last Updated: SEC Number:

SEC2926

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

SEC2927

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

SEC2928

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

SEC 2919

Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations, Clearing Agencies
Number:SD Description: Specialized Disclosure Report (PDF)
Last Updated: SEC Number:SEC697 Topic(s):Securities Exchange Act of 1934
Number:SDR Description: Application or Amendment to Application for Registration or Withdrawal from Registration As Security-Based Swap Data Repository Under the Securities Exchange Act of 1934 (PDF)
Last Updated: SEC Number:

SEC2911

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

SEC2082

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