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: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: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-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: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, 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: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: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: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: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:SBSEF Description: Security-Based Swap Execution Facility Application for Registration (with Amendment to Application) (and SBSEF Submission Cover Sheet) (PDF)
Last Updated: SEC Number: Topic(s):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: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
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