Forms Index

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.

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Number Description Last Updated SEC Number Topic(s)
1 Application for registration or exemption from registration as a national securities exchange (PDF)

SEC1935

 Self-Regulatory Organizations
1-N Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF)

SEC2568

 Securities Exchange Act of 1934, Self-Regulatory Organizations, Small Businesses
19b-4 Proposed rule change by self-regulatory organization (PDF)

SEC1832

 Self-Regulatory Organizations
19b-4(e) Information required of a self-regulatory organization listing and trading a new derivative securities product pursuant to Rule 19b-4(e) under the Securities Exchange Act of 1934 (PDF)

SEC2449

 Self-Regulatory Organizations
19b-7 Proposed rule change by self-regulatory organization (PDF)

SEC2450

 Self-Regulatory Organizations
25 Notification of the removal from listing and registration of matured, redeemed or retired securities (PDF)

SEC1654

 Public Companies, Self-Regulatory Organizations
PILOT Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (PDF)

SEC2552

 Self-Regulatory Organizations
R31 Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (PDF)

SEC2502

 Securities Exchange Act of 1934, Self-Regulatory Organizations
SCI Systems Compliance and Integrity (PDF)

SEC 2919

 Securities Exchange Act of 1934, Self-Regulatory Organizations, Clearing Agencies
X-17A-19 Report of Change in Membership Status (PDF)

SEC1414

 Self-Regulatory Organizations
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