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: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:17-H Description: Risk Assessment for Brokers & Dealers (PDF)
Last Updated: SEC Number:SEC2332 Topic(s):Broker-Dealers
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-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: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: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:X-17A-5 Part I Description: FOCUS Report, Part I (PDF)
Last Updated: SEC Number:SEC1705 Topic(s):Broker-Dealers
Number:X-17A-5 Part II Description: FOCUS Report, Part II (PDF)
Last Updated: SEC Number:

SEC1695

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

SEC1695A

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

SEC1696A

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

SEC1696

Topic(s):Broker-Dealers
Number:X-17A-5 Part IIB Description: FOCUS Report, Part IIb (OTC Derivatives Dealer) (PDF)
Last Updated: SEC Number:

SEC2430

Topic(s):Broker-Dealers
Number:X-17A-5 Part III Description: FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III (PDF)
Last Updated: SEC Number:

SEC1410

Topic(s):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):Broker-Dealers
Number:X-17F-1A Description: Missing/Lost/Stolen/Counterfeit Securities Report (PDF)
Last Updated: SEC Number:SEC1666 Topic(s):Broker-Dealers