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: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):Security-Based Swap Entities, Broker-Dealers
Number:X-17A-5 Part II Description: FOCUS Report, Part II (PDF)
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)
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)
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)
Last Updated: SEC Number:

SEC1696

 Topic(s):Security-Based Swap Entities, Broker-Dealers
Number:X-17A-5 Part III Description: FOCUS Report Part III (PDF)
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)
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)
Last Updated: SEC Number:

SEC1666

 Topic(s):Broker-Dealers
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