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:ADV Description: Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF)
Last Updated: SEC Number:

SEC1707

Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ADV-E Description: Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (PDF)
Last Updated: SEC Number:

SEC2223

Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ADV-H Description: Application for a temporary or continuing hardship exemption (PDF)
Last Updated: SEC Number:

SEC2566

Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ADV-NR Description: Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (PDF)
Last Updated: SEC Number:

SEC2565

Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:ADV-W Description: Notice of withdrawal from registration as investment adviser (PDF)
Last Updated: SEC Number:

SEC777

Topic(s):Investment Advisers Act of 1940, Investment Advisers
Number:PF Description: Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF)
Last Updated: SEC Number:

SEC2048

Topic(s):Investment Advisers Act of 1940, Investment Advisers