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-E Description: Notification under Regulation E (PDF)
Last Updated: SEC Number:

SEC1807

 Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies
Number:2-E Description: Report of sales pursuant to Rule 609 of Regulation E (PDF)
Last Updated: SEC Number:

SEC1808

 Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies
Number:24F-2 Description: Annual notice of securities sold pursuant to Rule 24-f2 (PDF)
Last Updated: SEC Number:

SEC2393

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-14 Description: Form for the registration of securities issued in business combination transactions by investment companies and business development companies (PDF)
Last Updated: SEC Number:

SEC2106

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-17D-1 Description: Report filed by small business investment company (SBIC) (PDF)
Last Updated: SEC Number:

SEC1839

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-17f-1 Description: Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (PDF)
Last Updated: SEC Number:

SEC2205

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-17f-2 Description: Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF)
Last Updated: SEC Number:

SEC2198

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-18f-1 Description: Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:

SEC1846

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-1A Description: Registration form for open-end management investment companies (PDF)
Last Updated: SEC Number:

SEC2052

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-2 Description: Registration statement for closed-end management investment companies (PDF)
Last Updated: SEC Number:

SEC1716

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-23c-3 Description: Notification of repurchase offer (PDF)
Last Updated: SEC Number:

SEC2380

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-27D-1 Description: Accounting of Segregated Trust Account (PDF)
Last Updated: SEC Number:

SEC1840

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-3 Description: Registration statement of separate accounts organized as management investment companies (PDF)
Last Updated: SEC Number:

SEC2124

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-4 Description: Registration statement of separate accounts organized as unit investment trusts (PDF)
Last Updated: SEC Number:

SEC2125

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-5 Description: Registration statement of small business investment company (PDF)
Last Updated: SEC Number:

SEC993

 Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies
Number:N-54A Description: Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:

SEC1937

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-54C Description: Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:

SEC1938

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-6 Description: Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (PDF)
Last Updated: SEC Number:

SEC2567

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-6EI-1 Description: Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:

SEC1130

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-6F Description: Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:

SEC1936

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8A Description: Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)
Last Updated: SEC Number:

SEC1102

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8B-2 Description: Registration statement of unit investment trusts which are currently issuing securities (PDF)
Last Updated: SEC Number:

SEC977

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8B-4 Description: Registration statement of face-amount certificate companies (PDF)
Last Updated: SEC Number:

SEC1285

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-8F Description: Application for deregistration of certain registered investment companies (PDF)
Last Updated: SEC Number:

SEC1691

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-CEN Description: Annual Report for Registered Investment Companies (PDF)
Last Updated: SEC Number:

SEC 2846

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-CR Description: Current Report, Money Market Fund Material Events (PDF)
Last Updated: SEC Number:

SEC2918

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-CSR Description: Certified shareholder report of registered management investment companies (PDF)
Last Updated: SEC Number:

SEC2569

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-MFP Description: Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF)
Last Updated: SEC Number:

SEC2847

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-PORT Description: Monthly Portfolio Investments Report (PDF)
Last Updated: SEC Number:

SEC 2940

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-PX Description: Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)
Last Updated: SEC Number:

SEC2451

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-PX Description: DISCLAIMER: This version of Form N-PX is effective July 1, 2024. DO NOT USE UNTIL JULY 1, 2024.Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)
Last Updated: SEC Number:

SEC2451

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-Q Description: Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (PDF)
Last Updated: SEC Number:

SEC2455

 Topic(s):Investment Company Act of 1940, Investment Companies
Number:N-RN Description: Current Report For Registered Management Investment Companies and Business Development Companies (PDF)
Last Updated: SEC Number:

SEC 2941

 Topic(s):Investment Company Act of 1940, Investment Companies
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