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

SEC1935

 Topic(s):Self-Regulatory Organizations
Number:1-N Description: Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF)
Last Updated: SEC Number:

SEC2568

 Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations, Small Businesses
Number:19b-4 Description: Proposed rule change by self-regulatory organization (PDF)
Last Updated: SEC Number:

SEC1832

 Topic(s):Self-Regulatory Organizations
Number:19b-4(e) Description: 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)
Last Updated: SEC Number:

SEC2449

 Topic(s):Self-Regulatory Organizations
Number:19b-7 Description: Proposed rule change by self-regulatory organization (PDF)
Last Updated: SEC Number:

SEC2450

 Topic(s):Self-Regulatory Organizations
Number:25 Description: Notification of the removal from listing and registration of matured, redeemed or retired securities (PDF)
Last Updated: SEC Number:

SEC1654

 Topic(s):Public Companies, Self-Regulatory Organizations
Number:PILOT Description: Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (PDF)
Last Updated: SEC Number:

SEC2552

 Topic(s):Self-Regulatory Organizations
Number:R31 Description: Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (PDF)
Last Updated: SEC Number:

SEC2502

 Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations
Number:SCI Description: Systems Compliance and Integrity (PDF)
Last Updated: SEC Number:

SEC 2919

 Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations, Clearing Agencies
Number:X-17A-19 Description: Report of Change in Membership Status (PDF)
Last Updated: SEC Number:

SEC1414

 Topic(s):Self-Regulatory Organizations
1 to 10 of 10 items