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: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
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):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