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-A Description: Regulation A Offering Statement (PDF)
Last Updated: SEC Number:SEC486 Topic(s):Securities Act of 1933, Small Businesses
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:1-K Description: Annual Reports and Special Financial Reports (PDF)
Last Updated: SEC Number:

SEC2913

Topic(s):Securities Act of 1933, Small Businesses
Number:1-SA Description: Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF)
Last Updated: SEC Number:

SEC2914

Topic(s):Securities Act of 1933, Small Businesses
Number:1-U Description: Current Report Pursuant to Regulation A (PDF)
Last Updated: SEC Number:

SEC2915

Topic(s):Securities Act of 1933, Small Businesses
Number:1-Z Description: Exit Report Under Regulation A (PDF)
Last Updated: SEC Number:

SEC2916

Topic(s):Securities Act of 1933, Small Businesses
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:D Description: Notice of Exempt Offering of Securities
Last Updated: SEC Number:

SEC1972

Topic(s):Securities Act of 1933, Small Businesses
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:S-1 Description: Registration statement under Securities Act of 1933 (PDF)
Last Updated: SEC Number:

SEC870

Topic(s):Securities Act of 1933, Small Businesses