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-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-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: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:C Description: Form C (PDF)
Last Updated: SEC Number:

SEC 2930

 Topic(s):Securities Act of 1933, Small Businesses
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, Public Companies, Small Businesses
1 to 12 of 12 items