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:TA-1 Description: Uniform form for registration as a transfer agent and for amendment to registration (PDF)
Last Updated: SEC Number:

SEC1528

 Topic(s):Transfer Agents
Number:TA-2 Description: Form for reporting activities of transfer agents (PDF)
Last Updated: SEC Number:

SEC2113

 Topic(s):Transfer Agents
Number:TA-W Description: Notice of withdrawal from registration as transfer agent (PDF)
Last Updated: SEC Number:

SEC1669

 Topic(s):Transfer Agents
1 to 3 of 3 items