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U.S. Securities and Exchange Commission

Selected Non-EDGAR Forms

Division of Market Regulation

Form 1 (Securities Exchange Act of 1934):
National Securities Exchange Registration
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This form is used to apply for registration or exemption from registration as a national securities exchange. It provides background information on the applicant and the nature of its business, including information on its present officers, its constitution, articles of incorporation or association with all amendments attached, as well as existing by-laws or rules or instruments.

LOCATION:Filings are available on microfiche.
 
RETENTION:For as long as the exchange is registered plus six years.
 
INTERPRETATIVE RESPONSIBILITY: Division of Market Regulation
Office of Exchange Regulation



Form BD:
Broker-Dealer Registration
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This form is used to apply for registration as a broker or dealer of securities, as a municipal securities broker or dealer, or as a government securities broker or dealer, and to amend any such registration. It provides background information on the applicant and the nature of its business. It includes lists of the executive officers and general partners of the applicant. It also contains information, among other things, on past securities violations.

LOCATION:Filings are available on microfiche.
No paper copy is maintained.
 
RETENTION:For as long as the broker or dealer is registered plus fifty years.
 
INTERPRETATIVE RESPONSIBILITY:Division of Market Regulation
Office of Chief Counsel



Form BDW:
Broker-Dealer Withdrawal
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This form is used by a broker or dealer of securities, a municipal securities broker or dealer, or a government securities broker or dealer to apply for withdrawal from registration as such broker or dealer.

LOCATION:Filings are available on microfiche.
No paper copy is maintained.
 
RETENTION:For as long as the broker or dealer is registered plus fifty years.
 
INTERPRETATIVE RESPONSIBILITY: Division of Market Regulation
Office of Chief Counsel



Form MSD:
Municipal Securities Dealer Registration
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This report is used by a bank or a separately identifiable department or division of a bank to apply for registration as a municipal securities dealer with the SEC, or to amend such registration.

LOCATION:Filings are available on microfiche.
No paper copy is maintained.
 
RETENTION:For as long as the municipal securities dealer is registered plus fifty years.
 
INTERPRETATIVE RESPONSIBILITY:Division of Market Regulation
Office of Chief Counsel



Form MSDW:
Municipal Securities Dealer Withdrawal
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This report is used by a bank or a separately identifiable department or division of a bank to apply for withdrawal from registration as a municipal securities dealer with the SEC.

LOCATION:Filings are available on microfiche.
No paper copy is maintained.
 
RETENTION:For as long as the municipal securities dealer is registered plus fifty years.
 
INTERPRETATIVE RESPONSIBILITY:Division of Market Regulation
Office of Chief Counsel



Form CA-1:
Clearing Agent Registration
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This form is used by an entity to apply for registration as a clearing agency with the SEC, or to amend such registration.

LOCATION:Filings are available on microfiche.
 
RETENTION:For as long as the entity is registered plus fifty years.
 
INTERPRETATIVE RESPONSIBILITY:Division of Market Regulation
Office of Securities Processing Regulation



Form TA-1:
Transfer Agent Registration
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This form is used to apply for registration as a transfer agent or to amend such registration. It provides information on the company's activities and operation.

LOCATION:Filings are available on microfiche.
No paper copy is maintained.
 
RETENTION:For as long as the broker or dealer is registered plus fifty years.
 
INTERPRETATIVE RESPONSIBILITY:Division of Market Regulation
Office of Securities Processing Regulation



Form TA-W:
Transfer Agent Withdrawal
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This form is used to withdraw from registration as a transfer agent.

LOCATION:Files are available on microfiche.
No paper copy is maintained.
 
RETENTION:For as long as the transfer agent is registered plus fifty years.
 
INTERPRETATIVE RESPONSIBILITY:Division of Market Regulation
Office of Securities Processing Regulation



Form X-17A-5:
Annual Report of Certain
Brokers, Dealers and
Exhange Members
------------

Pursuant to Section 17 of the Exchange Act, every broker or dealer registered pursuant to Section 15 of the Exchange Act must file with the Commission annually, on a calendar or fiscal year basis, a report audited by an independent public accountant.

LOCATION:Files are available on microfiche.
No paper copy is maintained.
 
RETENTION:For as long as the broker or dealer is registered plus fifty years.
 
INTERPRETATIVE RESPONSIBILITY:Division of Market Regulation
Office of Financial Responsibility and Capital Markets



Form X-17F-1A:
Report for Lost, Missing
or Stolen Securities
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This form is used by financial institutions to report missing, lost, stolen, and counterfeit securities certificates together with relevant information about the certificates such as the name of the issuer, the CUSIP number, and the certificate number.

LOCATION:Paper copies are available.
 
RETENTION:The Securities Information Center retains these files permanently.
 
INTERPRETATIVE RESPONSIBILITY:Division of Market Regulation
Office of Securities Processing Regulation



Form 19b-4:
Proposed Rule Changes
by Self-Regulatory
Organizations
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This form is used by exchanges and the National Association of Securities Dealers to file all proposed changes to their rules with the Commission. The rules of these "self-regulatory organizations" or "SROs" relate, among other things, to listing standards for different financial instruments, and order handling and execution. Form 19b-4 provides a description of the proposed rule change, including statements regarding the terms of the proposed rule change, the purpose of the proposed rule change, and the statutory basis for the proposed rule change.

LOCATION:Filings are available on both microfiche and paper.
 
RETENTION:For as long as the SRO is registered plus six years.
 
INTERPRETATIVE RESPONSIBILITY:Division of Market Regulation
Office of Market Supervision



Division of Investment Management

Form ADV:
Investment Adviser Registration
or Amended Registration
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This form is used to apply for registration as an investment adviser or to amend a registration. It consists of two parts. Part I contains general and personal information about the applicant. Part II contains information relating to the nature of the applicant's business, including basic operations, services offered, fees charged, types of clients advised, educational and business backgrounds of associates and other business activities of the applicant.

LOCATION:Filings are available on microfiche.
No paper copy is maintained.
 
RETENTION:For as long as the investment adviser is registered plus ten years.
 
INTERPRETATIVE RESPONSIBILITY:Division of Investment Management



FORM 13-F:
Quarterly reports filed by institutional investment managers
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This is a quarterly report of equity holdings by institutional investment managers having equity assets under management of $100 million or more. Included in this category are certain banks, insurance companies, investment advisers, investment companies, foundations and pension funds.

LOCATION:Filings for the current quarter are available in paper copy.
Filings are also available in microfiche.
NOTE: 13F-E is the electronic version.
 
RETENTION:Four years.
 
INTERPRETATIVE RESPONSIBILITY:Division of Investment Management
Office of Chief Counsel



http://www.sec.gov/info/edgar/forms/nonedgar.htm


Modified:04/18/1999