News and Events from the Fort Worth Regional Office

The Fort Worth Regional Office posts news and events happening in its jurisdiction. You may sign up to receive email updates.

Date Title
Margin: Borrowing Money to Pay for Stocks
Transferring your Brokerage Account: Tips on Avoiding Delays
2008 Report
Certificate of accounting of securities and similar investments in the custody of management investment companies
Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934
Notice of Exempt Offering of Securities
Execution Quality Statistics: How to Find Information on Order Execution and Routing Practices
"Senior" Specialists and Advisors: What You Should Know About Professional Designations
Online Brokerage Accounts: What You Can Do to Safeguard Your Money and Your Personal Information
The Fleecing of Foreign Investors: Avoid Getting Burned by "Hot" U.S. Stocks
Alternative Trading Systems (ATS) Report
2009 Annual Report
SEC's Congressionally Mandated Study on Mark-to-Market Accounting
High-Yield CDs: Protect Your Money by Checking the Fine Print
Tender offer/rights offering notification form
Select SEC and Market Data 2008
After-Hours Trading: Understanding the Risks
Report on Administrative Proceedings for Period April 1, 2008 through September 30, 2008
2008 Inventory
E-Government Act Implementation Updates: FY 2008 Update
Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts
Promissory Notes: Promises, Problems
Summary Report of Issues Identified in the Commission Staff's Examinations of Select Credit Rating Agencies
Getting Info About Companies
Evaluating Your Retirement Options: The 403(b) Plan
Report on Administrative Proceedings For Period October 1, 2007 through March 31, 2008
2007 Report
Investment Choices and Methods
OMB Exhibit 300 Reports FY 2009
Registration of certain classes of securities pursuant to Section 12(b) or (g)
Congressional Justification FY 2009 in Brief
Appointment of agent for service of process and undertaking
Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d)
Mini-Tender Offers: Tips for Investors
2008 Citizens’ Report
Uniform application for broker-dealer registration
Uniform form for registration as a transfer agent and for amendment to registration
2008 Annual Report — Performance and Accountability Report
Notice of registration as a broker-dealer for the purpose of trading security futures products pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934
Select SEC and Market Data 2007
Report on Administrative Proceedings for Period April 1, 2007 through September 30, 2007
E-Government Act Implementation Updates: FY 2007 Update
2007 Inventory
Avoiding Internet Investment Scams: Tips for Investors
Privacy Choices for Your Personal Financial Information
Oil and Gas Scams: Common Red Flags and Steps You Can Take to Protect Yoursel
"Pro Forma" Financial Information: Tips for Investors
Periodic Payment Plans
Notice of proposed sale of securities pursuant to Rule 144
Invest Wisely: Advice From Your Securities Industry Regulators
Pregunte (folleto en Espanol) ("Ask Questions" brochure in Spanish)
Get the Facts on Saving and Investing
Ask Questions: Questions You Should Ask About Your Investments and What To Do If You Run Into Problems
Tips for Online Investing: What You Need to Know About Trading In Fast-Moving Markets
Form for Taking Notes
How Do I Use EDGAR?
Proposed rule change by self-regulatory organization
Mutual Fund Investing: Look at More Than a Fund's Past Performance
Industry Guides
Report on Administrative Proceedings for Period October 1, 2006 through March 31, 2007
Annual report for foreign governments and political subdivisions thereof
Report on Refunds, Sales Practices, and Revenues from Periodic Payment Plans
2006 Report
Report Concerning Examinations of Options Order Routing and Execution
Company Information About Active Broker-Dealers
Select SEC and Market Data 2006
Beginners' Guide to Financial Statement
Congressional Justification FY 2008
2008 Performance Budget
Report on Administrative Proceedings for Period October 1, 2005 through March 31, 2006
Report on Administrative Proceedings for Period April 1, 2005 through September 30, 2005
Report on Administrative Proceedings for Period April 1, 2006 through September 30, 2006
Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees
Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders
Application under Section 310(a)(1) of the Trust Indenture Act of 1939 for determination of eligibility of a foreign personal to act as institutional trustee
For applications for qualification of indentures under the Trust Indenture Act of 1939
Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee
2007 Annual Report — Performance and Accountability Report
Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination
Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934
Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939
Notice of withdrawal from registration as transfer agent
E-Government Act Implementation Updates: FY 2006 Update
Report of sales pursuant to Rule 609 of Regulation E
Appointment of agent for service of process by foreign banks and foreign insurance companies
OMB Exhibit 300 Reports FY 2008
Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies
2006 Inventory
Information About Registered Investment Advisers and Exempt Reporting Advisers
Notification of Reliance on Temporary Hardship Exemption
2007 Performance Budget
2005 Report
Select SEC and Market Data 2005
Notification of the removal from listing and registration of matured, redeemed or retired securities
Auto-Surfing: What You Need to Kno
Congressional Request FY 2007
"Wrong Numbers" and Stock Tips on Your Answering Machine
FOIA Logs
2006 Annual Report — Performance and Accountability Report
Registration statement of face-amount certificate companies
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