Forms Index

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.

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Number Description Last Updated SEC Number Topic(s)
10-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer (PDF)

SEC878

 Broker-Dealers
17-H Risk Assessment for Brokers & Dealers (PDF)

SEC2332

 Broker-Dealers
7-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (PDF)

SEC876

 Broker-Dealers
8-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (PDF)

SEC877

 Broker-Dealers
9-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer (PDF)

SEC878

 Broker-Dealers
BD Uniform application for broker-dealer registration (PDF)

SEC1490

 Broker-Dealers
BD-N 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 (PDF)

SEC1500

 Broker-Dealers
BDW Uniform request for broker-dealer withdrawal (PDF)

SEC122

 Broker-Dealers
CRS Customer Relationship Summary (PDF)

SEC 2942

 Securities Exchange Act of 1934, Broker-Dealers
CUSTODY Form Custody for Broker-Dealers (PDF)

SEC2897

 Securities Exchange Act of 1934, Broker-Dealers
X-17A-5 Part I FOCUS Report, Part I (PDF)

SEC1705

 Security-Based Swap Entities, Broker-Dealers
X-17A-5 Part II FOCUS Report, Part II Instructions (PDF)

SEC1695A

 Security-Based Swap Entities, Broker-Dealers
X-17A-5 Part II FOCUS Report, Part II (PDF)

SEC1695

 Security-Based Swap Entities, Broker-Dealers
X-17A-5 Part IIA FOCUS Report Part IIa (PDF)

SEC1696

 Security-Based Swap Entities, Broker-Dealers
X-17A-5 Part IIA FOCUS Report Part IIa Instructions (PDF)

SEC1696A

 Security-Based Swap Entities, Broker-Dealers
X-17A-5 Part III FOCUS Report Part III (PDF)

SEC1410

 Security-Based Swap Entities, Broker-Dealers
X-17A-5 Schedule I (Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5 (PDF)

SEC1675

 Security-Based Swap Entities, Broker-Dealers
X-17F-1A Missing/Lost/Stolen/Counterfeit Securities Report (PDF)

SEC1666

 Broker-Dealers
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