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)
CFPORTAL Application or Amendment to Application for Registration or Withdrawal from Registration as Funding Portal Under the Securities Exchange Act of 1934 (PDF)
Funding Portal, Securities Exchange Act of 1934
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
ID Uniform application for access codes to file on EDGAR

SEC2084

 Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
MA Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration (PDF)

SEC2898

 Securities Exchange Act of 1934, Municipal Advisors
MA Instructions for the Form MA Series (PDF)
Securities Exchange Act of 1934, Municipal Advisors
MA-I Information Regarding Natural Persons who Engage in Municipal Advisory Activities (PDF)

SEC2899

 Securities Exchange Act of 1934, Municipal Advisors
MA-NR Designation of U.S. Agent for Service of Process for Non-Residents (PDF)

SEC2900

 Securities Exchange Act of 1934, Municipal Advisors
MA-W Notice of Withdrawal from Registration as a Municipal Advisor (PDF)

SEC2901

 Securities Exchange Act of 1934, Municipal Advisors
n/a Supplemental Information for Persons Requested to Supply Information Voluntarily to the Office of Credit Ratings’Monitoring Staff (PDF)

SEC2903

 Securities Exchange Act of 1934
R31 Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (PDF)

SEC2502

 Securities Exchange Act of 1934, Self-Regulatory Organizations
SBSE Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)

SEC2924

 Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-A Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer (PDF)

SEC2925

 Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-BD Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers (PDF)

SEC2926

 Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-C Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)

SEC2927

 Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-W Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant (PDF)

SEC2928

 Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSEF Security-Based Swap Execution Facility Application for Registration (with Amendment to Application) (and SBSEF Submission Cover Sheet) (PDF)
Securities Exchange Act of 1934
SCI Systems Compliance and Integrity (PDF)

SEC 2919

 Securities Exchange Act of 1934, Self-Regulatory Organizations, Clearing Agencies
SD Specialized Disclosure Report (PDF)

SEC697

 Securities Exchange Act of 1934, Public Companies
SDR Application or Amendment to Application for Registration or Withdrawal from Registration As Security-Based Swap Data Repository Under the Securities Exchange Act of 1934 (PDF)

SEC2911

 Dodd-Frank Act of 2010, SBS Data Repositories, Securities Exchange Act of 1934
SE Submission of Paper Format Exhibits by Electronic Filers (PDF)

SEC2082

 Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
TH Notification of Reliance on Temporary Hardship Exemption (PDF)

SEC2348

 Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
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