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)
F-N Appointment of agent for service of process by foreign banks and foreign insurance companies (PDF)

SEC2306

 Securities Act of 1933
F-X Appointment of agent for service of process and undertaking (PDF)

SEC2288

 Securities Act of 1933, International
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
MSD Application for registration as a municipal securities dealer or amendment to such application (PDF)

SEC1534

 Municipal Securities
MSDW Notice of withdrawal from registration as a municipal securities dealer (PDF)

SEC1588

 Municipal Securities
N-14 Form for the registration of securities issued in business combination transactions by investment companies and business development companies (PDF)

SEC2106

 Investment Company Act of 1940, Investment Companies
N-17D-1 Report filed by small business investment company (SBIC) (PDF)

SEC1839

 Investment Company Act of 1940, Investment Companies
N-17f-1 Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (PDF)

SEC2205

 Investment Company Act of 1940, Investment Companies
N-17f-2 Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF)

SEC2198

 Investment Company Act of 1940, Investment Companies
N-18f-1 Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF)

SEC1846

 Investment Company Act of 1940, Investment Companies
N-1A Registration form for open-end management investment companies (PDF)

SEC2052

 Investment Company Act of 1940, Investment Companies
N-2 Registration statement for closed-end management investment companies (PDF)

SEC1716

 Investment Company Act of 1940, Investment Companies
N-23c-3 Notification of repurchase offer (PDF)

SEC2380

 Investment Company Act of 1940, Investment Companies
N-27D-1 Accounting of Segregated Trust Account (PDF)

SEC1840

 Investment Company Act of 1940, Investment Companies
N-3 Registration statement of separate accounts organized as management investment companies (PDF)

SEC2124

 Investment Company Act of 1940, Investment Companies
N-4 Registration statement of separate accounts organized as unit investment trusts (PDF)

SEC2125

 Investment Company Act of 1940, Investment Companies
N-4 Registration statement of separate accounts organized as unit investment trusts (with amendments adopted in 2024 RILAs release) (PDF)

SEC2125

 Investment Company Act of 1940, Investment Companies
N-5 Registration statement of small business investment company (PDF)

SEC993

 Investment Company Act of 1940, Small Businesses, Investment Companies
N-54A Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)

SEC1937

 Investment Company Act of 1940, Investment Companies
N-54C Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)

SEC1938

 Investment Company Act of 1940, Investment Companies
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