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)
N-6 Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (PDF)

SEC2567

 Investment Company Act of 1940, Investment Companies
N-6EI-1 Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF)

SEC1130

 Investment Company Act of 1940, Investment Companies
N-6F Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)

SEC1936

 Investment Company Act of 1940, Investment Companies
N-8A Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)

SEC1102

 Investment Company Act of 1940, Investment Companies
N-8B-2 Registration statement of unit investment trusts which are currently issuing securities (PDF)

SEC977

 Investment Company Act of 1940, Investment Companies
N-8B-4 Registration statement of face-amount certificate companies (PDF)

SEC1285

 Investment Company Act of 1940, Investment Companies
N-8F Application for deregistration of certain registered investment companies (PDF)

SEC1691

 Investment Company Act of 1940, Investment Companies
N-CEN Annual Report for Registered Investment Companies (PDF)

SEC 2846

 Investment Company Act of 1940, Investment Companies
N-CR Current Report, Money Market Fund Material Events (PDF)

SEC2918

 Investment Company Act of 1940, Investment Companies
N-CSR Certified shareholder report of registered management investment companies (PDF)

SEC2569

 Investment Company Act of 1940, Investment Companies
N-MFP Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF)

SEC2847

 Investment Company Act of 1940, Investment Companies
N-PORT Monthly Portfolio Investments Report (PDF)

SEC 2940

 Investment Company Act of 1940, Investment Companies
N-PX Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)

SEC2451

 Investment Company Act of 1940, Investment Companies
N-RN Current Report For Registered Management Investment Companies and Business Development Companies (PDF)

SEC 2941

 Investment Company Act of 1940, Investment Companies
n/a Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena (PDF)

SEC1661

 Other Forms and Materials
n/a Industry Guides (PDF)

SEC2056

 Other Forms and Materials
n/a Notice on Supplying Information Voluntarily (PDF)

SEC2405

 Other Forms and Materials
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
n/a Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (PDF)

SEC1662

 Other Forms and Materials
NRSRO Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (PDF)

SEC1541

 NRSRO
PF Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF)

SEC2048

 Investment Advisers Act of 1940, Investment Advisers
PILOT Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (PDF)

SEC2552

 Self-Regulatory Organizations
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
S-1 Registration statement under Securities Act of 1933 (PDF)

SEC870

 Securities Act of 1933, Public Companies, Small Businesses
S-11 Registration of securities of certain real estate companies (PDF)

SEC907

 Securities Act of 1933, Public Companies
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