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)
S-20 Registration statement under the Securities Act of 1933 (PDF)

SEC2013

 Securities Act of 1933, Public Companies
S-3 Registration statement under Securities Act of 1933 (PDF)

SEC1379

 Securities Act of 1933, Public Companies
S-4 Registration statement under Securities Act of 1933 (PDF)

SEC2077

 Securities Act of 1933, Public Companies
S-6 Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (PDF)

SEC649

 Securities Act of 1933, Public Companies
S-8 Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (PDF)

SEC1398

 Securities Act of 1933, Public Companies
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
SF-1 Registration Statement Under the Securities Act of 1933 (PDF)

SEC2908

 Securities Act of 1933
SF-3 Registration Statement Under the Securities Act of 1933 (PDF)

SEC2909

 Securities Act of 1933
SIP Application or amendment to application for registration as securities infomation processor (PDF)

SEC1939

 Other Forms and Materials
T-1 Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees (PDF)

SEC1836

 Trust Indenture Act of 1939
T-2 Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee (PDF)

SEC1849

 Trust Indenture Act of 1939
T-3 For applications for qualification of indentures under the Trust Indenture Act of 1939 (PDF)

SEC1919

 Trust Indenture Act of 1939
T-4 Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (PDF)

SEC1920

 Trust Indenture Act of 1939
T-6 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 (PDF)

SEC2275

 Trust Indenture Act of 1939
TA-1 Uniform form for registration as a transfer agent and for amendment to registration (PDF)

SEC1528

 Transfer Agents
TA-2 Form for reporting activities of transfer agents (PDF)

SEC2113

 Transfer Agents
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