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)
TA-W Notice of withdrawal from registration as transfer agent (PDF)

SEC1669

 Transfer Agents
TCR Tip, Complaint, or Referral (PDF)

SEC2850

 Tips Complaints and Referrals, Whistleblower
TH Notification of Reliance on Temporary Hardship Exemption (PDF)

SEC2348

 Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
WB-APP Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (PDF)

SEC2851

 Tips Complaints and Referrals, Whistleblower
X-17A-19 Report of Change in Membership Status (PDF)

SEC1414

 Self-Regulatory Organizations
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 Instructions (PDF)

SEC1696A

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