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)
5 Annual statement of changes in beneficial ownership of securities (PDF)

SEC2270T

 Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
4 Statement of changes in beneficial ownership of securities (PDF)

SEC1474

 Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
3 Initial statement of beneficial ownership of securities (PDF)

SEC1473

 Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
MSDW Notice of withdrawal from registration as a municipal securities dealer (PDF)

SEC1588

 Municipal Securities
MSD Application for registration as a municipal securities dealer or amendment to such application (PDF)

SEC1534

 Municipal Securities
N-CEN Annual Report for Registered Investment Companies (PDF)

SEC 2846

 Investment Company Act of 1940, Investment Companies
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
10-Q General form for quarterly reports under Section 13 or 15(d) (PDF)

SEC1296

 Securities Exchange Act of 1934, Public Companies
1-K Annual Reports and Special Financial Reports (PDF)

SEC2913

 Securities Act of 1933, Small Businesses
F-1 Registration statement for securities of certain foreign private issuers (PDF)

SEC1981

 Securities Act of 1933, International
40-F Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (PDF)

SEC2285

 Securities Exchange Act of 1934, Public Companies, International
F-3 Registration statement for securities of certain foreign private issuers (PDF)

SEC1983

 Securities Act of 1933, International
1-U Current Report Pursuant to Regulation A (PDF)

SEC2915

 Securities Act of 1933, Small Businesses
C Form C (PDF)

SEC 2930

 Securities Act of 1933, Small Businesses
8-K Current report pursuant to Section 13 or 15(d) (PDF)

SEC873

 Securities Exchange Act of 1934, Public Companies
S-3 Registration statement under Securities Act of 1933 (PDF)

SEC1379

 Securities Act of 1933, Public Companies
10-K Annual report pursuant to Section 13 or 15(d) (PDF)

SEC1673

 Form 10-K, Securities Exchange Act of 1934, Public Companies
1-A Regulation A Offering Statement (PDF)

SEC486

 Securities Act of 1933, Small Businesses
S-4 Registration statement under Securities Act of 1933 (PDF)

SEC2077

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

SEC907

 Securities Act of 1933, Public Companies
6-K Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (PDF)

SEC1815

 Securities Exchange Act of 1934, Public Companies, International
F-6 Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (PDF)

SEC2001

 Securities Act of 1933, International
18 Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF)

SEC1421

 Securities Exchange Act of 1934, International
F-80 Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)

SEC2282

 Securities Act of 1933, International
F-4 Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (PDF)

SEC2078

 Securities Act of 1933, International
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