Title 17--Commodity and Securities Exchanges

CHAPTER II--SECURITIES AND EXCHANGE COMMISSION (CONTINUED)

PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934

TEXT PDF249.0-1 Availability of forms.
TEXT PDF249.1 Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act.
TEXT PDF249.10 Form 1-N for notice registration as a national securities exchange.
TEXT PDF249.11 Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.
TEXT PDF249.25 Form 25, for notification of removal from listing and/or registration.
TEXT PDF249.26 Form 26, for notification of the admission to trading of a substituted or additional class of security under Rule 12a-5 (240.12a-5 of this chapter).
TEXT PDF249.103 Form 3, initial statement of beneficial ownership of securities.
TEXT PDF249.104 Form 4, statement of changes in beneficial ownership of securities.
TEXT PDF249.105 Form 5, annual statement of beneficial ownership of securities.
TEXT PDF249.208a Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.
TEXT PDF249.210 Form 10 and Form 10-SB, general form for registration of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.
TEXT PDF249.210b Form 10-SB, optional form for the registration of securities of a small business issuer.
TEXT PDF249.218 Form 18, for foreign governments and political subdivisions thereof.
TEXT PDF249.220f Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (240.13a-19 or 240.15d-19 of this chapter).
TEXT PDF249.240f Form 40-F, for registration of securities of certain Canadian issuers pursuant to section 12(b) or (g) and for reports pursuant to section 15(d) and Rule 15d-4 (240.15d-4 of this chapter).
TEXT PDF249.250 Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (239.38, 239.39, 239.40 or 239.41 of this chapter), or registering securities or filing periodic reports on Form 40-F (249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (240.13e-102, 240.14d-102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (249.37 of this chapter), F-8, F-9, F-10 or F-80.
TEXT PDF249.306 Form 6-K, report of foreign issuer pursuant to Rules 13a-16 (240.13a-16 of this chapter) and 15d-16 (240.15d-16 of this chapter) under the Securities Exchange Act of 1934.
TEXT PDF249.308 Form 8-K, for current reports.
TEXT PDF249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
TEXT PDF249.308b Form 10-QSB, Optional Form for Quarterly and Transition Reports of Small Business Issuers Under Section 13 or 15(d) of the Securities Exchange Act of 1934 (``Exchange Act'').
TEXT PDF249.310 Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.
TEXT PDF249.310b Form 10-KSB, Optional Form for Annual and Transition Reports of Small Business Issuers Under Sections 13 or 15(d) of the Securities Exchange Act of 1934 (the ``Exchange Act'').
TEXT PDF249.311 Form 11-K, for annual reports of employee stock purchase, savings and similar plans pursuant to section 15(d) of the Securities Exchange Act of 1934.
TEXT PDF249.312 Form 10-D, periodic distribution reports by asset-backed issuers.
TEXT PDF249.318 Form 18-K, annual report for foreign governments and political subdivisions thereof.
TEXT PDF249.322 Form 12b-25--Notification of late filing.
TEXT PDF249.323 Form 15, certification of termination of registration of a class of security under section 12(g) or notice of suspension of duty to file reports pursuant to sections 13 and 15(d) of the Act.
TEXT PDF249.325 Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.
TEXT PDF249.328T Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules thereunder.
TEXT PDF249.330 Form N-SAR, annual and semi-annual report of certain registered investment companies.
TEXT PDF249.331 Form N-CSR, certified shareholder report.
TEXT PDF249.332 Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.
TEXT PDF249.444 Form SE, form for submission of paper format exhibits by electronic filers.
TEXT PDF249.446 Form ID, uniform application for access codes to file on EDGAR.
TEXT PDF249.447 Form TH--Notification of reliance on temporary hardship exemption.
TEXT PDF249.480 Form CB, tender offer statement in connection with a tender offer for a foreign private issuer.
TEXT PDF249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
TEXT PDF249.501a Form BDW, notice of withdrawal from registration as broker-dealer pursuant to 240.15b6-1, 240.15Bc3-1, or 240.15Cc1-1 of this chapter.
TEXT PDF249.501b Form BD-N for notice registration as a broker-dealer.
TEXT PDF249.507 Form 7-M, consent to service of process by an individual nonresident broker-dealer.
TEXT PDF249.508 Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
TEXT PDF249.509 Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
TEXT PDF249.510 Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.
TEXT PDF249.617 Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the Secruities Exchange Act of 1934 and 240.17a-5, 240.17a-10 and 240.17a-11, and 240.17a-12 of this chapter.
TEXT PDF249.618 Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and 240.17a-5 of this chapter.
TEXT PDF249.619 Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and 240.17Ad-18 of this chapter.
TEXT PDF249.635 Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
TEXT PDF249.637 Form ATS, information required of alternative trading systems pursuant to 242.301(b)(2) of this chapter.
TEXT PDF249.638 Form ATS-R, information required of alternative trading systems pursuant to 242.301(b)(8) of this chapter.
TEXT PDF249.801 Form X-15AA-1, for application for registration as a national securities association or affiliated securities association.
TEXT PDF249.802 Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association.
TEXT PDF249.803 Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities association.
TEXT PDF249.819 Form 19b-4, for electronic filing with respect to proposed rule changes by all self-regulatory organizations.
TEXT PDF249.820 Form 19b-4(e) for the listing and trading of new derivative securities products by self-regulatory organizations that are not deemed proposed rule changes pursuant to Rule 19b-4(e)(240.19b-4(e)).
TEXT PDF249.821 Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to 240.19b-5 of this chapter.
TEXT PDF249.822 Form 19b-7, for filings with respect to proposed rule changes by all self-regulatory organizations, pursuant to Section 19(b)(7)(A) of the Securities Exchange Act of 1934.
TEXT PDF249.1001 Form SIP, for application for registration as a securities information processor or to amend such an application or registration.
TEXT PDF249.1100 Form MSD, application for registration as a municipal securities dealer pursuant to rule 15Ba2-1 under the Securities Exchange Act of 1934 or amendment to such application.
TEXT PDF249.1110 Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1).
TEXT PDF249.1200 Form X-17F-1A--Report for missing, lost, stolen or counterfeit securities.

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