Title 17--Commodity and Securities Exchanges
CHAPTER II--SECURITIES AND EXCHANGE COMMISSION (CONTINUED)
PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934
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| 249.0-1 |
Availability of forms. |
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| 249.1 |
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. |
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| 249.10 |
Form 1-N for notice registration as a national securities exchange. |
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| 249.11 |
Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act. |
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| 249.25 |
Form 25, for notification of removal from listing and registration of matured, redeemed or retired securities. |
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| 249.26 |
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). |
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| 249.103 |
Form 3, initial statement of beneficial ownership of securities. |
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| 249.104 |
Form 4, statement of changes in beneficial ownership of securities. |
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| 249.105 |
Form 5, annual statement of beneficial ownership of securities. |
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| 249.208a |
Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934. |
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| 249.210 |
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. |
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| 249.210b |
Form 10-SB, optional form for the registration of securities of a small business issuer. |
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| 249.218 |
Form 18, for foreign governments and political subdivisions thereof. |
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| 249.220f |
Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g) and annual and transition reports pursuant to sections 13 and 15(d).
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| 249.240f |
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). |
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| 249.250 |
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. |
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| 249.306 |
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. |
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| 249.308 |
Form 8-K, for current reports. |
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| 249.308a |
Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
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| 249.308b |
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''). |
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| 249.310 |
Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934. |
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| 249.310b |
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''). |
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| 249.311 |
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. |
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| 249.312 |
Form 10-D, periodic distribution reports by asset-backed issuers. |
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| 249.318 |
Form 18-K, annual report for foreign governments and political subdivisions thereof. |
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| 249.322 |
Form 12b-25--Notification of late filing.
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| 249.323 |
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. |
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| 249.325 |
Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934. |
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| 249.328T |
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. |
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| 249.330 |
Form N-SAR, annual and semi-annual report of certain registered investment companies. |
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| 249.331 |
Form N-CSR, certified shareholder report. |
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| 249.332 |
Form N-Q, quarterly schedule of portfolio holdings of registered management investment company. |
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| 249.444 |
Form SE, form for submission of paper format exhibits by electronic filers. |
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| 249.446 |
Form ID, uniform application for access codes to file on EDGAR. |
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| 249.447 |
Form TH--Notification of reliance on temporary hardship exemption. |
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| 249.480 |
Form CB, tender offer statement in connection with a tender offer for a foreign private issuer. |
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| 249.501 |
Form BD, for application for registration as a broker and dealer or to amend or supplement such an application. |
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| 249.501a |
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. |
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| 249.501b |
Form BD-N for notice registration as a broker-dealer. |
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| 249.507 |
Form 7-M, consent to service of process by an individual nonresident broker-dealer. |
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| 249.508 |
Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer. |
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| 249.509 |
Form 9-M, consent to service of process by a partnership nonresident broker-dealer. |
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| 249.510 |
Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm. |
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| 249.617 |
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. |
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| 249.618 |
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. |
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| 249.619 |
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. |
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| 249.635 |
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. |
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| 249.637 |
Form ATS, information required of alternative trading systems pursuant to 242.301(b)(2) of this chapter. |
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| 249.638 |
Form ATS-R, information required of alternative trading systems pursuant to 242.301(b)(8) of this chapter. |
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| 249.801 |
Form X-15AA-1, for application for registration as a national securities association or affiliated securities association. |
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| 249.802 |
Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association. |
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| 249.803 |
Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities association. |
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| 249.819 |
Form 19b-4, for electronic filing with respect to proposed rule changes by all self-regulatory organizations. |
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| 249.820 |
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)). |
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| 249.821 |
Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to 240.19b-5 of this chapter. |
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| 249.822 |
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. |
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| 249.1001 |
Form SIP, for application for registration as a securities information processor or to amend such an application or registration. |
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| 249.1100 |
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. |
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| 249.1110 |
Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1). |
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| 249.1200 |
Form X-17F-1A--Report for missing, lost, stolen or counterfeit securities. |