Number: CFPORTAL
Last Updated: Oct. 2015
SEC Number:
Topic(s): Securities Exchange Act of 1934, Funding Portal
Number: X-17A-5 Schedule I
Last Updated: May 2013
SEC Number: SEC1675
Topic(s): Broker-Dealers
Number: N-27D-1
Description: Accounting of Segregated Trust Account (PDF)
Last Updated: April 2014
SEC Number:
SEC1840
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 24F-2
Description: Annual notice of securities sold pursuant to Rule 24-f2 (PDF)
Last Updated: June 2002
SEC Number: SEC2393
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 18-K
Description: Annual report for foreign governments and political subdivisions thereof (PDF)
Last Updated: April 2007
SEC Number: SEC1797
Topic(s): Securities Exchange Act of 1934
Number: N-PX
Description: Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)
Last Updated: April 2003
SEC Number: SEC2451
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 10-K
Description: Annual report pursuant to Section 13 or 15(d) (PDF)
Last Updated: Nov. 2014
SEC Number: SEC1673
Topic(s): Securities Exchange Act of 1934, Form 10-K
Number: 1-K
Description: Annual Reports and Special Financial Reports (PDF)
Last Updated: June 2015
SEC Number:
SEC2913
Topic(s): Securities Act of 1933, Small Businesses
Number: 11-K
Description: Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (PDF)
Last Updated: Feb. 2008
SEC Number: SEC617
Topic(s): Securities Exchange Act of 1934
Number: 5
Description: Annual statement of changes in beneficial ownership of securities (PDF)
Last Updated: Nov. 2011
SEC Number: SEC2270T
Topic(s): Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
Number: 5
Description: Annual statement of changes in beneficial ownership of securities - general instructions (PDF)
Last Updated: Nov. 2011
SEC Number: SEC2270
Topic(s): Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
Number: ADV-H
Description: Application for a temporary or continuing hardship exemption (PDF)
Last Updated: Sept. 2011
SEC Number: SEC2566
Topic(s): Investment Advisers Act of 1940, Investment Advisers
Number: WB-APP
Last Updated: Aug. 2011
SEC Number: SEC2851
Topic(s): Tips Complaints and Referrals, Whistleblower
Number: N-8F
Description: Application for deregistration of certain registered investment companies (PDF)
Last Updated: Sept. 2010
SEC Number: SEC1691
Topic(s): Investment Company Act of 1940, Investment Companies
Number: T-4
Description: Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (PDF)
Last Updated: Jan. 2007
SEC Number: SEC1920
Topic(s): Trust Indenture Act of 1939
Number: MA
Last Updated: Sept. 2013
SEC Number:
SEC2898
Topic(s): Securities Exchange Act of 1934, Municipal Advisors
Number: MSD
Description: Application for registration as a municipal securities dealer or amendment to such application (PDF)
Last Updated: Dec. 2013
SEC Number: SEC1534
Topic(s): Municipal Securities
Number: NRSRO
Description: Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (PDF)
Last Updated: April 2015
SEC Number: SEC1541
Topic(s): NRSRO
Number: SBSE
Description: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)
Last Updated: Jan. 2016
SEC Number:
SEC2924
Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934
Number: SBSE-BD
Last Updated: Jan. 2016
SEC Number:
SEC2926
Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934
Number: SBSE-A
Last Updated: Jan. 2016
SEC Number:
SEC2925
Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934
Number: 1
Description: Application for registration or exemption from registration as a national securities exchange (PDF)
Last Updated: Feb. 1999
SEC Number: SEC1935
Topic(s): Self-Regulatory Organizations
Number: 18
Description: Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF)
Last Updated: Jan. 2007
SEC Number: SEC1421
Topic(s): Securities Exchange Act of 1934
Number: SIP
Description: Application or amendment to application for registration as securities infomation processor (PDF)
Last Updated: March 2013
SEC Number: SEC1939
Topic(s): Other Forms and Materials
Number: SDR
Last Updated: Feb. 2015
SEC Number:
SEC2911
Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934, SBS Data Repositories
Number: T-6
Last Updated: Jan. 2007
SEC Number: SEC2275
Topic(s): Trust Indenture Act of 1939
Number: F-X
Description: Appointment of agent for service of process and undertaking (PDF)
Last Updated: Feb. 2008
SEC Number: SEC2288
Topic(s): Securities Act of 1933, International
Number: F-N
Description: Appointment of agent for service of process by foreign banks and foreign insurance companies (PDF)
Last Updated: Oct. 2006
SEC Number: SEC2306
Topic(s): Securities Act of 1933
Number: ADV-NR
Last Updated: Sept. 2011
SEC Number: SEC2565
Topic(s): Investment Advisers Act of 1940, Investment Advisers
Number: 10-D
Description: Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (PDF)
Last Updated: July 2016
SEC Number: SEC2503
Topic(s): Securities Exchange Act of 1934
Number: ABS-15G
Description: Asset-Backed Securitizer Report (PDF)
Last Updated: June 2015
SEC Number: SEC2860
Topic(s): Securities Exchange Act of 1934
Number: ADV-E
Description: Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (PDF)
Last Updated: Jan. 2013
SEC Number: SEC2223
Topic(s): Investment Advisers Act of 1940, Investment Advisers
Number: N-17f-2
Last Updated: April 2009
SEC Number: SEC2198
Topic(s): Investment Company Act of 1940, Investment Companies
Number: N-17f-1
Last Updated: Nov. 2003
SEC Number: SEC2205
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 15
Last Updated: Feb. 2008
SEC Number: SEC2069
Topic(s): Securities Exchange Act of 1934
Number: 15F
Last Updated: Jan. 2014
SEC Number:
Topic(s): Securities Exchange Act of 1934
Number: ABS DD-15E
Description: Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities (PDF)
Last Updated: June 2015
SEC Number:
SEC2917
Topic(s): Securities Exchange Act of 1934, Form ABS Due Diligence-15E
Number: SBSE-C
Description: Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)
Last Updated: Jan. 2016
SEC Number:
SEC2927
Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934
Number: N-CSR
Description: Certified shareholder report of registered management investment companies (PDF)
Last Updated: Oct. 2010
SEC Number: SEC2569
Topic(s): Investment Company Act of 1940, Investment Companies
Number: N-CR
Description: Current Report, Money Market Fund Material Events (PDF)
Last Updated: Jan. 2015
SEC Number:
SEC2918
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 1-U
Description: Current Report Pursuant to Regulation A (PDF)
Last Updated: June 2015
SEC Number:
SEC2915
Topic(s): Securities Act of 1933, Small Businesses
Number: 8-K
Description: Current report pursuant to Section 13 or 15(d) (PDF)
Last Updated: July 2016
SEC Number: SEC873
Topic(s): Securities Exchange Act of 1934
Number: MA-NR
Description: Designation of U.S. Agent for Service of Process for Non-Residents (PDF)
Last Updated: Sept. 2013
SEC Number:
SEC2900
Topic(s): Securities Exchange Act of 1934, Municipal Advisors
Number: 1-Z
Description: Exit Report Under Regulation A (PDF)
Last Updated: June 2015
SEC Number:
SEC2916
Topic(s): Securities Act of 1933, Small Businesses
Number: X-17A-5 Part I
Description: FOCUS Report, Part I (PDF)
Last Updated: April 2003
SEC Number: SEC1705
Topic(s): Broker-Dealers
Number: X-17A-5 Part II
Description: FOCUS Report, Part II (PDF)
Last Updated: July 2002
SEC Number: SEC1695
Topic(s): Broker-Dealers
Number: X-17A-5 Part II
Description: FOCUS Report, Part II Instructions (PDF)
Last Updated: Feb. 2004
SEC Number: SEC1695A
Topic(s): Broker-Dealers
Number: X-17A-5 Part IIB
Description: FOCUS Report, Part IIb (OTC Derivatives Dealer) (PDF)
Last Updated: March 2012
SEC Number: SEC2430
Topic(s): Broker-Dealers
Number: X-17A-5 Part III
Description: FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III (PDF)
Last Updated: May 2013
SEC Number: SEC1410
Topic(s): Broker-Dealers
Number: X-17A-5 Part IIA
Description: FOCUS Report Part IIa (PDF)
Last Updated: Feb. 2003
SEC Number: SEC1696
Topic(s): Broker-Dealers
Number: X-17A-5 Part IIA
Description: FOCUS Report Part IIa Instructions (PDF)
Last Updated: April 2002
SEC Number: SEC1696A
Topic(s): Broker-Dealers
Number: T-3
Description: For applications for qualification of indentures under the Trust Indenture Act of 1939 (PDF)
Last Updated: Jan. 2007
SEC Number: SEC1919
Topic(s): Trust Indenture Act of 1939
Number: 1-N
Last Updated: Dec. 2013
SEC Number: SEC2568
Topic(s): Securities Exchange Act of 1934, Self-Regulatory Organizations
Number: C
Description: Form C (PDF)
Last Updated: May 2016
SEC Number:
SEC 2930
Topic(s): Securities Act of 1933
Number: TA-2
Description: Form for reporting activities of transfer agents (PDF)
Last Updated: Aug. 2012
SEC Number:
SEC2113
Topic(s): Transfer Agents
Number: R31
Last Updated: Sept. 2013
SEC Number: SEC2502
Topic(s): Securities Exchange Act of 1934, Self-Regulatory Organizations
Number: ABS-EE
Description: Form for Submission of Electronic Exhibits for Asset-Backed Securities (PDF)
Last Updated: Nov. 2014
SEC Number:
SEC2910
Topic(s): Securities Act of 1933
Number: N-14
Last Updated: July 2013
SEC Number: SEC2106
Topic(s): Investment Company Act of 1940, Investment Companies
Number: NRSRO
Description: Form NRSRO - April 2009 Instructions (PDF)
Last Updated: April 2009
SEC Number:
Topic(s): NRSRO
Number: 10-Q
Description: General form for quarterly reports under Section 13 or 15(d) (PDF)
Last Updated: Jan. 2012
SEC Number: SEC1296
Topic(s): Securities Exchange Act of 1934
Number: 10
Description: General form for registration of securities pursuant to Section 12(b) or (g) (PDF)
Last Updated: Feb. 2008
SEC Number: SEC1396
Topic(s): Securities Exchange Act of 1934
Number: n/a
Description: Industry Guides (PDF)
Last Updated: May 2007
SEC Number: SEC2056
Topic(s): Other Forms and Materials
Number: MA-I
Description: Information Regarding Natural Persons who Engage in Municipal Advisory Activities (PDF)
Last Updated: Sept. 2013
SEC Number:
SEC2899
Topic(s): Securities Exchange Act of 1934, Municipal Advisors
Number: 19b-4(e)
Last Updated: July 2013
SEC Number: SEC2449
Topic(s): Self-Regulatory Organizations
Number: 13F
Description: Information required of institutional investment managers pursuant to Section 13(f) (PDF)
Last Updated: Jan. 2012
SEC Number:
SEC1685
Topic(s): Securities Exchange Act of 1934
Number: 13H
Description: Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 (PDF)
Last Updated: Nov. 2011
SEC Number: SEC2858
Topic(s): Securities Exchange Act of 1934
Number: ATS
Last Updated: May 2005
SEC Number: SEC2550
Topic(s): Self-Regulatory Organizations
Number: PILOT
Last Updated: Sept. 2013
SEC Number: SEC2552
Topic(s): Self-Regulatory Organizations
Number: 3
Description: Initial statement of beneficial ownership of securities (PDF)
Last Updated: Nov. 2011
SEC Number: SEC1473
Topic(s): Securities Exchange Act of 1934, Directors, Officers, Significant Shareholders
Number: 3
Description: Initial statement of beneficial ownership of securities - general instructions (PDF)
Last Updated: Nov. 2011
SEC Number: SEC1472
Topic(s): Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
Number: MA
Description: Instructions for the Form MA Series (PDF)
Last Updated: Sept. 2013
SEC Number:
Topic(s): Securities Exchange Act of 1934, Municipal Advisors
Number: 8-M
Last Updated: June 2012
SEC Number: SEC877
Topic(s): Broker-Dealers
Number: 7-M
Last Updated: June 2012
SEC Number: SEC876
Topic(s): Broker-Dealers
Number: 10-M
Last Updated: June 2012
SEC Number: SEC878
Topic(s): Broker-Dealers
Number: 9-M
Last Updated: June 2012
SEC Number: SEC878
Topic(s): Broker-Dealers
Number: X-17F-1A
Description: Missing/Lost/Stolen/Counterfeit Securities Report (PDF)
Last Updated: May 2001
SEC Number: SEC1666
Topic(s): Broker-Dealers
Number: N-MFP
Description: Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF)
Last Updated: June 2016
SEC Number: SEC2847
Topic(s): Investment Company Act of 1940, Investment Companies
Number: D
Description: Notice of Exempt Offering of Securities
Last Updated: March 2009
SEC Number: SEC1972
Topic(s): Securities Act of 1933, Small Businesses
Number: N-6F
Description: Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: March 2001
SEC Number: SEC1936
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 144
Description: Notice of proposed sale of securities pursuant to Rule 144 (PDF)
Last Updated: Aug. 2007
SEC Number: SEC1147
Topic(s): Securities Act of 1933
Number: BD-N
Last Updated: Jan. 2008
SEC Number: SEC1500
Topic(s): Broker-Dealers
Number: MA-W
Description: Notice of Withdrawal from Registration as a Municipal Advisor (PDF)
Last Updated: Sept. 2013
SEC Number:
SEC2901
Topic(s): Securities Exchange Act of 1934, Municipal Advisors
Number: MSDW
Description: Notice of withdrawal from registration as a municipal securities dealer (PDF)
Last Updated: Dec. 2013
SEC Number: SEC1588
Topic(s): Municipal Securities
Number: ADV-W
Description: Notice of withdrawal from registration as investment adviser (PDF)
Last Updated: Nov. 2010
SEC Number: SEC777
Topic(s): Investment Advisers Act of 1940, Investment Advisers
Number: TA-W
Description: Notice of withdrawal from registration as transfer agent (PDF)
Last Updated: Dec. 2006
SEC Number: SEC1669
Topic(s): Transfer Agents
Number: n/a
Description: Notice on Supplying Information Voluntarily (PDF)
Last Updated: Jan. 2014
SEC Number: SEC2405
Topic(s): Other Forms and Materials
Number: N-6EI-1
Description: Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF)
Last Updated: March 2003
SEC Number: SEC1130
Topic(s): Investment Company Act of 1940, Investment Companies
Number: N-18f-1
Description: Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF)
Last Updated: Jan. 2012
SEC Number: SEC1846
Topic(s): Investment Company Act of 1940, Investment Companies
Number: N-54A
Description: Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: Oct. 2003
SEC Number: SEC1937
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 12b-25
Description: Notification of late filing (PDF)
Last Updated: April 2009
SEC Number:
SEC1344
Topic(s): Securities Exchange Act of 1934
Number: N-8A
Description: Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)
Last Updated: Dec. 2001
SEC Number: SEC1102
Topic(s): Investment Company Act of 1940, Investment Companies
Number: TH
Description: Notification of Reliance on Temporary Hardship Exemption (PDF)
Last Updated: July 2006
SEC Number: SEC2348
Topic(s): Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
Number: N-23c-3
Description: Notification of repurchase offer (PDF)
Last Updated: Oct. 2003
SEC Number: SEC2380
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 25
Description: Notification of the removal from listing and registration of matured, redeemed or retired securities (PDF)
Last Updated: March 2006
SEC Number: SEC1654
Topic(s): Self-Regulatory Organizations
Number: N-54C
Description: Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: March 2001
SEC Number: SEC1938
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 1-E
Description: Notification under Regulation E (PDF)
Last Updated: Aug. 2001
SEC Number: SEC1807
Topic(s): Investment Company Act of 1940, Investment Companies, Small Businesses
Number: 19b-7
Description: Proposed rule change by self-regulatory organization (PDF)
Last Updated: July 2007
SEC Number: SEC2450
Topic(s): Self-Regulatory Organizations
Number: 19b-4
Description: Proposed rule change by self-regulatory organization (PDF)
Last Updated: Jan. 2013
SEC Number: SEC1832
Topic(s): Self-Regulatory Organizations
Number: ATS-R
Description: Quarterly report of alternative trading systems activities (PDF)
Last Updated: June 2009
SEC Number: SEC2551
Topic(s): Self-Regulatory Organizations
Number: N-Q
Description: Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (PDF)
Last Updated: Aug. 2005
SEC Number:
SEC2455
Topic(s): Investment Company Act of 1940, Investment Companies
Number: N-1A
Description: Registration form for open-end management investment companies (PDF)
Last Updated: Oct. 2016
SEC Number:
SEC2052
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 8-A
Description: Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF)
Last Updated: June 2015
SEC Number: SEC1922
Topic(s): Securities Exchange Act of 1934
Number: S-11
Description: Registration of securities of certain real estate companies (PDF)
Last Updated: Feb. 2008
SEC Number: SEC907
Topic(s): Securities Act of 1933
Number: CA-1
Description: Registration or exemption from registration as a clearing agency and for amendment to registration (PDF)
Last Updated: Oct. 2002
SEC Number: SEC1853
Topic(s): Clearing Agencies
Number: 20-F
Description: Registration statement / Annual report / Transition report (PDF)
Last Updated: Jan. 2012
SEC Number: SEC1852
Topic(s): Securities Exchange Act of 1934, International
Number: N-2
Description: Registration statement for closed-end management investment companies (PDF)
Last Updated: April 2015
SEC Number: SEC1716
Topic(s): Investment Company Act of 1940, Investment Companies
Number: F-10
Description: Registration statement for securities of certain Canadian issuers (PDF)
Last Updated: Dec. 2013
SEC Number: SEC2292
Topic(s): Securities Act of 1933, International
Number: F-80
Last Updated: Jan. 2007
SEC Number: SEC2282
Topic(s): Securities Act of 1933, International
Number: F-3
Description: Registration statement for securities of certain foreign private issuers (PDF)
Last Updated: Sept. 2011
SEC Number: SEC1983
Topic(s): Securities Act of 1933, International
Number: F-1
Description: Registration statement for securities of certain foreign private issuers (PDF)
Last Updated: Jan. 2016
SEC Number: SEC1981
Topic(s): Securities Act of 1933, International
Number: F-4
Last Updated: Dec. 2008
SEC Number: SEC2078
Topic(s): Securities Act of 1933, International
Number: N-6
Last Updated: Aug. 2006
SEC Number: SEC2567
Topic(s): Investment Company Act of 1940, Investment Companies
Number: N-8B-4
Description: Registration statement of face-amount certificate companies (PDF)
Last Updated: Nov. 2005
SEC Number: SEC1285
Topic(s): Investment Company Act of 1940, Investment Companies
Number: N-3
Description: Registration statement of separate accounts organized as management investment companies (PDF)
Last Updated: May 2015
SEC Number: SEC2124
Topic(s): Investment Company Act of 1940, Investment Companies
Number: N-4
Description: Registration statement of separate accounts organized as unit investment trusts (PDF)
Last Updated: Nov. 2009
SEC Number: SEC2125
Topic(s): Investment Company Act of 1940, Investment Companies
Number: N-5
Description: Registration statement of small business investment company (PDF)
Last Updated: March 2010
SEC Number: SEC993
Topic(s): Investment Company Act of 1940, Investment Companies, Small Businesses
Number: N-8B-2
Description: Registration statement of unit investment trusts which are currently issuing securities (PDF)
Last Updated: March 2010
SEC Number: SEC977
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 40-F
Description: Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (PDF)
Last Updated: Jan. 2012
SEC Number: SEC2285
Topic(s): Securities Exchange Act of 1934, International
Number: S-4
Description: Registration statement under Securities Act of 1933 (PDF)
Last Updated: Dec. 2008
SEC Number: SEC2077
Topic(s): Securities Act of 1933
Number: S-3
Description: Registration statement under Securities Act of 1933 (PDF)
Last Updated: Nov. 2014
SEC Number: SEC1379
Topic(s): Securities Act of 1933
Number: S-1
Description: Registration statement under Securities Act of 1933 (PDF)
Last Updated: Jan. 2016
SEC Number: SEC870
Topic(s): Securities Act of 1933, Small Businesses
Number: S-8
Description: Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (PDF)
Last Updated: April 2009
SEC Number: SEC1398
Topic(s): Securities Act of 1933
Number: S-20
Description: Registration statement under the Securities Act of 1933 (PDF)
Last Updated: June 2005
SEC Number: SEC2013
Topic(s): Securities Act of 1933
Number: SF-3
Description: Registration Statement under the Securities Act of 1933 (PDF)
Last Updated: July 2016
SEC Number:
SEC2909
Topic(s): Securities Act of 1933
Number: SF-1
Description: Registration Statement under the Securities Act of 1933 (PDF)
Last Updated: Nov. 2014
SEC Number:
SEC2908
Topic(s): Securities Act of 1933
Number: F-6
Last Updated: Oct. 2008
SEC Number: SEC2001
Topic(s): Securities Act of 1933, International
Number: F-7
Last Updated: Jan. 2007
SEC Number: SEC2289
Topic(s): Securities Act of 1933, International
Number: F-8
Last Updated: Jan. 2007
SEC Number: SEC2290
Topic(s): Securities Act of 1933, International
Number: S-6
Description: Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (PDF)
Last Updated: Jan. 2008
SEC Number: SEC649
Topic(s): Securities Act of 1933
Number: 1-A
Description: Regulation A Offering Statement (PDF)
Last Updated: June 2015
SEC Number: SEC486
Topic(s): Securities Act of 1933, Small Businesses
Number: N-17D-1
Description: Report filed by small business investment company (SBIC) (PDF)
Last Updated: Aug. 2005
SEC Number: SEC1839
Topic(s): Investment Company Act of 1940, Investment Companies
Number: X-17A-19
Description: Report of Change in Membership Status (PDF)
Last Updated: July 2001
SEC Number: SEC1414
Topic(s): Self-Regulatory Organizations
Number: 6-K
Description: Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (PDF)
Last Updated: April 2009
SEC Number: SEC1815
Topic(s): Securities Exchange Act of 1934, International
Number: 2-E
Description: Report of sales pursuant to Rule 609 of Regulation E (PDF)
Last Updated: Oct. 2006
SEC Number: SEC1808
Topic(s): Investment Company Act of 1940, Investment Companies, Small Businesses
Number: PF
Last Updated: July 2014
SEC Number: SEC2048
Topic(s): Investment Advisers Act of 1940, Investment Advisers
Number: SBSE-W
Last Updated: Jan. 2016
SEC Number:
SEC2928
Topic(s): Dodd-Frank Act of 2010, Securities Exchange Act of 1934
Number: 17-H
Description: Risk Assessment for Brokers & Dealers (PDF)
Last Updated: Jan. 2010
SEC Number: SEC2332
Topic(s): Broker-Dealers
Number: N-SAR
Description: Semi-annual report of registered investment companies (PDF)
Last Updated: Oct. 2010
SEC Number: SEC2100
Topic(s): Investment Company Act of 1940, Investment Companies
Number: 1-SA
Description: Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF)
Last Updated: June 2015
SEC Number:
SEC2914
Topic(s): Securities Act of 1933, Small Businesses
Number: SD
Description: Specialized Disclosure Report (PDF)
Last Updated: Jan. 2014
SEC Number: SEC697
Topic(s): Securities Exchange Act of 1934
Number: 4
Description: Statement of changes in beneficial ownership of securities (PDF)
Last Updated: Nov. 2011
SEC Number: SEC1474
Topic(s): Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
Number: 4
Description: Statement of changes in beneficial ownership of securities - general instructions (PDF)
Last Updated: Nov. 2011
SEC Number: SEC1475
Topic(s): Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
Number: T-1
Last Updated: Jan. 2007
SEC Number: SEC1836
Topic(s): Trust Indenture Act of 1939
Number: T-2
Description: Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee (PDF)
Last Updated: Jan. 2007
SEC Number:
SEC1849
Topic(s): Trust Indenture Act of 1939
Number: SE
Description: Submission of Paper Format Exhibits by Electronic Filers (PDF)
Last Updated: Nov. 2011
SEC Number: SEC2082
Topic(s): Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
Number: n/a
Last Updated: Aug. 2016
SEC Number: SEC1662
Topic(s): Other Forms and Materials
Number: n/a
Last Updated: April 2016
SEC Number: SEC2866
Topic(s): Other Forms and Materials
Number: n/a
Last Updated: Sept. 2014
SEC Number:
SEC2903
Topic(s): Securities Exchange Act of 1934
Number: n/a
Last Updated: Aug. 2016
SEC Number: SEC1661
Topic(s): Other Forms and Materials
Number: SCI
Description: Systems Compliance and Integrity (PDF)
Last Updated: Sept. 2015
SEC Number:
SEC 2919
Topic(s): Securities Exchange Act of 1934, Clearing Agencies, Self-Regulatory Organizations
Number: CB
Description: Tender offer/rights offering notification form (PDF)
Last Updated: Dec. 2008
SEC Number: SEC2560
Topic(s): Securities Act of 1933, Securities Exchange Act of 1934, Proxy and Tender Offer
Number: TCR
Description: Tip, Complaint, or Referral (PDF)
Last Updated: Aug. 2011
SEC Number: SEC2850
Topic(s): Tips Complaints and Referrals, Whistleblower
Number: ID
Description: Uniform application for access codes to file on EDGAR
Last Updated: Dec. 2013
SEC Number: SEC2084
Topic(s): Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
Number: BD
Description: Uniform application for broker-dealer registration (PDF)
Last Updated: Jan. 2008
SEC Number: SEC1490
Topic(s): Broker-Dealers
Number: ADV
Description: Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF)
Last Updated: Sept. 2011
SEC Number: SEC1707
Topic(s): Investment Advisers Act of 1940, Investment Advisers
Number: TA-1
Description: Uniform form for registration as a transfer agent and for amendment to registration (PDF)
Last Updated: Dec. 2006
SEC Number:
SEC1528
Topic(s): Transfer Agents
Number: BDW
Description: Uniform request for broker-dealer withdrawal (PDF)
Last Updated: April 2007
SEC Number: SEC122
Topic(s): Broker-Dealers