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).
Number
|
Description
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Last Updated
|
SEC Number
|
Topic(s)
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---|---|---|---|---|
Number:1 |
Description:
Application for registration or exemption from registration as a national securities exchange (PDF)
|
Last Updated: | SEC Number:SEC1935 | Topic(s):Self-Regulatory Organizations |
Number:1-A |
Description:
Regulation A Offering Statement (PDF)
|
Last Updated: | SEC Number:SEC486 | Topic(s):Securities Act of 1933, Small Businesses |
Number:1-E |
Description:
Notification under Regulation E (PDF)
|
Last Updated: | SEC Number:SEC1807 | Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies |
Number:1-K |
Description:
Annual Reports and Special Financial Reports (PDF)
|
Last Updated: |
SEC Number: SEC2913 |
Topic(s):Securities Act of 1933, Small Businesses |
Number:1-N |
Description:
Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF)
|
Last Updated: |
SEC Number: SEC2568 |
Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations |
Number:1-SA |
Description:
Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF)
|
Last Updated: |
SEC Number: SEC2914 |
Topic(s):Securities Act of 1933, Small Businesses |
Number:1-U |
Description:
Current Report Pursuant to Regulation A (PDF)
|
Last Updated: |
SEC Number: SEC2915 |
Topic(s):Securities Act of 1933, Small Businesses |
Number:1-Z |
Description:
Exit Report Under Regulation A (PDF)
|
Last Updated: |
SEC Number: SEC2916 |
Topic(s):Securities Act of 1933, Small Businesses |
Number:10 |
Description:
General form for registration of securities pursuant to Section 12(b) or (g) (PDF)
|
Last Updated: |
SEC Number: SEC1396 |
Topic(s):Securities Exchange Act of 1934 |
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: |
SEC Number: SEC2503 |
Topic(s):Securities Exchange Act of 1934 |
Number:10-K |
Description:
Annual report pursuant to Section 13 or 15(d) (PDF)
|
Last Updated: |
SEC Number: SEC1673 |
Topic(s):Form 10-K, Securities Exchange Act of 1934 |
Number:10-M |
Description:
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer (PDF)
|
Last Updated: | SEC Number:SEC878 | Topic(s):Broker-Dealers |
Number:10-Q |
Description:
General form for quarterly reports under Section 13 or 15(d) (PDF)
|
Last Updated: |
SEC Number: SEC1296 |
Topic(s):Securities Exchange Act of 1934 |
Number:11-K |
Description:
Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (PDF)
|
Last Updated: | SEC Number:SEC617 | Topic(s):Securities Exchange Act of 1934 |
Number:12b-25 |
Description:
Notification of late filing (PDF)
|
Last Updated: |
SEC Number: SEC1344 |
Topic(s):Securities Exchange Act of 1934 |
Number:13F |
Description:
Information required of institutional investment managers pursuant to Section 13(f) (PDF)
|
Last Updated: |
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: | SEC Number:SEC2858 | Topic(s):Securities Exchange Act of 1934 |
Number:144 |
Description:
Notice of proposed sale of securities pursuant to Rule 144 (PDF)
|
Last Updated: | SEC Number:SEC1147 | Topic(s):Securities Act of 1933 |
Number:15 |
Description:
Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d) (PDF)
|
Last Updated: | SEC Number:SEC2069 | Topic(s):Securities Exchange Act of 1934 |
Number:15F |
Description:
Certification of a foreign private issuer’s termination of registration of a class of securities under Section 12(g) or its termination of the duty to file reports under Section 13(a) or Section 15(d) (PDF)
|
Last Updated: | SEC Number: | Topic(s):Securities Exchange Act of 1934 |
Number:17-H |
Description:
Risk Assessment for Brokers & Dealers (PDF)
|
Last Updated: | SEC Number:SEC2332 | Topic(s):Broker-Dealers |
Number:18 |
Description:
Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF)
|
Last Updated: | SEC Number:SEC1421 | Topic(s):Securities Exchange Act of 1934 |
Number:18-K |
Description:
Annual report for foreign governments and political subdivisions thereof (PDF)
|
Last Updated: | SEC Number:SEC1797 | Topic(s):Securities Exchange Act of 1934 |
Number:19b-4 |
Description:
Proposed rule change by self-regulatory organization (PDF)
|
Last Updated: | SEC Number:SEC1832 | Topic(s):Self-Regulatory Organizations |
Number:19b-4(e) |
Description:
Information required of a self-regulatory organization listing and trading a new derivative securities product pursuant to Rule 19b-4(e) under the Securities Exchange Act of 1934 (PDF)
|
Last Updated: | SEC Number:SEC2449 | Topic(s):Self-Regulatory Organizations |
Number:19b-7 |
Description:
Proposed rule change by self-regulatory organization (PDF)
|
Last Updated: | SEC Number:SEC2450 | Topic(s):Self-Regulatory Organizations |
Number:2-E |
Description:
Report of sales pursuant to Rule 609 of Regulation E (PDF)
|
Last Updated: | SEC Number:SEC1808 | Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies |
Number:20-F |
Description:
Registration statement / Annual report / Transition report (PDF)
|
Last Updated: |
SEC Number: SEC1852 |
Topic(s):Securities Exchange Act of 1934, International |
Number:24F-2 |
Description:
Annual notice of securities sold pursuant to Rule 24-f2 (PDF)
|
Last Updated: | SEC Number:SEC2393 | 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: | SEC Number:SEC1654 | Topic(s):Self-Regulatory Organizations |
Number:3 |
Description:
Initial statement of beneficial ownership of securities (PDF)
|
Last Updated: | SEC Number:SEC1473 | Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders |
Number:3 |
Description:
Initial statement of beneficial ownership of securities - general instructions (PDF)
|
Last Updated: |
SEC Number: SEC1472 |
Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders |
Number:4 |
Description:
Statement of changes in beneficial ownership of securities (PDF)
|
Last Updated: | SEC Number:SEC1474 | Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders |
Number:4 |
Description:
Statement of changes in beneficial ownership of securities - general instructions (PDF)
|
Last Updated: |
SEC Number: SEC1475 |
Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders |
Number:40-F |
Description:
Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (PDF)
|
Last Updated: |
SEC Number: SEC2285 |
Topic(s):Securities Exchange Act of 1934, International |
Number:5 |
Description:
Annual statement of changes in beneficial ownership of securities (PDF)
|
Last Updated: |
SEC Number: SEC2270T |
Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders |
Number:5 |
Description:
Annual statement of changes in beneficial ownership of securities - general instructions (PDF)
|
Last Updated: |
SEC Number: SEC2270 |
Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders |
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: | SEC Number:SEC1815 | Topic(s):Securities Exchange Act of 1934, International |
Number:7-M |
Description:
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (PDF)
|
Last Updated: | SEC Number:SEC876 | Topic(s):Broker-Dealers |
Number:8-A |
Description:
Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF)
|
Last Updated: |
SEC Number: SEC1922 |
Topic(s):Securities Exchange Act of 1934 |
Number:8-K |
Description:
Current report pursuant to Section 13 or 15(d) (PDF)
|
Last Updated: |
SEC Number: SEC873 |
Topic(s):Securities Exchange Act of 1934 |
Number:8-M |
Description:
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (PDF)
|
Last Updated: | SEC Number:SEC877 | Topic(s):Broker-Dealers |
Number:9-M |
Description:
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer (PDF)
|
Last Updated: | SEC Number:SEC878 | Topic(s):Broker-Dealers |
Number:ABS DD-15E |
Description:
Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities (PDF)
|
Last Updated: |
SEC Number: SEC2917 |
Topic(s):Form ABS Due Diligence-15E, Securities Exchange Act of 1934 |
Number:ABS-15G |
Description:
Asset-Backed Securitizer Report (PDF)
|
Last Updated: | SEC Number:SEC2860 | Topic(s):Securities Exchange Act of 1934 |
Number:ABS-EE |
Description:
Form for Submission of Electronic Exhibits for Asset-Backed Securities (PDF)
|
Last Updated: |
SEC Number: SEC2910 |
Topic(s):Securities Act of 1933 |
Number:ADV |
Description:
Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF)
|
Last Updated: |
SEC Number: SEC1707 |
Topic(s):Investment Advisers Act of 1940, Investment Advisers |
Number:ADV-E |
Description:
Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (PDF)
|
Last Updated: | SEC Number:SEC2223 | Topic(s):Investment Advisers Act of 1940, Investment Advisers |
Number:ADV-H |
Description:
Application for a temporary or continuing hardship exemption (PDF)
|
Last Updated: | SEC Number:SEC2566 | Topic(s):Investment Advisers Act of 1940, Investment Advisers |
Number:ADV-NR |
Description:
Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (PDF)
|
Last Updated: | SEC Number:SEC2565 | Topic(s):Investment Advisers Act of 1940, Investment Advisers |
Number:ADV-W |
Description:
Notice of withdrawal from registration as investment adviser (PDF)
|
Last Updated: | SEC Number:SEC777 | Topic(s):Investment Advisers Act of 1940, Investment Advisers |
Number:ATS |
Description:
Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (PDF)
|
Last Updated: |
SEC Number: SEC2550 |
Topic(s):Alternative Trading Systems |
Number:ATS-N |
Description:
NMS Stock Alternative Trading Systems (PDF)
|
Last Updated: | SEC Number: | Topic(s):Alternative Trading Systems |
Number:ATS-R |
Description:
Quarterly report of alternative trading systems activities (PDF)
|
Last Updated: |
SEC Number: SEC2551 |
Topic(s):Alternative Trading Systems |
Number:BD |
Description:
Uniform application for broker-dealer registration (PDF)
|
Last Updated: |
SEC Number: SEC1490 |
Topic(s):Broker-Dealers |
Number:BD-N |
Description:
Notice of registration as a broker-dealer for the purpose of trading security futures products pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 (PDF)
|
Last Updated: |
SEC Number: SEC1500 |
Topic(s):Broker-Dealers |
Number:BDW |
Description:
Uniform request for broker-dealer withdrawal (PDF)
|
Last Updated: | SEC Number:SEC122 | Topic(s):Broker-Dealers |
Number:C |
Description:
Form C (PDF)
|
Last Updated: |
SEC Number: SEC 2930 |
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: | SEC Number:SEC1853 | Topic(s):Clearing Agencies |
Number:CB |
Description:
Tender offer/rights offering notification form (PDF)
|
Last Updated: | SEC Number:SEC2560 | Topic(s):Proxy and Tender Offer, Securities Act of 1933, Securities Exchange Act of 1934 |
Number:CFPORTAL |
Description:
Application or Amendment to Application for Registration or Withdrawal from Registration as Funding Portal Under the Securities Exchange Act of 1934 (PDF)
|
Last Updated: | SEC Number: | Topic(s):Funding Portal, Securities Exchange Act of 1934 |
Number:CRS |
Description:
Customer Relationship Summary (PDF)
|
Last Updated: |
SEC Number: SEC 2942 |
Topic(s):Securities Exchange Act of 1934, Broker-Dealers |
Number:CUSTODY |
Description:
Form Custody for Broker-Dealers (PDF)
|
Last Updated: |
SEC Number: SEC2897 |
Topic(s):Securities Exchange Act of 1934, Broker-Dealers |
Number:D |
Description:
Notice of Exempt Offering of Securities
|
Last Updated: |
SEC Number: SEC1972 |
Topic(s):Securities Act of 1933, Small Businesses |
Number:F-1 |
Description:
Registration statement for securities of certain foreign private issuers (PDF)
|
Last Updated: |
SEC Number: SEC1981 |
Topic(s):Securities Act of 1933, International |
Number:F-10 |
Description:
Registration statement for securities of certain Canadian issuers (PDF)
|
Last Updated: |
SEC Number: SEC2292 |
Topic(s):Securities Act of 1933, International |
Number:F-3 |
Description:
Registration statement for securities of certain foreign private issuers (PDF)
|
Last Updated: |
SEC Number: SEC1983 |
Topic(s):Securities Act of 1933, International |
Number:F-4 |
Description:
Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (PDF)
|
Last Updated: |
SEC Number: SEC2078 |
Topic(s):Securities Act of 1933, International |
Number:F-6 |
Description:
Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (PDF)
|
Last Updated: | SEC Number:SEC2001 | Topic(s):Securities Act of 1933, International |
Number:F-7 |
Description:
Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders (PDF)
|
Last Updated: |
SEC Number: SEC2289 |
Topic(s):Securities Act of 1933, International |
Number:F-8 |
Description:
Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)
|
Last Updated: |
SEC Number: SEC2290 |
Topic(s):Securities Act of 1933, International |
Number:F-80 |
Description:
Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)
|
Last Updated: |
SEC Number: SEC2282 |
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: | SEC Number:SEC2306 | Topic(s):Securities Act of 1933 |
Number:F-X |
Description:
Appointment of agent for service of process and undertaking (PDF)
|
Last Updated: | SEC Number:SEC2288 | Topic(s):Securities Act of 1933, International |
Number:ID |
Description:
Uniform application for access codes to file on EDGAR
|
Last Updated: |
SEC Number: SEC2084 |
Topic(s):Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers |
Number:MA |
Description:
Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration (PDF)
|
Last Updated: |
SEC Number: SEC2898 |
Topic(s):Securities Exchange Act of 1934, Municipal Advisors |
Number:MA |
Description:
Instructions for the Form MA Series (PDF)
|
Last Updated: | SEC Number: | Topic(s):Securities Exchange Act of 1934, Municipal Advisors |
Number:MA-I |
Description:
Information Regarding Natural Persons who Engage in Municipal Advisory Activities (PDF)
|
Last Updated: |
SEC Number: SEC2899 |
Topic(s):Securities Exchange Act of 1934, Municipal Advisors |
Number:MA-NR |
Description:
Designation of U.S. Agent for Service of Process for Non-Residents (PDF)
|
Last Updated: |
SEC Number: SEC2900 |
Topic(s):Securities Exchange Act of 1934, Municipal Advisors |
Number:MA-W |
Description:
Notice of Withdrawal from Registration as a Municipal Advisor (PDF)
|
Last Updated: |
SEC Number: SEC2901 |
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: |
SEC Number: SEC1534 |
Topic(s):Municipal Securities |
Number:MSDW |
Description:
Notice of withdrawal from registration as a municipal securities dealer (PDF)
|
Last Updated: | SEC Number:SEC1588 | Topic(s):Municipal Securities |
Number:N-14 |
Description:
Form for the registration of securities issued in business combination transactions by investment companies and business development companies - Informational Version Indicating Recent Amendments (PDF)
|
Last Updated: |
SEC Number: SEC2106 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-17D-1 |
Description:
Report filed by small business investment company (SBIC) (PDF)
|
Last Updated: | SEC Number:SEC1839 | Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-17f-1 |
Description:
Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (PDF)
|
Last Updated: | SEC Number:SEC2205 | Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-17f-2 |
Description:
Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF)
|
Last Updated: | SEC Number:SEC2198 | 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: | SEC Number:SEC1846 | Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-1A |
Description:
Registration form for open-end management investment companies (PDF)
|
Last Updated: |
SEC Number: SEC2052 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-1A |
Description:
Informational Version Indicating Recent Amendments (PDF)
|
Last Updated: | SEC Number: | Topic(s): |
Number:N-2 |
Description:
Registration statement for closed-end management investment companies - Informational Version Indicating Recent Amendments (PDF)
|
Last Updated: |
SEC Number: SEC1716 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-23c-3 |
Description:
Notification of repurchase offer (PDF)
|
Last Updated: | SEC Number:SEC2380 | Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-27D-1 |
Description:
Accounting of Segregated Trust Account (PDF)
|
Last Updated: |
SEC Number: SEC1840 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-3 |
Description:
Registration statement of separate accounts organized as management investment companies - Informational Version Indicating Recent Amendments (PDF)
|
Last Updated: |
SEC Number: SEC2124 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-3 |
Description:
Registration statement of separate accounts organized as management investment companies - Prior Version (PDF)
|
Last Updated: |
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: |
SEC Number: SEC2125 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-4 |
Description:
Registration statement of separate accounts organized as unit investment trusts - Prior Version (PDF)
|
Last Updated: |
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: |
SEC Number: SEC993 |
Topic(s):Investment Company Act of 1940, Small Businesses, 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: | SEC Number:SEC1937 | Topic(s):Investment Company Act of 1940, Investment Companies |
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: | SEC Number:SEC1938 | Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-6 |
Description:
Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies - Informational Version Indicating Recent Amendments (PDF)
|
Last Updated: |
SEC Number: SEC2567 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-6 |
Description:
Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies – Prior Version (PDF)
|
Last Updated: |
SEC Number: SEC2567 |
Topic(s):Investment Company Act of 1940, Investment Companies |
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: | SEC Number:SEC1130 | Topic(s):Investment Company Act of 1940, Investment Companies |
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: | SEC Number:SEC1936 | Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-8A |
Description:
Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)
|
Last Updated: |
SEC Number: SEC1102 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-8B-2 |
Description:
Informational Version Indicating Recent Amendments (PDF)
|
Last Updated: | SEC Number: | Topic(s): |
Number:N-8B-2 |
Description:
Registration statement of unit investment trusts which are currently issuing securities (PDF)
|
Last Updated: |
SEC Number: SEC977 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-8B-4 |
Description:
Registration statement of face-amount certificate companies (PDF)
|
Last Updated: | SEC Number:SEC1285 | Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-8F |
Description:
Application for deregistration of certain registered investment companies (PDF)
|
Last Updated: | SEC Number:SEC1691 | Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-CEN |
Description:
Annual Report for Registered Investment Companies (PDF)
|
Last Updated: |
SEC Number: SEC 2846 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-CEN |
Description:
Informational Version Indicating Recent Amendments (PDF)
|
Last Updated: | SEC Number: | Topic(s): |
Number:N-CR |
Description:
Current Report, Money Market Fund Material Events (PDF)
|
Last Updated: |
SEC Number: SEC2918 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-CSR |
Description:
Informational Version Indicating Recent Amendments (PDF)
|
Last Updated: | SEC Number: | Topic(s): |
Number:N-CSR |
Description:
Certified shareholder report of registered management investment companies (PDF)
|
Last Updated: |
SEC Number: SEC2569 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-LIQUID |
Description:
Current Report Open-End Management Investment Company Liquidity (PDF)
|
Last Updated: |
SEC Number: SEC 2941 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-MFP |
Description:
Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF)
|
Last Updated: | SEC Number:SEC2847 | Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-PORT |
Description:
Monthly Portfolio Investments Report (PDF)
|
Last Updated: |
SEC Number: SEC 2940 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-PORT |
Description:
Informational Version Indicating Recent Amendments (PDF)
|
Last Updated: | SEC Number: | Topic(s): |
Number:N-PX |
Description:
Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)
|
Last Updated: | SEC Number:SEC2451 | Topic(s):Investment Company Act of 1940, Investment Companies |
Number:N-Q |
Description:
Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (PDF)
|
Last Updated: |
SEC Number: SEC2455 |
Topic(s):Investment Company Act of 1940, Investment Companies |
Number:n/a |
Description:
Notice on Supplying Information Voluntarily (PDF)
|
Last Updated: |
SEC Number: SEC2405 |
Topic(s):Other Forms and Materials |
Number:n/a |
Description:
Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commissions Examination Staff (PDF)
|
Last Updated: | SEC Number:SEC2866 | Topic(s):Other Forms and Materials |
Number:n/a |
Description:
Supplemental Information for Persons Requested to Supply Information Voluntarily to the Office of Credit Ratings’Monitoring Staff (PDF)
|
Last Updated: |
SEC Number: SEC2903 |
Topic(s):Securities Exchange Act of 1934 |
Number:n/a |
Description:
Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena (PDF)
|
Last Updated: | SEC Number:SEC1661 | Topic(s):Other Forms and Materials |
Number:n/a |
Description:
Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (PDF)
|
Last Updated: | SEC Number:SEC1662 | Topic(s):Other Forms and Materials |
Number:n/a |
Description:
Industry Guides (PDF)
|
Last Updated: | SEC Number:SEC2056 | Topic(s):Other Forms and Materials |
Number:NRSRO |
Description:
Form NRSRO - April 2009 Instructions (PDF)
|
Last Updated: | SEC Number: | Topic(s):NRSRO |
Number:NRSRO |
Description:
Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (PDF)
|
Last Updated: |
SEC Number: SEC1541 |
Topic(s):NRSRO |
Number:PF |
Description:
Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF)
|
Last Updated: | SEC Number:SEC2048 | Topic(s):Investment Advisers Act of 1940, Investment Advisers |
Number:PILOT |
Description:
Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (PDF)
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Last Updated: | SEC Number:SEC2552 | Topic(s):Self-Regulatory Organizations |
Number:R31 |
Description:
Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (PDF)
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Last Updated: | SEC Number:SEC2502 | Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations |
Number:S-1 |
Description:
Registration statement under Securities Act of 1933 (PDF)
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Last Updated: |
SEC Number: SEC870 |
Topic(s):Securities Act of 1933, Small Businesses |
Number:S-11 |
Description:
Registration of securities of certain real estate companies (PDF)
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Last Updated: |
SEC Number: SEC907 |
Topic(s):Securities Act of 1933 |
Number:S-20 |
Description:
Registration statement under the Securities Act of 1933 (PDF)
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Last Updated: | SEC Number:SEC2013 | Topic(s):Securities Act of 1933 |
Number:S-3 |
Description:
Registration statement under Securities Act of 1933 (PDF)
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Last Updated: |
SEC Number: SEC1379 |
Topic(s):Securities Act of 1933 |
Number:S-4 |
Description:
Registration statement under Securities Act of 1933 (PDF)
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Last Updated: |
SEC Number: SEC2077 |
Topic(s):Securities Act of 1933 |
Number:S-6 |
Description:
Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (PDF)
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Last Updated: |
SEC Number: SEC649 |
Topic(s):Securities Act of 1933 |
Number:S-8 |
Description:
Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (PDF)
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Last Updated: |
SEC Number: SEC1398 |
Topic(s):Securities Act of 1933 |
Number:SBSE |
Description:
Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)
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Last Updated: |
SEC Number: SEC2924 |
Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934 |
Number:SBSE-A |
Description:
Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer (PDF)
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Last Updated: |
SEC Number: SEC2925 |
Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934 |
Number:SBSE-BD |
Description:
Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers (PDF)
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Last Updated: |
SEC Number: SEC2926 |
Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934 |
Number:SBSE-C |
Description:
Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)
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Last Updated: |
SEC Number: SEC2927 |
Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934 |
Number:SBSE-W |
Description:
Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant (PDF)
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Last Updated: |
SEC Number: SEC2928 |
Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934 |
Number:SCI |
Description:
Systems Compliance and Integrity (PDF)
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Last Updated: |
SEC Number: SEC 2919 |
Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations, Clearing Agencies |
Number:SD |
Description:
Specialized Disclosure Report (PDF)
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Last Updated: | SEC Number:SEC697 | Topic(s):Securities Exchange Act of 1934 |
Number:SDR |
Description:
Application or Amendment to Application for Registration or Withdrawal from Registration As Security-Based Swap Data Repository Under the Securities Exchange Act of 1934 (PDF)
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Last Updated: |
SEC Number: SEC2911 |
Topic(s):Dodd-Frank Act of 2010, SBS Data Repositories, Securities Exchange Act of 1934 |
Number:SE |
Description:
Submission of Paper Format Exhibits by Electronic Filers (PDF)
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Last Updated: |
SEC Number: SEC2082 |
Topic(s):Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers |
Number:SF-1 |
Description:
Registration Statement Under the Securities Act of 1933 (PDF)
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Last Updated: |
SEC Number: SEC2908 |
Topic(s):Securities Act of 1933 |
Number:SF-3 |
Description:
Registration Statement Under the Securities Act of 1933 (PDF)
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Last Updated: |
SEC Number: SEC2909 |
Topic(s):Securities Act of 1933 |
Number:SIP |
Description:
Application or amendment to application for registration as securities infomation processor (PDF)
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Last Updated: | SEC Number:SEC1939 | Topic(s):Other Forms and Materials |
Number:T-1 |
Description:
Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees (PDF)
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Last Updated: | 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)
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Last Updated: |
SEC Number: SEC1849 |
Topic(s):Trust Indenture Act of 1939 |
Number:T-3 |
Description:
For applications for qualification of indentures under the Trust Indenture Act of 1939 (PDF)
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Last Updated: | SEC Number:SEC1919 | Topic(s):Trust Indenture Act of 1939 |
Number:T-4 |
Description:
Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (PDF)
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Last Updated: | SEC Number:SEC1920 | Topic(s):Trust Indenture Act of 1939 |
Number:T-6 |
Description:
Application under Section 310(a)(1) of the Trust Indenture Act of 1939 for determination of eligibility of a foreign personal to act as institutional trustee (PDF)
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Last Updated: | SEC Number:SEC2275 | Topic(s):Trust Indenture Act of 1939 |
Number:TA-1 |
Description:
Uniform form for registration as a transfer agent and for amendment to registration (PDF)
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Last Updated: |
SEC Number: SEC1528 |
Topic(s):Transfer Agents |
Number:TA-2 |
Description:
Form for reporting activities of transfer agents (PDF)
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Last Updated: |
SEC Number: SEC2113 |
Topic(s):Transfer Agents |
Number:TA-W |
Description:
Notice of withdrawal from registration as transfer agent (PDF)
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Last Updated: | SEC Number:SEC1669 | Topic(s):Transfer Agents |
Number:TCR |
Description:
Tip, Complaint, or Referral (PDF)
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Last Updated: | SEC Number:SEC2850 | Topic(s):Tips Complaints and Referrals, Whistleblower |
Number:TH |
Description:
Notification of Reliance on Temporary Hardship Exemption (PDF)
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Last Updated: |
SEC Number: SEC2348 |
Topic(s):Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers |
Number:WB-APP |
Description:
Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (PDF)
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Last Updated: | SEC Number:SEC2851 | Topic(s):Tips Complaints and Referrals, Whistleblower |
Number:X-17A-19 |
Description:
Report of Change in Membership Status (PDF)
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Last Updated: | SEC Number:SEC1414 | Topic(s):Self-Regulatory Organizations |
Number:X-17A-5 Part I |
Description:
FOCUS Report, Part I (PDF)
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Last Updated: | SEC Number:SEC1705 | Topic(s):Broker-Dealers |
Number:X-17A-5 Part II |
Description:
FOCUS Report, Part II Instructions (PDF)
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Last Updated: |
SEC Number: SEC1695A |
Topic(s):Broker-Dealers |
Number:X-17A-5 Part II |
Description:
FOCUS Report, Part II (PDF)
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Last Updated: |
SEC Number: SEC1695 |
Topic(s):Broker-Dealers |
Number:X-17A-5 Part IIA |
Description:
FOCUS Report Part IIa (PDF)
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Last Updated: |
SEC Number: SEC1696 |
Topic(s):Broker-Dealers |
Number:X-17A-5 Part IIA |
Description:
FOCUS Report Part IIa Instructions (PDF)
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Last Updated: |
SEC Number: SEC1696A |
Topic(s):Broker-Dealers |
Number:X-17A-5 Part IIB |
Description:
FOCUS Report, Part IIb (OTC Derivatives Dealer) (PDF)
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Last Updated: |
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)
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Last Updated: |
SEC Number: SEC1410 |
Topic(s):Broker-Dealers |
Number:X-17A-5 Schedule I |
Description:
(Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5 (PDF)
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Last Updated: |
SEC Number: SEC1675 |
Topic(s):Broker-Dealers |
Number:X-17F-1A |
Description:
Missing/Lost/Stolen/Counterfeit Securities Report (PDF)
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Last Updated: | SEC Number:SEC1666 | Topic(s):Broker-Dealers |