SEC.gov | Forms List
Number:
Description:
Transferred Federal Employees
SEC Number:
Topic(s):
Number:
Description:
Term Employees
SEC Number:
Topic(s):
Number:
1
Description:
Application for registration or exemption from registration as a national securities exchange (PDF)
SEC Number:
SEC1935
Topic(s):
Self-Regulatory Organizations
Number:
1-A
Description:
Regulation A Offering Statement (PDF)
SEC Number:
SEC486
Topic(s):
Securities Act of 1933, Small Businesses
Number:
1-E
Description:
Notification under Regulation E (PDF)
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)
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)
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)
SEC Number:
SEC2914
Topic(s):
Securities Act of 1933, Small Businesses
Number:
1-U
Description:
Current Report Pursuant to Regulation A (PDF)
SEC Number:
SEC2915
Topic(s):
Securities Act of 1933, Small Businesses
Number:
1-Z
Description:
Exit Report Under Regulation A (PDF)
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)
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)
SEC Number:
SEC2503
Topic(s):
Securities Exchange Act of 1934
Number:
10-K
Description:
Annual report pursuant to Section 13 or 15(d) (PDF)
SEC Number:
SEC1673
Topic(s):
Form 10-K, Securities Exchange Act of 1934
Number:
10-Q
Description:
General form for quarterly reports under Section 13 or 15(d) (PDF)
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)
SEC Number:
SEC617
Topic(s):
Securities Exchange Act of 1934
Number:
12b-25
Description:
Notification of late filing (PDF)
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)
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)
SEC Number:
SEC2858
Topic(s):
Securities Exchange Act of 1934
Number:
144
Description:
Notice of proposed sale of securities pursuant to Rule 144 (PDF)
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)
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)
SEC Number:
Topic(s):
Securities Exchange Act of 1934
Number:
18
Description:
Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF)
SEC Number:
SEC1421
Topic(s):
Securities Exchange Act of 1934
Number:
18-K
Description:
Annual report for foreign governments and political subdivisions thereof (PDF)
SEC Number:
SEC1797
Topic(s):
Securities Exchange Act of 1934
Number:
19b-4
Description:
Proposed rule change by self-regulatory organization (PDF)
SEC Number:
SEC1832
Topic(s):
Self-Regulatory Organizations
Number:
19b-7
Description:
Proposed rule change by self-regulatory organization (PDF)
SEC Number:
SEC2450
Topic(s):
Self-Regulatory Organizations
Number:
2-E
Description:
Report of sales pursuant to Rule 609 of Regulation E (PDF)
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)
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)
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)
SEC Number:
SEC1654
Topic(s):
Self-Regulatory Organizations
Number:
3
Description:
Initial statement of beneficial ownership of securities (PDF)
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)
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)
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)
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)
SEC Number:
SEC2285
Topic(s):
Securities Exchange Act of 1934, International
Number:
5
Description:
Annual statement of changes in beneficial ownership of securities (PDF)
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)
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)
SEC Number:
SEC1815
Topic(s):
Securities Exchange Act of 1934, International
Number:
8-A
Description:
Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF)
SEC Number:
SEC1922
Topic(s):
Securities Exchange Act of 1934
Number:
8-K
Description:
Current report pursuant to Section 13 or 15(d) (PDF)
SEC Number:
SEC873
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)
SEC Number:
SEC2917
Topic(s):
Form ABS Due Diligence-15E, Securities Exchange Act of 1934
Number:
ABS-15G
Description:
Asset-Backed Securitizer Report (PDF)
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)
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)
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)
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)
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)
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)
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)
SEC Number:
SEC2550
Topic(s):
Alternative Trading Systems
Number:
ATS-N
Description:
NMS Stock Alternative Trading Systems (PDF)
SEC Number:
Topic(s):
Alternative Trading Systems
Number:
ATS-R
Description:
Quarterly report of alternative trading systems activities (PDF)
SEC Number:
SEC2551
Topic(s):
Alternative Trading Systems
Number:
BD
Description:
Uniform application for broker-dealer registration (PDF)
SEC Number:
SEC1490
Topic(s):
Broker-Dealers
Number:
BDW
Description:
Uniform request for broker-dealer withdrawal (PDF)
SEC Number:
SEC122
Topic(s):
Broker-Dealers
Number:
C
Description:
Form C (PDF)
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)
SEC Number:
SEC1853
Topic(s):
Clearing Agencies
Number:
CB
Description:
Tender offer/rights offering notification form (PDF)
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)
SEC Number:
Topic(s):
Funding Portal, Securities Exchange Act of 1934
Number:
CRS
Description:
Customer Relationship Summary (PDF)
SEC Number:
SEC 2942
Topic(s):
Securities Exchange Act of 1934, Broker-Dealers
Number:
CUSTODY
Description:
Form Custody for Broker-Dealers (PDF)
SEC Number:
SEC2897
Topic(s):
Securities Exchange Act of 1934, Broker-Dealers
Number:
D
Description:
Notice of Exempt Offering of Securities
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)
SEC Number:
SEC1981
Topic(s):
Securities Act of 1933, International
Number:
F-10
Description:
Registration statement for securities of certain Canadian issuers (PDF)
SEC Number:
SEC2292
Topic(s):
Securities Act of 1933, International
Number:
F-3
Description:
Registration statement for securities of certain foreign private issuers (PDF)
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)
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)
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)
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)
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)
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)
SEC Number:
SEC2306
Topic(s):
Securities Act of 1933
Number:
F-X
Description:
Appointment of agent for service of process and undertaking (PDF)
SEC Number:
SEC2288
Topic(s):
Securities Act of 1933, International
Number:
ID
Description:
Uniform application for access codes to file on EDGAR
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)
SEC Number:
SEC2898
Topic(s):
Securities Exchange Act of 1934, Municipal Advisors
Number:
MA
Description:
Instructions for the Form MA Series (PDF)
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)
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)
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)
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)
SEC Number:
SEC1534
Topic(s):
Municipal Securities
Number:
MSDW
Description:
Notice of withdrawal from registration as a municipal securities dealer (PDF)
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 (PDF)
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)
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)
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)
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)
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)
SEC Number:
SEC2052
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-2
Description:
Registration statement for closed-end management investment companies (PDF)
SEC Number:
SEC1716
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-23c-3
Description:
Notification of repurchase offer (PDF)
SEC Number:
SEC2380
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-27D-1
Description:
Accounting of Segregated Trust Trương mục (PDF)
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 (PDF)
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)
SEC Number:
SEC2125
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-5
Description:
Registration statement of small business investment company (PDF)
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)
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)
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 (PDF)
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)
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)
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)
SEC Number:
SEC1102
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-8B-2
Description:
Registration statement of unit investment trusts which are currently issuing securities (PDF)
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)
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)
SEC Number:
SEC1691
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-CEN
Description:
Annual Report for Registered Investment Companies (PDF)
SEC Number:
SEC 2846
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-CR
Description:
Current Report, Money Market Fund Material Events (PDF)
SEC Number:
SEC2918
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-CSR
Description:
Certified shareholder report of registered management investment companies (PDF)
SEC Number:
SEC2569
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-MFP
Description:
Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF)
SEC Number:
SEC2847
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-PORT
Description:
Monthly Portfolio Investments Report (PDF)
SEC Number:
SEC 2940
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-PX
Description:
Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)
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)
SEC Number:
SEC2455
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
N-RN
Description:
Current Report For Registered Management Investment Companies and Business Development Companies (PDF)
SEC Number:
SEC 2941
Topic(s):
Investment Company Act of 1940, Investment Companies
Number:
n/a
Description:
Supplemental Information for Persons Requested to Supply Information Voluntarily to the Office of Credit Ratings’Monitoring Staff (PDF)
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)
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)
SEC Number:
SEC1662
Topic(s):
Other Forms and Materials
Number:
n/a
Description:
Industry Guides (PDF)
SEC Number:
SEC2056
Topic(s):
Other Forms and Materials
Number:
n/a
Description:
Notice on Supplying Information Voluntarily (PDF)
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)
SEC Number:
SEC2866
Topic(s):
Other Forms and Materials
Number:
NRSRO
Description:
Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (PDF)
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)
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)
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)
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)
SEC Number:
SEC870
Topic(s):
Securities Act of 1933, Small Businesses
Number:
S-11
Description:
Registration of securities of certain real estate companies (PDF)
SEC Number:
SEC907
Topic(s):
Securities Act of 1933
Number:
S-20
Description:
Registration statement under the Securities Act of 1933 (PDF)
SEC Number:
SEC2013
Topic(s):
Securities Act of 1933
Number:
S-3
Description:
Registration statement under Securities Act of 1933 (PDF)
SEC Number:
SEC1379
Topic(s):
Securities Act of 1933
Number:
S-4
Description:
Registration statement under Securities Act of 1933 (PDF)
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)
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)
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)
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)
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)
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)
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)
SEC Number:
SEC2928
Topic(s):
Dodd-Frank Act of 2010, Securities Exchange Act of 1934
Number:
SCI
Description:
Systems Compliance and Integrity (PDF)
SEC Number:
SEC 2919
Topic(s):
Securities Exchange Act of 1934, Self-Regulatory Organizations, Clearing Agencies
Number:
SD
Description:
Specialized Disclosure Report (PDF)
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)
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)
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)
SEC Number:
SEC2908
Topic(s):
Securities Act of 1933
Number:
SF-3
Description:
Registration Statement Under the Securities Act of 1933 (PDF)
SEC Number:
SEC2909
Topic(s):
Securities Act of 1933
Number:
SIP
Description:
Application or amendment to application for registration as securities infomation processor (PDF)
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)
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)
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)
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)
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)
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)
SEC Number:
SEC1528
Topic(s):
Transfer Agents
Number:
TA-2
Description:
Form for reporting activities of transfer agents (PDF)
SEC Number:
SEC2113
Topic(s):
Transfer Agents
Number:
TA-W
Description:
Notice of withdrawal from registration as transfer agent (PDF)
SEC Number:
SEC1669
Topic(s):
Transfer Agents
Number:
TCR
Description:
Tip, Complaint, or Referral (PDF)
SEC Number:
SEC2850
Topic(s):
Tips Complaints and Referrals, Whistleblower
Number:
TH
Description:
Notification of Reliance on Temporary Hardship Exemption (PDF)
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)
SEC Number:
SEC2851
Topic(s):
Tips Complaints and Referrals, Whistleblower
Number:
X-17A-19
Description:
Report of Change in Membership Status (PDF)
SEC Number:
SEC1414
Topic(s):
Self-Regulatory Organizations
Number:
X-17A-5 Part I
Description:
FOCUS Report, Part I (PDF)
SEC Number:
SEC1705
Topic(s):
Security-Based Swap Entities, Broker-Dealers
Number:
X-17A-5 Part II
Description:
FOCUS Report, Part II (PDF)
SEC Number:
SEC1695
Topic(s):
Security-Based Swap Entities, Broker-Dealers
Number:
X-17A-5 Part II
Description:
FOCUS Report, Part II Instructions (PDF)
SEC Number:
SEC1695A
Topic(s):
Security-Based Swap Entities, Broker-Dealers
Number:
X-17A-5 Part IIA
Description:
FOCUS Report Part IIa (PDF)
SEC Number:
SEC1696
Topic(s):
Security-Based Swap Entities, Broker-Dealers
Number:
X-17A-5 Part IIA
Description:
FOCUS Report Part IIa Instructions (PDF)
SEC Number:
SEC1696A
Topic(s):
Security-Based Swap Entities, Broker-Dealers
Number:
X-17A-5 Part IIC
Description:
FOCUS Report, Part IIC Instructions (PDF)
SEC Number:
Topic(s):
Security-Based Swap Entities
Number:
X-17A-5 Part IIC
Description:
FOCUS Report, Part IIC (PDF)
SEC Number:
Topic(s):
Security-Based Swap Entities
Number:
X-17A-5 Part III
Description:
FOCUS Report Part III (PDF)
SEC Number:
SEC1410
Topic(s):
Security-Based Swap Entities, Broker-Dealers