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FORMS LIST



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).

This list does not include Schedules and certain other non-Form Submissions that
are included in the Code of Federal Regulations, including Schedule 13D and
Schedule 13G which are separately hyperlinked. For more information, please
visit the relevant Division’s webpage.

Filter list by specific keywords:

Filed By: -View All-Public Company Accounting Oversight BoardSecurity-Based Swap
EntitiesSecurity-Based Swap Data RepositoriesPublic CompaniesNRSRONon-Regulated
EntitiesSelf-Regulatory OrganizationsSmall BusinessesXBRL
FilersWhistleblowersTransfer AgentsTeacher and StudentsMunicipal
SecuritiesMunicipal AdvisorsCompliance OfficersClearing
AgenciesBroker-DealersAuditorsCredit Rating AgenciesEDGAR
FilersInvestorsInvestment CompaniesInvestment AdvisersInternationalAccountants
Statute: -View All-Dodd-Frank Act of 2010Investment Advisers Act of
1940Investment Company Act of 1940JOBS Act of 2012Sarbanes-Oxley Act of
2002Securities Act of 1933Securities Exchange Act of 1934Trust Indenture Act of
1939

Subscribe
Number
Description
Last Updated
SEC Number
Topic(s)
Number: Description: Transferred Federal Employees
Last Updated: May 2016 SEC Number: Topic(s): Number: Description: Term Employees
Last Updated: May 2016 SEC Number: Topic(s): 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:1-A Description: Regulation A
Offering Statement (PDF)
Last Updated:Sept. 2021 SEC Number:

SEC486

Topic(s):Securities Act of 1933, Small Businesses Number:1-E Description:
Notification under Regulation E (PDF)
Last Updated:Aug. 2001 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:Sept. 2021 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:Dec. 2013 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:Sept. 2021 SEC Number:

SEC2914

Topic(s):Securities Act of 1933, Small Businesses 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: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:10 Description: General
form for registration of securities pursuant to Section 12(b) or (g) (PDF)
Last Updated:Feb. 2021 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:May 2019 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:May 2021 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:June 2012 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:Sept. 2021 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:Jan. 2021 SEC Number:

SEC617

Topic(s):Securities Exchange Act of 1934 Number:12b-25 Description: Notification
of late filing (PDF)
Last Updated:June 2019 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: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: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: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:Aug. 2011 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:Jan. 2014 SEC Number: Topic(s):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: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: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:19b-4 Description: Proposed rule
change by self-regulatory organization (PDF)
Last Updated:Jan. 2013 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:July 2013 SEC Number:

SEC2449

Topic(s):Self-Regulatory Organizations 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: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, Small Businesses, Investment Companies
Number:20-F Description: Registration statement / Annual report / Transition
report (PDF)
Last Updated:Sept. 2021 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:Jan. 2022 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:March 2006 SEC Number:

SEC1654

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):Directors, Officers, Securities Exchange Act of 1934, Significant
Shareholders Number:3 Description: Initial statement of beneficial ownership of
securities - general instructions (PDF)
Last Updated:May 2019 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:Nov. 2011 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:May 2019 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:May 2021 SEC Number:

SEC2285

Topic(s):Securities Exchange Act of 1934, International Number:5 Description:
Annual statement of changes in beneficial ownership of securities - general
instructions (PDF)
Last Updated:May 2019 SEC Number:

SEC2270

Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant
Shareholders Number:5 Description: Annual statement of changes in beneficial
ownership of securities (PDF)
Last Updated:Nov. 2011 SEC Number:

SEC2270T

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:Sept. 2018 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:June 2012 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:May 2019 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:Feb. 2021 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:June 2012 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:June 2012 SEC Number:

SEC878

Topic(s):Broker-Dealers Number:ABS-15G Description: Asset-Backed Securitizer
Report (PDF)
Last Updated:June 2015 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:Nov. 2014 SEC Number:

SEC2910

Topic(s):Securities Act of 1933 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):Form ABS Due Diligence-15E, Securities Exchange Act of 1934 Number:ADV
Description: Uniform Application for Investment Adviser Registration and Report
by Exempt Reporting Advisers (PDF)
Last Updated:Aug. 2022 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:Jan. 2013 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:Sept. 2011 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:Aug. 2022 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:July 2017 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:Sept. 2021 SEC Number:

SEC2550

Topic(s):Alternative Trading Systems Number:ATS-N Description: NMS Stock
Alternative Trading Systems (PDF)
Last Updated:Sept. 2021 SEC Number: Topic(s):Alternative Trading Systems
Number:ATS-R Description: Quarterly report of alternative trading systems
activities (PDF)
Last Updated:Sept. 2021 SEC Number:

SEC2551

Topic(s):Alternative Trading Systems Number:BD Description: Uniform application
for broker-dealer registration (PDF)
Last Updated:Jan. 2008 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:Jan. 2008 SEC Number:

SEC1500

Topic(s):Broker-Dealers Number:BDW Description: Uniform request for
broker-dealer withdrawal (PDF)
Last Updated:April 2007 SEC Number:

SEC122

Topic(s):Broker-Dealers Number:C Description: Form C (PDF)
Last Updated:March 2021 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:Feb. 2009 SEC Number:

SEC1853

Topic(s):Clearing Agencies Number:CB Description: Tender offer/rights offering
notification form (PDF)
Last Updated:Dec. 2008 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:May 2018 SEC Number: Topic(s):Funding Portal, Securities Exchange
Act of 1934 Number:CRS Description: Customer Relationship Summary (PDF)
Last Updated: May 2020 SEC Number:

SEC 2942

Topic(s):Securities Exchange Act of 1934, Broker-Dealers Number:CUSTODY
Description: Form Custody for Broker-Dealers (PDF)
Last Updated:Dec. 2013 SEC Number:

SEC2897

Topic(s):Securities Exchange Act of 1934, Broker-Dealers Number:D Description:
Notice of Exempt Offering of Securities
Last Updated:May 2017 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:Sept. 2021 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:May 2019 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:Sept. 2021 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:Feb. 2021 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:Nov. 2018 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:May 2019 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:May 2019 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:May 2019 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:Oct. 2006 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:Jan. 2013 SEC Number:

SEC2288

Topic(s):Securities Act of 1933, International Number:ID Description: Uniform
application for access codes to file on EDGAR
Last Updated:March 2018 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:April 2014 SEC Number:

SEC2898

Topic(s):Securities Exchange Act of 1934, Municipal Advisors 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:MA-I Description: Information Regarding Natural
Persons who Engage in Municipal Advisory Activities (PDF)
Last Updated:April 2017 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:April 2014 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:April 2014 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:May 2018 SEC Number:

SEC1534

Topic(s):Municipal Securities 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:N-14 Description: Form for the registration
of securities issued in business combination transactions by investment
companies and business development companies (PDF)
Last Updated:March 2022 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:Aug. 2005 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:Nov. 2003 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:April 2009 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:Jan. 2012 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:April 2022 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)
Last Updated:Aug. 2022 SEC Number:

SEC1716

Topic(s):Investment Company Act of 1940, Investment Companies 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: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:N-3
Description: Registration statement of separate accounts organized as management
investment companies (PDF)
Last Updated:April 2022 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:Jan. 2022 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:April 2022 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:Oct. 2003 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:March 2001 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)
Last Updated:Jan. 2022 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:March 2003 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:March 2001 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:Dec. 2001 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)
Last Updated:April 2021 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:Nov. 2005 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:Sept. 2010 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:Aug. 2022 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)
Last Updated:Jan. 2015 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)
Last Updated:Jan. 2022 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)
Last Updated:April 2022 SEC Number:

SEC2847

Topic(s):Investment Company Act of 1940, Investment Companies Number:N-PORT
Description: Monthly Portfolio Investments Report (PDF)
Last Updated:Aug. 2022 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)
Last Updated:April 2022 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:Aug. 2005 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)
Last Updated:Aug. 2022 SEC Number:

SEC 2941

Topic(s):Investment Company Act of 1940, Investment Companies Number:n/a
Description: Supplemental Information for Regulated Entities Directed to Supply
Information Other Than Pursuant to a Commission Subpoena (PDF)
Last Updated:Sept. 2021 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:Sept. 2021 SEC Number:

SEC1662

Topic(s):Other Forms and Materials Number:n/a Description: Industry Guides (PDF)
Last Updated:May 2008 SEC Number:

SEC2056

Topic(s):Other Forms and Materials Number:n/a Description: Notice on Supplying
Information Voluntarily (PDF)
Last Updated:Aug. 2017 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:April 2016 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:Sept. 2014 SEC Number:

SEC2903

Topic(s):Securities Exchange Act of 1934 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:PF Description: Reporting Form for Investment Advisers to
Private Funds and Certain Commodity Pool Operators and Commodity Trading
Advisors (PDF)
Last Updated:July 2014 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)
Last Updated:Sept. 2013 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)
Last Updated:Sept. 2013 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)
Last Updated:Feb. 2021 SEC Number:

SEC870

Topic(s):Securities Act of 1933, Small Businesses Number:S-11 Description:
Registration of securities of certain real estate companies (PDF)
Last Updated:Sept. 2021 SEC Number:

SEC907

Topic(s):Securities Act of 1933 Number:S-20 Description: Registration statement
under the Securities Act of 1933 (PDF)
Last Updated:Feb. 2021 SEC Number:

SEC2013

Topic(s):Securities Act of 1933 Number:S-3 Description: Registration statement
under Securities Act of 1933 (PDF)
Last Updated:May 2019 SEC Number:

SEC1379

Topic(s):Securities Act of 1933 Number:S-4 Description: Registration statement
under Securities Act of 1933 (PDF)
Last Updated:Sept. 2021 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)
Last Updated:April 2021 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)
Last Updated:Sept. 2018 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)
Last Updated:Sept. 2019 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)
Last Updated:Sept. 2019 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)
Last Updated:Sept. 2019 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)
Last Updated:Jan. 2016 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)
Last Updated:Jan. 2016 SEC Number:

SEC2928

Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934 Number:SCI
Description: Systems Compliance and Integrity (PDF)
Last Updated:Sept. 2015 SEC Number:

SEC 2919

Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations,
Clearing Agencies Number:SD Description: Specialized Disclosure Report (PDF)
Last Updated:Sept. 2021 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)
Last Updated:Feb. 2015 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)
Last Updated:Nov. 2011 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)
Last Updated:May 2019 SEC Number:

SEC2908

Topic(s):Securities Act of 1933 Number:SF-3 Description: Registration Statement
Under the Securities Act of 1933 (PDF)
Last Updated:May 2019 SEC Number:

SEC2909

Topic(s):Securities Act of 1933 Number:SIP Description: Application or amendment
to application for registration as securities infomation processor (PDF)
Last Updated:March 2014 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)
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: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: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: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)
Last Updated:Jan. 2007 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)
Last Updated:Dec. 2006 SEC Number:

SEC1528

Topic(s):Transfer Agents Number:TA-2 Description: Form for reporting activities
of transfer agents (PDF)
Last Updated:Aug. 2012 SEC Number:

SEC2113

Topic(s):Transfer Agents 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:TCR Description: Tip, Complaint, or Referral
(PDF)
Last Updated:Aug. 2011 SEC Number:SEC2850 Topic(s):Tips Complaints and
Referrals, Whistleblower 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:WB-APP Description: Application for Award for Original Information
Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (PDF)
Last Updated:Aug. 2011 SEC Number:SEC2851 Topic(s):Tips Complaints and
Referrals, Whistleblower 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:X-17A-5 Part I Description: FOCUS
Report, Part I (PDF)
Last Updated:April 2003 SEC Number:

SEC1705

Topic(s):Security-Based Swap Entities, Broker-Dealers Number:X-17A-5 Part II
Description: FOCUS Report, Part II (PDF)
Last Updated:Oct. 2021 SEC Number:

SEC1695

Topic(s):Security-Based Swap Entities, Broker-Dealers Number:X-17A-5 Part II
Description: FOCUS Report, Part II Instructions (PDF)
Last Updated:Oct. 2021 SEC Number:

SEC1695A

Topic(s):Security-Based Swap Entities, Broker-Dealers Number:X-17A-5 Part IIA
Description: FOCUS Report Part IIa Instructions (PDF)
Last Updated:Nov. 2018 SEC Number:

SEC1696A

Topic(s):Security-Based Swap Entities, Broker-Dealers Number:X-17A-5 Part IIA
Description: FOCUS Report Part IIa (PDF)
Last Updated:Nov. 2018 SEC Number:

SEC1696

Topic(s):Security-Based Swap Entities, Broker-Dealers Number:X-17A-5 Part IIC
Description: FOCUS Report, Part IIC (PDF)
Last Updated:Oct. 2021 SEC Number: Topic(s):Security-Based Swap Entities
Number:X-17A-5 Part IIC Description: FOCUS Report, Part IIC Instructions (PDF)
Last Updated: Oct. 2021 SEC Number: Topic(s):Security-Based Swap Entities
Number:X-17A-5 Part III Description: FOCUS Report Part III (PDF)
Last Updated:Oct. 2021 SEC Number:

SEC1410

Topic(s):Security-Based Swap Entities, 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)
Last Updated:May 2013 SEC Number:

SEC1675

Topic(s):Security-Based Swap Entities, 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

1 to 164 of 164 items

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