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U.S. Securities and Exchange Commission

Securities and Exchange Commission 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, scroll through this full list of SEC forms in alphanumeric order or refer to our category list. Please note that you will need Adobe Acrobat Reader plug-in to view these forms (available for free from Adobe through our About Adobe Acrobat (PDF) page).

The date in the Updated column reflects the modified date on the form, generally also found on the first page of the form in the lower left or right corner. This represents the date that the form was last modified with a material change to the content. Note that this date will not be revised for changes to the Office of Management and Budget (OMB) box (generally found in the upper right corner of the first page) or for typographic corrections.

Registrants, remember that you may be required to file electronically, either via EDGAR (corporate and fund registrants) or via IARD (investment advisers), rather than on printouts of these forms.

For Regulations, Rules, and Schedules, see the Division of Corporation Finance list of Rules, Regulations, Schedules and Rules and Regulations for the Securities and Exchange Commission and Major Securities Laws.

Number Description SEC Number Updated

  Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena SEC1661 03/2012

  Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena SEC1662 09/2011

  Industry Guides SEC2056 05/2007

  Notice on Supplying Information Voluntarily SEC2405 07/1996

  Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commissionís Examination Staff SEC2866 05/2012

1 Application for registration or exemption from registration as a national securities exchange SEC1935 02/1999

1-A Offering Statement under Regulation A SEC486 02/2008

1-E Notification under Regulation E SEC1807 08/2001

1-N Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products SEC2568 11/2002

2-A Report of sales and use of proceeds pursuant to Rule 257 of Regulation A SEC816 04/2005

2-E Report of sales pursuant to Rule 609 of Regulation E SEC1808 10/2006

3 Initial statement of beneficial ownership of securities SEC1473 11/2011

3 Initial statement of beneficial ownership of securities — general instructions SEC1472 11/2011

4 Statement of changes in beneficial ownership of securities SEC1474 11/2011

4 Statement of changes in beneficial ownership of securities — general instructions SEC1475 11/2011

5 Annual statement of changes in beneficial ownership of securities SEC2270T 02/2014

5 Annual statement of changes in beneficial ownership of securities — general instructions SEC2270 11/2011

6-K Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 SEC1815 4/2009

7-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer SEC876 06/2012

8-A Registration of certain classes of securities pursuant to Section 12(b) or (g) SEC1922 2/2008

8-K Current report pursuant to Section 13 or 15(d) SEC873 01/2012

8-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer SEC877 06/2012

9-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Parntnership Non-Resident Broker or Dealer SEC878 06/2012

10-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer SEC878 06/2012

10 General form for registration of securities pursuant to Section 12(b) or (g) SEC1396 02/2008

10-D Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 SEC2503 03/2005

10-K Annual report pursuant to Section 13 or 15(d) SEC1673 01/2012

10-Q General form for quarterly reports under Section 13 or 15(d) SEC1296 01/2012

11-K Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) SEC617 02/2008

12b-25 Notification of late filing SEC1344 04/2009

13F Information required of institutional investment managers pursuant to Section 13(f) SEC1685 01/2012

13H Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 SEC2858 11/2011

15 Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d) SEC2069 02/2008

15F Certification of a Foreign Private Issuerís Termination of Registration of a Class of Securities Under Section 12(G) of the Securities Exchange Act of 1934 or Its Termination of the Duty to File Reports Under Section 13(A) or Section 15(D) of the Securities Exchange Act of 1934   01/2014

17-H Risk assessment report for brokers and dealers SEC2332 01/2010

18 Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 SEC1421 01/2007

18-K Annual report for foreign governments and political subdivisions thereof SEC1797 04/2007

19b-4 Proposed rule change by self-regulatory organization SEC1832 01/2013

19b-4(e) 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 SEC2449 06/2001

19b-7 Proposed rule change by self-regulatory organization SEC2450 07/2007

20-F Registration statement / Annual report / Transition report SEC1852 01/2012

24F-2 Annual notice of securities sold pursuant to Rule 24-f2 SEC2393 06/2002

25 Notification of the removal from listing and registration of matured, redeemed or retired securities SEC1654 03/2006

40-F Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) SEC2285 01/2012

144 Notice of proposed sale of securities pursuant to Rule 144 SEC1147 02/2014

ABS-15G Asset-Backed Securitizer Report SEC2860 03/2011

ADV Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers SEC1707 09/2011

ADV-E Certificate of accounting of client securities and funds in the possession or custody of an investment adviser SEC2223 01/2013

ADV-H Application for a temporary or continuing hardship exemption SEC2566 09/2011

ADV-NR Appointment of agent for service of process by non-resident general partner & non-resident managing agent of an investment adviser SEC2565 09/2011

ADV-W Notice of withdrawal from registration as investment adviser SEC777 11/2010

ATS Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems SEC2550 02/2014

ATS-R Quarterly report of alternative trading systems activities SEC2551 02/2014

BD Uniform application for broker-dealer registration SEC1490 01/2008

BD-N 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 SEC1500 02/2014

BDW Uniform request for broker-dealer withdrawal SEC122 04/2007

CA-1 Registration or exemption from registration as a clearing agency and for amendment to registration SEC1853 10/2002

CB Tender offer/rights offering notification form SEC2560 12/2008

D Notice of Exempt Offering of Securities SEC1972 09/2013

F-1 Registration statement for securities of certain foreign private issuers SEC1981 12/2008

F-3 Registration statement for securities of certain foreign private issuers SEC1983 04/2009

F-4 Registration statement for securities of certain foreign private issuers issued in certain business combination transactions SEC2078 12/2008

F-6 Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts SEC2001 10/2008

F-7 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 SEC2289 01/2007

F-8 Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination SEC2290 01/2007

F-10 Registration statement for securities of certain Canadian issuers SEC2292 03/2007

F-80 Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination SEC2282 01/2007

F-N Appointment of agent for service of process by foreign banks and foreign insurance companies SEC2306 10/2006

F-X Appointment of agent for service of process and undertaking SEC2288 02/2008

ID Uniform application for access codes to file on EDGARSEC2084 01/2013
 Note: To register a new individual or company to file with the SEC you must fill out an electronic Form ID at: https://www.filermanagement.edgarfiling.sec.gov/. The paper form is no longer accepted. This form is provided for your reference. See also Electronic Form ID Frequently Asked Questions.

MA-T Municipal Advisor Registration Form 03/2011

MSD Application for registration as a municipal securities dealer or amendment to such application SEC1534 02/2008

MSDW Notice of withdrawal from registration as a municipal securities dealer SEC1588 02/2008

N-1A Registration form for open-end management investment companies SEC2052 02/2010

N-2 Registration statement for closed-end management investment companies SEC1716 02/2014

N-3 Registration statement of separate accounts organized as management investment companies SEC2124 02/2010

N-4 Registration statement of separate accounts organized as unit investment trusts SEC2125 11/2009

N-5 Registration statement of small business investment companies SEC993 03/2010

N-6 Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies SEC2567 08/2006

N-6EI-1 Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 SEC1130 03/2003

N-6F Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 SEC1936 03/2001

N-8A Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 SEC1102 12/2001

N-8B-2 Registration statement of unit investment trusts which are currently issuing securities SEC977 03/2010

N-8B-4 Registration statement of face-amount certificate companies SEC1285 11/2005

N-8F Application for deregistration of certain registered investment companies SEC1691 09/2010

N-14 Form for the registration of securities issued in business combination transactions by investment companies and business development companies SEC2106 02/2010

N-17D-1 Report filed by small business investment company (SBIC) SEC1839 08/2005

N-17f-1 Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securites exchanges SEC2205 11/2003

N-17f-2 Certificate of accounting of securities and similar investments in the custody of management investment companies SEC2198 04/2009

N-18f-1 Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 SEC1846 01/2012

N-23c-3 Notification of repurchase offer SEC2380 10/2003

N-54A Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 SEC1937 10/2003

N-54C Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 SEC1938 03/2001

N-CSR Certified shareholder report of registered management investment companies SEC2569 03/2014

N-MFP Monthly Schedule of Portfolio Holdings of Money Market Funds SEC2847 09/2010

N-PX Annual Report of Proxy Voting Record of Registered Management Investment Company SEC2451 04/2003

N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company SEC2455 08/2005

NRSRO Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) SEC1541 04/2009

N-SAR Semi-annual report of registered investment companies SEC2100 10/2010

PF Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors SEC2048 12/2011

PILOT Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations SEC2552 06/2001

R31 Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 SEC2502 07/2004

S-1 Registration statement under Securites Act of 1933 SEC870 02/2008

S-3 Registration statement under Securites Act of 1933 SEC1379 1/2012

S-4 Registration statement under Securites Act of 1933 SEC2077 12/2008

S-6 Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 SEC649 01/2008

S-8 Registration statement under Securites Act of 1933 to be offered to employees pursuant to certain plans SEC1398 04/2009

S-11 Registration of securities of certain real estate companies SEC907 02/2008

S-20 Registration statement under the Securities Act of 1933 SEC2013 06/2005

SD Specialized Disclosure Report SEC697 01/2014

SE Submission of paper format exhibits by electronic filers SEC2082 11/2011

SIP Application or amendment to application for registration as securities infomation processor SEC1939 09/2002

T-1 Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees SEC1836 01/2007

T-2 Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee SEC1849 01/2007

T-3 For applications for qualification of indentures under the Trust Indenture Act of 1939 SEC1919 01/2007

T-4 Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 SEC1920 01/2007

T-6 Application under Section 310(a)(1) of the Trust Indenture Act of 1939 for determination of eligibility of a foreign person to act as institutional trustee SEC2275 01/2007

Note: The Commission recently adopted rule amendments to mandate electronic filing of Forms TA-1, TA-2, and TA-W on the Commissionís EDGAR database. The amendments will be effective January 11, 2007. For more information please see release number 34-54864.


TA-1 Uniform form for registration as a transfer agent and for amendment to registration SEC1528 1/2008

TA-2 Form for reporting activities of transfer agents SEC2113 08/2012

TA-W Notice of withdrawal from registration as transfer agent SEC1669 12/2006

TCR Tip, Complaint, or Referral SEC2850 08/2011

TH Notification of reliance on temporary hardship exemption SEC2348 07/2006

WB-APP Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 SEC2851 08/2011

X-17A-5 Schedule I (Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5 SEC1675 06/2002

X-17A-5 Part I FOCUS Report, Part I SEC1705 04/2003

X-17A-5 Part II FOCUS Report, Part II SEC1695 07/2002

X-17A-5 Part II FOCUS Report Part II Instructions SEC1695A 02/2004

X-17A-5 Part IIA FOCUS Report Part IIa SEC1696 02/2003

X-17A-5 Part IIA FOCUS Report Part IIa Instructions SEC1696A 04/2002

X-17A-5 Part IIB FOCUS Report, Part IIb (OTC Derivatives Dealer) SEC2430 02/2002

X-17A-5 Part III FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III SEC1410 06/2002

X-17A-19 Report of Change in Membership Status SEC1414 07/2001

X-17F-1A Missing/Lost/Stolen/Counterfeit Securities Report SEC1666 05/2001

 

http://www.sec.gov/about/forms/secformsalpha.htm

Modified: 03/05/2014