| 1 |
Application for registration or exemption from registration as a national securities exchange (pdf) |
| 1-A |
Regulation A Offering Statement (pdf) |
| 1-E |
Notification under Regulation E (pdf) |
| 1-N |
Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (pdf) |
| 10 |
General form for registration of securities pursuant to Section 12(b) or (g) (pdf) |
| 10-D |
Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (pdf) |
| 10-K |
Annual report pursuant to Section 13 or 15(d) (pdf) |
| 10-M |
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer (pdf) |
| 10-Q |
General form for quarterly reports under Section 13 or 15(d) (pdf) |
| 11-K |
Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (pdf) |
| 12b-25 |
Notification of late filing (pdf) |
| 13F |
Information required of institutional investment managers pursuant to Section 13(f) (pdf) |
| 13H |
Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 (pdf) |
| 144 |
Notice of proposed sale of securities pursuant to Rule 144 (pdf) |
| 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) (pdf) |
| 15F |
Certification of a Foreign Private Issuers 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 (pdf) |
| 17-H |
Risk Assessment for Brokers & Dealers (pdf) |
| 18 |
Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (pdf) |
| 18-K |
Annual report for foreign governments and political subdivisions thereof (pdf) |
| 19b-4 |
Proposed rule change by self-regulatory organization (pdf) |
| 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 (pdf) |
| 19b-7 |
Proposed rule change by self-regulatory organization (pdf) |
| 2-A |
Report of sales and use of proceeds pursuant to Rule 257 of Regulation A (pdf) |
| 2-E |
Report of sales pursuant to Rule 609 of Regulation E (pdf) |
| 20-F |
Registration statement / Annual report / Transition report (pdf) |
| 24F-2 |
Annual notice of securities sold pursuant to Rule 24-f2 (pdf) |
| 25 |
Notification of the removal from listing and registration of matured, redeemed or retired securities (pdf) |
| 3 |
Initial statement of beneficial ownership of securities (pdf) |
| 3 |
Initial statement of beneficial ownership of securities - general instructions (pdf) |
| 4 |
Statement of changes in beneficial ownership of securities (pdf) |
| 4 |
Statement of changes in beneficial ownership of securities - general instructions (pdf) |
| 40-F |
Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (pdf) |
| 5 |
Annual statement of changes in beneficial ownership of securities (pdf) |
| 5 |
Annual statement of changes in beneficial ownership of securities - general instructions (pdf) |
| 6-K |
Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (pdf) |
| 7-M |
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (pdf) |
| 8-A |
Registration of certain classes of securities pursuant to Section 12(b) or (g) (pdf) |
| 8-K |
Current report pursuant to Section 13 or 15(d) (pdf) |
| 8-M |
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (pdf) |
| 9-M |
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer (pdf) |
| ABS-15G |
Asset-Backed Securitizer Report (pdf) |
| ADV |
Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (pdf) |
| ADV-E |
Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (pdf) |
| ADV-H |
Application for a temporary or continuing hardship exemption (pdf) |
| ADV-NR |
Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (pdf) |
| ADV-W |
Notice of withdrawal from registration as investment adviser (pdf) |
| ATS |
Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (pdf) |
| ATS-R |
Quarterly report of alternative trading systems activities (pdf) |
| BD |
Uniform application for broker-dealer registration (pdf) |
| 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 (pdf) |
| BDW |
Uniform request for broker-dealer withdrawal (pdf) |
| CA-1 |
Registration or exemption from registration as a clearing agency and for amendment to registration (pdf) |
| CB |
Tender offer/rights offering notification form (pdf) |
| D |
Notice of Exempt Offering of Securities |
| F-1 |
Registration statement for securities of certain foreign private issuers (pdf) |
| F-10 |
Registration statement for securities of certain Canadian issuers (pdf) |
| F-3 |
Registration statement for securities of certain foreign private issuers (pdf) |
| F-4 |
Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (pdf) |
| F-6 |
Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (pdf) |
| 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 (pdf) |
| 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 (pdf) |
| F-80 |
Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (pdf) |
| F-N |
Appointment of agent for service of process by foreign banks and foreign insurance companies (pdf) |
| F-X |
Appointment of agent for service of process and undertaking (pdf) |
| ID |
Uniform application for access codes to file on EDGAR |
| MA |
Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration (pdf) |
| MA |
Instructions for the Form MA Series (pdf) |
| MA-I |
Information Regarding Natural Persons who Engage in Municipal Advisory Activities (pdf) |
| MA-NR |
Designation of U.S. Agent for Service of Process for Non-Residents (pdf) |
| MA-T |
Municipal Advisor Registration Form |
| MA-W |
Notice of Withdrawal from Registration as a Municipal Advisor (pdf) |
| MSD |
Application for registration as a municipal securities dealer or amendment to such application (pdf) |
| MSDW |
Notice of withdrawal from registration as a municipal securities dealer (pdf) |
| N-14 |
Form for the registration of securities issued in business combination transactions by investment companies and business development companies (pdf) |
| N-17D-1 |
Report filed by small business investment company (SBIC) (pdf) |
| N-17f-1 |
Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (pdf) |
| N-17f-2 |
Certificate of accounting of securities and similar investments in the custody of management investment companies (pdf) |
| N-18f-1 |
Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (pdf) |
| N-1A |
Registration form for open-end management investment companies (pdf) |
| N-2 |
Registration statement for closed-end management investment companies (pdf) |
| N-23c-3 |
Notification of repurchase offer (pdf) |
| N-27D-1 |
Accounting of Segregated Trust Account (pdf) |
| N-3 |
Registration statement of separate accounts organized as management investment companies (pdf) |
| N-4 |
Registration statement of separate accounts organized as unit investment trusts (pdf) |
| N-5 |
Registration statement of small business investment company (pdf) |
| N-54A |
Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (pdf) |
| N-54C |
Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (pdf) |
| N-6 |
Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (pdf) |
| N-6EI-1 |
Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (pdf) |
| N-6F |
Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (pdf) |
| N-8A |
Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (pdf) |
| N-8B-2 |
Registration statement of unit investment trusts which are currently issuing securities (pdf) |
| N-8B-4 |
Registration statement of face-amount certificate companies (pdf) |
| N-8F |
Application for deregistration of certain registered investment companies (pdf) |
| N-CSR |
Certified shareholder report of registered management investment companies (pdf) |
| N-MFP |
Monthly Schedule of Portfolio Holdings of Money Market Funds (pdf) |
| N-PX |
Annual Report of Proxy Voting Record of Registered Management Investment Company (pdf) |
| N-Q |
Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (pdf) |
| N-SAR |
Semi-annual report of registered investment companies (pdf) |
| n/a |
Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (pdf) |
| n/a |
Industry Guides (pdf) |
| n/a |
Notice on Supplying Information Voluntarily (pdf) |
| n/a |
Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commissions Examination Staff (pdf) |
| n/a |
Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena (pdf) |
| NRSRO |
Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (pdf) |
| PF |
Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (pdf) |
| PILOT |
Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (pdf) |
| R31 |
Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (pdf) |
| S-1 |
Registration statement under Securities Act of 1933 (pdf) |
| S-11 |
Registration of securities of certain real estate companies (pdf) |
| S-20 |
Registration statement under the Securities Act of 1933 (pdf) |
| S-3 |
Registration statement under Securities Act of 1933 (pdf) |
| S-4 |
Registration statement under Securities Act of 1933 (pdf) |
| S-6 |
Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (pdf) |
| S-8 |
Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (pdf) |
| SD |
Specialized Disclosure Report (pdf) |
| SE |
Submission of Paper Format Exhibits by Electronic Filers (pdf) |
| SIP |
Application or amendment to application for registration as securities infomation processor (pdf) |
| T-1 |
Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees (pdf) |
| T-2 |
Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee (pdf) |
| T-3 |
For applications for qualification of indentures under the Trust Indenture Act of 1939 (pdf) |
| T-4 |
Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (pdf) |
| T-6 |
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) |
| TA-1 |
Uniform form for registration as a transfer agent and for amendment to registration (pdf) |
| TA-2 |
Form for reporting activities of transfer agents (pdf) |
| TA-W |
Notice of withdrawal from registration as transfer agent (pdf) |
| TCR |
Tip, Complaint, or Referral (pdf) |
| TH |
Notification of Reliance on Temporary Hardship Exemption (pdf) |
| WB-APP |
2Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (pdf) |
| X-17A-19 |
Report of Change in Membership Status (pdf) |
| X-17A-5 Part I |
FOCUS Report, Part I (pdf) |
| X-17A-5 Part II |
FOCUS Report, Part II (pdf) |
| X-17A-5 Part II |
FOCUS Report, Part II Instructions (pdf) |
| X-17A-5 Part IIA |
FOCUS Report Part IIa Instructions (pdf) |
| X-17A-5 Part IIA |
FOCUS Report Part IIa (pdf) |
| X-17A-5 Part IIB |
FOCUS Report, Part IIb (OTC Derivatives Dealer) (pdf) |
| X-17A-5 Part III |
FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III (pdf) |
| 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 (pdf) |
| X-17F-1A |
Missing/Lost/Stolen/Counterfeit Securities Report (pdf) |
