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Securities and Exchange Commission (SEC) Forms

Securities and Exchange Commission Forms
Form 1 Application For Registration Or Exemption From Registration As A National Securities Exchange (SEC1935) [1] (rev. 02/99)
Form 1-A Regulation Offering Statement Under The Securities Act Of 1933 (SEC486) [1-A] (rev. 12/01)
Form 1-E Notification Under Regulation E (SEC1807) [1-E] (rev. 08/00)
Form 1-N Notice Of Registration As A National Securities Exchange For The Sole Purpose Of Trading Security Futures Products (SEC2568) [1-N] (rev. 11/02)
Form 2-A Report Of Sales And Use Of Proceeds Pursuant To Rule 257 Of Regulation A (SEC816) [2-A] (rev. 12/01)
Form 2-E Report Pursuant To Rule 609 Of Regulation E (SEC1808) [2-E] (rev. 12/00)
Form 3 Initial Statement Of Beneficial Ownership Of Securities (SEC1472) [3] (rev. 06/03)
Form 4 Statement Of Change Of Beneficial Ownership Of Securities (SEC1475) [4] (rev. 06/03)
Form 5 Annual Statement Of Beneficial Ownership Of Securities (SEC2270) [5] (rev. 07/03)
Form 6-K Report Of Foreign Private Issuer Pursuant To Rule 13a-16 Or 15d-16 Under The S.E.A. Of 1934 (SEC1815) [6-K] (rev. 11/02)
Form 8-A Registration Of Certain Classes Of Securities Pursuant To Section 12(b) Or (g) Of The Securities Exchange Act Of 1934 (SEC1922) [8-A] (rev. 11/03)
Form 8-K Current Report Pursuant To Section 13 Or 15(d) Of The Securities Exchange Act Of 1934 (SEC873) [8-K] (rev. 06/03)
Form 10 General Form For Registration Of Securities Pursuant To Section 12(b) or (g) (SEC1396) [10] (rev. 11/03)
Form 10-K Annual Report Pursuant To Section 13 Or 15(d) Of The SEA Of 1934 (SEC1673) [10-K] (rev. 12/03)
Form 10-KSB Annual Report Under Section 13 Or 15(d) (SEC2337) [10-KSB] (rev. 12/03)
Form 10-Q General Form For Quarterly Reports Under Section 13 Or 15(d) (SEC1296) [10-Q] (rev. 01/04)
Form 10-QSB Optional Form For Quarterly And Transition Reports Of Small Business Issuers Under Sections 13 or 15(d) (SEC2334) [10-QSB] (rev. 01/04)
Form 10-SB General Form For Registration Of Securities Of Small Business Issuers (SEC2336) [10-SB] (rev. 11/03)
Form 11-K For Annual Reports Of Employee Stock Purchase Savings And Similar Plans Pursuant To Section 15(d) (SEC617) [11-K] (rev. 02/04)
Form 12b-25 Notification Of Late Filing (SEC1344) [12b-25] (rev. 07/03)
Form 13F Information Required Of Institutional Investment Managers Pursuant To Section 13(f) (SEC1685) [13F] (rev. 10/03)
Form 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) [15] (rev. 09/03)
Form 17-H Risk Assessment Report For Brokers And Dealers (SEC2332) [17-H] (rev. 04/01)
Form 18 Application For Registration Pursuant To Sec 12(b) And (c) Of Securities Exchange Act Of 1934 (SEC1421) [18] (rev. 11/03)
Form 18-K Annual Report For Foreign Governments And Political Subdivisions Thereof (SEC1797) [18-K] (rev. 11/03)
Form 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) [19b-4(e)] (rev. 06/01)
Form 20-F Registration Statement Or Annual Report Or Transition Report (SEC1852) [20-F] (rev. 02/04)
Form 24F-2 Annual Notice Of Securities Sold Pursuant To Rule 24F-2 (SEC2393) [24F-2] (rev. 04/01)
Form 25 Notification Of The Removal From Listing And Registration Of Matured Redeemed Or Retired Securities (SEC1654) [25] (rev. 10/02)
Form 26 Notification Of The Admission To Trading Of A Substituted Or Additional Class Of Security Under Rule 12a-5 (SEC483) [26] (rev. 06/01)
Form 40-F Notification Of The Admission To Trading Of A Substituted Or Additional Class Of Security Under Rule 12a-5 (SEC2285) [40-F] (rev. 08/03)
Form 144 Notice Of Proposed Sale Of Securities Pursuant To Rule 144 (SEC1147) [144] (rev. 01/04)
Form ADV Uniform Application For Investment Adviser Registration (SEC1707) [ADV] (rev. 10/03)
Form ADV Glossary Of Terms
Form ADV-E Certificate Of Accounting Of Client Securities And Funds In The Possession Or Custody Of An Investment Adviser (SEC2223) [ADV-E] (rev. 11/00)
Form ADV-H Application For A Temporary Or Continuing Hardship Exemption (SEC2566) [ADV-H] (rev. 10/03)
Form ADV-NR Appointment Of Agent For Service Of Process By Non-Resident General Partner And Non-Resident Managing Agent Of An Investment Adviser (SEC2565) [ADV-NR] (rev. 10/03)
Form ADV-W (Paper Version) Notice Of Withdrawal From Registration As An Investment Adviser (SEC777) [ADV-W] (rev. 10/03)
Form ATS Initial Operation Report, Amendment To Initial Operation Report And Cessation Of Operations Report For Alternative Trading Systems (SEC2550) [ATS] (rev. 04/02)
Form ATS-R Quarterly Report Of Alternative Trading Systems Activities (SEC2551) [ATS-R] (rev. 04/02)
Form BD Uniform Application For Broker-Dealer Registration (SEC1490) [BD] (rev. 05/01)
Form BD-N Notice Of Registration As A Broker-Dealer For The Purpose Of Trading Security Futures Products Pursuant To Section 15(b)(11) (SEC1500) [BD-N] (rev. 11/01)
Form BDW Uniform Request For Broker-Dealer Withdrawal (SEC122) [BDW] (rev. 11/00)
Form CA-1 Application For Registration Or Exemption From Registration As A Clearing Agency And For Amendment To Registration (SEC1853) [CA-1] (rev. 10/02)
Form CB Tender Offer/Rights Offering Notification Form (SEC2560) [CB] (rev. 10/03)
Form D Notice Of Sale Of Securities Pursuant To Regulation D, Section 4(6) And/Or Uniform Limited Offering Exemption (SEC1972) [D] (rev. 06/02)
Form ET Transmittal Form For Electronic Format Documents Under The EDGAR System (SEC2082) [ET] (rev. 08/01)
Form F-1 Registration Statement Under The Securities Act Of 1933 (SEC1981) [F-1] (rev. 07/02)
Form F-2 Registration Statement Under The Securities Act Of 1933 (SEC1982) [F-2] (rev. 11/03)
Form F-3 Registration Statement Under The Securities Act Of 1933 (SEC1983) [F-3] (rev. 02/04)
Form F-4 Registration Statement Under The Securities Act Of 1933 (SEC2078) [F-4] (rev. 03/03)
Form F-6 Registration Statement Under The Securities Act Of 1933 For Depositary Shares Evidenced By American Depositary Receipts (SEC2001) [F-6] (rev. 11/02)
Form F-7 Registration Statement Under The Securities Act Of 1933 (SEC2289) [F-7] (rev. 02/04)
Form F-8 Registration Statement Under The Securities Act Of 1933 (SEC2290) [F-8] (rev. 02/04)
Form F-9 Registration Statement Under The Securities Act Of 1933 (SEC2291) [F-9] (rev. 12/02)
Form F-10 Registration Statement Under The Securities Act Of 1933 (SEC2292) [F-10] (rev. 11/02)
Form F-80 Registration Statement Under The Securities Act Of 1933 (SEC2282) [F-80] (rev. 02/04)
Form F-N Appointment Of Agent For Service Of Process By Foreign Banks And Foreign Insurance Companies (SEC2306) [F-N] (rev. 02/04)
Form F-X Appointment Of Agent For Service Of Process And Undertaking (SEC2288) [F-X] (rev. 01/04)
Form ID Uniform Application For Access Codes To File On EDGAR (SEC2084) [ID] (rev. 10/99)
Form MAIE Model Accredited Investor Exemption [MAIE]
Form MSD Application For Registration As A Municipal Securities Dealer Or Amendment To Such Application (SEC1534) [MSD] (rev. 04/02)
Form MSDW Notice Of Withdrawal From Registration As A Municipal Securities Dealer (SEC1588) [MSDW] (rev. 04/00)
Form N-1A Registration Statement For Open-End Management Investment Companies (SEC2052) [N-1A] (rev. 09/03)
Form N-2 Registration Statement For Closed-End Management Investment Companies (SEC1716) [N-2] (rev. 09/03)
Form N-3 Registration Statement Of Separate Accounts Organized As Management Investment Companies (SEC2124) [N-3] (rev. 02/04)
Form N-4 Registration Statement Of Separate Accounts Organized As Unit Investment Trusts (SEC2125) [N-4] (rev. 12/03)
Form N-5 Registration Statement Of Small Business Investment Companies (SEC993) [N-5] (rev. 11/01)
Form N-6 Registration Statement For Separate Accounts Organized As Unit Investment Trusts That Offer Variable Life Insurance Policies (SEC2567) [N-6] (rev. 10/03)
Form N-6E1-1 Notification Of Claim Of Exemption Pursuant To Rule 6e-2 Or 6e-3(T) Under The Investment Company Act Of 1940 (SEC1130) [N-6E1-1] (rev. 03/03)
Form N-6F Notice Of Intent To Elect To Be Subject To Sections 55-65 Of The Investment Company Act Of 1940 (SEC1936) [N-6F] (rev. 03/01)
Form N-8A Notification Of Registration Filed Pursuant To Sect 8(a) Of Investment Company Act Of 1940 (SEC1102) [N-8A] (rev. 12/01)
Form N-8B Registration Statement Of Unit Investment Trusts Which Are Currently Issuing Securities (SEC977) [N-8B] (rev. 06/02)
Form N-8F Application For Deregistration Of Certain Registered Investment Companies (SEC1691) [N-8F] (rev. 05/99)
Form N-14 Form For The Registration Of Securities Issued In Business Combination Transactions By Investment Companies And Business Development Companies (SEC2106) [N-14] (rev. 06/02)
Form N-17D-1 Report Filed By Small Business Investment Company (SBIC) (SEC1839) [N-17D-1] (rev. 10/03)
Form 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) [N-17Ff1] (rev. 11/03)
Form N-17f-2 Certificate Of Accounting Of Securities And Similar Investments In The Custody Of Management Investment Companies (SEC2198) [N-17f-2] (rev. 10/03)
Form N-18f-1 Notification Of Election Pursuant To Rule 18f-1 Under The Investment Company Act Of 1940 (SEC2198) [N-18f-1] (rev. 10/03)
Form N-23c-3 Notification Of Repurchase Offer (SEC2380) [N-23c-3] (rev. 10/03)
Form N-27D-1 Accounting Of Segregated Trust Account (SEC1840) [N-27D-1] (rev. 10/03)
Form N-27E-1 Notice To Periodic Payment Plan Certificate Holders Of 18-Month Surrender Rights With Respect To Periodic Payment Plan Certificates (SEC1928) [N-27E-1] (rev. 10/03)
Form N-27F-1 Notice To Periodic Payment Plan Certificate Holders Of 45 Days Withdrawal Right With Respect To Periodic Payment Plan Certificates (SEC1929) [N-27F-1] (rev. 10/03)
Form N-54A Notification Of Election To Be Subject To Sections 55-65 Of The Investment Company Act Of 1940 (SEC1937) [N-54A] (rev. 10/03)
Form N-54C Notification Of Withdrawal Of Election To Be Subject To Sections 55-65 Of The Investment Company Act Of 1940 (SEC1938) [N-54C] (rev. 03/01)
Form NF Uniform Investment Company Notice Filing [NF]
Form N-CSR Certified Shareholder Report Of Registered Management Investment Companies (SEC2569) [N-CSR] (rev. 10/03)
Form N-SAR Semi-Annual Report For Registered Investment Companies (SEC2100) [N-SAR] (rev. 05/03)
Form PILOT Initial Operation Report, Amendment To Initial Operation Report And Quarterly Report For Pilot Trading Systems Operated By Self-Regulatory Organizations (SEC2552) [PILOT] (rev. 06/01)
Form S-1 Registration Statement Under The Securities Act Of 1933 (SEC870) [S-1] (rev. 10/03)
Form S-2 Registration Statement Under The Securities Act Of 1933 (SEC1380) [S-2] (rev. 01/04)
Form S-3 Registration Statement Under The Securities Act Of 1933 (SEC1379) [S-3] (rev. 01/99)
Form S-4 Registration Statement Under The Securities Act Of 1933 (SEC2077) [S-4] (rev. 11/03)
Form S-6 Registration Under 1933 Act Of Securities Of Unit Investment Trusts Registered On Form N-8B-2 (SEC649) [S-6] (rev. 09/02)
Form S-8 Registration Statement Under The Securities Act Of 1933 (SEC1398) [S-8] (rev. 09/01)
Form S-11 For Registration Under The Securities Act Of 1933 Of Securities Of Certain Real Estate Companies (SEC907) [S-11] (rev. 02/04)
Form S-20 Registration Statement Under The Securities Act Of 1933 (SEC2013) [S-20] (rev. 07/01)
Form SB-1 Registration Statement Under The Securities Act Of 1933 (Amendment No.) (SEC2338) [SB-1] (rev. 02/04)
Form SB-2 Registration Statement Under The Securities Act Of 1933 (Amendment No.) (SEC2335) [SB-2] (rev. 11/03)
Form SE For Submission Of Paper Format Exhibits By Electronic Filers (SEC2082) [SE] (rev. 03/99)
Form SIP Application Or Amendment To Application For Registration As Securities Infomation Processor (SEC1939) [SIP] (rev. 09/02)
Form T-1 Statement Of Eligibility And Qualification Under The Trust Indenture Act Of 1939 Of Corporations Designated To Act As Trustees (SEC1836) [T-1] (rev. 11/03)
Form T-2 Statement Of Eligibility Under The Trust Indenture Act Of 1939 Of An Individual Designated To Act As Trustee (SEC1849) [T-2] (rev. 11/03)
Form T-3 For Applications For Qualifications Of Indentures Under The Trust Indenture Act Of 1939 (SEC1919) [T-3] (rev. 02/04)
Form T-4 Application For Exemption Filed Pursuant To Section 304(c) Of The Trust Indenture Act Of 1939 (SEC1920) [T-4] (rev. 11/03)
Form 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 (SEC2275) [T-6] (rev. 11/03)
Form TA-1 Uniform Form For Registration As A Transfer Agent And For Amendment To Registration (SEC1528) [TA-1] (rev. 08/01)
Form TA-2 Form For Reporting Activities Of Transfer Agents (SEC2113) [TA-2] (rev. 12/00)
Form TA-W Notice Of Withdrawal From Registration As Transfer Agent (SEC1669) [TA-W] (rev. 07/02)
Form TH Notification Of Reliance On Temporary Hardship Exemption (SEC2348) [TH] (rev. 03/99)
Form U-1 Application Or Declaration Under The PUHCA Of 1935 (SEC1476) [U-1] (rev. 07/01)
Form U-2 And U-2A Uniform Consent To Service Of Process And Uniform Corporate Resolution [U-2 And U-2A] (rev. 03/92)
Form U-3A-2 Statement By Holding Company Claiming Exemption Under Rule U-3A-2 Of The PUHCA Of 1935 (SEC1834) [U-3A-2] (rev. 04/02)
Form U-3A3-1 Twelve Month Statement By Bank Claiming Exemption As A Holding Company Or Exemption From Section 9(a)(2) Of The PUHCA Of 1935 (SEC1835) [U-3A3-1] (rev. 06/01)
Form U-4 Uniform Application For Securities Industry Registration Or Transfer [U-4] (rev. 03/02)
Form U-5 Uniform Termination Notice For Securities Industry Registration [U-5] (rev. 03/02)
Form U-5A Notification Of Registration Filed Under Section 5(a) Of The PUHCA Of 1935 (SEC1843) [U-5A] (rev. 10/03)
Form U-5B Registration Statement Filed Pursuant To Section 5 Of PUHCA Of 1935 (SEC1844) [U-5B] (rev. 10/03)
Form U-5S Annual Report For Public Utility Holding Company (SEC1306) [U-5S] (rev. 05/01)
Form U-6B-2 Certificate Of Notification (SEC242) [U-6B-2] (rev. 09/01)
Form U-7D Certificate Pursuant To Rule 7(d) Of PUHCA Of 1935 (SEC1771) [U-7D] (rev. 07/01)
Form U-9C-3 Quarterly Report Pursuant To Rule 58 (SEC2422) [U-9C-3] (rev. 04/02)
Form U-12(I)-A Statement Pursuant To Section 12(I) Of PUHCA Of 1935 By A Person Employed Or Retained By A Registered Holding Company Or A Subsidiary Thereof (SEC1381) [U-12(I)-A] (rev. 04/02)
Form U-12(I)-B Statement Pursuant To Section 12(I) Of PUHCA Of 1935 By A Person Regularly Employed Or Retained By A Registered Holding Company Or A Subsidiary Thereof And Whose Employment Contemplates Only Routine Expenses As Specified In Rule 71(b) (SEC979) [U-12(I)-B] (rev. 04/02)
Form U-13-1 Application For Approval Of Mutual Service Company Pursuant To Rule 88 Or Declaration With Respect To Organization And Conduct Of Business Of Subsidiary Service Company Pursuant To Rule 88 (SEC1925) [U-13-1] (rev. 07/01)
Form U-13-60 Annual Report For The Period By A Reporting Company (SEC1926) [U-13-60] (rev. 04/02)
Form U-33-S Annual Report Concerning Foreign Utility Companies (SEC2373) [U-33-S] (rev. 04/02)
Form U-57 Notification Of Foreign Utility Company Status (SEC2372) [U-57] (rev. 05/01)
Form U-R-1 Declarations As To Solicitations Pursuant To Rule U-62 (SEC1927) [U-R-1] (rev. 07/01)
Form U-SB Uniform Surety Bond Form [U-SB]
Form USR-1 Investment Company Report Of Sales [USR-1]
Form 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) [X-17A-5 Schedule I] (rev. 06/02)
Form X-17A-5 Part I FOCUS Report, Part I (SEC1705) [X-17A-5 Part I] (rev. 04/03)
Form X-17A-5 Part II FOCUS Report, Part II (SEC1695) [X-17A-5 Part II] (rev. 07/02)
Form X-17A-5 Part II FOCUS Report Instructions (SEC1695A) [X-17A-5 Part II] (rev. 02/04)
Form X-17A-5 Part IIA FOCUS Report, Part IIa (SEC1696) [X-17A-5 Part IIA] (rev. 02/03)
Form X-17A-5 Part IIA FOCUS Report Instructions (SEC1696A) [X-17A-5 Part IIA] (rev. 04/02)
Form X-17A-5 Part IIB FOCUS Report, Part IIb (OTC Derivatives Dealer) (SEC2430) [X-17A-5 Part IIB] (rev. 02/02)
Reg. 13A Reports Of Issuers Of Securities Registered Pursuant To Section 12 Under The Securities Act Of 1934 (SEC2220) [Reg. 13A] (rev. 09/03)
Reg. 14A Solicitation Of Proxies Under The Securities Act Of 1934 (SEC733) [Reg. 14A] (rev. 03/03)
Reg. 14C Distribution Of Information Pursuant To Section 14(C) Under The Securities Act Of 1934 (SEC733A) [Reg. 14C] (rev. 03/03)
Reg. 14D Disclosure Requirements And Minimum Time For Tender Offers Under The Securities Act Of 1934 (SEC1916) [Reg. 14D] (rev. 08/94)
Reg. 15D Reports Of Registrants Under The Securities Act Of 1933 (SEC2219) [Reg. 15D] (rev. 10/01)
Reg. A Conditional Small Issues Exemption From Registration (SEC1782) [Reg. A] (rev. 12/01)
Reg. D Rules Governing The Limited Offer And Sale Of Securities Without Registration (SEC1972A) [Reg. D] (rev. 07/02)
Reg. E Exemption For Securities Of Small Business Investment Companies (SEC1949) [Reg. E] (rev. 10/03)
Reg. M-A Mergers And Acquisitions (SEC2558) [Reg. M-A] (rev. 06/00)
Reg. S-B Integrated Disclosure System For Small Business Issuers (SEC2345) [Reg. S-B] (rev. 12/03)
Reg. S-T Part 232 - General Rules And Regulations For Electronic Filings (SEC2351) [Reg. S-T] (rev. 02/04)
Rule 13e-3 Going Private Transactions By Certain Issuers Or Their Affiliates (SEC1893) [Rule 13e-3] (rev. 11/01)
Rule 144 Persons Deemed Not To Be Engaged In A Distribution And Therefore Not Underwriters (SEC2039) [Rule 144] (rev. 01/04)
Sched. 13D Information To Be Included In Statements Filed Pursuant To Rule 13-1(a) And Amendments Thereto Filed Pursuant To Rule 13d-2(a) (SEC1746) [Sched. 13D] (rev. 11/03)
Sched. 13E-3 Rule 13e-3 Transaction Statement Under Section 13(e) Of The Securities Exchange Act Of 1934 (SEC1893A) [Sched. 13E-3] (rev. 08/03)
Sched. 13E-4F Issuer Tender Offer Statement (SEC2283) [Sched. 13E-4F] (rev. 01/04)
Sched. 13G Information To Be Included In Statements Filed Pursuant To 240.13d-1(G) And Amendments Thereto Filed Pursuant To 240.13d-2(G) (SEC1745) [Sched. 13G] (rev. 12/02)
Sched. 14A Proxy Statement Pursuant To Section 14(A) (SEC1913) [Sched. 14A] (rev. 03/04)
Sched. 14D-1F Tender Offer Statement Pursuant To Rule 14d-1(b) (SEC2296) [Sched. 14D-1F] (rev. 11/03)
Sched. 14D-9 Solicitation/Recommendation Statement Under Section 14(d)(4) Of The Securities Exchange Act Of 1934 (SEC1917) [Sched. 14D-9] (rev. 03/00)
Sched. 14D-9F Solicitation/Recommendation Statement Under Section 14(d)(4) Of The Securities Exchange Act Of 1934 And Rules 14d-1(b) And 14e-2(c) (SEC2286) [Sched. 14D-9F] (rev. 11/03)
Sched. TO Tender Offer Statement Under Section 14(d)(1) Or 13(e)(1) Of The Securities Exchange Act Of 1934 (SEC2559) [Sched. TO] (rev. 06/02)


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