SEC Forms List

Available SEC Forms

1Application for registration or exemption from registration as a national securities exchange (pdf) 
1-ARegulation A Offering Statement (pdf) 
1-ENotification under Regulation E (pdf) 
1-NForm and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (pdf) 
10General form for registration of securities pursuant to Section 12(b) or (g) (pdf) 
10-DAsset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (pdf) 
10-KAnnual report pursuant to Section 13 or 15(d) (pdf) 
10-MIrrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer (pdf) 
10-QGeneral form for quarterly reports under Section 13 or 15(d) (pdf) 
11-KAnnual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (pdf) 
12b-25Notification of late filing (pdf) 
13FInformation required of institutional investment managers pursuant to Section 13(f) (pdf) 
13HInformation Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 (pdf) 
144Notice of proposed sale of securities pursuant to Rule 144 (pdf) 
15Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d) (pdf) 
15FCertification of a Foreign Private Issuer’s 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-HRisk Assessment for Brokers & Dealers (pdf) 
18Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (pdf) 
18-KAnnual report for foreign governments and political subdivisions thereof (pdf) 
19b-4Proposed 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-7Proposed rule change by self-regulatory organization (pdf) 
2-AReport of sales and use of proceeds pursuant to Rule 257 of Regulation A (pdf) 
2-EReport of sales pursuant to Rule 609 of Regulation E (pdf) 
20-FRegistration statement / Annual report / Transition report (pdf) 
24F-2Annual notice of securities sold pursuant to Rule 24-f2 (pdf) 
25Notification of the removal from listing and registration of matured, redeemed or retired securities (pdf) 
3Initial statement of beneficial ownership of securities (pdf) 
3Initial statement of beneficial ownership of securities -— general instructions (pdf) 
4Statement of changes in beneficial ownership of securities (pdf) 
4Statement of changes in beneficial ownership of securities —- general instructions (pdf) 
40-FRegistration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (pdf) 
5Annual statement of changes in beneficial ownership of securities (pdf) 
5Annual statement of changes in beneficial ownership of securities -— general instructions (pdf) 
6-KReport of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (pdf) 
7-MIrrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (pdf) 
8-ARegistration of certain classes of securities pursuant to Section 12(b) or (g) (pdf) 
8-KCurrent report pursuant to Section 13 or 15(d) (pdf) 
8-MIrrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (pdf) 
9-MIrrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer (pdf) 
ABS-15GAsset-Backed Securitizer Report (pdf) 
ADVUniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (pdf) 
ADV-ECertificate of accounting of client securities and funds in the possession or custody of an investment adviser (pdf) 
ADV-HApplication for a temporary or continuing hardship exemption (pdf) 
ADV-NRAppointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (pdf) 
ADV-WNotice of withdrawal from registration as investment adviser (pdf) 
ATSInitial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (pdf) 
ATS-RQuarterly report of alternative trading systems activities (pdf) 
BDUniform application for broker-dealer registration (pdf) 
BD-NNotice 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) 
BDWUniform request for broker-dealer withdrawal (pdf) 
CA-1Registration or exemption from registration as a clearing agency and for amendment to registration (pdf) 
CBTender offer/rights offering notification form (pdf) 
DNotice of Exempt Offering of Securities 
F-1Registration statement for securities of certain foreign private issuers (pdf) 
F-10Registration statement for securities of certain Canadian issuers (pdf) 
F-3Registration statement for securities of certain foreign private issuers (pdf) 
F-4Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (pdf) 
F-6Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (pdf) 
F-7Registration 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-8Registration 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-80Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (pdf) 
F-NAppointment of agent for service of process by foreign banks and foreign insurance companies (pdf) 
F-XAppointment of agent for service of process and undertaking (pdf) 
IDUniform application for access codes to file on EDGAR 
MAApplication for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration (pdf) 
MAInstructions for the Form MA Series (pdf) 
MA-IInformation Regarding Natural Persons who Engage in Municipal Advisory Activities (pdf) 
MA-NRDesignation of U.S. Agent for Service of Process for Non-Residents (pdf) 
MA-TMunicipal Advisor Registration Form
MA-WNotice of Withdrawal from Registration as a Municipal Advisor (pdf) 
MSDApplication for registration as a municipal securities dealer or amendment to such application (pdf) 
MSDWNotice of withdrawal from registration as a municipal securities dealer (pdf) 
N-14Form for the registration of securities issued in business combination transactions by investment companies and business development companies (pdf) 
N-17D-1Report filed by small business investment company (SBIC) (pdf) 
N-17f-1Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (pdf)
N-17f-2Certificate of accounting of securities and similar investments in the custody of management investment companies (pdf) 
N-18f-1Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (pdf) 
N-1ARegistration form for open-end management investment companies (pdf) 
N-2Registration statement for closed-end management investment companies (pdf) 
N-23c-3Notification of repurchase offer (pdf) 
N-27D-1Accounting of Segregated Trust Account (pdf) 
N-3Registration statement of separate accounts organized as management investment companies (pdf) 
N-4Registration statement of separate accounts organized as unit investment trusts (pdf) 
N-5Registration statement of small business investment company (pdf) 
N-54ANotification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (pdf) 
N-54CNotification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (pdf) 
N-6Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (pdf) 
N-6EI-1Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (pdf) 
N-6FNotice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (pdf) 
N-8ANotification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (pdf) 
N-8B-2Registration statement of unit investment trusts which are currently issuing securities (pdf) 
N-8B-4Registration statement of face-amount certificate companies (pdf) 
N-8FApplication for deregistration of certain registered investment companies (pdf) 
N-CSRCertified shareholder report of registered management investment companies (pdf) 
N-MFPMonthly Schedule of Portfolio Holdings of Money Market Funds (pdf) 
N-PXAnnual Report of Proxy Voting Record of Registered Management Investment Company (pdf) 
N-QQuarterly Schedule of Portfolio Holdings of Registered Management Investment Company (pdf) 
N-SARSemi-annual report of registered investment companies (pdf) 
n/aSupplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (pdf) 
n/aIndustry Guides (pdf) 
n/aNotice on Supplying Information Voluntarily (pdf) 
n/aSupplemental Information for Persons Requested to Supply Information Voluntarily to the Commission’s Examination Staff (pdf) 
n/aSupplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena (pdf) 
NRSROApplication for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (pdf) 
PFReporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (pdf) 
PILOTInitial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (pdf) 
R31Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (pdf) 
S-1Registration statement under Securities Act of 1933 (pdf) 
S-11Registration of securities of certain real estate companies (pdf) 
S-20Registration statement under the Securities Act of 1933 (pdf) 
S-3Registration statement under Securities Act of 1933 (pdf) 
S-4Registration statement under Securities Act of 1933 (pdf) 
S-6Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (pdf) 
S-8Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (pdf) 
SDSpecialized Disclosure Report (pdf) 
SESubmission of Paper Format Exhibits by Electronic Filers (pdf) 
SIPApplication or amendment to application for registration as securities infomation processor (pdf) 
T-1Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees (pdf) 
T-2Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee (pdf) 
T-3For applications for qualification of indentures under the Trust Indenture Act of 1939 (pdf) 
T-4Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (pdf) 
T-6Application 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-1Uniform form for registration as a transfer agent and for amendment to registration (pdf) 
TA-2Form for reporting activities of transfer agents (pdf) 
TA-WNotice of withdrawal from registration as transfer agent (pdf) 
TCRTip, Complaint, or Referral (pdf) 
THNotification of Reliance on Temporary Hardship Exemption (pdf) 
WB-APP2Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (pdf) 
X-17A-19Report of Change in Membership Status (pdf) 
X-17A-5 Part IFOCUS Report, Part I (pdf) 
X-17A-5 Part IIFOCUS Report, Part II (pdf) 
X-17A-5 Part IIFOCUS Report, Part II Instructions (pdf) 
X-17A-5 Part IIAFOCUS Report Part IIa Instructions (pdf) 
X-17A-5 Part IIAFOCUS Report Part IIa (pdf) 
X-17A-5 Part IIBFOCUS Report, Part IIb (OTC Derivatives Dealer) (pdf) 
X-17A-5 Part IIIFOCUS 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-1AMissing/Lost/Stolen/Counterfeit Securities Report (pdf) 

For further information about this securities law blog post, please contact Brenda Hamilton, Securities Attorney at 101 Plaza Real S, Suite 202 N, Boca Raton, Florida, (561) 416-8956, by email at [email protected] or visit www.securitieslawyer101.com.   This securities law blog post is provided as a general informational service to clients and friends of Hamilton & Associates Law Group and should not be construed as, and does not constitute, legal and compliance advice on any specific matter, nor does this message create an attorney-client relationship. Please note that the prior results discussed herein do not guarantee similar outcomes.

Hamilton & Associates | Securities Lawyers
Brenda Hamilton, Securities Attorney
101 Plaza Real South, Suite 202 North
Boca Raton, Florida 33432
Telephone: (561) 416-8956
Facsimile: (561) 416-2855
www.SecuritiesLawyer101.com