Forms Index

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.

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Number Description Last Updated SEC Number Topic(s)
Examination Brochure: Information about Examinations (PDF)

SEC 2389
DISCLAIMER: This version of Form N-PX is effective July 1, 2024. DO NOT USE UNTIL JULY 1, 2024. Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)
1 Application for registration or exemption from registration as a national securities exchange (PDF)

SEC1935

 Self-Regulatory Organizations
1-A Regulation A Offering Statement (PDF)

SEC486

 Securities Act of 1933, Small Businesses
1-E Notification under Regulation E (PDF)

SEC1807

 Investment Company Act of 1940, Small Businesses, Investment Companies
1-E Notification under Regulation E (PDF)

SEC1807

 Investment Company Act of 1940, Small Businesses, Investment Companies
1-K Annual Reports and Special Financial Reports (PDF)

SEC2913

 Securities Act of 1933, Small Businesses
1-N Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF)

SEC2568

 Securities Exchange Act of 1934, Self-Regulatory Organizations, Small Businesses
1-N Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF)

SEC2568

 Securities Exchange Act of 1934, Self-Regulatory Organizations, Small Businesses
1-SA Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF)

SEC2914

 Securities Act of 1933, Small Businesses
1-U Current Report Pursuant to Regulation A (PDF)

SEC2915

 Securities Act of 1933, Small Businesses
1-Z Exit Report Under Regulation A (PDF)

SEC2916

 Securities Act of 1933, Small Businesses
10 General form for registration of securities pursuant to Section 12(b) or (g) (PDF)

SEC1396

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

SEC2503

 Securities Exchange Act of 1934
10-K Annual report pursuant to Section 13 or 15(d) (PDF)

SEC1673

 Form 10-K, Securities Exchange Act of 1934, Public Companies
10-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer (PDF)

SEC878

 Broker-Dealers
10-Q General form for quarterly reports under Section 13 or 15(d) (PDF)

SEC1296

 Securities Exchange Act of 1934, Public Companies
11-K Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (PDF)

SEC617

 Securities Exchange Act of 1934, Public Companies
12b-25 Notification of late filing (PDF)

SEC1344

 Securities Exchange Act of 1934, Public Companies
13F Information required of institutional investment managers pursuant to Section 13(f) (PDF)

SEC1685

 Securities Exchange Act of 1934
13H Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 (PDF)

SEC2858

 Securities Exchange Act of 1934
144 Notice of proposed sale of securities pursuant to Rule 144 (PDF)

SEC1147

 Securities Act of 1933, Investors
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)

SEC2069

 Securities Exchange Act of 1934
15F 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)
Securities Exchange Act of 1934
17-H Risk Assessment for Brokers & Dealers (PDF)

SEC2332

 Broker-Dealers
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