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)
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
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-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
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
18 Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF)

SEC1421

 Securities Exchange Act of 1934, International
18-K Annual report for foreign governments and political subdivisions thereof (PDF)

SEC1797

 Securities Exchange Act of 1934, International
20-F Registration statement / Annual report / Transition report (PDF)

SEC1852

 Securities Exchange Act of 1934, Public Companies, International
3 Initial statement of beneficial ownership of securities (PDF)

SEC1473

 Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
3 Initial statement of beneficial ownership of securities -— general instructions (PDF)

SEC1472

 Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
4 Statement of changes in beneficial ownership of securities (PDF)

SEC1474

 Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
40-F Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (PDF)

SEC2285

 Securities Exchange Act of 1934, Public Companies, International
5 Annual statement of changes in beneficial ownership of securities (PDF)

SEC2270T

 Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
6-K Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (PDF)

SEC1815

 Securities Exchange Act of 1934, Public Companies, International
8-A Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF)

SEC1922

 Securities Exchange Act of 1934, Public Companies
8-K Current report pursuant to Section 13 or 15(d) (PDF)

SEC873

 Securities Exchange Act of 1934, Public Companies
ABS DD-15E Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities (PDF)

SEC2917

 Form ABS Due Diligence-15E, Securities Exchange Act of 1934
ABS-15G Asset-Backed Securitizer Report (PDF)

SEC2860

 Securities Exchange Act of 1934
CB Tender offer/rights offering notification form (PDF)

SEC2560

 Proxy and Tender Offer, Securities Act of 1933, Securities Exchange Act of 1934
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