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)
ADV Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF)

SEC1707

 Investment Advisers Act of 1940, Investment Advisers
ADV-E Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (PDF)

SEC2223

 Investment Advisers Act of 1940, Investment Advisers
ADV-H Application for a temporary or continuing hardship exemption (PDF)

SEC2566

 Investment Advisers Act of 1940, Investment Advisers
ADV-NR Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (PDF)

SEC2565

 Investment Advisers Act of 1940, Investment Advisers
ADV-W Notice of withdrawal from registration as investment adviser (PDF)

SEC777

 Investment Advisers Act of 1940, Investment Advisers
PF Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF)

SEC2048

 Investment Advisers Act of 1940, Investment Advisers
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