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-E Notification under Regulation E (PDF)

SEC1807

 Investment Company Act of 1940, Small Businesses, Investment Companies
2-E Report of sales pursuant to Rule 609 of Regulation E (PDF)

SEC1808

 Investment Company Act of 1940, Small Businesses, Investment Companies
24F-2 Annual notice of securities sold pursuant to Rule 24-f2 (PDF)

SEC2393

 Investment Company Act of 1940, Investment Companies
N-14 Form for the registration of securities issued in business combination transactions by investment companies and business development companies (PDF)

SEC2106

 Investment Company Act of 1940, Investment Companies
N-17D-1 Report filed by small business investment company (SBIC) (PDF)

SEC1839

 Investment Company Act of 1940, Investment Companies
N-17f-1 Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (PDF)

SEC2205

 Investment Company Act of 1940, Investment Companies
N-17f-2 Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF)

SEC2198

 Investment Company Act of 1940, Investment Companies
N-18f-1 Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF)

SEC1846

 Investment Company Act of 1940, Investment Companies
N-1A Registration form for open-end management investment companies (PDF)

SEC2052

 Investment Company Act of 1940, Investment Companies
N-2 Registration statement for closed-end management investment companies (PDF)

SEC1716

 Investment Company Act of 1940, Investment Companies
N-23c-3 Notification of repurchase offer (PDF)

SEC2380

 Investment Company Act of 1940, Investment Companies
N-27D-1 Accounting of Segregated Trust Account (PDF)

SEC1840

 Investment Company Act of 1940, Investment Companies
N-3 Registration statement of separate accounts organized as management investment companies (PDF)

SEC2124

 Investment Company Act of 1940, Investment Companies
N-4 Registration statement of separate accounts organized as unit investment trusts (PDF)

SEC2125

 Investment Company Act of 1940, Investment Companies
N-5 Registration statement of small business investment company (PDF)

SEC993

 Investment Company Act of 1940, Small Businesses, Investment Companies
N-54A Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)

SEC1937

 Investment Company Act of 1940, Investment Companies
N-54C Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)

SEC1938

 Investment Company Act of 1940, Investment Companies
N-6 Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (PDF)

SEC2567

 Investment Company Act of 1940, Investment Companies
N-6EI-1 Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF)

SEC1130

 Investment Company Act of 1940, Investment Companies
N-6F Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)

SEC1936

 Investment Company Act of 1940, Investment Companies
N-8A Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)

SEC1102

 Investment Company Act of 1940, Investment Companies
N-8B-2 Registration statement of unit investment trusts which are currently issuing securities (PDF)

SEC977

 Investment Company Act of 1940, Investment Companies
N-8B-4 Registration statement of face-amount certificate companies (PDF)

SEC1285

 Investment Company Act of 1940, Investment Companies
N-8F Application for deregistration of certain registered investment companies (PDF)

SEC1691

 Investment Company Act of 1940, Investment Companies
N-CEN Annual Report for Registered Investment Companies (PDF)

SEC 2846

 Investment Company Act of 1940, Investment Companies
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