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-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-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-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
2-E Report of sales pursuant to Rule 609 of Regulation E (PDF)

SEC1808

 Investment Company Act of 1940, Small Businesses, Investment Companies
C Form C (PDF)

SEC 2930

 Securities Act of 1933, Small Businesses
D Notice of Exempt Offering of Securities

SEC1972

 Securities Act of 1933, Small Businesses
N-5 Registration statement of small business investment company (PDF)

SEC993

 Investment Company Act of 1940, Small Businesses, Investment Companies
S-1 Registration statement under Securities Act of 1933 (PDF)

SEC870

 Securities Act of 1933, Public Companies, Small Businesses
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