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)
TA-1 Uniform form for registration as a transfer agent and for amendment to registration (PDF)

SEC1528

 Transfer Agents
TA-2 Form for reporting activities of transfer agents (PDF)

SEC2113

 Transfer Agents
TA-W Notice of withdrawal from registration as transfer agent (PDF)

SEC1669

 Transfer Agents
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