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)
19b-4(e) Information required of a self-regulatory organization listing and trading a new derivative securities product pursuant to Rule 19b-4(e) under the Securities Exchange Act of 1934 (PDF)

SEC2449

 Self-Regulatory Organizations
19b-7 Proposed rule change by self-regulatory organization (PDF)

SEC2450

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

SEC1808

 Investment Company Act of 1940, Small Businesses, Investment Companies
20-F Registration statement / Annual report / Transition report (PDF)

SEC1852

 Securities Exchange Act of 1934, Public Companies, International
24F-2 Annual notice of securities sold pursuant to Rule 24-f2 (PDF)

SEC2393

 Investment Company Act of 1940, Investment Companies
25 Notification of the removal from listing and registration of matured, redeemed or retired securities (PDF)

SEC1654

 Public Companies, Self-Regulatory Organizations
3 Initial statement of beneficial ownership of securities -— general instructions (PDF)

SEC1472

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

SEC1473

 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
4 Statement of changes in beneficial ownership of securities - general instructions (PDF)

SEC1475

 Directors, Officers, Significant Shareholders
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
5 Annual statement of changes in beneficial ownership of securities - general instructions (PDF)

SEC2270

 Directors, Officers, Significant Shareholders
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
7-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (PDF)

SEC876

 Broker-Dealers
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
8-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (PDF)

SEC877

 Broker-Dealers
9-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer (PDF)

SEC878

 Broker-Dealers
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
ABS-EE Form for Submission of Electronic Exhibits for Asset-Backed Securities (PDF)

SEC2910

 Securities Act of 1933
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
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