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.
Forms List RSS FeedNumber | Description | Last Updated | SEC Number | Topic(s) |
---|---|---|---|---|
TCR |
Tip, Complaint, or Referral (PDF)
|
SEC2850 |
Tips Complaints and Referrals, Whistleblower | |
TH |
Notification of Reliance on Temporary Hardship Exemption (PDF)
|
SEC2348 |
Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers | |
WB-APP |
Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (PDF)
|
SEC2851 |
Tips Complaints and Referrals, Whistleblower | |
X-17A-19 |
Report of Change in Membership Status (PDF)
|
SEC1414 |
Self-Regulatory Organizations | |
X-17A-5 Part I |
FOCUS Report, Part I (PDF)
|
SEC1705 |
Security-Based Swap Entities, Broker-Dealers | |
X-17A-5 Part II |
FOCUS Report, Part II Instructions (PDF)
|
SEC1695A |
Security-Based Swap Entities, Broker-Dealers | |
X-17A-5 Part II |
FOCUS Report, Part II (PDF)
|
SEC1695 |
Security-Based Swap Entities, Broker-Dealers | |
X-17A-5 Part IIA |
FOCUS Report Part IIa (PDF)
|
SEC1696 |
Security-Based Swap Entities, Broker-Dealers | |
X-17A-5 Part IIA |
FOCUS Report Part IIa Instructions (PDF)
|
SEC1696A |
Security-Based Swap Entities, Broker-Dealers | |
X-17A-5 Part IIC |
FOCUS Report, Part IIC (PDF)
|
Security-Based Swap Entities | ||
X-17A-5 Part IIC |
FOCUS Report, Part IIC Instructions (PDF)
|
Security-Based Swap Entities | ||
X-17A-5 Part III |
FOCUS Report Part III (PDF)
|
SEC1410 |
Security-Based Swap Entities, Broker-Dealers | |
X-17A-5 Schedule I |
(Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5 (PDF)
|
SEC1675 |
Security-Based Swap Entities, Broker-Dealers | |
X-17F-1A |
Missing/Lost/Stolen/Counterfeit Securities Report (PDF)
|
SEC1666 |
Broker-Dealers |