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SEC Form Filings JSON
Raw
sec_forms.json
[
{
"form": "1",
"description": "Application for registration or exemption from registration as a national securities exchange (PDF)",
"last_updated": "Feb 1999",
"sec_number": "SEC1935",
"topics": [
"Self-Regulatory Organizations"
]
},
{
"form": "1-A",
"description": "Regulation A Offering Statement (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC486",
"topics": [
"Securities Act of 1933",
"Small Businesses"
]
},
{
"form": "1-E",
"description": "Notification under Regulation E (PDF)",
"last_updated": "Aug 2001",
"sec_number": "SEC1807",
"topics": [
"Investment Company Act of 1940",
"Small Businesses",
"Investment Companies"
]
},
{
"form": "1-K",
"description": "Annual Reports and Special Financial Reports (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC2913",
"topics": [
"Securities Act of 1933",
"Small Businesses"
]
},
{
"form": "1-N",
"description": "Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF)",
"last_updated": "Dec 2013",
"sec_number": "SEC2568",
"topics": [
"Securities Exchange Act of 1934",
"Self-Regulatory Organizations"
]
},
{
"form": "1-SA",
"description": "Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC2914",
"topics": [
"Securities Act of 1933",
"Small Businesses"
]
},
{
"form": "1-U",
"description": "Current Report Pursuant to Regulation A (PDF)",
"last_updated": "Jun 2015",
"sec_number": "SEC2915",
"topics": [
"Securities Act of 1933",
"Small Businesses"
]
},
{
"form": "1-Z",
"description": "Exit Report Under Regulation A (PDF)",
"last_updated": "Jun 2015",
"sec_number": "SEC2916",
"topics": [
"Securities Act of 1933",
"Small Businesses"
]
},
{
"form": "10",
"description": "General form for registration of securities pursuant to Section 12(b) or (g) (PDF)",
"last_updated": "Feb 2021",
"sec_number": "SEC1396",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "10-D",
"description": "Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC2503",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "10-K",
"description": "Annual report pursuant to Section 13 or 15(d) (PDF)",
"last_updated": "May 2021",
"sec_number": "SEC1673",
"topics": [
"Form 10-K",
"Securities Exchange Act of 1934"
]
},
{
"form": "10-M",
"description": "Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer (PDF)",
"last_updated": "Jun 2012",
"sec_number": "SEC878",
"topics": [
"Broker-Dealers"
]
},
{
"form": "10-Q",
"description": "General form for quarterly reports under Section 13 or 15(d) (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC1296",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "11-K",
"description": "Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (PDF)",
"last_updated": "Jan 2021",
"sec_number": "SEC617",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "12b-25",
"description": "Notification of late filing (PDF)",
"last_updated": "Jun 2019",
"sec_number": "SEC1344",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "13F",
"description": "Information required of institutional investment managers pursuant to Section 13(f) (PDF)",
"last_updated": "Jan 2012",
"sec_number": "SEC1685",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "13H",
"description": "Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 (PDF)",
"last_updated": "Nov 2011",
"sec_number": "SEC2858",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "144",
"description": "Notice of proposed sale of securities pursuant to Rule 144 (PDF)",
"last_updated": "Aug 2007",
"sec_number": "SEC1147",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "15",
"description": "Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d) (PDF)",
"last_updated": "Aug 2011",
"sec_number": "SEC2069",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "15F",
"description": "Certification of a foreign private issuer\u2019s termination of registration of a class of securities under Section 12(g) or its termination of the duty to file reports under Section 13(a) or Section 15(d) (PDF)",
"last_updated": "Jan 2014",
"sec_number": "",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "17-H",
"description": "Risk Assessment for Brokers & Dealers (PDF)",
"last_updated": "Jan 2010",
"sec_number": "SEC2332",
"topics": [
"Broker-Dealers"
]
},
{
"form": "18",
"description": "Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF)",
"last_updated": "Jan 2007",
"sec_number": "SEC1421",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "18-K",
"description": "Annual report for foreign governments and political subdivisions thereof (PDF)",
"last_updated": "Apr 2007",
"sec_number": "SEC1797",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "19b-4",
"description": "Proposed rule change by self-regulatory organization (PDF)",
"last_updated": "Jan 2013",
"sec_number": "SEC1832",
"topics": [
"Self-Regulatory Organizations"
]
},
{
"form": "19b-4(e)",
"description": "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)",
"last_updated": "Jul 2013",
"sec_number": "SEC2449",
"topics": [
"Self-Regulatory Organizations"
]
},
{
"form": "19b-7",
"description": "Proposed rule change by self-regulatory organization (PDF)",
"last_updated": "Jul 2007",
"sec_number": "SEC2450",
"topics": [
"Self-Regulatory Organizations"
]
},
{
"form": "2-E",
"description": "Report of sales pursuant to Rule 609 of Regulation E (PDF)",
"last_updated": "Oct 2006",
"sec_number": "SEC1808",
"topics": [
"Investment Company Act of 1940",
"Small Businesses",
"Investment Companies"
]
},
{
"form": "20-F",
"description": "Registration statement / Annual report / Transition report (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC1852",
"topics": [
"Securities Exchange Act of 1934",
"International"
]
},
{
"form": "24F-2",
"description": "Annual notice of securities sold pursuant to Rule 24-f2 (PDF)",
"last_updated": "Jan 2022",
"sec_number": "SEC2393",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "25",
"description": "Notification of the removal from listing and registration of matured, redeemed or retired securities (PDF)",
"last_updated": "Mar 2006",
"sec_number": "SEC1654",
"topics": [
"Self-Regulatory Organizations"
]
},
{
"form": "3",
"description": "Initial statement of beneficial ownership of securities (PDF)",
"last_updated": "Nov 2011",
"sec_number": "SEC1473",
"topics": [
"Directors",
"Officers",
"Securities Exchange Act of 1934",
"Significant Shareholders"
]
},
{
"form": "3",
"description": "Initial statement of beneficial ownership of securities -\u0097 general instructions (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC1472",
"topics": [
"Directors",
"Officers",
"Securities Exchange Act of 1934",
"Significant Shareholders"
]
},
{
"form": "4",
"description": "Statement of changes in beneficial ownership of securities (PDF)",
"last_updated": "Nov 2011",
"sec_number": "SEC1474",
"topics": [
"Directors",
"Officers",
"Securities Exchange Act of 1934",
"Significant Shareholders"
]
},
{
"form": "4",
"description": "Statement of changes in beneficial ownership of securities \u0097- general instructions (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC1475",
"topics": [
"Directors",
"Officers",
"Securities Exchange Act of 1934",
"Significant Shareholders"
]
},
{
"form": "40-F",
"description": "Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (PDF)",
"last_updated": "May 2021",
"sec_number": "SEC2285",
"topics": [
"Securities Exchange Act of 1934",
"International"
]
},
{
"form": "5",
"description": "Annual statement of changes in beneficial ownership of securities (PDF)",
"last_updated": "Nov 2011",
"sec_number": "SEC2270T",
"topics": [
"Directors",
"Officers",
"Securities Exchange Act of 1934",
"Significant Shareholders"
]
},
{
"form": "5",
"description": "Annual statement of changes in beneficial ownership of securities -\u0097 general instructions (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC2270",
"topics": [
"Directors",
"Officers",
"Securities Exchange Act of 1934",
"Significant Shareholders"
]
},
{
"form": "6-K",
"description": "Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (PDF)",
"last_updated": "Sep 2018",
"sec_number": "SEC1815",
"topics": [
"Securities Exchange Act of 1934",
"International"
]
},
{
"form": "7-M",
"description": "Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (PDF)",
"last_updated": "Jun 2012",
"sec_number": "SEC876",
"topics": [
"Broker-Dealers"
]
},
{
"form": "8-A",
"description": "Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC1922",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "8-K",
"description": "Current report pursuant to Section 13 or 15(d) (PDF)",
"last_updated": "Feb 2021",
"sec_number": "SEC873",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "8-M",
"description": "Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (PDF)",
"last_updated": "Jun 2012",
"sec_number": "SEC877",
"topics": [
"Broker-Dealers"
]
},
{
"form": "9-M",
"description": "Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer (PDF)",
"last_updated": "Jun 2012",
"sec_number": "SEC878",
"topics": [
"Broker-Dealers"
]
},
{
"form": "ABS DD-15E",
"description": "Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities (PDF)",
"last_updated": "Jun 2015",
"sec_number": "SEC2917",
"topics": [
"Form ABS Due Diligence-15E",
"Securities Exchange Act of 1934"
]
},
{
"form": "ABS-15G",
"description": "Asset-Backed Securitizer Report (PDF)",
"last_updated": "Jun 2015",
"sec_number": "SEC2860",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "ABS-EE",
"description": "Form for Submission of Electronic Exhibits for Asset-Backed Securities (PDF)",
"last_updated": "Nov 2014",
"sec_number": "SEC2910",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "ADV",
"description": "Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF)",
"last_updated": "Aug 2022",
"sec_number": "SEC1707",
"topics": [
"Investment Advisers Act of 1940",
"Investment Advisers"
]
},
{
"form": "ADV-E",
"description": "Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (PDF)",
"last_updated": "Jan 2013",
"sec_number": "SEC2223",
"topics": [
"Investment Advisers Act of 1940",
"Investment Advisers"
]
},
{
"form": "ADV-H",
"description": "Application for a temporary or continuing hardship exemption (PDF)",
"last_updated": "Sep 2011",
"sec_number": "SEC2566",
"topics": [
"Investment Advisers Act of 1940",
"Investment Advisers"
]
},
{
"form": "ADV-NR",
"description": "Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (PDF)",
"last_updated": "Aug 2022",
"sec_number": "SEC2565",
"topics": [
"Investment Advisers Act of 1940",
"Investment Advisers"
]
},
{
"form": "ADV-W",
"description": "Notice of withdrawal from registration as investment adviser (PDF)",
"last_updated": "Jul 2017",
"sec_number": "SEC777",
"topics": [
"Investment Advisers Act of 1940",
"Investment Advisers"
]
},
{
"form": "ATS",
"description": "Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC2550",
"topics": [
"Alternative Trading Systems"
]
},
{
"form": "ATS-N",
"description": "NMS Stock Alternative Trading Systems (PDF)",
"last_updated": "Sep 2021",
"sec_number": "",
"topics": [
"Alternative Trading Systems"
]
},
{
"form": "ATS-R",
"description": "Quarterly report of alternative trading systems activities (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC2551",
"topics": [
"Alternative Trading Systems"
]
},
{
"form": "BD",
"description": "Uniform application for broker-dealer registration (PDF)",
"last_updated": "Jan 2008",
"sec_number": "SEC1490",
"topics": [
"Broker-Dealers"
]
},
{
"form": "BD-N",
"description": "Notice of registration as a broker-dealer for the purpose of trading security futures products pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 (PDF)",
"last_updated": "Jan 2008",
"sec_number": "SEC1500",
"topics": [
"Broker-Dealers"
]
},
{
"form": "BDW",
"description": "Uniform request for broker-dealer withdrawal (PDF)",
"last_updated": "Apr 2007",
"sec_number": "SEC122",
"topics": [
"Broker-Dealers"
]
},
{
"form": "C",
"description": "Form C (PDF)",
"last_updated": "Mar 2021",
"sec_number": "SEC 2930",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "CA-1",
"description": "Registration or exemption from registration as a clearing agency and for amendment to registration (PDF)",
"last_updated": "Feb 2009",
"sec_number": "SEC1853",
"topics": [
"Clearing Agencies"
]
},
{
"form": "CB",
"description": "Tender offer/rights offering notification form (PDF)",
"last_updated": "Dec 2008",
"sec_number": "SEC2560",
"topics": [
"Proxy and Tender Offer",
"Securities Act of 1933",
"Securities Exchange Act of 1934"
]
},
{
"form": "CFPORTAL",
"description": "Application or Amendment to Application for Registration or Withdrawal from Registration as Funding Portal Under the Securities Exchange Act of 1934 (PDF)",
"last_updated": "May 2018",
"sec_number": "",
"topics": [
"Funding Portal",
"Securities Exchange Act of 1934"
]
},
{
"form": "CRS",
"description": "Customer Relationship Summary (PDF)",
"last_updated": "May 2020",
"sec_number": "SEC 2942",
"topics": [
"Securities Exchange Act of 1934",
"Broker-Dealers"
]
},
{
"form": "CUSTODY",
"description": "Form Custody for Broker-Dealers (PDF)",
"last_updated": "Dec 2013",
"sec_number": "SEC2897",
"topics": [
"Securities Exchange Act of 1934",
"Broker-Dealers"
]
},
{
"form": "D",
"description": "Notice of Exempt Offering of Securities",
"last_updated": "May 2017",
"sec_number": "SEC1972",
"topics": [
"Securities Act of 1933",
"Small Businesses"
]
},
{
"form": "F-1",
"description": "Registration statement for securities of certain foreign private issuers (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC1981",
"topics": [
"Securities Act of 1933",
"International"
]
},
{
"form": "F-10",
"description": "Registration statement for securities of certain Canadian issuers (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC2292",
"topics": [
"Securities Act of 1933",
"International"
]
},
{
"form": "F-3",
"description": "Registration statement for securities of certain foreign private issuers (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC1983",
"topics": [
"Securities Act of 1933",
"International"
]
},
{
"form": "F-4",
"description": "Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (PDF)",
"last_updated": "Feb 2021",
"sec_number": "SEC2078",
"topics": [
"Securities Act of 1933",
"International"
]
},
{
"form": "F-6",
"description": "Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (PDF)",
"last_updated": "Nov 2018",
"sec_number": "SEC2001",
"topics": [
"Securities Act of 1933",
"International"
]
},
{
"form": "F-7",
"description": "Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC2289",
"topics": [
"Securities Act of 1933",
"International"
]
},
{
"form": "F-8",
"description": "Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC2290",
"topics": [
"Securities Act of 1933",
"International"
]
},
{
"form": "F-80",
"description": "Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC2282",
"topics": [
"Securities Act of 1933",
"International"
]
},
{
"form": "F-N",
"description": "Appointment of agent for service of process by foreign banks and foreign insurance companies (PDF)",
"last_updated": "Oct 2006",
"sec_number": "SEC2306",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "F-X",
"description": "Appointment of agent for service of process and undertaking (PDF)",
"last_updated": "Jan 2013",
"sec_number": "SEC2288",
"topics": [
"Securities Act of 1933",
"International"
]
},
{
"form": "ID",
"description": "Uniform application for access codes to file on EDGAR",
"last_updated": "Mar 2018",
"sec_number": "SEC2084",
"topics": [
"Securities Act of 1933",
"Securities Exchange Act of 1934",
"EDGAR Filers"
]
},
{
"form": "MA",
"description": "Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration (PDF)",
"last_updated": "Apr 2014",
"sec_number": "SEC2898",
"topics": [
"Securities Exchange Act of 1934",
"Municipal Advisors"
]
},
{
"form": "MA",
"description": "Instructions for the Form MA Series (PDF)",
"last_updated": "Sep 2013",
"sec_number": "",
"topics": [
"Securities Exchange Act of 1934",
"Municipal Advisors"
]
},
{
"form": "MA-I",
"description": "Information Regarding Natural Persons who Engage in Municipal Advisory Activities (PDF)",
"last_updated": "Apr 2017",
"sec_number": "SEC2899",
"topics": [
"Securities Exchange Act of 1934",
"Municipal Advisors"
]
},
{
"form": "MA-NR",
"description": "Designation of U.S. Agent for Service of Process for Non-Residents (PDF)",
"last_updated": "Apr 2014",
"sec_number": "SEC2900",
"topics": [
"Securities Exchange Act of 1934",
"Municipal Advisors"
]
},
{
"form": "MA-W",
"description": "Notice of Withdrawal from Registration as a Municipal Advisor (PDF)",
"last_updated": "Apr 2014",
"sec_number": "SEC2901",
"topics": [
"Securities Exchange Act of 1934",
"Municipal Advisors"
]
},
{
"form": "MSD",
"description": "Application for registration as a municipal securities dealer or amendment to such application (PDF)",
"last_updated": "May 2018",
"sec_number": "SEC1534",
"topics": [
"Municipal Securities"
]
},
{
"form": "MSDW",
"description": "Notice of withdrawal from registration as a municipal securities dealer (PDF)",
"last_updated": "Dec 2013",
"sec_number": "SEC1588",
"topics": [
"Municipal Securities"
]
},
{
"form": "N-14",
"description": "Form for the registration of securities issued in business combination transactions by investment companies and business development companies (PDF)",
"last_updated": "Mar 2022",
"sec_number": "SEC2106",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-17D-1",
"description": "Report filed by small business investment company (SBIC) (PDF)",
"last_updated": "Aug 2005",
"sec_number": "SEC1839",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-17f-1",
"description": "Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (PDF)",
"last_updated": "Nov 2003",
"sec_number": "SEC2205",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-17f-2",
"description": "Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF)",
"last_updated": "Apr 2009",
"sec_number": "SEC2198",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-18f-1",
"description": "Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF)",
"last_updated": "Jan 2012",
"sec_number": "SEC1846",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-1A",
"description": "Registration form for open-end management investment companies (PDF)",
"last_updated": "Apr 2022",
"sec_number": "SEC2052",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-2",
"description": "Registration statement for closed-end management investment companies (PDF)",
"last_updated": "Aug 2022",
"sec_number": "SEC1716",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-23c-3",
"description": "Notification of repurchase offer (PDF)",
"last_updated": "Oct 2003",
"sec_number": "SEC2380",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-27D-1",
"description": "Accounting of Segregated Trust Account (PDF)",
"last_updated": "Apr 2014",
"sec_number": "SEC1840",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-3",
"description": "Registration statement of separate accounts organized as management investment companies (PDF)",
"last_updated": "Apr 2022",
"sec_number": "SEC2124",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-4",
"description": "Registration statement of separate accounts organized as unit investment trusts (PDF)",
"last_updated": "Jan 2022",
"sec_number": "SEC2125",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-5",
"description": "Registration statement of small business investment company (PDF)",
"last_updated": "Apr 2022",
"sec_number": "SEC993",
"topics": [
"Investment Company Act of 1940",
"Small Businesses",
"Investment Companies"
]
},
{
"form": "N-54A",
"description": "Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)",
"last_updated": "Oct 2003",
"sec_number": "SEC1937",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-54C",
"description": "Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)",
"last_updated": "Mar 2001",
"sec_number": "SEC1938",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-6",
"description": "Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (PDF)",
"last_updated": "Jan 2022",
"sec_number": "SEC2567",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-6EI-1",
"description": "Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF)",
"last_updated": "Mar 2003",
"sec_number": "SEC1130",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-6F",
"description": "Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)",
"last_updated": "Mar 2001",
"sec_number": "SEC1936",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-8A",
"description": "Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)",
"last_updated": "Dec 2001",
"sec_number": "SEC1102",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-8B-2",
"description": "Registration statement of unit investment trusts which are currently issuing securities (PDF)",
"last_updated": "Apr 2021",
"sec_number": "SEC977",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-8B-4",
"description": "Registration statement of face-amount certificate companies (PDF)",
"last_updated": "Nov 2005",
"sec_number": "SEC1285",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-8F",
"description": "Application for deregistration of certain registered investment companies (PDF)",
"last_updated": "Sep 2010",
"sec_number": "SEC1691",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-CEN",
"description": "Annual Report for Registered Investment Companies (PDF)",
"last_updated": "Aug 2022",
"sec_number": "SEC 2846",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-CR",
"description": "Current Report, Money Market Fund Material Events (PDF)",
"last_updated": "Jan 2015",
"sec_number": "SEC2918",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-CSR",
"description": "Certified shareholder report of registered management investment companies (PDF)",
"last_updated": "Jan 2022",
"sec_number": "SEC2569",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-MFP",
"description": "Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF)",
"last_updated": "Apr 2022",
"sec_number": "SEC2847",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-PORT",
"description": "Monthly Portfolio Investments Report (PDF)",
"last_updated": "Aug 2022",
"sec_number": "SEC 2940",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-PX",
"description": "Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)",
"last_updated": "Apr 2022",
"sec_number": "SEC2451",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-Q",
"description": "Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (PDF)",
"last_updated": "Aug 2005",
"sec_number": "SEC2455",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "N-RN",
"description": "Current Report For Registered Management Investment Companies and Business Development Companies (PDF)",
"last_updated": "Aug 2022",
"sec_number": "SEC 2941",
"topics": [
"Investment Company Act of 1940",
"Investment Companies"
]
},
{
"form": "n/a",
"description": "Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC1662",
"topics": [
"Other Forms and Materials"
]
},
{
"form": "n/a",
"description": "Industry Guides (PDF)",
"last_updated": "May 2008",
"sec_number": "SEC2056",
"topics": [
"Other Forms and Materials"
]
},
{
"form": "n/a",
"description": "Notice on Supplying Information Voluntarily (PDF)",
"last_updated": "Aug 2017",
"sec_number": "SEC2405",
"topics": [
"Other Forms and Materials"
]
},
{
"form": "n/a",
"description": "Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commission\u0092s Examination Staff (PDF)",
"last_updated": "Apr 2016",
"sec_number": "SEC2866",
"topics": [
"Other Forms and Materials"
]
},
{
"form": "n/a",
"description": "Supplemental Information for Persons Requested to Supply Information Voluntarily to the Office of Credit Ratings\u2019Monitoring Staff (PDF)",
"last_updated": "Sep 2014",
"sec_number": "SEC2903",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "n/a",
"description": "Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC1661",
"topics": [
"Other Forms and Materials"
]
},
{
"form": "NRSRO",
"description": "Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (PDF)",
"last_updated": "Apr 2015",
"sec_number": "SEC1541",
"topics": [
"NRSRO"
]
},
{
"form": "PF",
"description": "Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF)",
"last_updated": "Jul 2014",
"sec_number": "SEC2048",
"topics": [
"Investment Advisers Act of 1940",
"Investment Advisers"
]
},
{
"form": "PILOT",
"description": "Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (PDF)",
"last_updated": "Sep 2013",
"sec_number": "SEC2552",
"topics": [
"Self-Regulatory Organizations"
]
},
{
"form": "R31",
"description": "Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (PDF)",
"last_updated": "Sep 2013",
"sec_number": "SEC2502",
"topics": [
"Securities Exchange Act of 1934",
"Self-Regulatory Organizations"
]
},
{
"form": "S-1",
"description": "Registration statement under Securities Act of 1933 (PDF)",
"last_updated": "Feb 2021",
"sec_number": "SEC870",
"topics": [
"Securities Act of 1933",
"Small Businesses"
]
},
{
"form": "S-11",
"description": "Registration of securities of certain real estate companies (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC907",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "S-20",
"description": "Registration statement under the Securities Act of 1933 (PDF)",
"last_updated": "Feb 2021",
"sec_number": "SEC2013",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "S-3",
"description": "Registration statement under Securities Act of 1933 (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC1379",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "S-4",
"description": "Registration statement under Securities Act of 1933 (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC2077",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "S-6",
"description": "Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (PDF)",
"last_updated": "Apr 2021",
"sec_number": "SEC649",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "S-8",
"description": "Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (PDF)",
"last_updated": "Sep 2018",
"sec_number": "SEC1398",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "SBSE",
"description": "Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)",
"last_updated": "Sep 2019",
"sec_number": "SEC2924",
"topics": [
"Dodd-Frank Act of 2010",
"Securities Exchange Act of 1934"
]
},
{
"form": "SBSE-A",
"description": "Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer (PDF)",
"last_updated": "Sep 2019",
"sec_number": "SEC2925",
"topics": [
"Dodd-Frank Act of 2010",
"Securities Exchange Act of 1934"
]
},
{
"form": "SBSE-BD",
"description": "Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers (PDF)",
"last_updated": "Sep 2019",
"sec_number": "SEC2926",
"topics": [
"Dodd-Frank Act of 2010",
"Securities Exchange Act of 1934"
]
},
{
"form": "SBSE-C",
"description": "Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)",
"last_updated": "Jan 2016",
"sec_number": "SEC2927",
"topics": [
"Dodd-Frank Act of 2010",
"Securities Exchange Act of 1934"
]
},
{
"form": "SBSE-W",
"description": "Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant (PDF)",
"last_updated": "Jan 2016",
"sec_number": "SEC2928",
"topics": [
"Dodd-Frank Act of 2010",
"Securities Exchange Act of 1934"
]
},
{
"form": "SCI",
"description": "Systems Compliance and Integrity (PDF)",
"last_updated": "Sep 2015",
"sec_number": "SEC 2919",
"topics": [
"Securities Exchange Act of 1934",
"Self-Regulatory Organizations",
"Clearing Agencies"
]
},
{
"form": "SD",
"description": "Specialized Disclosure Report (PDF)",
"last_updated": "Sep 2021",
"sec_number": "SEC697",
"topics": [
"Securities Exchange Act of 1934"
]
},
{
"form": "SDR",
"description": "Application or Amendment to Application for Registration or Withdrawal from Registration As Security-Based Swap Data Repository Under the Securities Exchange Act of 1934 (PDF)",
"last_updated": "Feb 2015",
"sec_number": " \tSEC2911",
"topics": [
"Dodd-Frank Act of 2010",
"SBS Data Repositories",
"Securities Exchange Act of 1934"
]
},
{
"form": "SE",
"description": "Submission of Paper Format Exhibits by Electronic Filers (PDF)",
"last_updated": "Nov 2011",
"sec_number": "SEC2082",
"topics": [
"Securities Act of 1933",
"Securities Exchange Act of 1934",
"EDGAR Filers"
]
},
{
"form": "SF-1",
"description": "Registration Statement Under the Securities Act of 1933 (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC2908",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "SF-3",
"description": "Registration Statement Under the Securities Act of 1933 (PDF)",
"last_updated": "May 2019",
"sec_number": "SEC2909",
"topics": [
"Securities Act of 1933"
]
},
{
"form": "SIP",
"description": "Application or amendment to application for registration as securities infomation processor (PDF)",
"last_updated": "Mar 2014",
"sec_number": "SEC1939",
"topics": [
"Other Forms and Materials"
]
},
{
"form": "T-1",
"description": "Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees (PDF)",
"last_updated": "Jan 2007",
"sec_number": "SEC1836",
"topics": [
"Trust Indenture Act of 1939"
]
},
{
"form": "T-2",
"description": "Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee (PDF)",
"last_updated": "Jan 2007",
"sec_number": "SEC1849",
"topics": [
"Trust Indenture Act of 1939"
]
},
{
"form": "T-3",
"description": "For applications for qualification of indentures under the Trust Indenture Act of 1939 (PDF)",
"last_updated": "Jan 2007",
"sec_number": "SEC1919",
"topics": [
"Trust Indenture Act of 1939"
]
},
{
"form": "T-4",
"description": "Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (PDF)",
"last_updated": "Jan 2007",
"sec_number": "SEC1920",
"topics": [
"Trust Indenture Act of 1939"
]
},
{
"form": "T-6",
"description": "Application under Section 310(a)(1) of the Trust Indenture Act of 1939 for determination of eligibility of a foreign personal to act as institutional trustee (PDF)",
"last_updated": "Jan 2007",
"sec_number": "SEC2275",
"topics": [
"Trust Indenture Act of 1939"
]
},
{
"form": "TA-1",
"description": "Uniform form for registration as a transfer agent and for amendment to registration (PDF)",
"last_updated": "Dec 2006",
"sec_number": "SEC1528",
"topics": [
"Transfer Agents"
]
},
{
"form": "TA-2",
"description": "Form for reporting activities of transfer agents (PDF)",
"last_updated": "Aug 2012",
"sec_number": "SEC2113",
"topics": [
"Transfer Agents"
]
},
{
"form": "TA-W",
"description": "Notice of withdrawal from registration as transfer agent (PDF)",
"last_updated": "Dec 2006",
"sec_number": "SEC1669",
"topics": [
"Transfer Agents"
]
},
{
"form": "TCR",
"description": "Tip, Complaint, or Referral (PDF)",
"last_updated": "Aug 2011",
"sec_number": "SEC2850",
"topics": [
"Tips Complaints and Referrals",
"Whistleblower"
]
},
{
"form": "TH",
"description": "Notification of Reliance on Temporary Hardship Exemption (PDF)",
"last_updated": "Jul 2006",
"sec_number": "SEC2348",
"topics": [
"Securities Act of 1933",
"Securities Exchange Act of 1934",
"EDGAR Filers"
]
},
{
"form": "WB-APP",
"description": "Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (PDF)",
"last_updated": "Aug 2011",
"sec_number": "SEC2851",
"topics": [
"Tips Complaints and Referrals",
"Whistleblower"
]
},
{
"form": "X-17A-19",
"description": "Report of Change in Membership Status (PDF)",
"last_updated": "Jul 2001",
"sec_number": "SEC1414",
"topics": [
"Self-Regulatory Organizations"
]
},
{
"form": "X-17A-5 Part I",
"description": "FOCUS Report, Part I (PDF)",
"last_updated": "Apr 2003",
"sec_number": "SEC1705",
"topics": [
"Security-Based Swap Entities",
"Broker-Dealers"
]
},
{
"form": "X-17A-5 Part II",
"description": "FOCUS Report, Part II Instructions (PDF)",
"last_updated": "Oct 2021",
"sec_number": "SEC1695A",
"topics": [
"Security-Based Swap Entities",
"Broker-Dealers"
]
},
{
"form": "X-17A-5 Part II",
"description": "FOCUS Report, Part II (PDF)",
"last_updated": "Oct 2021",
"sec_number": "SEC1695",
"topics": [
"Security-Based Swap Entities",
"Broker-Dealers"
]
},
{
"form": "X-17A-5 Part IIA",
"description": "FOCUS Report Part IIa Instructions (PDF)",
"last_updated": "Nov 2018",
"sec_number": "SEC1696A",
"topics": [
"Security-Based Swap Entities",
"Broker-Dealers"
]
},
{
"form": "X-17A-5 Part IIA",
"description": "FOCUS Report Part IIa (PDF)",
"last_updated": "Nov 2018",
"sec_number": "SEC1696",
"topics": [
"Security-Based Swap Entities",
"Broker-Dealers"
]
},
{
"form": "X-17A-5 Part IIC",
"description": "FOCUS Report, Part IIC (PDF)",
"last_updated": "Oct 2021",
"sec_number": "",
"topics": [
"Security-Based Swap Entities"
]
},
{
"form": "X-17A-5 Part IIC",
"description": "FOCUS Report, Part IIC Instructions (PDF)",
"last_updated": "Oct 2021",
"sec_number": "",
"topics": [
"Security-Based Swap Entities"
]
},
{
"form": "X-17A-5 Part III",
"description": "FOCUS Report Part III (PDF)",
"last_updated": "Oct 2021",
"sec_number": "SEC1410",
"topics": [
"Security-Based Swap Entities",
"Broker-Dealers"
]
},
{
"form": "X-17A-5 Schedule I",
"description": "Information Required of All Brokers and Dealers Pursuant to Rule 17a-5 (PDF)",
"last_updated": "May 2013",
"sec_number": "SEC1675",
"topics": [
"Security-Based Swap Entities",
"Broker-Dealers"
]
},
{
"form": "X-17F-1A",
"description": "Missing/Lost/Stolen/Counterfeit Securities Report (PDF)",
"last_updated": "May 2001",
"sec_number": "SEC1666",
"topics": [
"Broker-Dealers"
]
}
]
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