1 |
Application for registration or exemption from registration as a national securities exchange (PDF) |
Feb. 1999 |
SEC1935 |
Self-Regulatory Organizations |
1-A |
Regulation A Offering Statement (PDF) |
June 2015 |
SEC486 |
Securities Act of 1933, Small Businesses |
1-E |
Notification under Regulation E (PDF) |
Aug. 2001 |
SEC1807 |
Investment Company Act of 1940, Investment Companies, Small Businesses |
1-K |
Annual Reports and Special Financial Reports (PDF) |
June 2015 |
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) |
Dec. 2013 |
SEC2568 |
Securities Exchange Act of 1934, Self-Regulatory Organizations |
1-SA |
Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF) |
June 2015 |
SEC2914 |
Securities Act of 1933, Small Businesses |
1-U |
Current Report Pursuant to Regulation A (PDF) |
June 2015 |
SEC2915 |
Securities Act of 1933, Small Businesses |
1-Z |
Exit Report Under Regulation A (PDF) |
June 2015 |
SEC2916 |
Securities Act of 1933, Small Businesses |
2-E |
Report of sales pursuant to Rule 609 of Regulation E (PDF) |
Oct. 2006 |
SEC1808 |
Investment Company Act of 1940, Investment Companies, Small Businesses |
3 |
Initial statement of beneficial ownership of securities (PDF) |
Nov. 2011 |
SEC1473 |
Securities Exchange Act of 1934, Directors, Officers, Significant Shareholders |
3 |
Initial statement of beneficial ownership of securities - general instructions (PDF) |
Nov. 2011 |
SEC1472 |
Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers |
4 |
Statement of changes in beneficial ownership of securities (PDF) |
Nov. 2011 |
SEC1474 |
Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers |
4 |
Statement of changes in beneficial ownership of securities - general instructions (PDF) |
Nov. 2011 |
SEC1475 |
Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers |
5 |
Annual statement of changes in beneficial ownership of securities (PDF) |
Nov. 2011 |
SEC2270T |
Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers |
5 |
Annual statement of changes in beneficial ownership of securities - general instructions (PDF) |
Nov. 2011 |
SEC2270 |
Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers |
6-K |
Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (PDF) |
April 2009 |
SEC1815 |
Securities Exchange Act of 1934, International |
7-M |
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (PDF) |
June 2012 |
SEC876 |
Broker-Dealers |
8-A |
Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF) |
June 2015 |
SEC1922 |
Securities Exchange Act of 1934 |
8-K |
Current report pursuant to Section 13 or 15(d) (PDF) |
Nov. 2014 |
SEC873 |
Securities Exchange Act of 1934 |
8-M |
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (PDF) |
June 2012 |
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) |
June 2012 |
SEC878 |
Broker-Dealers |
10 |
General form for registration of securities pursuant to Section 12(b) or (g) (PDF) |
Feb. 2008 |
SEC1396 |
Securities Exchange Act of 1934 |
10-D |
Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (PDF) |
Nov. 2014 |
SEC2503 |
Securities Exchange Act of 1934 |
10-K |
Annual report pursuant to Section 13 or 15(d) (PDF) |
Nov. 2014 |
SEC1673 |
Securities Exchange Act of 1934, Form 10-K |
10-M |
Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer (PDF) |
June 2012 |
SEC878 |
Broker-Dealers |
10-Q |
General form for quarterly reports under Section 13 or 15(d) (PDF) |
Jan. 2012 |
SEC1296 |
Securities Exchange Act of 1934 |
11-K |
Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (PDF) |
Feb. 2008 |
SEC617 |
Securities Exchange Act of 1934 |
12b-25 |
Notification of late filing (PDF) |
April 2009 |
SEC1344 |
Securities Exchange Act of 1934 |
13F |
Information required of institutional investment managers pursuant to Section 13(f) (PDF) |
Jan. 2012 |
SEC1685 |
Securities Exchange Act of 1934 |
13H |
Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 (PDF) |
Nov. 2011 |
SEC2858 |
Securities Exchange Act of 1934 |
15 |
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) |
Feb. 2008 |
SEC2069 |
Securities Exchange Act of 1934 |
15F |
Certification of a Foreign Private Issuers Termination of Registration of a Class of Securities Under Section 12(G) of the Securities Exchange Act of 1934 or Its Termination of the Duty to File Reports Under Section 13(A) or Section 15(D) of the Securities Exchange Act of 1934 (PDF) |
Jan. 2014 |
|
Securities Exchange Act of 1934 |
17-H |
Risk Assessment for Brokers & Dealers (PDF) |
Jan. 2010 |
SEC2332 |
Broker-Dealers |
18 |
Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF) |
Jan. 2007 |
SEC1421 |
Securities Exchange Act of 1934 |
18-K |
Annual report for foreign governments and political subdivisions thereof (PDF) |
April 2007 |
SEC1797 |
Securities Exchange Act of 1934 |
19b-4 |
Proposed rule change by self-regulatory organization (PDF) |
Sept. 2013 |
SEC1832 |
Self-Regulatory Organizations |
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) |
July 2013 |
SEC2449 |
Self-Regulatory Organizations |
19b-7 |
Proposed rule change by self-regulatory organization (PDF) |
July 2007 |
SEC2450 |
Self-Regulatory Organizations |
20-F |
Registration statement / Annual report / Transition report (PDF) |
Jan. 2012 |
SEC1852 |
Securities Exchange Act of 1934, International |
24F-2 |
Annual notice of securities sold pursuant to Rule 24-f2 (PDF) |
June 2002 |
SEC2393 |
Investment Company Act of 1940, Investment Companies |
25 |
Notification of the removal from listing and registration of matured, redeemed or retired securities (PDF) |
March 2006 |
SEC1654 |
Self-Regulatory Organizations |
40-F |
Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (PDF) |
Jan. 2012 |
SEC2285 |
Securities Exchange Act of 1934, International |
144 |
Notice of proposed sale of securities pursuant to Rule 144 (PDF) |
Aug. 2007 |
SEC1147 |
Securities Act of 1933 |
ABS DD-15E |
Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities (PDF) |
June 2015 |
SEC2917 |
Securities Exchange Act of 1934, Form ABS Due Diligence-15E |
ABS-15G |
Asset-Backed Securitizer Report (PDF) |
June 2015 |
SEC2860 |
Securities Exchange Act of 1934 |
ABS-EE |
Form for Submission of Electronic Exhibits for Asset-Backed Securities (PDF) |
Nov. 2014 |
SEC2910 |
Securities Act of 1933 |
ADV |
Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF) |
Sept. 2011 |
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) |
Jan. 2013 |
SEC2223 |
Investment Advisers Act of 1940, Investment Advisers |
ADV-H |
Application for a temporary or continuing hardship exemption (PDF) |
Sept. 2011 |
SEC2566 |
Investment Advisers Act of 1940, Investment Advisers |
ADV-NR |
Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (PDF) |
Sept. 2011 |
SEC2565 |
Investment Advisers Act of 1940, Investment Advisers |
ADV-W |
Notice of withdrawal from registration as investment adviser (PDF) |
Nov. 2010 |
SEC777 |
Investment Advisers Act of 1940, Investment Advisers |
ATS |
Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (PDF) |
May 2005 |
SEC2550 |
Self-Regulatory Organizations |
ATS-R |
Quarterly report of alternative trading systems activities (PDF) |
June 2009 |
SEC2551 |
Self-Regulatory Organizations |
BD |
Uniform application for broker-dealer registration (PDF) |
Jan. 2008 |
SEC1490 |
Broker-Dealers |
BD-N |
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) |
Jan. 2008 |
SEC1500 |
Broker-Dealers |
BDW |
Uniform request for broker-dealer withdrawal (PDF) |
April 2007 |
SEC122 |
Broker-Dealers |
CA-1 |
Registration or exemption from registration as a clearing agency and for amendment to registration (PDF) |
Oct. 2002 |
SEC1853 |
Clearing Agencies |
CB |
Tender offer/rights offering notification form (PDF) |
Dec. 2008 |
SEC2560 |
Securities Act of 1933, Securities Exchange Act of 1934, Proxy and Tender Offer |
D |
Notice of Exempt Offering of Securities |
March 2009 |
SEC1972 |
Securities Act of 1933, Small Businesses |
F-1 |
Registration statement for securities of certain foreign private issuers (PDF) |
Jan. 2016 |
SEC1981 |
Securities Act of 1933, International |
F-3 |
Registration statement for securities of certain foreign private issuers (PDF) |
Sept. 2011 |
SEC1983 |
Securities Act of 1933, International |
F-4 |
Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (PDF) |
Dec. 2008 |
SEC2078 |
Securities Act of 1933, International |
F-6 |
Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (PDF) |
Oct. 2008 |
SEC2001 |
Securities Act of 1933, International |
F-7 |
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) |
Jan. 2007 |
SEC2289 |
Securities Act of 1933, International |
F-8 |
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) |
June 2013 |
SEC2290 |
Securities Act of 1933, International |
F-10 |
Registration statement for securities of certain Canadian issuers (PDF) |
Dec. 2013 |
SEC2292 |
Securities Act of 1933, International |
F-80 |
Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF) |
Jan. 2007 |
SEC2282 |
Securities Act of 1933, International |
F-N |
Appointment of agent for service of process by foreign banks and foreign insurance companies (PDF) |
Oct. 2006 |
SEC2306 |
Securities Act of 1933 |
F-X |
Appointment of agent for service of process and undertaking (PDF) |
Feb. 2008 |
SEC2288 |
Securities Act of 1933, International |
ID |
Uniform application for access codes to file on EDGAR |
Dec. 2013 |
SEC2084 |
Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers |
MA |
Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration (PDF) |
Sept. 2013 |
SEC2898 |
Securities Exchange Act of 1934, Municipal Advisors |
MA |
Instructions for the Form MA Series (PDF) |
Sept. 2013 |
|
Securities Exchange Act of 1934, Municipal Advisors |
MA-I |
Information Regarding Natural Persons who Engage in Municipal Advisory Activities (PDF) |
Sept. 2013 |
SEC2899 |
Securities Exchange Act of 1934, Municipal Advisors |
MA-NR |
Designation of U.S. Agent for Service of Process for Non-Residents (PDF) |
Sept. 2013 |
SEC2900 |
Securities Exchange Act of 1934, Municipal Advisors |
MA-W |
Notice of Withdrawal from Registration as a Municipal Advisor (PDF) |
Sept. 2013 |
SEC2901 |
Securities Exchange Act of 1934, Municipal Advisors |
MSD |
Application for registration as a municipal securities dealer or amendment to such application (PDF) |
Dec. 2013 |
SEC1534 |
Municipal Securities |
MSDW |
Notice of withdrawal from registration as a municipal securities dealer (PDF) |
Dec. 2013 |
SEC1588 |
Municipal Securities |
N-1A |
Registration form for open-end management investment companies (PDF) |
May 2015 |
SEC2052 |
Investment Company Act of 1940, Investment Companies |
N-2 |
Registration statement for closed-end management investment companies (PDF) |
April 2015 |
SEC1716 |
Investment Company Act of 1940, Investment Companies |
N-3 |
Registration statement of separate accounts organized as management investment companies (PDF) |
May 2015 |
SEC2124 |
Investment Company Act of 1940, Investment Companies |
N-4 |
Registration statement of separate accounts organized as unit investment trusts (PDF) |
Nov. 2009 |
SEC2125 |
Investment Company Act of 1940, Investment Companies |
N-5 |
Registration statement of small business investment company (PDF) |
March 2010 |
SEC993 |
Investment Company Act of 1940, Investment Companies, Small Businesses |
N-6 |
Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (PDF) |
Aug. 2006 |
SEC2567 |
Investment Company Act of 1940, Investment Companies |
N-6EI-1 |
Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF) |
March 2003 |
SEC1130 |
Investment Company Act of 1940, Investment Companies |
N-6F |
Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF) |
March 2001 |
SEC1936 |
Investment Company Act of 1940, Investment Companies |
N-8A |
Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF) |
Dec. 2001 |
SEC1102 |
Investment Company Act of 1940, Investment Companies |
N-8B-2 |
Registration statement of unit investment trusts which are currently issuing securities (PDF) |
March 2010 |
SEC977 |
Investment Company Act of 1940, Investment Companies |
N-8B-4 |
Registration statement of face-amount certificate companies (PDF) |
Nov. 2005 |
SEC1285 |
Investment Company Act of 1940, Investment Companies |
N-8F |
Application for deregistration of certain registered investment companies (PDF) |
Aug. 2013 |
SEC1691 |
Investment Company Act of 1940, Investment Companies |
N-14 |
Form for the registration of securities issued in business combination transactions by investment companies and business development companies (PDF) |
July 2013 |
SEC2106 |
Investment Company Act of 1940, Investment Companies |
N-17D-1 |
Report filed by small business investment company (SBIC) (PDF) |
Aug. 2005 |
SEC1839 |
Investment Company Act of 1940, Investment Companies |
N-17f-1 |
Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (PDF) |
Nov. 2003 |
SEC2205 |
Investment Company Act of 1940, Investment Companies |
N-17f-2 |
Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF) |
April 2009 |
SEC2198 |
Investment Company Act of 1940, Investment Companies |
N-18f-1 |
Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF) |
Jan. 2012 |
SEC1846 |
Investment Company Act of 1940, Investment Companies |
N-23c-3 |
Notification of repurchase offer (PDF) |
Oct. 2003 |
SEC2380 |
Investment Company Act of 1940, Investment Companies |
N-27D-1 |
Accounting of Segregated Trust Account (PDF) |
April 2014 |
SEC1840 |
Investment Company Act of 1940, Investment Companies |
N-54A |
Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF) |
Oct. 2003 |
SEC1937 |
Investment Company Act of 1940, Investment Companies |
N-54C |
Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF) |
March 2001 |
SEC1938 |
Investment Company Act of 1940, Investment Companies |
N-CR |
Current Report, Money Market Fund Material Events (PDF) |
Jan. 2015 |
SEC2918 |
Investment Company Act of 1940, Investment Companies |
N-CSR |
Certified shareholder report of registered management investment companies (PDF) |
Oct. 2010 |
SEC2569 |
Investment Company Act of 1940, Investment Companies |
N-MFP |
Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF) |
July 2014 |
SEC2847 |
Investment Company Act of 1940, Investment Companies |
N-PX |
Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF) |
April 2003 |
SEC2451 |
Investment Company Act of 1940, Investment Companies |
N-Q |
Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (PDF) |
Aug. 2005 |
SEC2455 |
Investment Company Act of 1940, Investment Companies |
N-SAR |
Semi-annual report of registered investment companies (PDF) |
Oct. 2010 |
SEC2100 |
Investment Company Act of 1940, Investment Companies |
NRSRO |
Form NRSRO – April 2009 Instructions (PDF) |
April 2009 |
|
NRSRO |
NRSRO |
Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (PDF) |
April 2015 |
SEC1541 |
NRSRO |
PF |
Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF) |
July 2014 |
SEC2048 |
Investment Advisers Act of 1940, Investment Advisers |
PILOT |
Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (PDF) |
Sept. 2013 |
SEC2552 |
Self-Regulatory Organizations |
R31 |
Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (PDF) |
Sept. 2013 |
SEC2502 |
Securities Exchange Act of 1934, Self-Regulatory Organizations |
S-1 |
Registration statement under Securities Act of 1933 (PDF) |
Jan. 2016 |
SEC870 |
Securities Act of 1933, Small Businesses |
S-3 |
Registration statement under Securities Act of 1933 (PDF) |
Nov. 2014 |
SEC1379 |
Securities Act of 1933 |
S-4 |
Registration statement under Securities Act of 1933 (PDF) |
Dec. 2008 |
SEC2077 |
Securities Act of 1933 |
S-6 |
Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (PDF) |
Sept. 2013 |
SEC649 |
Securities Act of 1933 |
S-8 |
Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (PDF) |
April 2009 |
SEC1398 |
Securities Act of 1933 |
S-11 |
Registration of securities of certain real estate companies (PDF) |
Feb. 2008 |
SEC907 |
Securities Act of 1933 |
S-20 |
Registration statement under the Securities Act of 1933 (PDF) |
June 2005 |
SEC2013 |
Securities Act of 1933 |
SBSE |
Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF) |
Jan. 2016 |
SEC2924 |
Dodd-Frank Act of 2010, Securities Exchange Act of 1934 |
SBSE-A |
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) |
Jan. 2016 |
SEC2925 |
Dodd-Frank Act of 2010, Securities Exchange Act of 1934 |
SBSE-BD |
Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers (PDF) |
Jan. 2016 |
SEC2926 |
Dodd-Frank Act of 2010, Securities Exchange Act of 1934 |
SBSE-C |
Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF) |
Jan. 2016 |
SEC2927 |
Dodd-Frank Act of 2010, Securities Exchange Act of 1934 |
SBSE-W |
Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant (PDF) |
Jan. 2016 |
SEC2928 |
Dodd-Frank Act of 2010, Securities Exchange Act of 1934 |
SCI |
Systems Compliance and Integrity (PDF) |
Sept. 2015 |
SEC 2919 |
Securities Exchange Act of 1934, Clearing Agencies, Self-Regulatory Organizations |
SD |
Specialized Disclosure Report (PDF) |
Jan. 2014 |
SEC697 |
Securities Exchange Act of 1934 |
SDR |
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) |
Feb. 2015 |
SEC2911 |
Dodd-Frank Act of 2010, Securities Exchange Act of 1934, SBS Data Repositories |
SE |
Submission of Paper Format Exhibits by Electronic Filers (PDF) |
Nov. 2011 |
SEC2082 |
Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers |
SF-1 |
Registration Statement under the Securities Act of 1933 (PDF) |
Nov. 2014 |
SEC2908 |
Securities Act of 1933 |
SF-3 |
Registration Statement under the Securities Act of 1933 (PDF) |
Nov. 2014 |
SEC2909 |
Securities Act of 1933 |
SIP |
Application or amendment to application for registration as securities infomation processor (PDF) |
March 2013 |
SEC1939 |
Other Forms and Materials |
T-1 |
Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees (PDF) |
Jan. 2007 |
SEC1836 |
Trust Indenture Act of 1939 |
T-2 |
Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee (PDF) |
Jan. 2007 |
SEC1849 |
Trust Indenture Act of 1939 |
T-3 |
For applications for qualification of indentures under the Trust Indenture Act of 1939 (PDF) |
Jan. 2007 |
SEC1919 |
Trust Indenture Act of 1939 |
T-4 |
Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (PDF) |
Jan. 2007 |
SEC1920 |
Trust Indenture Act of 1939 |
T-6 |
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) |
Jan. 2007 |
SEC2275 |
Trust Indenture Act of 1939 |
TA-1 |
Uniform form for registration as a transfer agent and for amendment to registration (PDF) |
Dec. 2006 |
SEC1528 |
Transfer Agents |
TA-2 |
Form for reporting activities of transfer agents (PDF) |
Aug. 2012 |
SEC2113 |
Transfer Agents |
TA-W |
Notice of withdrawal from registration as transfer agent (PDF) |
Dec. 2006 |
SEC1669 |
Transfer Agents |
TCR |
Tip, Complaint, or Referral (PDF) |
Aug. 2011 |
SEC2850 |
Tips Complaints and Referrals, Whistleblower |
TH |
Notification of Reliance on Temporary Hardship Exemption (PDF) |
July 2006 |
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) |
Aug. 2011 |
SEC2851 |
Tips Complaints and Referrals, Whistleblower |
X-17A-5 Part I |
FOCUS Report, Part I (PDF) |
April 2003 |
SEC1705 |
Broker-Dealers |
X-17A-5 Part II |
FOCUS Report, Part II (PDF) |
July 2002 |
SEC1695 |
Broker-Dealers |
X-17A-5 Part II |
FOCUS Report, Part II Instructions (PDF) |
Feb. 2004 |
SEC1695A |
Broker-Dealers |
X-17A-5 Part IIA |
FOCUS Report Part IIa Instructions (PDF) |
April 2002 |
SEC1696A |
Broker-Dealers |
X-17A-5 Part IIA |
FOCUS Report Part IIa (PDF) |
Feb. 2003 |
SEC1696 |
Broker-Dealers |
X-17A-5 Part IIB |
FOCUS Report, Part IIb (OTC Derivatives Dealer) (PDF) |
March 2012 |
SEC2430 |
Broker-Dealers |
X-17A-5 Part III |
FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III (PDF) |
May 2013 |
SEC1410 |
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) |
May 2013 |
SEC1675 |
Broker-Dealers |
X-17A-19 |
Report of Change in Membership Status (PDF) |
July 2001 |
SEC1414 |
Self-Regulatory Organizations |
X-17F-1A |
Missing/Lost/Stolen/Counterfeit Securities Report (PDF) |
May 2001 |
SEC1666 |
Broker-Dealers |
n/a |
Industry Guides (PDF) |
May 2007 |
SEC2056 |
Other Forms and Materials |
n/a |
Notice on Supplying Information Voluntarily (PDF) |
Jan. 2014 |
SEC2405 |
Other Forms and Materials |
n/a |
Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (PDF) |
Sept. 2014 |
SEC1662 |
Other Forms and Materials |
n/a |
Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commissions Examination Staff (PDF) |
Sept. 2014 |
SEC2866 |
Other Forms and Materials |
n/a |
Supplemental Information for Persons Requested to Supply Information Voluntarily to the Office of Credit Ratings’Monitoring Staff (PDF) |
Sept. 2014 |
SEC2903 |
Securities Exchange Act of 1934 |
n/a |
Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena (PDF) |
Sept. 2014 |
SEC1661 |
Other Forms and Materials |