- Form 1 Application And Amendments To Application For Registration As A National Securities Exchange (SEC1935) {1}
- Form 10 General Form For Registration Of Securities (SEC1396) {10}
- Form 10-D Asset-Backed Issuer Distribution Report (SEC2503) {10-D}
- Form 10-K Annual Report Pursuant To Sec 13 Or 15(d) Of The SEA Of 1934 (SEC1673) {10-K}
- Form 10-M Irrevocable Appointment Of Agent For Service Of Process (General Partner) (SEC879) {10-M}
- Form 10-Q (SEC1296) {10-Q}
- Form 11-K Annual Reports Of Employee Stock Purchase Savings And Similar Plans (SEC617) {11-K}
- Form 12b-25 Notification Of Late Filing (SEC1344) {12b-25}
- Form 13F Information Required Of Institutional Investment Managers (SEC1685) {13F}
- Form 13H Information Required Of Large Traders Pursuant To Section 13(h) (SEC2858) {13H}
- Form 144 Notice Of Proposed Sale Of Securities Pursuant To Rule 144 (SEC1147) {144}
- Form 15 Certification And Notice Of Termination Of Registration Under Section 12(g) (SEC2069) {15}
- Form 15F Certification Of A Foreign Private Issuers Termination Of Registration {15F}
- Form 17-H Risk Assessment Report For Brokers And Dealers (SEC2332) {17-H}
- Form 18 Application For Registration Pursuant To Sec 12(B) And (C) Of SEA Of 1934 (SEC1421) {18}
- Form 18-K Annual Report For Foreign Governments And Political Subdivisions Thereof (SEC1797) {18-K}
- Form 19b-4 Proposed Rule Change By Self-Regulatory Organization (SEC1832) {19b-4}
- Form 19b-4(e) Information Required Of A Self-Regulatory Organization Listing And Trading (SEC2449) {19b-4(e)}
- Form 19b-7 Proposed Rule Change By (Self-Regulatory Organization) (SEC2450) {19b-7}
- Form 1-A Regulation Offering Statement Under The Securities Act Of 1933 (SEC486) {1-A}
- Form 1-E Notification Under Regulation E (SEC1807) {1-E}
- Form 1-K Annual Reports And Special Financial Reports (SEC2913) {1-K}
- Form 1-N Form And Amendments For Notice Of Registration (SEC2568) {1-N}
- Form 1-SA Semiannual Report Or Special Financial Report Pursuant To Regulation A (SEC2914) {1-SA}
- Form 1-U Current Report Pursuant To Regulation A (SEC2915) {1-U}
- Form 1-Z Exit Report Under Regulation A (SEC2916) {1-Z}
- Form 20-F Registration Statement Or Annual Report Or Transition Report (SEC1852) {20-F}
- Form 24F-2 Annual Notice Of Securities Sold Pursuant To Rule 24F-2 (SEC2393) {24F-2}
- Form 25 Notification Of The Removal From Listing And Registration Of Matured Redeemed Or Retired Securities (SEC1654) {25}
- Form 2-E Report Pursuant To Rule 609 Of Regulation E (SEC1808) {2-E}
- Form 3 Initial Statement Of Beneficial Ownership Of Securities (SEC1472) {3}
- Form 3 Initial Statement Of Beneficial Ownership Of Securities (SEC1473) {3}
- Form 4 Statement Of Changes In Beneficial Ownership Of Securities (SEC1474) {4}
- Form 4 Statement Of Changes Of Beneficial Ownership Of Securities Instructions (SEC1475) {4}
- Form 40-F Registration Statement Pursuant To Section 12 Or Annual Report (SEC2285) {40-F}
- Form 5 Annual Statement Of Beneficial Ownership Of Securities (General Instructions) (SEC2270) {5}
- Form 5 Annual Statement Of Changes In Benificial Ownership Of Securities (SEC2270) {5}
- Form 6-K Report Of Foreign Private Issuer Pursuant To Rule 13a-16 Or 15d-16 Under The S.E.A. of 1934 (SEC1815) {6-K}
- Form 7-M Irrevocable Appointment Of Agent For Service Of Process (Individual) (SEC876) {7-M}
- Form 8-A For Registration Of Certain Classes Of Securities Pursuant To Section 12(b) Or (g) (SEC1922) {8-A}
- Form 8-K Current Report Pursuant To Section 13 Or 15(d) Of The Securities Exchange Act (SEC873) {8-K}
- Form 8-M Irrevocable Appointment Of Agent For Service Of Process (Corporate) (SEC877) {8-M}
- Form 9-M Irrevocable Appointment Of Agent For Service Of Process (Partnership) (SEC878) {9-M}
- Form ABS DD-15E Certification Of Provider Of Third-Party Due Diligence Services (SEC2917) {ABS DD-15E}
- Form ABS-15G Asset-Backed Securitizer Report (SEC2860) {ABS-15G}
- Form ABS-EE Form For Submission Of Electronic Exhibits For Asset Backed Securities (SEC2910) {ABS-EE}
- Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Execution Pages) (SEC1707) {ADV}
- Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1A) (SEC1707) {ADV}
- Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1B) (SEC1707) {ADV}
- Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 2) (SEC1707) {ADV}
- Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (SEC1707) {ADV}
- Form ADV-E Certificate Of Accounting Of Client Securities And Funds (SEC2223) {ADV-E}
- Form ADV-H Application For A Temporary Or Continuing Hardship Exemption (SEC2566) {ADV-H}
- Form ADV-NR Appointment Of Agent For Service Of Process By Non-Resident (SEC2565) {ADV-NR}
- Form ADV-W (Paper Version) Notice Of Withdrawal From Registration (SEC777) {ADV-W}
- Form ATS Initial Operation Report Amendment To Initial Operating Report (SEC2550) {ATS}
- Form ATS-N NMS Stock Alternative Trading Systems {ATS-N}
- Form ATS-R Quarterly Report Of Alternative Trading System Activities (SEC2551) {ATS-R}
- Form BD Uniform Application For Broker Dealer Registration (SEC1490) {BD}
- Form BD-N Notice Of Registration As A Broker-Dealer For The Purpose Of Trading Security Futures (SEC1500) {BD-N}
- Form BDW Uniform Request For Broker Dealer Registration (SEC122) {BDW}
- Form C (SEC2930} {C}
- Form CA-1 Application For Registration Or Exemption From Registration As A Clearing Agency (SEC1853) {CA-1}
- Form CB Tender Offer-Rights Offering Notification Form (SEC2560) {CB}
- Form CFPORTAL Application Or Amendment To Application For Registration Or Withdrawal {CFPORTAL}
- Form CUSTODY For Broker Dealers (SEC2897) {CUSTODY}
- Form D Item 12 Sales Compensation (Continued) {D}
- Form D Item 3 Continuation Page Related Persons (Continued) {D}
- Form D Items 1 And 2 Continuation Page Issuers Identity And Contact Information {D}
- Form D Notice Of Sale Of Securities Pursuant To Regulation D Section 4(6) (SEC1972) {D}
- Form F-1 Registration Statement Under The Securities Act Of 1933 (SEC1981) {F-1}
- Form F-10 Registration Statement Under The Securities Act Of 1933 (Canadian Issuers) (SEC2292) {F-10}
- Form F-3 Registration Statement For Securities Act Of 1933 (SEC1983) {F-3}
- Form F-4 Registration Statement Under The Securities Act Of 1933 (SEC2078) {F-4}
- Form F-6 Registration Statement For Depositary Shares Evidenced By American Depository Receipts (SEC2001) {F-6}
- Form F-7 Registration Statement Under The Securities Act Of 1933 (SEC2289) {F-7}
- Form F-8 Registration Statement Under The Securities Act Of 1933 (Canadian Issuers) (SEC2290) {F-8}
- Form F-80 Registration Statement Under The Securities Act Of 1933 (Canadian Issuers) (SEC2282) {F-80}
- Form F-N Appointment Of Agent For Service Of Process By Foreign Banks (SEC2306) {F-N}
- Form F-X Appointment Of Agent For Service Of Process And Undertaking (SEC2288) {F-X}
- Form MA Application For Municipal Adivsor Registration (SEC2898) {MA}
- Form MA-I Information Regarding Natural Persons Engage In Municipal Advisory Activities (SEC2899) {MA-I}
- Form MA-NR Designation Of US Agent For Service Of Process (SEC2900) {MA-NR}
- Form MA-W Notice Of Withdrawal From Registration As Municipal Advisor (SEC2901) {MA-W}
- Form MSD Application For Registration As A Municipal Securities Dealer (SEC1534) {MSD}
- Form MSDW Notice Of Withdrawal From Registration As A Muni Securities Dealer (SEC1588) {MSDW}
- Form N-14 Registration Statement Under The Securities Act Of 1933 (SEC2106) {N-14}
- Form N-17D-1 Report Filed By Small Business Investment Company (SEC1839) {N-17D-1}
- Form N-17F-1 Certificate Of Accounting Of Securities And Similar Investments (SEC2205) {N-17F-1}
- Form N-17F-2 Certificate Of Accounting Of Securities And Similar Investments (SEC2198) {N-17F-2}
- Form N-18F-1 Notification Of Election Pursuant To Rule 18f-1 Under The Investment Company Act Of 1940 (SEC1846) {N-18F-1}
- Form N-1A Registration Statement (Open-End Management Investment Companies) (SEC2052) {N-1A}
- Form N-2 Registration Statement Under The SEA of 1933 And Or Investment Co Act Of 1940 (SEC1716) {N-2}
- Form N-23C-3 Notification Of Repurchase Offer (SEC2380) {N-23C-3}
- Form N-27D-1 Accounting Of Segregated Trust Account (SEC1840) {N-27D-1}
- Form N-3 Registration Statement (Accounts Organized As Management Investment Co.) (SEC2124) {N-3}
- Form N-4 Registration Statement Under The Securites Act Of 1933 (Trusts) (SEC2125) {N-4}
- Form N-5 Registration Statement Of Small Business Investment Company (SEC0993) {N-5}
- Form N-54A Notification Of Election To Be Subject To Sections 55 Through 65 (SEC1937) {N-54A}
- Form N-54C Notification Of Withdrawal Of Election To Be Subject To Sections 55 Through 65 (SEC1938) {N-54C}
- Form N-6 Registration Statement (Separate Accounts Organized As Unit Investment Trusts) (SEC2567) {N-6}
- Form N-6E1-1 Notification Of Claim Of Exemption Pursuant To Rule 6e-2 Or 6e-3(T) (SEC1130) {N-6E1-1}
- Form N-6F Notice Of Intent To Elect To Be Subject To Sections 55-65 Of The Investment Company Act Of 1940 (SEC1936) {N-6F}
- Form N-8A Notification Of Registration Filed Pursuant To Sect 8(a) (SEC1102) {N-8A}
- Form N-8B-2 Registration Statement Of Unit Investment Trusts Which Are Currently Issuing Securities (SEC0977) {N-8B-2}
- Form N-8B-4 Registration Statement Of Face-Amount Certificate Companies (SEC1285) {N-8B-4}
- Form N-8F Application For Deregistration Of Certain Registered Investment Companies (SEC1691) {N-8F}
- Form N-CEN Annual Report For Registered Investment Companies (SEC2846) {N-CEN}
- Form N-CR Current Report Money Market Fund Material Events (SEC2918) {N-CR}
- Form N-CSR Certified Shareholder Report Of Registered Management Investment Companies (SEC2569) {N-CSR}
- Form N-LIQUID Current Report Open-End Management Investment Company (SEC2941) {N-LIQUID}
- Form N-MFP Monthly Schedule Of Portfolio Holdings Of Money Market Funds (SEC2847) {N-MFP}
- Form N-PORT Monthly Portfolio Investments Report (SEC2940) {N-PORT}
- Form N-PX Annual Report Of Prox Voting Record Of Registered Management Investment Company (SEC2451) {N-PX}
- Form N-Q Quarterly Schedule Of Portfolio Holdings Of Registered Management Investment Company (SEC2455) {N-Q}
- Form NRSRO Application For Registration As A Nationally Recognized Statistical Rating Organization (SEC1541) {NRSRO}
- Form PF Reporting Form For Investment Advisers To Private Funds (SEC2048) {PF}
- Form PILOT Initial Operation Report Amendment To Initial Operation Report And Quarterly Report (SEC2552) {PILOT}
- Form R31 Form For Reporting Covered Sales And Covered Round Turn Transactions Under Section 31 (SEC2502) {R31}
- Form S-1 Registration Statement Under The Securities Act Of 1933 (SEC870) {S-1}
- Form S-11 For Registration Under The Securities Act Of 1933-Real Estate Companies (SEC907) {S-11}
- Form S-20 Registration Statement Under The Securities Act Of 1933 (SEC2013) {S-20}
- Form S-3 Registration Statement Under The Securities Act Of 1933 (SEC1379) {S-3}
- Form S-4 Registration Statement Under The Securities Act Of 1933 (SEC2077) {S-4}
- Form S-6 (Facing Sheet) For Registration Under The Securities Act Of 1933 (SEC649) {S-6}
- Form S-8 Registration Statement Under The Securities Act Of 1933 (SEC1398) {S-8}
- Form SBSE Application For Registration Of Security-Based Swap Dealers (SEC2924) {SBSE}
- Form SBSE-A Application For Registration Of Security-Based Swap Dealers (SEC2925) {SBSE-A}
- Form SBSE-BD Application For Registration Of Security-Based Swap Dealers (SEC2926) {SBSE-BD}
- Form SBSE-C Certifications For Registrations Of Security-Based Swap Dealers (SEC2927) {SBSE-C}
- Form SBSE-W Request For Withdrawal From Registration-Swap Dealer (SEC2928) {SBSE-W}
- Form SCI Systems Compliance And Integrity (SEC2919) {SCI}
- Form SD Specialized Disclosure Report (SEC0697) {SD}
- Form SDR Application Or Amendment To Application For Registration Or Withdrawal (SEC2911) {SDR}
- Form SE For Submission Of Paper Format Exhibits By Electronic Filers (SEC2082) {SE}
- Form SF-1 Registration Statement Under The Securities Act Of 1933 (SEC2908) {SF-1}
- Form SF-3 Registration Statement Under The Securities Act Of 1933 (SEC2909) {SF-3}
- Form SIP Application Or Amendment To Application For Registration As Securities Information Processor (SEC1939) {SIP}
- Form T-1 (Statement Of Eligibility And Qualification Under The Trust Indenture Act) (SEC1836) {T-1}
- Form T-2 Statement Of Eligibility Under The Trust Indenture Act-An Individual Designated To Act As Trustee (SEC1849) {T-2}
- Form T-3 For Applications For Qualification Of Indentures Under The Trust Indenture Act (SEC1919) {T-3}
- Form T-4 Application For Exemption Filed Pursuant To Section 304(c) Of The Trust Indenture Act Of 1939 (SEC1920) {T-4}
- Form T-6 Application-For Determination Of Elegibility Of A Foreign Person To Act As Institutional Trustee (SEC2275) {T-6}
- Form TA-1 Uniform Form For Registration As Transfer Agent And For Amendment (SEC1528) {TA-1}
- Form TA-2 Annual Report Of Transfer Agent Activities (SEC2113) {TA-2}
- Form TA-W Notive Of Withdrawal From Registration As Transfer Agent (SEC1669) {TA-W}
- Form TCR Tip Complaint Or Referral (SEC2850) {TCR}
- Form TH Notification Of Reliance On Temporary Hardship Exemption (SEC2348) {TH}
- Form WB-APP Application For Award For Original Information (SEC2851) {WB-APP}
- Form X-17A Annual Audited Report Part III (SEC1410) {X-17A-5}
- Form X-17A-19 Report Of Change In Memberhip Status (SEC1414) {X-17A-19}
- Form X-17A-5 Focus Report Form X-17A-5 Schedule 1 (SEC1675) {X-17A-5}
- Form X-17A-5 Focus Report Part I (SEC1705) {X-17A-5}
- Form X-17A-5 Focus Report Part II (SEC1695) {X-17A-5}
- Form X-17A-5 Focus Report Part IIA (SEC1696) {X-17A-5}
- Form X-17A-5 Focus Report Part IIB OTC Derivates Dealer (SEC2430) {X-17A-5}
- Form X-17A-5 Focus Report Part IIC {{X-17A-5}
- Form X-17F-1A Missing-Lost-Stolen-Counterfeit Securities Report (SEC1666) {X-17F-1A}