Saturday, August 24, 2019

Sample legal forms and business documents

YOU ARE HERE Home Legal Forms Court & Government Forms Securities And Exchange Commission

Form Categories

Securities And Exchange Commission

Form TitleCoverage
Form 1 Application And Amendments To Application For Registration As A National Securities Exchange Or Exemption From Registration (SEC1935) Official Federal Forms
Form 1-A Regulation Offering Statement Under The Securities Act Of 1933 (SEC486) Official Federal Forms
Form 1-E Notification Under Regulation E (SEC1807) Official Federal Forms
Form 1-N Form And Amendments For Notice OF Registration As A National Securities Exchange (SEC2568) Official Federal Forms
Form 10 General Form For Registration Of Securities (SEC1396) Official Federal Forms
Form 10-D Asset-Backed Issuer Distribution Report (SEC2503) Official Federal Forms
Form 10-K Annual Report Pursuant To Sec 13 Or 15(d) Of The SEA Of 1934 (SEC1673) Official Federal Forms
Form 10-KSB Annual Report Under Section 13 Or 15(d) (SEC2337) Official Federal Forms
Form 10-Q (SEC1296) Official Federal Forms
Form 10-QSB Quarterly Report Under Section 13 Of 15(d) (SEC2334) Official Federal Forms
Form 11-K Annual Reports Of Employee Stock Purchase Savings And Similar Plans (SEC617) Official Federal Forms
Form 12b-25 Notification Of Late Filing (SEC1344) Official Federal Forms
Form 13F Information Required Of Institutional Investment Managers (SEC1685) Official Federal Forms
Form 144 Notice Of Proposed Sale Of Securities Pursuant To Rule 144 (SEC1147) Official Federal Forms
Form 15 Certification And Notice Of Termination Of Registration Under Section 12(g) (SEC2069) Official Federal Forms
Form 15F Certification Of A Foreign Private Issuers Termination Of Registration Of A Class Of Securities Official Federal Forms
Form 17-H Risk Assessment Report For Brokers And Dealers (SEC2332) Official Federal Forms
Form 18 Application For Registration Pursuant To Sec 12(B) And (C) Of SEA Of 1934 (SEC1421) Official Federal Forms
Form 18-K Annual Report For Foreign Governments And Political Subdivisions Thereof (SEC1797) Official Federal Forms
Form 19b-4 Proposed Rule Change By Self-Regulatory Organization (SEC1832) Official Federal Forms
Form 19b-4(e) Information Required Of A Self-Regulatory Organization Listing And Trading A New Derivative Securities Product (SEC2449) Official Federal Forms
Form 19b-7 Proposed Rule Change By (Self-Regulatory Organization) (SEC2450) Official Federal Forms
Form 2-A Report Of Sales And Use Of Proceeds Pursuant To Rule 257 Of Regulation A (SEC816) Official Federal Forms
Form 2-E Report Pursuant To Rule 609 Of Regulation E Official Federal Forms
Form 20-F Registration Statement Or Annual Report Or Transition Report Official Federal Forms
Form 24F-2 Annual Notice Of Securities Sold Pursuant To Rule 24F-2 (SEC2393) Official Federal Forms
Form 25 Notification Of The Removal From Listing And Registration Of Matured Redeemed Or Retired Securities (SEC1654) Official Federal Forms
Form 26 Notification Of The Admission To Trading Of A Substituted Or Additional Class Of Security Under Rule 12a-5 (SEC483) Official Federal Forms
Form 3 Initial Statement Of Beneficial Ownership Of Securities (SEC1472) Official Federal Forms
Form 3 Initial Statement Of Beneficial Ownership Of Securities (SEC1473) Official Federal Forms
Form 4 Statement Of Changes In Beneficial Ownership Of Securities (SEC1474) Official Federal Forms
Form 4 Statement Of Changes Of Beneficial Ownership Of Securities Instructions (SEC1475) Official Federal Forms
Form 40-F Registration Statement Pursuant To Section 12 Or Annual Report Pursuant To Section 13(a) Or 15(d) (SEC2285) Official Federal Forms
Form 5 Annual State Of Beneficial Ownership Of Securities (General Instructions) (SEC2270) Official Federal Forms
Form 5 Annual Statement Of Changes In Benificial Ownership Of Securities (SEC2270) Official Federal Forms
Form 6-K Report Of Foreign Private Issuer Pursuant To Rule 13a-16 Or 15d-16 Under The S.E.A. of 1934 (SEC1815) Official Federal Forms
Form 8-A For Registration Of Certain Classes Of Securities Pursuant To Section 12(b) Or (g) (SEC1922) Official Federal Forms
Form 8-K Current Report Pursuant To Section 13 Or 15(d) Of The Securities Exchange Act (SEC873) Official Federal Forms
Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (SEC1707) Official Federal Forms
Form ADV-E Certificate Of Accounting Of Client Securities And Funds (SEC2223) Official Federal Forms
Form ADV-H Application For A Temporary Or Continuing Hardship Exemption (SEC2566) Official Federal Forms
Form ADV-NR Appointment Of Agent For Service Of Process By Non-Resident (SEC2565) Official Federal Forms
Form ADV-W (Paper Version) Notice Of Withdrawal From Registration (SEC777) Official Federal Forms
Form ATS Initial Operation Report Amendment To Initial Operating Report (SEC2550) Official Federal Forms
Form ATS-R Quarterly Report Of Alternative Trading System Activities (SEC2551) Official Federal Forms
Form BD Uniform Application For Broker Dealer Registration (SEC1490) Official Federal Forms
Form BD-N Notice Of Registration As A Broker-Dealer For The Purpose Of Trading Security Futures (SEC1500) Official Federal Forms
Form BDW Uniform Request For Broker Dealer Registration (SEC1500) Official Federal Forms
Form CA-1 Application For Registration Or Exemption From Registration As A Clearing Agency (SEC1853) Official Federal Forms
Form CB Tender Offer-Rights Offering Notification Form (SEC2560) Official Federal Forms