17 CFR Part 249
PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
- PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
- Chapter II—Securities and Exchange Commission
- § 249.0-1 Availability of forms.
- Subpart A—Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges
- § 249.1 Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act.
- § 249.10 Form 1-N for notice registration as a national securities exchange.
- § 249.11 Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.
- § 249.25 Form 25, for notification of removal from listing and/or registration.
- § 249.26 Form 26, for notification of the admission to trading of a substituted or additional class of security under Rule 12a-5 (§ 240.12a-5 of this chapter).
- Subpart B—Forms for Reports To Be Filed by Officers, Directors, and Security Holders
- § 249.103 Form 3, initial statement of beneficial ownership of securities.
- § 249.104 Form 4, statement of changes in beneficial ownership of securities.
- § 249.105 Form 5, annual statement of beneficial ownership of securities.
- Subpart C—Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters
- § 249.208 [Reserved]
- § 249.208a Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.
- §§ 249.208b-249.208c [Reserved]
- § 249.210 Form 10, general form for registration of securities pursuant to section 12(b) or (g) of the Securities Exchange Act of 1934.
- § 249.210b [Reserved]
- § 249.218 Form 18, for foreign governments and political subdivisions thereof.
- § 249.220f Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter).
- § 249.240f Form 40-F, for registration of securities of certain Canadian issuers pursuant to section 12(b) or (g) and for reports pursuant to section 15(d) and Rule 15d-4 (§ 240.15d-4 of this chapter).
- § 249.250 Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§ 239.38, 239.39, 239.40 or 239.41 of this chapter), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§ 240.13e-102, 240.14d-102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 249.37 of this chapter), F-8, F-9, F-10 or F-80.
- Subpart D—Forms for Annual and Other Reports of Issuers and Other Persons Required Under Sections 13, 14A, and 15(d) of the Securities Exchange Act of 1934
- § 249.306 Form 6-K, report of foreign issuer pursuant to Rules 13a-16 (§ 240.13a-16 of this chapter) and 15d-16 (§ 240.15d-16 of this chapter) under the Securities Exchange Act of 1934.
- § 249.308 Form 8-K, for current reports.
- § 249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
- § 249.310 Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.
- §§ 249.310b-249.310c [Reserved]
- § 249.311 Form 11-K, for annual reports of employee stock purchase, savings and similar plans pursuant to section 15(d) of the Securities Exchange Act of 1934.
- § 249.312 Form 10-D, periodic distribution reports by asset-backed issuers.
- § 249.318 Form 18-K, annual report for foreign governments and political subdivisions thereof.
- § 249.322 Form 12b-25—Notification of late filing.
- § 249.323 Form 15, certification of termination of registration of a class of security under section 12(g) or notice of suspension of duty to file reports pursuant to sections 13 and 15(d) of the Act.
- § 249.324 Form 15F, certification by a foreign private issuer regarding the termination of registration of a class of securities under section 12(g) or the duty to file reports under section 13(a) or section 15(d).
- § 249.325 Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.
- § 249.326 Form N-PX, annual report of proxy voting record.
- § 249.327 Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.
- § 249.328T Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules thereunder.
- § 249.330 Form N-CEN, annual report of registered investment companies.
- § 249.331 Form N-CSR, certified shareholder report.
- § 249.332 Form SHO, report of institutional investment managers pursuant to section 13(f)(2) of the Securities Exchange Act of 1934.
- § 249.333 [Reserved]
- § 249.444 Form SE, form for submission of paper format exhibits by electronic filers.
- § 249.445 [Reserved]
- § 249.446 Form ID, application for EDGAR access.
- § 249.447 Form TH—Notification of reliance on temporary hardship exemption.
- Subpart E—Forms for Statements Made in Connection With Exempt Tender Offers
- § 249.480 Form CB, tender offer statement in connection with a tender offer for a foreign private issuer.
- Subpart F—Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
- § 249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
- § 249.501a Form BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240.15b6-1, § 240.15Bc3-1, or § 240.15Cc1-1 of this chapter.
- § 249.501b Form BD-N for notice registration as a broker-dealer.
- § 249.507 Form 7-M, consent to service of process by an individual nonresident broker-dealer.
- § 249.508 Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
- § 249.509 Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
- § 249.510 Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.
- Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
- § 249.617 Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.
- § 249.618 Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5 of this chapter.
- § 249.619 Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17Ad-18 of this chapter.
- §§ 249.620-249.634 [Reserved]
- § 249.635 Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
- § 249.636 [Reserved]
- § 249.637 Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter.
- § 249.638 Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter.
- § 249.639 Form custody.
- § 249.640 Form ATS-N, information required of NMS Stock ATSs pursuant to § 242.304(a) of this chapter.
- § 249.641 Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to § 240.17a-14 of this chapter.
- Subpart H—Forms For Reports as to Stabilization
- § 249.709 [Reserved]
- Subpart I—Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations
- § 249.801 Form 15A, for application for registration as a national securities association or affiliated securities association.
- §§ 249.802-249.803 [Reserved]
- § 249.819 Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and security-based swap submissions by all self-regulatory organizations.
- § 249.820 Form 19b-4(e) for the listing and trading of new derivative securities products by self-regulatory organizations that are not deemed proposed rule changes pursuant to Rule 19b-4(e)(§ 240.19b-4(e)).
- § 249.821 Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter.
- § 249.822 Form 19b-7, for electronic filing with respect to proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A) of the Securities Exchange Act of 1934.
- Subpart J [Reserved]
- Subpart K—Form for Registration of, and Reporting by Securities Information Processors
- § 249.1001 Form SIP, for application for registration as a securities information processor or to amend such an application or registration.
- § 249.1002 Form CC, for application for registration as a competing consolidator or to amend such an application or registration.
- Subpart L—Forms for Registration of Municipal Securities Dealers
- § 249.1100 Form MSD, application for registration as a municipal securities dealer pursuant to rule 15Ba2-1 under the Securities Exchange Act of 1934 or amendment to such application.
- § 249.1110 Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1).
- Subpart M—Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities
- § 249.1200 Form X-17F-1A—Report for missing, lost, stolen or counterfeit securities.
- Subpart N—Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons
- § 249.1300 Form MA, for registration as a municipal advisor, and for amendments to registration.
- § 249.1300T Form MA-T, for temporary registration as a municipal advisor, and for amendments to, and withdrawals from, temporary registration.
- § 249.1310 Form MA-I, for providing information regarding natural person municipal advisors, and for amendments to such information.
- § 249.1320 Form MA-W, for withdrawal from registration as a municipal advisor.
- § 249.1330 Form MA-NR, for appointment of agent for service of process by non-resident municipal advisor, non-resident general partner or managing agent of a municipal advisor, and non-resident natural person associated with a municipal advisor.
- Subpart O—Forms for Asset-Backed Securities
- § 249.1400 Form ABS-15G, Asset-backed securitizer report pursuant to Section 15G of the Securities Exchange Act of 1934.
- § 249.1401 Form ABS-EE, for submission of the asset-data file exhibits and related documents.
- Subpart P—Forms for Registration of Security-Based Swap Data Repositories
- § 249.1500 Form SDR, for application for registration as a security-based swap data repository, amendments thereto, or withdrawal from registration.
- Subpart Q—Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
- § 249.1600 Form SBSE, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.
- § 249.1600a Form SBSE-A, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant that are not also registered or registering with the Commission as a broker or dealer.
- § 249.1600b Form SBSE-BD, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commission as a broker or dealer.
- § 249.1600c Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants.
- § 249.1601 Form SBSE-W, for withdrawal from registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.
- Subpart R—Forms for Registration of, and Filings by, Security-Based Swap Execution Facilities
- § 249.1701 Form SBSEF, for application for registration as a security-based swap execution facility or to amend such application or registration.
- § 249.1702 Submission cover sheet, for rule and product submissions.
- Subpart S [Reserved]
- Subpart T—Form SCI, for filing notices and reports as required by Regulation SCI.
- § 249.1900. Form SCI, for filing notices and reports as required by Regulation SCI.
- Subpart U—Forms for Registration of Funding Portals
- § 249.2000 Form Funding Portal.
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