Securities and Exchange Commission

SEC

Federal Forms

Forms
OMB NumberTitle
3235-0783 Rule 31a-4 under the Investment Company Act of 1940, Records of Fair Value Determinations
3235-0782 Rule 498B under the Securities Act of 1933; Delivery of prospectuses to existing shareholders of open-end management investment companies
3235-0781 Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security
3235-0780 Rule 0-5 under the Investment Company Act of 1940, Procedure with Respect to Applications and Other Matters
3235-0779 Rule 2a-5 under the Investment Company Act of 1940, Fair Value
3235-0778 Market Data Infrastructure
3235-0777 Rules 15Fi-3 through 15Fi-5 – Risk Mitigation Techniques for Uncleared Security-Based Swaps
3235-0776 Rule 18f-4 under the Investment Company Act of 1940, Use of Derivatives by Registered Investment Companies and Business Development Companies
3235-0775 Rule 15l-2 under the Securities Exchange Act of 1934
3235-0774 Amendments to the National Market System Plan Governing the Consolidated Audit Trail
3235-0773 Rule 15l-3 under the Securities Exchange Act
3235-0772 Rule 12d1-4 Under the Investment Company Act of 1940, Fund of Funds Arrangements
3235-0771 Rule 3a71-3(d) - Conditional Exception from De Minimis Counting Requirement in Connection with Certain Transactions Arranged, Negotiated or Executed in the United States
3235-0770 Rule 211h-1 under the Investment Advisers Act of 1940
3235-0769 Rule 139b Disclosure of Standardized Performance
3235-0768 Rule 12d1-4 Under the Investment Company Act of 1940, Fund of Funds Arrangements
3235-0767 Rule 204-5 under the Investment Advisers Act of 1940
3235-0766 Form CRS and rule 17a-14 under the Exchange Act
3235-0765 Rule 498A Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts
3235-0764 6c-11 under the Investment Company Act of 1940 (17 CFR 270.6c-11), Exchange-Traded Funds
3235-0763 Regulation ATS Rule 304 and Form ATS-N
3235-0762 Regulation BI- Best Interest
3235-0761 Transaction Fee Pilot for NMS Stocks
3235-0760 Rule 702 of Regulation MC
3235-0759 CTA Plan and the Nasdaq UTP Plan; Post-Trade Transparency for ATSs
3235-0758 Rule 30e-3 (17 CFR 270.30e-3) under the Investment Company Act of 1940, "Internet availability of reports to shareholders"
3235-0757 Rule 147A(f)(1)(iii) Written Representation as to Purchaser Residency
3235-0756 Rule 147(f)(1)(iii) Written Representation as to Purchaser Residency
3235-0755 Rule 206(4)-4 (17 CFR 275.206(4)-4) under the Investment Advisers Act of 1940, Adviser Business Continuity and Transition Plans
3235-0754 Rule 30b1-10 (17 CFR 270.30b1-10) under the Investment Company Act of 1940, "Current report for open-end management investment companies" and Form N-LIQUID, "Current report, open-end investment compan
3235-0753 Incentive-Based Compensation Arrangements: Proposed Rules 303.1 to 303.13
3235-0752 Rule 18a-9 – Quarterly Security Counts to be Made by Certain Security-Based Swap Dealers
3235-0751 Rule 18a-6 – Records to be preserved by certain security-based swap dealers and major security-based swap participants
3235-0750 Rule 18a-8 – Notification Provisions for Security-Based Swap Dealers and Major Security-Based Swap Participants
3235-0749 Rule 18a-7 – Reports to be Made by Certain Security-Based Swap Dealers and Major Security-Based Swap Participants
3235-0748 Ombudsman Matter Management System (OMMS) Submission Form
3235-0747 Rule 607 under Regulation E, Sales Material to Be Filed
3235-0746 Regulation D Rule 504(b)(3)-Felons and Other Bad Actors Disclosure Statement
3235-0745 Exchange Act Rule 18a-5
3235-0744 Form N-CEN (Derivatives Section)
3235-0743 Rule 15b9-1 – Exemption for Certain Exchange Members
3235-0742 Rule 30b1-9 and Form N-PORT (Derivatives Section)
3235-0741 Rule 18f-4 (17 CFR 270.18f-4) under the Investment Company Act of 1940, Use of Derivatives by Registered Investment Companies and Business Development Companies
3235-0740 Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies
3235-0739 CONDITIONAL EXEMPTION UNDER THE SECURITIES EXCHANGE ACT OF 1934 FROM THE CONFIRMATION REQUIREMENTS OF EXCHANGE ACT RULE 10b-10(a) FOR CERTAIN TRANSACTIONS IN MONEY MARKET FUNDS
3235-0738 13n-4 - Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement
3235-0737 Rule 22e-4 (17 CFR 270.22e-4) under the Investment Company Act 0f 1940, Investment Company Liquidity Risk Management Programs
3235-0736 Form N-CEN (Liquidity Section)
3235-0735 Rule 30b1-9 and Form N-PORT (Liquidity Section)
3235-0734 Rule 22c-1 (17 CFR 270.22c-1) under the Investment Company Act of 1940, Pricing of redeemable securities for distribution, redemption and repurchase
3235-0733 Rule of Practice 194
3235-0732 Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
3235-0731 Generic Clearance for the Collection of Qualitative Feedback on Agency Service Delivery
3235-0730 Rule 30b1-9 and Form N-PORT
3235-0729 Form N-CEN
3235-0728 Rule 17Ab2-2 - Determinations Affecting Covered Clearing Agencies
3235-0727 Crowdfunding Rules 400-404 (Funding Portals)
3235-0726 Crowdfunding Rules 300-304 (Intermediaries)
3235-0725 OMWI Contract Standard for Contractor Workforce Inclusion
3235-0724 Office of Minority and Women Inclusion (OMWI) Supplier Management System
3235-0723 Form 1-Z
3235-0722 Form 1-U
3235-0721 Form 1-SA
3235-0720 Form 1-K
3235-0719 Rules 13n-1 to 13n-11 and Form SDR
3235-0718 Regulation SBSR (Rules 900 - 912) – Reporting and Dissemination of Security-Based Swap Information
3235-0717 Rule 3a71-3 Cross Border Security-Based Swap Dealing Activity
3235-0716 Form C
3235-0715 Rule 3a71-6 Substituted Compliance for Foreign Security-Based Swap Entities
3235-0714 Rule 15Fi-1 Trade Acknowledgment and Verification of Security-Based Swap Transactions
3235-0713 Rule 15Fi-2 Trade Acknowledgment and Verification of Security-Based Swap Transactions
3235-0712 Credit Risk Retention - Regulation RR
3235-0711 Rule 506(c) General Solicitation Materials
3235-0710 Waterfall Computer Program
3235-0709 Privately-Issued Structured Finance Product Disclosure
3235-0708 Form 144A-SF
3235-0707 Form SF-1
3235-0706 Form ABS-EE
3235-0705 Rule 30b1-8 (17 CFR 270.30b1-8) under the Investment Company Act of 1940, "Current report for money market funds" and Form N-CR, "Current report, money market fund material events."
3235-0704 Regulation D Rule 506(e) Felons and Other Bad Actors Disclosure Statement
3235-0703 Regulation SCI and Form SCI
3235-0702 Rule 18a-3 – Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
3235-0701 Rule 18a-1 – Net Capital Requirements For Security-Based Swap Dealers For Which There Is Not a Prudential Regulator
3235-0700 Rule 18a-4 – Segregation requirements for security-based swap dealers and major security-based swap participants.
3235-0699 Rule 18a-2 – Capital requirements for major security-based swap participants for which there is not a prudential regulator.
3235-0698 Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With Portfolio Margining of Swaps and Security-Based Swaps
3235-0697 Form SD
3235-0696 Registration Requirements for Security-based Swap Dealers and Major Security-based Swap Participants
3235-0695 Rule 17ad-22 Clearing Agency Standards for Operation and Governance
3235-0694 Rule 17g-10 Certification of providers of third-party due diligence services in connection with asset-backed securities & Form ABS Due Diligence-15E
3235-0693 Rule 17g-8 Policies and procedures and Rule 17g-9 Standards of training, experience, and competence for credit analysts
3235-0692 Regulation S-ID, Identity Theft Red Flags Rules
3235-0691 Form Custody
3235-0690 Form SF-3
3235-0689 Exemption for Certain Multi-State Investment Advisers (Rule 203A-2(d))
3235-0688 Rule 203A-5
3235-0687 Rule 239
3235-0686 Implementing The Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934 Form WB-APP and Form TCR
3235-0685 Rule 3a68-2 (Interpretation of Swaps, Security-Based Swaps, and Mixed Swaps) and Rule 3a68-4(c) (Process for Determining Regulatory Treatment for Mixed Swaps)
3235-0684 Credit Risk Retention - Regulation RR
3235-0683 Incentive-Based Compensation Arrangements
3235-0682 Rule 13h-1 – Large Trader Reporting System
3235-0681 Rules 15Ba1-1 to 15Ba1-8 - Registration of Municipal Advisors and Forms MA, MA-I, MA-W, and MA-NR
3235-0680 Rule 3Cg-1-End-User Exception to Mandatory Clearing of Security-Based Swaps
3235-0679 Form PF and Rule 204(b)-1
3235-0678 Regulation SB SEF - Registration and Regulation of Security-Based Swap Execution Facilities
3235-0677 Rule 3a67-4 - Definition of "Hedging or Mitigating Commercial Risk"
3235-0676 Rule 15Fi-1 – Trade Acknowledgment and Verification of Security-Based Swap Transactions
3235-0675 Rule 15Ga-2 and Form ABS-15G
3235-0674 Temporary Conditional Exemptive Order in Connection with the Request of CME Re: Central Clearing of CDSs
3235-0673 Rule 15c3-5 -- Risk Management Controls for Brokers or Dealers with Market Access
3235-0672 Electronic Data Collection System-Tips, Complaints, Referrals (TCR)
3235-0671 Consolidated Audit Trail NMS Plan (NMS Plan Required to be Filed under Commission Rule 613)
3235-0670 Rules 201 and 200(g)
3235-0669 Rule 12b-2 [17 CFR 270.12b-2] under the Investment Company Act of 1940: Investment Company Distribution Fees
3235-0668 Rule 13Aa-2T: Reporting of Security-Based Swap Transaction Data
3235-0667 ICE Trust CDS CCP Temporary Conditional Exemptive Order
3235-0666 Form SF-3
3235-0665 Form SF-1
3235-0664 Asset Data File
3235-0663 Waterfall Computer Program
3235-0662 Eurex Exemptive Order
3235-0661 Form 144A-SF
3235-0660 Privately-Issued Structured Finance Product Disclosure
3235-0659 Rule 15Ba2-6T and Form MA-T-Temporary Registration of Municipal Advisors
3235-0658 Rule 22e-3 (17 CFR 270.22e-3) under the Investment Company Act of 1940. Exemption for liquidation of money market funds
3235-0657 Rule 30b1-7 (17 CFR 270.30b1-7) under the Investment Company Act of 1940, "Monthly report for money market funds" and Form N-MFP, "Monthly schedule of portfolio holdings of money market funds."
3235-0656 Rule 17g-7 : Reports to be made public by nationally recognized statistical rating organizations (NRSROs)
3235-0655 Regulation 14N and Schedule 14N
3235-0654 Proposed Rule 22e-3 (17 CFR 270.22e-3) under the Investment Company Act of 1940. Exemptions for liquidation of money market funds
3235-0653 Proposed Rule 30b1-6 (17 CFR 270.30b1-6) under the Investment Company Act of 1940. "Monthly report for money market funds" and propsoed Form N-MFP."Monthly schedule of portfilio holdings of MM Funds"
3235-0652 Rule 30b1-6T (17 CFR 270.30b1-6) under the Investment Company Act of 1940, Weekly Portfolio Report for Certain Money Market Funds
3235-0651 Proposed Rules 201 and 200(g)
3235-0650 Request for a Letter of No Objection
3235-0649 Rule 17g-5 Conflicts of Interest
3235-0648 Rule 498 under the Securities Act of 1933, Summary Prospectuses for Open-End Management Investment Companies
3235-0647 Rule 204
3235-0646 Form SH
3235-0645 Interactive Data
3235-0644 Rule 17g-7, Credit rating reports to be furnished by nationally recognized statistical rating organizations
3235-0643 Rule 17g-5, Conflicts of Interest
3235-0642 Registered Investment Company Interactive Data
3235-0641 Study on the Impact of Companies' Compliance with the Requirements Implementing Section 404 of the Sarbanes-Oxley Act of 2002
3235-0640 Proposed Rule 6c-11 (17 CFR 270.6c-11) under the Investment Company Act of 1940. Exchange-Traded Funds.
3235-0639 Rule 12d1-4 Under the Investment Company Act of 1940, Fund of Funds Arrangements.
3235-0638 Individual Investor Plain English Survey Project
3235-0637 Rule 498 under the Securities Act of 1933, Summary Prospectuses for Open-End Management Investment Companies
3235-0636 Rule 0-2 under the Investment Company Act of 1940, General Requirements of Papers and Applications
3235-0635 Notice Of Application Of The National Association Of Realtors For Exemptive Relief Under Sections 15 And 36 Of The Exchange Act And Request For Comment
3235-0634 Rule 607 under Regulation E, Sales Material to Be Filed
3235-0633 Rule 0-4 under the Investment Advisers Act of 1940, General Requirements of Papers and Applications
3235-0632 Rule 12h-1(f)
3235-0631 XBRL Voluntary Program Questionnaire
3235-0630 Temporary rule for principal trades with certain advisory clients, rule 206(3)-3T.
3235-0629 Rule 17g-6 Prohibited Acts and Practices
3235-0628 Rule 17g-2 Records to be made and retained by nationally recognized statistical rating organizations
3235-0627 Rule 17g-4 Prevention of misuse of material nonpublic information
3235-0626 Rule 17g-3 Annual audited financial statements to be furnished by nationally recognized statistical rating organizations
3235-0625 Rule 17g-1 and Form NRSRO -Application for registration as a nationally recognized statistical rating organization
3235-0624 Regulation R-Rule Rule 701. Exemption from the definition of "broker" for certain institutional referrals.
3235-0623 Study of Marketing and Delivery of Financial Products to Individual Investors
3235-0622 Interagency Statement on Sound Practices Concerning Complex Structured Finance Activities
3235-0621 Form 15F
3235-0620 Investment Company Act rule 22c-2, 17 CFR 270.22c-2 Mutual Fund Redemption Fees
3235-0619 Rule 163
3235-0618 Rule 173
3235-0617 Rule 433
3235-0616 Rule 17a-27: Ownership of a National Securities Exchange, Registered Securities Association, or Facility of a National Securities Exchange or Registered Securities Association
3235-0615 Regulation AL
3235-0614 Form 2 and Rules 15Aa-1 and 15Aa-2: Form of Application and Amendments
3235-0613 Rule 6a-5 and 15Aa-3: Fair Administration and Goverance of National Securities Exchange and Registered Securities Associations
3235-0612 Rule 17a-26: Regulatory Reports of National Securities Exchanges and Registered Securities Associations.
3235-0611 Voluntary XBRL-Related Documents
3235-0610 Rule 248.30; 17 C.F.R Sec. 248.30, Procedures to safegard customer records and information; disposal of consumer report information.
3235-0609 Regulation S-AM: Limitations on Affilate Marketing
3235-0608 Rule 770 of Regulation B - Exemption from Definition of "Broker" for Banks that Effect Transactions in Securities in Certain Employee Benefit Plans
3235-0607 Rule 722 of Regulation B - Exemption for Banks From Determining Whether They are "Chiefly Compensated" on an Account-by-Account Basis
3235-0606 Rule 776 of Regulation B - Exemption for Banks Effecting Transactions for Certain Investors in Money Market Funds
3235-0605 Informal Interviews Regarding Use of Tagged Reporting Data in Securities and Exchange Commission filings
3235-0604 Exchange Act Form 10-D
3235-0603 Rule 202(a)(11)-2
3235-0602 Informal Interviews Regarding Securities Held of Record
3235-0600 Order Protection Rule - Rule 611 of Regulation NMS
3235-0599 Rule 15c2-3 Point-of-sale disclosure for purchase transactions in open-end management investment company shares, unit investment trust interests, and municipal fund securities used for education
3235-0598 Rule 15c2-2 Confirmation of transactions in open-end management investment company shares, unit investment trust interests and municipal fund securities used for education savings.
3235-0597 Rule 31 Section 31 transaction fees; Form R31-Form for reporting covered sales and covered round turn transactions under Section 31 of the Securities Exchange Act of 1934
3235-0596 Rule 204A-1
3235-0595 Investment Company Act rule 22c-1, 17 C.F.R. Sec. 270.22c-1, Pricing of redeemable securities for distribution, redemption and repurchase.
3235-0594 Rule 17i-4 (17 CFR 240.17i-4): Internal Risk Management Control System Requirements for Supervised Investment Bank Holding Companies.
3235-0593 Rule 17i-3 (17 CFR 240.17i-3): Withdrawal from Supervision as an Supervised Investment Bank Holding Company
3235-0592 Rule 17i-2 (17 CFR 240.17i-2); Notice of Intention to be Supervised by the Commission as a Supervised Investment Bank Holding Company.
3235-0591 Rule 17i-8 (17 CFR 240.17i-8) Notification Requirements for Supervised Invesment Bank Holding Companies
3235-0590 Rule 17i-5 (17 CFR 240.17i-5): Record Creation, Maintenance, and Access Requirements for Supervised Investment Bank Holding Companies.
3235-0589 Regulation SHO, Rule 201
3235-0588 Rule 17i-6 (17 CFR 240.17i-6): Reporting Requirements for Supervised Investment Bank Holding Companies.
3235-0587 Investment Company Act rule 15a-5, 17 C.F.R. Sec. 270.15a-5, Exemption from shareholder approval for certain subadvisory contracts.
3235-0586 Investment Company Act Rule 38a-1, 17 C.F.R 270.38a-1, Compliance procedures and practices of registered investment companies.
3235-0585 Investment Advisers Act rule 206(4)-7, 17 C.F.R. Sec. 275.206(4)- 7, Compliance procedures and practices.
3235-0584 Rule 12d1-1 Exemptions for Investments in Money Market Funds
3235-0582 Form N-PX under the Investment Company Act of 1940, Annual Report of Proxy Voting Record
3235-0579 Regulation BTR
3235-0578 Form N-Q--Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company
3235-0577 Rule 30b1-5 under the Investment Company Act of 1940, "Quarterly Report" Originally submitted and approved as Proposed Rule 30b1-4 under the Investment Company Act of 1940, "Quarterly Report"
3235-0576 Regulation G
3235-0575 Regulation AC
3235-0574 Rule 3a-8 under the Investment Company Act; Certain Research and Development Companies
3235-0573 Record Retention under Regulation S-X
3235-0572 Reports of Evidence of Material Violations
3235-0571 Rule 206(4)-6 Under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-6)
3235-0570 Form N-CSR under the Securities Exchange Act of 1934 and under the Investment Company Act of 1940, Certified Shareholder Report of Registered Management Investment Companies
3235-0569 Written Statements of Senior Officers
3235-0568 Framework for a Public Accountability Board-Accountants and Audit Clients
3235-0567 Framework for a Public Accountability Board-PAB
3235-0566 Rule 27d-2 (17 CFR 270.27d-2) under the Investment Company Act of 1940, "Insurance Company Undertaking in Lieu of Segregated Trust Account."
3235-0565 Rule 482 under the Securities Act of 1933 Advertising by an Investment Company as Satisfying Requirements of Section 10
3235-0564 Rule 17a-6 exemption for transactions with portfolio affiliates
3235-0563 Rule 17a-10 Exemption for transactions with certain subadvisory affiliates
3235-0562 Rule 17d-1 Applications regarding joint enterprises or arrangements and certain profit-sharing plans
3235-0561 Rule 12d3-1 Exemption of acquisitions of securities issued by persons engaged in securities related businesses
3235-0560 Rule 27d-1 (17 CFR 270.27d-1) under the Investment Company Act of 1940 "Reserve Requirements for Principal Underwriters and Depositors to Carry Out the Obligations to Refund Charges and Form N-27d-1
3235-0559 Exemption for Certain Investment Advisers Operating Through the Internet (Rule 203A-2(e))
3235-0558 Waiver of Auditor Consent and Reissued Accountants' Report
3235-0557 Temporary Relief For Certain Entities Audited by Arthur Andersen LLP
3235-0556 Form BD-N/Rule 15b11-1 Application for registration as a notice registered broker-dealer
3235-0555 Rule 6h-1 Under the Securities Exchange Act of 1934
3235-0554 Rule 6a-4 under the Securities Exchange Act of 1934 and Form 1-N under the Securities Exchange Act of 1934
3235-0553 Rule 19b-7 and Form 19b-7
3235-0552 Rule 87, 17 CFR 250.87, Subsidiaries authorized to perform services or construction or to sell goods.
3235-0550 Securities Act Rule 477
3235-0549 Securities Act Rule 155
3235-0548 Rule 35d-1 Investment Company Names
3235-0547 Investor Form
3235-0546 Rule 27f-1 (17 C.F.R. 270.27f-1),"Notice of Right of Withdrawal to be Mailed to Periodic Payment Plan Certificate Holders and Exemption from Section 27(f) for Certain Periodic Payment Plan...
3235-0545 Rule 27e-1 [17 CFR Sec. 270.27e-1] and Form N-27E-1 [17 CFR 274.127e-1]
3235-0544 Online Investor Behavior Survey
3235-0543 Proposed 17 CFR 240.11Ac1-7 Trade-Through Disclosure Rule
3235-0542 Rule 605 of Regulation NMS (f/k/a Rule 11Ac1-5)
3235-0541 Rule 606 of Regulation NMS (f/k/a Rule 11Ac1-6)
3235-0540 Rule 17a-25, Electronic Submission of Securities Trading Data by Exchange Members, Brokers, and Dealers.
3235-0539 Securities and Exchange Commission Survey on Reciprocal Subpoena Enforcement
3235-0538 Form ADV-H under the Investment Advisers Act of 1940
3235-0537 Regulation S-P; Privacy of consumer financial information (17 CFR Part 248)
3235-0536 Regulation FD - Other Disclosure Materials
3235-0535 Year 2000 Information and Readiness Disclosure Act; Information To Be Submitted by Certain Brokers and Dealers
3235-0534 Year 2000 Information and Readiness Disclosure Act; Information To Be Submitted by Exchanges and Utilities
3235-0533 Millennium Transition Questionnaire for Mutual Fund Industry
3235-0532 Rule 202(a)(11)-1 under the Investment Advisers Act of 1940- Certain Broker-Dealers Deemed Not To Be Investment Advisers
3235-0531 Rule 0-1 (17 C.F.R 270.0-1) under the Investment Company Act of 1940, Definition of terms used in this part
3235-0530 Rule 32a-4 (17 CFR Sec. 270.32a-4) under the Investment Company Act of 1940, "Independent Audit Committees"
3235-0529 Rule 17f-7 (17 CFR 270.17f-7) under the Investment Company Act of 1940, Custody of Investment Company Assets with A Foreign Securities Depository 
3235-0528 Rule 237 (17 CFR 230.237) under the Securities Act of 1933, Exemption for offers and sales to certain Canadian tax-deferred retirement savings accounts
3235-0527 Rule 7d-2 (17 CFR 270.7d-2) under the Investment Company Act of 1940, Definition of "public offering" as used in section 7(d) of the Act with respect to certain Canadian tax-deferred
3235-0526 Operational Capability in a Year 2000 Environment -- Rule
3235-0525 Operational Capability in a Year 2000 Environment-Rule 17Ad- 21T(g)
3235-0524 Records To Be Made and Retained by Certain Exchange Members, Brokers, and Dealers -- Rule 17a-9T
3235-0523 Operational Capability in a Year 2000 Environment -- Rule
3235-0522 Rule 701-Exemption for offers and sales of securities pursuant to certain compensatory benefit plans and contracts relating to compensation.
3235-0521 Rule 425
3235-0520 Securities Registration -- Form B
3235-0519 Securities Registration -- Form C
3235-0518 Form CB, Tender Offer/Rights Offering Notification Form
3235-0517 Small Business Issuers Securities Registration -- Form SB-3
3235-0516 Issuers Registering Offerings of Securities That Are Not Eligible To Use Other Forms -- Form A
3235-0515 Schedule TO
3235-0514 Rule 8c-1, Hypothecation of customer's securities
3235-0513 Year 2000 Compliance, Investment Advisers Report -- Rule 204-5 under the Investment Advisers Act of 1940, 17 CFR 275
3235-0512 Reports To Be Made by Certain Non-Bank Transfer Agents, Year 2000 Problem -- Rule 17Ad-18(f), 17 CFR 240.17Ad-18(f)
3235-0511 Reports To Be Made by Certain Brokers and Dealerrs, Year 2000 Problem -- Rule 17a-5(e)(5), 17 CFR 240.17a-5(e)(5)
3235-0510 Rule 302 (17 CFR 242.302) Recordkeeping Requirements for Alternative Trading Systems
3235-0509 Regulation ATS Rule 301 Amendments
3235-0508 Rule 17a-3(a)(16); Records to be made by certain exchange members, brokers and dealers.
3235-0507 Rule 19b-5 and Form PILOT
3235-0506 Rule 17a-4(b)(11); Records to be preserved by certain exchange members, brokers and dealers.
3235-0505 Rule 303 (17 CFR 242.303) Record Preservation Requirements for Alternative Trading Systems
3235-0504 Rule 19b-4(e) under the Securities Exchange Act of 1934 (17 CFR 240.19b-4(e))
3235-0503 Form N-6 (17 CFR 239.17c) under the Securities Act of 1933 and (17 CFR 274.11d) under the Investment Company Act of 1940, Registration Statement of Separate Accounts Organized as Unit Investment Trust
3235-0500 Filing and Amendment of National Market System Plans (17 CFR 242.608)
3235-0499 Net Capital Requirements for Brokers or Dealers; Definitions; NRSRO Rule 15c3-1(c)(13)(17 CFR 240.15c3-1(c)(13))
3235-0498 Rule 17a-12; Reporting Requirements for OTC Derivatives Dealers.
3235-0497 Rule 15c3-4; Internal Risk Management Control Systems.
3235-0496 Rule 15c3-1f (Appendix F to Rule 15c3-1), Optional Market and Credit Risk Requirements for OTC Derivatives Dealers
3235-0495 Rule 154 under the Securities Act of 1933, “Delivery of Prospectuses to Investors at the Same Address.” 17 CFR 230.154.
3235-0494 Rule 30e-2 (17 CFR 270.30e-2) pursuant to Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a-29(e)), Reports to Shareholders of Unit Investment Trusts
3235-0493 Mutual Fund Fee Survey
3235-0492 Uniformity of State Registration Requirements for Securities and Securities Transactions
3235-0491 Mutual Fund Fee Survey
3235-0490 Schedule I to Form ADV under the Investment Advisers Act of 1940 -- 17 CFR 275.203-1, 17 CFR 275.204-1, 17 CFR 279.1
3235-0489 Securities Exchange Act of 1934 Rule 17a-6 (17 CFR 240.17a-6); Right of National Securities Exchange, National Securitise Association, Registered clearing Agency or the Municipal Securities ...
3235-0488 Rule 498 under the Securities Act of 1933, Profiles for Certain Open-End Management Investment Companies
3235-0487 The U.S. Securities and Exchange Commission Requests Comments from Registered Broker-Dealers on State Licensing Requirements for Registered Persons
3235-0486 Improving the Shareholder Proposal Process
3235-0485 Rule 15c2-1; Hypothecation of Customer Securities
3235-0483 "Transition Rules" -- Rule 203A-5 under the Investment Advisers Act of 1940, 17 CFR 275.203A-5; Form ADV-T under the Investment Advisers Act of 1940, 17 CFR 279.3
3235-0482 Form DF
3235-0481 Rule 15c2-8, 17 CFR 240.15c2-8 Delivery of Prospectus
3235-0480 Exchange Act Rule 9b-1 (17 CFR 240.9b-1): Options Disclosure Document
3235-0479 Rule 15c2-7, Identification of Quotations (17 CFR 240.15c2-7)
3235-0478 Exchange Act Rule 11a1-1(T) (17 CFR 240.11a1-1(T)); Transactions yielding priority, parity, and precedence
3235-0476 Rule 10b-17, Untimely announcement of record dates (17 CFR 240. 10b-17)
3235-0475 Rule 10a-1; 17 CFR 240.10a-1 (Short Sales).
3235-0474 Rule 10b-18 (17 CFR Sec. 240.10b-18); Purchases of Certain Equity Securities by the Issuer and Others
3235-0473 Rule 17Ad-3(b)(17 CFR 240.17Ad-3); Notice to Issuers of Non- Compliance with Transfer Agent Turnaround Standards.
3235-0472 Rule 15c1-6 (17 CFR 240.15c1-6) Disclosure of Interest in Distribution.
3235-0471 Rule 15c1-5 (17 CFR 240.15c1-5) Disclosure of Control
3235-0470 Reports of Lost Securityholders -- Proposed Rule 17a-24
3235-0469 Transfer Agents' Obligation to Search for Lost Securityholders (17 CFR 240.17Ad-17)
3235-0468 Rule 10A-1 under the Securities Exchange Act of 1934
3235-0467 Rule 102, 17 CFR 242.102 (Activities by Issuers or Selling Securityholders During a Distribution)
3235-0466 Rule 103, 17 CFR 242.103 (Nasdaq Passive Market Making)
3235-0465 Rule 104, 17 CFR 242.104 (Stabilizing and other activities in connection with an offering)
3235-0464 Rule 101, 17 CFR 242.101 (Activities by Distribution Participants)
3235-0463 "Tell Us How We're Doing"
3235-0462 Display of Customer Limit Orders (17 CFR 242.604
3235-0461 Dissemination of Quotations -- Rule 602 of Regulation NMS
3235-0460 Solicitation of Interest Document for Use Prior to an Initial Public Offering -- Rule 135(d)
3235-0459 Rule 3a-4 (17 CFR 270.3a-4) under the Investment Company Act of 1940, "Status of Investment Advisory Programs."
3235-0458 Rule 30b3-1: Quarterly Report for Money Market Funds
3235-0457 Rule 58 - Exemption of Investments in certain Nonutility Companies; Form U9C-3 Certificate of Notification
3235-0456 Form 24F-2 (17 CFR 274.24) -- Annual Notice of Securities Sold Pursuant to Rule 24f-2
3235-0455 ANNUAL REPORT ON INVESTMENT ADVISER'S BROKERAGE DIRECTION PRACTICES -- FORM ADV-B
3235-0454 ANNUAL REPORT ON BROKERAGE PRACTICES -- RULE 204-4
3235-0453 QUESTIONNAIRE TO STATE UTILITY COMMISSIONERS
3235-0452 Notice of Exempt Preliminary Roll-Up Communication
3235-0451 Mutual Fund Mail Survey
3235-0450 Mutual Fund Telephone Survey
3235-0449 MUTUAL FUNDS PROSPECTUSES TELEPHONE SURVEY
3235-0448 Mall Intercept Survey
3235-0447 Rule 17f-6 [17 CFR 270.17f-6], "Custody of Investment Company Assets with Futures Commission Merchants and Commodity Clearing Organizations."
3235-0446 TIMELINESS OF REGISTRANT MAILINGS OF PROXY MATERIAL LETTER
3235-0445 CONFIRMATION OF MUNICIPAL SECURITIES TRANSACTIONS -- 240.15C2-13
3235-0444 Rule 10b-10 Confirmation of Securities Transactions (17 C.F.R. 240.10b-10)
3235-0442 Recordkeeping and Reporting Requirements Relating to Broker- Dealer Trading Systems (17 CFR 240.17a-23)
3235-0441 Rule 18f-3 (17 CFR 270.18f-3) under the Investment Company Act of 1940, Multiple class companies
3235-0440 MUTUAL FUND FOCUS GROUP RESEARCH SURVEY
3235-0437 INFORMAL INTERVIEWS CONCERNING MUNICIPAL SECURITIES
3235-0436 MUTUAL FUND SURVEY
3235-0435 Customer Account Statements (17 CFR 242.607)
3235-0434 Rule 15-g2 (17 CFR 240.15g-2) Risk disclosure document relating to the Penny Stock Rules
3235-0433 INTERVIEWS REGARDING ASSET-BACKED SECURITIES DISCLOSURE, REGISTRATION AND REPORTING PROCEDURES
3235-0432 Procedure with Respect to Applications and Other Matters -- Rule 0-5 under the Investment Company Act of 1940
3235-0431 FILING OF OFF-THE-PAGE PROSPECTUS FOR PRE-PUBLICATION REVIEW AND NOTICE OF USE OR PUBLICATION OF OFF-THE-PAGE PROSPECTUS -- FORM 482(G)
3235-0430 Rule 55, Exemption for certain acquisitions of one or more foreign utility companies
3235-0429 Title Rule 57(b) Reporting Requirement for Associate Public- Utility Companies. Form U-33-S.
3235-0428 Rule 57(a) and Form U-57, Notification of Foreign Utility Company Status and Notification of Acquisition of an Interest in a Foreign Utility Company
3235-0427 Rule 54, Effect of Exempt Wholesale Generators on Other Transactions
3235-0426 Rule 53, certain registered holding company financings in connection with the acquisition of one or more exempt wholesale generators or foreign utility companies.
3235-0425 Form TH (Notification Of Reliance On Temporary Hardship Exemption)
3235-0424 Regulation S-T-General Rules and Regulations for Electronic Filings
3235-0423 Form SB-1-Securities Act Registration Statement
3235-0422 Repurchase Offers by Closed-End Companies, Rule 23c-3 and Form N-23c-3
3235-0421 REDEMPTIONS BY OPEN-END MANAGEMENT INVESTMENT COMPANIES AND REGISTERED SEPARATE ACCOUNTS AT PERIODIC INTERVALS OR WITH EXTENDED PAYMENT -- RULE 22E-3
3235-0420 Exchange Act Form 10-KSB
3235-0419 Exchange Act Form 10-SB
3235-0418 Form SB-2 - Registration Statement for Small Business Issuers
3235-0417 Regulation S-B-Integrated Disclosure System for Small Business Issuers
3235-0416 Form 10-QSB
3235-0415 INTERVIEWS REGARDING SECURITIES REGISTRATION PROCEDURES
3235-0414 EXCLUSION FROM THE DEFINITION OF INVESTMENT COMPANY FOR CERTAIN STRUCTURED FINANCINGS -- RULE 3A-7 UNDER THE INVESTMENT COMPANY ACT
3235-0413 Rule 17Ad-16 Notice of assumption or termination of transfer agent services
3235-0412 INFORMAL INTERVIEWS CONCERNING CAPITAL RAISING BY SMALL BUSINESSES
3235-0411 Rule 489 (17 CFR 230.489) under the Securities Act of 1933 and Form F-N
3235-0410 Rule 17h-1T (17 CFR 240.17h-1T); Risk assessment record-keeping requirements for associated persons of brokers and dealers Rule 17h-2T (17 CFR 240.17h-2T); Risk assessment reporting requirement
3235-0409 Notices regarding acceptance or rejection of securities transfer guarantees. 17 CFR 240.17Ad-15
3235-0408 Large Trader Reporting System -- Rule 13h-1 and Form 13-H
3235-0407 INFORMATION REQUEST FOR INTERMEDIARIES -- RULE 144A
3235-0406 INFORMATION REQUEST FOR QUALIFIED INSTITUTIONAL BUYERS -- RULE 144A
3235-0405 INFORMATION REQUEST FOR ISSUERS RULE 144A
3235-0404 Form F-80 - Canadian Securities
3235-0402 SECURITIES ACT OF 1933, FORM F-12
3235-0401 REGULATION 14D AND 14E
3235-0400 REGULATION 13E-4
3235-0399 SECURITIES ACT OF 1933 -- FORM F-11
3235-0398 FILING FEES ACCOUNT ID FORM
3235-0397 NOTICE REQUIREMENTS FOR EXEMPTIONS FROM RULES 10B-6, 10B-7, AND 10B-8 -- 17 CFR 240
3235-0396 Requirements Applicable to Penny Stock Market Makers (Rule Not Yet Adopted) -- Rule 15g-7(a)
3235-0395 Rule 15g-6; Account Statements for Penny Stock Customers
3235-0394 Rule 15g-5; Disclosure of Compensation of Associated Persons in Connection with Penny Stock Transactions
3235-0393 Rule 15g-4; Disclosure of compensation to brokers or dealers
3235-0392 Rule 15g-3; Broker-Dealer Disclosure of Quotations and other Information Relating to the Penny Stock Market
3235-0391 Form T-6
3235-0390 INFORMAL INTERVIEWS CONCERNING PROXY RULES
3235-0389 RULE 144A REQUEST FOR INFORMATION
3235-0388 EDGAR QUESTIONNAIRE
3235-0386 RULE 15C2-6 QUESTIONNAIRE
3235-0385 Rule 15g-9, Sales Practice Requirements for Certain Low-Priced Securities
3235-0384 TRUST INDENTURE ACT OF 1939 - FORM T-5
3235-0383 Form F-7 - Registration Statement
3235-0382 Schedule 14D-9F - Canadian Securities
3235-0381 Form 40-F
3235-0380 Form F-10 - Registration Statement
3235-0379 Form F-X
3235-0378 Form F-8-Registration Statement
3235-0377 Form F-9
3235-0376 Schedule 14D-1F-Tender Offer Statement
3235-0375 Schedule 13E-4F
3235-0373 RULE 15C2-10, TRADING AND INFORMATION FACILITIES
3235-0372 Municipal Securities Disclosure (17 CFR 240.15c2-12)
3235-0371 Rule 15a-6; Foreign Broker-Dealer Exemption
3235-0370 SURVEY OF INVESTOR COMPLAINANTS
3235-0369 Rule 52 - Exemption of Issue and Sale of Certain Securities Under the Public Utility Holding Act of 1935
3235-0367 LEVERAGED BUYOUT EMPLOYMENT EFFECTS QUESTIONNAIRE
3235-0362 Form 5 - Annual Statement of Beneficial Ownership
3235-0361 Form ADV-E, cover sheet for each certificate of accounting of client securities and funds in the custody of an investment adviser
3235-0360 Form N-17f-2 (17 CFR 274.220), "Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies," filed pursuant to Investment Company Act Rule 17f-2
3235-0359 Investment Company Act Form 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
3235-0358 Rule 11a-3 under the Investment Company Act of 1940 - Offers of Exchange by Open-End Investment Companies Other Than Separate Accounts.
3235-0357 Regulation S - Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933
3235-0356 MARKET RESTRUCTURING STUDY
3235-0355 APPLICATION OF COOLING-OFF PERIODS UNDER RULE 10B-6 TO DISTRIBUTIONS OF FOREIGN SECURITIES -- RUL 10B-6, 17 CFR 240.10B-6
3235-0354 Rule 19b-1 (17 CFR 270.19b-1) under the Investment Company Act of 1940 - Frequency of Distribution of Capital Gains
3235-0352 RULE 15CA2-2 - STATEMENT OF FINANCIAL CONDITION TO BE FILED WITH APPLICATION FOR REGISTRATION AS A GOVERNMENT SECURITIES BROKER OR DEALER
3235-0351 RULE 15CA1-1 NOTICE OF GOVERNMENT SECURITIES BROKER-DEALER ACTIVITIES
3235-0348 REGISTRATION OF AN INDEFINITE NUMBER OF SECURITIES BY UNIT INVESTMENT TRUSTS FOR PURPOSES OF THE SECONDARY MARKET -- RULE 24F-3
3235-0347 EXEMPTION FROM THE REGISTRATION REQUIREMENTS OF THE SECURITIES ACT OF 1933 FOR OFFERS AND SALES OF SECURITIES PURSUANT TO THE TERMS -- RULES 710, 702, 703, AND FORM701
3235-0346 Rule 34b-1 (17 CFR 270.34b-1) under the Investment Company Act of 1940, Sales Literature Deemed to be Misleading.
3235-0345 Rule 206(4)-4 under the Investment Adviser Act of 1940 (17 CFR 275.206(4)-4)
3235-0344 RULE 6C-9, EXEMPTION FOR OFFER OR SALE OF DEBT SECURITIES & NON-VOTING PREFERRED STOCK IN THE U.S. BY FOREIGN BANKS & SUBSIDIARIES ORGANIZED TO FINANCE THE OPERATIONS OF ....
3235-0343 ONE-TIME SURVEY OF FOREIGN BANK BROKER-DEALER SUBSIDIARIES AND AFFILIATES
3235-0342 ONE-TIME MUTUAL FUND ORGANIZATION SURVEY
3235-0341 Rule 17Ad-4(b)&(c): Notices Regarding Exempt Transfer Agent Status
3235-0340 ATTORNEY SUPPLEMENT TO STANDARD FORM 171
3235-0338 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 AND THE INVESTMENT COMPANY ACT FO 1940 FOR UNIT INVESTMENT TRUSTS OTHER THAN INSURANCE SEPARATE ACCOUNTS -- FORM N-7
3235-0337 Transfer Agent's Annual Report 17 CFR 240.17Ac2-2, Form TA-2
3235-0336 Form N-14, for the registration of securities under the Securities Act of 1933 issued in business combination transaction by investment companies and business development companies.
3235-0335 ATTORNEY SUPPLEMENT TO STANDARD FORM 171
3235-0333 RULE 26A-3
3235-0332 Rule 2a19-1 under the Investment Company Act of 1940--Certain Investment Company Directors Not Considered Interested Persons
3235-0331 1984 RESEARCH FORUM QUESTIONNAIRE
3235-0330 Form N-SAR under the Investment Company Act of 1940, Semi-Annual Report for Registered Investment Companies
3235-0329 Form ET-EDGAR Electronic File
3235-0328 Form ID - EDGAR Password
3235-0327 Form SE - EDGAR Exhibits
3235-0325 Form F-4 - Registration Statement
3235-0324 Form S-4 - Registration Statement
3235-0323 A STUDY ON THE MARKETABILITY AND BENEFITS OF INFORMATION PRODUCTS DERIVED FROM THE COMMISSION'S PROPOSED EDGAR SYSTEM (RESPONSES ARE VOLUNTARY)
3235-0321 ONE-TIME SURVEY OF FUTURES AND OPTIONS MARKETS
3235-0320 SEC 1984 MAJOR ISSUES CONFERENCE EVALUATION QUESTIONNAIRE
3235-0319 ELECTRONIC DATA GATHERING AND RETRIEVAL (EDGAR) QUESTIONNAIRE
3235-0318 Form N-4 (17 CFR 239.17b) under the Securities Act of 1933 and (17 CFR 274.11c) under the Investment Company Act of 1940, registration statement of separate accounts organized as unit investment trust
3235-0316 Form N-3 under the Securities Act of 1933 and under the Investment Company Act of 1940, registration of separate accounts organized as management investment companies.
3235-0315 PROCUREMENT
3235-0313 Rule 203-2 and Form ADV-W under the Investment Advisers Act of 1940
3235-0312 RULE 19B-1 UNDER THE INVEST. CO. ACT OF 1940 -- ALLOWANCE OF AN ADDITIONAL DISTRIBUTION OF LONG-TERM CAPITAL GAINS BY A REGISTERED INVESTMENT COMPANY DURING ANY ONE TAX YEAR
3235-0311 Rule 7d-1 (17 CFR 270.7d-1) under the Investment Company Act of 1940
3235-0310 Rule 22d-1 under the Investment Company Act of 1940 - Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.
3235-0307 Form N-1A under the Securities Act of 1933 and under the Investment Company Act of 1940, registration statement of open- end management investment companies
3235-0306 Part 257 [17 CFR 257] Preservation and Destruction of Records of Registered Public Utility Holding Companies and of Mutual and Subsidiary Service Companies.
3235-0305 Rule 13e-1
3235-0298 RULE 23C-1, REPURCHASE OF SECURITIES BY CLOSED-END COMPANIES
3235-0297 RECORDKEEPING (BY SEC ONLY FIRMS) 17 CFR 240.15B10-6
3235-0292 Form F-6-Registration Statement
3235-0291 Rules 17Ad-6, 17 CFR 240.17Ad-6 and 17Ad-7, 17 CFR 240.17Ad-7: Recordkeeping Requirements for Registered Transfer Agents
3235-0290 Rule 17f-1(g), 17 CFR 240.17f-1(g): Recordkeeping Requirements for the Lost & Stolen Securities Program
3235-0288 Form 20-F
3235-0287 Form 4 - Statement of Changes in Beneficial Ownership of Securities
3235-0286 Regulation A (Form 1-A): Small Issuer exemption from registration under the Securities Act and its attendant form.
3235-0284 RULE 13E-1 UNDER THE EXCHANGE ACT
3235-0283 PART 257 (17 CFR) APPENDIX-REGULATION TO GOVERN THE PRESERVATION AND THE DESTRUCTION OF BOOKS OF ACCOUNTS AND OTHER RECORDS OF CO.'S WHICH ARE SUBJ. TO SEC. 250.26
3235-0282 RULE 23C-2, CALL AND REDEMPTION OF SECURITIES ISSUED BY REGISTERED CLOSED-END COMPANIES
3235-0279 Rule 17a-4; Records to be Preserved by Certain Exchange Members, Brokers and Dealers
3235-0278 Rule 204-2 under the Investment Advisers Act of 1940
3235-0276 Rule 6c-7 [17 CFR 270.6c-7] under the Investment Company Act of l940: Exemption from Certain Provisions of Section 22(e) and 27 for Registered Separate Accounts Offering Variable Annuity Contracts to
3235-0275 Exchange Act Rules 17Ad-13; Annual Study and evaluation of internal accounting control
3235-0274 Reports regarding aged record differences, buy-ins and failure to post certificate detail to master securityholder and subsidiary files (17 CFR 240.17Ad-11)
3235-0273 Rule 17Ad-10: Accurate Creation and Maintenance of Securityholder Files (17 CFR 240.17Ad-10)
3235-0272 Rule 11a-2 (CFR 270.11a-2) under the Investment Company Act of 1940:Offersof Exchange by Certain Registered Separate Accounts or Others the Terms of Which Do Not Require Commission Approval
3235-0271 RESEARCH FORUM VOLUNTARY QUESTIONNAIRE
3235-0269 Rule 17f-5 (17 CFR 270.17f-5) under the Investment Company Act of 1940, Custody of Investment Company Assets Outside the United States
3235-0268 Rule 2a-7 (17 CFR 270.2a-7) under the Investment Company Act of 1940, Money market funds
3235-0267 FORM U-5
3235-0266 INTERVIEW SECTION OF THE BROKER-DEALER EXAMINATION CHECKLIST
3235-0263 PROPOSED REVISIONS TO RULE 144 AND RESCISSION OF RULE 237 AND FORM 237
3235-0262 RULE 13E-1 UNDER THE EXCHANGE ACT
3235-0261 PART 257 (17 C.F.R.) APPENDIX-REGULATION TO GOVERN THE PRESERVATION AND DESTRUCTION OF BOOKS OF ACCOUNTS AND OTHER RECORDS OF COMPANIES WHICH ARE SUBJECT TO SECTION 250.26
3235-0260 Rule 23c-1 Repurchase of Securities of Closed-End Companies
3235-0259 Rule 19h-1 - Notices by SROs of Proposed Admission to or Continuance in Membership or Participation or Association with a Member of any Person Suject to a Statutory Disqualification
3235-0258 Form F-1 - Registration Statement
3235-0257 Form F-2 Registration Statement
3235-0256 Form F-3 Registration Statement
3235-0255 FORM N-27E-1, NOTICE OF 18-MONTH SURRENDER RIGHTS WITH RESPECT TO PERIODIC PAYMENT PLAN CERTIFICATES
3235-0254 FORM N-27D-1, ACCOUNTING OF SEGREGATED TRUST ACCOUNT
3235-0253 FORM N-27F-1, NOTICE OF PERIODIC PAYMENT PLAN CERTIFICATE HOLDERS OF 45-DAY WITHDRAWAL RIGHTS WITH RESPECT TO PERIODIC PAYMENT PLAN CERTIFICATES
3235-0251 N-27D-2, QUARTERLY REPORT OF REGISTERED INVESTMENT COMPANIES THAT ARE ISSUERS OF PERIODIC PAYMENT PLAN CERTIFICATES
3235-0249 Exchange Act Rule 12f-3 - Termination or Suspension of Unlisted Trading Privileges (17 CFR 240.12f-3)
3235-0248 Notification of Changes in Securities Admitted to Unlisted Trading Privileges -- Rule 12f-2 and Form 27
3235-0247 Form N-8B-4 under the Investment Company Act of 1940 - Registration Statement of Face-Amount Certificate Companies
3235-0246 NORM N-1Q FAMILY OF 1940 ACT CALENDAR QUARTERLY REPORTS
3235-0245 Exemption for Certain Registered Separate Accounts and Other Persons -- Rule 6c-6 under the Investment Company Act of 1940
3235-0244 RULE 204-2 BOOKS AND RECORDS TO BE MAINTAINED BY INVESTMENT ADVISERS
3235-0243 Rule 206(3)-2 under the Investment Advisers Act of 1940 -- Agency Cross Transactions for Advisory Clients
3235-0242 Rule 206(4)-3 under the Investment Advisers Act of 1940 (17 CFR 275.206(4)-3)
3235-0241 Rule 206(4)-2 under the Investment Advisers Act of 1940--Custody of Funds or Securities of Clients by Investment Advisers
3235-0240 Rule 0-2 and Form ADV-NR under the Investment Advisers Act of 1940
3235-0238 Form N-6F under the Investment Company Act of 1940, notice of intent to elect to be subject to Section 55 through 65 of the Investment Company Act of 1940
3235-0237 Form N-54A under the Investment Company Act of 1940; Notification of Election to be Subject to Sections 55 through 65 of the Investment Company Act of 1940 filed pursuant to Section 54(a) of the Act
3235-0236 Form N-54C under the Investment Company Act, Notification of Withdrawal of Election to be Subject to Sections 55 through 65 of the Investment Company Act of 1940
3235-0235 Rule 17a-8 of the Investment Company Act of 1940; Mergers of affiliated companies
3235-0234 RULE 270.22D-4 - SALE OF REDEEMABLE SECURITIES PURSUANT TO CERTAIN MERGERS WITH PRIVATE INVESTMENT COMPANIES
3235-0233 Form 2-E under the Securities Act of 1933, Report of Sales pursuant to Rule 609 of Regulation E. Rule 609 under the Securities Act of 1933, Report of Sales.
3235-0232 Form 1-E-Notification Under Regulation E; Rule 604-Filing or Notification on Form 1-E; Rule 605-Filing and Use of the Offering Circular
3235-0231 INVESTMENT COMPANY INSPECTION OUTLINE INSPECTIONS AUTHORIZED BY SECTION 31(B) OF THE INVESTMENT COMPANY ACT OF 1940 AND INVESTMENT ADVISER INSPECTION OUTLINE
3235-0230 Form N-23C-1 Statement By Registered Closed-End Investment Company With Respect To Purchases Of Its Own Securities Pursuant To Rule 23c-1 During The Last Calendar Month
3235-0229 Form N-17D-1 Report Filed by Small Business Investment Company (SBIC) Registered Under the Investment Company Act of 1940 and an Affiliated Bank, with Respect to Investments by the SBIC and the Bank
3235-0227 AMENDMENT TO INVESTMENT COMPANY ANNUAL REPORTING FORM N-1R
3235-0226 Rule 10f-3 (17 CFR 270.10f-3) under the Investment Company Act of 1940, Exemption for the Acquisition of Securities During the Existence of an Underwriting or Selling Syndicate
3235-0225 Rule 17f-4 (17 CFR 270.17f-4) under the Investment Company Act of 1940, "Custody of Investment Company Assets with a Securities Depository"
3235-0224 Rule 17j-1 (17 CFR 270.17j-1) under the Investment Company Act of 1940, Personal Investment Activities of Investment Company Personnel
3235-0223 Rule 17f-2 (17 CFR 270.17f-2) under the Investment Company Act of 1940, Custody of Investments by Registered Management Investment Company.
3235-0222 Investment Company Act Rule 17f-1, "Custody of Securities with Members of National Securities Exchanges"
3235-0220 Rule 30b2-1 under the Investment Company Act of 1940, Filing of Reports to Stockholders
3235-0219 Rule 30a-1 (17 CFR 270.30a-1) under the Investment Company Act
3235-0218 RULE 30B1-2, QUARTERLY REPORT FOR TOTALLY HELD REGISTERED INVESTMENT COMPANY SUBSIDIARY OF REGISTERED INVESTMENT COMPANY
3235-0217 Investment Company Act rule 17e-1, CFR Sec. 270.17e-1, Brokerage Transactions on a Securities Exchange
3235-0216 Investment Company Act Rule 19a-1, 17 CFR 270.19a-1, Written Statement to Accompany Dividend Payments by Management Companies
3235-0215 FORM 2-MD, ANNUAL REPORT FOR INVESTMENT TRUSTS HAVING SECURITIES REGISTERED ON FORMS N-1, N-2, OR S-6
3235-0214 Investment Company Act rule 17a-7, 17 C.F.R. Section 270.17a-7 Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof.
3235-0213 Rule 17g-1 (17 CFR 270.17g-1) under the Investment Company Act of 1940: Bonding of Officers and Employees of Registered Management Investment Companies
3235-0212 Rule 12b-1 [17 CFR 270.12b-1] under the Investment Company Act of 1940: Distribution of Shares by Registered Open-end Management Investment Company
3235-0211 Investment Company Act rule 18f-1, 17 C.F.R. Sec. 270.18f-1, exemption from certain requirements of section 18(f)(1) for registered open-end investment companies that have the right to redeem in kind;
3235-0210 FORM N-5R, ANNUAL REPORT FORM OF SMALL BUSINESS INVESTMENT COMPANIES
3235-0209 RULE 30A-3, ANNUAL REPORT FOR TOTALLY HELD REGISTERED INVESTMENT COMPANY SUBSIDIARY OF REGISTERED INVESTMENT COMPANY
3235-0208 Rule 17a-1: Recordkeeping Rule for National Securities Exchanges, National Securities Associations, Registered Clearing Agencies, and the Municipal Securities Rulemaking Board.
3235-0207 MONITORING EFFECT OF COMPETITIVE COMMISSION RATES (17 CFR 240.17A-20)
3235-0206 Rule 19d-1-SRO disciplinary actions, denial, bar, prohibition, or limitation of membership, summarily suspending a member and delisting a security
3235-0205 Rule 19d-2. Applications for Stays of Disciplinary Sanctions or Summary Suspensions by a Self Regulatory Organization
3235-0204 Rule 19d-3-Application for Review of Final Disciplinary Sanctions Denials of Membership Participation or Limitations of Access to Services Imposed by Self-Regulatory Organizations (17 CFR 240.19d
3235-0203 Tender Offers -- Schedule 13E-4
3235-0202 Rule 15c2-11, 17 CRF 240.15c2-11 (Publication or submission of quotations without current information)
3235-0201 Rule 17a-2, 17 CFR 240.17a-2 (Recordkeeping Requirements Relating to Stabilizing Activities)
3235-0200 Rule 15c3-1; Net Capital Requirements for Brokers and Dealers
3235-0199 Rule 17a-5(c); Customer Financial Statements for Brokers and Dealers.
3235-0198 Rule 15c2-5 (17 CFR 240.15c2-5); Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions
3235-0197 RECORDS TO BE PRESERVED BY BROKER-DEALERS, RULE 17A-4 (17 CFR 240.17A-4)
3235-0196 Rule 17a-22, 17 CFR 240.17a-22; Supplemental Material of Registered Clearing Agencies
3235-0195 Rule 17Ab2-1 Registration of Clearing Agencies (17 CFR 24017Ab2- 1a) and Form CA-1 (17 CFR 249b.200
3235-0194 Exchange Act Rule 24b-1 - Documents to be kept public by exchanges (17 CFR 240.24b-1).
3235-0193 REPORTING REQUIREMENT FOR MARKET-MAKERS IN OTC MARGIN SECURITIES, RULE 17A-12, 17 CFR 240.17A-12, FORM 17 CFR 249.620
3235-0192 REPORTING REQUIREMENT FOR MARKET-MAKERS IN MARGIN SECURITIES, RULE 17A-12, 17 CFR 240-17A-12, FORM X-17A-2(1), 17 CFR 249.619
3235-0191 REPORTS ON FORM 10-C BY ISSUERS OF SECURITIES QUOTED ON THE 13A-17, 17 CFR 249.310C, 17 CFR 240.13A-17, 17 CFR 240.15D-17
3235-0190 FIDELITY BONDS 17 CFRCFR 240.15B10-11
3235-0189 STANDARDS FOR PUBLIC OFFERINGS OF THE SECURITIES OF NON-MEMBER BROKER-DEALERS 17 CFR 240.15B10-8
3235-0188 RECORDKEEPING (BY SEC ONLY FIRMS) 17 CFR 240.15B10-6
3235-0186 Form N-8B-2, Registration Statement of Unit Investment Trusts Which Are Currently Issuing Securities
3235-0184 Form S-6 [17 CFR 239.19], for registration under the Securities Act of 1933 of Unit Investment Trusts registered on Form N-8B-2
3235-0183 Rule 26-Financial Statement and recordkeeping requirements for registered holding companies and subsidiaries (17 C.F.R. 250.26)
3235-0182 Form U-13-1, for applications for approval of mutual service companies under Rule 88 (250.88 of this chapter).
3235-0181 Rule 83--Exemption in the Case of Transactions with Foreign Associates
3235-0179 Rule 31a-2: Records to be preserved by registered investment companies, certain majority-owned subsidiaries thereof, and other persons having transactions with registered investment companies.
3235-0178 Rule 31a-1 under the Investment Company Act of 1940 (17 CFR 270.31a-1)
3235-0177 Rule 270.6e-2 under the Investment Company Act of 1940, exemption for certain variable separate accounts, including Form N-6EI-1, notification of claim of exemption from registration
3235-0176 Family of rules under section 8(b) of the Investment Company Act of 1940. 17 CFR 270.8b-1 to 270.8b-33.
3235-0175 Form N-8A under the Investment Company Act of 1940: Notification of Registration of Investment Companies
3235-0173 Rule 71 [17 CFR 250] Statements to be Filed Pursuant to Section 12(i). Form U-12(1)-A, Form U-12(1)-B
3235-0171 ACQUISITION, RETIREMENT AND REDEMPTION OF SECURITIES BY ISSUER (17 CFR 250.42)
3235-0170 Family of Registration Filings-Rules 1(a) and (b); Form U5A SEC 1843 and U5B SEC 1844.
3235-0169 Form N-5, registration statement of small business investment companies under the Securities Act of 1933 and the Investment Company Act of 1940
3235-0168 RULE 7D-1(B)(8)(I), (III) AND (VIII) UNDER THE INVESTMENT COMPANY ACT OF 1940 -- SPECIFICATION OF CONDITIONS AND ARRANGEMENTS FOR MANAGEMENT INVESTMENT COMPANIES REQUESTING
3235-0167 Form 15
3235-0166 REGISTRATION STATEMENT OF UNINCORPORATED MANAGEMENT INVESTMENT COMPANIES CURRENTLY ISSUING PERIODIC PLAN CERTIFICATES, FORM N-8B-3
3235-0165 Form U-7D-Certificate - Public Utility Holding Company Act of 1935
3235-0164 Rule 1(c) and Form U5S there under, annual report
3235-0163 Form U-6B-2, Prescribed by 17 CFR 250.20(d), 17 CFR 250.52(c) and 17 CFR 250.47
3235-0162 Rule 95-Reports Required from Affiliate Service Companies Principally Engaged in Performing Services. Form U-13E-1-Report to be Filed by an Affiliate Service Company or a Company
3235-0161 Form U-3A-2, Statement of Holding Company Claiming Exemption, Rule 2
3235-0160 Rule 3-Exemption of Certain Banks Form U-3A3-1-Statement by Bank Claiming Exemption
3235-0159 Registration of an Indefinite Number of Certain Investment Rule 24f-2 under the Investment Company Act of 1940
3235-0158 Rule 20a-1 under the Investment Company Act of 1940, Solicitation of Proxies, Consents and Authorizations
3235-0157 Form N-8F Application for Deregistration of Certain Registered Investment Companies
3235-0156 LOANS TO EMPLOYEES (17 CFR 250.48(B) AND FORM U5S, ITEM 9(B)
3235-0155 Retroactive Registration under the Securities Act of 1933 Rule 24f-1 under the Investment Company Act of 1940
3235-0154 Rule 45 (17 CFR 250.45) under the Public Utility Holding Company Act of 1935, Loans, extensions of credit, donations and capital contributions to associate companies
3235-0153 Form U-13-60, Rules 93 and 94
3235-0152 Solicitation of Securities; 17 CFR 250.62 and Form U-R-1
3235-0151 Rule 17Ac3-1(a) (17 CFR 240.17Ac3-1(a)) and Form TA-W- Withdrawal from Registration with the Commission as a Transfer Agent. (17 CFR 240.17Ac3-1(a))
3235-0149 Rule 29 - Filings of Reports to State Commissions
3235-0147 Rule 44-Sales of securities and assets. (17 C.F.R. 250.44)
3235-0146 ANNUAL ASSESSMENTS FOR SECO BROKERS AND DEALERS, (17 CFR 240.15B9-2), FORM SECO-4-81 (17 CFR 249.5040)
3235-0145 Regulation 13D and Regulation 13G; Schedule 13D and Schedule 13G
3235-0144 VOLUNTARY SURVEY OF PRIVATELY PLACED SECURITIES (MONTHLY) (FAMILY)
3235-0143 FORM 20-F, CONSOLIDATED REGISTRATION AND ANNUAL REPORT FORM FOR FOREIGN PRIVATE ISSUERS
3235-0141 FORM 8
3235-0140 RULE 6C-6(T) TEMPORARY EXEMPTIVE RULE FOR REGISTERED SEPARATE ACCOUNTS AND OTHER PERSONS
3235-0139 EXEMPTION FOR FOREIGN SECO BROKER-DEALERS FROM ASSOCIATED PERSON ASSESSMENT (17 CFR 240.15B9-1(C), FORM SECO-2F (17 CFR 249.502A)
3235-0138 NOTICES REGARDING "EXEMPT TRANSFER AGENT" STATUS (17 CFR S.240.17AD-4(B) AND (C))
3235-0137 RECORD MAKING REQUIREMENTS FOR REGISTERED TRANSFER AGENTS (17 CFR S.240.17AD-6)
3235-0136 Record Retention Requirements for Registered Transfer Agents
3235-0135 QUALIFICATIONS AND FEES RELATING TO BROKER-DEALERS NOT MEMBERS OF A NATIONAL SECURITIES ASSOCIATION (17 CFR 240.15B8-1)
3235-0134 Rule 15c1-7, 17 CFR 240.15c1-7 (Discretionary Accounts)
3235-0133 Rule 17a-19 (17 CFR 240.17a-19) and Form X-17A-19. Report by National Securities Exchanges and Registered National Securities Associations of Changes in Membership Status of Any of Their Members
3235-0132 Trust Indenture Act Rules 7a-15 through 7a-37
3235-0131 Rule 17a-7; Records of non-resident brokers or dealers.
3235-0130 Turnaround, Processing and Forwarding of Items, C.F.R. 240.17Ad-2 (c), (d), (h)
3235-0129 INITIAL FEES FOR SECO BROKER-DEALERS AND ASSOCIATED PERSONS (17 CFR 240.15B9-1 (A) AND (B), AND FORM SECO-5 (17 CFR 249.505)
3235-0128 Exchange Act Rule 12f-1 – Application to Reinstate Unlisted Trading Privileges (17 CFR 240.12f-1)
3235-0126 Rule 24, 17 CFR 250.24, Reports of Consummation of Transactions
3235-0125 Form U-1 (17 CFR 259.101), Application or Declaration under Public Utility Holding Company Act of 1935
3235-0124 Sales of Securities -- Form SR
3235-0123 Rule 17a-5, Form X-17A-5 (FOCUS REPORT)
3235-0122 Report on Income and Expense, Rule 17a-10 and Form X-17A-5
3235-0121 Form 18 - Registration Form
3235-0120 Form 18-K - Annual Report
3235-0119 Securities Exchange Act 1934 - Rule 12g3-2
3235-0118 FORM 19-K, ANNUAL REPORT FORM FOR AMERICAN DEPOSITORY RECEIPTS AND UNDERLYING FOREIGN SECURITIES LISTED ON A U.S. EXCHANGE
3235-0116 Form 6-K - Exchange Act Rules 13a-16 and 15d-16
3235-0115 FORM 19, REGISTRATION FORM FOR AMERICAN DEPOSITARY RECEIPTS AND THE UNDERLYING FOREIGN SECURITIES LISTED ON A U.S. SECURITIES EXCHANGE
3235-0112 FORM C-3 AND S-12, REGISTRATION STATEMENT FOR AMERICAN DEPOSITARY RECEIPTS UNDER THE SECURITIES ACT OF 1933
3235-0111 Form T-2 - Statement of Eligibility under the Trust Indenture Act of 1939 of an Individual Designated to Act as a Trustee
3235-0110 Form T-1 - Statement of eligibility and qualification under the Trust Indenture Act of 1939 of a corporation designated to act as a trustee
3235-0109 Rule 12d1-3
3235-0108 Rule 14f-1 - Change in Majority of Directors
3235-0107 Form T-4 - Application For Exemption
3235-0105 Form T-3 Application for Qualification of an Indenture under the Trust Indenture Act of 1939
3235-0104 Form 3 - Initial Statement of Beneficial Ownership of Securities
3235-0103 FORM 4 - STATEMENT OF CHANGES IN BENEFICIAL OWERSHIP OF SECURITIES
3235-0102 Tender Offer--Regulation 14D and Regulation 14E, Schedule 14D-9
3235-0101 Form 144 - Notice of Proposed Sale of Securities Pursuant to Rule 144 under the Securities Act of 1933
3235-0100 NOTICE OF SALES ON FROM 240 RELATING TO THE PRIVATE OFFER AND SALE OF SECURITIES MADE PURSUANT TO RULE 240
3235-0099 RULE 242 AND NOTICE OF SALES ON FORM 242 RELATING TO THE PRIVATE OFFER AND SALE OF SECURITIES MADE PURSUANT TO THAT RULE
3235-0098 SECURITIES ACT OF 1933 REGISTRATION STATEMENT (FORM S-18)
3235-0097 NOTICE OF SALES ON FORM 4(6) RELATING TO THE PRIVATE OFFER AND SALE OF SECURITIES MADE PURSUANT TO SECTION 4(6)
3235-0096 REGULATION A SMALL OFFERING EXEMPTION FROM REGISTRATION PROVISIONS OF THE SECURITIES ACT AND ITS ATTENDANT FORMS
3235-0095 Rule 236 - Exemption of Shares Offered in Connection with Certain Transactions
3235-0094 REGULATION F UNDER THE 1933 ACT - EXEMPTION FOR ASSESSMENTS ON REALIZE AMOUNT OF ASSESSMENT THEREON, FORM 1-F....
3235-0093 Exemption from Securities Registration -- Regulation B and Forms
3235-0092 Rule 17a-8; Financial Recordkeeping and Reporting of Currency and Foreign Transactions
3235-0091 SELF-UNDERWRITING BY SECO BROKER-DEALERS RULE 15B10-9
3235-0090 APPLICATION FOR REGISTRATION OF NON-BANKING MUNICIPAL SECURITIES DEALERS WHOSE BUSINESS IS EXCLUSIVELY INTRASTATE (17 CFR 240.15BA2-2)
3235-0089 REGISTRATION OF SUCCESSOR TO REGISTERED MUNICIPAL SECURITIES DEALER. RULE 15BA2-4 (17 240.15BA2-4)
3235-0088 Exchange Act Rule 15Ba2-5, Registration of fiduciaries (17 CFR 240.15Ba2-5)
3235-0087 Rule 15Bc3-1, Form MDSW-Withdrawal from Registration of Municipal Securities Dealers
3235-0086 ADOPTION OF APPLICATION FILED BY PREDECESSOR -- RULE 15BA2-6, 17 CFR 240.15BA2-6
3235-0085 Rule 17a-11 (17 CFR 240.17a-11) Notification provisions for brokers and dealers
3235-0084 Rule 17Ac2-1, 17 CFR 240.17Ac2-1 and Form TA-1 (Transfer Agent Registration)
3235-0083 Rule 15Ba2-1; Form MSD-Application for Registration of Municipal Securities Dealers
3235-0082 Form 11-K
3235-0081 Exchange Act Rule 12d2-1 (17 CFR 240.12d2-1): Suspension of Trading
3235-0080 Rule 12d2-2 (17 CFR 240.12d2-2) and Form 25 (17 CFR 249.25) - Removal from Listing and Registration
3235-0079 Exchange Act Rule 12a-5 (17 CFR 240.12a-5) (Temporary exemption of substituted or additional securities) and Form 26 (17 CFR 249.26)
3235-0078 Rule 15c3-3; Customer Protection - Reserves and Custody of Securities (17 CFR 240.15c3-3)
3235-0077 SECURITIES ACT OF 1933 REGISTRATION FORM S-16 (EXISTING)
3235-0076 Regulation D (Form D)
3235-0075 SECURITIES ACT OF 1933 REGISTRATION FORM S-2 (EXISTING)
3235-0074 Regulation C
3235-0073 Form S-3 - Registration Statement
3235-0072 Form S-2-Registration Statement
3235-0071 Regulation S-K-Standard Instructions for filing Forms under Securities Act 1933 and Exchange Act 1934
3235-0070 Exchange Act Form 10-Q
3235-0069 Industry Guides
3235-0068 SUCCESSOR ISSUERS
3235-0067 Form S-11 - Registration Statement
3235-0066 Form S-8-Securities Act Registration Statement
3235-0065 Form S-1 Registration Statement
3235-0064 Exchange Act Form 10
3235-0063 Exchange Act Form 10-K
3235-0062 Regulation 12B-Registration and Reporting
3235-0060 Exchange Act Form 8-K
3235-0059 Regulation 14A (Commission Rules 14a-1 through 14a-21 and Schedule 14A)
3235-0058 Form 12b-25 - Notification of late filing
3235-0057 Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)
3235-0056 Form-8-A
3235-0055 SECURITIES ACT OF 1933 REGISTRATION STATEMENT FORM S-7 (EXISTING)
3235-0053 FORM S-15, SECURITIES ACT REGISTRATION FORM FOR REGISTRATION OF SECURITIES TO BE OFFERED IN CERTAIN BUSINESS COMBINATION TRANSACTIONS
3235-0052 FORM S-14, SECURITIES ACT REGISTRATION FORM FOR REGISTRATION OF SECURITIES IN CERTAIN TRANSACTIONS UNDER RULE 145
3235-0051 FORM N-30 A-2 AND N-30 A-3 (FAMILY OF 1940 ACT ANNUAL REPORTS
3235-0049 Form ADV
3235-0048 "Amendments to Application for Registration" -- Rule 204-1 under the Investment Advisers Act of 1940, 17 CFR 275.204-1
3235-0047 Rule 204-3 (17 CFR 275.204-3) under the Investment Advisers Act of 1940
3235-0046 Form ADV-S Annual Supplement for investment advisers registered
3235-0045 Rule 19b-4 Filings with Respect to Securities-Based Swap Submissions, Advance Notices and Proposed Rule Changes by Self-Regulatory Organizations and the Security-Based Swap Stay of Clearing Requiremen
3235-0044 Amendments and Supplements to Registration Statements of Securities Associations - Rule Aj-1 (17 CFR 240.15Aj-1)
3235-0043 Rule 609 and Form SIP
3235-0042 FORM ADV-W (17 CFR 279.2) AND RULE 203-2 UNDER THE INVESTMENT ADVISERS ACT OF 1940 (17 CFR 275.203-2)
3235-0040 QUARTERLY REPORTING REQUIREMENT FOR THIRD MARKET MAKER RECEIVING EXEMPT CREDIT, RULE 17A-16, FORM X-17A-16(2)
3235-0039 REPORTING REQUIREMENTS FOR BLOCK POSITIONERS RECEIVING EXEMPT CREDIT, RULE 17A-17, FORM X-17A-17
3235-0038 REPORTING REQUIREMENT FOR THIRD MARKET MAKERS RECEIVING EXEMPT CREDIT, RULE 17A-16, AND FORM X-17A-16(1)
3235-0037 Reporting of missing, lost, stolen or counterfeit securities (17 CFR Section 240.17f-1(c); Form X-17F-1A (17 CFR Section 249.100)
3235-0036 RECORDKEEPING REQUIREMENT OF THE LOST AND STOLEN SECURITIES 17 CFR 240.17F-1(G)
3235-0035 Rule 17a-13 (17 CFR 240.17a-3) Quarterly Security Counts to be made by Certain Exchange Members, Brokers, and Dealers.
3235-0034 Rule 17f-2(a): Fingerprinting Requirements for Securities Professionals
3235-0033 Rule 17a-3; Records to be Made by Certain Exchange Members, Brokers and Dealers
3235-0032 Exchange Act Rule 17f-1(b) – Requirements for reporting and inquiry with respect to missing, lost, stolen, or counterfeit securities (17 CFR 240.17f-1(b))
3235-0031 Notice pursuant to Rule 17f-2(e)(17 CFR 240.17f-2(e))
3235-0030 APPLICATION FOR AND REGISTRATION OF A NATIONAL OR AN_AFFILIATED
3235-0029 Fingerprinting Plans of Self-Regulatory Organizations. (17 CFR 240.17f-2(c))
3235-0028 Retention of Fingerprint Cards (17 CFR 240.17f-2(d))
3235-0027 FORM N-1, REGISTRATION STATEMENT UNDER THE SECURITIES AND INVESTMENT COMPANY ACTS FOR OPEN END MANAGEMENT INVESTMENT COMPANIES
3235-0026 Form N-2 under the Investment Company Act of 1940 and Securities Act of 1933, Registration Statement of Closed-End Management Investment Companies
3235-0025 Rule 30e-1 under the Investment Company Act of 1940, Reports to Stockholders of Management Companies
3235-0023 VOLUNTARY SURVEY TO GATHER DATA FOR A STUDY OF THE USE OF RULE 146
3235-0022 Periodic Amendments to Registration Statements or Exemption Statements of Exchanges -- Rule 6A-2 and Form 1-A
3235-0021 Rule 6a-3 Supplemental Material to be Filed by Exchanges
3235-0020 RULE 15B1-2 UNDER SECURITIES EXCHANGE ACT OF 1934. STATEMENT OF FINANCIAL CONDITION FOR APPLICATION FOR REGISTRATION AS A BROKER OR DEALER.
3235-0019 RULE 6A-3 - SUPPLEMENTAL MATERIAL TO REGISTRATION OR EXEMPTION STATEMENTS OF EXCHANGES
3235-0018 Rule 15b6-1 and Form BDW
3235-0017 Form 1, Rules 6a-1 and 6a-2 Form of Application and Amendments
3235-0016 REGISTRATION OF FIDUCIARIES AS BROKER-DEALERS RULE 15B1-4
3235-0014 ADOPTION OF BROKER-DEALER APPLICATION FILED BY PREDECESSOR (17 CFR 240.15B2-1)
3235-0013 AMENDMENTS TO BD APPLICATIONS (17 CFR 240.15B3-1)A RULE 15B3-1
3235-0012 Form BD and Rule 15b1-1. Application for registration as a broker- dealer
3235-0011 REGISTRATION OF SUCCESSOR TO REGISTERED BROKER-DEALER RULE 15B1-3 (17 CFR 240.15B1-3)
3235-0010 Rule 15a-4 (17 CFR 240.15-4); Forty-five Day Exemption from Registration for Certain Members of National Securities Exchanges.
3235-0009 Regulation S-X, Form and Content of and Requirements for Financial Statements, Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Investment Company A
3235-0008 PROPOSED AMENDMENTS TO INSTRCTION 5 TO ITEM 5 OF REG TION S-K REGARDING DISCLOSURE OF CERTAIN ENVIRONMENTAL PROCEEDINGS (AND INSTRUCTION 5 TO ITEM 8 OF FORM S-18).
3235-0007 Private Transaction - Rule 13e-3 (Schedule 13E-3) under the Securities Exchange Act of 1934
3235-0006 Form 13F, Report of Institutional Investment Managers (pursuant to sec.13(f) of the Securities Exchange of 1934)
3235-0005 REPORT OF OFFERING MADE IN RELIANCE UPON RULE 146
3235-0004 PROPERTY AND LIABILITY INSURANCE COMPANIES
3235-0003 VOLUNTARY SURVEY OF PRIVATE NONINSURED PENSION PLANS
3235-0002 ANNUAL ASSET LETTER AND ATTACHED REPORTING FORM
3235-0001 R-31 MANDATORY MONTHLY REPORT OF MARKET VALUE AND VOLUME ON EXCHANGE

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