Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. Forms, Securities Exchange Act of 1934
  6. Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934

Checkout our iOS App for a better way to browser and research.

Section
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.

Section
249.308

Form 8-K, for current reports.

Section
249.308a

Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.

Section
249.310

Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.

Sections
249.310b-249.310c

§§ 249.310b-249.310c [Reserved]

Section
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.

Section
249.312

Form 10-D, periodic distribution reports by asset-backed issuers.

Section
249.318

Form 18-K, annual report for foreign governments and political subdivisions thereof.

Section
249.322

Form 12b-25 - Notification of late filing.

Section
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.

Section
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).

Section
249.325

Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.

Section
249.327

Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.

Section
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.

Section
249.330

Form N-CEN, annual report of registered investment companies.

Section
249.331

Form N-CSR, certified shareholder report.

Section
249.332

[Reserved]>

Section
249.444

Form SE, form for submission of paper format exhibits by electronic filers.

Section
249.445

§ 249.445 [Reserved]

Section
249.446

Form ID, uniform application for access codes to file on EDGAR.

Section
249.447

Form TH - Notification of reliance on temporary hardship exemption.