Part 249 — Forms, Securities Exchange Act of 1934

• § 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

• § 249.208a— Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.
• § 249.210— Form 10, general form for registration of securities pursuant to section 12(b) or (g) of the Securities Exchange Act of 1934.
• § 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.
• § 249.311— 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.
• § 249.444— Form SE, form for submission of paper format exhibits by electronic filers.
• § 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.
• § 249.635— 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.
• § 249.637— 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 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.
• § 249.819— 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 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 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.