17 CFR Part 249 FORMS, SECURITIES EXCHANGE ACT OF 1934 | Code of Federal Regulations | US Law | LawStack Online

17 CFR Part 249

FORMS, SECURITIES EXCHANGE ACT OF 1934

April 15, 2021

Availability of forms

Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges

Forms for Reports To Be Filed by Officers, Directors, and Security Holders

Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters

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

Forms for Statements Made in Connection With Exempt Tender Offers

Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets

Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

Forms For Reports as to Stabilization

Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations

Form for Registration of, and Reporting by Securities Information Processors

Forms for Registration of Municipal Securities Dealers

Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities

Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons

Forms for Asset-Backed Securities

Forms for Registration of Security-Based Swap Data Repositories

Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

Form SCI, for filing notices and reports as required by Regulation SCI.

Forms for Registration of Funding Portals

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