17 CFR Subpart D
Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934
April 15, 2021
§
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
§
249.327
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
[Reserved]>
§
249.444
Form SE, form for submission of paper format exhibits by electronic filers
§
249.445
[Reserved]
§
249.446
Form ID, uniform application for access codes to file on EDGAR
§
249.447
Form TH—Notification of reliance on temporary hardship exemption

Tried the LawStack mobile app?

Join thousands and try LawStack mobile for FREE today.

  • Carry the law offline, wherever you go.
  • Download CFR, USC, rules, and state law to your mobile device.