17 C.F.R. PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934


TITLE 17--Commodity and Securities Exchanges

CHAPTER II--SECURITIES AND EXCHANGE COMMISSION

PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934

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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).
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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.
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Subpart C--FORMS FOR APPLICATIONS FOR REGISTRATION OF SECURITIES ON NATIONAL SECURITIES EXCHANGES AND SIMILAR MATTERS

249.208
[Reserved]
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.
249.208b-249.208c
[Reserved]
249.210
Form 10 and Form 10-SB, general form for registration of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.
249.210b
Form 10-SB, optional form for the registration of securities of a small business issuer.
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.
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Subpart D--FORMS FOR ANNUAL AND OTHER REPORTS OF ISSUERS REQUIRED UNDER SECTIONS 13 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.
249.308b
Form 10-QSB, Optional Form for Quarterly and Transition Reports of Small Business Issuers Under Section 13 or 15(d) of the Securities Exchange Act of 1934 (''Exchange Act'').
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
Form 10-KSB, Optional Form for Annual and Transition Reports of Small Business Issuers Under Sections 13 or 15(d) of the Securities Exchange Act of 1934 (the ''Exchange Act'').
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.
249.325
Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.
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-SAR, annual and semi-annual report of certain registered investment companies.
249.331
Form N-CSR, certified shareholder report.
249.332
Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.
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.
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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.
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.
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Subpart G--FORMS FOR REPORTS TO BE MADE BY CERTAIN EXCHANGE MEMBERS, BROKERS, AND DEALERS

249.617
Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the Secruities Exchange Act of 1934 and 240.17a-5, 240.17a-10 and 240.17a-11, and 240.17a-12 of this chapter.
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.
249.620-249.634
[Reserved]
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.
249.636
[Reserved]
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.
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Subpart H--FORMS FOR REPORTS AS TO STABILIZATION

249.709
[Reserved]
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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 X-15AA-1, for application for registration as a national securities association or affiliated securities association.
249.802
Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association.
249.803
Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities association.
249.819
Form 19b-4, for electronic filing with respect to proposed rule changes 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 filings with respect to proposed rule changes by all self-regulatory organizations, pursuant to Section 19(b)(7)(A) of the Securities Exchange Act of 1934.
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Subpart J--[RESERVED]

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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.
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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).
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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.
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