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
Subpart A--FORMS FOR REGISTRATION OR EXEMPTION OF, AND NOTIFICATION OF ACTION TAKEN BY, NATIONAL SECURITIES EXCHANGES
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| 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.
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| Form 1-N for notice registration as a national securities exchange.
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| Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.
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| Form 25, for notification of removal from listing and/or registration.
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| 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
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| Form 3, initial statement of beneficial ownership of securities.
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| Form 4, statement of changes in beneficial ownership of securities.
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| 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
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| Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.
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| 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.
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| Form 10-SB, optional form for the registration of securities of a small business issuer.
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| Form 18, for foreign governments and political subdivisions thereof.
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| 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).
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| 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).
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| 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
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| 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.
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| Form 8-K, for current reports.
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| Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
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| 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'').
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| Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.
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| 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'').
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| 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.
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| Form 10-D, periodic distribution reports by asset-backed issuers.
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| Form 18-K, annual report for foreign governments and political subdivisions thereof.
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| Form 12b-25--Notification of late filing.
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| 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.
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| Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.
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| 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.
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| Form N-SAR, annual and semi-annual report of certain registered investment companies.
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| Form N-CSR, certified shareholder report.
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| Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.
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| Form SE, form for submission of paper format exhibits by electronic filers.
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| Form ID, uniform application for access codes to file on EDGAR.
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| 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
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| Form CB, tender offer statement in connection with a tender offer for a foreign private issuer.
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| Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
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| 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.
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| Form BD-N for notice registration as a broker-dealer.
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| Form 7-M, consent to service of process by an individual nonresident broker-dealer.
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| Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
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| Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
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| 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
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| 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.
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| 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.
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| 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.
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| 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.
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| Form ATS, information required of alternative trading systems pursuant to 242.301(b)(2) of this chapter.
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| 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
Subpart I--FORMS FOR SELF-REGULATORY ORGANIZATION RULE CHANGES AND FORMS FOR REGISTRATION OF AND REPORTING BY NATIONAL SECURITIES ASSOCIATIONS AND AFFILIATED SECURITIES ASSOCIATIONS
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| Form X-15AA-1, for application for registration as a national securities association or affiliated securities association.
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| Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association.
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| Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities association.
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| Form 19b-4, for electronic filing with respect to proposed rule changes by all self-regulatory organizations.
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| 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)).
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| Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to 240.19b-5 of this chapter.
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| 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]
Subpart K--FORM FOR REGISTRATION OF, AND REPORTING BY SECURITIES INFORMATION PROCESSORS
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| 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
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| 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.
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| 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
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| Form X-17F-1A--Report for missing, lost, stolen or counterfeit securities.
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