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17 CFR 249.308 · Form 8-K, for current reports.
17 CFR 249.308a · a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
17 CFR 249.310 · Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.
17 CFR 249.310b-249.310c · §§ 249.310b-249.310c [Reserved]
17 CFR 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.
17 CFR 249.312 · Form 10-D, periodic distribution reports by asset-backed issuers.
17 CFR 249.318 · Form 18-K, annual report for foreign governments and political subdivisions thereof.
17 CFR 249.322 · Form 12b-25—Notification of late filing.
17 CFR 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.
17 CFR 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).
17 CFR 249.325 · Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.
17 CFR 249.326 · Form N-PX, annual report of proxy voting record.
17 CFR 249.327 · Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.
17 CFR 249.328T · T 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.
17 CFR 249.330 · Form N-CEN, annual report of registered investment companies.
17 CFR 249.331 · Form N-CSR, certified shareholder report.
17 CFR 249.332 · Form SHO, report of institutional investment managers pursuant to section 13(f)(2) of the Securities Exchange Act of 1934.
17 CFR 249.333 · [Reserved]
17 CFR 249.444 · Form SE, form for submission of paper format exhibits by electronic filers.
17 CFR 249.445 · [Reserved]
17 CFR 249.446 · Form ID, application for EDGAR access.
17 CFR 249.447 · Form TH—Notification of reliance on temporary hardship exemption.
17 CFR 249.480 · Form CB, tender offer statement in connection with a tender offer for a foreign private issuer.
17 CFR 249.501 · Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
17 CFR 249.501a · a 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.
17 CFR 249.501b · b Form BD-N for notice registration as a broker-dealer.
17 CFR 249.507 · Form 7-M, consent to service of process by an individual nonresident broker-dealer.
17 CFR 249.508 · Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
17 CFR 249.509 · Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
17 CFR 249.510 · Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.
17 CFR 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.
17 CFR 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.
17 CFR 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.
17 CFR 249.620-249.634 · §§ 249.620-249.634 [Reserved]
17 CFR 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.
17 CFR 249.636 · [Reserved]
17 CFR 249.637 · Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter.
17 CFR 249.638 · Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter.
17 CFR 249.639 · Form custody.
17 CFR 249.640 · Form ATS-N, information required of NMS Stock ATSs pursuant to § 242.304(a) of this chapter.
17 CFR 249.641 · Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to § 240.17a-14 of this chapter.
17 CFR 249.709 · [Reserved]
17 CFR 249.801 · Form 15A, for application for registration as a national securities association or affiliated securities association.
17 CFR 249.802-249.803 · §§ 249.802-249.803 [Reserved]
17 CFR 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.
17 CFR 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)).
17 CFR 249.821 · Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter.
17 CFR 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.
17 CFR 249.1001 · Form SIP, for application for registration as a securities information processor or to amend such an application or registration.
17 CFR 249.1002 · Form CC, for application for registration as a competing consolidator or to amend such an application or registration.
17 CFR 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.
17 CFR 249.1110 · Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1).
17 CFR 249.1200 · Form X-17F-1A—Report for missing, lost, stolen or counterfeit securities.
17 CFR 249.1300 · Form MA, for registration as a municipal advisor, and for amendments to registration.
17 CFR 249.1300T · T Form MA-T, for temporary registration as a municipal advisor, and for amendments to, and withdrawals from, temporary registration.
17 CFR 249.1310 · Form MA-I, for providing information regarding natural person municipal advisors, and for amendments to such information.
17 CFR 249.1320 · Form MA-W, for withdrawal from registration as a municipal advisor.
17 CFR 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.
17 CFR 249.1400 · Form ABS-15G, Asset-backed securitizer report pursuant to Section 15G of the Securities Exchange Act of 1934.
17 CFR 249.1401 · Form ABS-EE, for submission of the asset-data file exhibits and related documents.
17 CFR 249.1500 · Form SDR, for application for registration as a security-based swap data repository, amendments thereto, or withdrawal from registration.
17 CFR 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.
17 CFR 249.1600a · a 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.
17 CFR 249.1600b · b 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.
17 CFR 249.1600c · c Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants.
17 CFR 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.
17 CFR 249.1701 · Form SBSEF, for application for registration as a security-based swap execution facility or to amend such application or registration.
17 CFR 249.1702 · Submission cover sheet, for rule and product submissions.
17 CFR 249.1900 · Form SCI, for filing notices and reports as required by Regulation SCI.
17 CFR 249.2000 · Form Funding Portal.
17 CFR 249b.1-249b.99 · §§ 249b.1-249b.99 [Reserved]
17 CFR 249b.100 · b.100 Form TA-1, 1 uniform form for registration as a transfer agent pursuant to section 17A of the Securities Exchange Act of 1934.
17 CFR 249b.101 · b.101 Form TA-W, notice of withdrawal from registration as transfer agent.
17 CFR 249b.102 · b.102 Form TA-2, 1 form to be used by transfer agents registered pursuant to section 17A of the Securities Exchange Act of 1934 for the annual report of transfer agent activities.
17 CFR 249b.200 · b.200 Form CA-1, 1 form for registration or for exemption from registration as a clearing agency and for amendment to registration as a clearing agency pursuant to section 17A of the Securities Exchange Act of 1934.
17 CFR 249b.300 · b.300 FORM NRSRO, application for registration as a nationally recognized statistical rating organization pursuant to section 15E of the Securities Exchange Act of 1934 and § 240.17g-1 of this chapter.
17 CFR 249b.400 · b.400 Form SD, specialized disclosure report.
17 CFR 250.1 · Cross-border antifraud law-enforcement authority.
17 CFR 255.1 · Authority, purpose, scope, and relationship to other authorities.
17 CFR 255.2 · Definitions.
17 CFR 255.3 · Prohibition on proprietary trading.
17 CFR 255.4 · Permitted underwriting and market making-related activities.
17 CFR 255.5 · Permitted risk-mitigating hedging activities.
17 CFR 255.6 · Other permitted proprietary trading activities.
17 CFR 255.7 · Limitations on permitted proprietary trading activities.
17 CFR 255.8-255.9 · §§ 255.8-255.9 [Reserved]
17 CFR 255.10 · Prohibition on acquiring or retaining an ownership interest in and having certain relationships with a covered fund.
17 CFR 255.11 · Permitted organizing and offering, underwriting, and market making with respect to a covered fund.
17 CFR 255.12 · Permitted investment in a covered fund.
17 CFR 255.13 · Other permitted covered fund activities and investments.
17 CFR 255.14 · Limitations on relationships with a covered fund.
17 CFR 255.15 · Other limitations on permitted covered fund activities.
17 CFR 255.16 · Ownership of interests in and sponsorship of issuers of certain collateralized debt obligations backed by trust-preferred securities.
17 CFR 255.17-255.19 · §§ 255.17-255.19 [Reserved]
17 CFR 255.20 · Program for compliance; reporting.
17 CFR 255.21 · Termination of activities or investments; penalties for violations.
17 CFR Appendix A to Part 255 · Appendix A to Part 255—Reporting and Recordkeeping Requirements for Covered Trading Activities
17 CFR 256.1 · Definitions.
17 CFR 256.2 · Establishment of standards.
17 CFR 260.0-1 · -1 Application of definitions contained in the act.