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Section 249.0-1
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Form 1, for application for, and amendments to applications for, registration as a national securities exchange or |
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Section 249.1
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Form 1-N for notice registration as a national securities exchange |
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Section 249.10
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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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Section 249.11
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Form 25, for notification of removal from listing and/or registration |
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Section 249.25
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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 |
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Section 249.26
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Form 3, initial statement of beneficial ownership of securities |
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Section 249.103
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Form 4, statement of changes in beneficial ownership of securities |
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Section 249.104
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Form 5, annual statement of beneficial ownership of securities |
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Section 249.105
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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 |
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Section 249.210
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Form 18, for foreign governments and political subdivisions thereof |
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Section 249.218
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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 |
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Section 249.250
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Form 6-K, report of foreign issuer pursuant to Rules 13a-16 (Sec |
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Section 249.306
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Form 8-K, for current reports |
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Section 249.308
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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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Section 249.310
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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 |
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Section 249.311
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Form 10-D, periodic distribution reports by asset-backed issuers |
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Section 249.312
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Form 18-K, annual report for foreign governments and political subdivisions thereof |
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Section 249.318
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Form 12b-25--Notification of late filing |
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Section 249.322
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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 |
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Section 249.323
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Form 15F, certification by a foreign private issuer regarding the termination of registration of a class of securities |
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Section 249.324
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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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Section 249.325
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Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules |
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Section 249.327
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Form N-SAR, annual and semi-annual report of certain registered investment companies |
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Section 249.330
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Form N-CSR, certified shareholder report |
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Section 249.331
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Form N-Q, quarterly schedule of portfolio holdings of registered management investment company |
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Section 249.332
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Form SE, form for submission of paper format exhibits by electronic filers |
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Section 249.444
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Form ID, uniform application for access codes to file on EDGAR |
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Section 249.446
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Form TH--Notification of reliance on temporary hardship exemption |
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Section 249.447
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Form CB, tender offer statement in connection with a tender offer for a foreign private issuer |
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Section 249.480
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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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Section 249.501
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Form 7-M, consent to service of process by an individual nonresident broker-dealer |
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Section 249.507
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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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Section 249.508
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Form 9-M, consent to service of process by a partnership nonresident broker-dealer |
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Section 249.509
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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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Section 249.510
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Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the Securities Exchange Act |
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Section 249.617
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Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and |
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Section 249.618
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Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 |
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Section 249.619
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Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the |
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Section 249.635
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Form ATS, information required of alternative trading systems pursuant to Sec |
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Section 249.637
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Form ATS-R, information required of alternative trading systems pursuant to Sec |
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Section 249.638
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Form custody |
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Section 249.639
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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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Section 249.801
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Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities |
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Section 249.802
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Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities |
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Section 249.803
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Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and security-based swap |
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Section 249.819
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Form 19b-4(e) for the listing and trading of new derivative securities products by self-regulatory organizations |
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Section 249.820
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Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to |
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Section 249.821
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Form 19b-7, for electronic filing with respect to proposed rule changes by self-regulatory organizations under |
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Section 249.822
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Form SIP, for application for registration as a securities information processor or to amend such an application |
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Section 249.1001
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Form MSD, application for registration as a municipal securities dealer pursuant to rule 15Ba2-1 under the |
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Section 249.1100
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Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 |
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Section 249.1110
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Form X-17F-1A--Report for missing, lost, stolen or counterfeit securities |
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Section 249.1200
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Form MA, for registration as a municipal advisor, and for amendments to registration |
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Section 249.1300
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Form MA-I, for providing information regarding natural person municipal advisors, and for amendments to such information |
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Section 249.1310
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Form MA-W, for withdrawal from registration as a municipal advisor |
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Section 249.1320
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Form MA-NR, for appointment of agent for service of process by non-resident municipal advisor, non-resident general |
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Section 249.1330
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Form ABS-15G, Asset-backed securitizer report pursuant to Section 15G of the Securities Exchange Act of 1934 |
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Section 249.1400
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Form ABS-EE, for submission of the asset-data file exhibits and related documents |
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Section 249.1401
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Form SDR, for application for registration as a security-based swap data repository, amendments thereto, or |
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Section 249.1500
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Form TCR, tip, complaint or referral |
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Section 249.1800
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Form WB-APP, Application for award for original information submitted pursuant to Section 21F of the Securities |
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Section 249.1801
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Form TA-1, \1\ uniform form for registration as a transfer agent pursuant to section 17A of the Securities Exchange |