U.S. Securities and Exchange Commission Forms

This document is used for notifying the Securities and Exchange Commission (SEC) about an election made under Rule 18f-1 of the Investment Company Act of 1940.

This type of document is used for notifying the SEC of the withdrawal of an election to be subject to certain sections of the Investment Company Act of 1940.

This Form is used for notifying the SEC about the intention to elect to be subject to specific sections of the Investment Company Act of 1940.

This document is used for notifying the Securities and Exchange Commission (SEC) of a claim of exemption under specific rules in the Investment Company Act of 1940.

This Form is used for reporting material events related to money market funds.

This form is used for the registration statement of face-amount certificate companies with the SEC.

This Form is used for the certifications required to register as a security-based swap dealer or major security-based swap participant with the Securities and Exchange Commission (SEC).

This Form is used for registering as a Security-Based Swap Dealer or Major Security-Based Swap Participant with the SEC.

This type of document is used for submitting a notification under Regulation E to the Securities and Exchange Commission (SEC).

This Form is used for submitting annual reports and special financial reports to the Securities and Exchange Commission (SEC). It provides detailed information about a company's performance and financial health.

This Form is used for the annual reports of employee stock purchase, savings, and similar plans. It is required by Section 15(D) of the Securities Exchange Act of 1934.

This form is used for institutional investment managers to provide information required by Section 13(F) of the Securities Exchange Act of 1934 and the rules thereunder. It helps regulatory bodies monitor and regulate the activities of these managers.

This form is used for submitting a risk assessment report by brokers and dealers to the Securities and Exchange Commission (SEC). It helps identify and evaluate potential risks in the broker-dealer industry.

This form is used for custody reporting by broker-dealers. It ensures compliance with SEC regulations related to the safekeeping of clients' funds and securities.

This Form is used for reporting the quarterly portfolio holdings of a registered management investment company to the Securities and Exchange Commission.

This document is used for submitting paper format exhibits by Edgar electronic filers to the Securities and Exchange Commission (SEC).

This form is used for applying or amending an application for registration or withdrawal as a security-based swap data repository under the Securities Exchange Act of 1934.

This form is used for reporting systems compliance and integrity for companies registered with the Securities and Exchange Commission.

This form is used for reporting missing, lost, stolen, or counterfeit securities to the Securities and Exchange Commission (SEC).

This type of document is a report required by the Securities and Exchange Commission (SEC) for certain registered broker-dealers. It provides information about the financial condition and operations of the broker-dealer.

This form is used for filing a Financial and Operational Combined Uniform Single (Focus) Report Part II with the SEC.

This document provides information about accredited investors, who must meet certain financial criteria to invest in certain types of securities offerings. The bulletin explains who qualifies as an accredited investor and the potential benefits and risks of investing as one.

This form is used for reporting covered sales and covered round turn transactions under Section 31 of the Securities Exchange Act of 1934.

This document is used for corporations to declare their eligibility and qualification to act as trustees under the Trust Indenture Act of 1939.

This form is used for self-regulatory organizations listing and trading new derivative securities products. It is required by the Securities and Exchange Commission (SEC) pursuant to Rule 19b-4(E) under the Securities Exchange Act of 1934.

This document is used for reporting the initial operation, amendments, and quarterly reports for pilot trading systems operated by self-regulatory organizations.

This form is used for the certifications required for the registration of security-based swap dealers and major security-based swap participants with the U.S. Securities and Exchange Commission (SEC). It provides information about the qualifications and compliance of the applicants.