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174 Forms found in Official Federal Forms — Securities And Exchange Commission — Page 1 of 4
Title Last Updated
Form F-7 Registration Statement Under The Securities Act Of 1933 (SEC2289) May 12, 2016
Form X-17A-5 Focus Report Part IIB OTC Derivates Dealer (SEC2430) April 20, 2016
Form X-17A-5 Focus Report Part I (SEC1705) April 20, 2016
Form X-17A-5 Focus Report Form X-17A-5 Schedule 1 (SEC1675) April 20, 2016
Form N-8A Notification Of Registration Filed Pursuant To Sect 8(a) (SEC1102) April 20, 2016
Form X-17A Annual Audited Report Part III (SEC1410) April 19, 2016
Form N-1A Registration Statement (Open-End Management Investment Companies) (SEC2052) April 19, 2016
Form X-17A-5 Focus Report Part II (SEC1695) April 19, 2016
Form F-80 Registration Statement Under The Securities Act Of 1933 (Canadian Issuers) (SEC2282) March 31, 2016
Form N-23C-3 Notification Of Repurchase Offer (SEC2380) March 31, 2016
Form N-Q Quarterly Schedule Of Portfolio Holdings Of Registered Management Investment Company (SEC2455) March 31, 2016
Form T-1 (Statement Of Eligibility And Qualification Under The Trust Indenture Act) (SEC1836) March 31, 2016
Form T-2 Statement Of Eligibility Under The Trust Indenture Act-An Individual Designated To Act As Trustee (SEC1849) March 31, 2016
Form T-3 For Applications For Qualification Of Indentures Under The Trust Indenture Act (SEC1919) March 31, 2016
Form T-4 Application For Exemption Filed Pursuant To Section 304(c) Of The Trust Indenture Act Of 1939 (SEC1920) March 31, 2016
Form T-6 Application-For Determination Of Elegibility Of A Foreign Person To Act As Institutional Trustee (SEC2275) March 31, 2016
Form SBSE-BD Application For Registration Of Security-Based Swap Dealers (SEC2926) February 10, 2016
Form SBSE-A Application For Registration Of Security-Based Swap Dealers (SEC2925) February 10, 2016
Form SBSE Application For Registration Of Security-Based Swap Dealers (SEC2924) February 10, 2016
Form F-1 Registration Statement Under The Securities Act Of 1933 (SEC1981) January 28, 2016
Form S-1 Registration Statement Under The Securities Act Of 1933 (SEC870) January 28, 2016
Form PF Reporting Form For Investment Advisers To Private Funds (SEC2048) January 28, 2016
Form N-MFP Monthly Schedule Of Portfolio Holdings Of Money Market Funds (SEC2847) January 28, 2016
Form N-5 Registration Statement Of Small Business Investment Company Under The Securities Act Of 1933 (SEC2125) January 28, 2016
Form 11-K Annual Reports Of Employee Stock Purchase Savings And Similar Plans (SEC617) January 27, 2016
Form X-17F-1A Missing-Lost-Stolen-Counterfeit Securities Report (SEC1666) January 20, 2016
Form N-3 Registration Statement (Accounts Organized As Management Investment Co.) (SEC2124) January 19, 2016
Form ADV-E Certificate Of Accounting Of Client Securities And Funds (SEC2223) January 19, 2016
Form N-8B-2 Registration Statement Of Unit Investment Trusts Which Are Currently Issuing Securities (SEC977) January 11, 2016
Form 15 Certification And Notice Of Termination Of Registration Under Section 12(g) (SEC2069) January 4, 2016
Form ATS Initial Operation Report Amendment To Initial Operating Report (SEC2550) December 15, 2015
Form 17-H Risk Assessment Report For Brokers And Dealers (SEC2332) December 15, 2015
Form ATS-R Quarterly Report Of Alternative Trading System Activities (SEC2551) December 8, 2015
Form TH Notification Of Reliance On Temporary Hardship Exemption (SEC2348) November 3, 2015
Form TA-2 Annual Report Of Transfer Agent Activities (SEC2113) November 3, 2015
Form SE For Submission Of Paper Format Exhibits By Electronic Filers (SEC2082) November 3, 2015
Form N-6 Registration Statement (Separate Accounts Organized As Unit Investment Trusts) (SEC2567) November 3, 2015
Form N-4 Registration Statement Under The Securites Act Of 1933 (Trusts) (SEC2125) November 3, 2015
Form 12b-25 Notification Of Late Filing (SEC1344) November 3, 2015
Form 1-E Notification Under Regulation E (SEC1807) November 3, 2015
Form 13F Information Required Of Institutional Investment Managers (SEC1685) October 13, 2015
Form SCI Systems Compliance And Integrity (SEC2919) October 8, 2015
Form 40-F Registration Statement Pursuant To Section 12 Or Annual Report (SEC2285) September 17, 2015
Form 10-Q (SEC1296) September 17, 2015
Form N-CR Current Report Money Market Fund Material Events (SEC2918) August 18, 2015
Form TA-1 Uniform Form For Registration As Transfer Agent And For Amendment (SEC1528) August 3, 2015
Form 2-E Report Pursuant To Rule 609 Of Regulation E August 3, 2015
Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Execution Pages) (SEC1707) July 28, 2015
Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 2) (SEC1707) July 22, 2015
Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (SEC1707) July 22, 2015