Free Securities And Exchange Commission Forms

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174 Forms found in Official Federal Forms — Securities And Exchange Commission — Page 3 of 4
Title Last Updated
Form 5 Annual Statement Of Changes In Benificial Ownership Of Securities (SEC2270) August 6, 2014
Form 2-A Report Of Sales And Use Of Proceeds Pursuant To Rule 257 Of Regulation A (SEC816) August 6, 2014
Form D Item 12 Sales Compensation (Continued) July 15, 2014
Form F-4 Registration Statement Under The Securities Act Of 1933 (SEC2078) July 8, 2014
Form ID Uniform Application For Access Code To File On Edgar (SEC2084) June 13, 2014
Form X-17A-5 Focus Report Part IIA (SEC1696) June 4, 2014
Form 144 Notice Of Proposed Sale Of Securities Pursuant To Rule 144 (SEC1147) May 29, 2014
Form S-4 Registration Statement Under The Securities Act Of 1933 (SEC2077) May 28, 2014
Form N-18F-1 Notification Of Election Pursuant To Rule 18f-1 Under The Investment Company Act Of 1940 (SEC1846) May 28, 2014
Form 6-K Report Of Foreign Private Issuer Pursuant To Rule 13a-16 Or 15d-16 Under The S.E.A. of 1934 (SEC1815) May 28, 2014
Form 10 General Form For Registration Of Securities (SEC1396) May 28, 2014
Form BD-N Notice Of Registration As A Broker-Dealer For The Purpose Of Trading Security Futures (SEC1500) May 7, 2014
Form MA-W Notice Of Withdrawal From Registration As Municipal Advisor (SEC2901) May 2, 2014
Form MA-NR Designation Of US Agent For Service Of Process (SEC2900) May 2, 2014
Form MA-I Information Regarding Natural Persons Engage In Municipal Advisory Activities (SEC2899) May 2, 2014
Form MA Application For Municipal Adivsor Registration (SEC2898) May 2, 2014
Form SIP Application Or Amendment To Application For Registration As Securities Information Processor (SEC1939) April 1, 2014
Form N-27D-1 Accounting Of Segregated Trust Account (SEC1840) April 1, 2014
Form N-CSR Certified Shareholder Report Of Registered Management Investment Companies (SEC2569) March 27, 2014
Form SD Specialized Disclosure Report (SEC0697) January 15, 2014
Form MSDW Notice Of Withdrawal From Registration As A Muni Securities Dealer (SEC1588) January 7, 2014
Form MSD Application For Registration As A Municipal Securities Dealer (SEC1534) January 7, 2014
Form 15F Certification Of A Foreign Private Issuers Termination Of Registration Of A Class Of Securities January 7, 2014
Form 1-N Form And Amendments For Notice OF Registration As A National Securities Exchange (SEC2568) January 7, 2014
Form D Notice Of Sale Of Securities Pursuant To Regulation D Section 4(6) (SEC1972) December 13, 2013
Form R31 Form For Reporting Covered Sales And Covered Round Turn Transactions Under Section 31 (SEC2502) November 18, 2013
Form PILOT Initial Operation Report Amendment To Initial Operation Report And Quarterly Report (SEC2552) November 18, 2013
Form S-8 Registration Statement Under The Securities Act Of 1933 (SEC1398) November 13, 2013
Form N-SAR Semi Annual Report For Registered Investment Companies (SEC2100) October 21, 2013
Form D Items 1 And 2 Continuation Page Issuers Identity And Contact Information September 26, 2013
Form D Item 3 Continuation Page Related Persons (Continued) September 26, 2013
Form 19b-4 Proposed Rule Change By Self-Regulatory Organization (SEC1832) September 17, 2013
Form S-6 (Facing Sheet) For Registration Under The Securities Act Of 1933 (SEC649) September 17, 2013
Form N-8F Application For Deregistration Of Certain Registered Investment Companies (SEC1691) August 14, 2013
Form N-14 Registration Statement Under The Securities Act Of 1933 (SEC2106) August 14, 2013
Form 19b-4(e) Information Required Of A Self-Regulatory Organization Listing And Trading A New Derivative Securities Product (SEC2449) August 14, 2013
Form 1 Application And Amendments To Application For Registration As A National Securities Exchange (SEC1935) July 31, 2013
Form 18-K Annual Report For Foreign Governments And Political Subdivisions Thereof (SEC1797) July 12, 2013
Form F-8 Registration Statement Under The Securities Act Of 1933 (Canadian Issuers) (SEC2290) July 2, 2013
Form BD Uniform Application For Broker Dealer Registration (SEC1490) June 14, 2013
Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 2) (SEC1707) November 12, 2012
Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1B) (SEC1707) November 12, 2012
Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1B) (SEC1707) November 12, 2012
Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1A) (SEC1707) November 12, 2012
Form ADV (Paper Version) Uniform Application For Investment Adviser Registration (Part 1A) (SEC1707) November 12, 2012
Form 1 Application And Amendments To Application For Registration As A National Securities Exchange Or Exemption From Registration (SEC1935) September 5, 2012
Form S-20 Registration Statement Under The Securities Act Of 1933 (SEC2013) August 22, 2012
Form F-9 Registration Statement Under The Securities Act Of 1933 (SEC2291) August 22, 2012
Form 5 Annual Statement Of Beneficial Ownership Of Securities (General Instructions) (SEC2270) August 14, 2012
Form 10-M Irrevocable Appointment Of Agent For Service Of Process (General Partner) (SEC879) July 25, 2012