Federal (United States) · Regulations
Part 249 — FORMS, SECURITIES EXCHANGE ACT OF 1934
79 sections
18 groups
- Subpart A — Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges5 sections
- Subpart B — Forms for Reports To Be Filed by Officers, Directors, and Security Holders3 sections
- Subpart E — Forms for Statements Made in Connection With Exempt Tender Offers1 section
- Subpart F — Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets7 sections
- Subpart G — Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants9 sections
- Subpart I — Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations5 sections
- Subpart K — Form for Registration of, and Reporting by Securities Information Processors2 sections
- Subpart L — Forms for Registration of Municipal Securities Dealers2 sections
- Subpart C — Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters6 sections
- Subpart D — Forms for Annual and Other Reports of Issuers and Other Persons Required Under Sections 13, 14A, and 15(d) of the Securities Exchange Act of 193420 sections
- Subpart M — Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities1 section
- Subpart N — Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons5 sections
- Subpart O — Forms for Asset-Backed Securities2 sections
- Subpart P — Forms for Registration of Security-Based Swap Data Repositories1 section
- Subpart Q — Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants5 sections
- Subpart R — Forms for Registration of, and Filings by, Security-Based Swap Execution Facilities2 sections
- Subpart T — Form SCI, for filing notices and reports as required by Regulation SCI.1 section
- Subpart U — Forms for Registration of Funding Portals1 section