Federal (United States) · Regulations
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 1934
20 sections
20 sections
- 17 C.F.R. § 249.306Form 6-K, report of foreign issuer pursuant to Rules 13a-16 (§ 240.13a-16 of this chapter) and 15d-16 (§ 240.15d-16 of this chapter) under the Securities Exchange Act of 1934.
- 17 C.F.R. § 249.308Form 8-K, for current reports.
- 17 C.F.R. § 249.308aForm 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
- 17 C.F.R. § 249.310Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.
- 17 C.F.R. § 249.311Form 11-K, for annual reports of employee stock purchase, savings and similar plans pursuant to section 15(d) of the Securities Exchange Act of 1934.
- 17 C.F.R. § 249.312Form 10-D, periodic distribution reports by asset-backed issuers.
- 17 C.F.R. § 249.318Form 18-K, annual report for foreign governments and political subdivisions thereof.
- 17 C.F.R. § 249.322Form 12b-25—Notification of late filing.
- 17 C.F.R. § 249.323Form 15, certification of termination of registration of a class of security under section 12(g) or notice of suspension of duty to file reports pursuant to sections 13 and 15(d) of the Act.
- 17 C.F.R. § 249.324Form 15F, certification by a foreign private issuer regarding the termination of registration of a class of securities under section 12(g) or the duty to file reports under section 13(a) or section 15(d).
- 17 C.F.R. § 249.325Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.
- 17 C.F.R. § 249.326Form N-PX, annual report of proxy voting record.
- 17 C.F.R. § 249.327Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.
- 17 C.F.R. § 249.328TForm 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules thereunder.
- 17 C.F.R. § 249.330Form N-CEN, annual report of registered investment companies.
- 17 C.F.R. § 249.331Form N-CSR, certified shareholder report.
- 17 C.F.R. § 249.332Form SHO, report of institutional investment managers pursuant to section 13(f)(2) of the Securities Exchange Act of 1934.
- 17 C.F.R. § 249.444Form SE, form for submission of paper format exhibits by electronic filers.
- 17 C.F.R. § 249.446Form ID, application for EDGAR access.
- 17 C.F.R. § 249.447Form TH—Notification of reliance on temporary hardship exemption.