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Code of Federal Regulations
Title 17
Chapter II
Part 249
17 C.F.R. Part 249
Forms, Securities Exchange Act of 1934
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249.0-1
Availability of forms.
A
Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges
B
Forms for Reports To Be Filed by Officers, Directors, and Security Holders
C
Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters
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
E
Forms for Statements Made in Connection With Exempt Tender Offers
F
Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
G
Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
H
Forms For Reports as to Stabilization
I
Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations
J
[Reserved]
K
Form for Registration of, and Reporting by Securities Information Processors
L
Forms for Registration of Municipal Securities Dealers
M
Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities
N
Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons
O
Forms for Asset-Backed Securities
P
Forms for Registration of Security-Based Swap Data Repositories
Q
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
R
Forms for Registration of, and Filings by, Security-Based Swap Execution Facilities
S
[Reserved]
T
Form SCI, for filing notices and reports as required by Regulation SCI.
U
Forms for Registration of Funding Portals
249.802
Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association.
Repealed
249.803
Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities association.
Repealed
249.1800
Form TCR, tip, complaint or referral.
Repealed
249.1801
Form WB-APP, Application for award for original information submitted pursuant to Section 21F of the Securities Exchange Act of 1934.
Repealed