U.S. Securities and Exchange Commission Forms

This form is used for notification of registration filed by investment companies under Section 8(A) of the Investment Company Act of 1940.

This Form is used for requesting a withdrawal from registration as a Security-Based Swap Dealer or Major Security-Based Swap Participant.

This document is a form used by a self-regulatory organization to propose a rule change to the U.S. Securities and Exchange Commission (SEC).

This Form is used for registered investment companies to file their annual report.

This Form is used for closed-end management investment companies to register with the Securities and Exchange Commission (SEC). It provides detailed information about the company's structure, investment strategies, and financial information.

This form is used for the registration of unit investment trusts that are currently issuing securities.

This form is used for applying to become a Nationally Recognized Statistical Rating Organization (NRSRO) with the Securities and Exchange Commission (SEC).

This Form is used for registering investment advisers with the Securities and Exchange Commission (SEC) and reporting by exempt reporting advisers.

This Form is used for filing a notice with the Securities and Exchange Commission (SEC) to inform about an exempt offering of securities.

This Form is used for filing a Specialized Disclosure Report with the US Securities and Exchange Commission (SEC).

This document is used for the registration of separate accounts organized as unit investment trusts.

This form is used for registering separate accounts organized as unit investment trusts that offer variable life insurance policies.

This Form is used for submitting the Initial Statement of Beneficial Ownership of Securities to the Securities and Exchange Commission (SEC). It provides instructions on how to fill out and submit Form 3, which is required by individuals who become beneficial owners of certain securities.

This form is used for reporting any changes in beneficial ownership of securities. It helps investors and the Securities and Exchange Commission (SEC) track ownership changes and ensure transparency in the financial markets.

This form is used for non-residents to designate a U.S. agent to receive legal documents on their behalf.

This document is used for notifying the SEC of the withdrawal of registration as a municipal advisor.