U.S. Securities and Exchange Commission Forms

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

This Form is used for certifying the termination of registration of a class of securities by a foreign private issuer under Section 12(G) of the Securities Exchange Act of 1934, or the termination of the duty to file reports under Section 13(A) or Section 15(D) of the Securities Exchange Act of 1934.

This form is used for notifying the Securities and Exchange Commission (SEC) about the registration as a broker-dealer specifically for trading security futures products. The form is filed under Section 15(B)(11) of the Securities Exchange Act of 1934.

This document is a report filed by a Small Business Investment Company (SBIC) with the Securities and Exchange Commission (SEC). It provides information about the SBIC's investments and operations.

This document for proposing a rule change by a self-regulatory organization.

This form is used for appointing an agent to handle legal documents on behalf of a non-resident general partner and non-resident managing agent of an investment adviser.

This document is used for reporting certain transactions under the Securities Act of 1933.

This Form is used for notifying the Securities and Exchange Commission (SEC) about the withdrawal of registration as an investment adviser.

This Form is used for applying for a temporary or continuing hardship exemption from certain SEC regulations.

This Form is used for reporting the liquidity status of an open-end management investment company.

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

This Form is used for the deregistration of certain registered investment companies.

This Form is used for filing a Part II Focus Report to the Securities and Exchange Commission (SEC). The form provides instructions for reporting specific financial and operational information about the broker-dealer.

This Form is used for filing Focus Reports by certain broker-dealers.

This document is used for registering unit investment trusts that are currently issuing securities with the Securities and Exchange Commission (SEC).

This Form is used for registering securities of unit investment trusts under the 1933 Act, specifically for trusts registered on Form N-8b-2.

This Form is used for filing the X-17A-5 Part IIA Focus Report with the SEC. The report provides detailed information about a broker-dealer's financial condition and operations. It includes information about net capital, customer reserve funds, and other financial indicators.

This Form is used for registering securities under Section 12(B) or (G) of the Securities Exchange Act of 1934.

This Form is used for registering securities under the Securities Act of 1933. It provides information about the company and its securities offerings.

This form is used for reporting information required by Rule 609 of Regulation E.

This form is used for foreign banks and insurance companies, as well as their holding companies and finance subsidiaries, to appoint an agent for service of process when making public offerings of securities in the United States.

This Form is used for notifying the election to be subject to certain sections of the Investment Company Act of 1940.

This form is used for applying for an award for submitting original information related to violations of the Securities Exchange Act of 1934.

This Form is used for providing notice of an exempt offering of securities.

This form is used for notifying the Security and Exchange Commission (SEC) about the removal of a company's listing and/or registration under Section 12(B) of the Securities Exchange Act of 1934.

This form is used for submitting electronic exhibits for asset-backed securities.