U.S. Securities and Exchange Commission Forms

This document is for large traders to register and provide required information under Section 13(H) of the Securities Exchange Act of 1934.

This form is used for submitting tips, complaints, or referrals to the U.S. Securities and Exchange Commission (SEC).

This document is used for filing a Regulation A offering statement under the Securities Act of 1933. It is required by the Securities and Exchange Commission (SEC) for companies looking to raise capital through a Regulation A offering.

This Form is used for reporting asset-backed issuer distribution pursuant to the Securities Exchange Act of 1934.

This Form is used for filing an annual report by public companies to the Securities and Exchange Commission (SEC). It provides detailed financial information and disclosures about the company's business operations, including its financial statements, management discussion and analysis, and other relevant information.

This Form is used for certifying a third-party provider of due diligence services for asset-backed securities.

This form is used for reporting the accounting of securities and similar investments held by management investment companies.

This document is used for filing a current report for registered management investment companies and business development companies with the Securities and Exchange Commission.

This form is used for filing the annual report of the proxy voting record of a registered management investment company.

This form is used for filing specialized disclosure reports with the Securities and Exchange Commission (SEC). It provides detailed information about specific events or transactions that may have a significant impact on a company's financial condition or operations.

This form is used for submitting the X-17A-5 Part II Focus Report to the Securities and Exchange Commission (SEC). It provides instructions on how to fill out the form and what information needs to be included.

This Form is used for filing financial and operational information by broker-dealers in the United States to regulatory authorities.

This document provides instructions for completing Part IIC of Form X-17A-5, which is the Focus Report. The Focus Report is a regulatory filing required by the Securities and Exchange Commission (SEC) for certain broker-dealers. It contains information about the firm's financial condition, risk management practices, and compliance with SEC rules and regulations. This form helps the SEC monitor the financial health and compliance of broker-dealers operating in the United States.

This form is used for applying to be considered as a receiver for a specific purpose or position. It is typically submitted to a governing body or organization responsible for selecting qualified individuals for the role.

This document is an example of a certificate of service, which is typically used to verify the delivery of legal documents to the appropriate parties involved in a court case.

This Form is used for disclosing assets and financial information. It is commonly used in legal proceedings such as divorce cases or bankruptcy filings.

This document provides instructions for completing SEC Form 1707, which includes ADV Part 2, 2A, and 2B. These forms are required by the Securities and Exchange Commission for certain financial professionals to disclose information about their business practices, services, fees, and conflicts of interest.

This Form is used for registering as an investment adviser and reporting by exempt reporting advisers to the SEC. It provides instructions for SEC Form 1707, ADV Uniform Application for Investment Adviser Registration and Report Form.

This Form is used for applying for access to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system, which is a database of publicly traded company information.

This Form is used for registering securities or filing an annual report with the U.S. Securities and Exchange Commission (SEC). It is used by foreign private issuers to comply with Section 12 or to submit annual reports under Section 13(A) or 15(D) of the Securities Exchange Act of 1934.

This Form is used for filing annual reports and special financial reports with the Securities and Exchange Commission (SEC) in the United States. It provides important financial information about a company to the public and investors.

This document is for submitting a current report to the Securities and Exchange Commission (SEC) pursuant to Regulation A.

This form is used for submitting an exit report under Regulation A to the Securities and Exchange Commission (SEC).

This form is used for Asset-Backed Securitizers to report information required by Section 15g of the Securities Exchange Act of 1934.