U.S. Securities and Exchange Commission Forms

This form is used for the registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts.

This form is used for reporting the monthly schedule of portfolio holdings of money market funds to the Securities and Exchange Commission (SEC).

This document is used by registered management investment companies to report their annual proxy voting record. It provides transparency about how the company voted on various matters on behalf of its shareholders.

This form is used for submitting paper format exhibits by filers using the Edgar Electronic system.

This form is used for notifying the Securities and Exchange Commission (SEC) about reliance on a temporary hardship exemption. It is for individuals or entities facing financial difficulties that prevent them from complying with certain SEC regulations.

This Form is used for recording and certifying the accounting of client securities and funds held by an investment adviser. It ensures transparency and accountability in the management of client assets.

This document is used for notifying the Securities and Exchange Commission (SEC) under Regulation E.

This Form is used for reporting the initial operation, amendment to initial operation, and cessation of operations of alternative trading systems.

This document is used for reporting the quarterly activities of alternative trading systems.

This document is used for registering a stock alternative trading system with the Securities and Exchange Commission (SEC). It provides information about the trading platform and its operations.

This form is used for notifying investors about a repurchase offer made by a company.

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

This document is used for reporting changes in membership status of national securities exchanges and registered national securities associations.

This form is used for submitting a Part III Focus Report to the SEC (Securities and Exchange Commission). It provides detailed information about a financial firm's activities, such as its capital structure, asset management, and trading practices.

This form is used for filing a financial and operational combined uniform single report with the Securities and Exchange Commission (SEC). It is part of the SEC Form 1695 (X-17A-5) and is known as the Part II Focus Report.

This document provides instructions for completing Form ADV, which is the SEC Form 1707. The form is used as a Uniform Application for Investment Adviser Registration and Report Form by Exempt Reporting Advisers. It outlines the necessary information and requirements for investment advisers to register with the Securities and Exchange Commission (SEC) or report their exempt status.

This Form is used for registering investment advisers with the Securities and Exchange Commission (SEC). It requires the submission of a brochure and brochure supplements that outline the services provided and fees charged by the adviser.

This Form is used for appointing an agent for service of process by non-resident general partner and managing agent of an investment adviser.

This Form is used for applying for registration as a national securities exchange or exemption from registration under the Exchange Act.

This form is used for notifying the Securities and Exchange Commission (SEC) of a late filing.

This form is used for applying for registration under Section 12(B) and (C) of the Securities Exchange Act of 1934. It is a necessary document for companies looking to register their securities with the Securities and Exchange Commission (SEC).

This Form is used for registering certain classes of securities under the Securities Exchange Act of 1934.

This form is used for registering securities offerings under the Securities Act of 1933.

This Form is used for an Application for Deregistration of Certain Registered Investment Companies with the SEC.

This Form is used for Registered Management Investment Companies and Business Development Companies to file a current report with the Securities and Exchange Commission (SEC).

This form is used for applications to qualify indentures under the Trust Indenture Act of 1939.