U.S. Securities and Exchange Commission Forms

This Form is used for providing customers with a summary of their relationship with a financial adviser or broker. It includes information about fees, services, and potential conflicts of interest.

This Form is used for registering security-based swap dealers and major security-based swap participants that are already registered broker-dealers.

This document is used for applying or amending the registration as a Securities Information Processor under the Securities Exchange Act of 1934.

This form is used for reporting the activities of transfer agents registered under Section 17a of the Securities Exchange Act of 1934.

This form is used to legally compel an individual to appear and give testimony at a hearing. It is typically issued by a court or administrative agency in order to obtain important information for a case or investigation.

This form is used for providing the current address of an employee to the Securities and Exchange Commission (SEC). It ensures that the SEC has updated contact information for employees.

This document outlines the responsibilities of employees regarding SEC Automated Systems. It includes guidelines and expectations related to the use, management, and security of these systems.

This form is used for reporting investments made by a Small Business Investment Company (SBIC) registered under the Investment Company Act of 1940 and an affiliated bank. It is a requirement under Paragraph (D)(3) of Rule 17d-1.

This Form is used for filing an offering statement under the Securities Act of 1933.

This Form is used for registering as a broker-dealer to trade security futures products. It is required by Section 15(B)(11) of the Securities Exchange Act of 1934.

This Form is used for filing a Registration Statement with the Securities and Exchange Commission (SEC) under the Securities Act of 1933. It is also referred to as SEC Form 2292. This document is required by companies that are preparing to offer securities to the public.

This Form is used for notifying the Securities and Exchange Commission (SEC) of the withdrawal from registration as a municipal securities dealer.

This Form is used for applying for registration as a Municipal Securities Dealer under the Securities Exchange Act of 1934.

This Form is used for registering Face-Amount Certificate Companies under the Investment Company Act of 1940.

This Form is used for registering securities to be issued to employees under employee benefit plans, such as stock options or stock purchase plans.

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