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SEC Rules & Regulations (Title 17 — Commodity and Securities Exchanges)


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249 — FORMS, SECURITIES EXCHANGE ACT OF 1934A — Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities ExchangesB — Forms for Reports To Be Filed by Officers, Directors, and Security HoldersC — Forms for Applications for Registration of Securities on National Securities Exchanges and Similar MattersD — Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934E — Forms for Statements Made in Connection With Exempt Tender OffersF — Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter MarketsG — Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap ParticipantsH — Forms For Reports as to StabilizationI — Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities AssociationsJ [Reserved]K — Form for Registration of, and Reporting by Securities Information ProcessorsL — Forms for Registration of Municipal Securities DealersM — Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit SecuritiesN — Forms for Registration of Municipal AdvisorsO — Forms for Asset-Backed SecuritiesP — Forms for Registration of Security-Based Swap Data RepositoriesQ — Registration of Security-Based Swap Dealers and Major Security-Based Swap ParticipantsS — Whistleblower FormsT — Form SCI, for filing notices and reports as required by Regulation SCIU — Forms for Registration of Funding Portals