Subpart D — Forms for Annual and Other Reports of Issuers and Other Persons Required Under Sections 13, 14A, and 15(d) of the Securities Exchange Act of 1934

Search Subpart D full text →

• §249.306 Form 6-K, report of foreign issuer pursuant to Rules 13a-16 (§ 240.13a-16 of this chapter) and 15d-16 (§ 240.15d-16 of this chapter) under the Securities Exchange Act of 1934.
• §249.308 Form 8-K, for current reports.
• §249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
• §249.310 Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.
• §249.310b-249.310c Reserved
• §249.311 Form 11-K, for annual reports of employee stock purchase, savings and similar plans pursuant to section 15(d) of the Securities Exchange Act of 1934.
• §249.312 Form 10-D, periodic distribution reports by asset-backed issuers.
• §249.318 Form 18-K, annual report for foreign governments and political subdivisions thereof.
• §249.322 Form 12b-25—Notification of late filing.
• §249.323 Form 15, certification of termination of registration of a class of security under section 12(g) or notice of suspension of duty to file reports pursuant to sections 13 and 15(d) of the Act.
• §249.324 Form 15F, certification by a foreign private issuer regarding the termination of registration of a class of securities under section 12(g) or the duty to file reports under section 13(a) or section 15(d).
• §249.325 Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.
• §249.326 Form N-PX, annual report of proxy voting record.
• §249.327 Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.
• §249.328T Form 17-H, Risk assessment report for brokers and dealers pursuant to section 17(h) of the Securities Exchange Act of 1934 and rules thereunder.
• §249.330 Form N-CEN, annual report of registered investment companies.
• §249.331 Form N-CSR, certified shareholder report.
• §249.332 Form SHO, report of institutional investment managers pursuant to section 13(f)(2) of the Securities Exchange Act of 1934.
• §249.333 Reserved
• §249.444 Form SE, form for submission of paper format exhibits by electronic filers.
• §249.445 Reserved
• §249.446 Form ID, application for EDGAR access.
• §249.447 Form TH—Notification of reliance on temporary hardship exemption.