---
kind: "unit"
title: "17"
title_heading: "Commodity and Securities Exchanges"
key: "chII/part249/subpartD"
level: "subpart"
label: "Subpart D"
heading: "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"
release: "ecfr-current"
date: "2026-08-27"
url: "https://uscodex.org/cfr/17/chII-part249-subpartD"
sections_count: 23
---

# 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

Title 17 C.F.R. — Commodity and Securities Exchanges › Chapter II — Securities and Exchange Commission › Part 249 — Forms, Securities Exchange Act of 1934

## Sections

- [§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.](/cfr/17/249.306.md)
- [§249.308. Form 8-K, for current reports.](/cfr/17/249.308.md)
- [§249.308a. Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.](/cfr/17/249.308a.md)
- [§249.310. Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.](/cfr/17/249.310.md)
- [§249.310b-249.310c. Reserved](/cfr/17/249.310b-249.310c.md)
- [§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.](/cfr/17/249.311.md)
- [§249.312. Form 10-D, periodic distribution reports by asset-backed issuers.](/cfr/17/249.312.md)
- [§249.318. Form 18-K, annual report for foreign governments and political subdivisions thereof.](/cfr/17/249.318.md)
- [§249.322. Form 12b-25—Notification of late filing.](/cfr/17/249.322.md)
- [§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.](/cfr/17/249.323.md)
- [§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).](/cfr/17/249.324.md)
- [§249.325. Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.](/cfr/17/249.325.md)
- [§249.326. Form N-PX, annual report of proxy voting record.](/cfr/17/249.326.md)
- [§249.327. Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.](/cfr/17/249.327.md)
- [§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.](/cfr/17/249.328T.md)
- [§249.330. Form N-CEN, annual report of registered investment companies.](/cfr/17/249.330.md)
- [§249.331. Form N-CSR, certified shareholder report.](/cfr/17/249.331.md)
- [§249.332. Form SHO, report of institutional investment managers pursuant to section 13(f)(2) of the Securities Exchange Act of 1934.](/cfr/17/249.332.md)
- [§249.333. Reserved](/cfr/17/249.333.md)
- [§249.444. Form SE, form for submission of paper format exhibits by electronic filers.](/cfr/17/249.444.md)
- [§249.445. Reserved](/cfr/17/249.445.md)
- [§249.446. Form ID, application for EDGAR access.](/cfr/17/249.446.md)
- [§249.447. Form TH—Notification of reliance on temporary hardship exemption.](/cfr/17/249.447.md)