Part 249 — Forms, Securities Exchange Act of 1934
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Subpt. A
Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges
§§249.1 to 249.26
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Subpt. B
Forms for Reports To Be Filed by Officers, Directors, and Security Holders
§§249.103 to 249.105
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Subpt. C
Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters
§§249.208 to 249.250
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Subpt. 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
§§249.306 to 249.447
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Subpt. E
Forms for Statements Made in Connection With Exempt Tender Offers
§249.480
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Subpt. F
Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
§§249.501 to 249.510
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Subpt. G
Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
§§249.617 to 249.641
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Subpt. H
Forms For Reports as to Stabilization
§249.709
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Subpt. I
Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations
§§249.801 to 249.822
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Subpt. J
Subpart J [Reserved]
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Subpt. K
Form for Registration of, and Reporting by Securities Information Processors
§§249.1001 to 249.1002
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Subpt. L
Forms for Registration of Municipal Securities Dealers
§§249.1100 to 249.1110
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Subpt. M
Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities
§249.1200
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Subpt. N
Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons
§§249.1300 to 249.1330
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Subpt. O
Forms for Asset-Backed Securities
§§249.1400 to 249.1401
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Subpt. P
Forms for Registration of Security-Based Swap Data Repositories
§249.1500
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Subpt. Q
Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
§§249.1600 to 249.1601
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Subpt. R
Forms for Registration of, and Filings by, Security-Based Swap Execution Facilities
§§249.1701 to 249.1702
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Subpt. S
Subpart S [Reserved]
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Subpt. T
Form SCI, for filing notices and reports as required by Regulation SCI.
§249.1900
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Subpt. U
Forms for Registration of Funding Portals
§249.2000