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Regulations last checked for updates: Oct 16, 2024
Title 17 - Commodity and Securities Exchanges last revised: Oct 08, 2024
All Titles
Title 17
Chapter II
Part 249 - PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
§ 249.0-1 - Availability of forms.
Subpart A [§ 249.1 - § 249.26] - Subpart A—Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges
Subpart B [§ 249.103 - § 249.105] - Subpart B—Forms for Reports To Be Filed by Officers, Directors, and Security Holders
Subpart C [§ 249.208 - § 249.250] - Subpart C—Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters
Subpart D [§ 249.306 - § 249.447] - 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
Subpart E [§ 249.480 - § 249.480] - Subpart E—Forms for Statements Made in Connection With Exempt Tender Offers
Subpart F [§ 249.501 - § 249.510] - Subpart F—Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
Subpart G [§ 249.617 - § 249.641] - Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants
Subpart H [§ 249.709 - § 249.709] - Subpart H—Forms For Reports as to Stabilization
Subpart I [§ 249.801 - § 249.822] - Subpart I—Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations
Subpart J - Subpart J [Reserved]
Subpart K [§ 249.1001 - § 249.1002] - Subpart K—Form for Registration of, and Reporting by Securities Information Processors
Subpart L [§ 249.1100 - § 249.1110] - Subpart L—Forms for Registration of Municipal Securities Dealers
Subpart M [§ 249.1200 - § 249.1200] - Subpart M—Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities
Subpart N [§ 249.1300 - § 249.1330] - Subpart N—Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons
Subpart O [§ 249.1400 - § 249.1401] - Subpart O—Forms for Asset-Backed Securities
Subpart P [§ 249.1500 - § 249.1500] - Subpart P—Forms for Registration of Security-Based Swap Data Repositories
Subpart Q [§ 249.1600 - § 249.1601] - Subpart Q—Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
Subpart R [§ 249.1701 - § 249.1702] - Subpart R—Forms for Registration of, and Filings by, Security-Based Swap Execution Facilities
Subpart S - Subpart S [Reserved]
Subpart T [§ 249.1900. - § 249.1900.] - Subpart T—Form SCI, for filing notices and reports as required by Regulation SCI.
Subpart U [§ 249.2000 - § 249.2000] - Subpart U—Forms for Registration of Funding Portals
authority:
15 U.S.C. 78a
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