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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
Subpart D - 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
§ 249.306 - Form 6-K, report of foreign issuer pursuant to Rules 13a-16 (of this chapter) and 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, uniform application for access codes to file on EDGAR.
§ 249.447 - Form TH—Notification of reliance on temporary hardship exemption.
authority:
15 U.S.C. 78a
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