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e-CFR Data is current as of November 24, 2014

Title 17Chapter IIPart 249


TITLE 17—Commodity and Securities Exchanges

CHAPTER II—SECURITIES AND EXCHANGE COMMISSION (CONTINUED)

PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934

rule
§249.0-1
Availability of forms.

Subpart A—FORMS FOR REGISTRATION OR EXEMPTION OF, AND NOTIFICATION OF ACTION TAKEN BY, NATIONAL SECURITIES EXCHANGES

§249.1
Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act.
§249.10
Form 1-N for notice registration as a national securities exchange.
§249.11
Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.
§249.25
Form 25, for notification of removal from listing and/or registration.
§249.26
Form 26, for notification of the admission to trading of a substituted or additional class of security under Rule 12a-5 (§240.12a-5 of this chapter).
rule

Subpart B—FORMS FOR REPORTS TO BE FILED BY OFFICERS, DIRECTORS, AND SECURITY HOLDERS

§249.103
Form 3, initial statement of beneficial ownership of securities.
§249.104
Form 4, statement of changes in beneficial ownership of securities.
§249.105
Form 5, annual statement of beneficial ownership of securities.
rule

Subpart C—FORMS FOR APPLICATIONS FOR REGISTRATION OF SECURITIES ON NATIONAL SECURITIES EXCHANGES AND SIMILAR MATTERS

§249.208
[Reserved]
§249.208a
Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.
§§249.208b-249.208c
[Reserved]
§249.210
Form 10 and Form 10-SB, general form for registration of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.
§249.210b
[Reserved]
§249.218
Form 18, for foreign governments and political subdivisions thereof.
§249.220f
Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§240.13a-19 or §240.15d-19 of this chapter).
§249.240f
Form 40-F, for registration of securities of certain Canadian issuers pursuant to section 12(b) or (g) and for reports pursuant to section 15(d) and Rule 15d-4 (§240.15d-4 of this chapter).
§249.250
Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§239.38, 239.39, 239.40 or 239.41 of this chapter), or registering securities or filing periodic reports on Form 40-F (§249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§240.13e-102, 240.14d-102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§249.37 of this chapter), F-8, F-9, F-10 or F-80.
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Subpart D—FORMS FOR ANNUAL AND OTHER REPORTS OF ISSUERS REQUIRED UNDER SECTIONS 13 AND 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934

§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.
§249.327
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-SAR, annual and semi-annual report of certain registered investment companies.
§249.331
Form N-CSR, certified shareholder report.
§249.332
Form N-Q, quarterly schedule of portfolio holdings of registered management investment company.
§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.
rule

Subpart E—FORMS FOR STATEMENTS MADE IN CONNECTION WITH EXEMPT TENDER OFFERS

§249.480
Form CB, tender offer statement in connection with a tender offer for a foreign private issuer.
rule

Subpart F—FORMS FOR REGISTRATION OF BROKERS AND DEALERS TRANSACTING BUSINESS ON OVER-THE-COUNTER MARKETS

§249.501
Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
§249.501a
Form BDW, notice of withdrawal from registration as broker-dealer pursuant to §240.15b6-1, §240.15Bc3-1, or §240.15Cc1-1 of this chapter.
§249.501b
Form BD-N for notice registration as a broker-dealer.
§249.507
Form 7-M, consent to service of process by an individual nonresident broker-dealer.
§249.508
Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
§249.509
Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
§249.510
Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.
rule

Subpart G—FORMS FOR REPORTS TO BE MADE BY CERTAIN EXCHANGE MEMBERS, BROKERS, AND DEALERS

§249.617
Form X-17A-5, information required of certain brokers and dealers pursuant to section 17 of the Securities Exchange Act of 1934 and §240.17a-5, §240.17a-10 and §240.17a-11, and §240.17a-12 of this chapter.
§249.618
Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and §240.17a-5 of this chapter.
§249.619
Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and §240.17Ad-18 of this chapter.
§§249.620-249.634
[Reserved]
§249.635
Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
§249.636
[Reserved]
§249.637
Form ATS, information required of alternative trading systems pursuant to §242.301(b)(2) of this chapter.
§249.638
Form ATS-R, information required of alternative trading systems pursuant to §242.301(b)(8) of this chapter.
§249.639
Form custody.
rule

Subpart H—FORMS FOR REPORTS AS TO STABILIZATION

§249.709
[Reserved]
rule

Subpart 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
Form X-15AA-1, for application for registration as a national securities association or affiliated securities association.
§249.802
Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association.
§249.803
Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities association.
§249.819
Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and security-based swap submissions by all self-regulatory organizations.
§249.820
Form 19b-4(e) for the listing and trading of new derivative securities products by self-regulatory organizations that are not deemed proposed rule changes pursuant to Rule 19b-4(e)(§240.19b-4(e)).
§249.821
Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to §240.19b-5 of this chapter.
§249.822
Form 19b-7, for electronic filing with respect to proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A) of the Securities Exchange Act of 1934.
rule

Subpart J—[RESERVED]

rule

Subpart K—FORM FOR REGISTRATION OF, AND REPORTING BY SECURITIES INFORMATION PROCESSORS

§249.1001
Form SIP, for application for registration as a securities information processor or to amend such an application or registration.
rule

Subpart L—FORMS FOR REGISTRATION OF MUNICIPAL SECURITIES DEALERS

§249.1100
Form MSD, application for registration as a municipal securities dealer pursuant to rule 15Ba2-1 under the Securities Exchange Act of 1934 or amendment to such application.
§249.1110
Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1).
rule

Subpart M—FORMS FOR REPORTING AND INQUIRY WITH RESPECT TO MISSING, LOST, STOLEN, OR COUNTERFEIT SECURITIES

§249.1200
Form X-17F-1A—Report for missing, lost, stolen or counterfeit securities.
rule

Subpart N—FORMS FOR REGISTRATION OF MUNICIPAL ADVISORS AND FOR PROVIDING INFORMATION REGARDING CERTAIN NATURAL PERSONS

§249.1300
Form MA, for registration as a municipal advisor, and for amendments to registration.
§249.1300T
Form MA-T, for temporary registration as a municipal advisor, and for amendments to, and withdrawals from, temporary registration.
§249.1310
Form MA-I, for providing information regarding natural person municipal advisors, and for amendments to such information.
§249.1320
Form MA-W, for withdrawal from registration as a municipal advisor.
§249.1330
Form MA-NR, for appointment of agent for service of process by non-resident municipal advisor, non-resident general partner or managing agent of a municipal advisor, and non-resident natural person associated with a municipal advisor.
rule

Subpart O—FORMS FOR ASSET-BACKED SECURITIES

§249.1400
Form ABS-15G, Asset-backed securitizer report pursuant to Section 15G of the Securities Exchange Act of 1934.
§249.1401
Form ABS-EE, for submission of the asset-data file exhibits and related documents.
rule

Subpart S—WHISTLEBLOWER FORMS

§249.1800
Form TCR, tip, complaint or referral.
§249.1801
Form WB-APP, Application for award for original information submitted pursuant to Section 21F of the Securities Exchange Act of 1934.


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