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Title 17

Displaying title 17, up to date as of 9/17/2021. Title 17 was last amended 9/01/2021.
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Title 17 Commodity and Securities Exchanges Part / Section
Chapter II Securities and Exchange Commission 200 – 399
Part 249 Forms, Securities Exchange Act of 1934 249.0-1 – 249.2000
§ 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 – 249.26
Subpart B Forms for Reports To Be Filed by Officers, Directors, and Security Holders 249.103 – 249.105
Subpart C Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters 249.208 – 249.250
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 – 249.447
Subpart E Forms for Statements Made in Connection With Exempt Tender Offers 249.480
§ 249.480 Form CB, tender offer statement in connection with a tender offer for a foreign private issuer.
Subpart F Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets 249.501 – 249.510
Subpart 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 – 249.641
Subpart H Forms For Reports as to Stabilization 249.709
§ 249.709 [Reserved]
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 – 249.822
Subpart J [Reserved]
Subpart K Form for Registration of, and Reporting by Securities Information Processors 249.1001 – 249.1002
Subpart L Forms for Registration of Municipal Securities Dealers 249.1100 – 249.1110
Subpart M Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities 249.1200
§ 249.1200 Form X-17F-1A - Report for missing, lost, stolen or counterfeit securities.
Subpart N Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons 249.1300 – 249.1330
Subpart O Forms for Asset-Backed Securities 249.1400 – 249.1401
Subpart P Forms for Registration of Security-Based Swap Data Repositories 249.1500
§ 249.1500 Form SDR, for application for registration as a security-based swap data repository, amendments thereto, or withdrawal from registration.
Subpart Q Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants 249.1600 – 249.1601
Subparts R - S [Reserved]
Subpart T Form SCI, for filing notices and reports as required by Regulation SCI. 249.1900
Subpart U Forms for Registration of Funding Portals 249.2000