17 CFR Part 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934

  1. § 249.0-1 Availability of forms.
  2. Subpart A - Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges (§§ 249.1 - 249.26)
  3. Subpart B - Forms for Reports To Be Filed by Officers, Directors, and Security Holders (§§ 249.103 - 249.105)
  4. Subpart C - Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters (§§ 249.208 - 249.250)
  5. 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)
  6. Subpart E - Forms for Statements Made in Connection With Exempt Tender Offers (§ 249.480)
  7. Subpart F - Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets (§§ 249.501 - 249.510)
  8. 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)
  9. Subpart H - Forms For Reports as to Stabilization (§ 249.709)
  10. 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)
  11. Subpart J [Reserved]
  12. Subpart K - Form for Registration of, and Reporting by Securities Information Processors (§§ 249.1001 - 249.1002)
  13. Subpart L - Forms for Registration of Municipal Securities Dealers (§§ 249.1100 - 249.1110)
  14. Subpart M - Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities (§ 249.1200)
  15. Subpart N - Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons (§§ 249.1300 - 249.1330)
  16. Subpart O - Forms for Asset-Backed Securities (§§ 249.1400 - 249.1401)
  17. Subpart P - Forms for Registration of Security-Based Swap Data Repositories (§ 249.1500)
  18. Subpart Q - Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (§§ 249.1600 - 249.1601)
  19. Subparts R - S [Reserved]
  20. Subpart T - Form SCI, for filing notices and reports as required by Regulation SCI. (§ 249.1900.)
  21. Subpart U - Forms for Registration of Funding Portals (§ 249.2000)
Authority:
15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; Sec. 953(b) Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3) Pub. L. 112-106, 126 Stat. 309 (2012), Sec. 107 Pub. L. 112-106, 126 Stat. 313 (2012), Sec. 72001 Pub. L. 114-94, 129 Stat. 1312 (2015), and secs. 2 and 3 Pub. L. 116-222, 134 Stat. 1063 (2020), unless otherwise noted.

Section 249.220f is also issued under secs. 3(a), 202, 208, 302, 306(a), 401(a), 401(b), 406 and 407, Pub. L. 107-204, 116 Stat. 745, and secs. 2 and 3, Pub. L. 116-222, 134 Stat. 1063.

Section 249.240f is also issued under secs. 3(a), 202, 208, 302, 306(a), 401(a), 406 and 407, Pub. L. 107-204, 116 Stat. 745.

Section 249.308 is also issued under 15 U.S.C. 80a-29 and 80a-37.

Section 249.308a is also issued under secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745.

Section 249.308b is also issued under secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745.

Section 249.310 is also issued under secs. 3(a), 202, 208, 302, 406 and 407, Pub. L. 107-204, 116 Stat. 745.

Section 249.326(T) also issued under section 13(f)(1) (15 U.S.C. 78m(f)(1)).

Section 249.330 is also issued under 15 U.S.C. 80a-29(a).

Section 249.331 is also issued under 15 U.S.C. 78j-1, 7202, 7233, 7241, 7264, 7265; and 18 U.S.C. 1350.

Section 249.617 is also issued under Pub. L. 111-203, § 939, 939A, 124. Stat. 1376 (2010) (15 U.S.C. 78c, 15 U.S.C. 78o-7 note).

Section 249.640 is also issued under Public Law 111-203, sec. 913, 124 Stat. 1376 (2010).

Section 249.819 is also issued under 12 U.S.C. 5465(e).

Section 249.1400 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Editorial Note:
Nomenclature changes to part 249 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992.

The following state regulations pages link to this page.