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)
  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. Subpart S - Whistleblower Forms (§§ 249.1800 - 249.1801)
  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), and Sec. 72001, Pub. L. 114-94, 129 Stat. 1312 (2015), 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.

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.

Section 249.1800 is also issued under Pub. L. 111.203, § 922(a), 124 Stat 1841 (2010).

Section 249.1801 is also issued under Pub. L. 111.203, § 922(a), 124 Stat 1841 (2010).

Editorial Note:
Nomenclature changes to part 249 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992.
{'United States Code': [{'Title': '15', 'Section': '78a', 'headtext': ' Short title', 'cleanpath': '/uscode/text/15/78a'}, {'Title': '15', 'Section': '78b', 'headtext': ' Necessity for regulation', 'cleanpath': '/uscode/text/15/78b'}, {'Title': '15', 'Section': '78c', 'headtext': ' Definitions and application', 'cleanpath': '/uscode/text/15/78c'}, {'Title': '15', 'Section': '78c-1', 'headtext': ' Swap agreements', 'cleanpath': '/uscode/text/15/78c-1'}, {'Title': '15', 'Section': '78c-2', 'headtext': ' Securities-related derivatives', 'cleanpath': '/uscode/text/15/78c-2'}, {'Title': '15', 'Section': '78c-3', 'headtext': ' Clearing for security-based swaps', 'cleanpath': '/uscode/text/15/78c-3'}, {'Title': '15', 'Section': '78c-4', 'headtext': ' Security-based swap execution facilities', 'cleanpath': '/uscode/text/15/78c-4'}, {'Title': '15', 'Section': '78c-5', 'headtext': ' Segregation of assets held as collateral in security-based swap transactions', 'cleanpath': '/uscode/text/15/78c-5'}, {'Title': '15', 'Section': '78d', 'headtext': ' Securities and Exchange Commission', 'cleanpath': '/uscode/text/15/78d'}, {'Title': '15', 'Section': '78d-1', 'headtext': ' Delegation of functions by Commission', 'cleanpath': '/uscode/text/15/78d-1'}, {'Title': '15', 'Section': '78d-2', 'headtext': ' Transfer of functions with respect to assignment of personnel to chairman', 'cleanpath': '/uscode/text/15/78d-2'}, {'Title': '15', 'Section': '78d-3', 'headtext': ' Appearance and practice before the Commission', 'cleanpath': '/uscode/text/15/78d-3'}, {'Title': '15', 'Section': '78d-4', 'headtext': ' Additional duties of Inspector General', 'cleanpath': '/uscode/text/15/78d-4'}, {'Title': '15', 'Section': '78d-5', 'headtext': ' Deadline for completing enforcement investigations and compliance examinations and inspections', 'cleanpath': '/uscode/text/15/78d-5'}, {'Title': '15', 'Section': '78d-6', 'headtext': ' Report and certification of internal supervisory controls', 'cleanpath': '/uscode/text/15/78d-6'}, {'Title': '15', 'Section': '78d-7', 'headtext': ' Triennial report on personnel management', 'cleanpath': '/uscode/text/15/78d-7'}, {'Title': '15', 'Section': '78d-8', 'headtext': ' Annual financial controls audit', 'cleanpath': '/uscode/text/15/78d-8'}, {'Title': '15', 'Section': '78d-9', 'headtext': ' Report on oversight of national securities associations', 'cleanpath': '/uscode/text/15/78d-9'}, {'Title': '15', 'Section': '78e', 'headtext': ' Transactions on unregistered exchanges', 'cleanpath': '/uscode/text/15/78e'}, {'Title': '15', 'Section': '78f', 'headtext': ' National securities exchanges', 'cleanpath': '/uscode/text/15/78f'}, {'Title': '15', 'Section': '78g', 'headtext': ' Margin requirements', 'cleanpath': '/uscode/text/15/78g'}, {'Title': '15', 'Section': '78h', 'headtext': ' Restrictions on borrowing and lending by members, brokers, and dealers', 'cleanpath': '/uscode/text/15/78h'}, {'Title': '15', 'Section': '78i', 'headtext': ' Manipulation of security prices', 'cleanpath': '/uscode/text/15/78i'}, {'Title': '15', 'Section': '78j', 'headtext': ' Manipulative and deceptive devices', 'cleanpath': '/uscode/text/15/78j'}, {'Title': '15', 'Section': '78j-1', 'headtext': ' Audit requirements', 'cleanpath': '/uscode/text/15/78j-1'}, {'Title': '15', 'Section': '78j-2', 'headtext': ' Position limits and position accountability for security-based swaps and large trader reporting', 'cleanpath': '/uscode/text/15/78j-2'}, {'Title': '15', 'Section': '78j-3', 'headtext': ' Compensation committees', 'cleanpath': '/uscode/text/15/78j-3'}, {'Title': '15', 'Section': '78j-4', 'headtext': ' Recovery of erroneously awarded compensation policy', 'cleanpath': '/uscode/text/15/78j-4'}, {'Title': '15', 'Section': '78k', 'headtext': ' Trading by members of exchanges, brokers, and dealers', 'cleanpath': '/uscode/text/15/78k'}, {'Title': '15', 'Section': '78k-1', 'headtext': ' National market system for securities; securities information processors', 'cleanpath': '/uscode/text/15/78k-1'}, {'Title': '15', 'Section': '78l', 'headtext': ' Registration requirements for securities', 'cleanpath': '/uscode/text/15/78l'}, {'Title': '15', 'Section': '78l-1', 'headtext': ' Applications for unlisted trading privileges deemed filed under section 78l of this title', 'cleanpath': '/uscode/text/15/78l-1'}, {'Title': '15', 'Section': '78m', 'headtext': ' Periodical and other reports', 'cleanpath': '/uscode/text/15/78m'}, {'Title': '15', 'Section': '78m-1', 'headtext': ' Reporting and recordkeeping for certain security-based swaps', 'cleanpath': '/uscode/text/15/78m-1'}, {'Title': '15', 'Section': '78m-2', 'headtext': ' Reporting requirements regarding coal or other mine safety', 'cleanpath': '/uscode/text/15/78m-2'}, {'Title': '15', 'Section': '78n', 'headtext': ' Proxies', 'cleanpath': '/uscode/text/15/78n'}, {'Title': '15', 'Section': '78n-1', 'headtext': ' Shareholder approval of executive compensation', 'cleanpath': '/uscode/text/15/78n-1'}, {'Title': '15', 'Section': '78n-2', 'headtext': ' Corporate governance', 'cleanpath': '/uscode/text/15/78n-2'}, {'Title': '15', 'Section': '78o', 'headtext': ' Registration and regulation of brokers and dealers', 'cleanpath': '/uscode/text/15/78o'}, {'Title': '15', 'Section': '78o-1', 'headtext': ' Brokers deemed to be registered', 'cleanpath': '/uscode/text/15/78o-1'}, {'Title': '15', 'Section': '78o-2', 'headtext': ' Liabilities arising prior to amendment unaffected', 'cleanpath': '/uscode/text/15/78o-2'}, {'Title': '15', 'Section': '78o-3', 'headtext': ' Registered securities associations', 'cleanpath': '/uscode/text/15/78o-3'}, {'Title': '15', 'Section': '78o-4', 'headtext': ' Municipal securities', 'cleanpath': '/uscode/text/15/78o-4'}, {'Title': '15', 'Section': '78o-4a', 'headtext': ' Commission Office of Municipal Securities', 'cleanpath': '/uscode/text/15/78o-4a'}, {'Title': '15', 'Section': '78o-5', 'headtext': ' Government securities brokers and dealers', 'cleanpath': '/uscode/text/15/78o-5'}, {'Title': '15', 'Section': '78o-6', 'headtext': ' Securities analysts and research reports', 'cleanpath': '/uscode/text/15/78o-6'}, {'Title': '15', 'Section': '78o-7', 'headtext': ' Registration of nationally recognized statistical rating organizations', 'cleanpath': '/uscode/text/15/78o-7'}, {'Title': '15', 'Section': '78o-8', 'headtext': ' Universal ratings symbols', 'cleanpath': '/uscode/text/15/78o-8'}, {'Title': '15', 'Section': '78o-9', 'headtext': ' Study and rulemaking on assigned credit ratings', 'cleanpath': '/uscode/text/15/78o-9'}, {'Title': '15', 'Section': '78o-10', 'headtext': ' Registration and regulation of security-based swap dealers and major security-based swap participants', 'cleanpath': '/uscode/text/15/78o-10'}, {'Title': '15', 'Section': '78o-11', 'headtext': ' Credit risk retention', 'cleanpath': '/uscode/text/15/78o-11'}, {'Title': '15', 'Section': '78p', 'headtext': ' Directors, officers, and principal stockholders', 'cleanpath': '/uscode/text/15/78p'}, {'Title': '15', 'Section': '78q', 'headtext': ' Records and reports', 'cleanpath': '/uscode/text/15/78q'}, {'Title': '15', 'Section': '78q-1', 'headtext': ' National system for clearance and settlement of securities transactions', 'cleanpath': '/uscode/text/15/78q-1'}, {'Title': '15', 'Section': '78q-2', 'headtext': ' Automated quotation systems for penny stocks', 'cleanpath': '/uscode/text/15/78q-2'}, {'Title': '15', 'Section': '78r', 'headtext': ' Liability for misleading statements', 'cleanpath': '/uscode/text/15/78r'}, {'Title': '15', 'Section': '78s', 'headtext': ' Registration, responsibilities, and oversight of self-regulatory organizations', 'cleanpath': '/uscode/text/15/78s'}, {'Title': '15', 'Section': '78t', 'headtext': ' Liability of controlling persons and persons who aid and abet violations', 'cleanpath': '/uscode/text/15/78t'}, {'Title': '15', 'Section': '78t-1', 'headtext': ' Liability to contemporaneous traders for insider trading', 'cleanpath': '/uscode/text/15/78t-1'}, {'Title': '15', 'Section': '78u', 'headtext': ' Investigations and actions', 'cleanpath': '/uscode/text/15/78u'}, {'Title': '15', 'Section': '78u-1', 'headtext': ' Civil penalties for insider trading', 'cleanpath': '/uscode/text/15/78u-1'}, {'Title': '15', 'Section': '78u-2', 'headtext': ' Civil remedies in administrative proceedings', 'cleanpath': '/uscode/text/15/78u-2'}, {'Title': '15', 'Section': '78u-3', 'headtext': ' Cease-and-desist proceedings', 'cleanpath': '/uscode/text/15/78u-3'}, {'Title': '15', 'Section': '78u-4', 'headtext': ' Private securities litigation', 'cleanpath': '/uscode/text/15/78u-4'}, {'Title': '15', 'Section': '78u-5', 'headtext': ' Application of safe harbor for forward-looking statements', 'cleanpath': '/uscode/text/15/78u-5'}, {'Title': '15', 'Section': '78u-6', 'headtext': ' Securities whistleblower incentives and protection', 'cleanpath': '/uscode/text/15/78u-6'}, {'Title': '15', 'Section': '78u-7', 'headtext': ' Implementation and transition provisions for whistleblower protection', 'cleanpath': '/uscode/text/15/78u-7'}, {'Title': '15', 'Section': '78v', 'headtext': ' Hearings by Commission', 'cleanpath': '/uscode/text/15/78v'}, {'Title': '15', 'Section': '78w', 'headtext': ' Rules, regulations, and orders; annual reports', 'cleanpath': '/uscode/text/15/78w'}, {'Title': '15', 'Section': '78x', 'headtext': ' Public availability of information', 'cleanpath': '/uscode/text/15/78x'}, {'Title': '15', 'Section': '78y', 'headtext': ' Court review of orders and rules', 'cleanpath': '/uscode/text/15/78y'}, {'Title': '15', 'Section': '78z', 'headtext': ' Unlawful representations', 'cleanpath': '/uscode/text/15/78z'}, {'Title': '15', 'Section': '78aa', 'headtext': ' Jurisdiction of offenses and suits', 'cleanpath': '/uscode/text/15/78aa'}, {'Title': '15', 'Section': '78aa-1', 'headtext': ' Special provision relating to statute of limitations on private causes of action', 'cleanpath': '/uscode/text/15/78aa-1'}, {'Title': '15', 'Section': '78bb', 'headtext': ' Effect on existing law', 'cleanpath': '/uscode/text/15/78bb'}, {'Title': '15', 'Section': '78cc', 'headtext': ' Validity of contracts', 'cleanpath': '/uscode/text/15/78cc'}, {'Title': '15', 'Section': '78dd', 'headtext': ' Foreign securities exchanges', 'cleanpath': '/uscode/text/15/78dd'}, {'Title': '15', 'Section': '78dd-1', 'headtext': ' Prohibited foreign trade practices by issuers', 'cleanpath': '/uscode/text/15/78dd-1'}, {'Title': '15', 'Section': '78dd-2', 'headtext': ' Prohibited foreign trade practices by domestic concerns', 'cleanpath': '/uscode/text/15/78dd-2'}, {'Title': '15', 'Section': '78dd-3', 'headtext': ' Prohibited foreign trade practices by persons other than issuers or domestic concerns', 'cleanpath': '/uscode/text/15/78dd-3'}, {'Title': '15', 'Section': '78ee', 'headtext': ' Transaction fees', 'cleanpath': '/uscode/text/15/78ee'}, {'Title': '15', 'Section': '78ff', 'headtext': ' Penalties', 'cleanpath': '/uscode/text/15/78ff'}, {'Title': '15', 'Section': '78gg', 'headtext': ' Separability', 'cleanpath': '/uscode/text/15/78gg'}, {'Title': '15', 'Section': '78hh', 'headtext': ' Effective date', 'cleanpath': '/uscode/text/15/78hh'}, {'Title': '15', 'Section': '78hh-1', 'headtext': ' Effective date of certain sections', 'cleanpath': '/uscode/text/15/78hh-1'}, {'Title': '15', 'Section': '78ii', 'headtext': ' Omitted', 'cleanpath': '/uscode/text/15/78ii'}, {'Title': '15', 'Section': '78jj', 'headtext': ' Repealed. Pub. L. 100–181, title III, §\u202f330, Dec. 4, 1987, 101 Stat. 1259', 'cleanpath': '/uscode/text/15/78jj'}, {'Title': '15', 'Section': '78kk', 'headtext': ' Authorization of appropriations', 'cleanpath': '/uscode/text/15/78kk'}, {'Title': '15', 'Section': '78ll', 'headtext': ' Requirements for the EDGAR system', 'cleanpath': '/uscode/text/15/78ll'}, {'Title': '15', 'Section': '78mm', 'headtext': ' General exemptive authority', 'cleanpath': '/uscode/text/15/78mm'}, {'Title': '15', 'Section': '78nn', 'headtext': ' Tennessee Valley Authority', 'cleanpath': '/uscode/text/15/78nn'}, {'Title': '15', 'Section': '78oo', 'headtext': ' Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks', 'cleanpath': '/uscode/text/15/78oo'}, {'Title': '15', 'Section': '78pp', 'headtext': ' Investor Advisory Committee', 'cleanpath': '/uscode/text/15/78pp'}, {'Title': '15', 'Section': '78o-7', 'headtext': ' Registration of nationally recognized statistical rating organizations', 'cleanpath': '/uscode/text/15/78o-7'}, {'Title': '15', 'Section': '80a-29', 'headtext': ' Reports and financial statements of investment companies and affiliated persons', 'cleanpath': '/uscode/text/15/80a-29'}, {'Title': '15', 'Section': '80a-37', 'headtext': ' Rules, regulations, and orders', 'cleanpath': '/uscode/text/15/80a-37'}, {'Title': '18', 'Section': '1350', 'headtext': ' Failure of corporate officers to certify financial reports', 'cleanpath': '/uscode/text/18/1350'}, {'Title': '12', 'Section': '5461', 'headtext': ' Findings and purposes', 'cleanpath': '/uscode/text/12/5461'}, {'Title': '12', 'Section': '5462', 'headtext': ' Definitions', 'cleanpath': '/uscode/text/12/5462'}, {'Title': '12', 'Section': '5463', 'headtext': ' Designation of systemic importance', 'cleanpath': '/uscode/text/12/5463'}, {'Title': '12', 'Section': '5464', 'headtext': ' Standards for systemically important financial market utilities and payment, clearing, or settlement activities', 'cleanpath': '/uscode/text/12/5464'}, {'Title': '12', 'Section': '5465', 'headtext': ' Operations of designated financial market utilities', 'cleanpath': '/uscode/text/12/5465'}, {'Title': '12', 'Section': '5466', 'headtext': ' Examination of and enforcement actions against designated financial market utilities', 'cleanpath': '/uscode/text/12/5466'}, {'Title': '12', 'Section': '5467', 'headtext': ' Examination of and enforcement actions against financial institutions subject to standards for designated activities', 'cleanpath': '/uscode/text/12/5467'}, {'Title': '12', 'Section': '5468', 'headtext': ' Requests for information, reports, or records', 'cleanpath': '/uscode/text/12/5468'}, {'Title': '12', 'Section': '5469', 'headtext': ' Rulemaking', 'cleanpath': '/uscode/text/12/5469'}, {'Title': '12', 'Section': '5470', 'headtext': ' Other authority', 'cleanpath': '/uscode/text/12/5470'}, {'Title': '12', 'Section': '5471', 'headtext': ' Consultation', 'cleanpath': '/uscode/text/12/5471'}, {'Title': '12', 'Section': '5472', 'headtext': ' Common framework for designated clearing entity risk management', 'cleanpath': '/uscode/text/12/5472'}, {'Title': '15', 'Section': '7201', 'headtext': ' Definitions', 'cleanpath': '/uscode/text/15/7201'}, {'Title': '15', 'Section': '7202', 'headtext': ' Commission rules and enforcement', 'cleanpath': '/uscode/text/15/7202'}], 'Statutes at Large': [{'Volume': '126', 'Page': '309', 'headtext': '126 Stat. 309', 'cleanpath': 'https://www.law.cornell.edu/rio/citation/126_Stat._309'}, {'Volume': '126', 'Page': '313', 'headtext': '126 Stat. 313', 'cleanpath': 'https://www.law.cornell.edu/rio/citation/126_Stat._313'}, {'Volume': '116', 'Page': '745', 'headtext': '116 Stat. 745', 'cleanpath': 'https://www.law.cornell.edu/rio/citation/116_Stat._745'}, {'Volume': '129', 'Page': '1312', 'headtext': '129 Stat. 1312', 'cleanpath': 'https://www.law.cornell.edu/rio/citation/129_Stat._1312'}, {'Volume': '124', 'Page': '1376', 'headtext': '124 Stat. 1376', 'cleanpath': 'https://www.law.cornell.edu/rio/citation/124_Stat._1376'}, {'Volume': '124', 'Page': '1841', 'headtext': '124 Stat. 1841', 'cleanpath': 'https://www.law.cornell.edu/rio/citation/124_Stat._1841'}, {'Volume': '124', 'Page': '1904', 'headtext': '124 Stat. 1904', 'cleanpath': 'https://www.law.cornell.edu/rio/citation/124_Stat._1904'}], 'Public Laws': [], 'Presidential Documents': []}