17 CFR Part 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934
- § 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)
- 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, and Dealers (§§ 249.617 - 249.639)
- Subpart H - Forms For Reports as to Stabilization (§ 249.709)
- 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)
- 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)
- 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)
- Subpart Q - Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (§§ 249.1600 - 249.1601)
- Subpart S - Whistleblower Forms (§§ 249.1800 - 249.1801)
- 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)
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 249.819 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).