17 CFR Subpart D - Subpart D—Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934

  1. § 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.
  2. § 249.308 Form 8–K, for current reports.
  3. § 249.308a Form 10–Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
  4. § 249.310 Form 10–K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.
  5. §§ 249.310b-249.310c [Reserved]
  6. § 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.
  7. § 249.312 Form 10–D, periodic distribution reports by asset-backed issuers.
  8. § 249.318 Form 18–K, annual report for foreign governments and political subdivisions thereof.
  9. § 249.322 Form 12b–25—Notification of late filing.
  10. § 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.
  11. § 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).
  12. § 249.325 Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.
  13. § 249.326 xxx
  14. § 249.327 Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.
  15. § 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.
  16. § 249.330 Form N–CEN, annual report of registered investment companies.
  17. § 249.331 Form N-CSR, certified shareholder report.
  18. § 249.332 [Reserved]
  19. § 249.333 Form F–SR.
  20. § 249.444 Form SE, form for submission of paper format exhibits by electronic filers.
  21. § 249.445 [Reserved]
  22. § 249.446 Form ID, uniform application for access codes to file on EDGAR.
  23. § 249.447 Form TH—Notification of reliance on temporary hardship exemption.
Link to an amendment published at 87 FR 78808, Dec. 22, 2022.