17 CFR 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. § 249.327 Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.
  14. § 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.
  15. § 249.330 Form N-CEN, annual report of registered investment companies.
  16. § 249.331 Form N-CSR, certified shareholder report.
  17. § 249.332 [Reserved]>
  18. § 249.444 Form SE, form for submission of paper format exhibits by electronic filers.
  19. § 249.445 [Reserved]
  20. § 249.446 Form ID, uniform application for access codes to file on EDGAR.
  21. § 249.447 Form TH - Notification of reliance on temporary hardship exemption.