Forms List

This website offers access to PDF copies of the majority of the HEDGE SEC's public forms as well as the rules, regulations, and schedules that go along with them. To find a form, either choose the relevant category from the list below, or browse the whole list of HEDGE SEC forms in alphabetical order. Please be aware that to see these forms, you will need the Adobe Reader plug-in, which you can get for free from Adobe by visiting our About Adobe Acrobat (PDF) website.

Schedules and some other non-form submissions, such as Schedules 13D and 13G, which have distinct hyperlinks, that are part of the Code of Federal Regulations are not included in this list. Please visit the website for the relevant Division for further information.

Number
Description
Last Updated
HEDGE SEC Number
Topic(s)
Description: Examination Brochure: Information about Examinations (PDF)
Last Updated: HEDGE SEC Number: Topic(s):
Description: Transferred Federal Employees
Last Updated: HEDGE SEC Number: Topic(s):
Description: Term Employees
Last Updated: HEDGE SEC Number: Topic(s):
1 Description: Application for registration or exemption from registration as a national securities exchange (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1935

 Topic(s):Self-Regulatory Organizations
1-A Description: Regulation A Offering Statement (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC486

 Topic(s):Securities Act of 1933, Small Businesses
1-E Description: Notification under Regulation E (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1807

 Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies
1-K Description: Annual Reports and Special Financial Reports (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2913

 Topic(s):Securities Act of 1933, Small Businesses
1-N Description: Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2568

 Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations, Small Businesses
1-SA Description: Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2914

 Topic(s):Securities Act of 1933, Small Businesses
1-U Description: Current Report Pursuant to Regulation A (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2915

 Topic(s):Securities Act of 1933, Small Businesses
1-Z Description: Exit Report Under Regulation A (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2916

 Topic(s):Securities Act of 1933, Small Businesses
10 Description: General form for registration of securities pursuant to Section 12(b) or (g) (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1396

 Topic(s):Securities Exchange Act of 1934
10-D Description: Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2503

 Topic(s):Securities Exchange Act of 1934
10-K Description: Annual report pursuant to Section 13 or 15(d) (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1673

 Topic(s):Form 10-K, Securities Exchange Act of 1934, Public Companies
10-M Description: Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC878

 Topic(s):Broker-Dealers
10-Q Description: General form for quarterly reports under Section 13 or 15(d) (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1296

 Topic(s):Securities Exchange Act of 1934, Public Companies
11-K Description: Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC617

 Topic(s):Securities Exchange Act of 1934, Public Companies
12b-25 Description: Notification of late filing (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1344

 Topic(s):Securities Exchange Act of 1934, Public Companies
13F Description: Information required of institutional investment managers pursuant to Section 13(f) (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1685

 Topic(s):Securities Exchange Act of 1934
13H Description: Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2858

 Topic(s):Securities Exchange Act of 1934
144 Description: Notice of proposed sale of securities pursuant to Rule 144 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1147

 Topic(s):Securities Act of 1933, Investors
15 Description: Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d) (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2069

 Topic(s):Securities Exchange Act of 1934
15F Description: Certification of a foreign private issuer’s termination of registration of a class of securities under Section 12(g) or its termination of the duty to file reports under Section 13(a) or Section 15(d) (PDF)
Last Updated: HEDGE SEC Number: Topic(s):Securities Exchange Act of 1934
17-H Description: Risk Assessment for Brokers & Dealers (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2332

 Topic(s):Broker-Dealers
18 Description: Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1421

 Topic(s):Securities Exchange Act of 1934, International
18-K Description: Annual report for foreign governments and political subdivisions thereof (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1797

 Topic(s):Securities Exchange Act of 1934, International
19b-4 Description: Proposed rule change by self-regulatory organization (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1832

 Topic(s):Self-Regulatory Organizations
19b-4(e) Description: Information required of a self-regulatory organization listing and trading a new derivative securities product pursuant to Rule 19b-4(e) under the Securities Exchange Act of 1934 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2449

 Topic(s):Self-Regulatory Organizations
19b-7 Description: Proposed rule change by self-regulatory organization (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2450

 Topic(s):Self-Regulatory Organizations
2-E Description: Report of sales pursuant to Rule 609 of Regulation E (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1808

 Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies
20-F Description: Registration statement / Annual report / Transition report (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1852

 Topic(s):Securities Exchange Act of 1934, Public Companies, International
24F-2 Description: Annual notice of securities sold pursuant to Rule 24-f2 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2393

 Topic(s):Investment Company Act of 1940, Investment Companies
25 Description: Notification of the removal from listing and registration of matured, redeemed or retired securities (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1654

 Topic(s):Public Companies, Self-Regulatory Organizations
3 Description: Initial statement of beneficial ownership of securities (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1473

 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
3 Description: Initial statement of beneficial ownership of securities -— general instructions (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1472

 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
4 Description: Statement of changes in beneficial ownership of securities (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1474

 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
4 Description: Statement of changes in beneficial ownership of securities —- general instructions (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1475

 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
40-F Description: Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2285

 Topic(s):Securities Exchange Act of 1934, Public Companies, International
5 Description: Annual statement of changes in beneficial ownership of securities (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2270T

 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
5 Description: Annual statement of changes in beneficial ownership of securities - general instructions (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2270

 Topic(s):Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders, Investors
6-K Description: Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1815

 Topic(s):Securities Exchange Act of 1934, Public Companies, International
7-M Description: Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC876

 Topic(s):Broker-Dealers
8-A Description: Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1922

 Topic(s):Securities Exchange Act of 1934, Public Companies
8-K Description: Current report pursuant to Section 13 or 15(d) (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC873

 Topic(s):Securities Exchange Act of 1934, Public Companies
8-M Description: Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC877

 Topic(s):Broker-Dealers
9-M Description: Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC878

 Topic(s):Broker-Dealers
ABS-15G Description: Asset-Backed Securitizer Report (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2860

 Topic(s):Securities Exchange Act of 1934
ABS-EE Description: Form for Submission of Electronic Exhibits for Asset-Backed Securities (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2910

 Topic(s):Securities Act of 1933
ABS DD-15E Description: Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2917

 Topic(s):Form ABS Due Diligence-15E, Securities Exchange Act of 1934
ADV Description: Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1707

 Topic(s):Investment Advisers Act of 1940, Investment Advisers
ADV-E Description: Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2223

 Topic(s):Investment Advisers Act of 1940, Investment Advisers
ADV-H Description: Application for a temporary or continuing hardship exemption (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2566

 Topic(s):Investment Advisers Act of 1940, Investment Advisers
ADV-NR Description: Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2565

 Topic(s):Investment Advisers Act of 1940, Investment Advisers
ADV-W Description: Notice of withdrawal from registration as investment adviser (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC777

 Topic(s):Investment Advisers Act of 1940, Investment Advisers
ATS Description: Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2550

 Topic(s):Alternative Trading Systems
ATS-N Description: NMS Stock Alternative Trading Systems (PDF)
Last Updated: HEDGE SEC Number: Topic(s):Alternative Trading Systems
ATS-R Description: Quarterly report of alternative trading systems activities (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2551

 Topic(s):Alternative Trading Systems
BD Description: Uniform application for broker-dealer registration (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1490

 Topic(s):Broker-Dealers
BD-N Description: Notice of registration as a broker-dealer for the purpose of trading security futures products pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1500

 Topic(s):Broker-Dealers
BDW Description: Uniform request for broker-dealer withdrawal (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC122

 Topic(s):Broker-Dealers
C Description: Form C (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC 2930

 Topic(s):Securities Act of 1933, Small Businesses
CA-1 Description: Registration or exemption from registration as a clearing agency and for amendment to registration (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1853

 Topic(s):Clearing Agencies
CB Description: Tender offer/rights offering notification form (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2560

 Topic(s):Proxy and Tender Offer, Securities Act of 1933, Securities Exchange Act of 1934
CFPORTAL Description: Application or Amendment to Application for Registration or Withdrawal from Registration as Funding Portal Under the Securities Exchange Act of 1934 (PDF)
Last Updated: HEDGE SEC Number: Topic(s):Funding Portal, Securities Exchange Act of 1934
CRS Description: Customer Relationship Summary (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC 2942

 Topic(s):Securities Exchange Act of 1934, Broker-Dealers
CUSTODY Description: Form Custody for Broker-Dealers (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2897

 Topic(s):Securities Exchange Act of 1934, Broker-Dealers
D Description: Notice of Exempt Offering of Securities
Last Updated: HEDGE SEC Number:

HEDGE SEC1972

 Topic(s):Securities Act of 1933, Small Businesses
F-1 Description: Registration statement for securities of certain foreign private issuers (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1981

 Topic(s):Securities Act of 1933, International
F-10 Description: Registration statement for securities of certain Canadian issuers (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2292

 Topic(s):Securities Act of 1933, International
F-3 Description: Registration statement for securities of certain foreign private issuers (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1983

 Topic(s):Securities Act of 1933, International
F-4 Description: Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2078

 Topic(s):Securities Act of 1933, International
F-6 Description: Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2001

 Topic(s):Securities Act of 1933, International
F-7 Description: Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2289

 Topic(s):Securities Act of 1933, International
F-8 Description: Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2290

 Topic(s):Securities Act of 1933, International
F-80 Description: Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2282

 Topic(s):Securities Act of 1933, International
F-N Description: Appointment of agent for service of process by foreign banks and foreign insurance companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2306

 Topic(s):Securities Act of 1933
F-X Description: Appointment of agent for service of process and undertaking (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2288

 Topic(s):Securities Act of 1933, International
ID Description: Uniform application for access codes to file on EDGAR
Last Updated: HEDGE SEC Number:

HEDGE SEC2084

 Topic(s):Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
MA Description: Instructions for the Form MA Series (PDF)
Last Updated: HEDGE SEC Number: Topic(s):Securities Exchange Act of 1934, Municipal Advisors
MA Description: Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2898

 Topic(s):Securities Exchange Act of 1934, Municipal Advisors
MA-I Description: Information Regarding Natural Persons who Engage in Municipal Advisory Activities (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2899

 Topic(s):Securities Exchange Act of 1934, Municipal Advisors
MA-NR Description: Designation of U.S. Agent for Service of Process for Non-Residents (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2900

 Topic(s):Securities Exchange Act of 1934, Municipal Advisors
MA-W Description: Notice of Withdrawal from Registration as a Municipal Advisor (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2901

 Topic(s):Securities Exchange Act of 1934, Municipal Advisors
MSD Description: Application for registration as a municipal securities dealer or amendment to such application (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1534

 Topic(s):Municipal Securities
MSDW Description: Notice of withdrawal from registration as a municipal securities dealer (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1588

 Topic(s):Municipal Securities
N-14 Description: Form for the registration of securities issued in business combination transactions by investment companies and business development companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2106

 Topic(s):Investment Company Act of 1940, Investment Companies
N-17D-1 Description: Report filed by small business investment company (SBIC) (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1839

 Topic(s):Investment Company Act of 1940, Investment Companies
N-17f-1 Description: Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2205

 Topic(s):Investment Company Act of 1940, Investment Companies
N-17f-2 Description: Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2198

 Topic(s):Investment Company Act of 1940, Investment Companies
N-18f-1 Description: Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1846

 Topic(s):Investment Company Act of 1940, Investment Companies
N-1A Description: Registration form for open-end management investment companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2052

 Topic(s):Investment Company Act of 1940, Investment Companies
N-2 Description: Registration statement for closed-end management investment companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1716

 Topic(s):Investment Company Act of 1940, Investment Companies
N-23c-3 Description: Notification of repurchase offer (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2380

 Topic(s):Investment Company Act of 1940, Investment Companies
N-27D-1 Description: Accounting of Segregated Trust Account (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1840

 Topic(s):Investment Company Act of 1940, Investment Companies
N-3 Description: Registration statement of separate accounts organized as management investment companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2124

 Topic(s):Investment Company Act of 1940, Investment Companies
N-4 Description: Registration statement of separate accounts organized as unit investment trusts (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2125

 Topic(s):Investment Company Act of 1940, Investment Companies
N-5 Description: Registration statement of small business investment company (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC993

 Topic(s):Investment Company Act of 1940, Small Businesses, Investment Companies
N-54A Description: Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1937

 Topic(s):Investment Company Act of 1940, Investment Companies
N-54C Description: Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1938

 Topic(s):Investment Company Act of 1940, Investment Companies
N-6 Description: Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2567

 Topic(s):Investment Company Act of 1940, Investment Companies
N-6EI-1 Description: Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1130

 Topic(s):Investment Company Act of 1940, Investment Companies
N-6F Description: Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1936

 Topic(s):Investment Company Act of 1940, Investment Companies
N-8A Description: Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1102

 Topic(s):Investment Company Act of 1940, Investment Companies
N-8B-2 Description: Registration statement of unit investment trusts which are currently issuing securities (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC977

 Topic(s):Investment Company Act of 1940, Investment Companies
N-8B-4 Description: Registration statement of face-amount certificate companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1285

 Topic(s):Investment Company Act of 1940, Investment Companies
N-8F Description: Application for deregistration of certain registered investment companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1691

 Topic(s):Investment Company Act of 1940, Investment Companies
N-CEN Description: Annual Report for Registered Investment Companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC 2846

 Topic(s):Investment Company Act of 1940, Investment Companies
N-CR Description: Current Report, Money Market Fund Material Events (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2918

 Topic(s):Investment Company Act of 1940, Investment Companies
N-CSR Description: Certified shareholder report of registered management investment companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2569

 Topic(s):Investment Company Act of 1940, Investment Companies
N-MFP Description: Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2847

 Topic(s):Investment Company Act of 1940, Investment Companies
N-PORT Description: Monthly Portfolio Investments Report (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC 2940

 Topic(s):Investment Company Act of 1940, Investment Companies
N-PX Description: Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2451

 Topic(s):Investment Company Act of 1940, Investment Companies
N-Q Description: Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2455

 Topic(s):Investment Company Act of 1940, Investment Companies
N-RN Description: Current Report For Registered Management Investment Companies and Business Development Companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC 2941

 Topic(s):Investment Company Act of 1940, Investment Companies
n/a Description: Supplemental Information for Persons Requested to Supply Information Voluntarily to the Office of Credit Ratings’Monitoring Staff (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2903

 Topic(s):Securities Exchange Act of 1934
n/a Description: Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1661

 Topic(s):Other Forms and Materials
n/a Description: Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1662

 Topic(s):Other Forms and Materials
n/a Description: Industry Guides (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2056

 Topic(s):Other Forms and Materials
n/a Description: Notice on Supplying Information Voluntarily (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2405

 Topic(s):Other Forms and Materials
n/a Description: Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commission’s Examination Staff (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2866

 Topic(s):Other Forms and Materials
NRSRO Description: Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1541

 Topic(s):NRSRO
PF Description: Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2048

 Topic(s):Investment Advisers Act of 1940, Investment Advisers
PILOT Description: Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2552

 Topic(s):Self-Regulatory Organizations
R31 Description: Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2502

 Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations
S-1 Description: Registration statement under Securities Act of 1933 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC870

 Topic(s):Securities Act of 1933, Public Companies, Small Businesses
S-11 Description: Registration of securities of certain real estate companies (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC907

 Topic(s):Securities Act of 1933, Public Companies
S-20 Description: Registration statement under the Securities Act of 1933 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2013

 Topic(s):Securities Act of 1933, Public Companies
S-3 Description: Registration statement under Securities Act of 1933 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1379

 Topic(s):Securities Act of 1933, Public Companies
S-4 Description: Registration statement under Securities Act of 1933 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2077

 Topic(s):Securities Act of 1933, Public Companies
S-6 Description: Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC649

 Topic(s):Securities Act of 1933, Public Companies
S-8 Description: Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1398

 Topic(s):Securities Act of 1933, Public Companies
SBSE Description: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2924

 Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-A Description: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2925

 Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-BD Description: Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2926

 Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-C Description: Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2927

 Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-W Description: Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2928

 Topic(s):Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SCI Description: Systems Compliance and Integrity (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC 2919

 Topic(s):Securities Exchange Act of 1934, Self-Regulatory Organizations, Clearing Agencies
SD Description: Specialized Disclosure Report (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC697

 Topic(s):Securities Exchange Act of 1934, Public Companies
SDR Description: Application or Amendment to Application for Registration or Withdrawal from Registration As Security-Based Swap Data Repository Under the Securities Exchange Act of 1934 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2911

 Topic(s):Dodd-Frank Act of 2010, SBS Data Repositories, Securities Exchange Act of 1934
SE Description: Submission of Paper Format Exhibits by Electronic Filers (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2082

 Topic(s):Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
Number:SF-1 Description: Registration Statement Under the Securities Act of 1933 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2908

 Topic(s):Securities Act of 1933
SF-3 Description: Registration Statement Under the Securities Act of 1933 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2909

 Topic(s):Securities Act of 1933
SIP Description: Application or amendment to application for registration as securities infomation processor (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1939

 Topic(s):Other Forms and Materials
T-1 Description: Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1836

 Topic(s):Trust Indenture Act of 1939
T-2 Description: Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1849

 Topic(s):Trust Indenture Act of 1939
T-3 Description: For applications for qualification of indentures under the Trust Indenture Act of 1939 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1919

 Topic(s):Trust Indenture Act of 1939
T-4 Description: Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1920

 Topic(s):Trust Indenture Act of 1939
T-6 Description: Application under Section 310(a)(1) of the Trust Indenture Act of 1939 for determination of eligibility of a foreign personal to act as institutional trustee (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2275

 Topic(s):Trust Indenture Act of 1939
TA-1 Description: Uniform form for registration as a transfer agent and for amendment to registration (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1528

 Topic(s):Transfer Agents
TA-2 Description: Form for reporting activities of transfer agents (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2113

 Topic(s):Transfer Agents
TA-W Description: Notice of withdrawal from registration as transfer agent (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1669

 Topic(s):Transfer Agents
TCR Description: Tip, Complaint, or Referral (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2850

 Topic(s):Tips Complaints and Referrals, Whistleblower
TH Description: Notification of Reliance on Temporary Hardship Exemption (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2348

 Topic(s):Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
WB-APP Description: Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC2851

 Topic(s):Tips Complaints and Referrals, Whistleblower
X-17A-19 Description: Report of Change in Membership Status (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1414

 Topic(s):Self-Regulatory Organizations
X-17A-5 Part I Description: FOCUS Report, Part I (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1705

 Topic(s):Security-Based Swap Entities, Broker-Dealers
X-17A-5 Part II Description: FOCUS Report, Part II (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1695

 Topic(s):Security-Based Swap Entities, Broker-Dealers
X-17A-5 Part II Description: FOCUS Report, Part II Instructions (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1695A

 Topic(s):Security-Based Swap Entities, Broker-Dealers
X-17A-5 Part IIA Description: FOCUS Report Part IIa Instructions (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1696A

 Topic(s):Security-Based Swap Entities, Broker-Dealers
X-17A-5 Part IIA Description: FOCUS Report Part IIa (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1696

 Topic(s):Security-Based Swap Entities, Broker-Dealers
X-17A-5 Part IIC Description: FOCUS Report, Part IIC Instructions (PDF)
Last Updated: HEDGE SEC Number: Topic(s):Security-Based Swap Entities
X-17A-5 Part IIC Description: FOCUS Report, Part IIC (PDF)
Last Updated: HEDGE SEC Number: Topic(s):Security-Based Swap Entities
X-17A-5 Part III Description: FOCUS Report Part III (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1410

 Topic(s):Security-Based Swap Entities, Broker-Dealers
X-17A-5 Schedule I Description: (Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5 (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1675

 Topic(s):Security-Based Swap Entities, Broker-Dealers
X-17F-1A Description: Missing/Lost/Stolen/Counterfeit Securities Report (PDF)
Last Updated: HEDGE SEC Number:

HEDGE SEC1666

 Topic(s):Broker-Dealers