Securities and Exchange Commission

Official Website: https://www.sec.gov/

The Securities and Exchange Commission oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.

Forms & Documents

Browse all Securities and Exchange Commission government forms

1 - 20 of 156 forms

Form Title Topics
Accounting of Segregated Trust Account
Annual notice of securities sold pursuant to Rule 24-f2
Annual report for foreign governments and political subdivisions thereof
Annual Report for Registered Investment Companies
Annual Report of Proxy Voting Record of Registered Management Investment Company
Annual report pursuant to Section 13 or 15(d)
Annual Reports and Special Financial Reports
Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d)
Annual statement of changes in beneficial ownership of securities
Annual statement of changes in beneficial ownership of securities -— general instructions
Application for a temporary or continuing hardship exemption
Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934
Application for deregistration of certain registered investment companies
Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939
Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration
Application for registration as a municipal securities dealer or amendment to such application
Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO)
Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants
Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers
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

Contact Information & Office Locations

1 contact point

Headquarters

Address:
100 F Street, NE
Washington, DC 20549

Phone numbers:
  • (800) 877-8339

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