Code of Federal Regulations · Part
Part 249 — Forms, Securities Exchange Act Of 1934
17 C.F.R. pt. 249
- § 249.0-1 -1 Availability Of Forms
- Subpart A Forms For Registration Or Exemption Of, And Notification Of Action Taken By, National Securities Exchanges
- Subpart B Forms For Reports To Be Filed By Officers, Directors, And Security Holders
- Subpart C Forms For Applications For Registration Of Securities On National Securities Exchanges And Similar Matters
- Subpart D Forms For Annual And Other Reports Of Issuers And Other Persons Required Under Sections 13, 14a, And 15(d) Of The Securities Exchange Act Of 1934
- Subpart E Forms For Statements Made In Connection With Exempt Tender Offers
- Subpart F Forms For Registration Of Brokers And Dealers Transacting Business On Over-the-counter Markets
- Subpart G Forms For Reports To Be Made By Certain Exchange Members, Brokers, Dealers, Security-based Swap Dealers, And Major Security-based Swap Participants
- Subpart H Forms For Reports As To Stabilization
- Subpart I Forms For Self-regulatory Organization Rule Changes And Forms For Registration Of And Reporting By National Securities Associations And Affiliated Securities Associations
- Subpart J Subpart J [reserved]
- Subpart K Form For Registration Of, And Reporting By Securities Information Processors
- Subpart L Forms For Registration Of Municipal Securities Dealers
- Subpart M Forms For Reporting And Inquiry With Respect To Missing, Lost, Stolen, Or Counterfeit Securities
- Subpart N Forms For Registration Of Municipal Advisors And For Providing Information Regarding Certain Natural Persons
- Subpart O Forms For Asset-backed Securities
- Subpart P Forms For Registration Of Security-based Swap Data Repositories
- Subpart Q Registration Of Security-based Swap Dealers And Major Security-based Swap Participants
- Subpart R Forms For Registration Of, And Filings By, Security-based Swap Execution Facilities
- Subpart S Subpart S [reserved]
- Subpart T Form Sci, For Filing Notices And Reports As Required By Regulation Sci.
- Subpart U Forms For Registration Of Funding Portals