Code of Federal Regulations · Subpart

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

17 C.F.R. pt. 249, subpt. D

• § 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
• § 249.308 Form 8-k, For Current Reports
• § 249.310 Form 10-k, For Annual And Transition Reports Pursuant To Sections 13 Or 15(d) Of The Securities Exchange Act Of 1934
• § 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
• § 249.312 Form 10-d, Periodic Distribution Reports By Asset-backed Issuers
• § 249.318 Form 18-k, Annual Report For Foreign Governments And Political Subdivisions Thereof
• § 249.322 Form 12b-25—Notification Of Late Filing
• § 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
• § 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)
• § 249.325 Form 13f, Report Of Institutional Investment Manager Pursuant To Section 13(f) Of The Securities Exchange Act Of 1934
• § 249.326 Form N-px, Annual Report Of Proxy Voting Record
• § 249.327 Form 13h, Information Required On Large Traders Pursuant To Section 13(h) Of The Securities Exchange Act Of 1934 And Rules Thereunder
• § 249.330 Form N-cen, Annual Report Of Registered Investment Companies
• § 249.331 Form N-csr, Certified Shareholder Report
• § 249.332 Form Sho, Report Of Institutional Investment Managers Pursuant To Section 13(f)(2) Of The Securities Exchange Act Of 1934
• § 249.333 [reserved]
• § 249.444 Form Se, Form For Submission Of Paper Format Exhibits By Electronic Filers
• § 249.445 [reserved]
• § 249.446 Form Id, Application For Edgar Access
• § 249.447 Form Th—Notification Of Reliance On Temporary Hardship Exemption
• § 249.308a a Form 10-q, For Quarterly And Transition Reports Under Sections 13 Or 15(d) Of The Securities Exchange Act Of 1934
• § 249.310b-249.310c §§ 249.310b-249.310c [reserved]
• § 249.328T t 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