List of SEC Filings Forms

 

This page provides links to PDF versions of SEC Public Forms and rules, regulations, and schedules associated with the forms listed. To find a form, either select the appropriate category below or scroll through the full list of forms arranged in alphanumeric order. Please note that Adobe Reader plug-in (available free from Adobe through our About Adobe Acrobat (PDF) page) is needed to view the forms.

SEC Filings: Forms You Need To Know

 

The US government enables investors to check a company’s history, progress, and its future potential through a set of required filings such as registration statements, formal and periodic reports, and other forms that are provided to the U.S, Securities and Exchange Commission (SEC).

SEC Forms List

 

This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order. Please note that you will need Adobe Reader plug-in to view these forms (available for free from Adobe through our About Adobe Acrobat (PDF) page).

wdt_ID Number Description Last Updated SEC Number Topic(s)
1 Application for registration or exemption from registration as a national securities exchange (PDF)  01/02/1999 SEC1935  Self-Regulatory Organizations 
2 1-A  Regulation A Offering Statement (PDF)  01/06/2015 SEC486  Securities Act of 1933, Small Businesses 
3 1-E  Notification under Regulation E (PDF)  01/08/2001 SEC1807  Investment Company Act of 1940, Small Businesses, Investment Companies 
4 1-K  Annual Reports and Special Financial Reports (PDF)  01/06/2015 SEC2913 Securities Act of 1933, Small Businesses 
5 1-N  Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF)  01/12/2013 SEC2568 Securities Exchange Act of 1934, Self-Regulatory Organizations 
6 1-SA  Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF)  01/06/2015 SEC2914 Securities Act of 1933, Small Businesses 
7 1-U  Current Report Pursuant to Regulation A (PDF)  01/06/2015 SEC2915 Securities Act of 1933, Small Businesses 
8 1-Z  Exit Report Under Regulation A (PDF)  01/06/2015 SEC2916 Securities Act of 1933, Small Businesses 
9 2-E  Report of sales pursuant to Rule 609 of Regulation E (PDF)  01/10/2006 SEC1808  Investment Company Act of 1940, Small Businesses, Investment Companies 
10 Initial statement of beneficial ownership of securities -— general instructions (PDF)  01/05/2019 SEC1472 Directors, Officers, Securities Exchange Act of 1934, Significant Shareholders 

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