List of SEC Filing 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 | 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 | 3 | 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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