PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934
Editorial Note:
Nomenclature changes to part 249 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992.
Contents
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249.0-1
§ 249.0-1 Availability of forms. -
A
Subpart A—Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges Sections 249.1–249.26 -
B
Subpart B—Forms for Reports To Be Filed by Officers, Directors, and Security Holders Sections 249.103–249.105 -
C
Subpart C—Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters Sections 249.208–249.250 -
D
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 Sections 249.306–249.447 -
E
Subpart E—Forms for Statements Made in Connection With Exempt Tender Offers Section 249.480 -
F
Subpart F—Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets Sections 249.501–249.510 -
G
Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants Sections 249.617–249.641 -
H
Subpart H—Forms For Reports as to Stabilization Section 249.709 -
I
Subpart I—Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations Sections 249.801–249.822 -
J
Subpart J [Reserved] -
K
Subpart K—Form for Registration of, and Reporting by Securities Information Processors Sections 249.1001–249.1002 -
L
Subpart L—Forms for Registration of Municipal Securities Dealers Sections 249.1100–249.1110 -
M
Subpart M—Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities Section 249.1200 -
N
Subpart N—Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons Sections 249.1300–249.1330 -
O
Subpart O—Forms for Asset-Backed Securities Sections 249.1400–249.1401 -
P
Subpart P—Forms for Registration of Security-Based Swap Data Repositories Section 249.1500 -
Q
Subpart Q—Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants Sections 249.1600–249.1601 -
R
Subpart R—Forms for Registration of, and Filings by, Security-Based Swap Execution Facilities Sections 249.1701–249.1702 -
S
Subpart S [Reserved] -
T
Subpart T—Form SCI, for filing notices and reports as required by Regulation SCI. Section 249.1900 -
U
Subpart U—Forms for Registration of Funding Portals Section 249.2000