Title 17

PART 249

Part 249 - Forms, Securities Exchange Act Of 1934

PART 249 - FORMS, SECURITIES EXCHANGE ACT OF 1934 Authority:15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; Sec. 953(b), Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3), Pub. L. 112-106, 126 Stat. 309 (2012); Sec. 107, Pub. L. 112-106, 126 Stat. 313 (2012), and Sec. 72001, Pub. L. 114-94, 129 Stat. 1312 (2015), unless otherwise noted.

Section 249.220f is also issued under secs. 3(a), 202, 208, 302, 306(a), 401(a), 401(b), 406 and 407, Pub. L. 107-204, 116 Stat. 745.

Section 249.240f is also issued under secs. 3(a), 202, 208, 302, 306(a), 401(a), 406 and 407, Pub. L. 107-204, 116 Stat. 745.

Section 249.308 is also issued under 15 U.S.C. 80a-29 and 80a-37.

Section 249.308a is also issued under secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745.

Section 249.308b is also issued under secs. 3(a) and 302, Pub. L. 107-204, 116 Stat. 745.

Section 249.310 is also issued under secs. 3(a), 202, 208, 302, 406 and 407, Pub. L. 107-204, 116 Stat. 745.

Section 249.326(T) also issued under section 13(f)(1) (15 U.S.C. 78m(f)(1)).

Section 249.330 is also issued under 15 U.S.C. 80a-29(a).

Section 249.331 is also issued under 15 U.S.C. 78j-1, 7202, 7233, 7241, 7264, 7265; and 18 U.S.C. 1350.

Section 249.617 is also issued under Pub. L. 111-203, § 939, 939A, 124. Stat. 1376 (2010) (15 U.S.C. 78c, 15 U.S.C. 78o-7 note).

Section 249.640 is also issued under Public Law 111-203, sec. 913, 124 Stat. 1376 (2010).

Section 249.819 is also issued under 12 U.S.C. 5465(e).

Section 249.1400 is also issued under sec. 943, Pub. L. 111-203, 124 Stat. 1376.

Editorial Note:Nomenclature changes to part 249 appear at 57 FR 36501, Aug. 13, 1992, and 57 FR 47409, Oct. 16, 1992.

• Authority: 15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; Sec. 953(b), Pub. L. 111-203, 124 Stat. 1904; Sec. 102(a)(3), Pub. L. 112-106, 126 Stat. 309 (2012); Sec. 107, Pub. L. 112-106, 126 Stat. 313 (2012), and Sec. 72001, Pub. L. 114-94, 129 Stat. 1312 (2015), unless otherwise noted.

17:4.0.1.1.10.0.128.1	SECTION 249.0-1	249.0-1 Availability of forms.
17:4.0.1.1.10.1	SUBPART A	Subpart A - Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges
17:4.0.1.1.10.1.128.1	SECTION 249.1	249.1 Form 1, for application for, and amendments to applications for, registration as a national securities exchange or exemption from registration pursuant to Section 5 of the Exchange Act.
17:4.0.1.1.10.1.128.2	SECTION 249.10	249.10 Form 1-N for notice registration as a national securities exchange.
17:4.0.1.1.10.1.128.3	SECTION 249.11	249.11 Form R31 for reporting covered sales and covered round turn transactions under section 31 of the Act.
17:4.0.1.1.10.1.128.4	SECTION 249.25	249.25 Form 25, for notification of removal from listing and/or registration.
17:4.0.1.1.10.1.128.5	SECTION 249.26	249.26 Form 26, for notification of the admission to trading of a substituted or additional class of security under Rule 12a-5 (§ 240.12a-5 of this chapter).
17:4.0.1.1.10.2	SUBPART B	Subpart B - Forms for Reports To Be Filed by Officers, Directors, and Security Holders
17:4.0.1.1.10.2.128.1	SECTION 249.103	249.103 Form 3, initial statement of beneficial ownership of securities.
17:4.0.1.1.10.2.128.2	SECTION 249.104	249.104 Form 4, statement of changes in beneficial ownership of securities.
17:4.0.1.1.10.2.128.3	SECTION 249.105	249.105 Form 5, annual statement of beneficial ownership of securities.
17:4.0.1.1.10.3	SUBPART C	Subpart C - Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters
17:4.0.1.1.10.3.128.1	SECTION 249.208	249.208 [Reserved]
17:4.0.1.1.10.3.128.2	SECTION 249.208a	249.208a Form 8-A, for registration of certain classes of securities pursuant to section 12 (b) or (g) of the Securities Exchange Act of 1934.
17:4.0.1.1.10.3.128.3	SECTION 249.208b-249.208c	249.208b-249.208c [Reserved]
17:4.0.1.1.10.3.128.4	SECTION 249.210	249.210 Form 10, general form for registration of securities pursuant to section 12(b) or (g) of the Securities Exchange Act of 1934.
17:4.0.1.1.10.3.128.5	SECTION 249.210b	249.210b [Reserved]
17:4.0.1.1.10.3.128.6	SECTION 249.218	249.218 Form 18, for foreign governments and political subdivisions thereof.
17:4.0.1.1.10.3.128.7	SECTION 249.220f	249.220f Form 20-F, registration of securities of foreign private issuers pursuant to section 12(b) or (g), annual and transition reports pursuant to sections 13 and 15(d), and shell company reports required under Rule 13a-19 or 15d-19 (§ 240.13a-19 or § 240.15d-19 of this chapter).
17:4.0.1.1.10.3.128.8	SECTION 249.240f	249.240f Form 40-F, for registration of securities of certain Canadian issuers pursuant to section 12(b) or (g) and for reports pursuant to section 15(d) and Rule 15d-4 (§ 240.15d-4 of this chapter).
17:4.0.1.1.10.3.128.9	SECTION 249.250	249.250 Form F-X, for appointment of agent for service of process by issuers registering securities on Form F-8, F-9, F-10 or F-80 (§ 239.38, 239.39, 239.40 or 239.41 of this chapter), or registering securities or filing periodic reports on Form 40-F (§ 249.240f of this chapter), or by any issuer or other non-U.S. person filing tender offer documents on Schedule 13E-4F, 14D-1F or 14D-9F (§ 240.13e-102, 240.14d-102 or 240.14d-103 of this chapter), or by any non-U.S. person acting as trustee with respect to securities registered on Form F-7 (§ 249.37 of this chapter), F-8, F-9, F-10 or F-80.
17:4.0.1.1.10.4	SUBPART D	Subpart D - Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934
17:4.0.1.1.10.4.128.1	SECTION 249.306	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.
17:4.0.1.1.10.4.128.2	SECTION 249.308	249.308 Form 8-K, for current reports.
17:4.0.1.1.10.4.128.3	SECTION 249.308a	249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
17:4.0.1.1.10.4.128.4	SECTION 249.310	249.310 Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.
17:4.0.1.1.10.4.128.5	SECTION 249.310b-249.310c	249.310b-249.310c [Reserved]
17:4.0.1.1.10.4.128.6	SECTION 249.311	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.
17:4.0.1.1.10.4.128.7	SECTION 249.312	249.312 Form 10-D, periodic distribution reports by asset-backed issuers.
17:4.0.1.1.10.4.128.8	SECTION 249.318	249.318 Form 18-K, annual report for foreign governments and political subdivisions thereof.
17:4.0.1.1.10.4.128.9	SECTION 249.322	249.322 Form 12b-25 - Notification of late filing.
17:4.0.1.1.10.4.128.10	SECTION 249.323	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.
17:4.0.1.1.10.4.128.11	SECTION 249.324	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).
17:4.0.1.1.10.4.128.12	SECTION 249.325	249.325 Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.
17:4.0.1.1.10.4.128.13	SECTION 249.327	249.327 Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.
17:4.0.1.1.10.4.128.14	SECTION 249.328T	249.328T 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.
17:4.0.1.1.10.4.128.15	SECTION 249.330	249.330 Form N-CEN, annual report of registered investment companies.
17:4.0.1.1.10.4.128.16	SECTION 249.331	249.331 Form N-CSR, certified shareholder report.
17:4.0.1.1.10.4.128.17	SECTION 249.332	249.332 [Reserved]>
17:4.0.1.1.10.4.128.18	SECTION 249.444	249.444 Form SE, form for submission of paper format exhibits by electronic filers.
17:4.0.1.1.10.4.128.19	SECTION 249.445	249.445 [Reserved]
17:4.0.1.1.10.4.128.20	SECTION 249.446	249.446 Form ID, uniform application for access codes to file on EDGAR.
17:4.0.1.1.10.4.128.21	SECTION 249.447	249.447 Form TH - Notification of reliance on temporary hardship exemption.
17:4.0.1.1.10.5	SUBPART E	Subpart E - Forms for Statements Made in Connection With Exempt Tender Offers
17:4.0.1.1.10.5.128.1	SECTION 249.480	249.480 Form CB, tender offer statement in connection with a tender offer for a foreign private issuer.
17:4.0.1.1.10.6	SUBPART F	Subpart F - Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets
17:4.0.1.1.10.6.128.1	SECTION 249.501	249.501 Form BD, for application for registration as a broker and dealer or to amend or supplement such an application.
17:4.0.1.1.10.6.128.2	SECTION 249.501a	249.501a Form BDW, notice of withdrawal from registration as broker-dealer pursuant to § 240.15b6-1, § 240.15Bc3-1, or § 240.15Cc1-1 of this chapter.
17:4.0.1.1.10.6.128.3	SECTION 249.501b	249.501b Form BD-N for notice registration as a broker-dealer.
17:4.0.1.1.10.6.128.4	SECTION 249.507	249.507 Form 7-M, consent to service of process by an individual nonresident broker-dealer.
17:4.0.1.1.10.6.128.5	SECTION 249.508	249.508 Form 8-M, consent to service of process by a corporation which is a nonresident broker-dealer.
17:4.0.1.1.10.6.128.6	SECTION 249.509	249.509 Form 9-M, consent to service of process by a partnership nonresident broker-dealer.
17:4.0.1.1.10.6.128.7	SECTION 249.510	249.510 Form 10-M, consent to service of process by a nonresident general partner of a broker-dealer firm.
17:4.0.1.1.10.7	SUBPART 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
17:4.0.1.1.10.7.128.1	SECTION 249.617	249.617 Form X-17A-5, information required of certain brokers, dealers, security-based swap dealers, and major security-based swap participants pursuant to sections 15F and 17 of the Securities Exchange Act of 1934 and §§ 240.17a-5, 240.17a-10, 240.17a-11, 240.17a-12, and 240.18a-79 of this chapter, as applicable.
17:4.0.1.1.10.7.128.2	SECTION 249.618	249.618 Form BD-Y2K, information required of broker-dealers pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17a-5 of this chapter.
17:4.0.1.1.10.7.128.3	SECTION 249.619	249.619 Form TA-Y2K, information required of transfer agents pursuant to section 17 of the Securities Exchange Act of 1934 and § 240.17Ad-18 of this chapter.
17:4.0.1.1.10.7.128.4	SECTION 249.620-249.634	249.620-249.634 [Reserved]
17:4.0.1.1.10.7.128.5	SECTION 249.635	249.635 Form X-17A-19, report by national securities exchanges and registered national securities associations of changes in the membership status of any of their members.
17:4.0.1.1.10.7.128.6	SECTION 249.636	249.636 [Reserved]
17:4.0.1.1.10.7.128.7	SECTION 249.637	249.637 Form ATS, information required of alternative trading systems pursuant to § 242.301(b)(2) of this chapter.
17:4.0.1.1.10.7.128.8	SECTION 249.638	249.638 Form ATS-R, information required of alternative trading systems pursuant to § 242.301(b)(8) of this chapter.
17:4.0.1.1.10.7.128.9	SECTION 249.639	249.639 Form custody.
17:4.0.1.1.10.7.128.10	SECTION 249.640	249.640 Form ATS-N, information required of NMS Stock ATSs pursuant to § 242.304(a) of this chapter.
17:4.0.1.1.10.7.128.11	SECTION 249.641	249.641 Form CRS, Relationship Summary for Brokers and Dealers Providing Services to Retail Investors, pursuant to § 240.17a-14 of this chapter.
17:4.0.1.1.10.8	SUBPART H	Subpart H - Forms For Reports as to Stabilization
17:4.0.1.1.10.8.128.1	SECTION 249.709	249.709 [Reserved]
17:4.0.1.1.10.9	SUBPART 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
17:4.0.1.1.10.9.128.1	SECTION 249.801	249.801 Form X-15AA-1, for application for registration as a national securities association or affiliated securities association.
17:4.0.1.1.10.9.128.2	SECTION 249.802	249.802 Form X-15AJ-1, for amendatory and/or supplementary statements to registration statement of a national securities association or an affiliated securities association.
17:4.0.1.1.10.9.128.3	SECTION 249.803	249.803 Form X-15AJ-2, for annual consolidated supplement of a national securities association or an affiliated securities association.
17:4.0.1.1.10.9.128.4	SECTION 249.819	249.819 Form 19b-4, for electronic filings with respect to proposed rule changes, advance notices and security-based swap submissions by all self-regulatory organizations.
17:4.0.1.1.10.9.128.5	SECTION 249.820	249.820 Form 19b-4(e) for the listing and trading of new derivative securities products by self-regulatory organizations that are not deemed proposed rule changes pursuant to Rule 19b-4(e)(§ 240.19b-4(e)).
17:4.0.1.1.10.9.128.6	SECTION 249.821	249.821 Form PILOT, information required of self-regulatory organizations operating pilot trading systems pursuant to § 240.19b-5 of this chapter.
17:4.0.1.1.10.9.128.7	SECTION 249.822	249.822 Form 19b-7, for electronic filing with respect to proposed rule changes by self-regulatory organizations under Section 19(b)(7)(A) of the Securities Exchange Act of 1934.
17:4.0.1.1.10.10	SUBPART J	Subpart J [Reserved]
17:4.0.1.1.10.11	SUBPART K	Subpart K - Form for Registration of, and Reporting by Securities Information Processors
17:4.0.1.1.10.11.128.1	SECTION 249.1001	249.1001 Form SIP, for application for registration as a securities information processor or to amend such an application or registration.
17:4.0.1.1.10.12	SUBPART L	Subpart L - Forms for Registration of Municipal Securities Dealers
17:4.0.1.1.10.12.128.1	SECTION 249.1100	249.1100 Form MSD, application for registration as a municipal securities dealer pursuant to rule 15Ba2-1 under the Securities Exchange Act of 1934 or amendment to such application.
17:4.0.1.1.10.12.128.2	SECTION 249.1110	249.1110 Form MSDW, notice of withdrawal from registration as a municipal securities dealer pursuant to Rule 15Bc3-1 (17 CFR 240.15Bc3-1).
17:4.0.1.1.10.13	SUBPART M	Subpart M - Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities
17:4.0.1.1.10.13.128.1	SECTION 249.1200	249.1200 Form X-17F-1A - Report for missing, lost, stolen or counterfeit securities.
17:4.0.1.1.10.14	SUBPART N	Subpart N - Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons
17:4.0.1.1.10.14.128.1	SECTION 249.1300	249.1300 Form MA, for registration as a municipal advisor, and for amendments to registration.
17:4.0.1.1.10.14.128.2	SECTION 249.1300T	249.1300T Form MA-T, for temporary registration as a municipal advisor, and for amendments to, and withdrawals from, temporary registration.
17:4.0.1.1.10.14.128.3	SECTION 249.1310	249.1310 Form MA-I, for providing information regarding natural person municipal advisors, and for amendments to such information.
17:4.0.1.1.10.14.128.4	SECTION 249.1320	249.1320 Form MA-W, for withdrawal from registration as a municipal advisor.
17:4.0.1.1.10.14.128.5	SECTION 249.1330	249.1330 Form MA-NR, for appointment of agent for service of process by non-resident municipal advisor, non-resident general partner or managing agent of a municipal advisor, and non-resident natural person associated with a municipal advisor.
17:4.0.1.1.10.15	SUBPART O	Subpart O - Forms for Asset-Backed Securities
17:4.0.1.1.10.15.128.1	SECTION 249.1400	249.1400 Form ABS-15G, Asset-backed securitizer report pursuant to Section 15G of the Securities Exchange Act of 1934.
17:4.0.1.1.10.15.128.2	SECTION 249.1401	249.1401 Form ABS-EE, for submission of the asset-data file exhibits and related documents.
17:4.0.1.1.10.16	SUBPART P	Subpart P - Forms for Registration of Security-Based Swap Data Repositories
17:4.0.1.1.10.16.128.1	SECTION 249.1500	249.1500 Form SDR, for application for registration as a security-based swap data repository, amendments thereto, or withdrawal from registration.
17:4.0.1.1.10.17	SUBPART Q	Subpart Q - Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
17:4.0.1.1.10.17.128.1	SECTION 249.1600	249.1600 Form SBSE, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.
17:4.0.1.1.10.17.128.2	SECTION 249.1600a	249.1600a Form SBSE-A, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commodity Futures Trading Commission as a swap dealer or major swap participant that are not also registered or registering with the Commission as a broker or dealer.
17:4.0.1.1.10.17.128.3	SECTION 249.1600b	249.1600b Form SBSE-BD, for application for registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration by firms registered or registering with the Commission as a broker or dealer.
17:4.0.1.1.10.17.128.4	SECTION 249.1600c	249.1600c Form SBSE-C, for certification by security-based swap dealers and major security-based swap participants.
17:4.0.1.1.10.17.128.5	SECTION 249.1601	249.1601 Form SBSE-W, for withdrawal from registration as a security-based swap dealer or major security-based swap participant or to amend such an application for registration.
17:4.0.1.1.10.18	SUBPART S	Subpart S [Reserved]
17:4.0.1.1.10.19	SUBPART T	Subpart T - Form SCI, for filing notices and reports as required by Regulation SCI.
17:4.0.1.1.10.19.128.1	SECTION 249.1900.	249.1900. Form SCI, for filing notices and reports as required by Regulation SCI.
17:4.0.1.1.10.20	SUBPART U	Subpart U - Forms for Registration of Funding Portals
17:4.0.1.1.10.20.128.1	SECTION 249.2000	249.2000 Form Funding Portal.

---