Code of Federal Regulations > Title 17 > Chapter II > Part 249 - PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Jan 20, 2025

§ 249.0-1 - Availability of forms.

Subpart A [§ 249.1 - § 249.26] - Subpart A—Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges

Subpart B [§ 249.103 - § 249.105] - Subpart B—Forms for Reports To Be Filed by Officers, Directors, and Security Holders

Subpart C [§ 249.208 - § 249.250] - Subpart C—Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters

Subpart D [§ 249.306 - § 249.447] - 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

Subpart E [§ 249.480 - § 249.480] - Subpart E—Forms for Statements Made in Connection With Exempt Tender Offers

Subpart F [§ 249.501 - § 249.510] - Subpart F—Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets

Subpart G [§ 249.617 - § 249.641] - Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants

Subpart H [§ 249.709 - § 249.709] - Subpart H—Forms For Reports as to Stabilization

Subpart I [§ 249.801 - § 249.822] - Subpart I—Forms for Self-Regulatory Organization Rule Changes and Forms for Registration of and Reporting by National Securities Associations and Affiliated Securities Associations

Subpart J - Subpart J [Reserved]

Subpart K [§ 249.1001 - § 249.1002] - Subpart K—Form for Registration of, and Reporting by Securities Information Processors

Subpart L [§ 249.1100 - § 249.1110] - Subpart L—Forms for Registration of Municipal Securities Dealers

Subpart M [§ 249.1200 - § 249.1200] - Subpart M—Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities

Subpart N [§ 249.1300 - § 249.1330] - Subpart N—Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons

Subpart O [§ 249.1400 - § 249.1401] - Subpart O—Forms for Asset-Backed Securities

Subpart P [§ 249.1500 - § 249.1500] - Subpart P—Forms for Registration of Security-Based Swap Data Repositories

Subpart Q [§ 249.1600 - § 249.1601] - Subpart Q—Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants

Subpart R [§ 249.1701 - § 249.1702] - Subpart R—Forms for Registration of, and Filings by, Security-Based Swap Execution Facilities

Subpart S - Subpart S [Reserved]

Subpart T [§ 249.1900. - § 249.1900.] - Subpart T—Form SCI, for filing notices and reports as required by Regulation SCI.

Subpart U [§ 249.2000 - § 249.2000] - Subpart U—Forms for Registration of Funding Portals