Code of Federal Regulations > Title 17 > Chapter II > Part 249 > Subpart 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

U.S. Code of Federal Regulations

Regulations most recently checked for updates: Jan 20, 2025

§ 249.306 - Form 6-K, report of foreign issuer pursuant to Rules 13a-16 (of this chapter) and 15d-16 (of this chapter) under the Securities Exchange Act of 1934.

§ 249.308 - Form 8-K, for current reports.

§ 249.308a - Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.

§ 249.310 - Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.

§§ 249.310b-249.310c - §[Reserved]

§ 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.

§ 249.312 - Form 10-D, periodic distribution reports by asset-backed issuers.

§ 249.318 - Form 18-K, annual report for foreign governments and political subdivisions thereof.

§ 249.322 - Form 12b-25—Notification of late filing.

§ 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.

§ 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).

§ 249.325 - Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.

§ 249.326 - Form N-PX, annual report of proxy voting record.

§ 249.327 - Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.

§ 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.

§ 249.330 - Form N-CEN, annual report of registered investment companies.

§ 249.331 - Form N-CSR, certified shareholder report.

§ 249.332 - Form SHO, report of institutional investment managers pursuant to section 13(f)(2) of the Securities Exchange Act of 1934.

§ 249.333 - [Reserved]

§ 249.444 - Form SE, form for submission of paper format exhibits by electronic filers.

§ 249.445 - [Reserved]

§ 249.446 - Form ID, uniform application for access codes to file on EDGAR.

§ 249.447 - Form TH—Notification of reliance on temporary hardship exemption.