§ 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
§ 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
§ 249.311 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 xxx
§ 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 Form F-SR
§ 249.444 Form SE, form for submission of paper format exhibits by electronic filers
§ 249.446 Form ID, uniform application for access codes to file on EDGAR
§ 249.447 Form TH–Notification of reliance on temporary hardship exemption
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Terms Used In CFR > Title 17 > Chapter II > Part 249 > Subpart D - Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(D) of the Securities Exchange Act of 1934

  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
  • Lease: A contract transferring the use of property or occupancy of land, space, structures, or equipment in consideration of a payment (e.g., rent). Source: OCC
  • Statute: A law passed by a legislature.