Part 249 - [Effective until 5/5/2021]FORMS, SECURITIES EXCHANGE ACT OF 1934
- Section 249.0-1 - [Effective until 5/5/2021]Availability of forms
- Subpart A - [Effective until 5/5/2021]FORMS FOR REGISTRATION OR EXEMPTION OF, AND NOTIFICATION OF ACTION TAKEN BY, NATIONAL SECURITIES EXCHANGES (§§ 249.1 — 249.26)
- Subpart B - [Effective until 5/5/2021]FORMS FOR REPORTS TO BE FILED BY OFFICERS, DIRECTORS, AND SECURITY HOLDERS (§§ 249.103 — 249.105)
- Subpart C - [Effective until 5/5/2021]FORMS FOR APPLICATIONS FOR REGISTRATION OF SECURITIES ON NATIONAL SECURITIES EXCHANGES AND SIMILAR MATTERS (§§ 249.208 — 249.250)
- Subpart D - [Effective until 5/5/2021]FORMS FOR ANNUAL AND OTHER REPORTS OF ISSUERS REQUIRED UNDER SECTIONS 13 AND 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 (§§ 249.306 — 249.447)
- Subpart E - [Effective until 5/5/2021]FORMS FOR STATEMENTS MADE IN CONNECTION WITH EXEMPT TENDER OFFERS (§ 249.480)
- Subpart F - [Effective until 5/5/2021]FORMS FOR REGISTRATION OF BROKERS AND DEALERS TRANSACTING BUSINESS ON OVER-THE-COUNTER MARKETS (§§ 249.501 — 249.510)
- Subpart G - [Effective until 5/5/2021]FORMS FOR REPORTS TO BE MADE BY CERTAIN EXCHANGE MEMBERS, BROKERS, AND DEALERS (§§ 249.617 — 249.641)
- Subpart H - [Effective until 5/5/2021]FORMS FOR REPORTS AS TO STABILIZATION (§ 249.709)
- Subpart I - [Effective until 5/5/2021]FORMS FOR SELF-REGULATORY ORGANIZATION RULE CHANGES AND FORMS FOR REGISTRATION OF AND REPORTING BY NATIONAL SECURITIES ASSOCIATIONS AND AFFILIATED SECURITIES ASSOCIATIONS (§§ 249.801 — 249.822)
- Subpart K - [Effective until 5/5/2021]FORM FOR REGISTRATION OF, AND REPORTING BY SECURITIES INFORMATION PROCESSORS (§§ 249.1001 — 249.1002)
- Subpart L - [Effective until 5/5/2021]FORMS FOR REGISTRATION OF MUNICIPAL SECURITIES DEALERS (§§ 249.1100 — 249.1110)
- Subpart M - [Effective until 5/5/2021]FORMS FOR REPORTING AND INQUIRY WITH RESPECT TO MISSING, LOST, STOLEN, OR COUNTERFEIT SECURITIES (§ 249.1200)
- Subpart N - [Effective until 5/5/2021]FORMS FOR REGISTRATION OF MUNICIPAL ADVISORS AND FOR PROVIDING INFORMATION REGARDING CERTAIN NATURAL PERSONS (§§ 249.1300 — 249.1330)
- Subpart O - [Effective until 5/5/2021]FORMS FOR ASSET-BACKED SECURITIES (§§ 249.1400 — 249.1401)
- Subpart P - [Effective until 5/5/2021]FORMS FOR REGISTRATION OF SECURITY-BASED SWAP DATA REPOSITORIES (§ 249.1500)
- Subpart Q - [Effective until 5/5/2021]REGISTRATION OF SECURITY-BASED SWAP DEALERS AND MAJOR SECURITY-BASED SWAP PARTICIPANTS (§§ 249.1600 — 249.1601)
- Subpart S - [Effective until 5/5/2021]RESERVED (§§ 249.1800 — 249.1801)
- Subpart T - [Effective until 5/5/2021]FORM SCI, FOR FILING NOTICES AND REPORTS AS REQUIRED BY REGULATION SCI (§ 249.1900)
- Subpart U - [Effective until 5/5/2021]FORMS FOR REGISTRATION OF FUNDING PORTALS (§ 249.2000)