17 CFR Part 249 - PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934

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  1. § 249.0-1 Availability of forms.
  2. Subpart A—Forms for Registration or Exemption of, and Notification of Action Taken by, National Securities Exchanges (§§ 249.1 - 249.26)
  3. Subpart B—Forms for Reports To Be Filed by Officers, Directors, and Security Holders (§§ 249.103 - 249.105)
  4. Subpart C—Forms for Applications for Registration of Securities on National Securities Exchanges and Similar Matters (§§ 249.208 - 249.250)
  5. Subpart D—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)
  6. Subpart E—Forms for Statements Made in Connection With Exempt Tender Offers (§ 249.480)
  7. Subpart F—Forms for Registration of Brokers and Dealers Transacting Business on Over-the-Counter Markets (§§ 249.501 - 249.510)
  8. Subpart G—Forms for Reports To Be Made by Certain Exchange Members, Brokers, Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants (§§ 249.617 - 249.641)
  9. Subpart H—Forms For Reports as to Stabilization (§ 249.709)
  10. Subpart I—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)
  11. Subpart J [Reserved]
  12. Subpart K—Form for Registration of, and Reporting by Securities Information Processors (§§ 249.1001 - 249.1002)
  13. Subpart L—Forms for Registration of Municipal Securities Dealers (§§ 249.1100 - 249.1110)
  14. Subpart M—Forms for Reporting and Inquiry With Respect to Missing, Lost, Stolen, or Counterfeit Securities (§ 249.1200)
  15. Subpart N—Forms for Registration of Municipal Advisors and for Providing Information Regarding Certain Natural Persons (§§ 249.1300 - 249.1330)
  16. Subpart O—Forms for Asset-Backed Securities (§§ 249.1400 - 249.1401)
  17. Subpart P—Forms for Registration of Security-Based Swap Data Repositories (§ 249.1500)
  18. Subpart Q—Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (§§ 249.1600 - 249.1601)
  19. Subparts R—S [Reserved]
  20. Subpart T—Form SCI, for filing notices and reports as required by Regulation SCI. (§ 249.1900.)
  21. Subpart U—Forms for Registration of Funding Portals (§ 249.2000)
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), Sec. 72001 Pub. L. 114–94, 129 Stat. 1312 (2015), and secs. 2 and 3 Pub. L. 116–222, 134 Stat. 1063 (2020), 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, and secs. 2 and 3, Pub. L. 116–222, 134 Stat. 1063.

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.