| 1 | Application for registration or exemption from registration as a national securities exchange |
| 1-A | Regulation A Offering Statement |
| 1-E | Notification under Regulation E |
| 1-K | Annual Reports and Special Financial Reports |
| 1-N | Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products |
| 1-SA | Semiannual Report or Special Financial Report Pursuant to Regulation A |
| 1-U | Current Report Pursuant to Regulation A |
| 1-Z | Exit Report Under Regulation A |
| 10 | General form for registration of securities pursuant to Section 12(b) or (g) |
| 10-D | Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 |
| 10-K | Annual report pursuant to Section 13 or 15(d) |
| 10-M | Irrevocable Appointment of Agent for Service of Process Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer |
| 10-Q | General form for quarterly reports under Section 13 or 15(d) |
| 11-K | Annual reports of employee stock purchase savings and similar plans pursuant to Section 15(d) |
| 12b-25 | Notification of late filing |
| 13F | Information required of institutional investment managers pursuant to Section 13(f) |
| 13H | Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 |
| 144 | Notice of proposed sale of securities pursuant to Rule 144 |
| 15 | Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d) |
| 15F | Certification of a foreign private issuer's termination of registration of a class of securities under Section 12(g) or its termination of the duty to file reports under Section 13(a) or Section 15(d) |
| 17-H | Risk Assessment for Brokers & Dealers |
| 18 | Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 |
| 18-K | Annual report for foreign governments and political subdivisions thereof |
| 19b-4 | Proposed rule change by self-regulatory organization |
| 19b-4(e) | Information required of a self-regulatory organization listing and trading a new derivative securities product pursuant to Rule 19b-4(e) under the Securities Exchange Act of 1934 |
| 19b-7 | Proposed rule change by self-regulatory organization |
| 2-E | Report of sales pursuant to Rule 609 of Regulation E |
| 20-F | Registration statement / Annual report / Transition report |
| 24F-2 | Annual notice of securities sold pursuant to Rule 24-f2 |
| 25 | Notification of the removal from listing and registration of matured redeemed or retired securities |
| 3 | Initial statement of beneficial ownership of securities |
| 4 | Statement of changes in beneficial ownership of securities |
| 40-F | Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) |
| 5 | Annual statement of changes in beneficial ownership of securities |
| 6-K | Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 |
| 7-M | Irrevocable Appointment of Agent for Service of Process Pleadings and Other Papers by Individual Non-Resident Broker or Dealer |
| 8-A | Registration of certain classes of securities pursuant to Section 12(b) or (g) |
| 8-K | Current report pursuant to Section 13 or 15(d) |
| 8-M | Irrevocable Appointment of Agent for Service of Process Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer |
| 9-M | Irrevocable Appointment of Agent for Service of Process Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer |
| ABS DD-15E | Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities |
| ABS-15G | Asset-Backed Securitizer Report |
| ABS-EE | Form for Submission of Electronic Exhibits for Asset-Backed Securities |
| ADV | Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers |
| ADV-E | Certificate of accounting of client securities and funds in the possession or custody of an investment adviser |
| ADV-H | Application for a temporary or continuing hardship exemption |
| ADV-NR | Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser |
| ADV-W | Notice of withdrawal from registration as investment adviser |
| ATS | Initial operation report amendment to initial operation report and cessation of operations report for alternative trading systems |
| ATS-N | NMS Stock Alternative Trading Systems |
| ATS-R | Quarterly report of alternative trading systems activities |
| BD | Uniform application for broker-dealer registration |
| BD-N | Notice of registration as a broker-dealer for the purpose of trading security futures products pursuant to Section 15(b)(11) of the Securities Exchange Act of 1934 |
| BDW | Uniform request for broker-dealer withdrawal |
| C | Form C |
| CA-1 | Registration or exemption from registration as a clearing agency and for amendment to registration |
| CB | Tender offer/rights offering notification form |
| CFPORTAL | Application or Amendment to Application for Registration or Withdrawal from Registration as Funding Portal Under the Securities Exchange Act of 1934 |
| CRS | Customer Relationship Summary |
| CUSTODY | Form Custody for Broker-Dealers |
| D | Notice of Exempt Offering of Securities |
| F-1 | Registration statement for securities of certain foreign private issuers |
| F-10 | Registration statement for securities of certain Canadian issuers |
| F-3 | Registration statement for securities of certain foreign private issuers |
| F-4 | Registration statement for securities of certain foreign private issuers issued in certain business combination transactions |
| F-6 | Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts |
| F-7 | Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders |
| F-8 | Registration statement under the Securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination |
| F-80 | Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination |
| F-N | Appointment of agent for service of process by foreign banks and foreign insurance companies |
| F-X | Appointment of agent for service of process and undertaking |
| ID | Uniform application for access codes to file on EDGAR |
| MA | Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration |
| MA-I | Information Regarding Natural Persons who Engage in Municipal Advisory Activities |
| MA-NR | Designation of U.S. Agent for Service of Process for Non-Residents |
| MA-W | Notice of Withdrawal from Registration as a Municipal Advisor |
| MSD | Application for registration as a municipal securities dealer or amendment to such application |
| MSDW | Notice of withdrawal from registration as a municipal securities dealer |
| N-14 | Form for the registration of securities issued in business combination transactions by investment companies and business development companies |
| N-17D-1 | Report filed by small business investment company (SBIC) |
| N-17f-1 | Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges |
| N-17f-2 | Certificate of accounting of securities and similar investments in the custody of management investment companies |
| N-18f-1 | Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 |
| N-1A | Registration form for open-end management investment companies |
| N-2 | Registration statement for closed-end management investment companies |
| N-23c-3 | Notification of repurchase offer |
| N-27D-1 | Accounting of Segregated Trust Account |
| N-3 | Registration statement of separate accounts organized as management investment companies |
| N-4 | Registration statement of separate accounts organized as unit investment trusts |
| N-5 | Registration statement of small business investment company |
| N-54A | Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 |
| N-54C | Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 |
| N-6 | Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies |
| N-6EI-1 | Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 |
| N-6F | Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 |
| N-8A | Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 |
| N-8B-2 | Registration statement of unit investment trusts which are currently issuing securities |
| N-8B-4 | Registration statement of face-amount certificate companies |
| N-8F | Application for deregistration of certain registered investment companies |
| N-CEN | Annual Report for Registered Investment Companies |
| N-CR | Current Report Money Market Fund Material Events |
| N-CSR | Certified shareholder report of registered management investment companies |
| N-MFP | Monthly Schedule of Portfolio Holdings of Money Market Funds |
| N-PORT | Monthly Portfolio Investments Report |
| N-PX | Annual Report of Proxy Voting Record of Registered Management Investment Company |
| N-Q | Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company |
| N-RN | Current Report For Registered Management Investment Companies and Business Development Companies |
| NRSRO | Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) |
| PF | Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors |
| PILOT | Initial operation report amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations |
| R31 | Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 |
| S-1 | Registration statement under Securities Act of 1933 |
| S-11 | Registration of securities of certain real estate companies |
| S-20 | Registration statement under the Securities Act of 1933 |
| S-3 | Registration statement under Securities Act of 1933 |
| S-4 | Registration statement under Securities Act of 1933 |
| S-6 | Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 |
| S-8 | Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans |
| SBSE | Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants |
| SBSE-A | Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer |
| SBSE-BD | Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers |
| SBSE-C | Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants |
| SBSE-W | Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant |
| SBSEF | Security-Based Swap Execution Facility Application for Registration (with Amendment to Application) (and SBSEF Submission Cover Sheet) |
| SCI | Systems Compliance and Integrity |
| SD | Specialized Disclosure Report |
| SDR | Application or Amendment to Application for Registration or Withdrawal from Registration As Security-Based Swap Data Repository Under the Securities Exchange Act of 1934 |
| SE | Submission of Paper Format Exhibits by Electronic Filers |
| SF-1 | Registration Statement Under the Securities Act of 1933 |
| SF-3 | Registration Statement Under the Securities Act of 1933 |
| SIP | Application or amendment to application for registration as securities infomation processor |
| T-1 | Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees |
| T-2 | Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee |
| T-3 | For applications for qualification of indentures under the Trust Indenture Act of 1939 |
| T-4 | Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 |
| T-6 | Application under Section 310(a)(1) of the Trust Indenture Act of 1939 for determination of eligibility of a foreign personal to act as institutional trustee |
| TA-1 | Uniform form for registration as a transfer agent and for amendment to registration |
| TA-2 | Form for reporting activities of transfer agents |
| TA-W | Notice of withdrawal from registration as transfer agent |
| TCR | Tip Complaint or Referral |
| TH | Notification of Reliance on Temporary Hardship Exemption |
| WB-APP | Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 |
| X-17A-19 | Report of Change in Membership Status |
| X-17A-5 Part I | FOCUS Report Part I |
| X-17A-5 Part II | FOCUS Report Part II |
| X-17A-5 Part IIA | FOCUS Report Part IIa |
| X-17A-5 Part IIC | FOCUS Report Part IIC |
| X-17A-5 Part III | FOCUS Report Part III |
| X-17A-5 Schedule I | (Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5 |
| X-17F-1A | Missing/Lost/Stolen/Counterfeit Securities Report |