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文件格式說明
F-1部分美國以外公司註冊上市聲明
Form D規則D下的證券發行豁免註冊公告
3首次持股聲明
4持股變動聲明
5持股變動年度報告
S-1註冊上市聲明
POS AM招股信息更正說明
13D股東單獨或合併持有5%以上公司股份公告
144證券擬出售報告
20-F美國以外上市公司的年度報告或過度報告
ARS股東年報
6-K美國以外上市公司的臨時報告
10-Q季報
10-K年報
8-K季報發布期間的重要事件或公司變化臨時報告
11-K員工持股變動年度報告
DEF 14-A股東委託書決議
 
1
  Application for registration or exemption from registration as a national securities exchange (PDF) Feb. 1999 SEC1935 Self-Regulatory Organizations
1-A Regulation A Offering Statement (PDF) June 2015 SEC486 Securities Act of 1933, Small Businesses
1-E Notification under Regulation E (PDF) Aug. 2001 SEC1807 Investment Company Act of 1940, Investment Companies, Small Businesses
1-K Annual Reports and Special Financial Reports (PDF) June 2015

SEC2913

 Securities Act of 1933, Small Businesses
1-N Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products (PDF) Dec. 2013 SEC2568 Securities Exchange Act of 1934, Self-Regulatory Organizations
1-SA Semiannual Report or Special Financial Report Pursuant to Regulation A (PDF) June 2015

SEC2914

 Securities Act of 1933, Small Businesses
1-U Current Report Pursuant to Regulation A (PDF) June 2015

SEC2915

 Securities Act of 1933, Small Businesses
1-Z Exit Report Under Regulation A (PDF) June 2015

SEC2916

 Securities Act of 1933, Small Businesses
2-E Report of sales pursuant to Rule 609 of Regulation E (PDF) Oct. 2006 SEC1808 Investment Company Act of 1940, Investment Companies, Small Businesses
3 Initial statement of beneficial ownership of securities (PDF) Nov. 2011 SEC1473 Securities Exchange Act of 1934, Directors, Officers, Significant Shareholders
3 Initial statement of beneficial ownership of securities -— general instructions (PDF) Nov. 2011 SEC1472 Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
4 Statement of changes in beneficial ownership of securities (PDF) Nov. 2011 SEC1474 Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
4 Statement of changes in beneficial ownership of securities —- general instructions (PDF) Nov. 2011 SEC1475 Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
5 Annual statement of changes in beneficial ownership of securities (PDF) Nov. 2011 SEC2270T Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
5 Annual statement of changes in beneficial ownership of securities -— general instructions (PDF) Nov. 2011 SEC2270 Securities Exchange Act of 1934, Directors, Significant Shareholders, Officers
6-K Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the Securities Exchange Act of 1934 (PDF) April 2009 SEC1815 Securities Exchange Act of 1934, International
7-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Individual Non-Resident Broker or Dealer (PDF) June 2012 SEC876 Broker-Dealers
8-A Registration of certain classes of securities pursuant to Section 12(b) or (g) (PDF) June 2015 SEC1922 Securities Exchange Act of 1934
8-K Current report pursuant to Section 13 or 15(d) (PDF) July 2016 SEC873 Securities Exchange Act of 1934
8-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Corporate Non-Resident Broker or Dealer (PDF) June 2012 SEC877 Broker-Dealers
9-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Partnership Non-Resident Broker or Dealer (PDF) June 2012 SEC878 Broker-Dealers
10 General form for registration of securities pursuant to Section 12(b) or (g) (PDF) Feb. 2008 SEC1396 Securities Exchange Act of 1934
10-D Asset-Backed Issuer Distribution Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (PDF) July 2016 SEC2503 Securities Exchange Act of 1934
10-K Annual report pursuant to Section 13 or 15(d) (PDF) Nov. 2014 SEC1673 Securities Exchange Act of 1934, Form 10-K
10-M Irrevocable Appointment of Agent for Service of Process, Pleadings and Other Papers by Non-Resident General Partner of Broker or Dealer (PDF) June 2012 SEC878 Broker-Dealers
10-Q General form for quarterly reports under Section 13 or 15(d) (PDF) Jan. 2012 SEC1296 Securities Exchange Act of 1934
11-K Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d) (PDF) Feb. 2008 SEC617 Securities Exchange Act of 1934
12b-25 Notification of late filing (PDF) April 2009

SEC1344

 Securities Exchange Act of 1934
13F Information required of institutional investment managers pursuant to Section 13(f) (PDF) Jan. 2012

SEC1685

 Securities Exchange Act of 1934
13H Information Required of Large Traders Pursuant To Section 13(h) of the Securities Exchange Act of 1934 (PDF) Nov. 2011 SEC2858 Securities Exchange Act of 1934
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) (PDF) Feb. 2008 SEC2069 Securities Exchange Act of 1934
15F Certification of a Foreign Private Issuer’s Termination of Registration of a Class of Securities Under Section 12(G) of the Securities Exchange Act of 1934 or Its Termination of the Duty to File Reports Under Section 13(A) or Section 15(D) of the Securities Exchange Act of 1934 (PDF) Jan. 2014   Securities Exchange Act of 1934
17-H Risk Assessment for Brokers & Dealers (PDF) Jan. 2010 SEC2332 Broker-Dealers
18 Application for registration pursuant to Section 12(b) & (c) of the Securities Exchange Act of 1934 (PDF) Jan. 2007 SEC1421 Securities Exchange Act of 1934
18-K Annual report for foreign governments and political subdivisions thereof (PDF) April 2007 SEC1797 Securities Exchange Act of 1934
19b-4 Proposed rule change by self-regulatory organization (PDF) Jan. 2013 SEC1832 Self-Regulatory Organizations
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 (PDF) July 2013 SEC2449 Self-Regulatory Organizations
19b-7 Proposed rule change by self-regulatory organization (PDF) July 2007 SEC2450 Self-Regulatory Organizations
20-F Registration statement / Annual report / Transition report (PDF) Jan. 2012 SEC1852 Securities Exchange Act of 1934, International
24F-2 Annual notice of securities sold pursuant to Rule 24-f2 (PDF) June 2002 SEC2393 Investment Company Act of 1940, Investment Companies
25 Notification of the removal from listing and registration of matured, redeemed or retired securities (PDF) March 2006 SEC1654 Self-Regulatory Organizations
40-F Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d) (PDF) Jan. 2012 SEC2285 Securities Exchange Act of 1934, International
144 Notice of proposed sale of securities pursuant to Rule 144 (PDF) Aug. 2007 SEC1147 Securities Act of 1933
ABS DD-15E Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities (PDF) June 2015

SEC2917

 Securities Exchange Act of 1934, Form ABS Due Diligence-15E
ABS-15G Asset-Backed Securitizer Report (PDF) June 2015 SEC2860 Securities Exchange Act of 1934
ABS-EE Form for Submission of Electronic Exhibits for Asset-Backed Securities (PDF) Nov. 2014

SEC2910

 Securities Act of 1933
ADV Uniform Application for Investment Adviser Registration and Report by Exempt Reporting Advisers (PDF) Sept. 2011 SEC1707 Investment Advisers Act of 1940, Investment Advisers
ADV-E Certificate of accounting of client securities and funds in the possession or custody of an investment adviser (PDF) Jan. 2013 SEC2223 Investment Advisers Act of 1940, Investment Advisers
ADV-H Application for a temporary or continuing hardship exemption (PDF) Sept. 2011 SEC2566 Investment Advisers Act of 1940, Investment Advisers
ADV-NR Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser (PDF) Sept. 2011 SEC2565 Investment Advisers Act of 1940, Investment Advisers
ADV-W Notice of withdrawal from registration as investment adviser (PDF) Nov. 2010 SEC777 Investment Advisers Act of 1940, Investment Advisers
ATS Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems (PDF) May 2005 SEC2550 Self-Regulatory Organizations
ATS-R Quarterly report of alternative trading systems activities (PDF) June 2009 SEC2551 Self-Regulatory Organizations
BD Uniform application for broker-dealer registration (PDF) Jan. 2008

SEC1490

 Broker-Dealers
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 (PDF) Jan. 2008 SEC1500 Broker-Dealers
BDW Uniform request for broker-dealer withdrawal (PDF) April 2007 SEC122 Broker-Dealers
C Form C (PDF) May 2016

SEC 2930

 Securities Act of 1933
CA-1 Registration or exemption from registration as a clearing agency and for amendment to registration (PDF) Oct. 2002 SEC1853 Clearing Agencies
CB Tender offer/rights offering notification form (PDF) Dec. 2008 SEC2560 Securities Act of 1933, Securities Exchange Act of 1934, Proxy and Tender Offer
CFPORTAL Application or Amendment to Application for Registration or Withdrawal from Registration as Funding Portal Under the Securities Exchange Act of 1934 (PDF) Oct. 2015   Securities Exchange Act of 1934, Funding Portal
D Notice of Exempt Offering of Securities March 2009 SEC1972 Securities Act of 1933, Small Businesses
F-1 Registration statement for securities of certain foreign private issuers (PDF) Jan. 2016 SEC1981 Securities Act of 1933, International
F-3 Registration statement for securities of certain foreign private issuers (PDF) Sept. 2011 SEC1983 Securities Act of 1933, International
F-4 Registration statement for securities of certain foreign private issuers issued in certain business combination transactions (PDF) Dec. 2008 SEC2078 Securities Act of 1933, International
F-6 Registration statement under the Securities Act of 1933 for depositary shares evidenced by American depositary receipts (PDF) Oct. 2008 SEC2001 Securities Act of 1933, International
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 (PDF) Jan. 2007 SEC2289 Securities Act of 1933, International
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 (PDF) Jan. 2007 SEC2290 Securities Act of 1933, International
F-10 Registration statement for securities of certain Canadian issuers (PDF) Dec. 2013 SEC2292 Securities Act of 1933, International
F-80 Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (PDF) Jan. 2007 SEC2282 Securities Act of 1933, International
F-N Appointment of agent for service of process by foreign banks and foreign insurance companies (PDF) Oct. 2006 SEC2306 Securities Act of 1933
F-X Appointment of agent for service of process and undertaking (PDF) Feb. 2008 SEC2288 Securities Act of 1933, International
ID Uniform application for access codes to file on EDGAR Dec. 2013 SEC2084 Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
MA Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration (PDF) Sept. 2013

SEC2898

 Securities Exchange Act of 1934, Municipal Advisors
MA Instructions for the Form MA Series (PDF) Sept. 2013   Securities Exchange Act of 1934, Municipal Advisors
MA-I Information Regarding Natural Persons who Engage in Municipal Advisory Activities (PDF) Sept. 2013

SEC2899

 Securities Exchange Act of 1934, Municipal Advisors
MA-NR Designation of U.S. Agent for Service of Process for Non-Residents (PDF) Sept. 2013

SEC2900

 Securities Exchange Act of 1934, Municipal Advisors
MA-W Notice of Withdrawal from Registration as a Municipal Advisor (PDF) Sept. 2013

SEC2901

 Securities Exchange Act of 1934, Municipal Advisors
MSD Application for registration as a municipal securities dealer or amendment to such application (PDF) Dec. 2013 SEC1534 Municipal Securities
MSDW Notice of withdrawal from registration as a municipal securities dealer (PDF) Dec. 2013 SEC1588 Municipal Securities
N-1A Registration form for open-end management investment companies (PDF) Oct. 2016

SEC2052

 Investment Company Act of 1940, Investment Companies
N-2 Registration statement for closed-end management investment companies (PDF) April 2015 SEC1716 Investment Company Act of 1940, Investment Companies
N-3 Registration statement of separate accounts organized as management investment companies (PDF) May 2015 SEC2124 Investment Company Act of 1940, Investment Companies
N-4 Registration statement of separate accounts organized as unit investment trusts (PDF) Nov. 2009 SEC2125 Investment Company Act of 1940, Investment Companies
N-5 Registration statement of small business investment company (PDF) March 2010 SEC993 Investment Company Act of 1940, Investment Companies, Small Businesses
N-6 Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies (PDF) Aug. 2006 SEC2567 Investment Company Act of 1940, Investment Companies
N-6EI-1 Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940 (PDF) March 2003 SEC1130 Investment Company Act of 1940, Investment Companies
N-6F Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF) March 2001 SEC1936 Investment Company Act of 1940, Investment Companies
N-8A Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940 (PDF) Dec. 2001 SEC1102 Investment Company Act of 1940, Investment Companies
N-8B-2 Registration statement of unit investment trusts which are currently issuing securities (PDF) March 2010 SEC977 Investment Company Act of 1940, Investment Companies
N-8B-4 Registration statement of face-amount certificate companies (PDF) Nov. 2005 SEC1285 Investment Company Act of 1940, Investment Companies
N-8F Application for deregistration of certain registered investment companies (PDF) Sept. 2010 SEC1691 Investment Company Act of 1940, Investment Companies
N-14 Form for the registration of securities issued in business combination transactions by investment companies and business development companies (PDF) July 2013 SEC2106 Investment Company Act of 1940, Investment Companies
N-17D-1 Report filed by small business investment company (SBIC) (PDF) Aug. 2005 SEC1839 Investment Company Act of 1940, Investment Companies
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 (PDF) Nov. 2003 SEC2205 Investment Company Act of 1940, Investment Companies
N-17f-2 Certificate of accounting of securities and similar investments in the custody of management investment companies (PDF) April 2009 SEC2198 Investment Company Act of 1940, Investment Companies
N-18f-1 Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940 (PDF) Jan. 2012 SEC1846 Investment Company Act of 1940, Investment Companies
N-23c-3 Notification of repurchase offer (PDF) Oct. 2003 SEC2380 Investment Company Act of 1940, Investment Companies
N-27D-1 Accounting of Segregated Trust Account (PDF) April 2014

SEC1840

 Investment Company Act of 1940, Investment Companies
N-54A Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF) Oct. 2003 SEC1937 Investment Company Act of 1940, Investment Companies
N-54C Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940 (PDF) March 2001 SEC1938 Investment Company Act of 1940, Investment Companies
N-CR Current Report, Money Market Fund Material Events (PDF) Jan. 2015

SEC2918

 Investment Company Act of 1940, Investment Companies
N-CSR Certified shareholder report of registered management investment companies (PDF) Oct. 2010 SEC2569 Investment Company Act of 1940, Investment Companies
N-MFP Monthly Schedule of Portfolio Holdings of Money Market Funds (PDF) June 2016 SEC2847 Investment Company Act of 1940, Investment Companies
N-PX Annual Report of Proxy Voting Record of Registered Management Investment Company (PDF) April 2003 SEC2451 Investment Company Act of 1940, Investment Companies
N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company (PDF) Aug. 2005

SEC2455

 Investment Company Act of 1940, Investment Companies
N-SAR Semi-annual report of registered investment companies (PDF) Oct. 2010 SEC2100 Investment Company Act of 1940, Investment Companies
NRSRO Form NRSRO - April 2009 Instructions (PDF) April 2009   NRSRO
NRSRO Application for Registration as a Nationally Recognized Statistical Rating Organization (NRSRO) (PDF) April 2015 SEC1541 NRSRO
PF Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors (PDF) July 2014 SEC2048 Investment Advisers Act of 1940, Investment Advisers
PILOT Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations (PDF) Sept. 2013 SEC2552 Self-Regulatory Organizations
R31 Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the Securities Exchange Act of 1934 (PDF) Sept. 2013 SEC2502 Securities Exchange Act of 1934, Self-Regulatory Organizations
S-1 Registration statement under Securities Act of 1933 (PDF) Jan. 2016 SEC870 Securities Act of 1933, Small Businesses
S-3 Registration statement under Securities Act of 1933 (PDF) Nov. 2014 SEC1379 Securities Act of 1933
S-4 Registration statement under Securities Act of 1933 (PDF) Dec. 2008 SEC2077 Securities Act of 1933
S-6 Registration under 1933 act of securities of unit investment trusts registered on form N-8B-2 (PDF) Jan. 2008 SEC649 Securities Act of 1933
S-8 Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans (PDF) April 2009 SEC1398 Securities Act of 1933
S-11 Registration of securities of certain real estate companies (PDF) Feb. 2008 SEC907 Securities Act of 1933
S-20 Registration statement under the Securities Act of 1933 (PDF) June 2005 SEC2013 Securities Act of 1933
SBSE Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF) Jan. 2016

SEC2924

 Dodd-Frank Act of 2010, Securities Exchange Act of 1934
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 (PDF) Jan. 2016

SEC2925

 Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-BD Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers (PDF) Jan. 2016

SEC2926

 Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-C Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants (PDF) Jan. 2016

SEC2927

 Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SBSE-W Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant (PDF) Jan. 2016

SEC2928

 Dodd-Frank Act of 2010, Securities Exchange Act of 1934
SCI Systems Compliance and Integrity (PDF) Sept. 2015

SEC 2919

 Securities Exchange Act of 1934, Clearing Agencies, Self-Regulatory Organizations
SD Specialized Disclosure Report (PDF) Jan. 2014 SEC697 Securities Exchange Act of 1934
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 (PDF) Feb. 2015

SEC2911

 Dodd-Frank Act of 2010, Securities Exchange Act of 1934, SBS Data Repositories
SE Submission of Paper Format Exhibits by Electronic Filers (PDF) Nov. 2011 SEC2082 Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
SF-1 Registration Statement under the Securities Act of 1933 (PDF) Nov. 2014

SEC2908

 Securities Act of 1933
SF-3 Registration Statement under the Securities Act of 1933 (PDF) July 2016

SEC2909

 Securities Act of 1933
SIP Application or amendment to application for registration as securities infomation processor (PDF) March 2013 SEC1939 Other Forms and Materials
T-1 Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees (PDF) Jan. 2007 SEC1836 Trust Indenture Act of 1939
T-2 Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee (PDF) Jan. 2007

SEC1849

 Trust Indenture Act of 1939
T-3 For applications for qualification of indentures under the Trust Indenture Act of 1939 (PDF) Jan. 2007 SEC1919 Trust Indenture Act of 1939
T-4 Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939 (PDF) Jan. 2007 SEC1920 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 (PDF) Jan. 2007 SEC2275 Trust Indenture Act of 1939
TA-1 Uniform form for registration as a transfer agent and for amendment to registration (PDF) Dec. 2006

SEC1528

 Transfer Agents
TA-2 Form for reporting activities of transfer agents (PDF) Aug. 2012

SEC2113

 Transfer Agents
TA-W Notice of withdrawal from registration as transfer agent (PDF) Dec. 2006 SEC1669 Transfer Agents
TCR Tip, Complaint, or Referral (PDF) Aug. 2011 SEC2850 Tips Complaints and Referrals, Whistleblower
TH Notification of Reliance on Temporary Hardship Exemption (PDF) July 2006 SEC2348 Securities Act of 1933, Securities Exchange Act of 1934, EDGAR Filers
WB-APP Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 (PDF) Aug. 2011 SEC2851 Tips Complaints and Referrals, Whistleblower
X-17A-5 Part I FOCUS Report, Part I (PDF) April 2003 SEC1705 Broker-Dealers
X-17A-5 Part II FOCUS Report, Part II (PDF) July 2002 SEC1695 Broker-Dealers
X-17A-5 Part II FOCUS Report, Part II Instructions (PDF) Feb. 2004 SEC1695A Broker-Dealers
X-17A-5 Part IIA FOCUS Report Part IIa Instructions (PDF) April 2002 SEC1696A Broker-Dealers
X-17A-5 Part IIA FOCUS Report Part IIa (PDF) Feb. 2003 SEC1696 Broker-Dealers
X-17A-5 Part IIB FOCUS Report, Part IIb (OTC Derivatives Dealer) (PDF) March 2012 SEC2430 Broker-Dealers
X-17A-5 Part III FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III (PDF) May 2013 SEC1410 Broker-Dealers
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 (PDF) May 2013 SEC1675 Broker-Dealers
X-17A-19 Report of Change in Membership Status (PDF) July 2001 SEC1414 Self-Regulatory Organizations
X-17F-1A Missing/Lost/Stolen/Counterfeit Securities Report (PDF) May 2001 SEC1666 Broker-Dealers
n/a Industry Guides (PDF) May 2007 SEC2056 Other Forms and Materials
n/a Notice on Supplying Information Voluntarily (PDF) Jan. 2014 SEC2405 Other Forms and Materials
n/a Supplemental Information for Persons Requested to Supply Information Voluntarily to the Office of Credit Ratings’Monitoring Staff (PDF) Sept. 2014

SEC2903

 Securities Exchange Act of 1934
n/a Supplemental Information for Persons Requested to Supply Information Voluntarily to the Commission’s Examination Staff (PDF) April 2016 SEC2866 Other Forms and Materials
n/a Supplemental Information for Persons Requested to Supply Information Voluntarily or Directed to Supply Information Pursuant to a Commission Subpoena (PDF) Aug. 2016 SEC1662 Other Forms and Materials
n/a Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena (PDF) Aug. 2016 SEC1661 Other Forms and Materials
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