Title 17

PART 249 SUBPART D

Subpart D - Forms for Annual and Other Reports of Issuers Required Under Sections 13 and 15(d) of the Securities Exchange Act of 1934

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), and Sec. 72001, Pub. L. 114-94, 129 Stat. 1312 (2015), unless otherwise noted.

17:4.0.1.1.10.4.128.1	SECTION 249.306	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.
17:4.0.1.1.10.4.128.2	SECTION 249.308	249.308 Form 8-K, for current reports.
17:4.0.1.1.10.4.128.3	SECTION 249.308a	249.308a Form 10-Q, for quarterly and transition reports under sections 13 or 15(d) of the Securities Exchange Act of 1934.
17:4.0.1.1.10.4.128.4	SECTION 249.310	249.310 Form 10-K, for annual and transition reports pursuant to sections 13 or 15(d) of the Securities Exchange Act of 1934.
17:4.0.1.1.10.4.128.5	SECTION 249.310b-249.310c	249.310b-249.310c [Reserved]
17:4.0.1.1.10.4.128.6	SECTION 249.311	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.
17:4.0.1.1.10.4.128.7	SECTION 249.312	249.312 Form 10-D, periodic distribution reports by asset-backed issuers.
17:4.0.1.1.10.4.128.8	SECTION 249.318	249.318 Form 18-K, annual report for foreign governments and political subdivisions thereof.
17:4.0.1.1.10.4.128.9	SECTION 249.322	249.322 Form 12b-25 - Notification of late filing.
17:4.0.1.1.10.4.128.10	SECTION 249.323	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.
17:4.0.1.1.10.4.128.11	SECTION 249.324	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).
17:4.0.1.1.10.4.128.12	SECTION 249.325	249.325 Form 13F, report of institutional investment manager pursuant to section 13(f) of the Securities Exchange Act of 1934.
17:4.0.1.1.10.4.128.13	SECTION 249.327	249.327 Form 13H, Information required on large traders pursuant to Section 13(h) of the Securities Exchange Act of 1934 and rules thereunder.
17:4.0.1.1.10.4.128.14	SECTION 249.328T	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.
17:4.0.1.1.10.4.128.15	SECTION 249.330	249.330 Form N-CEN, annual report of registered investment companies.
17:4.0.1.1.10.4.128.16	SECTION 249.331	249.331 Form N-CSR, certified shareholder report.
17:4.0.1.1.10.4.128.17	SECTION 249.332	249.332 [Reserved]>
17:4.0.1.1.10.4.128.18	SECTION 249.444	249.444 Form SE, form for submission of paper format exhibits by electronic filers.
17:4.0.1.1.10.4.128.19	SECTION 249.445	249.445 [Reserved]
17:4.0.1.1.10.4.128.20	SECTION 249.446	249.446 Form ID, uniform application for access codes to file on EDGAR.
17:4.0.1.1.10.4.128.21	SECTION 249.447	249.447 Form TH - Notification of reliance on temporary hardship exemption.