SEC ADV Form Part 1A Form SEC Form

ADV Part 1a UNI Form APPLICATION FOR INVESTMENT ADVISER REGISTRATION Part 1A (including Schedules A, B, C, D and DRPs) – $5 per page (47 pages)

Form ADV Part 1B Form SEC Form

Part 1B UNI Form APPLICATION FOR INVESTMENT ADVISER REGISTRATION 20 PAGES

Form ADV Part 2 Form SEC Form

Part II (including Schedules F, G, and H) Uniform Application for Investment Adviser Registration-Part II-36 pshrd

SEC Form ADV
Execution Pages

Execution Pages: UNI Form APPLICATION FOR INVESTMENT ADVISER REGISTRATION
DOMESTIC INVESTMENT ADVISER EXECUTION PAGE 4 PAGES

SEC PD F 5263 Form SEC Form

Order for EE Savings Bond

SEC 1-A Form

Offering Statement under Regulation A(35 pages)

SEC 2-A Form

Report of sales and use of proceeds pursuant to Rule 257 of Regulation A

SEC 144 Form

Notice of proposed sale of securities pursuant to Rule 144

SEC D Form

Notice of sales of securities pursuant to Regulation D, Section 4(6), and/or uni Form limited offering exemption

SEC F-1 Form

Registration statement for securities of certain foreign private issuers

SEC F-2 Form

Registration statement for securities of certain foreign private issuers

SEC F-3 Form

Registration statement for securities of certain foreign private issuers

SEC F-4 Form

Registration statement for securities of certain foreign private issuers issued in certain business combination transactions

SEC F-6 Form

Registration statement under the securities Act of 1933 for depositary shares evidenced by American depositary receipts

SEC F-7 Form

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

SEC F-8 Form

Registration statement under the securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination

SEC F-9 Form

Registration statement under the securities Act of 1933 for certain investment grade preferred securities of certain Canadian issuers

SEC F-10 Form

Registration statement for securities of certain Canadian issuers

SEC F-80 Form

Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination

SEC F-N Form

Appointment of agent for service of process by foreign banks and foreign insurance companies

SEC F-X Form

Appointment of agent for service of process and undertaking

SEC S-1 Form

Registration statement under securities Act of 1933

SEC S-2 Form

Registration statement under securities Act of 1933

SEC S-3 Form

Registration statement under securities Act of 1933

SEC S-4 Form

Registration statement under securities Act of 1933

SEC S-6 Form

Registration under 1933 act of securities of unit investment trusts registered on Form N-8B-2

SEC S-8 Form

Registration statement under securities Act of 1933 to be offered to employees pursuant to certain plans

SEC S-11 Form

Registration of securities of certain real estate companies

SEC S-20 Form

Registration statement under the securities Act of 1933

SEC SB-1 Form

Registration statement for securities to be sold to the public by certain small business issuers

SEC SB-2 Form

Registration statement for securities to be sold to the public by certain small business issuers

SEC ID Form

Uniform application for access codes to file on EDGAR

SEC SE Form

Submission of Paper Format Exhibits by Electronic Filers

SEC TH Form

Notification of reliance on temporary hardship exemption

SEC1-N Form

Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products

SEC 3 Form

Initial statement of beneficial ownership of securities

SEC 4 Form

Statement of changes in beneficial ownership of securities

SEC 4 Form

Statement of changes in beneficial ownership of securities — general instructions

SEC 5 Form

Annual statement of changes in beneficial ownership of securities

SEC 5 Form

Annual statement of changes in beneficial ownership of securities — general instructions

SEC 6-K Form

Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the securities Exchange Act of 1934

SEC 8-A Form

Registration of certain classes of securities pursuant to Section 12(b) or (g)

SEC 8-K Form

Current report pursuant to Section 13 or 15(d)
(EffectiveAugust 23, 2004)

SEC 10 Form

General Form for registration of securities pursuant to Section 12(b) or (g)

SEC 10-K Form

Annual report pursuant to Section 13 or 15(d)

SEC 10-KSB Form

Optional Form for annual and transition reports of small business issuers under Section 13 or 15(d)

SEC 10-Q Form

General Form for quarterly reports under Section 13 or 15(d)

SEC 10-QSB Form

Optional Form for quarterly and transition reports of small business issuers under Sections 13 or 15(d)

SEC 10-SB Form

General Form for the registration of securities of small business issuers

SEC 11-K Form

Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d)

SEC 12b-25 Form

Notification of late filing

SEC 13F Form

In Formation required of institutional investment managers pursuant to Section 13(f)

SEC 15 Form

Certification and notice of termination of registration under Section 12(g) or suspension of duty to file reports under Sections 13 and 15(d)

SEC 18 Form

Application for registration pursuant to Section 12(b) & (c) of the securities Exchange Act of 1934

SEC 18-K Form

Annual report for foreign governments and political subdivisions thereof

SEC 20-F Form

Registration statement/ Annual report/ Transition report-Form 20F SEC

SEC 40-F Form

Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d)

SEC CB Form

Tender offer/rights offering notification Form

SEC ID Form

Uniform application for access codes to file on EDGAR

SEC R31 Form

Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the securities Exchange Act of 1934

SEC SE Form

Submission of Paper Format Exhibits by Electronic Filers

SEC TH Form

Notification of Reliance on Temporary Hardship Exemption

SEC Schedule 13D Form

In Formation to be included in statements filed pursuant to Rule 13-1(a) and amendments thereto filed pursuant to Rule 13d-2(a)

SEC Schedule 13E-3 Form

Rule 13e-3 transaction statement pursuant to Section 13(e) of the securities Exchange Act of 1934

SEC Schedule 13E-4F Form

Issuer tender offer statement pursuant to Section 13(e)(1) of the securities Exchange Act of 1934

SEC Schedule 13G Form

In Formation to be included in statements filed pursuant to §240.13d-1(G) and amendments thereto filed pursuant to §240.13d-2(G)

SEC Schedule 14A Form

Proxy statement pursuant to Section 14(a)

SEC Schedule 14D-1F Form

Tender Offer Statement Pursuant to Rule 14d-1(b) Under the securities Exchange Act of 1934

SEC Schedule 14D-9 Form

Solicitation/recommendation statement under Section 14(d)(4) of the securities Exchange Act of 1934

SEC Schedule 14D-9F Form

Solicitation/recommendation statement under Section 14(d)(4) of the securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c)

SEC Schedule TO Form

Tender offer statement under Section 14(d)(1) or 13(e)(1) of the securities Exchange Act of 1934

SEC CB Form

Tender offer/rights offering notification Form

SEC Reg. 14A Form

Solicitation of Proxies

SEC Reg. 14C Form

Distribution of in Formation pursuant to Section 14(C)

SEC Reg. 14D Form

Disclosure requirements and minimum time for tender offers

SEC Reg. M-A Form

Mergers and acquisitions

SEC Rule 13e-3 Form

Going private transactions by certain issuers or their affiliates

SEC Schedule 13D Form

In Formation to be included in statements filed pursuant to Rule 13-1(a) and amendments thereto filed pursuant to Rule 13d-2(a)

SEC Schedule 13E-3 Form

Rule 13e-3 transaction statement pursuant to Section 13(e) of the securities Exchange Act of 1934

SEC Schedule 13G Form

In Formation to be included in statements filed pursuant to §240.13d-1(G) and amendments thereto filed pursuant to §240.13d-2(G)

SEC Schedule 14A Form

Proxy statement pursuant to Section 14(a)

SEC Schedule 14D-1F Form

Tender Offer Statement Pursuant to Rule 14d-1(b) Under the securities Exchange Act of 1934

SEC Schedule 14D-9 Form

Solicitation/recommendation statement under Section 14(d)(4) of the securities Exchange Act of 1934

SEC Schedule TO Form

Tender offer statement under Section 14(d)(1) or 13(e)(1) of the securities Exchange Act of 1934

SEC 1-A Form

Regulation A Offering Statement

SEC 2-A Form

Report of sales and use of proceeds pursuant to Rule 257 of Regulation A

SEC 1-E Form

Notification under Regulation E

SEC 2-E Form

Report of sales pursuant to Rule 609 of Regulation E

SEC D Form

Notice of sales of securities pursuant to Regulation D, Section 4(6), and/or uni Form limited offering exemption-Note, see PDF at this link and note on top in case you need to file electronicallyl (before ordering)

SEC N-5 Form

Registration statement of small business investment companies

SEC Reg. A Form

Conditional small issues exemption from registration

SEC Reg. D Form

Rules governing the limited offer and sale of securities without registration

SEC Reg. S-B Form

Integrated disclosure system for small business issuers

SEC Rule 144 Form

Persons deemed not to be engaged in a distribution and therefore not underwriters

SEC Reg. E Form

Exemption for securities of small business investment companies

SEC S-1 Form

Registration statement under securities Act of 1933

SEC SB-1 Form

Registration statement for securities to be sold to the public by certain small business issuers

SEC SB-2 Form

Registration statement for securities to be sold to the public by certain small business issuers

SEC 6-K Form

Report of foreign private issuer pursuant to Rule 13a-16 or 15d-16 under the securities Exchange Act of 1934

SEC 20-F Form

Registration statement/ Annual report/ Transition report

SEC 40-F Form

Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d)

SEC F-1 Form

Registration statement for securities of certain foreign private issuers

SEC F-2 Form

Registration statement for securities of certain foreign private issuers

SEC F-3 Form

Registration statement for securities of certain foreign private issuers

SEC F-4 Form

Registration statement for securities of certain foreign private issuers issued in certain business combination transactions

SEC F-6 Form

Registration statement under the securities Act of 1933 for depositary shares evidenced by American depositary receipts

SEC F-7 Form

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

SEC F-8 Form

Registration statement under the securities Act of 1933 for securities of certain Canadian issuers to be issued in exchange offers or a business combination

SEC F-9 Form

Registration statement under the securities Act of 1933 for certain investment grade preferred securities of certain Canadian issuers

SEC F-10 Form

Registration statement for securities of certain Canadian issuers

SEC F-80 Form

Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination

SEC F-X Form

Appointment of agent for service of process and undertaking

SEC Schedule 14D-9F Form

Solicitation/recommendation statement under Section 14(d)(4) of the securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c)

SEC SE Form

Submission of paper Format exhibits by electronic filers

SEC TH Form

Notification of reliance on temporary hardship exemption

SEC T-1 Form

Statement of eligibility and qualification under the Trust Indenture Act of 1939 of corporations designated to act as trustees

SEC T-2 Form

Statement of eligibility under the Trust Indenture Act of 1939 of an individual designated to act as trustee

SEC T-3 Form

For applications for qualification of indentures under the Trust Indenture Act of 1939

SEC T-4 Form

Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939

SEC T-6 Form

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

SEC U-1 Form

Application or declaration under the PUHCA of 1935

SEC U-3A-2 Form

Statement by holding company claiming exemption under Rule U-3A-2 of the PUHCA of 1935

SEC U-3A3-1 Form

Twelve month statement by bank claiming exemptions as a holding company or exemption from Section 9(a)(2) of the PUHCA of 1935

SEC U5A Form

Notification of registration filed under Section 5(a) of the PUHCA of 1935

SEC U5B Form

Registration statement filed pursuant to Section 5 of PUHCA of 1935

SEC U-5S Form

Annual report for Public Utility Holding Company

SEC U-6B-2 Form

Certificate of notification

SEC U-7D Form

Certificate pursuant to Rule 7(d) of the Public Utility Holding Company Act of 1935

SEC U-9C-3 Form

Quarterly report pursuant to Rule 58

SEC U-12(I)-A Form

Statement pursuant to Section 12(I) of PUHCA of 1935 by a person employed or retained by a registered holding company or a subsidiary thereof

SEC U-12(I)-B Form

Statement pursuant to Section 12(I) of PUHCA of 1935 by a person regularly employed or retained by a registered holding company or a subsidiary thereof and whose employment contemplates only routine expenses as specified in Rule 71(b)

SEC U-13-1 Form

Application for approval of mutual service company pursuant to Rule 88 or declaration with respect to organization and conduct of business of subsidiary service company pursuant to Rule 88

SEC U-13-60 Form

Annual report for the period by a reporting company

SEC U-13E-1 Form

Report to be filed pursuant to Rule U-13e-1 under the Public Holding Company Act by an affiliate service company or a company principally engaged in the per Formance of services

SEC U-57 Form

Notification of foreign utility company status

SEC U-R-1 Form

Declarations as to solicitations pursuant to Rule U-62

SEC 3 Form

Initial statement of beneficial ownership of securities

SEC 3 Form

Initial statement of beneficial ownership of securities

SEC 4 Form

Statement of changes in beneficial ownership of securities

SEC 4 Form

Statement of changes in beneficial ownership of securities — general instructions

SEC 5 Form

Annual statement of changes in beneficial ownership of securities

SEC 5 Form

Annual statement of changes in beneficial ownership of securities — general instructions

SEC Schedule 13D Form

In Formation to be included in statements filed pursuant to Rule 13-1(a) and amendments thereto filed pursuant to Rule 13d-2(a)

SEC Schedule 13G Form

In Formation to be included in statements filed pursuant to §240.13d-1(G) and amendments thereto filed pursuant to §240.13d-2(G)

SEC Rule 144 Form

Persons deemed not to be engaged in a distribution and therefore not underwriters

SEC 1-E Form

Notification under Regulation E

SEC 2-E Form

Report of sales pursuant to Rule 609 of Regulation E

SEC 24F-2 Form

Annual notice of securities sold pursuant to Rule 24-f2

SEC N-1A Form

Registration Form for open-end management investment companies

SEC N-2 Form

Registration statement for closed-end management investment companies

SEC N-3 Form

Registration statement of separate accounts organized as management investment companies

SEC N-4 Form

Registration statement of separate accounts organized as unit investment trusts

SEC N-5 Form

Registration statement of small business investment company

SEC N-6 Form

Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies

SEC N-6E1-1 Form

Notification of claim of exemption pursuant to Rule 6e-2 or 6e-3(T) under the Investment Company Act of 1940

SEC N-6F Form

Notice of intent to elect to be subject to Sections 55-65 of the Investment Company Act of 1940

SEC N-8A Form

Notification of registration filed pursuant to Section 8(a) of Investment Company Act of 1940

SEC N-8B-2 Form

Registration statement of unit investment trusts which are currently issuing securities

SEC N-8F Form

Application for deregistration of certain registered investment companies

SEC N-14 Form

Form for the registration of securities issued in business combination transactions by investment companies and business development companies

SEC N-17D-1 Form

Report filed by small business investment company (SBIC)

SEC N-17f-1 Form

Certificate of accounting of securities and similar investments of a management investment company in the custody of members of national securities exchanges

SEC N-17f-2 Form

Certificate of accounting of securities and similar investments in the custody of management investment companies

SEC N-18f-1 Form

Notification of election pursuant to Rule 18f-1 under the Investment Company Act of 1940

SEC N-23c-3 Form

Notification of repurchase offer

SEC N-27D-1 Form

Accounting of Segregated Trust Account

SEC N-27E-1 Form

Notice to periodic payment plan certificate holders of 18-month surrender rights with respect to periodic payment plan certificates

SEC N-27F-1 Form

Notice to periodic payment plan certificate holders of 45 days withdrawal right with respect to periodic payment plan certificates

SEC N-54A Form

Notification of election to be subject to Sections 55-65 of the Investment Company Act of 1940

SEC N-54C Form

Notification of withdrawal of election to be subject to Sections 55-65 of the Investment Company Act of 1940

SEC N-CSR Form

Certified shareholder report of registered management investment companies

SEC N-PX Form

Annual Report of Proxy Voting Record of Registered Management Investment Company

SEC N-Q Form

Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company

SEC N-SAR Form

Semi-annual report of registered investment companies (80 pages)

SEC ADV Form

Uniform application for investment adviser registration-4 Forms, 5 files Instructions & Glossary, Part 1A (including Schedules A, B, C, D and DRPs), Part 1B, Part II (including Schedules F, G, and H), Execution Pages

SEC ADV-E Form

Certificate of accounting of client securities and funds in the possession or custody of an investment adviser

SEC ADV-H Form

Application for a temporary or continuing hardship exemption

SEC ADV-NR Form

Appointment of agent for service of process by non-resident general partner and non-resident managing agent of an investment adviser

SEC ADV-W Form

Notice of withdrawal from registration as investment adviser

SEC 17-H Form

Risk Assessment for Brokers & Dealers

SEC BD Form

Uniform application for broker-dealer registration-36 pages

SEC BD-N Form

Notice of registration as a broker-dealer for the purpose of trading security futures products pursuant to Section 15(b)(11)

SEC BDW Form

Uniform request for broker-dealer withdrawal

SEC X-17A-5 Schedule I Form

(Financial and Operational Combined Uniform Single) FOCUS Report: In Formation Required of All Brokers and Dealers Pursuant to Rule 17a-5

SEC X-17A-5 Part I Form

FOCUS Report, Part I

SEC X-17A-5 Part II Form

FOCUS Report, Part II

SEC X-17A-5 Part II Form

FOCUS Report, Part II Instructions

SEC X-17A-5 Part IIA Form

FOCUS Report Part IIa

SEC X-17A-5 Part IIA Form

FOCUS Report Part IIa Instructions

SEC X-17A-5 Part IIB Form

FOCUS Report, Part IIb (OTC Derivatives Dealer)

SEC X-17A-5 Part III Form

FOCUS Report: In Formation Required of All Brokers and Dealers Pursuant to Rule 17a-5, Part III

SEC CA-1 Form

Registration or exemption from registration as a clearing agency and for amendment to registration

SEC MSD Form

Application for registration as a municipal securities dealer or amendment to such application

SEC MSDW Form

Notice of withdrawal from registration as a municipal securities dealer

SEC TA-1 Form

Uniform for registration as a transfer agent and for amendment to registration

SEC TA-2 Form

Form for reporting activities of transfer agents

SEC TA-W Form

Notice of withdrawal from registration as transfer agent

SEC 1 Form

Application for registration or exemption from registration as a national securities exchange

SEC 1-N Form

Form and amendments for notice of registration as a national securities exchange for the sole purpose of trading security futures products

SEC 25 Form

Notification of the removal from listing and registration of matured, redeemed or retired securities

SEC 26 Form

Notification of the admission to trading of a substituted or additional class of security under Rule 12a-5

SEC ATS Form

Initial operation report, amendment to initial operation report and cessation of operations report for alternative trading systems

SEC ATS-R Form

Quarterly report of alternative trading systems activities

SEC PILOT Form

Initial operation report, amendment to initial operation report and quarterly report for pilot trading systems operated by self-regulatory organizations

SEC R31 Form

Form for Reporting Covered Sales and Covered Round Turn Transactions Under Section 31 of the securities Exchange Act of 1934

SEC X-15AJ-1 Form

SEC X-15AJ-2 Form

Annual consolidated supplement

SEC SIP Form

Application or amendment to application for registration as securities in Formation processor