orm 18. For securities of foreign governments and itical subdivisions thereof.

orm 19. For American certificates against foreign ies and for the underlying securities.

'orm 20. For securities, other than bonds, of foreign vate issuers.

'orm 21. For bonds of foreign private issuers.

orm 8-A. For additional classes or series of securities. 'orm 8-B. For securities of an issuer succeeding to an uer of previously registered securities.

Form 8-C. For registration of securities on an addinal exchange.

B. For Annual and Other Reports

Form 8-K. For current reports.1
Form 9-K. For semi-annual reports.1

Form 10-K. For annual reports for which no other 'm is prescribed.1

Form 14-K. For annual reports relating to certificates deposit issued by a committee.2

Form 16-K. For annual reports relating to voting trust rtificates and underlying securities.2

For reports pursuant to section 13 or 15 (d) of the Act.

Form 18-K. For annual reports of foreign governments and political subdivisions thereof."

Form 19-K. For annual reports of issuers of American certificates against foreign issues and for the underlying securities.2

Form 20-K. For annual reports relating to securities, other than bonds, of foreign private issuers.

Form 21-K. For annual reports relating to bonds of foreign private issuers."

Form U5S. For annual reports of registered public utility holding companies."

Form 2-MD. For annual reports of investment trusts having securities registered on Form C-1.*

Form 3-MD. For annual reports relating to voting trust certificates.*

Form 4-MD. For annual reports relating to certificates of deposit issued by a committee.*

Form N-30A-1. For annual reports of management investment companies."

Form N-30A-2. For annual reports of unit investment trusts which are currently issuing securities.

Form N-30A-3. For annual reports of unincorporated management investment companies currently issuing periodic payment plan certificates."

Form N-30B-1. For quarterly reports of management investment companies."

C. For Amendments to Applications or Reports Form 8. For amendments to applications or reports filed pursuant to section 12, 13 or 15 (d) of the Act. III. Forms for Reporting Ownership of Equity Securities Pursuant to Section 16 (a) of the Act.

Form 4. For reporting changes in ownership of equity securities.

Form 5. For reporting ownership of equity securities in case of initial registration of any equity security. Form 6. For reporting ownership of equity securities by persons who have become directors, officers or beneficial owners of more than ten percent.

2 For reports pursuant to section 13 of the Act.

3 For reports pursuant to section 13 or 15 (d) of the Act and

the Public Utility Holding Company Act of 1935.

For reports pursuant to section 15 (d) of the Act.

5 For reports pursuant to section 13 or 15 (d) of the Act and section 30 of the Investment Company Act of 1940.

For reports pursuant to section 15 (d) of the Act and section 30 of the Investment Company Act of 1940.

IV. Forms for Use by Brokers and Dealers.

Form BD. For applications for registration as a broker and dealer or to amend or supplement such an application. Form 7-M. Irrevocable appointment of agent for service of process, pleadings and other papers by individual non-resident broker or dealer.

Form 8-M. Irrevocable appointment of agent for service of process, pleadings and other papers by corporation non-resident broker or dealer.

Form 9-M. Irrevocable appointment of agent for service of process, pleadings and other papers by partnership non-resident broker or dealer.

Form 10-M. Irrevocable appointment of agent for service of process, pleadings and other papers by non-resident general partner of broker or dealer.

V. Forms for Use by Securities Associat

Form X-15AA-1. For applications for registrati: i national securities association or as an affiliated stra association pursuant to section 15A of the Act.

Form X-15AJ-1. For amendatory and supplemen statements to the registration statement of a nationa curities association or an affiliated securities ass pursuant to section 15A of the Act.

Form X-15AJ-2. For annual consolidated supple filed by national securities associations and affas curities associations pursuant to section 15A of the 2 VI. Other Forms.

Form X-9A6-1. Notice of intention to stab security.

Form X-17A-1. Report of stabilizing transactions Form X-17A-5. Report of financial condition change member, broker or dealer.

U. S. GOVERNMENT PRINTING OFFICE: 1959 0 - 51854