Forms and Fees

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Miscellaneous Applications

Form Type Description SRC Provision
SEC Form ACPR Annual CP Report of Issuer of Exempt Commercial Papers Rule 17.1.2
SEC Form CP IS Exempt Commercial Paper Transaction Rule 17.1.2
SEC Form 10.2 Request for Exemption of Stock Option Plan SRC Rule 10.2
SEC Form 10.1 Application for Confirmation of Exemption from Registration SRC Rule 10.1
SEC Form 19-1 Tender Offer Report SRC Rule 19
SEC Form 20-IS Information Statement SRC Rule 20
*** Letter Request Request for Exemptive Relief under Section 72.1 of the Code SRC Rule 72.2
Petition for Voluntary Revocation Revocation of Registration and Permit to Sell Securities to the Public SRC Rule 13
SEC FORM 17-LC Notification of Inability to file SEC Form 17-A or 17-Q

*** – No prescribed format