What this page covers

The returns named in this library's brief for this round: private fund adviser reporting (Form PF), registered fund reports (Form N-PORT, Form N-MFP, Form N-CEN), the institutional manager holdings report (Form 13F), investment adviser registration (Form ADV, with Form ADV-W covered in the same entry), the broker-dealer financial and operational report (the FOCUS Report, Form X-17A-5), broker-dealer registration (Form BD), the broker-dealer risk assessment report (Form 17-H), security-based swap dealer and major participant registration (the Form SBSE family), the Regulation A annual report (Form 1-K), and the Inline XBRL financial data operating companies and foreign private issuers attach to their periodic and current reports (10-K, 10-Q, 8-K, 20-F, 40-F), covered here as one return rather than five. The SEC's own Forms Index (161 forms across 7 pages, read 2026-11-13) and its EDGAR Filer Manual list many more forms and filer types than this. Left out: every other SEC form (registration statements such as S-1, proxy and tender-offer filings, Forms 3/4/5 insider ownership reports, Form D exempt-offering notices, municipal securities and transfer agent forms, PCAOB and self-regulatory-organisation filings such as Form 1 and Form CA-1, and the FFIEC/Federal Reserve bank-holding-company forms, which sit in this library's separate ffiec and frb entries), state securities regulator filings, and FINRA's own rulebook and systems (CRD, eFOCUS, BrokerCheck) beyond what SEC pages themselves say about them. Source

How firms file

EDGAR (Electronic Data Gathering, Analysis, and Retrieval)
The SEC's central electronic filing system, the primary way companies and individuals submit filings to the SEC. It comprises three portals (the EDGAR Filer Management Portal for access codes, the EDGAR Filing Portal, and the Online Forms Management Portal for Form D and Forms 3, 4, 5 and 144), and is open 6 a.m. to 10 p.m. ET on weekdays. Most of the returns described here, including Form N-PORT, Form N-MFP, Form N-CEN, Form 13F, the Form SBSE family, Form 1-K and the Inline XBRL periodic and current reports, are filed through it, following the EDGAR Filer Manual. Source
Investment Adviser Registration Depository (IARD) and Private Fund Reporting Depository (PFRD)
The system investment advisers use to file Form ADV and Form ADV-W, built and operated for the SEC and state securities regulators by FINRA. PFRD, the system used to file Form PF, is a subsystem of IARD. Filers log in through crd.finra.org; the SEC's own IARD page gives system availability, fee and announcement information, and the current record is published on the Investment Adviser Public Disclosure (IAPD) website. Source
Central Registration Depository (CRD)
The system FINRA operates, on behalf of the SEC, the states and FINRA itself, through which a firm files Form BD to register as a broker-dealer (the one exception being a bank registering as a municipal securities dealer, which files Form MSD directly with the SEC). Source

The returns (12)

Plain name first, the SEC's code in brackets. Each return has its own page: what it is for, who files it, the deadline, the templates, the validation rules, the documents and the sources.

Return	Group	How often	Format	Status
Private fund reporting (Form PF)	Group: Private funds	How often: Varies	Format: Web form, XML	In force
Monthly portfolio holdings report (Form N-PORT)	Group: Registered funds	How often: Monthly	Format: XML	In force
Money market fund monthly schedule of portfolio holdings (Form N-MFP)	Group: Registered funds	How often: Monthly	Format: XML	In force
Annual census report for registered investment companies (Form N-CEN)	Group: Registered funds	How often: Yearly	Format: XML	In force
Institutional investment manager holdings report (Form 13F)	Group: Markets and trading	How often: Quarterly	Format: Web form, XML	In force
Investment adviser registration and annual updating amendment (Form ADV)	Group: Investment advisers	How often: Yearly	Format: Web form, PDF	In force
FOCUS Report, broker-dealer financial and operational report (Form X-17A-5)	Group: Broker-dealers	How often: Varies	Format: PDF, Other	In force
Broker-dealer registration (Form BD)	Group: Broker-dealers	How often: When an event happens	Format: Web form	In force
Broker-dealer risk assessment report (Form 17-H)	Group: Broker-dealers	How often: Quarterly	Format: PDF, Other	In force
Security-based swap dealer and major participant registration (Form SBSE)	Group: Security-based swaps	How often: When an event happens	Format: PDF	In force
Regulation A annual report (Form 1-K)	Group: Capital formation	How often: Yearly	Format: Other	In force
EDGAR XBRL financial data in issuer periodic and current reports (Inline XBRL, 10-K, 10-Q, 8-K, 20-F, 40-F)	Group: Issuer financial reporting	How often: Varies	Format: iXBRL	In force

Download this list: SEC returns (CSV) or everything on this page (JSON), free to reuse under CC BY 4.0 with the credit line on the library page.

Data the SEC publishes from the returns

Form N-PORT Data Sets
Firm by firm · XML (zip)
Every fund's reported portfolio holdings, flows, risk metrics and related data, built only from information the Commission has disseminated, in quarterly ZIP files from October 2019 to the present. Since the 2024 amendments took effect, this covers monthly data published 60 days after each month-end rather than only the third month of each quarter. Source
From: Form N-PORT
Reuse: No separate reuse terms stated beyond the SEC's general website dissemination policy; the SEC's own disclaimer warns the data may contain extraction errors and is not a substitute for the underlying filings.
Form N-MFP Data Sets
Firm by firm · XML (zip)
Every money market fund's monthly portfolio holdings and related data, extracted from the structured XML filings, in monthly ZIP files from September 2010 to the present. Source
From: Form N-MFP
Reuse: No separate reuse terms stated beyond the SEC's general website dissemination policy.
Form N-CEN Data Sets
Firm by firm · XML (zip)
Every registered investment company's annual census report data, extracted from the structured XML filings, in quarterly ZIP files from September 2018 to the present. Source
From: Form N-CEN
Reuse: No separate reuse terms stated beyond the SEC's general website dissemination policy.
EDGAR Full Text Search
Firm by firm · Web search; underlying JSON API at efts.sec.gov
Full-text search of every EDGAR filing's documents and attachments since 2001, including Form 13F, the Form SBSE family, Form 1-K and the Inline XBRL-tagged periodic and current reports covered here. Source
From: Form 13F, Form SBSE, Form 1-K, Inline XBRL (10-K, 10-Q, 8-K, 20-F, 40-F)
Reuse: No separate reuse terms stated beyond the SEC's general website dissemination policy.
Investment Adviser Public Disclosure (IAPD)
Firm by firm · Web search, PDF, pipe-delimited text
Every SEC-registered (and SEC exempt reporting) adviser's current Form ADV, free of charge; a separate FOIA data file gives Part 1 registration data (names, addresses, CRD/SEC numbers, disclosure flags) without narrative text. Source
From: Form ADV
Reuse: No separate reuse terms stated beyond the SEC's general website dissemination policy.

Reuse terms for the SEC's documents

SEC.gov Website Dissemination policy, checked 13 November 2026. In the SEC's words:

Information presented on sec.gov is considered public information and may be copied or further distributed by users of the web site without the SEC's permission. Please consider appropriate citation to the SEC as the source.

Can others share copies?: Allowed.
Conditions: The SEC asks for appropriate citation as the source, as a request rather than a requirement. The SEC seal, the EDGAR logo and the names EDGAR, EDGARLink and EDGARLink Online are the SEC's registered trademarks and must not be used in a trade name, trademark or domain name. US federal government works also carry no domestic copyright (17 U.S.C. 105).
What the library does: Links each document on the regulator's own site, with its size and SHA-256 fingerprint so a change can be spotted. Documents are never hosted on line4.ai.

What could not be verified

Said plainly, so nobody relies on a fact the sources do not give.

www.sec.gov/answers/form13f.htm answered HTTP 403 and was not retried; Form 13F's facts here instead come from the SEC's current Form 13F FAQ page (https://www.sec.gov/rules-regulations/staff-guidance/frequently-asked-questions-about-form-13f).
ecfr.gov served a Cloudflare-style challenge page (redirecting to unblock.federalregister.gov) on an early attempt and was not retried; legal text throughout instead comes from the Code of Federal Regulations annual edition (April 1, 2025) on govinfo.gov, which is not a challenge-blocked host.
FINRA's own systems and pages (finra.org: CRD's web application, eFOCUS/FINRA Gateway for the FOCUS Report, and BrokerCheck) were not read, because FINRA's Terms of Use are in this library's TERMS_RESTRICTED list (no automated access or copying without FINRA's prior written consent). This means: the electronic filing mechanics of FOCUS Report Parts I, II and IIA beyond what 17 CFR 240.17a-5 itself states; whether FINRA BrokerCheck publishes Form BD data; and the Form PF XML schema and PFRD technical specifications, which the SEC's own PFRD page says are hosted on iard.com, were not confirmed here.
No numbered breakdown of Form PF's own sections (beyond Section 1a and Section 7, named in the rule text for the hardship exemption), of FOCUS Report's Part IIB/IIC/CSE variants, of Form ADV's possible Part 3 (Form CRS), of Form BD's numbered items, or of Form SBSE's internal schedules (A, B, D, E, F, named by some secondary sources but not by an SEC page read this session) is given here, because the only way to confirm them this session would have been to read the forms' own PDF text, which this library does not do.
The December 2024 rule (Release 33-11342) that moved the FOCUS Report annual report and Form 17-H Item 4 onto EDGAR as Interactive Data Files sets different compliance dates by a broker-dealer's net capital tier; only that those dates were extended by twelve months by a September 2025 order (Release 33-11386), not the exact tiered dates themselves.
Whether the SEC's own Form N-PORT and Form N-CEN public data-set pages have yet been updated, in their downloadable files, to reflect the Form N-PORT move to monthly filing (effective November 17, 2025, and May 18, 2026 for smaller fund groups) was not checked by downloading and inspecting a data file this session; only the rule text and the pages' own descriptions were read.
Form ADV's Part 3 (the client relationship summary, Form CRS) is widely known to exist from secondary sources, but no current sec.gov page describing Form ADV's own part structure (rather than general filing or disclosure-brochure guidance) was found this session, so only Part I and Part II are named here, from a 2005 legacy page.
The exact number of EDGAR's Inline XBRL validation rules (in the EDGAR Filer Manual and the separate EDGAR XBRL Guide) was not counted this session; the Filer Manual's own Interactive Data chapter was fetched for size and hash only, not read as text, and the EDGAR XBRL Guide itself was not fetched.

Sources

Knowing exactly what is collected, in what format and under which rules is the first step to real-time supervision. See every regulator in the regulatory returns library.

Line4's own text, and the way Line4 has collected and arranged these records, are free to reuse under CC BY 4.0. Please credit: “Source: Line4 regulatory submissions library (CC BY 4.0), https://www.line4.ai”. The facts themselves belong to no one. The regulators' document titles, template names, quoted terms and documents belong to them and are not covered by this licence: see SEC's reuse terms. This describes what regulators publish. It is not legal or regulatory advice: always rely on the regulator's own text. Not affiliated with or endorsed by any regulator.

Last checked 13 November 2026.

U.S. Securities and Exchange Commission (SEC): regulatory returns