| | | | Form, Sch.,
Rule or Reg. | Filing/Form
Type | Filings (→Latest) | |
|---|
| Category | | Description | Original Amended | |
|---|
 | | | | | | | | |
|---|
| |
| Trading: | Application | | Applications for Registration, or an Exemption from Registration, as a National Securities Exchange | 1 | | 1 | – | | |
| Registration: | Statement | | Offering Statements | 1-A | | 1-A° | – | – | |
| Registration: | Amendment | /A | Post-Qualification Amendments of Form 1-A Offering Statements | A/A+ | | 1-A POS× | – | | |
| Registration: | Withdrawal | | Withdrawals of Form 1-A Offering Statements | A/A+ | | 1-A-W | – | – | |
| Registration: | Notice | | Notices of Exempt Offerings of Securities by Small Business Investment and Business Development Companies (SBICs and BDCs) | 1-E | | 1-E | – | – | |
| Registration: | Sales Media –
Advertising | | Advertising by Small Business Investment and Business Development Companies (SBICs and BDCs) | 1-E | | 1-E AD | – | – | |
| Update: | Report – Annual | | Annual Reports and Special Financial Reports | 1-K | | 1-K× | – | – | |
| Update: | Report –
Semi-Annual | | Semi-Annual Reports and Special Financial Reports | 1-SA | | 1-SA | – | – | |
| Update: | Report –
Current | | Current Reports | 1-U | | 1-U | – | – | |
| Registration: | Report | | Exit Reports | 1-Z | | 1-Z× | – | – | |
| Update: | Withdrawal | | Withdrawals of Exit Reports | 1-Z | | 1-Z-W | – | – | |
| Update: | Report | | Reports of Sales of Securities | 2-A | | 2-A | – | – | |
| Update: | Report | | Final Reports of Sales of Securities | 2-A | | 2-AF | – | – | |
| Update: | Report | | Reports of Sales of Securities by Investment Companies (SBICs and BDCs) | 2-E | | 2-E | – | – | |
| Ownership: | Statement | | Initial Statements of Beneficial Ownership of Securities by Insiders | 3 | | 3° | – | – | |
| Ownership: | Statement | | Statements of Changes in Beneficial Ownership of Securities by Insiders | 4 | | 4° | – | – | |
| Ownership: | Statement –
Annual | | Annual Statements of Changes in Beneficial Ownership of Securities by Insiders | 5 | | 5° | – | – | |
| SEC: | Application –
Notice | | Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices | ICA | | 6B NTC | – | | |
| SEC: | Application –
Order | | Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders | ICA | | 6B ORDR | – | | |
| Update: | Report –
Periodic | | Current, Quarterly and Annual Reports by Foreign Issuers | 6-K | | 6-K° | – | – | |
| Registration: | Statement | | Registration Statements for Certain Classes of Securities | 8-A | | 8-A12B | – | – | |
| Registration: | Statement | | Registration Statements for Certain Classes of Securities | 8-A | | 8-A12G | – | – | |
| SEC: | Withdrawal –
Notice | | Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Notices | ICA | | 8F-2 NTC | – | | |
| SEC: | Withdrawal –
Order | | Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Orders | ICA | | 8F-2 ORDR | – | | |
| Update: | Report –
Current | | Current Reports | 8-K | | 8-K° | – | – | |
| Registration: | Notice | | Notices of Securities Deemed to be Registered by Successor Issuers | 8-K | | 8-K12B° | – | – | |
| Registration: | Notice | | Notices of Securities Deemed to be Registered by Successor Issuers | 8-K | | 8-K12G3 | – | – | |
| Update: | Notice | | Notices of Assumptions of Duty to File Reports by Successor Issuers | 8-K | | 8-K15D5 | – | – | |
| Registration: | Individual –
Appointment | | Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Corporations | 8-M | | 8-M | – | – | |
| Registration: | Individual –
Appointment | | Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Partnerships | 9-M | | 9-M | – | – | |
| Registration: | Individual –
Appointment | | Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer General Partners | 10-M | | 10-M | – | – | |
| Registration: | Statement | | Registration Statements | 10 | | 10-12B° | – | – | |
| Registration: | Statement | | Registration Statements | 10 | | 10-12G° | – | – | |
| ABS: | Report –
Periodic | | Distribution Reports by Issuers of Asset-Backed Securities | 10-D | | 10-D° | – | – | |
| Update: | Report – Annual | | Annual Reports | 10-K | | 10-K° | – | – | |
| Update: | Report – Annual | | Annual-Transition Reports | 10-K | | 10-KT° | – | – | |
| Update: | Report –
Quarterly | | Quarterly Reports | 10-Q | | 10-Q° | – | – | |
| Update: | Report –
Quarterly | | Quarterly-Transition Reports | 10-Q | | 10-QT° | – | – | |
| Update: | Report – Annual | | Annual Reports by Employee Stock Purchase, Savings and Similar Plans | 11-K | | 11-K | – | – | |
| Update: | Report – Annual | | Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans | 11-K | | 11-KT | – | – | |
| Ownership: | Report –
Quarterly | | Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested | 13F | | 13FCONP | – | – | |
| Ownership: | Report –
Quarterly | | Quarterly Holdings and Combination Reports by Money Managers | 13F | | 13F-HR° | 370,777 | – | |
| Ownership: | Notice –
Quarterly | | Quarterly Holdings Notices by Money Managers | 13F | | 13F-NT° | – | – | |
| Registration: | Certification | | Certifications of Terminations of Registration of Classes of Securities | 15 | | 15-12B | – | – | |
| Registration: | Certification | | Certifications of Terminations of Registration of Classes of Securities | 15 | | 15-12G | – | – | |
| Update: | Notice | | Notices of Suspensions of Duty to File Reports | 15 | | 15-15D | – | – | |
| Registration: | Certification | | Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers | 15F | | 15F-12B | – | – | |
| Registration: | Certification | | Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers | 15F | | 15F-12G | – | 12 | |
| Update: | Notice | | Notices of Suspensions of Duty to File Reports by Foreign Issuers | 15F | | 15F-15D | – | – | |
| Registration: | Statement | | Registration Statements by Foreign Governments and Political Subdivisions | 18 | | 18-12B | – | – | |
| Update: | Report – Annual | | Annual Reports by Foreign Governments and Political Subdivisions | 18-K | | 18-K° | – | – | |
| Trading: | Information | | Proposed Rule Changes by Self-Regulatory Organizations (SROs) | 19b-4 | | 19B-4 | – | | |
| Trading: | Information | | Info from Self-Regulatory Organizations (SROs) Listing and Trading New Derivative Securities Products | 19b-4(e) | | 19B-4E | – | | |
| Update: | Report – Annual | | Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers | 20-F | | 20-F° | – | – | |
| Registration: | Statement | | Registration Statements by Foreign Non-Canadian Issuers | 20-F | | 20FR12B | – | – | |
| Registration: | Statement | | Registration Statements by Foreign Non-Canadian Issuers | 20-F | | 20FR12G° | – | 620 | |
| Update: | Notice – Annual | | Annual Notices of Securities Sold by Investment Companies | 24F-2 | | 24F-2NT° | – | – | |
| Trading: | Notice | | Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities | 25 | | 25 | – | | |
| Trading: | Notice | | Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities | 25 | | 25-NSE× | – | | |
| Update: | Application | | Applications for Exemptions and from Filing Certain Reports | §12(g) / 13(a) | | 34-12H | – | – | |
| Registration: | Application | | Applications for Exemption Orders by Employees’ Investment Companies | O-2 | | 40-6B | – | 194 | |
| Update: | Application | | Applications for Extensions of Time to File Reports by Investment Companies | 8b-25(a) | | 40-8B25 | – | – | |
| Registration: | Withdrawal –
Application | | Applications for SEC Deregistration Orders by Investment Companies | O-2 | | 40-8F-2 | – | – | |
| Update: | Accounting –
Certificate | | Certificates of Accounting of Securities of Investment Companies in the Custody of Members of National Securities Exchanges | N-17f-1 | | 40-17F1 | – | – | |
| Update: | Accounting –
Certificate | | Certificates of Accounting of Securities in the Custody of Investment Companies | N-17f-2 | | 40-17F2 | – | – | |
| Update: | Bond | | Fidelity Bonds for Investment Companies | 17g-1(g) | | 40-17G | – | – | |
| Update: | Bond – Claim | | Fidelity Bonds for Investment Companies – Claims and Settlements | 17g-1(g) | | 40-17GCS | – | – | |
| Update: | Sales Media –
Literature | | Sales Literature from Investment Companies | 24b-2 | | 40-24B2 | – | – | |
| Update: | Document –
Claim | | Stockholder Derivative Actions Against Investment Companies and Affiliates | ICA §33 | | 40-33 | – | – | |
| Registration: | Application | | Applications to Designate the Applicant a Person Not Within the Intent of the Investment Advisers Act | IAA §202 | | 40-202A | – | – | |
| Registration: | Application | | Applications for Exemptions by Investment Advisors | IAA §206(3) | | 40-206A | – | – | |
| Registration: | Application | | Applications for Exemption Orders and Other Relief by Investment Companies | O-2 | | 40-APP | – | – | |
| Update: | Report – Annual | | Annual Reports by Canadian Issuers | 40-F | | 40-F° | – | – | |
| Registration: | Statement | | Registration Statements by Certain Canadian Issuers | 40-F | | 40FR12B | – | – | |
| Registration: | Statement | | Registration Statements by Certain Canadian Issuers | 40-F | | 40FR12G | – | 10 | |
| Registration: | Application | | Applications for SEC Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment Companies | O-2 | | 40-OIP | – | – | |
| Ownership: | Notice | | Notices of Proposed Sales of Securities by Insiders | 144 | | 144° | 44,009 | – | |
| Registration: | Statement | | Offering Statements – Info Previously Omitted | 1-A | | 253G1 | – | – | |
| Registration: | Statement | | Offering Statements – Info Substantively Changed or Added | 1-A | | 253G2 | 4,163 | – | |
| Registration: | Statement | | Offering Statements – Info Previously Omitted & Info Substantively Changed or Added | 1-A | | 253G3 | – | – | |
| Registration: | Statement | | Offering Statements – Info Previously Omitted & Info Substantively Changed or Added (Late Filings) | 1-A | | 253G4 | – | – | |
| Registration: | Statement | | Statements of Eligibility to Act as a Trustee by Corporations | T-1 | | 305B2 | – | – | |
| Registration: | Prospectus | | Prospectuses – Info Substantively Changed or Added | 424(a) | | 424A | 1,558 | | |
| Registration: | Prospectus | | Prospectuses – Info Previously Omitted | 424(b)(1) | | 424B1 | 6,208 | | |
| Registration: | Prospectus | | Prospectuses – Primary Offerings and Shelf Securities | 424(b)(2) | | 424B2 | – | | |
| Registration: | Prospectus | | Prospectuses – New Facts or Events | 424(b)(3) | | 424B3° | – | | |
| Registration: | Prospectus | | Prospectuses – Info Previously Omitted & New Facts or Events | 424(b)(4) | | 424B4° | – | | |
| Registration: | Prospectus | | Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events | 424(b)(5) | | 424B5° | – | | |
| Registration: | Prospectus | | Prospectuses – Selling Security Holders – Info Previously Omitted | 424(b)(7) | | 424B7 | – | | |
| Registration: | Prospectus | | Prospectuses (Late Filings) | 424(b)(8) | | 424B8 | – | | |
| ABS: | Prospectus | | Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed | 424(h) | | 424H | – | | |
| Registration: | Prospectus –
Annual | | Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements | 424(i)(1) | | 424I | – | | |
| Registration: | Prospectus | | Prospectuses and Communications – Mergers | 425 | | 425° | – | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form N-1 and N-1A Registrations | 485(a) | | 485APOS° | – | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form N-1 and N-1A Registrations | 485(b) | | 485BPOS° | 200,221 | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates | 485(b)(1)(iii) | | 485BXT | – | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form N-2 Registrations | 486(a) | | 486APOS | – | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form N-2 Registrations | 486(b) | | 486BPOS | – | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates | 486(b) | | 486BXT | – | | |
| Registration: | Amendment | /A | Pre-Effective Pricing Amendments of Registration Statements | 487 | | 487 | – | | |
| Registration: | Material | | Definitive Materials | 497 | | 497° | – | – | |
| Update: | Sales Media –
Advertising | | Advertising by Certain Investment Companies | 497 & 482(c) | | 497AD | – | – | |
| Registration: | Prospectus | | Prospectuses – Certain Closed-End Investment Companies | 497(h)(2) | | 497H2 | – | | |
| Registration: | Certification | | Certifications of No Change in Definitive Materials | 497(j) | | 497J | – | – | |
| Registration: | Prospectus | | Prospectuses – Certain Open-End Investment Companies – Summary | 497(k) | | 497K | – | | |
| Registration: | Prospectus | | Prospectuses – Variable Annuity/Life Contracts – Initial Summary | 497(k) | | 497VPI | – | | |
| Registration: | Prospectus | | Prospectuses – Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence | 497(k) | | 497VPSUB | 274 | | |
| Registration: | Prospectus | | Prospectuses – Variable Annuity/Life Contracts – Updating Summary | 497(k) | | 497VPU | – | | |
| ABS: | Report –
Periodic | | Asset-Backed Securities Securitizer Reports | ABS-15G | | ABS-15G | – | – | |
| ABS: | Exhibit | | Asset-Backed Securities [XML] Exhibits | ABS-EE | | ABS-EE° | – | – | |
| Registration: | Material | | Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed | – | | ADN-MTL | – | – | |
| Update: | Accounting –
Certificate | | Certificates of Accounting of Client Securities and Funds in the Possession or Custody of Investment Advisors | ADV-E | | ADV-E | 2,451 | – | |
| Update: | Application | | Applications for Continuing Hardship Exemptions by Investment Advisors | ADV-H | | ADV-H-C | – | – | |
| Update: | Application | | Applications for Temporary Hardship Exemptions by Investment Advisors | ADV-H | | ADV-H-T | – | – | |
| Registration: | Individual –
Appointment | | Appointments of U.S. Agents for Service of Process by Non-Resident General Partners and Managing Agents of Investment Advisors | ADV-NR | | ADV-NR | – | – | |
| Update: | Report – Annual | | Annual Reports by International Development Banks | – | | ANNLRPT° | – | – | |
| SEC: | Application –
Notice | | Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices | ICA | | APP NTC | – | | |
| SEC: | Application –
Order | | Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders | ICA | | APP ORDR | – | | |
| Registration: | Withdrawal | | Withdrawals of Applications for Exemption Orders and Other Relief | ICA | | APP WD | – | – | |
| SEC: | Withdrawal –
Grant | | Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants | ICA | | APP WDG | – | | |
| Update: | Report – Annual | | Annual Reports to Security Holders | – | | ARS° | – | 69 | |
| Trading: | Information | | Alternative Trading Systems (NMS Stock) – Initial Info | ATS-N | | ATS-N× | – | | |
| Trading: | Amendment | /A | Alternative Trading Systems (NMS Stock) – Correcting Amendments | ATS-N | | ATS-N/CA× | – | | |
| Trading: | Amendment | /A | Alternative Trading Systems (NMS Stock) – Material Amendments | ATS-N | | ATS-N/MA× | 193 | | |
| Trading: | Amendment | /A | Alternative Trading Systems (NMS Stock) – Order Display and Fair Access Amendments | ATS-N | | ATS-N/OFA× | – | | |
| Trading: | Amendment | /A | Alternative Trading Systems (NMS Stock) – Updating Amendments | ATS-N | | ATS-N/UA× | – | | |
| Trading: | Notice | | Alternative Trading Systems (NMS Stock) – Notices of Cessation | ATS-N | | ATS-N-C× | – | | |
| Trading: | Withdrawal | | Alternative Trading Systems (NMS Stock) – Withdrawals of Form ATS-N | – | | ATS-N-W× | – | | |
| Registration: | Withdrawal | | Amendment Withdrawal Requests | † | | AW | – | – | |
| Registration: | Withdrawal | | Amendment Withdrawal Requests – Withdraw Duplicates | † | | AW WD | 116 | – | |
| Registration: | Statement | | Crowdfunding – Offering Statements | C | | C× | – | 9,060 | |
| Registration: | Withdrawal | | Crowdfunding – Offering Statement Amendment Withdrawals | C/A-W | | C/A-W× | – | – | |
| Registration: | Withdrawal | | Crowdfunding – Offering Statement Withdrawals | C-W | | C-W× | – | – | |
| Update: | Report – Annual | | Crowdfunding – Annual Reports | C-AR | | C-AR× | – | – | |
| Update: | Withdrawal | | Crowdfunding – Annual Report Withdrawals | C-AR-W | | C-AR-W× | – | – | |
| Registration: | Report | | Crowdfunding – Terminations of Reporting | C-TR | | C-TR× | – | – | |
| Registration: | Withdrawal | | Crowdfunding – Termination of Reporting Withdrawals | C-TR-W | | C-TR-W× | – | – | |
| Registration: | Update | | Crowdfunding – Progress Updates | C-U | | C-U× | – | – | |
| Registration: | Withdrawal | | Crowdfunding – Progress Update Withdrawals | C-U-W | | C-U-W× | – | – | |
| Registration: | Application | | Applications for Registration, or an Exemption therefrom, as a Clearing Agency | CA-1 | | CA-1 | – | – | |
| SEC: | Cancellation –
Order | | Cancellations of Certain Municipal Advisor Registrations by SEC Orders | SEA §15B(c)(3) | | CANCEL-MA | – | | |
| Ownership: | Notice | | Tender-Offer, Exchange-Offer, Rights-Offering and Response Notices | CB | | CB | – | – | |
| Trading: | Certification | | Certifications by Securities Exchanges Approving Listings | CERT | | CERT | – | | |
| Registration: | Application | | Applications for Registration by Crowdfunding Portals | Funding Portal | | CFPORTAL× | 126 | – | |
| Registration: | Withdrawal –
Notice | | Notices of Withdrawals from Registration by Crowdfunding Portals | Funding Portal | | CFPORTAL-W× | – | – | |
| Comment: | Letter | | Comment-Response and Other Letters to the SEC [ a.k.a. Document COVER ] (Delayed Release) | – | | CORRESP | 199,367 | | |
| SEC: | SEC – Order | | SEC Confidential Treatment Orders | – | | CT ORDER | – | | |
| Registration: | Notice | | Notices of Exempt Offerings of Securities | D | | D× | – | – | |
| Proxy: | Statement | | Definitive Proxy Statements | 14A | | DEF 14A° | – | | |
| Proxy: | Statement –
Information | | Definitive Proxy Info Statements | 14C | | DEF 14C | – | | |
| Proxy: | Material | | Definitive Additional Proxy Soliciting Materials | 14A | | DEFA14A° | – | | |
| Proxy: | Statement –
Information | | Definitive Additional Proxy Info Statements | 14C | | DEFA14C | – | | |
| Proxy: | Statement | | Definitive Proxy Statements – Contested Solicitations | 14A | | DEFC14A | – | | |
| Proxy: | Statement –
Information | | Definitive Proxy Info Statements – Contested Solicitations | 14C | | DEFC14C | – | | |
| Proxy: | Statement | | Definitive Proxy Statements – Mergers & Acquisitions | 14A | | DEFM14A | – | | |
| Proxy: | Statement –
Information | | Definitive Proxy Info Statements – Mergers & Acquisitions | 14C | | DEFM14C | – | | |
| Proxy: | Statement | | Definitive Non-Management Proxy Statements | 14A | | DEFN14A | – | | |
| Proxy: | Material | | Definitive Additional Non-Management Proxy Soliciting Materials | 14A | | DFAN14A | – | | |
| Proxy: | Statement | | Definitive Revised Non-Management Proxy Statements | 14A | | DFRN14A | – | | |
| Proxy: | Material | | Definitive Revised Proxy Soliciting Materials | 14A | | DEFR14A | – | | |
| Proxy: | Statement –
Information | | Definitive Revised Proxy Info Statements | 14C | | DEFR14C | – | | |
| Registration: | Amendment | /A | Registration Effectiveness-Delaying Amendments | † | | DEL AM | – | | |
| Registration: | Statement | | Draft Offering Statements | 1-A | | DOS× | – | – | |
| Comment: | Letter | | Comment-Response and Draft-Offering-Statement Letters to the SEC (Delayed Release) | – | | DOSLTR | – | | |
| Registration: | Statement | | Draft Registration Statements by Emerging Growth Companies and Foreign Issuers | DRS | | DRS° | – | – | |
| Comment: | Letter | | Comment-Response and Draft-Registration-Statement Letters to the SEC (Delayed Release) | – | | DRSLTR | – | | |
| Update: | Report –
Transactional | | Distribution of Primary Obligations Reports by International Development Banks | – | | DSTRBRPT | 975 | – | |
| SEC: | Notice | | SEC Notices of Effectiveness | † | | EFFECT× | – | | |
| Registration: | Statement | | Registration Statements by Certain Foreign Issuers | F-1 | | F-1° | – | 6,299 | |
| Registration: | Statement | | Registration Statements to Add Securities to Prior Form F-1 Registrations | 462(b) | | F-1MEF | – | – | |
| Registration: | Statement | | Registration Statements by Certain Foreign Issuers – Securities for Transactions | F-3 | | F-3° | – | 1,649 | |
| Registration: | Statement | | Automatic Shelf Registration Statements by Well-Known Foreign Issuers | F-3 | | F-3ASR° | – | – | |
| Registration: | Statement | | Registration Statements by Certain Foreign Issuers – Securities for Dividend and Interest Reinvestment Plans | F-3 | | F-3D | – | – | |
| Registration: | Amendment | /A | Post-Effective Amendments of ‘F-3D’ Registrations | F-3 | | F-3DPOS | – | | |
| Registration: | Statement | | Registration Statements to Add Securities to Prior Form F-3 Registrations | 462(b) | | F-3MEF | – | – | |
| Registration: | Statement | | Registration Statements by Certain Foreign Issuers – Securities for Mergers | F-4 | | F-4° | – | 2,039 | |
| Registration: | Statement | | Registration Statements by Certain Foreign Issuers – Securities for Mergers (Immediately Effective) | F-4 | | F-4EF | – | – | |
| Registration: | Statement | | Registration Statements to Add Securities to Prior Form F-4 Registrations | 462(b) | | F-4MEF | – | – | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form F-4 Registrations | – | | F-4 POS | – | | |
| Registration: | Statement | | Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) | F-6 | | F-6 | – | – | |
| Registration: | Statement | | Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective) | F-6 | | F-6EF | – | – | |
| Registration: | Amendment | /A | Post-Effective Amendments of ‘F-6EF’ Registrations | F-6 | | F-6 POS | – | | |
| Registration: | Statement | | Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of Rights | F-7 | | F-7 | – | – | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form F-7 Registrations | – | | F-7 POS | – | | |
| Registration: | Statement | | Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers | F-8 | | F-8 | – | – | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form F-8 Registrations | – | | F-8 POS | – | | |
| Registration: | Statement | | Registration Statements by Certain Canadian Issuers – Debt and Preferred Securities | F-9 | | F-9 | – | – | |
| Registration: | Amendment | /A | Post-Effective Amendments of ‘F-9EF’ Registrations | F-9 | | F-9 POS | – | | |
| Registration: | Statement | | Registration Statements by Certain Canadian Issuers | F-10 | | F-10 | – | – | |
| Registration: | Statement | | Registration Statements by Certain Canadian Issuers (Immediately Effective) | F-10 | | F-10EF | – | – | |
| Registration: | Amendment | /A | Post-Effective Amendments of ‘F-10EF’ Registrations | F-10 | | F-10POS | – | | |
| Registration: | Statement | | Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers | F-80 | | F-80 | – | – | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form F-80 Registrations | – | | F-80POS | 19 | | |
| Registration: | Individual –
Appointment | | Appointments of U.S. Agents for Service of Process by Foreign Banks and Insurance Companies | F-N | | F-N | – | – | |
| Update: | Report –
Accounting | | Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers | – | | FOCUSN | – | – | |
| Registration: | Prospectus | | Prospectuses – Free Writing | 163 / 433 | | FWP | – | | |
| Registration: | Individual –
Appointment | | Appointments of U.S. Agents for Service of Process by Foreign Non-Financial Entities | F-X | | F-X | – | 320 | |
| Update: | Report – Annual | | Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers | G-405 | | G-405 | – | – | |
| Update: | Report –
Accounting | | Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers | G-405N | | G-405N | – | – | |
| Registration: | Notice | | Notices of Activity as a Government Securities Broker or Dealer by Financial Institutions | G-FIN | | G-FIN | – | – | |
| Registration: | Withdrawal –
Notice | | Notices of Withdrawals from Registration as a Government Securities Broker or Dealer by Financial Institutions | G-FINW | | G-FINW | – | – | |
| Update: | Notice | | Notices of Iran/Syria Disclosures in Quarterly and Annual Reports | ITRASHRA | | IRANNOTICE | – | – | |
| Registration: | Application | | Applications for Registrations by Municipal Advisors | MA | | MA× | 927 | 2,337 | |
| Registration: | Update – Annual | | Annual Updates of Registrations by Municipal Advisors | MA | | MA-A× | – | – | |
| Registration: | Information | | Info re: Natural Persons Who Engage in Municipal Advisory Activity | MA-I | | MA-I× | – | – | |
| Registration: | Withdrawal –
Notice | | Notices of Withdrawals from Registration by Municipal Advisors | MA-W | | MA-W× | – | – | |
| Registration: | Application | | Applications for Registrations by Municipal Securities Dealers | MSD | | MSD | – | – | |
| SEC: | Cancellation –
Order | | Cancellations of Municipal Securities Dealer Registrations by SEC Orders | – | | MSDCO | – | | |
| Registration: | Withdrawal –
Notice | | Notices of Withdrawals from Registration by Municipal Securities Dealers | MSDW | | MSDW | – | – | |
| Registration: | Statement | | Registration Statements by Open-End Investment Companies | N-1A | | N-1A° | – | 3,013 | |
| Registration: | Statement | | Registration Statements by Closed-End Investment Companies | N-2 | | N-2 | 4,270 | – | |
| Registration: | Statement | | Automatic Shelf Registration Statements by Well-Known Closed-End Investment Companies | N-2 | | N-2ASR | 62 | – | |
| Registration: | Statement | | Registration Statements to Add Securities to Prior Form N-2 Registrations | 462(b) | | N-2MEF | – | – | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form N-2 Automatic Shelf Registrations | ICA | | N-2 POSASR | – | | |
| Registration: | Statement | | Registration Statements by Open-End Investment Companies for Separate Accounts | N-3 | | N-3 | – | – | |
| Registration: | Statement | | Registration Statements by Variable Annuity Unit Investment Trusts for Separate Accounts | N-4 | | N-4 | 2,394 | – | |
| Registration: | Statement | | Registration Statements by Small Business Investment Companies (SBICs) | N-5 | | N-5 | – | – | |
| Registration: | Statement | | Registration Statements by Variable Life Unit Investment Trusts for Separate Accounts | N-6 | | N-6 | – | – | |
| Update: | Notice | | Notices of Intentions to Elect Business Development Company (BDC) Status | N-6F | | N-6F | – | – | |
| Registration: | Notice | | Notices of Registrations by Investment Companies | N-8A | | N-8A | – | – | |
| Registration: | Statement | | Registration Statements by Unit Investment Trusts | N-8B-2 | | N-8B-2 | – | – | |
| Registration: | Statement | | Registration Statements by Face-Amount Certificate Companies | N-8B-4 | | N-8B-4 | – | – | |
| Registration: | Withdrawal –
Application | | Applications for SEC Deregistration Orders by Certain Investment Companies | N-8F | | N-8F | – | – | |
| SEC: | Withdrawal –
Notice | | Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices | ICA | | N-8F NTC | – | | |
| SEC: | Withdrawal –
Order | | Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders | ICA | | N-8F ORDR | – | | |
| Registration: | Statement | | Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for Mergers | N-14 | | N-14 | – | – | |
| Registration: | Statement | | Registration Statements by Closed-End Investment Companies – Securities for Mergers | N-14 | | N-14 8C | 319 | – | |
| Registration: | Statement | | Registration Statements to Add Securities to Prior Form N-14 Registrations | 462(b) | | N-14MEF | – | – | |
| Update: | Notice | | Notices of Elections by Open-End Investment Companies | N-18f-1 | | N-18F1 | – | – | |
| Ownership: | Notice | | Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies | 23c-2 | | N-23C-2 | – | – | |
| Ownership: | Notice | | Notices of Periodic Repurchase Offers by Closed-End Investment Companies | N-23c-3 | | N-23C3A | – | – | |
| Ownership: | Notice | | Notices of Discretionary Repurchase Offers by Closed-End Investment Companies | N-23c-3 | | N-23C3B | – | – | |
| Ownership: | Notice | | Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment Companies | N-23c-3 | | N-23C3C | – | – | |
| Update: | Report –
Periodic | | Periodic and Interim Reports Mailed to Shareholders by Investment Companies | 30b-2 | | N-30B-2 | – | – | |
| Update: | Report –
Periodic | | Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies | 30d-1 | | N-30D | – | – | |
| Update: | Notice | | Notices of Elections by Business Development Companies (BDCs) | N-54A | | N-54A | – | – | |
| Registration: | Withdrawal –
Notice | | Notices of Withdrawals from Registration by Business Development Companies (BDCs) | N-54C | | N-54C | – | – | |
| Update: | Report – Annual | | Annual Reports by Investment Companies | N-CEN | | N-CEN× | – | – | |
| Update: | Report – Annual | | Annual Reports by Investment Companies (Late Filings) | N-CEN | | NT N-CEN° | – | – | |
| Update: | Report –
Current | | Current Reports of Material Events by Money-Market Funds | N-CR | | N-CR | – | 13 | |
| Update: | Report – Annual | | Annual Certified Shareholder Reports by Investment Companies | N-CSR | | N-CSR° | – | – | |
| Update: | Report –
Semi-Annual | | Semi-Annual Certified Shareholder Reports by Investment Companies | N-CSR | | N-CSRS° | – | – | |
| Update: | Schedule –
Monthly | | Monthly Portfolio Holdings Schedules by Money-Market Funds | N-MFP | | N-MFP2× | – | – | |
| Update: | Schedule –
Monthly | | Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) | N-MFP | | NT N-MFP2° | – | – | |
| SEC: | Letter | | SEC No-Action Letters re: Shareholder Proposals [ a.k.a. Document 14A-8 ] | 14a-8 | | NO ACT | – | | |
| Update: | Report –
Monthly | | Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies [ with Document NPORT-EX ] | N-PORT | | NPORT-P× | – | – | |
| Update: | Report –
Monthly | | Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings) [ with Document NPORT-EX ] | N-PORT | | NT NPORT-P× | – | – | |
| Proxy: | Report – Annual | | Annual Proxy Voting Reports by Investment Companies | N-PX | | N-PX | – | | |
| Update: | Schedule –
Quarterly | | Quarterly Portfolio Holdings Schedules by Investment Companies | N-Q | | N-Q° | – | – | |
| Registration: | Certification –
Annual | | Annual Certifications by Nationally Recognized Statistical Rating Organizations | NRSRO | | NRSRO-CE | – | – | |
| Registration: | Update | | Registration Updates by Nationally Recognized Statistical Rating Organizations | NRSRO | | NRSRO-UPD | 247 | – | |
| Update: | Notice | | Notices of Late Filings of Form 10-D Distribution Reports | 12b-25 | | NT 10-D | – | – | |
| Update: | Notice | | Notices of Late Filings of Form 10-D Distribution Reports (Late Notices) | 12b-25 | | NTN 10D | – | – | |
| Update: | Notice | | Notices of Late Filings of Form 10-K Annual Reports | 12b-25 | | NT 10-K | – | – | |
| Update: | Notice | | Notices of Late Filings of Form 10-K Annual Reports (Late Notices) | 12b-25 | | NTN 10K | – | – | |
| Update: | Notice | | Notices of Late Filings of Form 10-Q Quarterly Reports | 12b-25 | | NT 10-Q° | 76,574 | 660 | |
| Update: | Notice | | Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices) | 12b-25 | | NTN 10Q | – | – | |
| Update: | Notice | | Notices of Late Filings of Form 11-K Annual Reports | 12b-25 | | NT 11-K | – | – | |
| Update: | Notice | | Notices of Late Filings of Form 11-K Annual Reports (Late Notices) | 12b-25 | | NTN 11K | – | – | |
| Update: | Notice | | Notices of Late Filings of Form 20-F Annual Reports | 12b-25 | | NT 20-F | – | – | |
| Update: | Notice | | Notices of Late Filings of Form 20-F Annual Reports (Late Notices) | 12b-25 | | NTN 20F | – | – | |
| Update: | Notice | | Notices of Late Filings of Form N-CEN Annual Reports | 12b-25 | | NT-NCEN | 83 | – | |
| Update: | Notice | | Notices of Late Filings of Form N-CEN Annual Reports (Late Notices) | 12b-25 | | NTFNCEN | – | – | |
| Update: | Notice | | Notices of Late Filings of Form N-CSR Shareholder Reports | 12b-25 | | NT-NCSR | – | – | |
| Update: | Notice | | Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices) | 12b-25 | | NTFNCSR | 82 | – | |
| Update: | Notice | | Notices of Late Filings of ‘SP 15D2’ Special Financial Reports | 12b-25 | | NT 15D2 | – | – | |
| Update: | Notice | | Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices) | 12b-25 | | NTN15D2 | – | – | |
| Update: | Notice | | Notices by Certain Variable Annuity/Life Contracts | N-VP | | N-VP | – | – | |
| Update: | Statement | | Financial Statements of Certain Variable Annuity/Life Contracts | N-VPFS | | N-VPFS | – | 117 | |
| SEC: | Application –
Notice | | Applications for SEC Exemption Orders – ‘40-OIP’ SEC Notices | ICA | | OIP NTC | – | | |
| SEC: | Application –
Order | | Applications for SEC Exemption Orders – ‘40-OIP’ SEC Orders | ICA | | OIP ORDR | 61 | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements by Certain Investment Companies | ICA §8(c) | | POS 8C | – | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements – Rule 462(b) | † | | POS462B | – | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements – Rule 462(c) | † | | POS462C | 88 | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements | † | | POS AM° | – | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements by Investment Companies | † | | POS AMI | – | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Automatic Shelf Registration Statements | S-3/F-3ASR | | POSASR° | – | | |
| Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements – Additional Exhibits | 462(d) | | POS EX° | – | | |
| Proxy: | Statement | | Preliminary Proxy Statements | 14A | | PRE 14A° | – | | |
| Proxy: | Statement –
Information | | Preliminary Proxy Info Statements | 14C | | PRE 14C | – | | |
| Proxy: | Statement | | Preliminary Proxy Statements – Contested Solicitations | 14A | | PREC14A | – | | |
| Proxy: | Statement –
Information | | Preliminary Proxy Info Statements – Contested Solicitations | 14C | | PREC14C | – | | |
| Proxy: | Statement | | Preliminary Proxy Statements – Mergers & Acquisitions | 14A | | PREM14A | – | | |
| Proxy: | Statement –
Information | | Preliminary Proxy Info Statements – Mergers & Acquisitions | 14C | | PREM14C | – | | |
| Proxy: | Statement | | Preliminary Non-Management Proxy Statements | 14A | | PREN14A | 383 | | |
| Proxy: | Material | | Preliminary Revised Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations | 14A | | PRRN14A | – | | |
| Proxy: | Material | | Preliminary Revised Proxy Soliciting Materials | 14A | | PRER14A | – | | |
| Proxy: | Statement –
Information | | Preliminary Revised Proxy Info Statements | 14C | | PRER14C | – | | |
| Proxy: | Notice | | Notices of Exempt Non-Management Proxy Solicitations | 14a-6(g) | | PX14A6G | 2,917 | | |
| Proxy: | Notice | | Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications | 14a-6(n) | | PX14A6N | – | | |
| Update: | Report –
Quarterly | | Quarterly Reports by International Development Banks | – | | QRTLYRPT | – | – | |
| SEC: | Notice | | SEC Notices of Qualification | A/A+ | | QUALIF× | – | | |
| Registration: | Report –
Initial | | Initial Undertakings to File Reports by Non-Resident Brokers, Dealers and Investment Advisors | – | | REG-NR | – | – | |
| SEC: | Cancellation –
Order | | SEC Orders Revoking Registrations | SEA §12(j) | | REVOKED | – | | |
| SEC: | Cancellation –
Order | | SEC Orders Revoking Registrations of Municipal Advisors | SEA §15B(c)(2) | | REVOKED-MA | – | | |
| Registration: | Withdrawal | | Registration Withdrawal Requests | † | | RW | – | – | |
| Registration: | Withdrawal | | Withdrawals of Registration Withdrawal Requests | † | | RW WD | – | – | |
| Registration: | Statement | | Registration Statements (General Form) | S-1 | | S-1° | – | – | |
| Registration: | Statement | | Registration Statements to Add Securities to Prior Form S-1 Registrations | 462(b) | | S-1MEF | – | – | |
| Registration: | Statement | | Registration Statements – Securities for Transactions | S-3 | | S-3° | 38,460 | – | |
| Registration: | Statement | | Automatic Shelf Registration Statements by Well-Known Issuers | S-3 | | S-3ASR° | 9,460 | – | |
| Registration: | Statement | | Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective) | S-3 | | S-3D | – | – | |
| Registration: | Amendment | /A | Post-Effective Amendments of ‘S-3D’ Registrations | S-3 | | S-3DPOS | – | | |
| Registration: | Statement | | Registration Statements to Add Securities to Prior Form S-3 Registrations | 462(b) | | S-3MEF | – | – | |
| Registration: | Statement | | Registration Statements – Securities for Mergers | S-4 | | S-4° | – | – | |
| Registration: | Statement | | Registration Statements – Securities for the Formation of Bank and Savings & Loan Holding Companies | S-4 | | S-4EF | – | – | |
| Registration: | Statement | | Registration Statements to Add Securities to Prior Form S-4 Registrations | 462(b) | | S-4MEF | – | – | |
| Registration: | Amendment | /A | Post-Effective Amendments of ‘S-4EF’ Registrations | S-4 | | S-4 POS | – | | |
| Registration: | Statement | | Registration Statements by Unit Investment Trusts | S-6 | | S-6 | – | – | |
| Registration: | Statement | | Registration Statements – Securities for Certain Employee Benefit Plans | S-8 | | S-8 | – | 18 | |
| Registration: | Amendment | /A | Post-Effective Amendments of Form S-8 Registrations | – | | S-8 POS | – | | |
| Registration: | Statement | | Registration Statements by Certain Real Estate Companies | S-11 | | S-11° | – | 3,553 | |
| Registration: | Statement | | Registration Statements to Add Securities to Prior Form S-11 Registrations | 462(b) | | S-11MEF | 90 | – | |
| Registration: | Statement | | Registration Statements – Standardized Options | S-20 | | S-20 | – | 5 | |
| Registration: | Statement | | Registration Statements by Foreign Governments and Political Subdivisions | B | | S-B | – | – | |
| Registration: | Statement | | Registration Statements to Add Securities to Prior Schedule B Registrations | 462(b) | | S-BMEF | – | – | |
| Registration: | Application | | Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants | SBSE | | SBSE× | – | 26 | |
| Registration: | Application | | Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as such | SBSE-A | | SBSE-A× | 39 | – | |
| Registration: | Application | | Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-Dealers | SBSE-BD | | SBSE-BD× | – | 3 | |
| Registration: | Certification | | Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants | SBSE-C | | SBSE-C× | – | – | |
| Ownership: | Statement | | Statements of Acquisitions of Beneficial Ownership by “Active” Investors | 13D | | SC 13D | – | – | |
| Ownership: | Statement | | Statements of Acquisitions of Beneficial Ownership by “Active” Investors | 13D | | SCH 13D× | – | 9 | |
| Ownership: | Statement | | Statements of Acquisitions of Beneficial Ownership by “Passive” Investors | 13G | | SC 13G | – | – | |
| Ownership: | Statement | | Statements of Acquisitions of Beneficial Ownership by “Passive” Investors | 13G | | SCH 13G× | – | 51 | |
| Ownership: | Statement | | Tender-Offer Statements by Issuers | 13E-1 | | SC 13E1 | – | – | |
| Ownership: | Statement | | Tender-Offer Statements by Certain Issuers – Going-Private Transactions | 13E-3 | | SC 13E3 | – | – | |
| Ownership: | Statement | | Tender-Offer Statements by Canadian Issuers | 13E-4F | | SC13E4F | – | – | |
| Ownership: | Statement | | Tender-Offer Statements by Canadian Third Parties | 14D-1F | | SC14D1F | – | – | |
| Ownership: | Statement | | Tender-Offer Solicitation/Recommendation Statements | 14D-9 | | SC 14D9 | 4,453 | – | |
| Ownership: | Communication | | Tender-Offer Communications by Issuers re: Third-Party Offers | 14D-9C | | SC14D9C | – | – | |
| Ownership: | Statement | | Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers | 14D-9F | | SC14D9F | – | – | |
| Ownership: | Statement | | Statements re: Changes in the Majority of Directors | 14F-1 | | SC 14F1 | 2,337 | – | |
| Proxy: | Information | | Info from Certain Nominating Shareholders | 14N | | SC 14N | – | | |
| Ownership: | Communication | | Tender-Offer Communications by Issuers and Third Parties | TO | | SC TO-C | – | – | |
| Ownership: | Statement | | Tender-Offer Statements by Issuers | TO | | SC TO-I | – | – | |
| Ownership: | Statement | | Tender-Offer Statements by Third Parties | TO | | SC TO-T | – | – | |
| Update: | Report –
Special | | Specialized Disclosure Reports re: Uses of Conflict Minerals | SD | | SD | – | – | |
| Registration: | Application | | Applications for Registration by Security-Based Swap Data Repositories | SDR | | SDR× | – | – | |
| Update: | Exhibit | | Separate Exhibits – Scanned Paper-Format Exhibits of Other Electronic Filings | SE | | SE | – | – | |
| SEC: | SEC – Order | | SEC Staff Actions [ a.k.a. Documents ORDER (SEC Order) & STAFF ACTION ] | – | | SEC ACTION | – | | |
| SEC: | Letter | | SEC Staff Letters [ a.k.a. Documents LETTER, 14A-8 (No-Action Letter), REDACTED EXHIBIT, SERIOUS DEFICIENCIES & STAFF LETTER ] (Delayed Release) | – | | SEC LETTER | – | | |
| ABS: | Statement | | Registration Statements (General Form) by Issuers of Asset-Backed Securities | SF-1 | | SF-1 | 27 | 56 | |
| ABS: | Statement | | Registration Statements to Add Securities to Prior Form SF-1 Registrations | 462(b) | | SF-1MEF | – | – | |
| ABS: | Statement | | Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities | SF-3 | | SF-3 | – | 255 | |
| Registration: | Sales Media –
Literature | | Sales Literature | – | | SL | – | – | |
| Update: | Report –
Special | | Special Financial Reports | 15d-2 | | SP 15D2 | – | – | |
| Update: | Document –
Special | | Specialized Disclosures re: the Holding Foreign Companies Accountable Act | SPDSCL | | SPDSCL | – | – | |
| SEC: | SEC – Order | | SEC Stop Orders | – | | STOP ORDER | – | | |
| Registration: | Material | | Supplemental Materials by Foreign Issuers | SA §11(a) | | SUPPL | – | – | |
| Registration: | Application | | Applications for Qualifications of Trust Indentures | T-3 | | T-3 | – | – | |
| Registration: | Application | | Applications for Determinations of Eligibility to Act as a Trustee by Foreign Entities | T-6 | | T-6 | – | – | |
| Registration: | Application | | Applications for Registrations by Transfer Agents | TA-1 | | TA-1° | – | – | |
| Update: | Report – Annual | | Annual Reports of Activity by Transfer Agents | TA-2 | | TA-2° | – | – | |
| SEC: | Cancellation –
Order | | Cancellations of Transfer Agent Registrations by SEC Orders | – | | TACO | – | | |
| Registration: | Withdrawal –
Notice | | Notices of Withdrawals from Registration by Transfer Agents | TA-W | | TA-W° | – | – | |
| Update: | Notice | | Notices of Reliance on a Temporary Hardship Exemption | TH | | TH | – | – | |
| Registration: | Material | | Test-the-Waters Materials | A/A+ | | TTW | – | – | |
| Comment: | Letter | | Comment and Other Letters from the SEC [ a.k.a. Document LETTER ] (Delayed Release) | – | | UPLOAD | – | | |
| Registration: | Withdrawal | | Withdrawal Requests for Materials Previously Filed | A/A+ | | WDL-REQ | – | – | |
| Update: | Report – Annual | | Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers | X-17A-5 | | X-17A-5° | – | – | |
| |
| See Filing/Form Type Totals by Time Periods Σ | Totals: | 973,730 | 30,388 |
| ____________ | | † | This Filing/Form Type pertains to multiple Forms , Schedules , Rules or Regulations of the Acts’ Sections §. | | ° | May contain, or be, an XMLª, XBRLª or iXBRLª File. (Most XMLª Files are rendered by us using the SEC’s XSLTª Stylesheets — | | × | Must be, or contain, an XMLª, XBRLª or iXBRLª File. Most XBRLª Files are SEC-created as IDEAª “R#” Financial Report Info.) | | ª | Acronyms: | | IDEA: Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data via “R#” Financial Reports – since 2009. (See our XBRL page.) | | XML: eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard. ‹?xml?› | | XSLT: eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML. | | XBRL: eXtensible Business Reporting Language — A financial-data-interchange standard based on XML – since 2005-08 (EX-100 & EX-101). | | iXBRL: Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard – since 2016. i |
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