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462 Filing/Form Types

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Form,Sch.,
RuleorReg.
Filing /
Form Type
Filings
CategoryDescriptionOriginal Amended
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RegistrationsApplications for Registration or Exemption from Registration as a National Securities Exchange1901,371
Registrations1-AOffering Statements— Reg. A/A+1-A1,0582,572
RegistrationsPost-Qualification Amendments of Form 1-A Offering Statements— Reg. A/A+1-A POS607
RegistrationsWithdrawals of Form 1-A Offering Statements— Reg. A/A+1-A-W13518
ReportsENotifications by Small Business Investment Companies and Business Development Companies1-E15278
RegistrationsESales Materials1-E AD2
Reports1-KAnnual Reports— Reg. A1-K26621
Reports1-SASemi-Annual Reports— Reg. A1-SA32419
Reports1-UCurrent Reports— Reg. A1-U1,08714
Reports1-ZExit Reports— Reg. A1-Z834
Reports1-ZWithdrawals of Exit Reports— Reg. A1-Z-W2
Reports2-AReports of Sales of Securities— Reg. A/A+2-A5281
Reports2-AFinal Reports of Sales of Securities— Reg. A/A+2-AF36
ReportsEReports of Sales of Securities2-E8711
Ownership3Initial Statements of Beneficial Ownership of Securities3301,73817,035
Ownership4Statements of Changes in Beneficial Ownership of Securities43,433,039107,818
Ownership5Annual Statements of Changes in Beneficial Ownership of Securities5102,8223,975
RegistrationsICAApplications for Exemption Orders– ’40-6B’ SEC Notices6B NTC24
RegistrationsICAApplications for Exemption Orders– ’40-6B’ SEC Orders6B ORDR24
Reports6-KCurrent Reports by Foreign Issuers6-K393,0885,070
Registrations8-ARegistrations of Certain Classes of Securities8-A12B18,9114,392
Registrations8-ARegistrations of Certain Classes of Securities8A12BEF95
Registrations8-ARegistrations of Certain Classes of Securities8A12BT288
Registrations8-ARegistrations of Certain Classes of Securities8-A12G9,9412,350
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12B9429
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12G6113
RegistrationsICAApplications for Deregistration Orders– ’40-8F-2’ SEC Notices8F-2 NTC3
RegistrationsICAApplications for Deregistration Orders– ’40-8F-2’ SEC Orders8F-2 ORDR2
Reports8-KCurrent Reports8-K1,562,39073,602
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12B22022
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12G3622115
Reports8-KNotices of Assumptions of Duty to Report by Successor Issuers8-K15D5702
RegistrationsConsents to Service of Process by Notice– Non-Resident Broker-Dealer Corporations8-M64
RegistrationsConsents to Service of Process by Notice– Non-Resident Broker-Dealer Partnerships9-M13
Registrations10Registrations of Securities (General Form)10-12B7631,561
Registrations10Registrations of Securities (General Form)10-12G2,5084,324
Reports10-CReports by Issuers of Securities Quoted on NASDAQ10-C1,30525
Reports10-DDistribution Reports by Asset-Backed Issuers10-D61,5872,185
Reports10-KAnnual Reports10-K183,08940,959
Reports10-KAnnual Reports— Item 405– Reg. S-K10-K40520,2383,227
Reports10-KSBAnnual Reports by Small Businesses10KSB37,06211,939
Reports10-KSBAnnual Reports by Small Businesses— Item 405– Reg. S-K10KSB403,460629
Reports10-KAnnual-Transition Reports10-KT487114
Reports10-KAnnual-Transition Reports— Item 405– Reg. S-K10KT4058217
Reports10-QQuarterly Reports10-Q574,49443,214
Reports10-QSBQuarterly Reports by Small Businesses10QSB120,30817,154
Reports10-QQuarterly-Transition Reports10-QT20536
Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12B245134
Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12G4,1475,545
Reports11-KAnnual Reports by Employee Stock Purchase, Savings and Similar Plans11-K39,922957
Reports11-KAnnual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-KT952
Registrations12g-3Exemptions for American Depository Receipts and Certain Foreign Securities12G3-2B613
Registrations12g-3Exemptions for American Depository Receipts and Certain Foreign Securities12G32BR178
Ownership13FQuarterly Holdings and Combination Reports by Money Managers– Confidential Treatment Requested13FCONP1,27190
Ownership13FQuarterly Reports by Money Managers13F-E1,188120
Ownership13FQuarterly Holdings and Combination Reports by Money Managers13F-HR259,20124,200
Ownership13FQuarterly Notices by Money Managers13F-NT86,1661,755
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12B5,215106
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12G12,993401
Reports15Notices of Suspensions of Duty to File Reports15-15D15,800210
Registrations15FCertifications of Foreign Issuers’ Terminations of Registration of Classes of Securities15F-12B18313
Registrations15FCertifications of Foreign Issuers’ Terminations of Registration of Classes of Securities15F-12G23012
Reports15FNotices of Foreign Issuers’ Suspensions of Duty to File Reports15F-15D1253
Registrations18Registrations of Securities of Foreign Governments and Political Subdivisions18-12B4
Reports18-KAnnual Reports by Foreign Governments and Political Subdivisions18-K6742,089
Reports19b-4Proposed Rule Changes by SROs19B-4101
Reports19b-4(e)Information Required of SROs Listing and Trading in New Derivative Securities Products19B-4E26,237
Reports20-FAnnual Reports by Foreign Issuers20-F15,0443,356
Registrations20-FRegistrations of Securities of Foreign Issuers20FR12B153153
Registrations20-FRegistrations of Securities of Foreign Issuers20FR12G374589
Registrations24f-1Notices of Elections to Register Securities24F-16
Registrations24f-2Annual Notices of Securities Sold by Investment Companies24F-2EL292
Registrations24f-2Annual Notices of Securities Sold by Investment Companies24F-2NT171,8853,144
Registrations24f-2Annual Notices of Securities Sold by Investment Companies24F-2TM603
Reports25Notices by Issuers to Voluntarily Withdraw a Class of Securities from Listing and/or Registration on a National Exchange253,90739
Reports25Notices by National Exchanges of the Removal from Listing and/or Registration of Matured, Redeemed or Retired Securities25-NSE9,809231
Reports26Notices of the Admission to Trading of a Substituted or Additional Class of Securities262
ReportsSEA §12(g) / 13(a)Applications for Exemptions and from Filing Certain Reports34-12H7
Reports20(e)Statements Concerning Proposed Transactions35-APP62
Reports24Certificates Concerning Terms and Conditions of Transactions35-CERT5,13998
RegistrationsTIAApplications to Exempt any Person, Registration Statement, Indenture Security or Transaction (or any Class or Classes of such) from One or More Provisions of the Trust Indenture Act39-304D91
RegistrationsTIAApplications Regarding a Conflict of Interest under the Trust Indenture Act39-310B2
RegistrationsICAApplications for Exemption Orders by Employees’ Investment Companies40-6B48163
RegistrationsICA §6(c)Applications for Exemptions and Other Relief40-6C433529
Reports8b-25(a)Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports40-8B25103
RegistrationsO-2Applications for Deregistration Orders by Certain Investment Companies40-8F-21726
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Abandonments of Registration40-8F-A12465
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Business Development Companies40-8F-B41
RegistrationsICAInvestment Company Registrations Withdrawn by SEC Order40-8FC31
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Liquidations40-8F-L455180
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Mergers40-8F-M542174
Reports17f-1Certificates of Accounting of Securities in the Custody of Investment Companies40-17F147317
Reports17f-2Certificates of Accounting of Securities in the Custody of Investment Companies40-17F217,779130
Reports17g-1(g)Fidelity Bonds of Investment Companies40-17G24,8942,126
Reports17g-1Claims and Settlements re: Investment Companies40-17GCS16
Reports24b-2Sales Literature of Investment Companies40-24B22,85886
ReportsICA §33Stockholder Derivative Actions re: Investment Companies40-331,0368
RegistrationsIAA §202Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act40-202A3231
RegistrationsIAA §203Exemptions from the Prohibition on Registration40-203A22
RegistrationsIAA §205Applications for Performance Fees Exemption40-205E32
RegistrationsIAA §206(3)Applications for Exemptions40-206A4636
RegistrationsICAApplications for Exemption Orders and Other Relief40-APP1,7842,744
Registrations40-FRegistration Statements and Annual Reports by Canadian Issuers40-F2,526477
Registrations40-FRegistrations of Securities of Canadian Issuers40FR12B11860
Registrations40-FRegistrations of Securities of Canadian Issuers40FR12G278
RegistrationsICAApplications for Exemption Orders from the SEC Office of Insurance Products (OIP)40-OIP79149
ReportsICAReports Required from Certain Applicants for Exemptions from the Investment Company Act40-RPT2
Ownership144Notices of Proposed Sales of Securities1447,022275
Registrations1-AOffering Statements– Information Previously Omitted— Reg. A/A+253G139
Registrations1-AOffering Statements– Information Substantively Changed or Added— Reg. A/A+253G21,135
Registrations1-AOffering Statements– Information Previously Omitted or Substantively Changed— Reg. A/A+253G34
Registrations1-AOffering Statements– Information Previously Omitted or Substantively Changed– Not Timely Filed— Reg. A/A+253G41
RegistrationsT-1Statements of Eligibility by Corporations Designated to Act as Trustees305B21,79220
Registrations424(a)Prospectuses424A1,545
Registrations424(b)(1)Prospectuses424B15,969
Registrations424(b)(2)Prospectuses424B2216,365
Registrations424(b)(3)Prospectuses424B3155,787
Registrations424(b)(4)Prospectuses424B49,698
Registrations424(b)(5)Prospectuses424B556,446
Registrations424(b)(7)Prospectuses424B73,593
Registrations424(b)(8)Prospectuses424B8920
Registrations424(h)Preliminary Prospectuses424H65054
Reports425Prospectuses and Communications– Business Combinations42564,980
Registrations485(a)Post-Effective Amendments of Form N-1 and N-1A Registrations485A24E88
Registrations485(a)Post-Effective Amendments of Form N-1 and N-1A Registrations485A24F25
Registrations485(a)Post-Effective Amendments of Form N-1 and N-1A Registrations485APOS39,054
Registrations485(b)Post-Effective Amendments of Form N-1 and N-1A Registrations485B24E1,669
Registrations485(b)Post-Effective Amendments of Form N-1 and N-1A Registrations485B24F64
Registrations485(b)Post-Effective Amendments of Form N-1 and N-1A Registrations485BPOS177,014
Registrations485(b)Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates485BXT20,621
Registrations485(b)Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates485BXTF1
Registrations486(a)Post-Effective Amendments of Form N-2 Registrations486A24E1
Registrations486(a)Post-Effective Amendments of Form N-2 Registrations486APOS197
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations486B24E2
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations486BPOS725
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates486BXT33
Registrations487Pre-Effective Pricing Amendments of Registration Statements48718,371
Registrations497Definitive Materials497350,124
Reports497 & 482(c)Advertising by Certain Investment Companies497AD3,535
Registrations497(h)(2)Prospectuses of Certain Closed-End Investment Companies497H283
Registrations497(j)Certifications of No Change in Definitive Materials497J114,600
Registrations497(k)Summary Prospectuses of Certain Open-End Investment Companies497K188,853
Reports497(k)(1)(i)Profiles of Certain Open-End Investment Companies497K1317
Reports497(k)(1)(ii)Profiles of Certain Open-End Investment Companies497K2164
Reports497(k)(1)(iii)(A)Profiles of Certain Open-End Investment Companies497K3A52
Reports497(k)(1)(iii)(B)Profiles of Certain Open-End Investment Companies497K3B2,294
ReportsSEA §15GAsset-Backed Securitizer ReportsABS-15G9,7042,938
RegistrationsAsset-Backed Securities Offerings’ [XML] ExhibitsABS-EE5,452112
ReportsReports by the Asian Development BankADB18
RegistrationsAdditional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is PrescribedADN-MTL50
RegistrationsIAARegistrations of Investment AdvisorsADV1
RegistrationsCancellations of Registered Advisers by SEC OrderADVCO53
ReportsIAACertificates of Accounting of Client Securities and Funds in Possession or Custody of an Investment AdvisorADV-E2,451
ReportsIAAApplications for Continuing Hardship ExemptionADV-H-C8
ReportsIAAApplications for Temporary Hardship ExemptionADV-H-T70
RegistrationsIAAAppointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment AdvisorsADV-NR662
RegistrationsIAANotices of Withdrawal from Registration as an Investment AdvisorADVW9
ReportsReports by the African Development BankAFDB91
ReportsAnnual Reports by International Development BanksANNLRPT1031
RegistrationsICAApplications for Exemption Orders– ’40-APP’ SEC NoticesAPP NTC860
RegistrationsICAApplications for Exemption Orders– ’40-APP’ SEC OrdersAPP ORDR826
RegistrationsAPP WDWithdrawals of Applications for Exemption and Other Relief from Federal Securities LawsAPP WD45412
RegistrationsICAApplications for Exemption Orders– ’40-APP’ Withdrawals GrantedAPP WDG59
ReportsAnnual Reports to Security HoldersARS36,69037
ReportsATS-NAlternative Trading Systems (NMS Stock)– Initial InformationATS-N2
ReportsATS-NAlternative Trading Systems (NMS Stock)– Correcting AmendmentsATS-N/CA8
ReportsATS-NAlternative Trading Systems (NMS Stock)– Material AmendmentsATS-N/MA14
ReportsATS-NAlternative Trading Systems (NMS Stock)– Updating AmendmentsATS-N/UA55
ReportsATS-NAlternative Trading Systems (NMS Stock)– Notices of CessationATS-N-C5
RegistrationsAmendment Withdrawal RequestsAW3,573
RegistrationsAmendment Withdrawal Requests– Withdrawal DuplicateAW WD101
RegistrationsCancellations of Registered Brokers and Dealers by SEC OrderBDCO430
ReportsBW – 2Quarterly Reports by the International Bank for Reconstruction and Development (World Bank)BW-227
ReportsBW – 3Distribution of Primary Obligations Reports by the International Bank for Reconstruction and Development (World Bank)BW-393
RegistrationsCCrowdfunding Offering StatementsC2,1122,082
RegistrationsC/A-WCrowdfunding Offering Statement Amendment WithdrawalsC/A-W8
RegistrationsC-WCrowdfunding Offering Statement WithdrawalsC-W174
ReportsC-ARCrowdfunding Annual ReportsC-AR59735
ReportsC-AR-WCrowdfunding Annual Report WithdrawalsC-AR-W5
ReportsC-TRCrowdfunding Terminations of ReportingC-TR60
ReportsC-TR-WCrowdfunding Termination of Reporting WithdrawalsC-TR-W1
RegistrationsC-UCrowdfunding Progress UpdatesC-U907
RegistrationsC-U-WCrowdfunding Progress Update WithdrawalsC-U-W4
ReportsCA-1 FilingsCA-12
OwnershipCBTender-Offer, Exchange-Offer and Rights-Offering Notices re: Foreign IssuersCB1,5921,461
RegistrationsCERTCertifications by Exchanges Approving Securities for ListingCERT1,612
RegistrationsCERTCertifications by the American Stock Exchange Approving Securities for ListingCERTAMX1,585
RegistrationsCERTCertifications by the New York Stock Exchange Archipelago Approving Securities for ListingCERTARCA362
RegistrationsCERTCertifications by the Bats Global Markets Approving Securities for ListingCERTBATS75
RegistrationsCERTCertifications by the Boston Stock Exchange Approving Securities for ListingCERTBSE13
RegistrationsCERTCertifications by the Chicago Board Options Exchange Approving Securities for ListingCERTCBO73
RegistrationsCERTCertifications by the Chicago Stock Exchange Approving Securities for ListingCERTCSE2
RegistrationsCERTCertifications by the NASDAQ Stock Market Approving Securities for ListingCERTNAS2,776
RegistrationsCERTCertifications by the New York Stock Exchange Approving Securities for ListingCERTNYS5,655
RegistrationsCERTCertifications by the Pacific Coast Stock Exchange Approving Securities for ListingCERTPAC542
RegistrationsCERTCertifications by the Philadelphia Stock Exchange Approving Securities for ListingCERTPBS3
RegistrationsFunding PortalApplications for Registration as a Crowdfunding PortalCFPORTAL61216
RegistrationsFunding PortalApplications for Withdrawal from Registration as a Crowdfunding PortalCFPORTAL-W7
LettersComment-Response and Other Letters to the SEC [ a.k.a. COVER]CORRESP156,412
OrdersSEC Confidential Treatment OrdersCT ORDER15,655
RegistrationsDNotices of Exempt Offerings of SecuritiesD232,858159,302
Proxies13e-3Definitive Proxy Statements for Going-Private TransactionsDEF13E37787
Proxies14ADefinitive Proxy StatementsDEF 14A161,139
Proxies14CDefinitive Proxy Information StatementsDEF 14C11,745
Proxies14AAdditional Definitive Proxy Soliciting MaterialsDEFA14A79,852
Proxies14CAdditional Definitive Proxy Information StatementsDEFA14C345
Proxies14ADefinitive Proxy Statements for Contested SolicitationsDEFC14A1,846
Proxies14CDefinitive Proxy Information Statements for Contested SolicitationsDEFC14C25
Proxies14ADefinitive Proxy Statements for Mergers and AcquisitionsDEFM14A5,256
Proxies14CDefinitive Proxy Information Statements for Mergers and AcquisitionsDEFM14C421
Proxies14ADefinitive Non-Management Proxy StatementsDEFN14A301
RegistrationsDefinitive Offering Circulars— Reg. ADEF-OC2
Proxies14ARevised Definitive Proxy Soliciting MaterialsDEFR14A5,276
Proxies14CRevised Definitive Proxy Information StatementsDEFR14C401
Proxies14ADefinitive Proxy Statements for Special MeetingsDEFS14A3,996
Proxies14CDefinitive Proxy Information Statements for Special MeetingsDEFS14C88
RegistrationsRegistration Effectiveness-Delaying AmendmentsDEL AM1,053
Proxies14AAdditional Definitive Non-Management Proxy Soliciting MaterialsDFAN14A11,624
Proxies14ARevised Definitive Non-Management Proxy StatementsDFRN14A309
Registrations1-ADraft Offering Statements— Reg. A/A+DOS129146
LettersComment-Response and Draft-Offering-Statement Letters to the SECDOSLTR112
RegistrationsDRSDraft Registration Statements by Emerging Growth Companies and Foreign IssuersDRS2,0472,710
LettersComment-Response and Draft-Registration-Statement Letters to the SECDRSLTR2,184
ReportsDistribution of Primary Obligations Reports by International Development BanksDSTRBRPT41619
ReportsReports by the European Bank for Reconstruction and DevelopmentEBRD161
RegistrationsNotices of EffectivenessEFFECT50,052
RegistrationsF-1Registration Statements by Foreign IssuersF-11,3183,733
Registrations462(b)Registration Statements to Add Securities to a Prior Form F-1 RegistrationF-1MEF144
RegistrationsF-2Registration Statements by Foreign IssuersF-21636
RegistrationsF-2Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-2D1
RegistrationsF-3Registration Statements by Foreign Issuers for Securities Offered Pursuant to TransactionsF-31,3431,207
RegistrationsF-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign IssuersF-3ASR545
RegistrationsF-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-3D55
RegistrationsPost-Effective Amendments of F-3D RegistrationsF-3DPOS28
Registrations462(b)Registration Statements to Add Securities to a Prior Form F-3 RegistrationF-3MEF29
RegistrationsF-4Registration Statements by Foreign Issuers for Securities Issued in Business-Combination TransactionsF-47161,345
Registrations462(b)Registration Statements to Add Securities to a Prior Form F-4 RegistrationF-4MEF8
RegistrationsPost-Effective Amendments of Form F-4 RegistrationsF-4 POS21
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts– Not Effective ImmediatelyF-61,678154
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts– Effective ImmediatelyF-6EF6,135
RegistrationsPost-Effective Amendments of F-6EF RegistrationsF-6 POS2,224
RegistrationsF-7Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of RightsF-74210
RegistrationsPost-Effective Amendments of Form F-7 RegistrationsF-7 POS5
RegistrationsF-8Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers and Business CombinationsF-83251
RegistrationsPost-Effective Amendments of Form F-8 RegistrationsF-8 POS13
RegistrationsF-9Registration Statements by Canadian Issuers– Not Effective ImmediatelyF-910190
RegistrationsF-9Registration Statements by Canadian Issuers– Effective ImmediatelyF-9EF3
RegistrationsPost-Effective Amendments of F-9EF RegistrationsF-9 POS5
RegistrationsF-10Registration Statements by Canadian Issuers– Not Effective ImmediatelyF-10720790
RegistrationsF-10Registration Statements by Canadian Issuers– Effective ImmediatelyF-10EF7
RegistrationsPost-Effective Amendments of F-10EF RegistrationsF-10POS56
RegistrationsF-80Registrations of Securities of Canadian Issuers for Securities to be Issued in Exchange Offers and Business CombinationsF-802622
RegistrationsPost-Effective Amendments of Form F-80 RegistrationsF-80POS19
RegistrationsF-NAppointments of Agents for Service of Process by Foreign Financial EntitiesF-N35323
ReportsAnnual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and DealersFOCUSN29,1391,060
Registrations163 / 433Free-Writing ProspectusesFWP133,629
RegistrationsF-XAppointments of Agents for Service of Process by Foreign Non-Financial EntitiesF-X2,522273
ReportsAnnual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405633
ReportsAnnual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405N501
RegistrationsNotices of Status as a Government Securities Broker or Dealer by Financial InstitutionsG-FIN22252
RegistrationsNotices of Withdrawal as a Government Securities Broker or Dealer by Financial InstitutionsG-FINW16
ReportsReports by the Inter-American Development BankIADB13
RegistrationsIDApplications for EDGAR Access– New Central Index Key (CIK)ID-NEWCIK1
ReportsReports by the International Finance CorporationIFC6
ReportsSEA §13(r)Notices of Disclosures in Quarterly and Annual Reports— ITRASHRA’12IRANNOTICE2,924
RegistrationsMAApplications for Municipal Advisor RegistrationMA8611,293
RegistrationsMAAnnual Updates of a Municipal Advisor’s RegistrationMA-A1,592
RegistrationsMA-IInformation Regarding Natural Persons Who Engage in Municipal Advisory ActivitiesMA-I7,5827,586
RegistrationsMA-WNotices of Withdrawal from Registration as a Municipal AdvisorMA-W298
RegistrationsRegistrations of Municipal Securities DealersMSD44421
RegistrationsCancellations of Registered Municipal Securities Dealers by SEC OrderMSDCO22
Registrations15Bc3-1Notices of Withdrawal from Registration as a Municipal Securities DealerMSDW81
RegistrationsN-1Registration Statements by Open-End Investment CompaniesN-12189
RegistrationsN-1ARegistration Statements by Open-End Investment CompaniesN-1A1,8482,731
RegistrationsN-1ARegistration Statements by Open-End Investment CompaniesN-1A EL361466
RegistrationsN-2Registration Statements by Closed-End Investment CompaniesN-23,5805,491
Registrations462(b)Registration Statements to Add Securities to a Prior Form N-2 RegistrationN-2MEF235
RegistrationsN-3Registration Statements for Separate Accounts– Investment CompaniesN-34019
RegistrationsN-3Registration Statements for Separate Accounts– Investment CompaniesN-3 EL66
RegistrationsN-4Registration Statements for Separate Accounts– Unit Investment TrustsN-42,2131,948
RegistrationsN-4Registration Statements for Separate Accounts– Unit Investment TrustsN-4 EL151141
RegistrationsN-5Registration Statements by Small-Business Investment CompaniesN-5910
RegistrationsN-6Registration Statements for Separate Accounts– Unit Investment TrustsN-6659473
ReportsN-6FNotices of Intentions to Elect Business-Development-Company StatusN-6F13762
RegistrationsN-8ANotices of RegistrationsN-8A4,132599
RegistrationsN-8B-2Registration Statements by Unit Investment TrustsN-8B-2182172
RegistrationsN-8B-4Registration Statements by Face-Amount Certificate CompaniesN-8B-43
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment CompaniesN-8F2,9171,338
RegistrationsICAApplications for Deregistration Orders– ‘N-8F’ SEC NoticesN-8F NTC1,537
RegistrationsICAApplications for Deregistration Orders– ‘N-8F’ SEC OrdersN-8F ORDR1,692
RegistrationsN-14Registration Statements by Open-End Investment Companies– Business CombinationsN-143,2872,185
RegistrationsN-14Registration Statements by Closed-End Investment Companies– Business CombinationsN-14 8C237280
RegistrationsN-14Registration Statements by Open-End Investment Companies with Automatic Effectiveness– Business CombinationsN-14AE891185
RegistrationsN-14Registration Statements by Open-End Investment Companies– Business CombinationsN14AE2423058
RegistrationsN-14Registration Statements by Open-End Investment Companies– Business CombinationsN14EL2415889
Registrations462(b)Registration Statements to Add Securities to a Prior Form N-14 RegistrationN-14MEF4
Reports18f-1Notices of ElectionsN-18F11,25031
OwnershipN-23C-1Reports by Closed-End Investment Companies of Purchases of their own SecuritiesN-23C-192016
Ownership23c-2(b)Notices by Closed-End Investment Companies of Intentions to Call or Redeem their own SecuritiesN-23C-21,55251
Ownership23c-3(b) onlyNotices of Periodic Repurchase OffersN-23C3A1,87125
Ownership23c-3(c) onlyNotices of Periodic Repurchase OffersN-23C3B3993
Ownership23c-3(b) & (c)Notices of Periodic Repurchase OffersN-23C3C4847
ReportsN-27D-1Accountings for Segregated Trust AccountsN-27D-112
Reports30b-2Periodic and Interim Reports Mailed to Shareholders of Investment CompaniesN-30B-211,027
Reports30d-1Annual and Semi-Annual Reports Mailed to Shareholders of Investment CompaniesN-30D71,0681,057
ReportsN-54ANotices of Elections by Business Development CompaniesN-54A2708
ReportsN-54CNotices of Withdrawal from Registration by Business Development CompaniesN-54C1824
ReportsN-CENAnnual Reports by Investment CompaniesN-CEN3,860714
ReportsN-CENAnnual Reports by Investment Companies (Late Filings)NT N-CEN104
ReportsN-CRCurrent Reports of Money-Market Funds’ Material EventsN-CR556
ReportsN-CSRCertified Annual Shareholder Reports by Investment CompaniesN-CSR58,4252,902
ReportsN-CSRCertified Semi-Annual Shareholder Reports by Investment CompaniesN-CSRS51,322911
ReportsN-MFPMonthly Holdings Schedules of Money-Market FundsN-MFP41,4142,243
ReportsN-MFPMonthly Holdings Schedules of Money-Market Funds (Late Filings)NT N-MFP238
ReportsN-MFPMonthly Holdings Schedules of Money-Market FundsN-MFP13,040553
ReportsN-MFPMonthly Holdings Schedules of Money-Market Funds (Late Filings)NT N-MFP135
ReportsN-MFPMonthly Holdings Schedules of Money-Market FundsN-MFP216,120866
ReportsN-MFPMonthly Holdings Schedules of Money-Market Funds (Late Filings)NT N-MFP2224
Letters14a-8SEC No-Action Letters [ a.k.a. 14A-8]NO ACT9,085
ReportsN-PORTQuarterly Holdings Schedules of Investment Companies [ now NPORT-EX]NPORT-EX7,2108
ReportsN-PORTQuarterly Holdings Schedules of Investment Companies (Late Filings) [ now NPORT-EX]NT NPORTEX20
ReportsN-PORTMonthly Investments Reports by Investment CompaniesNPORT-P1,49220
ProxiesN-PXProxy Voting Records– Annual Reports by Investment CompaniesN-PX48,7681,807
ReportsN-QQuarterly Holdings Schedules of Investment CompaniesN-Q94,3731,005
RegistrationsNRSROAnnual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO-CE4225
RegistrationsNRSROUpdates of Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-UPD138
ReportsN-SARSemi-Annual Reports by Investment CompaniesNSAR-A73,4064,004
ReportsN-SARSemi-Annual-Transition Reports by Investment CompaniesNSAR-AT20216
ReportsN-SARAnnual Reports by Investment CompaniesNSAR-B73,5426,357
ReportsN-SARAnnual-Transition Reports by Investment CompaniesNSAR-BT68954
ReportsN-SARAnnual Reports by Unit Investment TrustsNSAR-U16,570351
Reports12b-25Notices of Late Filings of Form 10-DNT 10-D91
Reports12b-25Notices of Late Filings of Form 10-D (Late Notices)NTN 10D5
Reports12b-25Notices of Late Filings of Form 10-KNT 10-K42,375665
Reports12b-25Notices of Late Filings of Form 10-K (Late Notices)NTN 10K1,580
Reports12b-25Notices of Late Filings of Form 10-QNT 10-Q69,851587
Reports12b-25Notices of Late Filings of Form 10-Q (Late Notices)NTN 10Q2,302
Reports12b-25Notices of Late Filings of Form 11-KNT 11-K1,64816
Reports12b-25Notices of Late Filings of Form 11-K (Late Notices)NTN 11K18
Reports12b-25Notices of Late Filings of ‘SP 15D2’ Special Financial ReportsNT 15D287
Reports12b-25Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices)NTN15D23
Reports12b-25Notices of Late Filings of Form 20-FNT 20-F1,55126
Reports12b-25Notices of Late Filings of Form 20-F (Late Notices)NTN 20F37
Reports12b-25Notices of Late Filings of Form N-CENNT-NCEN521
Reports12b-25Notices of Late Filings of Form N-CEN (Late Notices)NTFNCEN11
Reports12b-25Notices of Late Filings of Form N-CSRNT-NCSR33723
Reports12b-25Notices of Late Filings of Form N-CSR (Late Notices)NTFNCSR75
Reports12b-25Notices of Late Filings of Form N-SARNT-NSAR2,590116
Reports12b-25Notices of Late Filings of Form N-SAR (Late Notices)NTFNSAR190
RegistrationsICAApplications for Exemption Orders– ’40-OIP’ SEC NoticesOIP NTC64
RegistrationsICAApplications for Exemption Orders– ’40-OIP’ SEC OrdersOIP ORDR59
RegistrationsSA §8(c)Post-Effective Amendments of Certain Investment Company RegistrationsPOS 8C2,127
RegistrationsPost-Effective Amendments of Rule 462(b) Registration StatementsPOS462B218
RegistrationsPost-Effective Amendments of Rule 462(c) Registration StatementsPOS462C83
RegistrationsPost-Effective Amendments of RegistrationsPOS AM29,407
RegistrationsPUHCAPost-Effective Amendments of Form U-1 RegistrationsPOS AMC1,182
RegistrationsICAPost-Effective Amendments of Investment Company RegistrationsPOS AMI6,079
RegistrationsS-3ASR / F-3ASRPost-Effective Amendments of Automatic Shelf Registration StatementsPOSASR1,747
Registrations462(d)Post-Effective Amendments of Registration Statements to Add ExhibitsPOS EX3,779
Proxies13e-3Preliminary Proxy Statements for Going-Private TransactionsPRE13E3173290
Proxies14APreliminary Proxy StatementsPRE 14A36,729
Proxies14CPreliminary Proxy Information StatementsPRE 14C9,152
Proxies14AAdditional Preliminary Proxy Soliciting MaterialsPREA14A16
Proxies14CAdditional Preliminary Proxy Information StatementsPREA14C1
Proxies14APreliminary Proxy Statements for Contested SolicitationsPREC14A2,520
Proxies14CPreliminary Proxy Information Statements for Contested SolicitationsPREC14C63
Proxies14APreliminary Proxy Statements for Mergers and AcquisitionsPREM14A4,668
Proxies14CPreliminary Proxy Information Statements for Mergers and AcquisitionsPREM14C674
Proxies14APreliminary Non-Management Proxy StatementsPREN14A370
Proxies14ARevised Preliminary Proxy Soliciting MaterialsPRER14A10,815
Proxies14CRevised Preliminary Proxy Information StatementsPRER14C2,435
Proxies14APreliminary Proxy Statements for Special MeetingsPRES14A3,944
Proxies14CPreliminary Proxy Information Statements for Special MeetingsPRES14C129
Proxies14ARevised Preliminary Non-Management Proxy Soliciting Materials for Contested Solicitations and Other SituationsPRRN14A2,032
Proxies14a-6(g)Notices of Exempt Non-Management Proxy SolicitationsPX14A6G1,472
Proxies14a-6(n)Notices of Exempt Non-Management Proxy Solicitations– Preliminary Roll-Up CommunicationsPX14A6N40
ReportsQuarterly Reports by International Development BanksQRTLYRPT1232
RegistrationsNotices of Qualification— Reg. A/A+QUALIF793
RegistrationsDNotices of Exempt Offerings of SecuritiesREGDEX128,23142,440
RegistrationsInitial Undertakings to File Reports for Non-Resident Brokers, Dealers and Investment AdvisersREG-NR672
RegistrationsSEA §12(j)SEC Orders Revoking Securities Exchange Act RegistrationsREVOKED5,572
RegistrationsRegistration Withdrawal RequestsRW11,630
RegistrationsWithdrawals of Registration Withdrawal RequestsRW WD396
RegistrationsS-1Registration Statements (General Form)S-118,54049,930
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-1 RegistrationS-1MEF1,449
RegistrationsS-2Registration StatementsS-29781,457
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-2 RegistrationS-2MEF73
RegistrationsS-3Registration Statements for Securities Offered Pursuant to TransactionsS-334,58128,504
RegistrationsS-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned IssuersS-3ASR6,915
RegistrationsS-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansS-3D9365
RegistrationsPost-Effective Amendments of S-3D RegistrationsS-3DPOS642
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-3 RegistrationS-3MEF1,247
RegistrationsS-4Registrations of Securities Issued in Business-Combination TransactionsS-414,22519,162
RegistrationsS-4Registrations of Securities Issued in Business-Combination Transactions Forming Bank and Savings & Loan Holding CompaniesS-4EF7631
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-4 RegistrationS-4MEF149
RegistrationsPost-Effective Amendments of S-4EF RegistrationsS-4 POS296
RegistrationsS-6Registration Statements by Unit Investment TrustsS-619,9348,027
RegistrationsS-6Registration Statements by Unit Investment TrustsS-6EL241,398359
RegistrationsS-8Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit PlansS-881,45918
RegistrationsPost-Effective Amendments of Form S-8 RegistrationsS-8 POS32,412
RegistrationsS-11Registration Statements by Real Estate CompaniesS-111,0903,391
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-11 RegistrationS-11MEF82
RegistrationsS-20Registration Statements for Standardized OptionsS-2065
RegistrationsBRegistration Statements by Foreign Governments and Political SubdivisionsS-B318195
Registrations462(b)Registration Statements to Add Securities to a Prior Schedule B RegistrationS-BMEF13
RegistrationsSB-1Registration Statements by Small-Business IssuersSB-1151359
Registrations462(b)Registration Statements to Add Securities to a Prior Form SB-1 RegistrationSB-1MEF1
RegistrationsSB-2Registration Statements by Small-Business IssuersSB-27,81216,585
Registrations462(b)Registration Statements to Add Securities to a Prior Form SB-2 RegistrationSB-2MEF104
Ownership13DStatements of Acquisitions of Beneficial Ownership by Non-Passive InvestorsSC 13D56,154117,867
Ownership13E-1Tender-Offer Statements by IssuersSC 13E12313
Ownership13E-3Tender-Offer Statements by Issuers for Going-Private TransactionsSC 13E32,3908,005
Ownership13E-4 / TOTender-Offer Statements by IssuersSC 13E47341,250
Ownership13E-4FTender-Offer Statements by Canadian IssuersSC13E4F1726
Ownership13GStatements of Acquisitions of Beneficial Ownership by Passive InvestorsSC 13G193,797344,640
Ownership14D-1Tender-Offer Statements by Third PartiesSC 14D11,2715,205
Ownership14D-1FTender-Offer Statements by Canadian Third PartiesSC14D1F44147
Ownership14D-9Tender-Offer Solicitation/Recommendation StatementsSC 14D94,1799,191
Ownership14D-9CTender-Offer Communications by Issuers re: Third-Party OffersSC14D9C2,315
Ownership14D-9FTender-Offer Solicitation/Recommendation Statements by Canadian IssuersSC14D9F4040
Ownership14F-1Statements re: Changes in the Majority of DirectorsSC 14F12,217227
Proxies14NInformation from Certain Nominating ShareholdersSC 14N76
OwnershipTOTender-Offer Communications re: Issuer and Third-Party OffersSC TO-C5,227
OwnershipTOTender-Offer Statements by IssuersSC TO-I8,76814,502
OwnershipTOTender-Offer Statements by Third PartiesSC TO-T2,55111,891
Reports13p-1Specialized Disclosure Reports Relating to the Use of Conflict MineralsSD7,16924
RegistrationsSDRApplications for Registration as a Security-Based Swap Data RepositorySDR24
ReportsSEScanned Exhibits of Paper SubmissionsSE3,573
LettersSEC Staff Actions [ a.k.a. ORDER]SEC ACTION153
LettersSEC Staff Letters [ a.k.a. STAFFLETTER, 14A-8, REDACTEDEXHIBIT& SERIOUSDEFICIENCIES]SEC LETTER124
RegistrationsSF-1Registration Statements (General Form) by Issuers of Asset-Backed SecuritiesSF-1311
RegistrationsSF-3Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-3123192
RegistrationsSales LiteratureSL9
Reports15d-2Special Financial ReportsSP 15D2562
OrdersSEC Stop OrdersSTOP ORDER59
RegistrationsSA §11(a)Voluntary Supplemental Materials by Foreign IssuersSUPPL55,637
RegistrationsT-3Applications for Qualification of a Trust IndentureT-3620611
RegistrationsTA-1Applications for Registration as a Transfer AgentTA-13864,045
ReportsTA-2Annual Reports of Transfer Agents’ ActivitiesTA-28,269721
RegistrationsCancellations of Registered Transfer Agents by SEC OrderTACO128
RegistrationsTA-WNotices of Withdrawal from Registration as a Transfer AgentTA-W486
ReportsNotices of Reliance on Temporary Hardship ExemptionTH135
RegistrationsTesting-the-Waters Filings— Reg. A/A+TTW288
RegistrationsU-1Applications and DeclarationsU-19692,309
RegistrationsU-3A-2Statements by Utility Holding Companies Claiming ExemptionU-3A-2985163
RegistrationsU-3A3-1Twelve-Month Statements by Banks Claiming ExemptionU-3A3-121
RegistrationsU5ANotices of RegistrationsU5A404
RegistrationsU5BRegistration StatementsU5B3210
ReportsU5SAnnual Reports by Utility Holding CompaniesU5S24268
ReportsU-6B-2Certificates of Notices of Security Issues, Renewals and GuaranteesU-6B-21,2849
ReportsU-7DCertificates Concerning Leases of Utility FacilitiesU-7D3139
ReportsU-9C-3Quarterly Reports by Energy or Gas-Related CompaniesU-9C-363616
OwnershipU-12(I)-AOwnership Statements by Persons Employed or Retained by Utility Holding CompaniesU-12-IA291
OwnershipU-12(I)-BThree-Year Ownership Statements by Persons Employed or Retained by Utility Holding CompaniesU-12-IB1,5373
ReportsU-13-60Annual Reports by Mutual and Subsidiary Service CompaniesU-13-6036617
OwnershipU-13E-1Transaction Statements by Affiliate and Independent Service CompaniesU-13E-14
ReportsU-33-SAnnual Reports by Foreign Utility CompaniesU-33-S481
ReportsU-57Notices of Foreign Utility Company StatusU-57614237
RegistrationsS-6Initial Undertakings to File ReportsUNDER411
LettersComment and Other Letters from the SEC [ a.k.a. LETTER]UPLOAD154,982
RegistrationsWithdrawal Requests for Materials Previously Filed— Reg. A/A+WDL-REQ62
ReportsX-17A-5Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and DealersX-17A-583,8355,709
____________ Totals 11,839,9411,321,077
T This Filing/Form Type is no longer filed, is no longer made public or is now a different Type.
This Filing/Form Type pertains to multiple Forms, Schedules, Rules or Regulations of Acts’ Sections.


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