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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 Exchange1891,306
Registrations1-AOffering Statements— Reg. A/A+1-A1,0132,482
RegistrationsPost-Qualification Amendments of Form 1-A Offering Statements— Reg. A/A+1-A POS560
RegistrationsWithdrawals of Form 1-A Offering Statements— Reg. A/A+1-A-W13118
ReportsENotifications by Small Business Investment Companies and Business Development Companies1-E15278
RegistrationsESales Materials1-E AD2
Reports1-KAnnual Reports— Reg. A1-K25919
Reports1-SASemi-Annual Reports— Reg. A1-SA24417
Reports1-UCurrent Reports— Reg. A1-U99114
Reports1-ZExit Reports— Reg. A1-Z794
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 Securities3299,12616,973
Ownership4Statements of Changes in Beneficial Ownership of Securities43,409,079107,393
Ownership5Annual Statements of Changes in Beneficial Ownership of Securities5102,7263,972
RegistrationsICAApplications for Exemption Orders– ’40-6B’ SEC Notices6B NTC24
RegistrationsICAApplications for Exemption Orders– ’40-6B’ SEC Orders6B ORDR24
Reports6-KCurrent Reports by Foreign Issuers6-K388,9775,022
Registrations8-ARegistrations of Certain Classes of Securities8-A12B18,7354,383
Registrations8-ARegistrations of Certain Classes of Securities8A12BEF95
Registrations8-ARegistrations of Certain Classes of Securities8A12BT288
Registrations8-ARegistrations of Certain Classes of Securities8-A12G9,9312,350
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-K1,549,89473,295
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12B21421
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)10-12B7531,551
Registrations10Registrations of Securities (General Form)10-12G2,4824,307
Reports10-CReports by Issuers of Securities Quoted on NASDAQ10-C1,30525
Reports10-DDistribution Reports by Asset-Backed Issuers10-D60,1482,173
Reports10-KAnnual Reports10-K182,77640,707
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-Q569,28843,094
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-K39,903957
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-HR254,14923,985
Ownership13FQuarterly Notices by Money Managers13F-NT84,5861,692
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12B5,169105
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12G12,950399
Reports15Notices of Suspensions of Duty to File Reports15-15D15,769210
Registrations15FCertifications of Foreign Issuers’ Terminations of Registration of Classes of Securities15F-12B18113
Registrations15FCertifications of Foreign Issuers’ Terminations of Registration of Classes of Securities15F-12G22912
Reports15FNotices of Foreign Issuers’ Suspensions of Duty to File Reports15F-15D1243
Registrations18Registrations of Securities of Foreign Governments and Political Subdivisions18-12B4
Reports18-KAnnual Reports by Foreign Governments and Political Subdivisions18-K6642,054
Reports19b-4Proposed Rule Changes by SROs19B-4101
Reports19b-4(e)Information Required of SROs Listing and Trading in New Derivative Securities Products19B-4E26,129
Reports20-FAnnual Reports by Foreign Issuers20-F15,0013,350
Registrations20-FRegistrations of Securities of Foreign Issuers20FR12B151149
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-2NT170,9403,141
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 Exchange253,89139
Reports25Notices by National Exchanges of the Removal from Listing and/or Registration of Matured, Redeemed or Retired Securities25-NSE9,655230
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 Companies40-6B48161
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 Companies40-17F145517
Reports17f-2Certificates of Accounting of Securities in the Custody of Investment Companies40-17F217,572129
Reports17g-1(g)Fidelity Bonds of Investment Companies40-17G24,7062,114
Reports17g-1Claims and Settlements re: Investment Companies40-17GCS15
Reports24b-2Sales Literature of Investment Companies40-24B22,83186
ReportsICA §33Stockholder Derivative Actions re: Investment Companies40-331,0308
RegistrationsIAA §202Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act40-202A3230
RegistrationsIAA §203Exemptions from the Prohibition on Registration40-203A22
RegistrationsIAA §205Applications for Performance Fees Exemption40-205E32
RegistrationsIAA §206(3)Applications for Exemptions40-206A4436
RegistrationsICAApplications for Exemption Orders and Other Relief40-APP1,7762,717
Registrations40-FRegistration Statements and Annual Reports by Canadian Issuers40-F2,523475
Registrations40-FRegistrations of Securities of Canadian Issuers40FR12B11660
Registrations40-FRegistrations of Securities of Canadian Issuers40FR12G278
RegistrationsICAApplications for Exemption Orders from the SEC Office of Insurance Products (OIP)40-OIP79148
ReportsICAReports Required from Certain Applicants for Exemptions from the Investment Company Act40-RPT2
Ownership144Notices of Proposed Sales of Securities1446,994275
Registrations1-AOffering Statements– Information Previously Omitted— Reg. A/A+253G135
Registrations1-AOffering Statements– Information Substantively Changed or Added— Reg. A/A+253G21,024
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 Trustees305B21,77420
Registrations424(a)Prospectuses424A1,545
Registrations424(b)(1)Prospectuses424B15,963
Registrations424(b)(2)Prospectuses424B2209,513
Registrations424(b)(3)Prospectuses424B3154,813
Registrations424(b)(4)Prospectuses424B49,598
Registrations424(b)(5)Prospectuses424B555,966
Registrations424(b)(7)Prospectuses424B73,564
Registrations424(b)(8)Prospectuses424B8882
Registrations424(h)Preliminary Prospectuses424H61853
Reports425Prospectuses and Communications– Business Combinations42564,309
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 Registrations485APOS38,874
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 Registrations485BPOS175,899
Registrations485(b)Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates485BXT20,349
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 Registrations486APOS192
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations486B24E2
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations486BPOS709
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates486BXT26
Registrations487Pre-Effective Pricing Amendments of Registration Statements48718,208
Registrations497Definitive Materials497347,442
Reports497 & 482(c)Advertising by Certain Investment Companies497AD3,465
Registrations497(h)(2)Prospectuses of Certain Closed-End Investment Companies497H283
Registrations497(j)Certifications of No Change in Definitive Materials497J113,924
Registrations497(k)Summary Prospectuses of Certain Open-End Investment Companies497K185,700
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-15G9,3952,809
RegistrationsAsset-Backed Securities Offerings’ [XML] ExhibitsABS-EE4,745103
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-NR650
RegistrationsIAANotices of Withdrawal from Registration as an Investment AdvisorADVW9
ReportsReports by the African Development BankAFDB91
ReportsAnnual Reports by International Development BanksANNLRPT1001
RegistrationsICAApplications for Exemption Orders– ’40-APP’ SEC NoticesAPP NTC851
RegistrationsICAApplications for Exemption Orders– ’40-APP’ SEC OrdersAPP ORDR823
RegistrationsAPP WDWithdrawals of Applications for Exemption and Other Relief from Federal Securities LawsAPP WD44612
RegistrationsICAApplications for Exemption Orders– ’40-APP’ Withdrawals GrantedAPP WDG52
ReportsAnnual Reports to Security HoldersARS36,68437
ReportsATS-NAlternative Trading Systems (NMS Stock)– Initial InformationATS-N2
ReportsATS-NAlternative Trading Systems (NMS Stock)– Correcting AmendmentsATS-N/CA2
ReportsATS-NAlternative Trading Systems (NMS Stock)– Material AmendmentsATS-N/MA2
ReportsATS-NAlternative Trading Systems (NMS Stock)– Updating AmendmentsATS-N/UA13
ReportsATS-NAlternative Trading Systems (NMS Stock)– Notices of CessationATS-N-C5
RegistrationsAmendment Withdrawal RequestsAW3,548
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 StatementsC1,9221,913
RegistrationsC/A-WCrowdfunding Offering Statement Amendment WithdrawalsC/A-W8
RegistrationsC-WCrowdfunding Offering Statement WithdrawalsC-W155
ReportsC-ARCrowdfunding Annual ReportsC-AR58734
ReportsC-AR-WCrowdfunding Annual Report WithdrawalsC-AR-W4
ReportsC-TRCrowdfunding Terminations of ReportingC-TR55
ReportsC-TR-WCrowdfunding Termination of Reporting WithdrawalsC-TR-W1
RegistrationsC-UCrowdfunding Progress UpdatesC-U851
RegistrationsC-U-WCrowdfunding Progress Update WithdrawalsC-U-W4
ReportsCA-1 FilingsCA-12
OwnershipCBTender-Offer, Exchange-Offer and Rights-Offering Notices re: Foreign IssuersCB1,5841,444
RegistrationsCERTCertifications by Exchanges Approving Securities for ListingCERT1,426
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 ListingCERTBATS71
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 PortalCFPORTAL60201
RegistrationsFunding PortalApplications for Withdrawal from Registration as a Crowdfunding PortalCFPORTAL-W7
LettersComment-Response and Other Letters to the SEC [ a.k.a. COVER]CORRESP154,968
OrdersSEC Confidential Treatment OrdersCT ORDER15,585
RegistrationsDNotices of Exempt Offerings of SecuritiesD227,734156,175
Proxies13e-3Definitive Proxy Statements for Going-Private TransactionsDEF13E37787
Proxies14ADefinitive Proxy StatementsDEF 14A160,707
Proxies14CDefinitive Proxy Information StatementsDEF 14C11,661
Proxies14AAdditional Definitive Proxy Soliciting MaterialsDEFA14A79,292
Proxies14CAdditional Definitive Proxy Information StatementsDEFA14C343
Proxies14ADefinitive Proxy Statements for Contested SolicitationsDEFC14A1,824
Proxies14CDefinitive Proxy Information Statements for Contested SolicitationsDEFC14C25
Proxies14ADefinitive Proxy Statements for Mergers and AcquisitionsDEFM14A5,207
Proxies14CDefinitive Proxy Information Statements for Mergers and AcquisitionsDEFM14C419
Proxies14ADefinitive Non-Management Proxy StatementsDEFN14A300
RegistrationsDefinitive Offering Circulars— Reg. ADEF-OC2
Proxies14ARevised Definitive Proxy Soliciting MaterialsDEFR14A5,252
Proxies14CRevised Definitive Proxy Information StatementsDEFR14C398
Proxies14ADefinitive Proxy Statements for Special MeetingsDEFS14A3,996
Proxies14CDefinitive Proxy Information Statements for Special MeetingsDEFS14C88
RegistrationsRegistration Effectiveness-Delaying AmendmentsDEL AM1,043
Proxies14AAdditional Definitive Non-Management Proxy Soliciting MaterialsDFAN14A11,561
Proxies14ARevised Definitive Non-Management Proxy StatementsDFRN14A306
Registrations1-ADraft Offering Statements— Reg. A/A+DOS122135
LettersComment-Response and Draft-Offering-Statement Letters to the SECDOSLTR111
RegistrationsDRSDraft Registration Statements by Emerging Growth Companies and Foreign IssuersDRS1,9662,601
LettersComment-Response and Draft-Registration-Statement Letters to the SECDRSLTR2,124
ReportsDistribution of Primary Obligations Reports by International Development BanksDSTRBRPT39419
ReportsReports by the European Bank for Reconstruction and DevelopmentEBRD161
RegistrationsNotices of EffectivenessEFFECT49,510
RegistrationsF-1Registration Statements by Foreign IssuersF-11,2833,667
Registrations462(b)Registration Statements to Add Securities to a Prior Form F-1 RegistrationF-1MEF142
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-31,3211,199
RegistrationsF-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign IssuersF-3ASR538
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-47091,337
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-61,658152
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts– Effective ImmediatelyF-6EF6,065
RegistrationsPost-Effective Amendments of F-6EF RegistrationsF-6 POS2,196
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-10711781
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-N35223
ReportsAnnual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and DealersFOCUSN29,0871,059
Registrations163 / 433Free-Writing ProspectusesFWP130,698
RegistrationsF-XAppointments of Agents for Service of Process by Foreign Non-Financial EntitiesF-X2,503273
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-FIN22251
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’12IRANNOTICE2,881
RegistrationsMAApplications for Municipal Advisor RegistrationMA8541,243
RegistrationsMAAnnual Updates of a Municipal Advisor’s RegistrationMA-A1,575
RegistrationsMA-IInformation Regarding Natural Persons Who Engage in Municipal Advisory ActivitiesMA-I7,4337,337
RegistrationsMA-WNotices of Withdrawal from Registration as a Municipal AdvisorMA-W285
RegistrationsRegistrations of Municipal Securities DealersMSD44420
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-1A1,8432,719
RegistrationsN-1ARegistration Statements by Open-End Investment CompaniesN-1A EL361466
RegistrationsN-2Registration Statements by Closed-End Investment CompaniesN-23,5555,455
Registrations462(b)Registration Statements to Add Securities to a Prior Form N-2 RegistrationN-2MEF234
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-42,1891,946
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-6644459
ReportsN-6FNotices of Intentions to Elect Business-Development-Company StatusN-6F13462
RegistrationsN-8ANotices of RegistrationsN-8A4,114598
RegistrationsN-8B-2Registration Statements by Unit Investment TrustsN-8B-2182172
RegistrationsN-8B-4Registration Statements by Face-Amount Certificate CompaniesN-8B-41
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment CompaniesN-8F2,8501,321
RegistrationsICAApplications for Deregistration Orders– ‘N-8F’ SEC NoticesN-8F NTC1,508
RegistrationsICAApplications for Deregistration Orders– ‘N-8F’ SEC OrdersN-8F ORDR1,651
RegistrationsN-14Registration Statements by Open-End Investment Companies– Business CombinationsN-143,2672,169
RegistrationsN-14Registration Statements by Closed-End Investment Companies– Business CombinationsN-14 8C234277
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-18F11,24731
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-21,54151
Ownership23c-3(b) onlyNotices of Periodic Repurchase OffersN-23C3A1,83125
Ownership23c-3(c) onlyNotices of Periodic Repurchase OffersN-23C3B3983
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-210,969
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-54C1814
ReportsN-CENAnnual Reports by Investment CompaniesN-CEN3,500690
ReportsN-CENAnnual Reports by Investment Companies (Late Filings)NT N-CEN102
ReportsN-CRCurrent Reports of Money-Market Funds’ Material EventsN-CR526
ReportsN-CSRCertified Annual Shareholder Reports by Investment CompaniesN-CSR58,0212,893
ReportsN-CSRCertified Semi-Annual Shareholder Reports by Investment CompaniesN-CSRS51,096911
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-MFP215,304842
ReportsN-MFPMonthly Holdings Schedules of Money-Market Funds (Late Filings)NT N-MFP2205
Letters14a-8SEC No-Action Letters [ a.k.a. 14A-8]NO ACT9,085
ReportsN-PORTQuarterly Holdings Schedules of Investment Companies [ now NPORT-EX]NPORT-EX5,0526
ReportsN-PORTQuarterly Holdings Schedules of Investment Companies (Late Filings) [ now NPORT-EX]NT NPORTEX15
ProxiesN-PXProxy Voting Records– Annual Reports by Investment CompaniesN-PX48,7631,806
ReportsN-QQuarterly Holdings Schedules of Investment CompaniesN-Q94,1251,003
RegistrationsNRSROAnnual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO-CE4225
RegistrationsNRSROUpdates of Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-UPD133
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-K42,303664
Reports12b-25Notices of Late Filings of Form 10-K (Late Notices)NTN 10K1,580
Reports12b-25Notices of Late Filings of Form 10-QNT 10-Q69,437584
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-F1,54726
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)NTFNCEN10
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 NTC63
RegistrationsICAApplications for Exemption Orders– ’40-OIP’ SEC OrdersOIP ORDR58
RegistrationsSA §8(c)Post-Effective Amendments of Certain Investment Company RegistrationsPOS 8C2,121
RegistrationsPost-Effective Amendments of Rule 462(b) Registration StatementsPOS462B218
RegistrationsPost-Effective Amendments of Rule 462(c) Registration StatementsPOS462C83
RegistrationsPost-Effective Amendments of RegistrationsPOS AM29,307
RegistrationsPUHCAPost-Effective Amendments of Form U-1 RegistrationsPOS AMC1,182
RegistrationsICAPost-Effective Amendments of Investment Company RegistrationsPOS AMI6,060
RegistrationsS-3ASR / F-3ASRPost-Effective Amendments of Automatic Shelf Registration StatementsPOSASR1,730
Registrations462(d)Post-Effective Amendments of Registration Statements to Add ExhibitsPOS EX3,713
Proxies13e-3Preliminary Proxy Statements for Going-Private TransactionsPRE13E3173290
Proxies14APreliminary Proxy StatementsPRE 14A36,597
Proxies14CPreliminary Proxy Information StatementsPRE 14C9,090
Proxies14AAdditional Preliminary Proxy Soliciting MaterialsPREA14A16
Proxies14CAdditional Preliminary Proxy Information StatementsPREA14C1
Proxies14APreliminary Proxy Statements for Contested SolicitationsPREC14A2,493
Proxies14CPreliminary Proxy Information Statements for Contested SolicitationsPREC14C63
Proxies14APreliminary Proxy Statements for Mergers and AcquisitionsPREM14A4,645
Proxies14CPreliminary Proxy Information Statements for Mergers and AcquisitionsPREM14C671
Proxies14APreliminary Non-Management Proxy StatementsPREN14A369
Proxies14ARevised Preliminary Proxy Soliciting MaterialsPRER14A10,776
Proxies14CRevised Preliminary Proxy Information StatementsPRER14C2,429
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 SituationsPRRN14A2,016
Proxies14a-6(g)Notices of Exempt Non-Management Proxy SolicitationsPX14A6G1,466
Proxies14a-6(n)Notices of Exempt Non-Management Proxy Solicitations– Preliminary Roll-Up CommunicationsPX14A6N40
ReportsQuarterly Reports by International Development BanksQRTLYRPT1162
RegistrationsNotices of Qualification— Reg. A/A+QUALIF742
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 RegistrationsREVOKED5,534
RegistrationsRegistration Withdrawal RequestsRW11,582
RegistrationsWithdrawals of Registration Withdrawal RequestsRW WD394
RegistrationsS-1Registration Statements (General Form)S-118,42049,667
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-1 RegistrationS-1MEF1,426
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-334,47128,461
RegistrationsS-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned IssuersS-3ASR6,830
RegistrationsS-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansS-3D9345
RegistrationsPost-Effective Amendments of S-3D RegistrationsS-3DPOS640
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-3 RegistrationS-3MEF1,246
RegistrationsS-4Registrations of Securities Issued in Business-Combination TransactionsS-414,17519,101
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-4MEF148
RegistrationsPost-Effective Amendments of S-4EF RegistrationsS-4 POS296
RegistrationsS-6Registration Statements by Unit Investment TrustsS-619,7537,990
RegistrationsS-6Registration Statements by Unit Investment TrustsS-6EL241,398359
RegistrationsS-8Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit PlansS-881,22718
RegistrationsPost-Effective Amendments of Form S-8 RegistrationsS-8 POS32,103
RegistrationsS-11Registration Statements by Real Estate CompaniesS-111,0883,380
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-B315194
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 13D55,962117,165
Ownership13E-1Tender-Offer Statements by IssuersSC 13E12313
Ownership13E-3Tender-Offer Statements by Issuers for Going-Private TransactionsSC 13E32,3867,979
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 13G193,382344,216
Ownership14D-1Tender-Offer Statements by Third PartiesSC 14D11,2715,205
Ownership14D-1FTender-Offer Statements by Canadian Third PartiesSC14D1F44147
Ownership14D-9Tender-Offer Solicitation/Recommendation StatementsSC 14D94,1739,168
Ownership14D-9CTender-Offer Communications by Issuers re: Third-Party OffersSC14D9C2,304
Ownership14D-9FTender-Offer Solicitation/Recommendation Statements by Canadian IssuersSC14D9F4040
Ownership14F-1Statements re: Changes in the Majority of DirectorsSC 14F12,212226
Proxies14NInformation from Certain Nominating ShareholdersSC 14N76
OwnershipTOTender-Offer Communications re: Issuer and Third-Party OffersSC TO-C5,203
OwnershipTOTender-Offer Statements by IssuersSC TO-I8,68714,375
OwnershipTOTender-Offer Statements by Third PartiesSC TO-T2,54711,863
Reports13p-1Specialized Disclosure Reports Relating to the Use of Conflict MineralsSD7,16824
RegistrationsSDRApplications for Registration as a Security-Based Swap Data RepositorySDR24
ReportsSEScanned Exhibits of Paper SubmissionsSE3,565
LettersSEC Staff Actions [ a.k.a. ORDER]SEC ACTION136
LettersSEC Staff Letters [ a.k.a. STAFFLETTER, 14A-8, REDACTEDEXHIBIT& SERIOUSDEFICIENCIES]SEC LETTER76
RegistrationsSF-1Registration Statements (General Form) by Issuers of Asset-Backed SecuritiesSF-1311
RegistrationsSF-3Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-3122190
RegistrationsSales LiteratureSL9
Reports15d-2Special Financial ReportsSP 15D2562
OrdersSEC Stop OrdersSTOP ORDER59
RegistrationsSA §11(a)Voluntary Supplemental Materials by Foreign IssuersSUPPL55,627
RegistrationsT-3Applications for Qualification of a Trust IndentureT-3617607
RegistrationsTA-1Applications for Registration as a Transfer AgentTA-13794,021
ReportsTA-2Annual Reports of Transfer Agents’ ActivitiesTA-28,261717
RegistrationsCancellations of Registered Transfer Agents by SEC OrderTACO128
RegistrationsTA-WNotices of Withdrawal from Registration as a Transfer AgentTA-W483
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]UPLOAD153,900
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-583,6705,693
____________ Totals 11,738,8441,313,309
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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