• Registrations – Applications for Registration or Exemption from Registration as a Securities Exchange 90 1,653 • Registrations 1-A Offering Statements — Reg. A/A+ ° 1,258 3,033 • Registrations – Post-Qualification Amendments of Form 1-A Offering Statements — Reg. A/A+ × 808 – • Registrations – Withdrawals of Form 1-A Offering Statements — Reg. A/A+ 163 22 • Reports E Notices by Small Business Investment and Business Development Companies 152 78 • Registrations E Ads by Small Business Investment and Business Development Companies 2 – • Reports 1-K Annual Reports — Reg. A × 413 29 • Reports 1-SA Semi-Annual Reports — Reg. A 371 24 • Reports 1-U Current Reports — Reg. A 1,639 15 • Reports 1-Z Exit Reports — Reg. A × 96 4 • Reports 1-Z Withdrawals of Exit Reports — Reg. A 2 – • Reports 2-A Reports of Sales of Securities — Reg. A/A+ 52 81 • Reports 2-A Final Reports of Sales of Securities — Reg. A/A+ 36 – • Reports E Reports of Sales of Securities 87 11 • Ownership 3 Initial Statements of Beneficial Ownership of Securities by Insiders ° 313,380 17,479 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities by Insiders ° 3,587,371 110,944 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities by Insiders ° 105,336 4,031 • Registrations ICA Applications for Exemption Orders – ’40-6B’ SEC Notices 25 – • Registrations ICA Applications for Exemption Orders – ’40-6B’ SEC Orders 25 – • Reports 6-K Reports by Foreign Issuers ° 411,670 5,296 • Registrations 8-A Registrations of Certain Classes of Securities 19,716 4,462 • Registrations 8-A Registrations of Certain Classes of Securities 9,985 2,354 • Registrations ICA Applications for Deregistration Orders – ’40-8F-2’ SEC Notices 3 – • Registrations ICA Applications for Deregistration Orders – ’40-8F-2’ SEC Orders 2 – • Reports 8-K Current Reports ° 1,620,061 75,057 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered ° 247 27 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 625 115 • Reports 8-K Notices of Assumptions of Duty to Report by Successor Issuers 70 2 • Registrations – Consents to Service of Process by Notice – Non-Resident Broker-Dealer Corporations 66 – • Registrations – Consents to Service of Process by Notice – Non-Resident Broker-Dealer Partnerships 13 – • Registrations 10 Registrations of Securities (General Form) ° 777 1,573 • Registrations 10 Registrations of Securities (General Form) ° 2,574 4,416 • Reports 10-D Distribution Reports by Asset-Backed Issuers ° 68,478 2,292 • Reports 10-K Annual Reports ° 189,309 41,818 • Reports 10-K Annual-Transition Reports ° 502 117 • Reports 10-Q Quarterly Reports ° 586,811 43,644 • Reports 10-Q Quarterly-Transition Reports ° 206 36 • Reports 11-K Annual Reports by Employee Stock Purchase, Savings and Similar Plans 40,947 972 • Reports 11-K Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans 96 2 • Ownership 13F Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested 1,271 90 • Ownership 13F Quarterly Holdings and Combination Reports by Money Managers ° 275,602 24,958 • Ownership 13F Quarterly Holdings Notices by Money Managers ° 90,773 1,804 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 5,439 109 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 13,121 409 • Reports 15 Notices of Suspensions of Duty to File Reports 15,938 215 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 191 13 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 234 12 • Reports 15F Notices of Foreign Issuers’ Suspensions of Duty to File Reports 128 3 • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 4 – • Reports 18-K Annual Reports by Foreign Governments and Political Subdivisions ° 704 2,228 • Reports 19b-4(e) Info Required of SROs Listing and Trading New Derivative Securities Products 26,818 – • Reports 20-F Annual Reports by Foreign Non-Canadian Issuers ° 15,745 3,452 • Registrations 20-F Registrations of Securities of Foreign Non-Canadian Issuers 160 155 • Registrations 20-F Registrations of Securities of Foreign Non-Canadian Issuers ° 380 595 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 177,472 3,164 • Reports 25 Notices by Issuers of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities 4,006 42 • Reports 25 Notices by Securities Exchanges of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities × 10,464 237 • Registrations TIA Applications 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 Act 9 1 • Registrations TIA Applications Regarding a Conflict of Interest under the Trust Indenture Act 2 – • Registrations ICA Applications for Exemption Orders by Employees’ Investment Companies 49 169 • Registrations ICA §6(c) Applications for Exemptions and Other Relief by Investment Companies 433 529 • Reports 8b-25(a) Applications for Extensions of Time to File Reports by Investment Companies 111 – • Registrations O-2 Applications for Deregistration Orders by Investment Companies 19 30 • Registrations ICA Investment Company Registrations Withdrawn by SEC Order 3 1 • Reports 17f-1 Certificates of Accounting of Securities in the Custody of Investment Companies 524 17 • Reports 17f-2 Certificates of Accounting of Securities in the Custody of Investment Companies 18,319 130 • Reports 17g-1(g) Fidelity Bonds for Investment Companies 25,610 2,165 • Reports 17g-1 Claims and Settlements re: Investment Companies 16 – • Reports 24b-2 Sales Literature from Investment Companies 2,943 86 • Reports ICA §33 Stockholder Derivative Actions re: Investment Companies 1,040 8 • Registrations IAA §202 Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act 33 34 • Registrations IAA §203 Exemptions from the Prohibition on Registration as an Investment Adviser 2 2 • Registrations IAA §205 Applications for Performance Fee Exemptions by Investment Advisers 3 2 • Registrations IAA §206(3) Applications for Exemptions by Investment Advisers 47 39 • Registrations ICA Applications for Exemption Orders and Other Relief by Investment Companies 1,864 2,869 • Registrations 40-F Registration Statements and Annual Reports by Canadian Issuers ° 2,646 495 • Registrations 40-F Registrations of Securities of Canadian Issuers 126 62 • Registrations 40-F Registrations of Securities of Canadian Issuers 27 8 • Registrations ICA Applications for Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment Companies 81 150 • Reports ICA Reports Required from Certain Applicants for Exemptions from the Investment Company Act 2 – • Ownership 144 Notices of Proposed Sales of Securities by Insiders 7,195 284 • Registrations 1-A Offering Statements – Info Previously Omitted — Reg. A/A+ 57 – • Registrations 1-A Offering Statements – Info Substantively Changed or Added — Reg. A/A+ 1,670 – • Registrations 1-A Offering Statements – Info Previously Omitted – Info Substantively Changed or Added — Reg. A/A+ 8 – • Registrations 1-A Offering Statements – Info Previously Omitted – Info Substantively Changed or Added (Late Filings) — Reg. A/A+ 3 – • Registrations T-1 Statements of Eligibility by Corporations Designated to Act as Trustees 1,875 20 • Registrations 424(a) Prospectuses – Info Substantively Changed or Added 1,551 – • Registrations 424(b)(1) Prospectuses – Info Previously Omitted 6,011 – • Registrations 424(b)(2) Prospectuses – Primary Offerings or Shelf Securities 252,221 – • Registrations 424(b)(3) Prospectuses – New Facts or Events ° 160,502 – • Registrations 424(b)(4) Prospectuses – Info Previously Omitted – New Facts or Events ° 10,148 – • Registrations 424(b)(5) Prospectuses – Primary Offerings or Shelf Securities – New Facts or Events ° 59,409 – • Registrations 424(b)(7) Prospectuses – Selling Security Holders – Info Previously Omitted 3,701 – • Registrations 424(b)(8) Prospectuses (Late Filings) 1,126 – • Registrations 424(h) Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed 731 57 • Reports 425 Prospectuses and Communications – Mergers ° 67,270 – • Registrations 485(a) Post-Effective Amendments of Form N-1 and N-1A Registrations ° 39,860 – • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations ° 183,213 – • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates 21,726 – • Registrations 486(a) Post-Effective Amendments of Form N-2 Registrations 212 – • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations 817 – • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates 50 – • Registrations 487 Pre-Effective Pricing Amendments of Registration Statements 19,074 – • Registrations 497 Definitive Materials ° 364,329 – • Reports 497 & 482(c) Advertising by Certain Investment Companies 3,756 – • Registrations 497(h)(2) Prospectuses of Certain Closed-End Investment Companies 83 – • Registrations 497(j) Certifications of No Change in Definitive Materials 118,645 – • Registrations 497(k) Summary Prospectuses of Certain Open-End Investment Companies 209,647 – • Reports SEA §15G Asset-Backed Securitizer Reports 11,274 3,354 • Registrations † Asset-Backed Securities [XML] Exhibits ° 8,872 143 • Registrations – Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed 50 – • Reports IAA Certificates of Accounting of Client Securities and Funds in Possession or Custody of Investment Advisers 2,451 – • Reports IAA Applications for Continuing Hardship Exemptions by Investment Advisers 8 – • Reports IAA Applications for Temporary Hardship Exemptions by Investment Advisers 73 – • Registrations IAA Appointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment Advisers 677 – • Reports – Annual Reports by International Development Banks ° 107 1 • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Notices 878 – • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Orders 846 – • Registrations ICA Withdrawals of Applications for Exemption Orders and Other Relief 475 12 • Registrations ICA Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grant 72 – • Reports † Annual Reports to Security Holders ° 36,708 38 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Initial Info × 4 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Correcting Amendments × 18 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Material Amendments × 54 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Updating Amendments × 140 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Notices of Cessation × 6 – • Registrations † Amendment Withdrawal Requests 3,692 – • Registrations † Amendment Withdrawal Requests – Withdraw Duplicate 104 – • Registrations C Crowdfunding Offering Statements × 2,949 3,129 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals × 9 – • Registrations C-W Crowdfunding Offering Statement Withdrawals × 281 – • Reports C-AR Crowdfunding Annual Reports × 1,016 50 • Reports C-AR-W Crowdfunding Annual Report Withdrawals × 6 – • Reports C-TR Crowdfunding Terminations of Reporting × 162 – • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals × 2 – • Registrations C-U Crowdfunding Progress Updates × 1,211 – • Registrations C-U-W Crowdfunding Progress Update Withdrawals × 6 – • Ownership CB Tender-Offer, Exchange-Offer and Rights-Offering Notices re: Foreign Issuers 1,620 1,512 • Registrations CERT Certifications by Securities Exchanges Approving Securities for Listing 2,408 – • Registrations Funding Portal Applications for Registration as a Crowdfunding Portal × 72 257 • Registrations Funding Portal Applications for Withdrawal from Registration as a Crowdfunding Portal × 9 – • Letters – Comment-Response and Other Letters to the SEC [ a.k.a. Document COVER ] (Delayed Release) 162,788 – • Orders – SEC Confidential Treatment Orders 15,952 – • Registrations D Notices of Exempt Offerings of Securities — Reg. D × 254,712 174,283 • Proxies 14A Definitive Proxy Statements ° 165,618 – • Proxies 14C Definitive Proxy Info Statements 12,096 – • Proxies 14A Additional Definitive Proxy Soliciting Materials ° 86,399 – • Proxies 14C Additional Definitive Proxy Info Statements 357 – • Proxies 14A Definitive Proxy Statements for Contested Solicitations 1,898 – • Proxies 14C Definitive Proxy Info Statements for Contested Solicitations 25 – • Proxies 14A Definitive Proxy Statements for Mergers and Acquisitions 5,395 – • Proxies 14C Definitive Proxy Info Statements for Mergers and Acquisitions 427 – • Proxies 14A Definitive Non-Management Proxy Statements 304 – • Proxies 14A Revised Definitive Proxy Soliciting Materials 5,382 – • Proxies 14C Revised Definitive Proxy Info Statements 409 – • Registrations † Registration Effectiveness-Delaying Amendments 1,094 – • Proxies 14A Additional Definitive Non-Management Proxy Soliciting Materials 11,997 – • Proxies 14A Revised Definitive Non-Management Proxy Statements 324 – • Registrations 1-A Draft Offering Statements — Reg. A/A+ × 150 169 • Letters – Comment-Response and Draft-Offering-Statement Letters to the SEC (Delayed Release) 147 – • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Issuers ° 2,486 3,116 • Letters – Comment-Response and Draft-Registration-Statement Letters to the SEC (Delayed Release) 2,563 – • Reports – Distribution Reports of Primary Obligations by International Development Banks 481 19 • Registrations † SEC Notices of Effectiveness × 52,830 – • Registrations F-1 Registration Statements by Foreign Issuers ° 1,449 4,007 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-1 Registration 171 – • Registrations F-3 Registration Statements by Foreign Issuers for Securities Offered Pursuant to Transactions ° 1,444 1,252 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Issuers ° 586 – • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 56 – • Registrations – Post-Effective Amendments of ‘F-3D’ Registrations 36 – • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-3 Registration 31 – • Registrations F-4 Registration Statements by Foreign Issuers for Securities Issued in Mergers – Not Effective Immediately ° 733 1,379 • Registrations F-4 Registration Statements by Foreign Issuers for Securities Issued in Mergers – Effective Immediately 1 – • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-4 Registration 8 – • Registrations – Post-Effective Amendments of Form F-4 Registrations 22 – • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Not Effective Immediately 1,737 167 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Effective Immediately 6,619 – • Registrations – Post-Effective Amendments of ‘F-6EF’ Registrations 2,316 – • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights 43 10 • Registrations – Post-Effective Amendments of Form F-7 Registrations 5 – • Registrations F-8 Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers and Mergers 32 51 • Registrations – Post-Effective Amendments of Form F-8 Registrations 13 – • Registrations F-10 Registration Statements by Canadian Issuers – Not Effective Immediately 778 841 • Registrations F-10 Registration Statements by Canadian Issuers – Effective Immediately 7 – • Registrations – Post-Effective Amendments of ‘F-10EF’ Registrations 57 – • Registrations F-80 Registrations of Securities of Canadian Issuers for Securities to be Issued in Exchange Offers and Mergers 26 22 • Registrations – Post-Effective Amendments of Form F-80 Registrations 19 – • Registrations F-N Appointments of Agents for Service of Process by Foreign Financial Entities 372 24 • Reports – Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers 30,034 1,060 • Registrations 163 / 433 Free-Writing Prospectuses 149,142 – • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities 2,624 278 • Reports – Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers 63 3 • Reports – Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers 50 1 • Registrations – Notices of Activities as a Government Securities Broker or Dealer by Financial Institutions 22 254 • Registrations – Notices of Withdrawal as a Government Securities Broker or Dealer by Financial Institutions 16 – • Registrations ID Applications for EDGAR Access – New Central Index Key (CIK) 1 – • Reports ITRASHRA Notices of Iran/Syria Disclosures in Quarterly and Annual Reports 3,123 – • Registrations MA Applications for Municipal Advisor Registration × 878 1,476 • Registrations MA Annual Updates of a Municipal Advisor’s Registration × 1,978 – • Registrations MA-I Info Regarding Natural Persons Who Engage in Municipal Advisory Activities × 7,846 8,379 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor × 325 – • Registrations – Registrations of Municipal Securities Dealers 44 425 • Registrations 15Bc3-1 Notices of Withdrawal from Registration as a Municipal Securities Dealer 82 – • Registrations N-1 Registration Statements by Open-End Investment Companies 2 189 • Registrations N-1A Registration Statements by Open-End Investment Companies ° 1,868 2,772 • Registrations N-2 Registration Statements by Closed-End Investment Companies 3,738 5,628 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-2 Registration 243 – • Registrations N-4 Registration Statements for Separate Accounts – Unit Investment Trusts 2,254 2,004 • Registrations N-5 Registration Statements by Small-Business Investment Companies 9 10 • Registrations N-6 Registration Statements for Separate Accounts – Unit Investment Trusts 676 503 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status 141 62 • Registrations N-8A Notices of Registrations by Investment Companies 4,248 603 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts 184 172 • Registrations N-8B-4 Registration Statements by Face-Amount Certificate Companies 3 – • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies 3,029 1,393 • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Notices 1,682 – • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Orders 1,826 – • Registrations N-14 Registration Statements by Open-End Investment Companies – Mergers 3,431 2,272 • Registrations N-14 Registration Statements by Closed-End Investment Companies – Mergers 255 291 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-14 Registration 4 – • Reports 18f-1 Notices of Elections by Open-End Investment Companies 1,254 31 • Ownership 23c-2 Notices of Intentions to Call or Redeem their own Securities by Closed-End Investment Companies 1,615 55 • Ownership N-23c-3 Notices of Periodic Repurchase Offers by Closed-End Investment Companies 2,089 27 • Ownership N-23c-3 Notices of Discretionary Repurchase Offers by Closed-End Investment Companies 402 3 • Ownership N-23c-3 Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment Companies 48 47 • Reports 30b-2 Periodic and Interim Reports Mailed to Shareholders of Investment Companies 11,415 – • Reports 30d-1 Annual and Semi-Annual Reports Mailed to Shareholders of Investment Companies 71,273 1,057 • Reports N-54A Notices of Elections by Business Development Companies 279 9 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies 189 4 • Reports N-CEN Annual Reports by Investment Companies × 6,892 1,008 • Reports N-CEN Annual Reports by Investment Companies (Late Filings) ° 137 – • Reports N-CR Current Reports of Material Events by Money-Market Funds 64 13 • Reports N-CSR Certified Annual Shareholder Reports by Investment Companies ° 61,187 2,968 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Investment Companies ° 54,197 942 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds × 20,215 931 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) ° 267 – • Letters 14a-8 SEC No-Action Letters 9,085 – • Reports N-PORT Portfolio Holdings Schedules by Investment Companies [ now Exhibit NPORT-EX of Filing NPORT-P ] 7,210 14 • Reports N-PORT Portfolio Holdings Schedules by Investment Companies (Late Filings) [ now Exhibit NPORT-EX of Filing NPORT-P ] 85 – • Reports N-PORT Monthly Portfolio Investments Reports (made Public Quarterly) by Investment Companies × 41,224 672 • Reports N-PORT Monthly Portfolio Investments Reports (made Public Quarterly) by Investment Companies (Late Filings) × 809 – • Proxies N-PX Proxy Voting Records – Annual Reports by Investment Companies 51,346 1,836 • Reports N-Q Quarterly Portfolio Holdings Schedules by Investment Companies ° 94,927 1,010 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations 51 26 • Registrations NRSRO Updates of Registrations by Nationally Recognized Statistical Rating Organizations 157 – • Reports 12b-25 Notices of Late Filings of Form 10-D Distribution Reports 9 1 • Reports 12b-25 Notices of Late Filings of Form 10-D Distribution Reports (Late Notices) 5 – • Reports 12b-25 Notices of Late Filings of Form 10-K Annual Reports 43,036 689 • Reports 12b-25 Notices of Late Filings of Form 10-K Annual Reports (Late Notices) 1,580 – • Reports 12b-25 Notices of Late Filings of Form 10-Q Quarterly Reports ° 70,655 602 • Reports 12b-25 Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices) 2,302 – • Reports 12b-25 Notices of Late Filings of Form 11-K Annual Reports 1,655 16 • Reports 12b-25 Notices of Late Filings of Form 11-K Annual Reports (Late Notices) 18 – • Reports 12b-25 Notices of Late Filings of Form 20-F Annual Reports 1,617 26 • Reports 12b-25 Notices of Late Filings of Form 20-F Annual Reports (Late Notices) 37 – • Reports 12b-25 Notices of Late Filings of Form N-CEN Annual Reports 57 2 • Reports 12b-25 Notices of Late Filings of Form N-CEN Annual Reports (Late Notices) 16 – • Reports 12b-25 Notices of Late Filings of Form N-CSR Shareholder Reports 345 25 • Reports 12b-25 Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices) 78 – • Reports 12b-25 Notices of Late Filings of ‘SP 15D2’ Special Financial Reports 8 7 • Reports 12b-25 Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices) 3 – • Registrations ICA Applications for Exemption Orders – ’40-OIP’ SEC Notices 65 – • Registrations ICA Applications for Exemption Orders – ’40-OIP’ SEC Orders 59 – • Registrations SA §8(c) Post-Effective Amendments of Certain Investment Company Registration Statements 2,198 – • Registrations † Post-Effective Amendments of Rule 462(b) Registration Statements 219 – • Registrations † Post-Effective Amendments of Rule 462(c) Registration Statements 83 – • Registrations † Post-Effective Amendments of Registration Statements ° 30,016 – • Registrations ICA Post-Effective Amendments of Investment Company Registration Statements 6,262 – • Registrations S-3ASR / F-3ASR Post-Effective Amendments of Automatic Shelf Registration Statements ° 1,852 – • Registrations 462(d) Post-Effective Amendments of Registration Statements to Add Exhibits ° 4,082 – • Proxies 14A Preliminary Proxy Statements ° 37,670 – • Proxies 14C Preliminary Proxy Info Statements 9,359 – • Proxies 14A Preliminary Proxy Statements for Contested Solicitations 2,607 – • Proxies 14C Preliminary Proxy Info Statements for Contested Solicitations 63 – • Proxies 14A Preliminary Proxy Statements for Mergers and Acquisitions 4,760 – • Proxies 14C Preliminary Proxy Info Statements for Mergers and Acquisitions 678 – • Proxies 14A Preliminary Non-Management Proxy Statements 373 – • Proxies 14A Revised Preliminary Proxy Soliciting Materials 10,981 – • Proxies 14C Revised Preliminary Proxy Info Statements 2,462 – • Proxies 14A Revised Preliminary Non-Management Proxy Soliciting Materials for Contested Solicitations and Other Situations 2,063 – • Proxies 14a-6(g) Notices of Exempt Non-Management Proxy Solicitations 1,670 – • Proxies 14a-6(n) Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications 40 – • Reports – Quarterly Reports by International Development Banks 134 3 • Registrations – SEC Notices of Qualification — Reg. A/A+ × 1,019 – • Registrations – Initial Undertakings to File Reports for Non-Resident Brokers, Dealers and Investment Advisers 67 2 • Registrations SEA §12(j) SEC Orders Revoking Registrations 5,743 – • Registrations † Registration Withdrawal Requests 11,818 – • Registrations † Withdrawals of Registration Withdrawal Requests 401 – • Registrations S-1 Registration Statements (General Form) ° 19,308 51,015 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-1 Registration 1,603 – • Registrations S-3 Registration Statements for Securities Offered Pursuant to Transactions ° 35,266 28,764 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers ° 7,412 – • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 948 5 • Registrations – Post-Effective Amendments of ‘S-3D’ Registrations 662 – • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-3 Registration 1,270 – • Registrations S-4 Registrations of Securities Issued in Mergers ° 14,431 19,405 • Registrations S-4 Registrations of Securities Issued in Mergers Forming Bank and Savings & Loan Holding Companies 77 31 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-4 Registration 153 – • Registrations – Post-Effective Amendments of ‘S-4EF’ Registrations 306 – • Registrations S-6 Registration Statements by Unit Investment Trusts 20,742 8,192 • Registrations S-8 Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit Plans 83,347 18 • Registrations – Post-Effective Amendments of Form S-8 Registrations 33,902 – • Registrations S-11 Registration Statements by Real Estate Companies ° 1,108 3,429 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-11 Registration 82 – • Registrations S-20 Registration Statements for Standardized Options 6 5 • Registrations B Registration Statements by Foreign Governments and Political Subdivisions 334 206 • Registrations 462(b) Registration Statements to Add Securities to a Prior Schedule B Registration 13 – • Ownership 13D Statements of Acquisitions of Beneficial Ownership by Non-Passive Investors 57,034 121,197 • Ownership 13E-1 Tender-Offer Statements by Issuers 23 13 • Ownership 13E-3 Tender-Offer Statements by Issuers for Going-Private Transactions 2,424 8,092 • Ownership 13E-4F Tender-Offer Statements by Canadian Issuers 17 26 • Ownership 13G Statements of Acquisitions of Beneficial Ownership by Passive Investors 199,481 359,816 • Ownership 14D-1F Tender-Offer Statements by Canadian Third Parties 45 147 • Ownership 14D-9 Tender-Offer Solicitation/Recommendation Statements 4,239 9,343 • Ownership 14D-9C Tender-Offer Communications by Issuers re: Third-Party Offers 2,371 – • Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers 40 40 • Ownership 14F-1 Statements re: Changes in the Majority of Directors 2,238 230 • Proxies 14N Info from Certain Nominating Shareholders 8 6 • Ownership TO Tender-Offer Communications re: Issuer and Third-Party Offers 5,345 – • Ownership TO Tender-Offer Statements by Issuers 9,093 14,978 • Ownership TO Tender-Offer Statements by Third Parties 2,603 12,068 • Reports 13p-1 Specialized Disclosure Reports Relating to the Use of Conflict Minerals 8,216 26 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository × 2 4 • Reports SE Separate Exhibits of Scanned Paper-Format Exhibits of Filings 3,574 – • Letters – SEC Staff Actions [ a.k.a. Document ORDER ] 224 – • Letters – SEC Staff Letters [ a.k.a. Documents STAFF LETTER , REDACTED EXHIBIT , SERIOUS DEFICIENCIES & 14A-8 ] 599 – • Registrations SF-1 Registration Statements (General Form) by Issuers of Asset-Backed Securities 3 11 • Registrations SF-3 Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities 129 202 • Registrations – Sales Literature 9 – • Reports 15d-2 Special Financial Reports 56 2 • Orders – SEC Stop Orders 59 – • Registrations SA §11(a) Supplemental Materials by Foreign Issuers {Voluntary} 55,780 – • Registrations T-3 Applications for Qualification of a Trust Indenture 625 621 • Registrations TA-1 Applications for Registration as a Transfer Agent ° 411 4,196 • Reports TA-2 Annual Reports of Transfer Agents’ Activities ° 8,527 749 • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent ° 501 – • Reports TH Notices of Reliance on Temporary Hardship Exemption 135 – • Registrations – Test-the-Waters Materials — Reg. A/A+ 28 8 • Letters – Comment and Other Letters from the SEC [ a.k.a. Document LETTER ] (Delayed Release) 159,397 – • Registrations – Withdrawal Requests for Materials Previously Filed — Reg. A/A+ 62 – • Reports X-17A-5 Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers ° 86,654 5,779 Totals 11,812,693 1,246,492 ____________ † This Filing/Form Type pertains to multiple Forms ° May contain, or be, an XMLª or XBRLª File. (Most XMLª Files are rendered by using the SEC’s XSLTª Stylesheets – × Must be, or contain, an XMLª or XBRLª File. XBRLª Files are rendered by the SEC as IDEAª ‘R# ª Acronyms: XML: eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard. ‹?xml? › XBRL: eXtensible Business Reporting Language — A financial-data-interchange standard, based on XML. XSLT: eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML. IDEA: Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data. 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