SEC Info
HomeSearchMy InterestsHelpSign InPlease Sign In

403 Filing/Form Types

To list Recent Filings of Selected Filing/Form Types...     or  Document/Exhibit Types

Choose the  Filing/Form Types  of Filings you wish to list, then click on this button:
 (For the most-recent Filing of a Filing/Form Type, right-click on one of the right-most columns.) 



Form,Sch.,
RuleorReg.
Filing /
Form Type
Filings Totals
CategoryDescriptionOriginal Amended
Sort in ascending orderSort in ascending orderSort in ascending orderIn ascending order(click for most-recent)
Registrations1-AOffering Statements — Reg. A / A+1-A378950
Registrations1-APost-Qualification Amendments to Offering Statements — Reg. A / A+1-A POS313
Registrations1-AWithdrawals of Offering Statements — Reg. A / A+1-A-W7515
Reports1-ENotifications by Small Business Investment Companies and Business Development Companies1-E1013
Reports1-ESales Materials1-E AD2
Reports1-KAnnual Reports — Reg. A1-K1379
Reports1-SASemi-Annual Reports — Reg. A1-SA12311
Reports1-UCurrent Reports — Reg. A1-U4274
Registrations1-ZExit Reports — Reg. A1-Z484
Registrations1-ZWithdrawals of Exit Reports — Reg. A1-Z-W2
ReportsReports of Sales of Securities2-E62
Ownership3Initial Statements of Beneficial Ownership of Securities3280,75016,337
Ownership4Statements of Changes in Beneficial Ownership of Securities43,182,064102,609
Ownership5Annual Statements of Changes in Beneficial Ownership of Securities599,9653,910
Reports6-KCurrent Reports by Foreign Private Issuers6-K350,9254,631
Registrations8-ARegistrations of Certain Classes of Securities8-A12B17,6614,054
Registrations8-ARegistrations of Certain Classes of Securities8A12BEF95
Registrations8-ARegistrations of Certain Classes of Securities8A12BT288
Registrations8-ARegistrations of Certain Classes of Securities8-A12G9,8362,329
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12B9429
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12G6113
Reports8-KCurrent Reports8-K1,465,45871,047
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12B17814
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12G3612114
Reports8-KNotices of Assumptions of Duty to Report by Successor Issuers8-K15D5702
Registrations10Registrations of Securities (General Form)10-12B7141,487
Registrations10Registrations of Securities (General Form)10-12G2,3694,130
Reports10-CReports by Issuers of Securities Quoted on NASDAQ10-C1,30525
Reports10-DPeriodic Distribution Reports by Asset-Backed Issuers10-D50,1862,027
Reports10-KAnnual Reports10-K175,37639,681
Reports10-KAnnual Reports — Reg. S-K – Item 40510-K40520,2083,225
Reports10-KSBAnnual Reports by Small Businesses10KSB37,05511,939
Reports10-KSBAnnual Reports by Small Businesses — Reg. S-B – Item 40510KSB403,460629
Reports10-KAnnual-Transition Reports10-KT450106
Reports10-KAnnual-Transition Reports — Reg. S-K – Item 40510KT4058217
Reports10-QQuarterly Reports10-Q544,82642,296
Reports10-QSBQuarterly Reports by Small Businesses10QSB120,29817,154
Reports10-QQuarterly-Transition Reports10-QT19436
Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12B245134
Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12G4,1455,541
Reports11-KAnnual Reports by Employee Stock Purchase, Savings and Similar Plans11-K33,483816
Reports11-KAnnual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-KT932
Ownership13F-EQuarterly Reports by Institutional Money Managers13F-E1,188120
Ownership13FQuarterly Holdings and Combination Reports by Institutional Money Managers13F-HR229,04022,587
Ownership13FQuarterly Notices by Institutional Money Managers13F-NT76,7201,618
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12B4,804102
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12G12,602366
Reports15Notices of Suspensions of Duty to File Reports15-15D15,474199
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12B17312
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12G22512
Reports15FNotices of Foreign Private Issuers’ Suspensions of Duty to File Reports15F-15D1182
Registrations18Registrations of Securities of Foreign Governments and Political Subdivisions18-12B3
Registrations18Registrations of Securities of Foreign Governments and Political Subdivisions18-12G
Reports18-KAnnual Reports by Foreign Governments and Political Subdivisions18-K5941,840
Reports20-FAnnual Reports by Foreign Private Issuers20-F13,5013,116
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12B124126
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12G346532
RegistrationsNotices 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-2NT162,9763,125
Registrations24F-2Annual Notices of Securities Sold by Investment Companies24F-2TM603
Reports25Notices to Voluntarily Withdraw Classes of Securities from Listings and Registrations on National Exchanges251,81728
Reports25Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities25-NSE8,658205
Reports35-APPStatements Concerning Proposed Transactions35-APP62
Reports35-CERTCertificates Concerning Terms and Conditions of Transactions35-CERT5,13798
RegistrationsApplications for Orders by Employees’ Securities Companies40-6B1772
ReportsApplications Requesting Extensions of Time for Filing Certain Information, Documents or Reports40-8B2589
RegistrationsInitial Applications for Deregistration by Certain Registered Investment Companies40-8F-21721
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Abandonments of Registration40-8F-A12465
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Business Development Companies40-8F-B41
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Liquidations40-8F-L455180
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Mergers40-8F-M542174
ReportsN-17F-1Certificates of Accounting of Securities in the Custody of Management Investment Companies40-17F134716
ReportsN-17F-2Certificates of Accounting of Securities in the Custody of Management Investment Companies40-17F216,917128
ReportsFidelity Bonds of Management Investment Companies40-17G13,6462,011
ReportsClaims and Settlements re: Management Investment Companies40-17GCS15
ReportsSales Literature of Management Investment Companies40-24B22,65282
ReportsStockholder Derivative Actions re: Management Investment Companies40-331236
RegistrationsApplications for Orders other than those Reviewed by the Office of Insurance Products40-APP1,2052,035
Reports40-FAnnual Reports by Foreign Private Issuers40-F2,278441
Reports40-FAnnual Reports by Foreign Private Issuers — ’34 S.12(b) Reg.40FR12B9849
Reports40-FAnnual Reports by Foreign Private Issuers — ’34 S.12(g) Reg.40FR12G228
RegistrationsApplications for Orders Reviewed by the Office of Insurance Products40-OIP71136
Ownership144Notices of Proposed Sales of Securities1446,721249
Registrations1-AOffering Statements – Information Previously Omitted — Reg. A / A+253G119
Registrations1-AOffering Statements – Information Substantively Changed or Added — Reg. A / A+253G2499
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 Trustees305B21,65120
RegistrationsProspectuses424A1,538
RegistrationsProspectuses424B15,849
RegistrationsProspectuses424B2167,535
RegistrationsProspectuses424B3147,514
RegistrationsProspectuses424B49,040
RegistrationsProspectuses424B552,759
RegistrationsProspectuses424B73,365
RegistrationsProspectuses424B8707
RegistrationsPreliminary Prospectuses424H41937
ReportsBusiness-Combination Transaction Communications42559,771
RegistrationsPost-Effective Amendments485A24E88
RegistrationsPost-Effective Amendments485A24F25
RegistrationsPost-Effective Amendments485APOS37,614
RegistrationsPost-Effective Amendments485B24E1,669
RegistrationsPost-Effective Amendments485B24F64
RegistrationsPost-Effective Amendments485BPOS166,399
RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXT18,544
RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXTF1
RegistrationsN-2Post-Effective Amendments to N-2s486A24E1
RegistrationsN-2Post-Effective Amendments to N-2s486APOS156
RegistrationsN-2Post-Effective Amendments to N-2s486B24E2
RegistrationsN-2Post-Effective Amendments to N-2s486BPOS610
RegistrationsPost-Effective Amendments to Designate New Effective Dates486BXT
RegistrationsPre-Effective Pricing Amendments48716,965
RegistrationsDefinitive Materials497327,464
ReportsAdvertising by Certain Investment Companies497AD3,143
RegistrationsProspectuses497H283
RegistrationsCertifications of No Changes in Definitive Materials497J107,679
RegistrationsSummary Prospectuses of Open-End Management Investment Companies497K158,325
ReportsProfiles of Open-End Management Investment Companies497K1317
ReportsProfiles of Open-End Management Investment Companies497K2164
ReportsProfiles of Open-End Management Investment Companies497K3A52
ReportsProfiles of Open-End Management Investment Companies497K3B2,294
ReportsAsset-Backed Securities ReportsABS-15G7,2932,200
RegistrationsAsset-Backed Securities Offerings’ [XML] ExhibitsABS-EE1,31536
ReportsI.B.R.D. (World Bank) Annual ReportsANNLRPT861
RegistrationsAPP WDWithdrawals of Applications for Exemptive or Other Relief from the Federal Securities LawsAPP WD20812
ReportsAnnual Reports to Security HoldersARS1,48110
RegistrationsAmendment Withdrawal RequestsAW3,324
RegistrationsAmendment Withdrawal (Withdraw Duplicate) RequestsAW WD98
ReportsI.B.R.D. (World Bank) Quarterly ReportsBW-227
ReportsI.B.R.D. (World Bank) Distribution of Obligations ReportsBW-393
RegistrationsCCrowdfunding Offering StatementsC981938
RegistrationsC/A-WCrowdfunding Offering Statement Amendment WithdrawalsC/A-W8
ReportsC-ARCrowdfunding Annual ReportsC-AR26023
ReportsC-AR/A-WCrowdfunding Annual Report Amendment WithdrawalsC-AR/A-W
ReportsC-AR-WCrowdfunding Annual Report WithdrawalsC-AR-W2
OwnershipCBRights/Exchange/Tender Offer Notifications/ResponsesCB1,004977
RegistrationsCERTCertifications by Exchanges Approving Securities for ListingCERT258
RegistrationsCERTCertifications by the American Stock Exchange Approving Securities for ListingCERTAMX
RegistrationsCERTCertifications by the New York Stock Exchange Archipelago Approving Securities for ListingCERTARCA
RegistrationsCERTCertifications by the Bats Global Markets Approving Securities for ListingCERTBATS
RegistrationsCERTCertifications by the Boston Stock Exchange Approving Securities for ListingCERTBSE
RegistrationsCERTCertifications by the Chicago Stock Exchange Approving Securities for ListingCERTCSE
RegistrationsCERTCertifications by the NASDAQ Approving Securities for ListingCERTNAS
RegistrationsCERTCertifications by the New York Stock Exchange Approving Securities for ListingCERTNYS
RegistrationsCERTCertifications by the Pacific Coast Stock Exchange Approving Securities for ListingCERTPAC
RegistrationsCERTCertifications by the Philadelphia Stock Exchange Approving Securities for ListingCERTPBS
RegistrationsFunding PortalApplications for Registration as a Crowdfunding PortalCFPORTAL45112
RegistrationsFunding PortalApplications for Withdrawal from Registration as a Crowdfunding PortalCFPORTAL-W1
OtherCorrectionsCORRECTION
LettersComment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP144,679
ReportsC-TRCrowdfunding Terminations of ReportingC-TR13
ReportsC-TR-WCrowdfunding Termination of Reporting WithdrawalsC-TR-W
RegistrationsC-UCrowdfunding Progress UpdatesC-U386
RegistrationsC-U-WCrowdfunding Progress Update WithdrawalsC-U-W1
RegistrationsC-WCrowdfunding Offering Statement WithdrawalsC-W86
RegistrationsDNotices of Offerings of Securities Made Without RegistrationD192,042133,246
Proxies13E-3Definitive Proxy Solicitation Materials – Going-Private Transaction StatementsDEF13E37787
Proxies14ADefinitive Proxy Solicitation MaterialsDEF 14A155,200
Proxies14CDefinitive Proxy Information StatementsDEF 14C11,022
Proxies14AAdditional Definitive Proxy Solicitation MaterialsDEFA14A73,161
Proxies14CAdditional Definitive Proxy Information StatementsDEFA14C328
Proxies14ADefinitive Proxy Solicitation Materials – Contested SolicitationsDEFC14A1,732
Proxies14CDefinitive Proxy Information Statements – Contested SolicitationsDEFC14C25
Proxies14ADefinitive Proxy Solicitation Materials – Mergers and AcquisitionsDEFM14A4,892
Proxies14CDefinitive Proxy Information Statements – Mergers and AcquisitionsDEFM14C405
Proxies14ADefinitive Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsDEFN14A295
Proxies14ARevised Definitive Proxy Solicitation MaterialsDEFR14A5,099
Proxies14CRevised Definitive Proxy Information StatementsDEFR14C390
Proxies14ADefinitive Proxy Solicitation Materials – Special MeetingsDEFS14A3,996
Proxies14CDefinitive Proxy Information Statements – Special MeetingsDEFS14C88
RegistrationsRegistration Effectiveness-Delaying AmendmentsDEL AM972
Proxies14AAdditional Definitive Non-Management Proxy Solicitation MaterialsDFAN14A10,947
Proxies14ARevised Definitive Non-Management Proxy Solicitation MaterialsDFRN14A286
Registrations1-ADraft Offering Statements — Reg. A / A+DOS8288
LettersComment-Response and Draft-Offering-Statement Letters to the SECDOSLTR77
RegistrationsDRSDraft Registration Statements by Emerging Growth Companies and Foreign Private IssuersDRS1,4091,927
LettersComment-Response and Draft-Registration-Statement Letters to the SECDRSLTR1,470
ReportsI.B.R.D. (World Bank) Distribution of Obligations ReportsDSTRBRPT18115
RegistrationsNotices of EffectivenessEFFECT
RegistrationsF-1Registration Statements by Foreign Private IssuersF-11,1093,244
RegistrationsF-1Registrations of Additional SecuritiesF-1MEF120
RegistrationsF-2Registration Statements by Foreign Private IssuersF-21633
RegistrationsF-2Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-2D1
RegistrationsF-3Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-31,1651,083
RegistrationsF-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private IssuersF-3ASR483
RegistrationsF-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-3D50
RegistrationsF-3Post-Effective Amendments to F-3DsF-3DPOS22
RegistrationsF-3Registrations of Additional SecuritiesF-3MEF28
RegistrationsF-4Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination TransactionsF-46541,044
RegistrationsF-4Registrations of Additional SecuritiesF-4MEF8
RegistrationsF-4Post-Effective Amendments to F-4sF-4 POS20
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately)F-61,478116
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately)F-6EF5,802
RegistrationsF-6Post-Effective Amendments to F-6sF-6 POS2,049
RegistrationsF-7Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of RightsF-7358
RegistrationsF-7Post-Effective Amendments to F-7sF-7 POS5
RegistrationsF-8Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-83050
RegistrationsF-8Post-Effective Amendments to F-8sF-8 POS12
RegistrationsF-9Registration Statements by Foreign Private Issuers (Not Effective Immediately)F-99583
RegistrationsF-9Registration Statements by Foreign Private Issuers (Effective Immediately)F-9EF3
RegistrationsF-9Post-Effective Amendments to F-9sF-9 POS5
RegistrationsF-10Registration Statements by Foreign Private Issuers (Not Effective Immediately)F-10632707
RegistrationsF-10Registration Statements by Foreign Private Issuers (Effective Immediately)F-10EF5
RegistrationsF-10Post-Effective Amendments to F-10sF-10POS51
RegistrationsF-80Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or Business CombinationsF-802319
RegistrationsF-80Post-Effective Amendments to F-80sF-80POS15
RegistrationsF-NAppointments of Agents for Service of Process by Foreign Financial EntitiesF-N31521
RegistrationsFree-Writing ProspectusesFWP114,244
RegistrationsF-XAppointments of Agents for Service of Process by Foreign Non-Financial EntitiesF-X1,986165
ReportsNotices of Disclosures in Quarterly and Annual Reports re: The Iran Threat Reduction and Syria Human Rights ActIRANNOTICE2,516
RegistrationsMAApplications for Municipal Advisor RegistrationMA816921
RegistrationsMAAnnual Updates of a Municipal Advisor’s RegistrationMA-A1,192
RegistrationsMA-IInformation Regarding Natural Persons Who Engage in Municipal Advisory ActivitiesMA-I6,7275,436
RegistrationsMA-WNotices of Withdrawal from Registration as a Municipal AdvisorMA-W223
RegistrationsN-1Registration Statements by Open-End Management Investment CompaniesN-12189
RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A1,8022,664
RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A EL361466
RegistrationsN-2Registration Statements by Closed-End Investment CompaniesN-23,3675,146
RegistrationsN-2Registrations of Additional SecuritiesN-2MEF224
RegistrationsN-3Registration Statements for Separate Accounts (Management Investment Companies)N-34019
RegistrationsN-3Registration Statements for Separate Accounts (Management Investment Companies)N-3 EL66
RegistrationsN-4Registration Statements for Separate Accounts (Unit Investment Trusts)N-42,1451,917
RegistrationsN-4Registration Statements for Separate Accounts (Unit Investment Trusts)N-4 EL151141
RegistrationsN-5Registration Statements by Small-Business Investment CompaniesN-5910
RegistrationsN-6Registration Statements for Separate Accounts (Unit Investment Trusts)N-6598434
ReportsN-6FNotices of Intentions to Elect Business-Development-Company StatusN-6F13262
RegistrationsN-8ANotices of RegistrationsN-8A3,991558
RegistrationsN-8B-2Registration Statements by Unit Investment TrustsN-8B-2182170
RegistrationsN-8B-3Registration Statements by Periodic Payment PlansN-8B-3
RegistrationsN-8B-4Registration Statements by Face-Amount Certificate CompaniesN-8B-41
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment CompaniesN-8F2,6761,223
RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N-143,0532,046
RegistrationsN-14Registration Statements by Closed-End Investment Companies (Business Combinations)N-14 8C211250
RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations) with Automatic EffectivenessN-14AE891185
RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N14AE2423058
RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N14EL2415889
RegistrationsN-14Registrations of Additional SecuritiesN-14MEF3
ReportsN-18F-1Notices of ElectionsN-18F11,21029
OwnershipN-23C-1Reports by Closed-End Investment Companies of Purchases of their own SecuritiesN-23C-192016
OwnershipNotices by Closed-End Investment Companies of Intentions to Call or Redeem their own SecuritiesN-23C-21,44151
OwnershipNotices of Periodic Repurchase OffersN-23C3A1,53920
OwnershipNotices of Periodic Repurchase OffersN-23C3B3923
OwnershipNotices of Periodic Repurchase OffersN-23C3C4546
ReportsN-27D-1Accountings for Segregated Trust AccountsN-27D-112
ReportsPeriodic and Interim Reports Mailed to ShareholdersN-30B-210,378
ReportsAnnual and Semi-Annual Reports Mailed to ShareholdersN-30D70,7301,055
ReportsN-54ANotices of Elections by Business Development CompaniesN-54A2608
ReportsN-54CNotices of Withdrawal from Registration by Business Development CompaniesN-54C1714
ReportsN-CRCurrent Reports of Money Market Funds’ Material EventsN-CR436
ReportsN-CSRCertified Annual Shareholder Reports by Management Investment CompaniesN-CSR54,0392,750
ReportsN-CSRCertified Semi-Annual Shareholder Reports by Management Investment CompaniesN-CSRS46,039858
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market FundsN-MFP41,4142,242
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market FundsN-MFP13,040553
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market FundsN-MFP28,596602
ReportsN-PXProxy Voting Record Annual Reports by Management Investment CompaniesN-PX43,3411,698
ReportsN-PXProxy Voting Record Annual Combination Reports by Institutional ManagersN-PX-CR
ReportsN-PXProxy Voting Record Annual Reports by Management Investment Companies that Include Votes by Institutional ManagersN-PX-FM
ReportsN-PXProxy Voting Record Annual Notices by Institutional ManagersN-PX-NT
ReportsN-PXProxy Voting Record Annual Voting Reports by Institutional ManagersN-PX-VR
ReportsN-QQuarterly Schedules of Portfolio Holdings of Management Investment CompaniesN-Q87,641970
RegistrationsNRSROAnnual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO-CE3218
ReportsNRSROAnnual Financial and Other Reports by Nationally Recognized Statistical Rating OrganizationsNRSRO-FR
RegistrationsNRSROUpdates of Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-UPD94
RegistrationsNRSROWithdrawals from Credit Rating Class by Nationally Recognized Statistical Rating OrganizationsNRSRO-WCLS
RegistrationsNRSROWithdrawals from Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-WREG
ReportsN-SARSemi-Annual Reports by Money-Management CompaniesNSAR-A73,1153,982
ReportsN-SARSemi-Annual-Transition Reports by Money-Management CompaniesNSAR-AT20216
ReportsN-SARAnnual Reports by Money-Management CompaniesNSAR-B73,0626,318
ReportsN-SARAnnual-Transition Reports by Money-Management CompaniesNSAR-BT68854
ReportsN-SARAnnual Reports by Unit Investment TrustsNSAR-U16,555344
Reports12b-25Notices of Late Filings of Form 10-DNT 10-D91
Reports12b-25Notices of Late Filings of Form 10-KNT 10-K41,297653
Reports12b-25Notices of Late Filings of Form 10-QNT 10-Q67,334578
Reports12b-25Notices of Late Filings of Form 11-KNT 11-K1,60316
Reports12b-25Notices of Late Filings of Special Financial ReportsNT 15D287
Reports12b-25Notices of Late Filings of Form 20-FNT 20-F1,40925
Reports12b-25Notices of Late Filings of Form N-CSRNTFNCSR74
Reports12b-25Notices of Late Filings of Form N-SARNTFNSAR188
Reports12b-25Notices of Late Filings of Form 10-DNTN 10D5
Reports12b-25Notices of Late Filings of Form 10-KNTN 10K1,580
Reports12b-25Notices of Late Filings of Form 10-QNTN 10Q2,299
Reports12b-25Notices of Late Filings of Form 11-KNTN 11K18
Reports12b-25Notices of Late Filings of Special Financial ReportsNTN15D23
Reports12b-25Notices of Late Filings of Form 20-FNTN 20F34
Reports12b-25Notices of Late Filings of Form N-CSRNT-NCSR31820
ReportsN-MFPLate Filings of Monthly Schedules of Portfolio Holdings of Money Market FundsNT N-MFP238
ReportsN-MFPLate Filings of Monthly Schedules of Portfolio Holdings of Money Market FundsNT N-MFP135
ReportsN-MFPLate Filings of Monthly Schedules of Portfolio Holdings of Money Market FundsNT N-MFP221
Reports12b-25Notices of Late Filings of Form N-SARNT-NSAR2,588116
RegistrationsPost-Effective AmendmentsPOS 8C1,911
RegistrationsPost-Effective AmendmentsPOS462B211
RegistrationsPost-Effective AmendmentsPOS462C82
RegistrationsPost-Effective AmendmentsPOS AM28,276
RegistrationsU-1Post-Effective Amendments to U-1sPOS AMC1,182
RegistrationsPost-Effective AmendmentsPOS AMI5,830
RegistrationsS-3/F-3Post-Effective Amendments to S-3 and F-3 ASRsPOSASR1,524
RegistrationsPost-Effective Amendments to Add ExhibitsPOS EX3,261
Proxies13E-3Preliminary Proxy Solicitation Materials – Going-Private Transaction StatementsPRE13E3173290
Proxies14APreliminary Proxy Solicitation MaterialsPRE 14A35,507
Proxies14CPreliminary Proxy Information StatementsPRE 14C8,706
Proxies14AAdditional Preliminary Proxy Solicitation MaterialsPREA14A16
Proxies14CAdditional Preliminary Proxy Information StatementsPREA14C1
Proxies14APreliminary Proxy Solicitation Materials – Contested SolicitationsPREC14A2,395
Proxies14CPreliminary Proxy Information Statements – Contested SolicitationsPREC14C63
Proxies14APreliminary Proxy Solicitation Materials – Mergers and AcquisitionsPREM14A4,461
Proxies14CPreliminary Proxy Information Statements – Mergers and AcquisitionsPREM14C658
Proxies14APreliminary Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsPREN14A360
Proxies14ARevised Preliminary Proxy Solicitation MaterialsPRER14A10,571
Proxies14CRevised Preliminary Proxy Information StatementsPRER14C2,364
Proxies14APreliminary Proxy Solicitation Materials – Special MeetingsPRES14A3,944
Proxies14CPreliminary Proxy Information Statements – Special MeetingsPRES14C129
Proxies14ARevised Preliminary Non-Management Proxy Solicitation Materials – Contested Solicitations and Other SituationsPRRN14A1,952
ProxiesNotices of Exempt Proxy SolicitationsPX14A6G1,184
ProxiesNotices of Exempt Preliminary Proxy Roll-Up CommunicationsPX14A6N35
ReportsI.B.R.D. (World Bank) Quarterly ReportsQRTLYRPT761
RegistrationsDNotices of Offerings of Securities Made Without RegistrationREGDEX
RegistrationsRegistration Withdrawal RequestsRW11,122
RegistrationsRegistration Withdrawal (Withdraw Duplicate) RequestsRW WD379
RegistrationsS-1Registration Statements (General Form)S-117,46647,863
RegistrationsS-1Registrations of Additional SecuritiesS-1MEF1,304
RegistrationsS-2Registrations of SecuritiesS-29781,457
RegistrationsS-2Registrations of Additional SecuritiesS-2MEF73
RegistrationsS-3Registration Statements for Securities Offered Pursuant to TransactionsS-333,59928,131
RegistrationsS-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned IssuersS-3ASR6,220
RegistrationsS-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansS-3D9155
RegistrationsS-3Post-Effective Amendments to S-3DsS-3DPOS614
RegistrationsS-3Registrations of Additional SecuritiesS-3MEF1,218
RegistrationsS-4Registrations of Securities Issued in Business-Combination TransactionsS-413,81318,648
RegistrationsS-4Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding CompaniesS-4EF7631
RegistrationsS-4Registrations of Additional SecuritiesS-4MEF140
RegistrationsS-4Post-Effective Amendments to S-4sS-4 POS294
RegistrationsS-6Registration Statements by Unit Investment TrustsS-618,3427,646
RegistrationsS-6Registration Statements by Unit Investment TrustsS-6EL241,398359
RegistrationsS-8Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit PlansS-878,31718
RegistrationsS-8Post-Effective Amendments to S-8sS-8 POS29,733
RegistrationsS-11Registration Statements by Real Estate CompaniesS-111,0663,340
RegistrationsS-11Registrations of Additional SecuritiesS-11MEF80
RegistrationsS-20Registration Statements for Standardized OptionsS-2065
RegistrationsBRegistration Statements by Foreign Governments and Political SubdivisionsS-B279170
RegistrationsSB-1Registrations of Securities of Small-Business IssuersSB-1151358
RegistrationsSB-1Registrations of Additional SecuritiesSB-1MEF1
RegistrationsSB-2Registrations of Securities of Small-Business IssuersSB-27,81216,585
RegistrationsSB-2Registrations of Additional SecuritiesSB-2MEF104
RegistrationsBRegistrations of Additional SecuritiesS-BMEF13
RegistrationsSBSEApplications for Registration of Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE
RegistrationsSBSE-AApplications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as a Swap Dealer or Major Swap ParticipantSBSE-A
RegistrationsSBSE-BDApplications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-DealersSBSE-BD
RegistrationsSBSE-CCertifications for Registration of Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE-C
RegistrationsSBSE-WRequests for Withdrawal from Registration as a Security-Based Swap Dealer or Major Security-Based Swap ParticipantSBSE-W
Ownership13DGeneral Statements of Beneficial OwnershipSC 13D54,321111,942
Ownership13E-1Tender-Offer Transaction StatementsSC 13E12313
Ownership13E-3Tender-Offer Statements – Going-Private TransactionsSC 13E32,3447,828
Ownership13E-4Tender-Offer Statements – Issuer Tender OffersSC 13E47341,250
Ownership13E-4FTender-Offer Statements – Issuer Tender OffersSC13E4F1516
Ownership13GStatements of Beneficial OwnershipSC 13G186,733327,350
Ownership14D-1Tender-Offer Statements – Third-Party Tender OffersSC 14D11,2715,205
Ownership14D-1FTender-Offer Statements – Third-Party Tender OffersSC14D1F40134
Ownership14D-9Tender-Offer Solicitation/Recommendation StatementsSC 14D94,0978,925
Ownership14D-9CTender-Offer Solicitation/Recommendation Statements – Preliminary CommunicationsSC14D9C2,222
Ownership14D-9FTender-Offer Solicitation/Recommendation Statements – Preliminary Communications – ForeignSC14D9F3739
Ownership14F-1Statements re: Changes in Majority of DirectorsSC 14F12,165223
Proxies14NInformation from Certain Nominating ShareholdersSC 14N55
Proxies14N-SSolicitations re: Either the Formation of a Nominating Shareholder Group or a NominationSC 14N-S
OwnershipTOTender-Offer Statements – Preliminary CommunicationsSC TO-C5,022
OwnershipTOTender-Offer Statements – Issuer Tender OffersSC TO-I8,06113,515
OwnershipTOTender-Offer Statements – Third-Party Tender OffersSC TO-T2,48011,557
ReportsSpecialized Disclosure Reports Relating to the Use of Conflict MineralsSD5,19220
RegistrationsSDRApplications for Registration as a Security-Based Swap Data RepositorySDR24
RegistrationsSDRApplications for Registration as a Security-Based Swap Data Repository – Annual AmendmentsSDR-A
ReportsSDR-CCOAnnual Compliance and Financial Reports for Security-Based Swap Data RepositoriesSDR-CCO
RegistrationsSDRApplications for Withdrawal from Registration as a Security-Based Swap Data RepositorySDR-W
RegistrationsSF-1Registration Statements (General Form) by Issuers of Asset-Backed SecuritiesSF-129
RegistrationsSF-1Registrations of Additional SecuritiesSF-1MEF
RegistrationsSF-3Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-371147
RegistrationsSF-3Registrations of Additional SecuritiesSF-3MEF
ReportsSHWeekly Short-Sale Entries Reports by Institutional Investment ManagersSH-ER
ReportsSHWeekly Short-Sale Notice Reports by Institutional Investment ManagersSH-NT
ReportsSpecial Financial ReportsSP 15D2562
RegistrationsVoluntary Supplemental Materials Filed by Foreign IssuersSUPPL1,329
RegistrationsT-3Applications for Qualification of a Trust IndentureT-3582577
RegistrationsTA-1Applications for Registration as a Transfer AgentTA-11522,512
ReportsTA-2Annual Reports of Transfer Agents’ ActivitiesTA-24,370513
RegistrationsTA-WNotices of Withdrawal from Registration as a Transfer AgentTA-W236
RegistrationsU-1Applications and DeclarationsU-19692,309
RegistrationsU-3A-2Statements by Holding Companies Claiming ExemptionU-3A-2984163
RegistrationsU-3A3-1Twelve-Month Statements by Banks Claiming ExemptionU-3A3-121
RegistrationsU5ANotices of RegistrationsU5A404
RegistrationsU5BRegistration StatementsU5B3210
ReportsU5SAnnual Reports by Holding CompaniesU5S24268
ReportsU-6B-2Certificates of Notices of Security Issues, Renewals and GuaranteesU-6B-21,2849
ReportsU-7DCertificates Concerning Leases of Utility FacilitiesU-7D2839
ReportsU-9C-3Quarterly Reports by Energy or Gas-Related CompaniesU-9C-363516
OwnershipU-12(I)-AOwnership Statements by Persons Employed or Retained by Registered Holding CompaniesU-12-IA291
OwnershipU-12(I)-BThree-Year Ownership Statements by Persons Employed or Retained by Registered 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
LettersComment and Other Letters from the SEC – CorrectionsULCORRCTN
RegistrationsInitial Undertakings to File ReportsUNDER201
LettersComment and Other Letters from the SEC [ a.k.a. LETTER ]UPLOAD146,672
ReportsX-17A-5Annual Financial Reports by Broker-DealersX-17A-52,225198
________
T This Filing/Form Type is obsolete or no longer made public. Totals 10,495,3741,186,236
This Filing/Form Type pertains to multiple Forms, Schedules, Rules or Regulations.Top

 

Copyright 2018 Fran Finnegan & Company. All Rights Reserved.
AboutPrivacyRedactionsHelp — Fri., May 25, 5:14:11.1am ET