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Form,Sch.,
RuleorReg.
Filing /
Form Type
Filings Totals
CategoryDescriptionOriginal Amended
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Registrations1-AOffering Statements — Reg. A / A+1-A291722
Registrations1-APost-Qualification Amendments to Offering Statements — Reg. A / A+1-A POS202
Registrations1-AWithdrawals of Offering Statements — Reg. A1-A-W5813
Reports1-ENotifications by Small Business Investment Companies and Business Development Companies1-E1013
Reports1-ESales Materials1-E AD2
Reports1-KAnnual Reports — Reg. A1-K688
Reports1-SASemi-Annual Reports — Reg. A1-SA998
Reports1-UCurrent Reports — Reg. A1-U2373
Registrations1-ZExit Reports — Reg. A1-Z313
Registrations1-ZWithdrawals of Exit Reports — Reg. A1-Z-W1
ReportsReports of Sales of Securities2-E52
Ownership3Initial Statements of Beneficial Ownership of Securities3271,81615,855
Ownership4Statements of Changes in Beneficial Ownership of Securities43,062,002100,009
Ownership5Annual Statements of Changes in Beneficial Ownership of Securities597,1133,847
Reports6-KReports by Foreign Private Issuers6-K337,3624,463
Registrations8-ARegistrations of Certain Classes of Securities8-A12B17,1323,985
Registrations8-ARegistrations of Certain Classes of Securities8A12BEF95
Registrations8-ARegistrations of Certain Classes of Securities8A12BT288
Registrations8-ARegistrations of Certain Classes of Securities8-A12G9,7852,321
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12B9429
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12G6113
Reports8-KCurrent Reports8-K1,421,64369,732
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12B16514
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12G3606114
Reports8-KNotices of Assumptions of Duty to Report by Successor Issuers8-K15D5692
Registrations10Registrations of Securities (General Form)10-12B7021,459
Registrations10Registrations of Securities (General Form)10-12G2,3134,046
Reports10-CReports by Issuers of Securities Quoted on NASDAQ10-C1,30525
Reports10-DPeriodic Distribution Reports by Asset-Backed Issuers10-D45,9781,989
Reports10-KAnnual Reports10-K169,36738,929
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-KT431106
Reports10-KAnnual-Transition Reports — Reg. S-K – Item 40510KT4058217
Reports10-QQuarterly Reports10-Q532,44741,844
Reports10-QSBQuarterly Reports by Small Businesses10QSB120,29817,154
Reports10-QQuarterly-Transition Reports10-QT19136
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-K33,407816
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-HR215,65821,833
Ownership13FQuarterly Notices by Institutional Money Managers13F-NT72,1441,562
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12B4,64099
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12G12,455359
Reports15Notices of Suspensions of Duty to File Reports15-15D15,336196
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12B16812
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12G22211
Reports15FNotices of Foreign Private Issuers’ Suspensions of Duty to File Reports15F-15D1142
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-K5731,752
Reports20-FAnnual Reports by Foreign Private Issuers20-F12,9033,015
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12B121123
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12G346529
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-2NT157,9653,096
Registrations24F-2Annual Notices of Securities Sold by Investment Companies24F-2TM603
Reports25Notices to Voluntarily Withdraw Classes of Securities from Listings and Registrations on National Exchanges251,75827
Reports25Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities25-NSE8,125203
Reports35-APPStatements Concerning Proposed Transactions35-APP62
Reports35-CERTCertificates Concerning Terms and Conditions of Transactions35-CERT5,13798
RegistrationsApplications for Orders by Employees’ Securities Companies40-6B1571
ReportsApplications Requesting Extensions of Time for Filing Certain Information, Documents or Reports40-8B2579
RegistrationsInitial Applications for Deregistration by Certain Registered Investment Companies40-8F-21621
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 Companies40-17F133216
ReportsN-17F-2Certificates of Accounting of Securities in the Custody of Management Investment Companies40-17F216,533125
ReportsFidelity Bonds of Management Investment Companies40-17G13,0451,959
ReportsClaims and Settlements re: Management Investment Companies40-17GCS9
ReportsSales Literature of Management Investment Companies40-24B22,57382
ReportsStockholder Derivative Actions re: Management Investment Companies40-331176
RegistrationsApplications for Orders other than those Reviewed by the Office of Insurance Products40-APP1,1341,947
Reports40-FAnnual Reports by Foreign Private Issuers40-F2,158420
Reports40-FAnnual Reports by Foreign Private Issuers — ’34 S.12(b) Reg.40FR12B9346
Reports40-FAnnual Reports by Foreign Private Issuers — ’34 S.12(g) Reg.40FR12G228
RegistrationsApplications for Orders Reviewed by the Office of Insurance Products40-OIP69134
Ownership144Notices of Proposed Sales of Securities1446,557243
Registrations1-AOffering Statements – Information Previously Omitted — Reg. A253G15
Registrations1-AOffering Statements – Information Substantively Changed or Added — Reg. A253G2294
Registrations1-AOffering Statements – Information Previously Omitted or Substantively Changed — Reg. A253G32
Registrations1-AOffering Statements – Information Previously Omitted or Substantively Changed – Not Timely Filed — Reg. A253G41
RegistrationsT-1Statements of Eligibility by Corporations Designated to Act as Trustees305B21,60119
RegistrationsProspectuses424A1,538
RegistrationsProspectuses424B15,808
RegistrationsProspectuses424B2148,726
RegistrationsProspectuses424B3144,021
RegistrationsProspectuses424B48,779
RegistrationsProspectuses424B551,214
RegistrationsProspectuses424B73,231
RegistrationsProspectuses424B8624
RegistrationsPreliminary Prospectuses424H32421
ReportsBusiness-Combination Transaction Communications42557,357
RegistrationsPost-Effective Amendments485A24E88
RegistrationsPost-Effective Amendments485A24F25
RegistrationsPost-Effective Amendments485APOS36,963
RegistrationsPost-Effective Amendments485B24E1,669
RegistrationsPost-Effective Amendments485B24F64
RegistrationsPost-Effective Amendments485BPOS160,332
RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXT17,190
RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXTF1
RegistrationsN-2Post-Effective Amendments to N-2s486A24E1
RegistrationsN-2Post-Effective Amendments to N-2s486APOS146
RegistrationsN-2Post-Effective Amendments to N-2s486B24E2
RegistrationsN-2Post-Effective Amendments to N-2s486BPOS568
RegistrationsPre-Effective Pricing Amendments48716,371
RegistrationsDefinitive Materials497318,121
ReportsAdvertising by Certain Investment Companies497AD3,010
RegistrationsProspectuses497H282
RegistrationsCertifications of No Changes in Definitive Materials497J103,899
RegistrationsSummary Prospectuses of Open-End Management Investment Companies497K143,130
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-15G6,0241,868
RegistrationsAsset-Backed Securities Offerings’ Electronic ExhibitsABS-EE1
ReportsI.B.R.D. (World Bank) Annual ReportsANNLRPT851
RegistrationsAPP WDWithdrawals of Applications for Exemptive or Other Relief from the Federal Securities LawsAPP WD20311
ReportsAnnual Reports to Security HoldersARS1,46010
RegistrationsAmendment Withdrawal RequestsAW3,204
RegistrationsAmendment Withdrawal (Withdraw Duplicate) RequestsAW WD96
ReportsI.B.R.D. (World Bank) Quarterly ReportsBW-227
ReportsI.B.R.D. (World Bank) Distribution of Obligations ReportsBW-393
RegistrationsCCrowdfunding Offering StatementsC569544
RegistrationsC/A-WCrowdfunding Offering Statement Amendment WithdrawalsC/A-W6
ReportsC-ARCrowdfunding Annual ReportsC-AR579
ReportsC-AR/A-WCrowdfunding Annual Report Amendment WithdrawalsC-AR/A-W
ReportsC-AR-WCrowdfunding Annual Report WithdrawalsC-AR-W
OwnershipCBRights/Exchange/Tender Offer Notifications/ResponsesCB980898
RegistrationsFunding PortalApplications for Registration as a Crowdfunding PortalCFPORTAL3688
RegistrationsFunding PortalApplications for Withdrawal from Registration as a Crowdfunding PortalCFPORTAL-W1
OtherCorrectionsCORRECTION
LettersComment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP139,243
ReportsC-TRCrowdfunding Terminations of ReportingC-TR1
ReportsC-TR-WCrowdfunding Termination of Reporting WithdrawalsC-TR-W
RegistrationsC-UCrowdfunding Progress UpdatesC-U162
RegistrationsC-U-WCrowdfunding Progress Update WithdrawalsC-U-W
RegistrationsC-WCrowdfunding Offering Statement WithdrawalsC-W50
RegistrationsDNotices of Offerings of Securities Made Without RegistrationD175,672122,239
Proxies13E-3Definitive Proxy Solicitation Materials – Going-Private Transaction StatementsDEF13E37787
Proxies14ADefinitive Proxy Solicitation MaterialsDEF 14A151,181
Proxies14CDefinitive Proxy Information StatementsDEF 14C10,738
Proxies14AAdditional Definitive Proxy Solicitation MaterialsDEFA14A69,315
Proxies14CAdditional Definitive Proxy Information StatementsDEFA14C316
Proxies14ADefinitive Proxy Solicitation Materials – Contested SolicitationsDEFC14A1,695
Proxies14CDefinitive Proxy Information Statements – Contested SolicitationsDEFC14C25
Proxies14ADefinitive Proxy Solicitation Materials – Mergers and AcquisitionsDEFM14A4,769
Proxies14CDefinitive Proxy Information Statements – Mergers and AcquisitionsDEFM14C396
Proxies14ADefinitive Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsDEFN14A294
Proxies14ARevised Definitive Proxy Solicitation MaterialsDEFR14A5,006
Proxies14CRevised Definitive Proxy Information StatementsDEFR14C381
Proxies14ADefinitive Proxy Solicitation Materials – Special MeetingsDEFS14A3,996
Proxies14CDefinitive Proxy Information Statements – Special MeetingsDEFS14C88
RegistrationsRegistration Effectiveness-Delaying AmendmentsDEL AM946
Proxies14AAdditional Definitive Non-Management Proxy Solicitation MaterialsDFAN14A10,551
Proxies14ARevised Definitive Non-Management Proxy Solicitation MaterialsDFRN14A281
Registrations1-ADraft Offering Statements — Reg. A / A+DOS6670
LettersComment-Response and Draft-Offering-Statement Letters to the SECDOSLTR56
RegistrationsDRSDraft Registration Statements by Emerging Growth Companies and Foreign Private IssuersDRS1,1931,650
LettersComment-Response and Draft-Registration-Statement Letters to the SECDRSLTR1,140
ReportsI.B.R.D. (World Bank) Distribution of Obligations ReportsDSTRBRPT15715
RegistrationsNotices of EffectivenessEFFECT
RegistrationsF-1Registration Statements by Foreign Private IssuersF-11,0483,060
RegistrationsF-1Registrations of Additional SecuritiesF-1MEF112
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-31,1161,063
RegistrationsF-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private IssuersF-3ASR454
RegistrationsF-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-3D49
RegistrationsF-3Post-Effective Amendments to F-3DsF-3DPOS22
RegistrationsF-3Registrations of Additional SecuritiesF-3MEF26
RegistrationsF-4Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination TransactionsF-46421,015
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-61,438108
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately)F-6EF5,672
RegistrationsF-6Post-Effective Amendments to F-6sF-6 POS1,961
RegistrationsF-7Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of RightsF-7328
RegistrationsF-7Post-Effective Amendments to F-7sF-7 POS5
RegistrationsF-8Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-82950
RegistrationsF-8Post-Effective Amendments to F-8sF-8 POS8
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-10600676
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-802218
RegistrationsF-80Post-Effective Amendments to F-80sF-80POS15
RegistrationsF-NAppointments of Agents for Service of Process by Foreign Financial EntitiesF-N30220
RegistrationsFree-Writing ProspectusesFWP108,309
RegistrationsF-XAppointments of Agents for Service of Process by Foreign Non-Financial EntitiesF-X1,915160
ReportsNotices of Disclosures in Quarterly and Annual Reports re: The Iran Threat Reduction and Syria Human Rights ActIRANNOTICE2,245
RegistrationsMAApplications for Municipal Advisor RegistrationMA794771
RegistrationsMAAnnual Updates of a Municipal Advisor’s RegistrationMA-A888
RegistrationsMA-IInformation Regarding Natural Persons Who Engage in Municipal Advisory ActivitiesMA-I6,4344,620
RegistrationsMA-WNotices of Withdrawal from Registration as a Municipal AdvisorMA-W185
RegistrationsN-1Registration Statements by Open-End Management Investment CompaniesN-12189
RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A1,7792,633
RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A EL361466
RegistrationsN-2Registration Statements by Closed-End Investment CompaniesN-23,2865,050
RegistrationsN-2Registrations of Additional SecuritiesN-2MEF221
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-42,1341,898
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-6592431
ReportsN-6FNotices of Intentions to Elect Business-Development-Company StatusN-6F12962
RegistrationsN-8ANotices of RegistrationsN-8A3,943550
RegistrationsN-8B-2Registration Statements by Unit Investment TrustsN-8B-2182168
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-8F2,6151,187
RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N-142,9762,019
RegistrationsN-14Registration Statements by Closed-End Investment Companies (Business Combinations)N-14 8C203242
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-18F11,19929
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-21,39551
OwnershipNotices of Periodic Repurchase OffersN-23C3A1,44219
OwnershipNotices of Periodic Repurchase OffersN-23C3B3893
OwnershipNotices of Periodic Repurchase OffersN-23C3C4546
ReportsN-27D-1Accountings for Segregated Trust AccountsN-27D-112
ReportsPeriodic and Interim Reports Mailed to ShareholdersN-30B-210,119
ReportsAnnual and Semi-Annual Reports Mailed to ShareholdersN-30D70,5721,052
ReportsN-54ANotices of Elections by Business Development CompaniesN-54A2568
ReportsN-54CNotices of Withdrawal from Registration by Business Development CompaniesN-54C1674
ReportsN-CRCurrent Reports of Money Market Funds’ Material EventsN-CR396
ReportsN-CSRCertified Annual Shareholder Reports by Management Investment CompaniesN-CSR51,6922,663
ReportsN-CSRCertified Semi-Annual Shareholder Reports by Management Investment CompaniesN-CSRS44,691834
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-MFP25,559386
ReportsN-PXProxy Voting Record Annual Reports by Management Investment CompaniesN-PX43,3171,691
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-Q83,901954
RegistrationsNRSROAnnual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO-CE2216
ReportsNRSROAnnual Financial and Other Reports by Nationally Recognized Statistical Rating OrganizationsNRSRO-FR
RegistrationsNRSROUpdates of Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-UPD73
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-A71,9483,919
ReportsN-SARSemi-Annual-Transition Reports by Money-Management CompaniesNSAR-AT20216
ReportsN-SARAnnual Reports by Money-Management CompaniesNSAR-B71,0936,203
ReportsN-SARAnnual-Transition Reports by Money-Management CompaniesNSAR-BT67954
ReportsN-SARAnnual Reports by Unit Investment TrustsNSAR-U15,826341
Reports12b-25Notices of Late Filings of Form 10-DNT 10-D91
Reports12b-25Notices of Late Filings of Form 10-KNT 10-K40,500643
Reports12b-25Notices of Late Filings of Form 10-QNT 10-Q66,166571
Reports12b-25Notices of Late Filings of Form 11-KNT 11-K1,60216
Reports12b-25Notices of Late Filings of Special Financial ReportsNT 15D287
Reports12b-25Notices of Late Filings of Form 20-FNT 20-F1,33823
Reports12b-25Notices of Late Filings of Form N-CSRNTFNCSR72
Reports12b-25Notices of Late Filings of Form N-SARNTFNSAR187
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-NCSR31118
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-MFP218
Reports12b-25Notices of Late Filings of Form N-SARNT-NSAR2,579114
RegistrationsPost-Effective AmendmentsPOS 8C1,817
RegistrationsPost-Effective AmendmentsPOS462B208
RegistrationsPost-Effective AmendmentsPOS462C82
RegistrationsPost-Effective AmendmentsPOS AM27,765
RegistrationsU-1Post-Effective Amendments to U-1sPOS AMC1,182
RegistrationsPost-Effective AmendmentsPOS AMI5,689
RegistrationsS-3/F-3Post-Effective Amendments to S-3 and F-3 ASRsPOSASR1,451
RegistrationsPost-Effective Amendments to Add ExhibitsPOS EX2,975
Proxies13E-3Preliminary Proxy Solicitation Materials – Going-Private Transaction StatementsPRE13E3173290
Proxies14APreliminary Proxy Solicitation MaterialsPRE 14A34,774
Proxies14CPreliminary Proxy Information StatementsPRE 14C8,528
Proxies14AAdditional Preliminary Proxy Solicitation MaterialsPREA14A16
Proxies14CAdditional Preliminary Proxy Information StatementsPREA14C1
Proxies14APreliminary Proxy Solicitation Materials – Contested SolicitationsPREC14A2,330
Proxies14CPreliminary Proxy Information Statements – Contested SolicitationsPREC14C63
Proxies14APreliminary Proxy Solicitation Materials – Mergers and AcquisitionsPREM14A4,376
Proxies14CPreliminary Proxy Information Statements – Mergers and AcquisitionsPREM14C648
Proxies14APreliminary Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsPREN14A357
Proxies14ARevised Preliminary Proxy Solicitation MaterialsPRER14A10,462
Proxies14CRevised Preliminary Proxy Information StatementsPRER14C2,326
Proxies14APreliminary Proxy Solicitation Materials – Special MeetingsPRES14A3,944
Proxies14CPreliminary Proxy Information Statements – Special MeetingsPRES14C129
Proxies14ARevised Preliminary Non-Management Proxy Solicitation Materials – Contested Solicitations and Other SituationsPRRN14A1,917
ProxiesNotices of Exempt Proxy SolicitationsPX14A6G1,036
ProxiesNotices of Exempt Preliminary Proxy Roll-Up CommunicationsPX14A6N34
ReportsI.B.R.D. (World Bank) Quarterly ReportsQRTLYRPT691
RegistrationsDNotices of Offerings of Securities Made Without RegistrationREGDEX
RegistrationsRegistration Withdrawal RequestsRW10,967
RegistrationsRegistration Withdrawal (Withdraw Duplicate) RequestsRW WD371
RegistrationsS-1Registration Statements (General Form)S-116,99246,905
RegistrationsS-1Registrations of Additional SecuritiesS-1MEF1,245
RegistrationsS-2Registrations of SecuritiesS-29781,457
RegistrationsS-2Registrations of Additional SecuritiesS-2MEF73
RegistrationsS-3Registration Statements for Securities Offered Pursuant to TransactionsS-333,12927,910
RegistrationsS-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned IssuersS-3ASR5,787
RegistrationsS-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansS-3D9125
RegistrationsS-3Post-Effective Amendments to S-3DsS-3DPOS599
RegistrationsS-3Registrations of Additional SecuritiesS-3MEF1,209
RegistrationsS-4Registrations of Securities Issued in Business-Combination TransactionsS-413,61718,428
RegistrationsS-4Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding CompaniesS-4EF7631
RegistrationsS-4Registrations of Additional SecuritiesS-4MEF138
RegistrationsS-4Post-Effective Amendments to S-4sS-4 POS290
RegistrationsS-6Registration Statements by Unit Investment TrustsS-617,6627,230
RegistrationsS-6Registration Statements by Unit Investment TrustsS-6EL241,398359
RegistrationsS-8Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit PlansS-877,07218
RegistrationsS-8Post-Effective Amendments to S-8sS-8 POS28,692
RegistrationsS-11Registration Statements by Real Estate CompaniesS-111,0513,295
RegistrationsS-11Registrations of Additional SecuritiesS-11MEF78
RegistrationsS-20Registration Statements for Standardized OptionsS-2065
RegistrationsBRegistration Statements by Foreign Governments and Political SubdivisionsS-B264166
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 13D53,496109,163
Ownership13E-1Tender-Offer Transaction StatementsSC 13E12313
Ownership13E-3Tender-Offer Statements – Going-Private TransactionsSC 13E32,3217,753
Ownership13E-4Tender-Offer Statements – Issuer Tender OffersSC 13E47341,250
Ownership13E-4FTender-Offer Statements – Issuer Tender OffersSC13E4F1516
Ownership13GStatements of Beneficial OwnershipSC 13G181,834312,819
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 14D94,0508,773
Ownership14D-9CTender-Offer Solicitation/Recommendation Statements – Preliminary CommunicationsSC14D9C2,168
Ownership14D-9FTender-Offer Solicitation/Recommendation Statements – Preliminary Communications – ForeignSC14D9F3739
Ownership14F-1Statements re: Changes in Majority of DirectorsSC 14F12,139222
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-C4,925
OwnershipTOTender-Offer Statements – Issuer Tender OffersSC TO-I7,76813,098
OwnershipTOTender-Offer Statements – Third-Party Tender OffersSC TO-T2,43511,387
ReportsSpecialized Disclosure Reports Relating to the Use of Conflict MineralsSD4,97218
RegistrationsSDRApplications for Registration as a Security-Based Swap Data RepositorySDR22
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-115
RegistrationsSF-3Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-367145
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 IssuersSUPPL1,295
RegistrationsT-3Applications for Qualification of a Trust IndentureT-3577566
RegistrationsTA-1Applications for Registration as a Transfer AgentTA-11452,403
ReportsTA-2Annual Reports of Transfer Agents’ ActivitiesTA-24,103489
RegistrationsTA-WNotices of Withdrawal from Registration as a Transfer AgentTA-W223
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 Letters and Other Letters from the SEC – CorrectionsULCORRCTN
RegistrationsInitial Undertakings to File ReportsUNDER201
LettersComment Letters and Other Letters from the SEC [ a.k.a. LETTER ]UPLOAD142,567
ReportsX-17A-5Annual Financial Reports by Broker-DealersX-17A-51,259111
________
This Filing/Form Type pertains to multiple Forms, Schedules, Rules or Regulations. Totals 10,112,6031,144,250
T This Filing/Form Type is obsolete or no longer made public.Top

 

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