• Registrations – Applications for Registration or Exemption from Registration as a National Securities Exchange 90 1,424 • Registrations 1-A Offering Statements — Reg. A/A+ 1,081 2,656 • Registrations – Post-Qualification Amendments of Form 1-A Offering Statements — Reg. A/A+ 638 – • Registrations – Withdrawals of Form 1-A Offering Statements — Reg. A/A+ 137 19 • Reports E Notifications by Small Business Investment Companies and Business Development Companies 152 78 • Registrations E Sales Materials 2 – • Reports 1-K Annual Reports — Reg. A 269 21 • Reports 1-SA Semi-Annual Reports — Reg. A 333 20 • Reports 1-U Current Reports — Reg. A 1,192 14 • Reports 1-Z Exit Reports — Reg. A 85 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 303,666 17,093 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities 3,458,894 108,258 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities 103,193 3,984 • 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 Current Reports by Foreign Issuers 395,929 5,117 • Registrations 8-A Registrations of Certain Classes of Securities 19,047 4,400 • Registrations 8-A Registrations of Certain Classes of Securities 95 – • Registrations 8-A Registrations of Certain Classes of Securities 28 8 • Registrations 8-A Registrations of Certain Classes of Securities 9,945 2,350 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 94 29 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 61 13 • 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 1,570,135 73,841 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 225 22 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 623 115 • 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) 766 1,562 • Registrations 10 Registrations of Securities (General Form) 2,522 4,344 • Reports 10-C Reports by Issuers of Securities Quoted on NASDAQ 1,305 25 • Reports 10-D Distribution Reports by Asset-Backed Issuers 62,948 2,211 • Reports 10-K Annual Reports 183,372 41,028 • Reports 10-K Annual Reports — Item 405 – Reg. S-K 20,238 3,227 • Reports 10-KSB Annual Reports by Small Businesses 37,062 11,939 • Reports 10-KSB Annual Reports by Small Businesses — Item 405 – Reg. S-K 3,460 629 • Reports 10-K Annual-Transition Reports 490 114 • Reports 10-K Annual-Transition Reports — Item 405 – Reg. S-K 82 17 • Reports 10-Q Quarterly Reports 575,090 43,287 • Reports 10-QSB Quarterly Reports by Small Businesses 120,308 17,154 • Reports 10-Q Quarterly-Transition Reports 205 36 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 245 134 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 4,147 5,545 • Reports 11-K Annual Reports by Employee Stock Purchase, Savings and Similar Plans 39,930 957 • Reports 11-K Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans 95 2 • Registrations 12g-3 Exemptions for American Depository Receipts and Certain Foreign Securities 613 – • Registrations 12g-3 Exemptions for American Depository Receipts and Certain Foreign Securities 178 – • Ownership 13F Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested 1,271 90 • Ownership 13F Quarterly Reports by Money Managers 1,188 120 • Ownership 13F Quarterly Holdings and Combination Reports by Money Managers 260,016 24,247 • Ownership 13F Quarterly Notices by Money Managers 86,226 1,755 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 5,270 107 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 13,022 403 • Reports 15 Notices of Suspensions of Duty to File Reports 15,825 211 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 184 13 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 230 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 679 2,112 • Reports 19b-4 Proposed Rule Changes by SROs 10 1 • Reports 19b-4(e) Information Required of SROs Listing and Trading in New Derivative Securities Products 26,315 – • Reports 20-F Annual Reports by Foreign Issuers 15,060 3,365 • Registrations 20-F Registrations of Securities of Foreign Issuers 155 153 • Registrations 20-F Registrations of Securities of Foreign Issuers 375 589 • Registrations 24f-1 Notices of Elections to Register Securities 6 – • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 29 2 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 172,503 3,144 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 603 – • Reports 25 Notices by Issuers to Voluntarily Withdraw a Class of Securities from Listing and/or Registration on a National Exchange 3,943 39 • Reports 25 Notices by National Exchanges of the Removal from Listing and/or Registration of Matured, Redeemed or Retired Securities 9,946 235 • Reports 26 Notices of the Admission to Trading of a Substituted or Additional Class of Securities 2 – • Reports SEA §12(g) / 13(a) Applications for Exemptions and from Filing Certain Reports 7 – • Reports 20(e) Statements Concerning Proposed Transactions 6 2 • Reports 24 Certificates Concerning Terms and Conditions of Transactions 5,139 98 • 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 49 164 • Registrations ICA §6(c) Applications for Exemptions and Other Relief 433 529 • Reports 8b-25(a) Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports 103 – • Registrations O-2 Applications for Deregistration Orders by Certain Investment Companies 18 27 • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies – Abandonments of Registration 124 65 • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies – Business Development Companies 4 1 • Registrations ICA Investment Company Registrations Withdrawn by SEC Order 3 1 • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies – Liquidations 455 180 • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies – Mergers 542 174 • Reports 17f-1 Certificates of Accounting of Securities in the Custody of Investment Companies 480 17 • Reports 17f-2 Certificates of Accounting of Securities in the Custody of Investment Companies 17,950 130 • Reports 17g-1(g) Fidelity Bonds for Investment Companies 25,060 2,136 • Reports 17g-1 Claims and Settlements re: Investment Companies 16 – • Reports 24b-2 Sales Literature from Investment Companies 2,873 86 • Reports ICA §33 Stockholder Derivative Actions re: Investment Companies 1,039 8 • Registrations IAA §202 Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act 33 33 • Registrations IAA §203 Exemptions from the Prohibition on Registration 2 2 • Registrations IAA §205 Applications for Performance Fees Exemption 3 2 • Registrations IAA §206(3) Applications for Exemptions 46 36 • Registrations ICA Applications for Exemption Orders and Other Relief 1,798 2,765 • Registrations 40-F Registration Statements and Annual Reports by Canadian Issuers 2,534 480 • Registrations 40-F Registrations of Securities of Canadian Issuers 119 60 • 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) 79 149 • Reports ICA Reports Required from Certain Applicants for Exemptions from the Investment Company Act 2 – • Ownership 144 Notices of Proposed Sales of Securities 7,076 276 • Registrations 1-A Offering Statements – Information Previously Omitted — Reg. A/A+ 42 – • Registrations 1-A Offering Statements – Information Substantively Changed or Added — Reg. A/A+ 1,245 – • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed — Reg. A/A+ 5 – • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed – Not Timely Filed — Reg. A/A+ 1 – • Registrations T-1 Statements of Eligibility by Corporations Designated to Act as Trustees 1,802 20 • Registrations 424(a) Prospectuses 1,545 – • Registrations 424(b)(1) Prospectuses 5,972 – • Registrations 424(b)(2) Prospectuses 222,676 – • Registrations 424(b)(3) Prospectuses 156,574 – • Registrations 424(b)(4) Prospectuses 9,745 – • Registrations 424(b)(5) Prospectuses 56,810 – • Registrations 424(b)(7) Prospectuses 3,600 – • Registrations 424(b)(8) Prospectuses 934 – • Registrations 424(h) Preliminary Prospectuses 665 55 • Reports 425 Prospectuses and Communications – Business Combinations 65,483 – • Registrations 485(a) Post-Effective Amendments of Form N-1 and N-1A Registrations 88 – • Registrations 485(a) Post-Effective Amendments of Form N-1 and N-1A Registrations 25 – • Registrations 485(a) Post-Effective Amendments of Form N-1 and N-1A Registrations 39,213 – • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations 1,669 – • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations 64 – • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations 177,924 – • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates 20,820 – • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates 1 – • Registrations 486(a) Post-Effective Amendments of Form N-2 Registrations 1 – • Registrations 486(a) Post-Effective Amendments of Form N-2 Registrations 200 – • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations 2 – • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations 739 – • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates 35 – • Registrations 487 Pre-Effective Pricing Amendments of Registration Statements 18,512 – • Registrations 497 Definitive Materials 352,238 – • Reports 497 & 482(c) Advertising by Certain Investment Companies 3,572 – • Registrations 497(h)(2) Prospectuses of Certain Closed-End Investment Companies 83 – • Registrations 497(j) Certifications of No Change in Definitive Materials 115,265 – • Registrations 497(k) Summary Prospectuses of Certain Open-End Investment Companies 191,720 – • Reports 497(k)(1)(i) Profiles of Certain Open-End Investment Companies 317 – • Reports 497(k)(1)(ii) Profiles of Certain Open-End Investment Companies 164 – • Reports 497(k)(1)(iii)(A) Profiles of Certain Open-End Investment Companies 52 – • Reports 497(k)(1)(iii)(B) Profiles of Certain Open-End Investment Companies 2,294 – • Reports SEA §15G Asset-Backed Securitizer Reports 9,891 2,942 • Registrations † Asset-Backed Securities Offerings’ [XML] Exhibits 6,052 115 • Reports – Reports by the Asian Development Bank 18 – • Registrations – Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed 50 – • Registrations IAA Registrations of Investment Advisors – 1 • Registrations – Cancellations of Registered Advisers by SEC Order 53 – • Reports IAA Certificates of Accounting of Client Securities and Funds in Possession or Custody of an Investment Advisor 2,451 – • Reports IAA Applications for Continuing Hardship Exemption 8 – • Reports IAA Applications for Temporary Hardship Exemption 72 – • Registrations IAA Appointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment Advisors 674 – • Registrations IAA Notices of Withdrawal from Registration as an Investment Advisor 9 – • Reports – Reports by the African Development Bank 9 1 • Reports – Annual Reports by International Development Banks 103 1 • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Notices 864 – • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Orders 835 – • Registrations APP WD Withdrawals of Applications for Exemptive or Other Relief from Federal Securities Laws 462 12 • Registrations ICA Applications for Exemption Orders – ’40-APP’ Withdrawals Granted 60 – • Reports † Annual Reports to Security Holders 36,691 37 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Initial Information 2 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Correcting Amendments 9 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Material Amendments 29 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Updating Amendments 73 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Notices of Cessation 5 – • Registrations † Amendment Withdrawal Requests 3,602 – • Registrations † Amendment Withdrawal Requests – Withdrawal Duplicate 102 – • Registrations – Cancellations of Registered Brokers and Dealers by SEC Order 430 – • Reports BW – 2 Quarterly Reports by the International Bank for Reconstruction and Development (World Bank) 27 – • Reports BW – 3 Distribution of Primary Obligations Reports by the International Bank for Reconstruction and Development (World Bank) 93 – • Registrations C Crowdfunding Offering Statements 2,236 2,228 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals 8 – • Registrations C-W Crowdfunding Offering Statement Withdrawals 184 – • Reports C-AR Crowdfunding Annual Reports 603 37 • Reports C-AR-W Crowdfunding Annual Report Withdrawals 5 – • Reports C-TR Crowdfunding Terminations of Reporting 68 – • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals 1 – • Registrations C-U Crowdfunding Progress Updates 958 – • Registrations C-U-W Crowdfunding Progress Update Withdrawals 4 – • Reports – CA-1 Filings 2 – • Ownership CB Tender-Offer, Exchange-Offer and Rights-Offering Notices re: Foreign Issuers 1,599 1,470 • Registrations CERT Certifications by Exchanges Approving Securities for Listing 1,741 – • Registrations CERT Certifications by the American Stock Exchange Approving Securities for Listing 1,585 – • Registrations CERT Certifications by the New York Stock Exchange Archipelago Approving Securities for Listing 362 – • Registrations CERT Certifications by the Bats Global Markets Approving Securities for Listing 75 – • Registrations CERT Certifications by the Boston Stock Exchange Approving Securities for Listing 13 – • Registrations CERT Certifications by the Chicago Board Options Exchange Approving Securities for Listing 73 – • Registrations CERT Certifications by the Chicago Stock Exchange Approving Securities for Listing 2 – • Registrations CERT Certifications by the NASDAQ Stock Market Approving Securities for Listing 2,776 – • Registrations CERT Certifications by the New York Stock Exchange Approving Securities for Listing 5,655 – • Registrations CERT Certifications by the Pacific Coast Stock Exchange Approving Securities for Listing 542 – • Registrations CERT Certifications by the Philadelphia Stock Exchange Approving Securities for Listing 3 – • Registrations Funding Portal Applications for Registration as a Crowdfunding Portal 63 224 • Registrations Funding Portal Applications for Withdrawal from Registration as a Crowdfunding Portal 7 – • Letters – Comment-Response and Other Letters to the SEC [ a.k.a. Document COVER ] 157,658 – • Orders – SEC Confidential Treatment Orders 15,727 – • Registrations D Notices of Exempt Offerings of Securities 237,473 162,044 • Proxies 13e-3 Definitive Proxy Statements for Going-Private Transactions 77 87 • Proxies 14A Definitive Proxy Statements 161,423 – • Proxies 14C Definitive Proxy Information Statements 11,820 – • Proxies 14A Additional Definitive Proxy Soliciting Materials 80,284 – • Proxies 14C Additional Definitive Proxy Information Statements 345 – • Proxies 14A Definitive Proxy Statements for Contested Solicitations 1,855 – • Proxies 14C Definitive Proxy Information Statements for Contested Solicitations 25 – • Proxies 14A Definitive Proxy Statements for Mergers and Acquisitions 5,292 – • Proxies 14C Definitive Proxy Information Statements for Mergers and Acquisitions 422 – • Proxies 14A Definitive Non-Management Proxy Statements 302 – • Registrations – Definitive Offering Circulars — Reg. A 2 – • Proxies 14A Revised Definitive Proxy Soliciting Materials 5,286 – • Proxies 14C Revised Definitive Proxy Information Statements 406 – • Proxies 14A Definitive Proxy Statements for Special Meetings 3,996 – • Proxies 14C Definitive Proxy Information Statements for Special Meetings 88 – • Registrations † Registration Effectiveness-Delaying Amendments 1,062 – • Proxies 14A Additional Definitive Non-Management Proxy Soliciting Materials 11,727 – • Proxies 14A Revised Definitive Non-Management Proxy Statements 310 – • Registrations 1-A Draft Offering Statements — Reg. A/A+ 134 153 • Letters – Comment-Response and Draft-Offering-Statement Letters to the SEC 134 – • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Issuers 2,094 2,757 • Letters – Comment-Response and Draft-Registration-Statement Letters to the SEC 2,262 – • Reports – Distribution of Primary Obligations Reports by International Development Banks 429 19 • Reports – Reports by the European Bank for Reconstruction and Development 16 1 • Registrations † Notices of Effectiveness 50,502 – • Registrations F-1 Registration Statements by Foreign Issuers 1,337 3,788 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-1 Registration 148 – • Registrations F-2 Registration Statements by Foreign Issuers 16 36 • Registrations F-2 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 1 – • Registrations F-3 Registration Statements by Foreign Issuers for Securities Offered Pursuant to Transactions 1,356 1,212 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Issuers 548 – • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 55 – • Registrations – Post-Effective Amendments of F-3D Registrations 29 – • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-3 Registration 29 – • Registrations F-4 Registration Statements by Foreign Issuers for Securities Issued in Business-Combination Transactions 719 1,357 • 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 21 – • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Not Effective Immediately 1,694 157 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Effective Immediately 6,521 – • Registrations – Post-Effective Amendments of F-6EF Registrations 2,238 – • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights 42 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 Business Combinations 32 51 • Registrations – Post-Effective Amendments of Form F-8 Registrations 13 – • Registrations F-9 Registration Statements by Canadian Issuers – Not Effective Immediately 101 90 • Registrations F-9 Registration Statements by Canadian Issuers – Effective Immediately 3 – • Registrations – Post-Effective Amendments of F-9EF Registrations 5 – • Registrations F-10 Registration Statements by Canadian Issuers – Not Effective Immediately 729 801 • Registrations F-10 Registration Statements by Canadian Issuers – Effective Immediately 7 – • Registrations – Post-Effective Amendments of F-10EF Registrations 56 – • Registrations F-80 Registrations of Securities of Canadian Issuers for Securities to be Issued in Exchange Offers and Business Combinations 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 354 24 • Reports – Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers 29,196 1,060 • Registrations 163 / 433 Free-Writing Prospectuses 136,313 – • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities 2,537 273 • 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 Status as a Government Securities Broker or Dealer by Financial Institutions 22 253 • Registrations – Notices of Withdrawal as a Government Securities Broker or Dealer by Financial Institutions 16 – • Reports – Reports by the Inter-American Development Bank 13 – • Registrations ID Applications for EDGAR Access – New Central Index Key (CIK) 1 – • Reports – Reports by the International Finance Corporation 6 – • Reports SEA §13(r) Notices of Disclosures in Quarterly and Annual Reports — ITRASHRA’12 2,936 – • Registrations MA Applications for Municipal Advisor Registration 863 1,332 • Registrations MA Annual Updates of a Municipal Advisor’s Registration 1,657 – • Registrations MA-I Information Regarding Natural Persons Who Engage in Municipal Advisory Activities 7,633 7,744 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor 306 – • Registrations – Registrations of Municipal Securities Dealers 44 423 • Registrations – Cancellations of Registered Municipal Securities Dealers by SEC Order 22 – • 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 1,852 2,743 • Registrations N-1A Registration Statements by Open-End Investment Companies 361 466 • Registrations N-2 Registration Statements by Closed-End Investment Companies 3,596 5,516 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-2 Registration 235 – • Registrations N-3 Registration Statements for Separate Accounts – Investment Companies 40 19 • Registrations N-3 Registration Statements for Separate Accounts – Investment Companies 6 6 • Registrations N-4 Registration Statements for Separate Accounts – Unit Investment Trusts 2,219 1,975 • Registrations N-4 Registration Statements for Separate Accounts – Unit Investment Trusts 151 141 • Registrations N-5 Registration Statements by Small-Business Investment Companies 9 10 • Registrations N-6 Registration Statements for Separate Accounts – Unit Investment Trusts 661 492 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status 138 62 • Registrations N-8A Notices of Registrations 4,144 599 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts 183 172 • Registrations N-8B-4 Registration Statements by Face-Amount Certificate Companies 3 – • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies 2,944 1,342 • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Notices 1,593 – • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Orders 1,706 – • Registrations N-14 Registration Statements by Open-End Investment Companies – Business Combinations 3,324 2,216 • Registrations N-14 Registration Statements by Closed-End Investment Companies – Business Combinations 241 283 • Registrations N-14 Registration Statements by Open-End Investment Companies with Automatic Effectiveness – Business Combinations 891 185 • Registrations N-14 Registration Statements by Open-End Investment Companies – Business Combinations 230 58 • Registrations N-14 Registration Statements by Open-End Investment Companies – Business Combinations 158 89 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-14 Registration 4 – • Reports 18f-1 Notices of Elections 1,253 31 • Ownership N-23C-1 Reports by Closed-End Investment Companies of Purchases of their own Securities 920 16 • Ownership 23c-2(b) Notices by Closed-End Investment Companies of Intentions to Call or Redeem their own Securities 1,559 51 • Ownership 23c-3(b) only Notices of Periodic Repurchase Offers 1,916 25 • Ownership 23c-3(c) only Notices of Periodic Repurchase Offers 399 3 • Ownership 23c-3(b) & (c) Notices of Periodic Repurchase Offers 48 47 • Reports N-27D-1 Accountings for Segregated Trust Accounts 12 – • Reports 30b-2 Periodic and Interim Reports Mailed to Shareholders of Investment Companies 11,042 – • Reports 30d-1 Annual and Semi-Annual Reports Mailed to Shareholders of Investment Companies 71,071 1,057 • Reports N-54A Notices of Elections by Business Development Companies 275 8 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies 187 4 • Reports N-CEN Annual Reports by Investment Companies 4,519 774 • Reports N-CEN Annual Reports by Investment Companies (Late Filings) 106 – • Reports N-CR Current Reports of Money-Market Funds’ Material Events 55 6 • Reports N-CSR Certified Annual Shareholder Reports by Investment Companies 59,199 2,917 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Investment Companies 51,731 915 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds 41,414 2,243 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) 238 – • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds 3,040 553 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) 35 – • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds 16,946 888 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) 224 – • Letters 14a-8 SEC No-Action Letters [ a.k.a. Document 14A-8 ] 9,085 – • Reports N-PORT Portfolio Holdings Schedules by Investment Companies [ now Exhibit NPORT-EX of Filing NPORT-P ] 7,210 10 • Reports N-PORT Portfolio Holdings Schedules by Investment Companies (Late Filings) [ now Exhibit NPORT-EX of Filing NPORT-P ] 27 – • Reports N-PORT Monthly Portfolio Investments Reports (Public) by Investment Companies 9,089 172 • Proxies N-PX Proxy Voting Records – Annual Reports by Investment Companies 48,778 1,808 • Reports N-Q Quarterly Portfolio Holdings Schedules by Investment Companies 94,544 1,005 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations 42 25 • Registrations NRSRO Updates of Registration by Nationally Recognized Statistical Rating Organizations 142 – • Reports N-SAR Semi-Annual Reports by Investment Companies 73,406 4,004 • Reports N-SAR Semi-Annual-Transition Reports by Investment Companies 202 16 • Reports N-SAR Annual Reports by Investment Companies 73,542 6,357 • Reports N-SAR Annual-Transition Reports by Investment Companies 689 54 • Reports N-SAR Annual Reports by Unit Investment Trusts 16,570 351 • Reports 12b-25 Notices of Late Filings of Form 10-D 9 1 • Reports 12b-25 Notices of Late Filings of Form 10-D (Late Notices) 5 – • Reports 12b-25 Notices of Late Filings of Form 10-K 42,441 666 • Reports 12b-25 Notices of Late Filings of Form 10-K (Late Notices) 1,580 – • Reports 12b-25 Notices of Late Filings of Form 10-Q 69,928 588 • Reports 12b-25 Notices of Late Filings of Form 10-Q (Late Notices) 2,302 – • Reports 12b-25 Notices of Late Filings of Form 11-K 1,648 16 • Reports 12b-25 Notices of Late Filings of Form 11-K (Late Notices) 18 – • 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 – • Reports 12b-25 Notices of Late Filings of Form 20-F 1,552 26 • Reports 12b-25 Notices of Late Filings of Form 20-F (Late Notices) 37 – • Reports 12b-25 Notices of Late Filings of Form N-CEN 52 1 • Reports 12b-25 Notices of Late Filings of Form N-CEN (Late Notices) 12 – • Reports 12b-25 Notices of Late Filings of Form N-CSR 339 24 • Reports 12b-25 Notices of Late Filings of Form N-CSR (Late Notices) 75 – • Reports 12b-25 Notices of Late Filings of Form N-SAR 2,590 116 • Reports 12b-25 Notices of Late Filings of Form N-SAR (Late Notices) 190 – • 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 Registrations 2,138 – • Registrations † Post-Effective Amendments of Rule 462(b) Registration Statements 218 – • Registrations † Post-Effective Amendments of Rule 462(c) Registration Statements 83 – • Registrations † Post-Effective Amendments of Registrations 29,517 – • Registrations PUHCA Post-Effective Amendments of Form U-1 Registrations 1,182 – • Registrations ICA Post-Effective Amendments of Investment Company Registrations 6,103 – • Registrations S-3ASR / F-3ASR Post-Effective Amendments of Automatic Shelf Registration Statements 1,762 – • Registrations 462(d) Post-Effective Amendments of Registration Statements to Add Exhibits 3,830 – • Proxies 13e-3 Preliminary Proxy Statements for Going-Private Transactions 173 290 • Proxies 14A Preliminary Proxy Statements 36,818 – • Proxies 14C Preliminary Proxy Information Statements 9,201 – • Proxies 14A Additional Preliminary Proxy Soliciting Materials 16 – • Proxies 14C Additional Preliminary Proxy Information Statements 1 – • Proxies 14A Preliminary Proxy Statements for Contested Solicitations 2,528 – • Proxies 14C Preliminary Proxy Information Statements for Contested Solicitations 63 – • Proxies 14A Preliminary Proxy Statements for Mergers and Acquisitions 4,699 – • Proxies 14C Preliminary Proxy Information Statements for Mergers and Acquisitions 674 – • Proxies 14A Preliminary Non-Management Proxy Statements 370 – • Proxies 14A Revised Preliminary Proxy Soliciting Materials 10,849 – • Proxies 14C Revised Preliminary Proxy Information Statements 2,438 – • Proxies 14A Preliminary Proxy Statements for Special Meetings 3,944 – • Proxies 14C Preliminary Proxy Information Statements for Special Meetings 129 – • Proxies 14A Revised Preliminary Non-Management Proxy Soliciting Materials for Contested Solicitations and Other Situations 2,038 – • Proxies 14a-6(g) Notices of Exempt Non-Management Proxy Solicitations 1,480 – • Proxies 14a-6(n) Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications 40 – • Reports – Quarterly Reports by International Development Banks 126 3 • Registrations – Notices of Qualification — Reg. A/A+ 837 – • Registrations D Notices of Exempt Offerings of Securities 128,231 42,440 • Registrations – Initial Undertakings to File Reports for Non-Resident Brokers, Dealers and Investment Advisers 67 2 • Registrations SEA §12(j) SEC Orders Revoking Securities Exchange Act Registrations 5,628 – • Registrations † Registration Withdrawal Requests 11,670 – • Registrations † Withdrawals of Registration Withdrawal Requests 396 – • Registrations S-1 Registration Statements (General Form) 18,642 50,053 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-1 Registration 1,456 – • Registrations S-2 Registration Statements 978 1,457 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-2 Registration 73 – • Registrations S-3 Registration Statements for Securities Offered Pursuant to Transactions 34,672 28,540 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers 6,959 – • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 939 5 • Registrations – Post-Effective Amendments of S-3D Registrations 649 – • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-3 Registration 1,250 – • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions 14,265 19,201 • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions Forming Bank and Savings & Loan Holding Companies 76 31 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-4 Registration 151 – • Registrations – Post-Effective Amendments of S-4EF Registrations 300 – • Registrations S-6 Registration Statements by Unit Investment Trusts 20,097 8,050 • Registrations S-6 Registration Statements by Unit Investment Trusts 1,398 359 • Registrations S-8 Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit Plans 81,607 18 • Registrations – Post-Effective Amendments of Form S-8 Registrations 32,741 – • Registrations S-11 Registration Statements by Real Estate Companies 1,095 3,399 • 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 320 196 • Registrations 462(b) Registration Statements to Add Securities to a Prior Schedule B Registration 13 – • Registrations SB-1 Registration Statements by Small-Business Issuers 151 359 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form SB-1 Registration 1 – • Registrations SB-2 Registration Statements by Small-Business Issuers 7,812 16,585 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form SB-2 Registration 104 – • Ownership 13D Statements of Acquisitions of Beneficial Ownership by Non-Passive Investors 56,319 118,423 • Ownership 13E-1 Tender-Offer Statements by Issuers 23 13 • Ownership 13E-3 Tender-Offer Statements by Issuers for Going-Private Transactions 2,394 8,012 • Ownership 13E-4 / TO Tender-Offer Statements by Issuers 734 1,250 • Ownership 13E-4F Tender-Offer Statements by Canadian Issuers 17 26 • Ownership 13G Statements of Acquisitions of Beneficial Ownership by Passive Investors 194,275 345,558 • Ownership 14D-1 Tender-Offer Statements by Third Parties 1,271 5,205 • Ownership 14D-1F Tender-Offer Statements by Canadian Third Parties 44 147 • Ownership 14D-9 Tender-Offer Solicitation/Recommendation Statements 4,193 9,223 • Ownership 14D-9C Tender-Offer Communications by Issuers re: Third-Party Offers 2,330 – • Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers 40 40 • Ownership 14F-1 Statements re: Changes in the Majority of Directors 2,219 227 • Proxies 14N Information from Certain Nominating Shareholders 7 6 • Ownership TO Tender-Offer Communications re: Issuer and Third-Party Offers 5,256 – • Ownership TO Tender-Offer Statements by Issuers 8,845 14,585 • Ownership TO Tender-Offer Statements by Third Parties 2,563 11,929 • Reports 13p-1 Specialized Disclosure Reports Relating to the Use of Conflict Minerals 7,169 24 • 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 3,573 – • Letters – SEC Staff Actions [ a.k.a. Document ORDER ] 167 – • Letters – SEC Staff Letters [ a.k.a. Documents STAFF LETTER , 14A-8 , REDACTED EXHIBIT & SERIOUS DEFICIENCIES ] 164 – • 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 125 194 • Registrations – Sales Literature 9 – • Reports 15d-2 Special Financial Reports 56 2 • Orders – SEC Stop Orders 59 – • Registrations SA §11(a) Voluntary Supplemental Materials by Foreign Issuers 55,658 – • Registrations T-3 Applications for Qualification of a Trust Indenture 620 613 • Registrations TA-1 Applications for Registration as a Transfer Agent 392 4,067 • Reports TA-2 Annual Reports of Transfer Agents’ Activities 8,278 721 • Registrations – Cancellations of Registered Transfer Agents by SEC Order 128 – • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent 487 – • Reports TH Notices of Reliance on Temporary Hardship Exemption 135 – • Registrations – Testing-the-Waters Filings — Reg. A/A+ 28 8 • Registrations U-1 Applications and Declarations 969 2,309 • Registrations U-3A-2 Statements by Utility Holding Companies Claiming Exemption 985 163 • Registrations U-3A3-1 Twelve-Month Statements by Banks Claiming Exemption 21 – • Registrations U5A Notices of Registrations 40 4 • Registrations U5B Registration Statements 32 10 • Reports U5S Annual Reports by Utility Holding Companies 242 68 • Reports U-6B-2 Certificates of Notices of Security Issues, Renewals and Guarantees 1,284 9 • Reports U-7D Certificates Concerning Leases of Utility Facilities 31 39 • Reports U-9C-3 Quarterly Reports by Energy or Gas-Related Companies 636 16 • Ownership U-12(I)-A Ownership Statements by Persons Employed or Retained by Utility Holding Companies 29 1 • Ownership U-12(I)-B Three-Year Ownership Statements by Persons Employed or Retained by Utility Holding Companies 1,537 3 • Reports U-13-60 Annual Reports by Mutual and Subsidiary Service Companies 366 17 • Ownership U-13E-1 Transaction Statements by Affiliate and Independent Service Companies 4 – • Reports U-33-S Annual Reports by Foreign Utility Companies 48 1 • Reports U-57 Notices of Foreign Utility Company Status 614 237 • Registrations S-6 Initial Undertakings to File Reports 41 1 • Letters – Comment and Other Letters from the SEC [ a.k.a. Document LETTER ] 155,812 – • 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 84,001 5,717 ____________ Totals 11,925,273 1,327,867 T This Filing/Form Type is no longer filed, or is no longer made public, or is now a different Type. (118 of them) † This Filing/Form Type pertains to multiple Forms, Schedules, Rules or Regulations of Acts’ Sections. 