• Registrations – Applications for Registration or Exemption from Registration as a National Securities Exchange 89 1,306 • Registrations 1-A Offering Statements — Reg. A/A+ 1,013 2,482 • Registrations – Post-Qualification Amendments of Form 1-A Offering Statements — Reg. A/A+ 560 – • Registrations – Withdrawals of Form 1-A Offering Statements — Reg. A/A+ 131 18 • 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 259 19 • Reports 1-SA Semi-Annual Reports — Reg. A 244 17 • Reports 1-U Current Reports — Reg. A 991 14 • Reports 1-Z Exit Reports — Reg. A 79 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 299,126 16,973 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities 3,409,079 107,393 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities 102,726 3,972 • Registrations ICA Applications for Exemption Orders – ’40-6B’ SEC Notices 24 – • Registrations ICA Applications for Exemption Orders – ’40-6B’ SEC Orders 24 – • Reports 6-K Current Reports by Foreign Issuers 388,977 5,022 • Registrations 8-A Registrations of Certain Classes of Securities 18,735 4,383 • 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 9,931 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 1,549,894 73,295 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 214 21 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 622 115 • 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 64 – • Registrations – Consents to Service of Process by Notice – Non-Resident Broker-Dealer Partnerships 13 – • Registrations 10 Registrations of Securities (General Form) 753 1,551 • Registrations 10 Registrations of Securities (General Form) 2,482 4,307 • Reports 10-C Reports by Issuers of Securities Quoted on NASDAQ 1,305 25 • Reports 10-D Distribution Reports by Asset-Backed Issuers 60,148 2,173 • Reports 10-K Annual Reports 182,776 40,707 • 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 487 114 • Reports 10-K Annual-Transition Reports — Item 405 – Reg. S-K 82 17 • Reports 10-Q Quarterly Reports 569,288 43,094 • 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 39,903 957 • 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 254,149 23,985 • Ownership 13F Quarterly Notices by Money Managers 84,586 1,692 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 5,169 105 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 12,950 399 • Reports 15 Notices of Suspensions of Duty to File Reports 15,769 210 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 181 13 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 229 12 • Reports 15F Notices of Foreign Issuers’ Suspensions of Duty to File Reports 124 3 • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 4 – • Reports 18-K Annual Reports by Foreign Governments and Political Subdivisions 664 2,054 • 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 26,129 – • Reports 20-F Annual Reports by Foreign Issuers 15,001 3,350 • Registrations 20-F Registrations of Securities of Foreign Issuers 151 149 • Registrations 20-F Registrations of Securities of Foreign Issuers 374 589 • 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 170,940 3,141 • 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 3,891 39 • Reports 25 Notices by National Exchanges of the Removal from Listing and/or Registration of Matured, Redeemed or Retired Securities 9,655 230 • 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 48 161 • 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 17 26 • 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 455 17 • Reports 17f-2 Certificates of Accounting of Securities in the Custody of Investment Companies 17,572 129 • Reports 17g-1(g) Fidelity Bonds of Investment Companies 24,706 2,114 • Reports 17g-1 Claims and Settlements re: Investment Companies 15 – • Reports 24b-2 Sales Literature of Investment Companies 2,831 86 • Reports ICA §33 Stockholder Derivative Actions re: Investment Companies 1,030 8 • Registrations IAA §202 Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act 32 30 • 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 44 36 • Registrations ICA Applications for Exemption Orders and Other Relief 1,776 2,717 • Registrations 40-F Registration Statements and Annual Reports by Canadian Issuers 2,523 475 • Registrations 40-F Registrations of Securities of Canadian Issuers 116 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) 79 148 • Reports ICA Reports Required from Certain Applicants for Exemptions from the Investment Company Act 2 – • Ownership 144 Notices of Proposed Sales of Securities 6,994 275 • Registrations 1-A Offering Statements – Information Previously Omitted — Reg. A/A+ 35 – • Registrations 1-A Offering Statements – Information Substantively Changed or Added — Reg. A/A+ 1,024 – • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed — Reg. A/A+ 4 – • 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 1,774 20 • Registrations 424(a) Prospectuses 1,545 – • Registrations 424(b)(1) Prospectuses 5,963 – • Registrations 424(b)(2) Prospectuses 209,513 – • Registrations 424(b)(3) Prospectuses 154,813 – • Registrations 424(b)(4) Prospectuses 9,598 – • Registrations 424(b)(5) Prospectuses 55,966 – • Registrations 424(b)(7) Prospectuses 3,564 – • Registrations 424(b)(8) Prospectuses 882 – • Registrations 424(h) Preliminary Prospectuses 618 53 • Reports 425 Prospectuses and Communications – Business Combinations 64,309 – • 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 38,874 – • 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 175,899 – • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates 20,349 – • 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 192 – • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations 2 – • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations 709 – • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates 26 – • Registrations 487 Pre-Effective Pricing Amendments of Registration Statements 18,208 – • Registrations 497 Definitive Materials 347,442 – • Reports 497 & 482(c) Advertising by Certain Investment Companies 3,465 – • Registrations 497(h)(2) Prospectuses of Certain Closed-End Investment Companies 83 – • Registrations 497(j) Certifications of No Change in Definitive Materials 113,924 – • Registrations 497(k) Summary Prospectuses of Certain Open-End Investment Companies 185,700 – • 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 9,395 2,809 • Registrations † Asset-Backed Securities Offerings’ [XML] Exhibits 4,745 103 • 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 70 – • Registrations IAA Appointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment Advisors 650 – • 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 100 1 • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Notices 851 – • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Orders 823 – • Registrations APP WD Withdrawals of Applications for Exemption and Other Relief from Federal Securities Laws 446 12 • Registrations ICA Applications for Exemption Orders – ’40-APP’ Withdrawals Granted 52 – • Reports † Annual Reports to Security Holders 36,684 37 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Initial Information 2 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Correcting Amendments 2 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Material Amendments 2 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Updating Amendments 13 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Notices of Cessation 5 – • Registrations † Amendment Withdrawal Requests 3,548 – • Registrations † Amendment Withdrawal Requests – Withdrawal Duplicate 101 – • 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 1,922 1,913 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals 8 – • Registrations C-W Crowdfunding Offering Statement Withdrawals 155 – • Reports C-AR Crowdfunding Annual Reports 587 34 • Reports C-AR-W Crowdfunding Annual Report Withdrawals 4 – • Reports C-TR Crowdfunding Terminations of Reporting 55 – • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals 1 – • Registrations C-U Crowdfunding Progress Updates 851 – • 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 1,584 1,444 • Registrations CERT Certifications by Exchanges Approving Securities for Listing 1,426 – • 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 71 – • 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 60 201 • 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. COVER ] 154,968 – • Orders – SEC Confidential Treatment Orders 15,585 – • Registrations D Notices of Exempt Offerings of Securities 227,734 156,175 • Proxies 13e-3 Definitive Proxy Statements for Going-Private Transactions 77 87 • Proxies 14A Definitive Proxy Statements 160,707 – • Proxies 14C Definitive Proxy Information Statements 11,661 – • Proxies 14A Additional Definitive Proxy Soliciting Materials 79,292 – • Proxies 14C Additional Definitive Proxy Information Statements 343 – • Proxies 14A Definitive Proxy Statements for Contested Solicitations 1,824 – • Proxies 14C Definitive Proxy Information Statements for Contested Solicitations 25 – • Proxies 14A Definitive Proxy Statements for Mergers and Acquisitions 5,207 – • Proxies 14C Definitive Proxy Information Statements for Mergers and Acquisitions 419 – • Proxies 14A Definitive Non-Management Proxy Statements 300 – • Registrations – Definitive Offering Circulars — Reg. A 2 – • Proxies 14A Revised Definitive Proxy Soliciting Materials 5,252 – • Proxies 14C Revised Definitive Proxy Information Statements 398 – • 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 1,043 – • Proxies 14A Additional Definitive Non-Management Proxy Soliciting Materials 11,561 – • Proxies 14A Revised Definitive Non-Management Proxy Statements 306 – • Registrations 1-A Draft Offering Statements — Reg. A/A+ 122 135 • Letters – Comment-Response and Draft-Offering-Statement Letters to the SEC 111 – • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Issuers 1,966 2,601 • Letters – Comment-Response and Draft-Registration-Statement Letters to the SEC 2,124 – • Reports – Distribution of Primary Obligations Reports by International Development Banks 394 19 • Reports – Reports by the European Bank for Reconstruction and Development 16 1 • Registrations † Notices of Effectiveness 49,510 – • Registrations F-1 Registration Statements by Foreign Issuers 1,283 3,667 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-1 Registration 142 – • 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 1,321 1,199 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Issuers 538 – • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 55 – • Registrations – Post-Effective Amendments of F-3D Registrations 28 – • 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 709 1,337 • 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 1,658 152 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Effective Immediately 6,065 – • Registrations – Post-Effective Amendments of F-6EF Registrations 2,196 – • 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 711 781 • 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 352 23 • Reports – Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers 29,087 1,059 • Registrations 163 / 433 Free-Writing Prospectuses 130,698 – • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities 2,503 273 • 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 22 251 • 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 2,881 – • Registrations MA Applications for Municipal Advisor Registration 854 1,243 • Registrations MA Annual Updates of a Municipal Advisor’s Registration 1,575 – • Registrations MA-I Information Regarding Natural Persons Who Engage in Municipal Advisory Activities 7,433 7,337 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor 285 – • Registrations – Registrations of Municipal Securities Dealers 44 420 • Registrations – Cancellations of Registered Municipal Securities Dealers by SEC Order 22 – • Registrations 15Bc3-1 Notices of Withdrawal from Registration as a Municipal Securities Dealer 81 – • Registrations N-1 Registration Statements by Open-End Investment Companies 2 189 • Registrations N-1A Registration Statements by Open-End Investment Companies 1,843 2,719 • Registrations N-1A Registration Statements by Open-End Investment Companies 361 466 • Registrations N-2 Registration Statements by Closed-End Investment Companies 3,555 5,455 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-2 Registration 234 – • 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 2,189 1,946 • 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 644 459 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status 134 62 • Registrations N-8A Notices of Registrations 4,114 598 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts 182 172 • Registrations N-8B-4 Registration Statements by Face-Amount Certificate Companies 1 – • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies 2,850 1,321 • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Notices 1,508 – • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Orders 1,651 – • Registrations N-14 Registration Statements by Open-End Investment Companies – Business Combinations 3,267 2,169 • Registrations N-14 Registration Statements by Closed-End Investment Companies – Business Combinations 234 277 • 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 1,247 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 1,541 51 • Ownership 23c-3(b) only Notices of Periodic Repurchase Offers 1,831 25 • Ownership 23c-3(c) only Notices of Periodic Repurchase Offers 398 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 10,969 – • Reports 30d-1 Annual and Semi-Annual Reports Mailed to Shareholders of Investment Companies 71,068 1,057 • Reports N-54A Notices of Elections by Business Development Companies 270 8 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies 181 4 • Reports N-CEN Annual Reports by Investment Companies 3,500 690 • Reports N-CEN Annual Reports by Investment Companies (Late Filings) 102 – • Reports N-CR Current Reports of Money-Market Funds’ Material Events 52 6 • Reports N-CSR Certified Annual Shareholder Reports by Investment Companies 58,021 2,893 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Investment Companies 51,096 911 • Reports N-MFP Monthly Holdings Schedules of Money-Market Funds 41,414 2,243 • Reports N-MFP Monthly Holdings Schedules of Money-Market Funds (Late Filings) 238 – • Reports N-MFP Monthly Holdings Schedules of Money-Market Funds 3,040 553 • Reports N-MFP Monthly Holdings Schedules of Money-Market Funds (Late Filings) 35 – • Reports N-MFP Monthly Holdings Schedules of Money-Market Funds 15,304 842 • Reports N-MFP Monthly Holdings Schedules of Money-Market Funds (Late Filings) 205 – • Letters 14a-8 SEC No-Action Letters [ a.k.a. 14A-8 ] 9,085 – • Reports N-PORT Quarterly Holdings Schedules of Investment Companies [ now NPORT-EX ] 5,052 6 • Reports N-PORT Quarterly Holdings Schedules of Investment Companies (Late Filings) [ now NPORT-EX ] 15 – • Proxies N-PX Proxy Voting Records – Annual Reports by Investment Companies 48,763 1,806 • Reports N-Q Quarterly Holdings Schedules of Investment Companies 94,125 1,003 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations 42 25 • Registrations NRSRO Updates of Registration by Nationally Recognized Statistical Rating Organizations 133 – • 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 42,303 664 • 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 69,437 584 • 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 1,547 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) 10 – • Reports 12b-25 Notices of Late Filings of Form N-CSR 337 23 • 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 63 – • Registrations ICA Applications for Exemption Orders – ’40-OIP’ SEC Orders 58 – • Registrations SA §8(c) Post-Effective Amendments of Certain Investment Company Registrations 2,121 – • 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 29,307 – • Registrations PUHCA Post-Effective Amendments of Form U-1 Registrations 1,182 – • Registrations ICA Post-Effective Amendments of Investment Company Registrations 6,060 – • Registrations S-3ASR / F-3ASR Post-Effective Amendments of Automatic Shelf Registration Statements 1,730 – • Registrations 462(d) Post-Effective Amendments of Registration Statements to Add Exhibits 3,713 – • Proxies 13e-3 Preliminary Proxy Statements for Going-Private Transactions 173 290 • Proxies 14A Preliminary Proxy Statements 36,597 – • Proxies 14C Preliminary Proxy Information Statements 9,090 – • Proxies 14A Additional Preliminary Proxy Soliciting Materials 16 – • Proxies 14C Additional Preliminary Proxy Information Statements 1 – • Proxies 14A Preliminary Proxy Statements for Contested Solicitations 2,493 – • Proxies 14C Preliminary Proxy Information Statements for Contested Solicitations 63 – • Proxies 14A Preliminary Proxy Statements for Mergers and Acquisitions 4,645 – • Proxies 14C Preliminary Proxy Information Statements for Mergers and Acquisitions 671 – • Proxies 14A Preliminary Non-Management Proxy Statements 369 – • Proxies 14A Revised Preliminary Proxy Soliciting Materials 10,776 – • Proxies 14C Revised Preliminary Proxy Information Statements 2,429 – • 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 2,016 – • Proxies 14a-6(g) Notices of Exempt Non-Management Proxy Solicitations 1,466 – • Proxies 14a-6(n) Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications 40 – • Reports – Quarterly Reports by International Development Banks 116 2 • Registrations – Notices of Qualification — Reg. A/A+ 742 – • 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 5,534 – • Registrations † Registration Withdrawal Requests 11,582 – • Registrations † Withdrawals of Registration Withdrawal Requests 394 – • Registrations S-1 Registration Statements (General Form) 18,420 49,667 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-1 Registration 1,426 – • 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 34,471 28,461 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers 6,830 – • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 934 5 • Registrations – Post-Effective Amendments of S-3D Registrations 640 – • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-3 Registration 1,246 – • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions 14,175 19,101 • 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 148 – • Registrations – Post-Effective Amendments of S-4EF Registrations 296 – • Registrations S-6 Registration Statements by Unit Investment Trusts 19,753 7,990 • 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 81,227 18 • Registrations – Post-Effective Amendments of Form S-8 Registrations 32,103 – • Registrations S-11 Registration Statements by Real Estate Companies 1,088 3,380 • 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 315 194 • 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 55,962 117,165 • Ownership 13E-1 Tender-Offer Statements by Issuers 23 13 • Ownership 13E-3 Tender-Offer Statements by Issuers for Going-Private Transactions 2,386 7,979 • 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 193,382 344,216 • 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 4,173 9,168 • Ownership 14D-9C Tender-Offer Communications by Issuers re: Third-Party Offers 2,304 – • Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers 40 40 • Ownership 14F-1 Statements re: Changes in the Majority of Directors 2,212 226 • Proxies 14N Information from Certain Nominating Shareholders 7 6 • Ownership TO Tender-Offer Communications re: Issuer and Third-Party Offers 5,203 – • Ownership TO Tender-Offer Statements by Issuers 8,687 14,375 • Ownership TO Tender-Offer Statements by Third Parties 2,547 11,863 • Reports 13p-1 Specialized Disclosure Reports Relating to the Use of Conflict Minerals 7,168 24 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository 2 4 • Reports SE Scanned Exhibits of Paper Submissions 3,565 – • Letters – SEC Staff Actions [ a.k.a. ORDER ] 136 – • Letters – SEC Staff Letters [ a.k.a. STAFF LETTER , 14A-8 , REDACTED EXHIBIT & SERIOUS DEFICIENCIES ] 76 – • 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 122 190 • 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 55,627 – • Registrations T-3 Applications for Qualification of a Trust Indenture 617 607 • Registrations TA-1 Applications for Registration as a Transfer Agent 379 4,021 • Reports TA-2 Annual Reports of Transfer Agents’ Activities 8,261 717 • Registrations – Cancellations of Registered Transfer Agents by SEC Order 128 – • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent 483 – • Reports – 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. LETTER ] 153,900 – • 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 83,670 5,693 ____________ Totals 11,738,844 1,313,309 T This Filing/Form Type is no longer filed, is no longer made public or is now a different Type. † This Filing/Form Type pertains to multiple Forms, Schedules, Rules or Regulations of Acts’ Sections. 