• | Registrations | | – | Applications for Registration or Exemption from Registration as a Securities Exchange | | 1 | 90 | 1,803 |
• | Registrations | | 1-A | Offering Statements — Reg. A/A+ | | 1-A° | 1,405 | 3,342 |
• | Registrations | | – | Post-Qualification Amendments of Form 1-A Offering Statements — Reg. A/A+ | | 1-A POS× | 982 | – |
• | Registrations | | – | Withdrawals of Form 1-A Offering Statements — Reg. A/A+ | | 1-A-W | 190 | 23 |
• | Reports | | E | Notices by Small Business Investment and Business Development Companies | | 1-E | 152 | 78 |
• | Registrations | | E | Ads by Small Business Investment and Business Development Companies | | 1-E AD | 2 | – |
• | Reports | | 1-K | Annual Reports — Reg. A | | 1-K× | 428 | 34 |
• | Reports | | 1-SA | Semi-Annual Reports — Reg. A | | 1-SA | 518 | 30 |
• | Reports | | 1-U | Current Reports — Reg. A | | 1-U | 2,024 | 19 |
• | Reports | | 1-Z | Exit Reports — Reg. A | | 1-Z× | 114 | 4 |
• | Reports | | 1-Z | Withdrawals of Exit Reports — Reg. A | | 1-Z-W | 2 | – |
• | Reports | | 2-A | Reports of Sales of Securities — Reg. A/A+ | | 2-A | 52 | 81 |
• | Reports | | 2-A | Final Reports of Sales of Securities — Reg. A/A+ | | 2-AF | 36 | – |
• | Reports | | E | Reports of Sales of Securities | | 2-E | 87 | 11 |
• | Ownership | | 3 | Initial Statements of Beneficial Ownership of Securities by Insiders | | 3° | 323,573 | 17,809 |
• | Ownership | | 4 | Statements of Changes in Beneficial Ownership of Securities by Insiders | | 4° | 3,675,846 | 112,643 |
• | Ownership | | 5 | Annual Statements of Changes in Beneficial Ownership of Securities by Insiders | | 5° | 107,391 | 4,052 |
• | Registrations | | ICA | Applications for Exemption Orders – ’40-6B’ SEC Notices | | 6B NTC | 26 | – |
• | Registrations | | ICA | Applications for Exemption Orders – ’40-6B’ SEC Orders | | 6B ORDR | 26 | – |
• | Reports | | 6-K | Reports by Foreign Issuers | | 6-K° | 421,712 | 5,393 |
• | Registrations | | 8-A | Registrations of Certain Classes of Securities | | 8-A12B | 20,585 | 4,513 |
• | Registrations | | 8-A | Registrations of Certain Classes of Securities | | 8-A12G | 10,010 | 2,362 |
• | Registrations | | ICA | Applications for Deregistration Orders – ’40-8F-2’ SEC Notices | | 8F-2 NTC | 4 | – |
• | Registrations | | ICA | Applications for Deregistration Orders – ’40-8F-2’ SEC Orders | | 8F-2 ORDR | 3 | – |
• | Reports | | 8-K | Current Reports | | 8-K° | 1,650,856 | 75,792 |
• | Registrations | | 8-K | Notices of Securities of Successor Issuers Deemed to be Registered | | 8-K12B° | 261 | 29 |
• | Registrations | | 8-K | Notices of Securities of Successor Issuers Deemed to be Registered | | 8-K12G3 | 628 | 115 |
• | Reports | | 8-K | Notices of Assumptions of Duty to Report by Successor Issuers | | 8-K15D5 | 70 | 2 |
• | Registrations | | – | Consents to Service of Process by Notice – Non-Resident Broker-Dealer Corporations | | 8-M | 66 | – |
• | Registrations | | – | Consents to Service of Process by Notice – Non-Resident Broker-Dealer Partnerships | | 9-M | 13 | – |
• | Registrations | | 10 | Registrations of Securities (General Form) | | 10-12B° | 781 | 1,580 |
• | Registrations | | 10 | Registrations of Securities (General Form) | | 10-12G° | 2,621 | 4,500 |
• | Reports | | 10-D | Distribution Reports by Asset-Backed Issuers | | 10-D° | 72,595 | 2,371 |
• | Reports | | 10-K | Annual Reports | | 10-K° | 192,167 | 41,988 |
• | Reports | | 10-K | Annual-Transition Reports | | 10-KT° | 506 | 121 |
• | Reports | | 10-Q | Quarterly Reports | | 10-Q° | 593,369 | 43,815 |
• | Reports | | 10-Q | Quarterly-Transition Reports | | 10-QT° | 208 | 36 |
• | Reports | | 11-K | Annual Reports by Employee Stock Purchase, Savings and Similar Plans | | 11-K | 40,985 | 974 |
• | Reports | | 11-K | Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans | | 11-KT | 96 | 2 |
• | Ownership | | 13F | Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested | | 13FCONP | 1,271 | 90 |
• | Ownership | | 13F | Quarterly Holdings and Combination Reports by Money Managers | | 13F-HR° | 286,932 | 25,478 |
• | Ownership | | 13F | Quarterly Holdings Notices by Money Managers | | 13F-NT° | 93,888 | 1,811 |
• | Registrations | | 15 | Certifications of Terminations of Registration of Classes of Securities | | 15-12B | 5,548 | 109 |
• | Registrations | | 15 | Certifications of Terminations of Registration of Classes of Securities | | 15-12G | 13,179 | 410 |
• | Reports | | 15 | Notices of Suspensions of Duty to File Reports | | 15-15D | 16,005 | 217 |
• | Registrations | | 15F | Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities | | 15F-12B | 197 | 13 |
• | Registrations | | 15F | Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities | | 15F-12G | 234 | 12 |
• | Reports | | 15F | Notices of Foreign Issuers’ Suspensions of Duty to File Reports | | 15F-15D | 128 | 3 |
• | Registrations | | 18 | Registrations of Securities of Foreign Governments and Political Subdivisions | | 18-12B | 4 | – |
• | Reports | | 18-K | Annual Reports by Foreign Governments and Political Subdivisions | | 18-K° | 719 | 2,308 |
• | Reports | | 19b-4(e) | Info from SROs Listing and Trading New Derivative Securities Products | | 19B-4E | 27,413 | – |
• | Reports | | 20-F | Annual Reports by Foreign Non-Canadian Issuers | | 20-F° | 15,883 | 3,473 |
• | Registrations | | 20-F | Registrations of Securities of Foreign Non-Canadian Issuers | | 20FR12B | 171 | 158 |
• | Registrations | | 20-F | Registrations of Securities of Foreign Non-Canadian Issuers | | 20FR12G° | 380 | 597 |
• | Registrations | | 24f-2 | Annual Notices of Securities Sold by Investment Companies | | 24F-2NT | 179,750 | 3,166 |
• | Reports | | 25 | Notices by Issuers of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities | | 25 | 4,055 | 43 |
• | Reports | | 25 | Notices by Securities Exchanges of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities | | 25-NSE× | 10,940 | 246 |
• | 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 | | 39-304D | 9 | 1 |
• | Registrations | | TIA | Applications Regarding a Conflict of Interest under the Trust Indenture Act | | 39-310B | 2 | – |
• | Registrations | | ICA | Applications for Exemption Orders by Employees’ Investment Companies | | 40-6B | 50 | 171 |
• | Registrations | | ICA §6(c) | Applications for Exemptions and Other Relief by Investment Companies | | 40-6C | 433 | 529 |
• | Reports | | 8b-25(a) | Applications for Extensions of Time to File Reports by Investment Companies | | 40-8B25 | 111 | – |
• | Registrations | | O-2 | Applications for Deregistration Orders by Investment Companies | | 40-8F-2 | 21 | 32 |
• | Registrations | | ICA | Investment Company Registrations Withdrawn by SEC Order | | 40-8FC | 3 | 1 |
• | Reports | | 17f-1 | Certificates of Accounting of Securities in the Custody of Investment Companies | | 40-17F1 | 555 | 17 |
• | Reports | | 17f-2 | Certificates of Accounting of Securities in the Custody of Investment Companies | | 40-17F2 | 18,543 | 130 |
• | Reports | | 17g-1(g) | Fidelity Bonds for Investment Companies | | 40-17G | 26,039 | 2,210 |
• | Reports | | 17g-1 | Claims and Settlements re: Investment Companies | | 40-17GCS | 18 | – |
• | Reports | | 24b-2 | Sales Literature from Investment Companies | | 40-24B2 | 3,004 | 86 |
• | Reports | | ICA §33 | Stockholder Derivative Actions re: Investment Companies | | 40-33 | 1,046 | 8 |
• | Registrations | | IAA §202 | Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act | | 40-202A | 33 | 36 |
• | Registrations | | IAA §203 | Exemptions from the Prohibition on Registration as an Investment Adviser | | 40-203A | 2 | 2 |
• | Registrations | | IAA §205 | Applications for Performance Fee Exemptions by Investment Advisers | | 40-205E | 3 | 2 |
• | Registrations | | IAA §206(3) | Applications for Exemptions by Investment Advisers | | 40-206A | 47 | 39 |
• | Registrations | | ICA | Applications for Exemption Orders and Other Relief by Investment Companies | | 40-APP | 1,907 | 2,935 |
• | Registrations | | 40-F | Registration Statements and Annual Reports by Canadian Issuers | | 40-F° | 2,694 | 496 |
• | Registrations | | 40-F | Registrations of Securities of Canadian Issuers | | 40FR12B | 131 | 66 |
• | Registrations | | 40-F | Registrations of Securities of Canadian Issuers | | 40FR12G | 30 | 9 |
• | Registrations | | ICA | Applications for Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment Companies | | 40-OIP | 82 | 156 |
• | Reports | | ICA | Reports Required from Certain Applicants for Exemptions from the Investment Company Act | | 40-RPT | 2 | – |
• | Ownership | | 144 | Notices of Proposed Sales of Securities by Insiders | | 144 | 7,303 | 285 |
• | Registrations | | 1-A | Offering Statements – Info Previously Omitted — Reg. A/A+ | | 253G1 | 73 | – |
• | Registrations | | 1-A | Offering Statements – Info Substantively Changed or Added — Reg. A/A+ | | 253G2 | 1,985 | – |
• | Registrations | | 1-A | Offering Statements – Info Previously Omitted – Info Substantively Changed or Added — Reg. A/A+ | | 253G3 | 9 | – |
• | Registrations | | 1-A | Offering Statements – Info Previously Omitted – Info Substantively Changed or Added (Late Filings) — Reg. A/A+ | | 253G4 | 4 | – |
• | Registrations | | T-1 | Statements of Eligibility by Corporations Designated to Act as Trustees | | 305B2 | 1,908 | 20 |
• | Registrations | | 424(a) | Prospectuses – Info Substantively Changed or Added | | 424A | 1,555 | – |
• | Registrations | | 424(b)(1) | Prospectuses – Info Previously Omitted | | 424B1 | 6,041 | – |
• | Registrations | | 424(b)(2) | Prospectuses – Primary Offerings or Shelf Securities | | 424B2 | 276,807 | – |
• | Registrations | | 424(b)(3) | Prospectuses – New Facts or Events | | 424B3° | 163,083 | – |
• | Registrations | | 424(b)(4) | Prospectuses – Info Previously Omitted – New Facts or Events | | 424B4° | 10,822 | – |
• | Registrations | | 424(b)(5) | Prospectuses – Primary Offerings or Shelf Securities – New Facts or Events | | 424B5° | 61,086 | – |
• | Registrations | | 424(b)(7) | Prospectuses – Selling Security Holders – Info Previously Omitted | | 424B7 | 3,794 | – |
• | Registrations | | 424(b)(8) | Prospectuses (Late Filings) | | 424B8 | 1,195 | – |
• | Registrations | | 424(h) | Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed | | 424H | 772 | 61 |
• | Reports | | 425 | Prospectuses and Communications – Mergers | | 425° | 69,792 | – |
• | Registrations | | 485(a) | Post-Effective Amendments of Form N-1 and N-1A Registrations | | 485APOS° | 40,435 | – |
• | Registrations | | 485(b) | Post-Effective Amendments of Form N-1 and N-1A Registrations | | 485BPOS° | 185,279 | – |
• | Registrations | | 485(b) | Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates | | 485BXT | 22,500 | – |
• | Registrations | | 486(a) | Post-Effective Amendments of Form N-2 Registrations | | 486APOS | 223 | – |
• | Registrations | | 486(b) | Post-Effective Amendments of Form N-2 Registrations | | 486BPOS | 865 | – |
• | Registrations | | 486(b) | Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates | | 486BXT | 57 | – |
• | Registrations | | 487 | Pre-Effective Pricing Amendments of Registration Statements | | 487 | 19,457 | – |
• | Registrations | | 497 | Definitive Materials | | 497° | 369,833 | – |
• | Reports | | 497 & 482(c) | Advertising by Certain Investment Companies | | 497AD | 3,908 | – |
• | Registrations | | 497(h)(2) | Prospectuses of Certain Closed-End Investment Companies | | 497H2 | 83 | – |
• | Registrations | | 497(j) | Certifications of No Change in Definitive Materials | | 497J | 120,534 | – |
• | Registrations | | 497(k) | Summary Prospectuses of Certain Open-End Investment Companies | | 497K | 219,432 | – |
• | Reports | | SEA §15G | Asset-Backed Securitizer Reports | | ABS-15G | 12,525 | 3,648 |
• | Registrations | | † | Asset-Backed Securities [XML] Exhibits | | ABS-EE° | 11,145 | 170 |
• | Registrations | | – | Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed | | ADN-MTL | 50 | – |
• | Reports | | IAA | Certificates of Accounting of Client Securities and Funds in Possession or Custody of Investment Advisers | | ADV-E | 2,451 | – |
• | Reports | | IAA | Applications for Continuing Hardship Exemptions by Investment Advisers | | ADV-H-C | 8 | – |
• | Reports | | IAA | Applications for Temporary Hardship Exemptions by Investment Advisers | | ADV-H-T | 73 | – |
• | Registrations | | IAA | Appointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment Advisers | | ADV-NR | 679 | – |
• | Reports | | – | Annual Reports by International Development Banks | | ANNLRPT° | 109 | 1 |
• | Registrations | | ICA | Applications for Exemption Orders – ’40-APP’ SEC Notices | | APP NTC | 886 | – |
• | Registrations | | ICA | Applications for Exemption Orders – ’40-APP’ SEC Orders | | APP ORDR | 858 | – |
• | Registrations | | ICA | Withdrawals of Applications for Exemption Orders and Other Relief | | APP WD | 480 | 12 |
• | Registrations | | ICA | Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grant | | APP WDG | 74 | – |
• | Reports | | † | Annual Reports to Security Holders | | ARS° | 36,713 | 38 |
• | Reports | | ATS-N | Alternative Trading Systems (NMS Stock) – Initial Info | | ATS-N× | 4 | – |
• | Reports | | ATS-N | Alternative Trading Systems (NMS Stock) – Correcting Amendments | | ATS-N/CA× | 25 | – |
• | Reports | | ATS-N | Alternative Trading Systems (NMS Stock) – Material Amendments | | ATS-N/MA× | 74 | – |
• | Reports | | ATS-N | Alternative Trading Systems (NMS Stock) – Updating Amendments | | ATS-N/UA× | 179 | – |
• | Reports | | ATS-N | Alternative Trading Systems (NMS Stock) – Notices of Cessation | | ATS-N-C× | 6 | – |
• | Registrations | | † | Amendment Withdrawal Requests | | AW | 3,728 | – |
• | Registrations | | † | Amendment Withdrawal Requests – Withdraw Duplicate | | AW WD | 104 | – |
• | Registrations | | C | Crowdfunding Offering Statements | | C× | 3,603 | 4,008 |
• | Registrations | | C/A-W | Crowdfunding Offering Statement Amendment Withdrawals | | C/A-W× | 11 | – |
• | Registrations | | C-W | Crowdfunding Offering Statement Withdrawals | | C-W× | 352 | – |
• | Reports | | C-AR | Crowdfunding Annual Reports | | C-AR× | 1,051 | 50 |
• | Reports | | C-AR-W | Crowdfunding Annual Report Withdrawals | | C-AR-W× | 6 | – |
• | Reports | | C-TR | Crowdfunding Terminations of Reporting | | C-TR× | 168 | – |
• | Reports | | C-TR-W | Crowdfunding Termination of Reporting Withdrawals | | C-TR-W× | 2 | – |
• | Registrations | | C-U | Crowdfunding Progress Updates | | C-U× | 1,447 | – |
• | Registrations | | C-U-W | Crowdfunding Progress Update Withdrawals | | C-U-W× | 7 | – |
• | Ownership | | CB | Tender-Offer, Exchange-Offer and Rights-Offering Notices re: Foreign Issuers | | CB | 1,650 | 1,547 |
• | Registrations | | CERT | Certifications by Securities Exchanges Approving Listings | | CERT | 3,308 | – |
• | Registrations | | CERT | Certifications by the Cboe Global Markets Approving Listings [ now as CERT ] | | CERTCBO | 74 | – |
• | Registrations | | CERT | Certifications by the NASDAQ Stock Market Approving Listings [ now as CERT ] | | CERTNAS | 2,776 | – |
• | Registrations | | CERT | Certifications by the NYSE Approving Listings [ now as CERT ] | | CERTNYS | 5,655 | – |
• | Registrations | | Funding Portal | Applications for Registration as a Crowdfunding Portal | | CFPORTAL× | 84 | 301 |
• | Registrations | | Funding Portal | Applications for Withdrawal from Registration as a Crowdfunding Portal | | CFPORTAL-W× | 10 | – |
• | Letters | | – | Comment-Response and Other Letters to the SEC [ a.k.a. Document COVER ] (Delayed Release) | | CORRESP | 167,551 | – |
• | Orders | | – | SEC Confidential Treatment Orders | | CT ORDER | 15,994 | – |
• | Registrations | | D | Notices of Exempt Offerings of Securities — Reg. D | | D× | 270,062 | 182,640 |
• | Proxies | | 14A | Definitive Proxy Statements | | DEF 14A° | 166,595 | – |
• | Proxies | | 14C | Definitive Proxy Info Statements | | DEF 14C | 12,290 | – |
• | Proxies | | 14A | Additional Definitive Proxy Soliciting Materials | | DEFA14A° | 88,213 | – |
• | Proxies | | 14C | Additional Definitive Proxy Info Statements | | DEFA14C | 360 | – |
• | Proxies | | 14A | Definitive Proxy Statements for Contested Solicitations | | DEFC14A | 1,920 | – |
• | Proxies | | 14C | Definitive Proxy Info Statements for Contested Solicitations | | DEFC14C | 25 | – |
• | Proxies | | 14A | Definitive Proxy Statements for Mergers and Acquisitions | | DEFM14A | 5,507 | – |
• | Proxies | | 14C | Definitive Proxy Info Statements for Mergers and Acquisitions | | DEFM14C | 431 | – |
• | Proxies | | 14A | Definitive Non-Management Proxy Statements | | DEFN14A | 304 | – |
• | Proxies | | 14A | Revised Definitive Proxy Soliciting Materials | | DEFR14A | 5,432 | – |
• | Proxies | | 14C | Revised Definitive Proxy Info Statements | | DEFR14C | 416 | – |
• | Registrations | | † | Registration Effectiveness-Delaying Amendments | | DEL AM | 1,128 | – |
• | Proxies | | 14A | Additional Definitive Non-Management Proxy Soliciting Materials | | DFAN14A | 12,185 | – |
• | Proxies | | 14A | Revised Definitive Non-Management Proxy Statements | | DFRN14A | 327 | – |
• | Registrations | | 1-A | Draft Offering Statements — Reg. A/A+ | | DOS× | 170 | 197 |
• | Letters | | – | Comment-Response and Draft-Offering-Statement Letters to the SEC (Delayed Release) | | DOSLTR | 154 | – |
• | Registrations | | DRS | Draft Registration Statements by Emerging Growth Companies and Foreign Issuers | | DRS° | 3,112 | 3,433 |
• | Letters | | – | Comment-Response and Draft-Registration-Statement Letters to the SEC (Delayed Release) | | DRSLTR | 2,873 | – |
• | Reports | | – | Distribution Reports of Primary Obligations by International Development Banks | | DSTRBRPT | 568 | 19 |
• | Registrations | | † | SEC Notices of Effectiveness | | EFFECT× | 54,852 | – |
• | Registrations | | F-1 | Registration Statements by Foreign Issuers | | F-1° | 1,543 | 4,234 |
• | Registrations | | 462(b) | Registration Statements to Add Securities to a Prior Form F-1 Registration | | F-1MEF | 192 | – |
• | Registrations | | F-3 | Registration Statements by Foreign Issuers for Securities Offered Pursuant to Transactions | | F-3° | 1,523 | 1,272 |
• | Registrations | | F-3 | Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Issuers | | F-3ASR° | 613 | – |
• | Registrations | | F-3 | Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans | | F-3D | 58 | – |
• | Registrations | | – | Post-Effective Amendments of ‘F-3D’ Registrations | | F-3DPOS | 38 | – |
• | Registrations | | 462(b) | Registration Statements to Add Securities to a Prior Form F-3 Registration | | F-3MEF | 41 | – |
• | Registrations | | F-4 | Registration Statements by Foreign Issuers for Securities Issued in Mergers – Not Effective Immediately | | F-4° | 750 | 1,417 |
• | Registrations | | F-4 | Registration Statements by Foreign Issuers for Securities Issued in Mergers – Effective Immediately | | F-4EF | 1 | – |
• | Registrations | | 462(b) | Registration Statements to Add Securities to a Prior Form F-4 Registration | | F-4MEF | 8 | – |
• | Registrations | | – | Post-Effective Amendments of Form F-4 Registrations | | F-4 POS | 22 | – |
• | Registrations | | F-6 | Registrations of Depositary Shares Evidenced by American Depositary Receipts – Not Effective Immediately | | F-6 | 1,780 | 177 |
• | Registrations | | F-6 | Registrations of Depositary Shares Evidenced by American Depositary Receipts – Effective Immediately | | F-6EF | 6,726 | – |
• | Registrations | | – | Post-Effective Amendments of ‘F-6EF’ Registrations | | F-6 POS | 2,407 | – |
• | Registrations | | F-7 | Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights | | F-7 | 44 | 10 |
• | Registrations | | – | Post-Effective Amendments of Form F-7 Registrations | | F-7 POS | 5 | – |
• | Registrations | | F-8 | Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers and Mergers | | F-8 | 32 | 51 |
• | Registrations | | – | Post-Effective Amendments of Form F-8 Registrations | | F-8 POS | 13 | – |
• | Registrations | | F-10 | Registration Statements by Canadian Issuers – Not Effective Immediately | | F-10 | 814 | 873 |
• | Registrations | | F-10 | Registration Statements by Canadian Issuers – Effective Immediately | | F-10EF | 7 | – |
• | Registrations | | – | Post-Effective Amendments of ‘F-10EF’ Registrations | | F-10POS | 57 | – |
• | Registrations | | F-80 | Registrations of Securities of Canadian Issuers for Securities to be Issued in Exchange Offers and Mergers | | F-80 | 26 | 22 |
• | Registrations | | – | Post-Effective Amendments of Form F-80 Registrations | | F-80POS | 19 | – |
• | Registrations | | F-N | Appointments of Agents for Service of Process by Foreign Financial Entities | | F-N | 392 | 27 |
• | Reports | | – | Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers | | FOCUSN | 30,222 | 1,062 |
• | Registrations | | 163 / 433 | Free-Writing Prospectuses | | FWP | 158,085 | – |
• | Registrations | | F-X | Appointments of Agents for Service of Process by Foreign Non-Financial Entities | | F-X | 2,723 | 284 |
• | Reports | | G-405 | Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers | | G-405 | 63 | 3 |
• | Reports | | G-405N | Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers | | G-405N | 50 | 1 |
• | Registrations | | G-FIN | Notices of Activities as a Government Securities Broker or Dealer by Financial Institutions | | G-FIN | 23 | 254 |
• | Registrations | | G-FINW | Notices of Withdrawal as a Government Securities Broker or Dealer by Financial Institutions | | G-FINW | 16 | – |
• | Registrations | | ID | Applications for EDGAR Access – New Central Index Key (CIK) | | ID-NEWCIK | 1 | – |
• | Reports | | ITRASHRA | Notices of Iran/Syria Disclosures in Quarterly and Annual Reports | | IRANNOTICE | 3,204 | – |
• | Registrations | | MA | Applications for Municipal Advisor Registration | | MA× | 890 | 1,590 |
• | Registrations | | MA | Annual Updates of a Municipal Advisor’s Registration | | MA-A× | 2,172 | – |
• | Registrations | | MA-I | Info Regarding Natural Persons Who Engage in Municipal Advisory Activities | | MA-I× | 7,987 | 9,089 |
• | Registrations | | MA-W | Notices of Withdrawal from Registration as a Municipal Advisor | | MA-W× | 340 | – |
• | Registrations | | MSD | Registrations of Municipal Securities Dealers | | MSD | 44 | 426 |
• | Registrations | | MSDW | Notices of Withdrawal from Registration as a Municipal Securities Dealer | | MSDW | 82 | – |
• | Registrations | | N-1 | Registration Statements by Open-End Investment Companies | | N-1 | 2 | 189 |
• | Registrations | | N-1A | Registration Statements by Open-End Investment Companies | | N-1A° | 1,884 | 2,802 |
• | Registrations | | N-2 | Registration Statements by Closed-End Investment Companies | | N-2 | 3,786 | 5,706 |
• | Registrations | | N-2 | Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Closed-End Investment Companies | | N-2ASR | 3 | – |
• | Registrations | | 462(b) | Registration Statements to Add Securities to a Prior Form N-2 Registration | | N-2MEF | 249 | – |
• | Registrations | | – | Post-Effective Amendments of Form N-2 Automatic Shelf Registrations | | N-2 POSASR | 1 | – |
• | Registrations | | N-4 | Registration Statements for Separate Accounts – Unit Investment Trusts | | N-4 | 2,287 | 2,027 |
• | Registrations | | N-5 | Registration Statements by Small-Business Investment Companies | | N-5 | 9 | 10 |
• | Registrations | | N-6 | Registration Statements for Separate Accounts – Unit Investment Trusts | | N-6 | 703 | 518 |
• | Reports | | N-6F | Notices of Intentions to Elect Business-Development-Company Status | | N-6F | 144 | 63 |
• | Registrations | | N-8A | Notices of Registrations by Investment Companies | | N-8A | 4,283 | 604 |
• | Registrations | | N-8B-2 | Registration Statements by Unit Investment Trusts | | N-8B-2 | 184 | 172 |
• | Registrations | | N-8B-4 | Registration Statements by Face-Amount Certificate Companies | | N-8B-4 | 3 | – |
• | Registrations | | N-8F | Applications for Deregistration Orders by Certain Investment Companies | | N-8F | 3,102 | 1,416 |
• | Registrations | | ICA | Applications for Deregistration Orders – ‘N-8F’ SEC Notices | | N-8F NTC | 1,743 | – |
• | Registrations | | ICA | Applications for Deregistration Orders – ‘N-8F’ SEC Orders | | N-8F ORDR | 1,891 | – |
• | Registrations | | N-14 | Registration Statements by Open-End Investment Companies – Mergers | | N-14 | 3,518 | 2,319 |
• | Registrations | | N-14 | Registration Statements by Closed-End Investment Companies – Mergers | | N-14 8C | 264 | 312 |
• | Registrations | | 462(b) | Registration Statements to Add Securities to a Prior Form N-14 Registration | | N-14MEF | 5 | – |
• | Reports | | 18f-1 | Notices of Elections by Open-End Investment Companies | | N-18F1 | 1,257 | 31 |
• | Ownership | | 23c-2 | Notices of Intentions to Call or Redeem their own Securities by Closed-End Investment Companies | | N-23C-2 | 1,662 | 57 |
• | Ownership | | N-23c-3 | Notices of Periodic Repurchase Offers by Closed-End Investment Companies | | N-23C3A | 2,210 | 28 |
• | Ownership | | N-23c-3 | Notices of Discretionary Repurchase Offers by Closed-End Investment Companies | | N-23C3B | 404 | 3 |
• | Ownership | | N-23c-3 | Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment Companies | | N-23C3C | 48 | 47 |
• | Reports | | 30b-2 | Periodic and Interim Reports Mailed to Shareholders of Investment Companies | | N-30B-2 | 11,514 | – |
• | Reports | | 30d-1 | Annual and Semi-Annual Reports Mailed to Shareholders of Investment Companies | | N-30D | 71,316 | 1,057 |
• | Reports | | N-54A | Notices of Elections by Business Development Companies | | N-54A | 289 | 9 |
• | Reports | | N-54C | Notices of Withdrawal from Registration by Business Development Companies | | N-54C | 195 | 4 |
• | Reports | | N-CEN | Annual Reports by Investment Companies | | N-CEN× | 8,100 | 1,084 |
• | Reports | | N-CEN | Annual Reports by Investment Companies (Late Filings) | | NT N-CEN° | 140 | – |
• | Reports | | N-CR | Current Reports of Material Events by Money-Market Funds | | N-CR | 69 | 13 |
• | Reports | | N-CSR | Certified Annual Shareholder Reports by Investment Companies | | N-CSR° | 62,933 | 3,011 |
• | Reports | | N-CSR | Certified Semi-Annual Shareholder Reports by Investment Companies | | N-CSRS° | 55,025 | 959 |
• | Reports | | N-MFP | Monthly Portfolio Holdings Schedules by Money-Market Funds | | N-MFP2× | 22,269 | 1,022 |
• | Reports | | N-MFP | Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) | | NT N-MFP2° | 270 | – |
• | Letters | | 14a-8 | SEC No-Action Letters | | NO ACT | 9,085 | – |
• | Reports | | N-PORT | Monthly Portfolio Investments Reports (made Public Quarterly) by Investment Companies [ with Exhibit NPORT-EX ] | | NPORT-P× | 65,098 | 1,147 |
• | Reports | | N-PORT | Monthly Portfolio Investments Reports (made Public Quarterly) by Investment Companies (Late Filings) [ with Exhibit NPORT-EX ] | | NT NPORT-P× | 874 | – |
• | Proxies | | N-PX | Proxy Voting Records – Annual Reports by Investment Companies | | N-PX | 51,355 | 1,859 |
• | Reports | | N-Q | Quarterly Portfolio Holdings Schedules by Investment Companies | | N-Q° | 94,930 | 1,010 |
• | Registrations | | NRSRO | Annual Certifications by Nationally Recognized Statistical Rating Organizations | | NRSRO-CE | 51 | 28 |
• | Registrations | | NRSRO | Updates of Registrations by Nationally Recognized Statistical Rating Organizations | | NRSRO-UPD | 173 | – |
• | Reports | | 12b-25 | Notices of Late Filings of Form 10-D Distribution Reports | | NT 10-D | 9 | 1 |
• | Reports | | 12b-25 | Notices of Late Filings of Form 10-D Distribution Reports (Late Notices) | | NTN 10D | 5 | – |
• | Reports | | 12b-25 | Notices of Late Filings of Form 10-K Annual Reports | | NT 10-K | 43,195 | 690 |
• | Reports | | 12b-25 | Notices of Late Filings of Form 10-K Annual Reports (Late Notices) | | NTN 10K | 1,580 | – |
• | Reports | | 12b-25 | Notices of Late Filings of Form 10-Q Quarterly Reports | | NT 10-Q° | 71,044 | 605 |
• | Reports | | 12b-25 | Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices) | | NTN 10Q | 2,302 | – |
• | Reports | | 12b-25 | Notices of Late Filings of Form 11-K Annual Reports | | NT 11-K | 1,655 | 16 |
• | Reports | | 12b-25 | Notices of Late Filings of Form 11-K Annual Reports (Late Notices) | | NTN 11K | 18 | – |
• | Reports | | 12b-25 | Notices of Late Filings of Form 20-F Annual Reports | | NT 20-F | 1,629 | 26 |
• | Reports | | 12b-25 | Notices of Late Filings of Form 20-F Annual Reports (Late Notices) | | NTN 20F | 37 | – |
• | Reports | | 12b-25 | Notices of Late Filings of Form N-CEN Annual Reports | | NT-NCEN | 59 | 2 |
• | Reports | | 12b-25 | Notices of Late Filings of Form N-CEN Annual Reports (Late Notices) | | NTFNCEN | 16 | – |
• | Reports | | 12b-25 | Notices of Late Filings of Form N-CSR Shareholder Reports | | NT-NCSR | 348 | 26 |
• | Reports | | 12b-25 | Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices) | | NTFNCSR | 78 | – |
• | Reports | | 12b-25 | Notices of Late Filings of ‘SP 15D2’ Special Financial Reports | | NT 15D2 | 8 | 7 |
• | Reports | | 12b-25 | Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices) | | NTN15D2 | 3 | – |
• | Registrations | | ICA | Applications for Exemption Orders – ’40-OIP’ SEC Notices | | OIP NTC | 66 | – |
• | Registrations | | ICA | Applications for Exemption Orders – ’40-OIP’ SEC Orders | | OIP ORDR | 60 | – |
• | Registrations | | SA §8(c) | Post-Effective Amendments of Certain Investment Company Registration Statements | | POS 8C | 2,211 | – |
• | Registrations | | † | Post-Effective Amendments of Rule 462(b) Registration Statements | | POS462B | 221 | – |
• | Registrations | | † | Post-Effective Amendments of Rule 462(c) Registration Statements | | POS462C | 83 | – |
• | Registrations | | † | Post-Effective Amendments of Registration Statements | | POS AM° | 30,296 | – |
• | Registrations | | ICA | Post-Effective Amendments of Investment Company Registration Statements | | POS AMI | 6,349 | – |
• | Registrations | | S-3ASR / F-3ASR | Post-Effective Amendments of Automatic Shelf Registration Statements | | POSASR° | 1,899 | – |
• | Registrations | | 462(d) | Post-Effective Amendments of Registration Statements to Add Exhibits | | POS EX° | 4,209 | – |
• | Proxies | | 14A | Preliminary Proxy Statements | | PRE 14A° | 37,987 | – |
• | Proxies | | 14C | Preliminary Proxy Info Statements | | PRE 14C | 9,468 | – |
• | Proxies | | 14A | Preliminary Proxy Statements for Contested Solicitations | | PREC14A | 2,636 | – |
• | Proxies | | 14C | Preliminary Proxy Info Statements for Contested Solicitations | | PREC14C | 63 | – |
• | Proxies | | 14A | Preliminary Proxy Statements for Mergers and Acquisitions | | PREM14A | 4,830 | – |
• | Proxies | | 14C | Preliminary Proxy Info Statements for Mergers and Acquisitions | | PREM14C | 683 | – |
• | Proxies | | 14A | Preliminary Non-Management Proxy Statements | | PREN14A | 373 | – |
• | Proxies | | 14A | Revised Preliminary Proxy Soliciting Materials | | PRER14A | 11,075 | – |
• | Proxies | | 14C | Revised Preliminary Proxy Info Statements | | PRER14C | 2,482 | – |
• | Proxies | | 14A | Revised Preliminary Non-Management Proxy Soliciting Materials for Contested Solicitations and Other Situations | | PRRN14A | 2,077 | – |
• | Proxies | | 14a-6(g) | Notices of Exempt Non-Management Proxy Solicitations | | PX14A6G | 1,701 | – |
• | Proxies | | 14a-6(n) | Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications | | PX14A6N | 40 | – |
• | Reports | | – | Quarterly Reports by International Development Banks | | QRTLYRPT | 147 | 3 |
• | Registrations | | – | SEC Notices of Qualification — Reg. A/A+ | | QUALIF× | 1,197 | – |
• | Registrations | | – | Initial Undertakings to File Reports for Non-Resident Brokers, Dealers and Investment Advisers | | REG-NR | 67 | 2 |
• | Registrations | | SEA §12(j) | SEC Orders Revoking Registrations | | REVOKED | 5,849 | – |
• | Registrations | | † | Registration Withdrawal Requests | | RW | 11,939 | – |
• | Registrations | | † | Withdrawals of Registration Withdrawal Requests | | RW WD | 409 | – |
• | Registrations | | S-1 | Registration Statements (General Form) | | S-1° | 20,280 | 52,392 |
• | Registrations | | 462(b) | Registration Statements to Add Securities to a Prior Form S-1 Registration | | S-1MEF | 1,883 | – |
• | Registrations | | S-3 | Registration Statements for Securities Offered Pursuant to Transactions | | S-3° | 35,651 | 28,876 |
• | Registrations | | S-3 | Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers | | S-3ASR° | 7,727 | – |
• | Registrations | | S-3 | Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans | | S-3D | 954 | 5 |
• | Registrations | | – | Post-Effective Amendments of ‘S-3D’ Registrations | | S-3DPOS | 670 | – |
• | Registrations | | 462(b) | Registration Statements to Add Securities to a Prior Form S-3 Registration | | S-3MEF | 1,311 | – |
• | Registrations | | S-4 | Registrations of Securities Issued in Mergers | | S-4° | 14,582 | 19,640 |
• | Registrations | | S-4 | Registrations of Securities Issued in Mergers Forming Bank and Savings & Loan Holding Companies | | S-4EF | 77 | 31 |
• | Registrations | | 462(b) | Registration Statements to Add Securities to a Prior Form S-4 Registration | | S-4MEF | 157 | – |
• | Registrations | | – | Post-Effective Amendments of ‘S-4EF’ Registrations | | S-4 POS | 307 | – |
• | Registrations | | S-6 | Registration Statements by Unit Investment Trusts | | S-6 | 21,221 | 8,287 |
• | Registrations | | S-8 | Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit Plans | | S-8 | 84,294 | 18 |
• | Registrations | | – | Post-Effective Amendments of Form S-8 Registrations | | S-8 POS | 34,876 | – |
• | Registrations | | S-11 | Registration Statements by Real Estate Companies | | S-11° | 1,121 | 3,446 |
• | Registrations | | 462(b) | Registration Statements to Add Securities to a Prior Form S-11 Registration | | S-11MEF | 82 | – |
• | Registrations | | S-20 | Registration Statements for Standardized Options | | S-20 | 6 | 5 |
• | Registrations | | B | Registration Statements by Foreign Governments and Political Subdivisions | | S-B | 343 | 212 |
• | Registrations | | 462(b) | Registration Statements to Add Securities to a Prior Schedule B Registration | | S-BMEF | 13 | – |
• | Ownership | | 13D | Statements of Acquisitions of Beneficial Ownership by Non-Passive Investors | | SC 13D | 57,683 | 123,247 |
• | Ownership | | 13E-1 | Tender-Offer Statements by Issuers | | SC 13E1 | 23 | 13 |
• | Ownership | | 13E-3 | Tender-Offer Statements by Issuers for Going-Private Transactions | | SC 13E3 | 2,452 | 8,199 |
• | Ownership | | 13E-4F | Tender-Offer Statements by Canadian Issuers | | SC13E4F | 17 | 26 |
• | Ownership | | 13G | Statements of Acquisitions of Beneficial Ownership by Passive Investors | | SC 13G | 205,666 | 374,019 |
• | Ownership | | 14D-1F | Tender-Offer Statements by Canadian Third Parties | | SC14D1F | 45 | 148 |
• | Ownership | | 14D-9 | Tender-Offer Solicitation/Recommendation Statements | | SC 14D9 | 4,264 | 9,446 |
• | Ownership | | 14D-9C | Tender-Offer Communications by Issuers re: Third-Party Offers | | SC14D9C | 2,405 | – |
• | Ownership | | 14D-9F | Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers | | SC14D9F | 40 | 40 |
• | Ownership | | 14F-1 | Statements re: Changes in the Majority of Directors | | SC 14F1 | 2,255 | 233 |
• | Proxies | | 14N | Info from Certain Nominating Shareholders | | SC 14N | 10 | 7 |
• | Ownership | | TO | Tender-Offer Communications re: Issuer and Third-Party Offers | | SC TO-C | 5,412 | – |
• | Ownership | | TO | Tender-Offer Statements by Issuers | | SC TO-I | 9,275 | 15,244 |
• | Ownership | | TO | Tender-Offer Statements by Third Parties | | SC TO-T | 2,625 | 12,180 |
• | Reports | | 13p-1 | Specialized Disclosure Reports Relating to the Use of Conflict Minerals | | SD | 8,219 | 26 |
• | Registrations | | SDR | Applications for Registration as a Security-Based Swap Data Repository | | SDR× | 2 | 4 |
• | Reports | | SE | Separate Exhibits of Scanned Paper-Format Exhibits of Filings | | SE | 3,582 | – |
• | Letters | | – | SEC Staff Actions [ a.k.a. Document ORDER ] | | SEC ACTION | 271 | – |
• | Letters | | – | SEC Staff Letters [ a.k.a. Documents STAFF LETTER, REDACTED EXHIBIT, SERIOUS DEFICIENCIES & 14A-8 ] | | SEC LETTER | 752 | – |
• | Registrations | | SF-1 | Registration Statements (General Form) by Issuers of Asset-Backed Securities | | SF-1 | 5 | 14 |
• | Registrations | | SF-3 | Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities | | SF-3 | 135 | 204 |
• | Registrations | | – | Sales Literature | | SL | 9 | – |
• | Reports | | 15d-2 | Special Financial Reports | | SP 15D2 | 56 | 2 |
• | Orders | | – | SEC Stop Orders | | STOP ORDER | 59 | – |
• | Registrations | | SA §11(a) | Supplemental Materials by Foreign Issuers {Voluntary} | | SUPPL | 55,863 | – |
• | Registrations | | T-3 | Applications for Qualification of a Trust Indenture | | T-3 | 628 | 622 |
• | Registrations | | T-6 | Applications for Determination of Eligibility of a Foreign Person to Act as an Institutional Trustee | | T-6 | 1 | – |
• | Registrations | | TA-1 | Applications for Registration as a Transfer Agent | | TA-1° | 428 | 4,264 |
• | Reports | | TA-2 | Annual Reports of Transfer Agents’ Activities | | TA-2° | 8,575 | 752 |
• | Registrations | | TA-W | Notices of Withdrawal from Registration as a Transfer Agent | | TA-W° | 509 | – |
• | Reports | | TH | Notices of Reliance on Temporary Hardship Exemption | | TH | 135 | – |
• | Registrations | | – | Test-the-Waters Materials — Reg. A/A+ | | TTW | 28 | 8 |
• | Letters | | – | Comment and Other Letters from the SEC [ a.k.a. Document LETTER ] (Delayed Release) | | UPLOAD | 162,563 | – |
• | Registrations | | – | Withdrawal Requests for Materials Previously Filed — Reg. A/A+ | | WDL-REQ | 62 | – |
• | Reports | | X-17A-5 | Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers | | X-17A-5° | 88,034 | 5,813 |
|
| Totals | 12,136,008 | 1,282,112 |
____________ |
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