• Registrations – Applications for Registration or Exemption from Registration as a National Securities Exchange 89 1,256 • Registrations 1-A Offering Statements — Reg. A/A+ 981 2,387 • Registrations – Post-Qualification Amendments of Form 1-A Offering Statements — Reg. A/A+ 533 – • Registrations – Withdrawals of Form 1-A Offering Statements — Reg. A/A+ 116 15 • 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 249 18 • Reports 1-SA Semi-Annual Reports — Reg. A 230 16 • Reports 1-U Current Reports — Reg. A 910 12 • Reports 1-Z Exit Reports — Reg. A 75 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 296,925 16,910 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities 3,387,255 106,923 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities 102,654 3,970 • 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 Private Issuers 385,160 4,989 • Registrations 8-A Registrations of Certain Classes of Securities 18,637 4,368 • 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 9,924 2,347 • 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 1,538,719 72,998 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 210 20 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 621 115 • 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 61 – • Registrations – Consents to Service of Process by Notice – Non-Resident Broker-Dealer Partnerships 13 – • Registrations 10 Registrations of Securities (General Form) 741 1,547 • Registrations 10 Registrations of Securities (General Form) 2,467 4,292 • Reports 10-C Reports by Issuers of Securities Quoted on NASDAQ 1,305 25 • Reports 10-D Distribution Reports by Asset-Backed Issuers 58,846 2,151 • Reports 10-K Annual Reports 182,466 40,635 • 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 486 114 • Reports 10-K Annual-Transition Reports — Item 405 – Reg. S-K 82 17 • Reports 10-Q Quarterly Reports 563,987 42,986 • Reports 10-QSB Quarterly Reports by Small Businesses 120,308 17,154 • Reports 10-Q Quarterly-Transition Reports 204 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 39,895 955 • 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 1,270 90 • Ownership 13F Quarterly Reports by Money Managers 1,188 120 • Ownership 13F Quarterly Holdings and Combination Reports by Money Managers 249,576 23,723 • Ownership 13F Quarterly Notices by Money Managers 83,066 1,672 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 5,135 104 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 12,917 399 • Reports 15 Notices of Suspensions of Duty to File Reports 15,731 210 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 180 13 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 228 12 • Reports 15F Notices of Foreign Private Issuers’ Suspensions of Duty to File Reports 121 2 • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 4 – • Reports 18-K Annual Reports by Foreign Governments and Political Subdivisions 658 2,031 • 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 26,033 – • Reports 20-F Annual Reports by Foreign Private Issuers 14,966 3,328 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 150 149 • Registrations 20-F Registrations of Securities of Foreign Private 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 170,199 3,138 • 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 3,878 38 • Reports 25 Notices by National Exchanges of the Removal from Listing and/or Registration of Matured, Redeemed or Retired Securities 9,536 229 • 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 47 160 • 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 25 • 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 411 17 • Reports 17f-2 Certificates of Accounting of Securities in the Custody of Investment Companies 17,460 129 • Reports 17g-1(g) Fidelity Bonds of Investment Companies 24,595 2,113 • Reports 17g-1 Claims and Settlements re: Investment Companies 15 – • Reports 24b-2 Sales Literature of Investment Companies 2,803 86 • Reports ICA §33 Stockholder Derivative Actions re: Investment Companies 1,029 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 1,756 2,691 • Registrations 40-F Registration Statements and Annual Reports by Canadian Issuers 2,521 470 • Registrations 40-F Registrations of Securities of Canadian Issuers 115 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) 79 146 • Reports ICA Reports Required from Certain Applicants for Exemptions from the Investment Company Act 2 – • Ownership 144 Notices of Proposed Sales of Securities 6,964 272 • Registrations 1-A Offering Statements – Information Previously Omitted — Reg. A/A+ 32 – • Registrations 1-A Offering Statements – Information Substantively Changed or Added — Reg. A/A+ 950 – • 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 1,756 20 • Registrations 424(a) Prospectuses 1,545 – • Registrations 424(b)(1) Prospectuses 5,953 – • Registrations 424(b)(2) Prospectuses 203,638 – • Registrations 424(b)(3) Prospectuses 153,945 – • Registrations 424(b)(4) Prospectuses 9,533 – • Registrations 424(b)(5) Prospectuses 55,489 – • Registrations 424(b)(7) Prospectuses 3,537 – • Registrations 424(b)(8) Prospectuses 855 – • Registrations 424(h) Preliminary Prospectuses 586 50 • Reports 425 Prospectuses and Communications – Business Combinations 63,802 – • Registrations 485(a) Post-Effective Amendments of Registrations 88 – • Registrations 485(a) Post-Effective Amendments of Registrations 25 – • Registrations 485(a) Post-Effective Amendments of Registrations 38,721 – • Registrations 485(b) Post-Effective Amendments of Registrations 1,669 – • Registrations 485(b) Post-Effective Amendments of Registrations 64 – • Registrations 485(b) Post-Effective Amendments of Registrations 175,053 – • Registrations 485(b) Post-Effective Amendments of Registrations to Designate New Effective Dates 20,149 – • Registrations 485(b) Post-Effective Amendments of 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 184 – • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations 2 – • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations 700 – • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates 23 – • Registrations 487 Pre-Effective Pricing Amendments of Registration Statements 18,039 – • Registrations 497 Definitive Materials 345,442 – • Reports 497 & 482(c) Advertising by Certain Investment Companies 3,427 – • Registrations 497(h)(2) Prospectuses of Certain Closed-End Investment Companies 83 – • Registrations 497(j) Certifications of No Changes in Definitive Materials 113,360 – • Registrations 497(k) Summary Prospectuses of Certain Open-End Investment Companies 183,121 – • 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 9,195 2,689 • Registrations † Asset-Backed Securities Offerings’ [XML] Exhibits 4,200 89 • 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 7 – • 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 640 – • 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 98 1 • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Notices 841 – • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Orders 812 – • Registrations APP WD Withdrawals of Applications for Exemption and Other Relief from Federal Securities Laws 445 12 • Registrations ICA Applications for Exemption Orders – ’40-APP’ Withdrawals Granted 52 – • Reports † Annual Reports to Security Holders 36,683 37 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Initial Information 1 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Updating Amendments 3 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Notices of Cessation 3 – • Registrations † Amendment Withdrawal Requests 3,519 – • 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 1,804 1,789 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals 8 – • Registrations C-W Crowdfunding Offering Statement Withdrawals 146 – • Reports C-AR Crowdfunding Annual Reports 582 33 • Reports C-AR-W Crowdfunding Annual Report Withdrawals 4 – • Reports C-TR Crowdfunding Terminations of Reporting 49 – • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals 1 – • Registrations C-U Crowdfunding Progress Updates 797 – • Registrations C-U-W Crowdfunding Progress Update Withdrawals 3 – • Reports – CA-1 Filings 2 – • Ownership CB Rights/Exchange/Tender Offer Notifications/Responses 1,579 1,416 • Registrations CERT Certifications by Exchanges Approving Securities for Listing 1,311 – • 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 69 – • 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 57 190 • Registrations Funding Portal Applications for Withdrawal from Registration as a Crowdfunding Portal 6 – • Letters – Comment-Response and Other Letters to the SEC [ a.k.a. COVER ] 153,642 – • Orders – SEC Confidential Treatment Orders 15,520 – • Registrations D Notices of Exempt Offerings of Securities 223,254 153,507 • Proxies 13E-3 Definitive Proxy Solicitation Materials – Going-Private Transaction Statements 77 87 • Proxies 14A Definitive Proxy Solicitation Materials 160,414 – • Proxies 14C Definitive Proxy Information Statements 11,570 – • Proxies 14A Additional Definitive Proxy Solicitation Materials 78,893 – • Proxies 14C Additional Definitive Proxy Information Statements 341 – • Proxies 14A Definitive Proxy Solicitation Materials – Contested Solicitations 1,815 – • Proxies 14C Definitive Proxy Information Statements – Contested Solicitations 25 – • Proxies 14A Definitive Proxy Solicitation Materials – Mergers and Acquisitions 5,168 – • Proxies 14C Definitive Proxy Information Statements – Mergers and Acquisitions 416 – • Proxies 14A Definitive Non-Management Proxy Solicitation Materials – Non-Contested Solicitations 300 – • Registrations – Definitive Offering Circulars — Reg. A 2 – • Proxies 14A Revised Definitive Proxy Solicitation Materials 5,242 – • Proxies 14C Revised Definitive Proxy Information Statements 396 – • Proxies 14A Definitive Proxy Solicitation Materials – Special Meetings 3,996 – • Proxies 14C Definitive Proxy Information Statements – Special Meetings 88 – • Registrations † Registration Effectiveness-Delaying Amendments 1,034 – • Proxies 14A Additional Definitive Non-Management Proxy Solicitation Materials 11,539 – • Proxies 14A Revised Definitive Non-Management Proxy Solicitation Materials 305 – • Registrations 1-A Draft Offering Statements — Reg. A/A+ 120 132 • Letters – Comment-Response and Draft-Offering-Statement Letters to the SEC 99 – • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Private Issuers 1,914 2,529 • Letters – Comment-Response and Draft-Registration-Statement Letters to the SEC 2,020 – • Reports – Distribution of Primary Obligations Reports by International Development Banks 380 19 • Reports – Reports by the European Bank for Reconstruction and Development 16 1 • Registrations † Notices of Effectiveness 49,028 – • Registrations F-1 Registration Statements by Foreign Private Issuers 1,266 3,629 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-1 Registration 139 – • Registrations F-2 Registration Statements by Foreign Private Issuers 16 36 • Registrations F-2 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 1 – • Registrations F-3 Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to Transactions 1,296 1,192 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private Issuers 534 – • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 54 – • 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 Private Issuers for Securities Issued in Business-Combination Transactions 708 1,332 • 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 1,653 152 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Effective Immediately 6,039 – • Registrations – Post-Effective Amendments of Form F-6 Registrations 2,177 – • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights 41 10 • Registrations – Post-Effective Amendments of Form F-7 Registrations 5 – • Registrations F-8 Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to Transactions 32 51 • Registrations – Post-Effective Amendments of Form F-8 Registrations 13 – • Registrations F-9 Registration Statements by Foreign Private Issuers – Not Effective Immediately 101 90 • Registrations F-9 Registration Statements by Foreign Private Issuers – Effective Immediately 3 – • Registrations – Post-Effective Amendments of Form F-9 Registrations 5 – • Registrations F-10 Registration Statements by Foreign Private Issuers – Not Effective Immediately 699 771 • Registrations F-10 Registration Statements by Foreign Private Issuers – Effective Immediately 7 – • Registrations – Post-Effective Amendments of Form F-10 Registrations 55 – • Registrations F-80 Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or 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 348 23 • Reports – Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers 29,048 1,058 • Registrations 163 / 433 Free-Writing Prospectuses 128,163 – • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities 2,475 273 • 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 2,843 – • Registrations MA Applications for Municipal Advisor Registration 853 1,199 • Registrations MA Annual Updates of a Municipal Advisor’s Registration 1,547 – • Registrations MA-I Information Regarding Natural Persons Who Engage in Municipal Advisory Activities 7,367 7,165 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor 281 – • Registrations – Registrations of Municipal Securities Dealers 44 417 • 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 1,833 2,718 • Registrations N-1A Registration Statements by Open-End Investment Companies 361 466 • Registrations N-2 Registration Statements by Closed-End Investment Companies 3,536 5,395 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-2 Registration 231 – • 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 2,185 1,943 • 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 636 449 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status 134 62 • Registrations N-8A Notices of Registrations 4,096 588 • 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 2,813 1,307 • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Notices 1,489 – • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Orders 1,638 – • Registrations N-14 Registration Statements by Open-End Investment Companies – Business Combinations 3,235 2,147 • Registrations N-14 Registration Statements by Closed-End Investment Companies – Business Combinations 233 269 • 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 1,245 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 1,533 51 • Ownership 23c-3(b) only Notices of Periodic Repurchase Offers 1,791 25 • Ownership 23c-3(c) only Notices of Periodic Repurchase Offers 397 3 • Ownership 23c-3(b) & (c) Notices of Periodic Repurchase Offers 46 47 • Reports N-27D-1 Accountings for Segregated Trust Accounts 12 – • Reports 30b-2 Periodic and Interim Reports Mailed to Shareholders of Investment Companies 10,850 – • Reports 30d-1 Annual and Semi-Annual Reports Mailed to Shareholders of Investment Companies 70,964 1,056 • Reports N-54A Notices of Elections by Business Development Companies 269 8 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies 180 4 • Reports N-CEN Annual Reports by Investment Companies 3,207 589 • Reports N-CEN Annual Reports by Investment Companies (Late Filings) 96 – • Reports N-CR Current Reports of Money-Market Funds’ Material Events 52 6 • Reports N-CSR Certified Annual Shareholder Reports by Investment Companies 57,653 2,878 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Investment Companies 50,052 900 • Reports N-MFP Monthly Holdings Schedules of Money-Market Funds 41,414 2,242 • 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 14,473 822 • Reports N-MFP Monthly Holdings Schedules of Money-Market Funds (Late Filings) 204 – • 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 ] 2,979 6 • Reports N-PORT Quarterly Holdings Schedules of Investment Companies (Late Filings) [ now NPORT-EX ] 7 – • Reports N-PX Proxy Voting Records – Annual Reports by Investment Companies 46,158 1,729 • Reports N-Q Quarterly Holdings Schedules of Investment Companies 93,868 1,003 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations 42 23 • Registrations NRSRO Updates of Registration by Nationally Recognized Statistical Rating Organizations 126 – • 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 42,260 663 • 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 69,027 584 • 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 1,539 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 51 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 335 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 57 – • Registrations SA §8(c) Post-Effective Amendments of Certain Investment Company Registrations 2,105 – • 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 29,221 – • Registrations PUHCA Post-Effective Amendments of Form U-1 Registrations 1,182 – • Registrations ICA Post-Effective Amendments of Investment Company Registrations 6,031 – • Registrations S-3ASR / F-3ASR Post-Effective Amendments of Automatic Shelf Registration Statements 1,706 – • Registrations 462(d) Post-Effective Amendments of Registration Statements to Add Exhibits 3,668 – • Proxies 13E-3 Preliminary Proxy Solicitation Materials – Going-Private Transaction Statements 173 290 • Proxies 14A Preliminary Proxy Solicitation Materials 36,502 – • Proxies 14C Preliminary Proxy Information Statements 9,047 – • Proxies 14A Additional Preliminary Proxy Solicitation Materials 16 – • Proxies 14C Additional Preliminary Proxy Information Statements 1 – • Proxies 14A Preliminary Proxy Solicitation Materials – Contested Solicitations 2,477 – • Proxies 14C Preliminary Proxy Information Statements – Contested Solicitations 63 – • Proxies 14A Preliminary Proxy Solicitation Materials – Mergers and Acquisitions 4,617 – • Proxies 14C Preliminary Proxy Information Statements – Mergers and Acquisitions 668 – • Proxies 14A Preliminary Non-Management Proxy Solicitation Materials – Non-Contested Solicitations 369 – • Proxies 14A Revised Preliminary Proxy Solicitation Materials 10,744 – • Proxies 14C Revised Preliminary Proxy Information Statements 2,420 – • Proxies 14A Preliminary Proxy Solicitation Materials – Special Meetings 3,944 – • Proxies 14C Preliminary Proxy Information Statements – Special Meetings 129 – • Proxies 14A Revised Preliminary Non-Management Proxy Solicitation Materials – Contested Solicitations and Other Situations 2,006 – • Proxies 14a-6(g) Notices of Exempt Proxy Solicitations 1,459 – • Proxies 14a-6(n) Notices of Exempt Preliminary Proxy Roll-Up Communications 40 – • Reports – Quarterly Reports by International Development Banks 115 2 • Registrations – Notices of Qualification — Reg. A/A+ 697 – • 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 64 2 • Registrations SEA §12(j) SEC Orders Revoking Securities Exchange Act Registrations 5,478 – • Registrations † Registration Withdrawal Requests 11,542 – • Registrations † Withdrawals of Registration Withdrawal Requests 392 – • Registrations S-1 Registration Statements (General Form) 18,296 49,478 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-1 Registration 1,417 – • 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 34,348 28,418 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers 6,737 – • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 934 5 • Registrations – Post-Effective Amendments of S-3D Registrations 639 – • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-3 Registration 1,243 – • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions 14,135 19,049 • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and 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 Form S-4 Registrations 296 – • Registrations S-6 Registration Statements by Unit Investment Trusts 19,566 7,957 • 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 80,865 18 • Registrations – Post-Effective Amendments of Form S-8 Registrations 31,843 – • Registrations S-11 Registration Statements by Real Estate Companies 1,087 3,377 • 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 314 193 • 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 General Statements of Beneficial Ownership 55,789 116,568 • Ownership 13E-1 Tender-Offer Transaction Statements 23 13 • Ownership 13E-3 Tender-Offer Statements – Going-Private Transactions 2,380 7,956 • Ownership 13E-4 Tender-Offer Statements – Issuer Tender Offers 734 1,250 • Ownership 13E-4F Tender-Offer Statements – Issuer Tender Offers 17 24 • Ownership 13G Statements of Beneficial Ownership 193,043 343,781 • Ownership 14D-1 Tender-Offer Statements – Third-Party Tender Offers 1,271 5,205 • Ownership 14D-1F Tender-Offer Statements – Third-Party Tender Offers 44 147 • Ownership 14D-9 Tender-Offer Solicitation/Recommendation Statements 4,165 9,140 • Ownership 14D-9C Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications 2,297 – • Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications – Foreign 40 40 • Ownership 14F-1 Statements re: Changes in Majority of Directors 2,209 226 • Proxies 14N Information from Certain Nominating Shareholders 7 6 • Ownership TO Tender-Offer Statements – Preliminary Communications 5,178 – • Ownership TO Tender-Offer Statements – Issuer Tender Offers 8,614 14,246 • Ownership TO Tender-Offer Statements – Third-Party Tender Offers 2,537 11,833 • Reports 13p-1 Specialized Disclosure Reports Relating to the Use of Conflict Minerals 7,165 24 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository 2 4 • Reports SE Scanned Exhibits of Paper Submissions 3,562 – • Letters – SEC Staff Actions [ a.k.a. ORDER ] 126 – • Letters – SEC Staff Letters [ a.k.a. STAFF LETTER , 14A-8 , REDACTED EXHIBIT & SERIOUS DEFICIENCIES ] 16 – • Registrations SF-1 Registration Statements (General Form) by Issuers of Asset-Backed Securities 3 9 • Registrations SF-3 Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities 120 190 • Registrations – Sales Literature 9 – • Reports 15d-2 Special Financial Reports 56 2 • Orders – SEC Stop Orders 59 – • Registrations SA §11(a) Voluntary Supplemental Materials Filed by Foreign Issuers 55,609 – • Registrations T-3 Applications for Qualification of a Trust Indenture 614 604 • Registrations TA-1 Applications for Registration as a Transfer Agent 375 3,994 • Reports TA-2 Annual Reports of Transfer Agents’ Activities 8,256 715 • 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 ] 152,921 – • 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 83,559 5,687 ____________ Totals 11,646,935 1,306,391 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. 