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Form,Sch.,
RuleorReg.
Filing /
Form Type
Filings
CategoryDescriptionOriginal Amended
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RegistrationsApplications for Registration or Exemption from Registration as a National Securities Exchange1891,256
Registrations1-AOffering Statements— Reg. A/A+1-A9812,387
RegistrationsPost-Qualification Amendments of Form 1-A Offering Statements— Reg. A/A+1-A POS533
RegistrationsWithdrawals of Form 1-A Offering Statements— Reg. A/A+1-A-W11615
ReportsENotifications by Small Business Investment Companies and Business Development Companies1-E15278
RegistrationsESales Materials1-E AD2
Reports1-KAnnual Reports— Reg. A1-K24918
Reports1-SASemi-Annual Reports— Reg. A1-SA23016
Reports1-UCurrent Reports— Reg. A1-U91012
Reports1-ZExit Reports— Reg. A1-Z754
Reports1-ZWithdrawals of Exit Reports— Reg. A1-Z-W2
Reports2-AReports of Sales of Securities— Reg. A/A+2-A5281
Reports2-AFinal Reports of Sales of Securities— Reg. A/A+2-AF36
ReportsEReports of Sales of Securities2-E8711
Ownership3Initial Statements of Beneficial Ownership of Securities3296,92516,910
Ownership4Statements of Changes in Beneficial Ownership of Securities43,387,255106,923
Ownership5Annual Statements of Changes in Beneficial Ownership of Securities5102,6543,970
RegistrationsICAApplications for Exemption Orders– ’40-6B’ SEC Notices6B NTC24
RegistrationsICAApplications for Exemption Orders– ’40-6B’ SEC Orders6B ORDR24
Reports6-KCurrent Reports by Foreign Private Issuers6-K385,1604,989
Registrations8-ARegistrations of Certain Classes of Securities8-A12B18,6374,368
Registrations8-ARegistrations of Certain Classes of Securities8A12BEF95
Registrations8-ARegistrations of Certain Classes of Securities8A12BT288
Registrations8-ARegistrations of Certain Classes of Securities8-A12G9,9242,347
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12B9429
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12G6113
RegistrationsICAApplications for Deregistration Orders– ’40-8F-2’ SEC Notices8F-2 NTC3
RegistrationsICAApplications for Deregistration Orders– ’40-8F-2’ SEC Orders8F-2 ORDR2
Reports8-KCurrent Reports8-K1,538,71972,998
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12B21020
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12G3621115
Reports8-KNotices of Assumptions of Duty to Report by Successor Issuers8-K15D5702
RegistrationsConsents to Service of Process by Notice– Non-Resident Broker-Dealer Corporations8-M61
RegistrationsConsents to Service of Process by Notice– Non-Resident Broker-Dealer Partnerships9-M13
Registrations10Registrations of Securities (General Form)10-12B7411,547
Registrations10Registrations of Securities (General Form)10-12G2,4674,292
Reports10-CReports by Issuers of Securities Quoted on NASDAQ10-C1,30525
Reports10-DDistribution Reports by Asset-Backed Issuers10-D58,8462,151
Reports10-KAnnual Reports10-K182,46640,635
Reports10-KAnnual Reports— Item 405– Reg. S-K10-K40520,2383,227
Reports10-KSBAnnual Reports by Small Businesses10KSB37,06211,939
Reports10-KSBAnnual Reports by Small Businesses— Item 405– Reg. S-K10KSB403,460629
Reports10-KAnnual-Transition Reports10-KT486114
Reports10-KAnnual-Transition Reports— Item 405– Reg. S-K10KT4058217
Reports10-QQuarterly Reports10-Q563,98742,986
Reports10-QSBQuarterly Reports by Small Businesses10QSB120,30817,154
Reports10-QQuarterly-Transition Reports10-QT20436
Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12B245134
Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12G4,1475,545
Reports11-KAnnual Reports by Employee Stock Purchase, Savings and Similar Plans11-K39,895955
Reports11-KAnnual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-KT952
Registrations12g-3Exemptions for American Depository Receipts and Certain Foreign Securities12G3-2B613
Registrations12g-3Exemptions for American Depository Receipts and Certain Foreign Securities12G32BR178
Ownership13FQuarterly Holdings and Combination Reports by Money Managers– Confidential Treatment Requested13FCONP1,27090
Ownership13FQuarterly Reports by Money Managers13F-E1,188120
Ownership13FQuarterly Holdings and Combination Reports by Money Managers13F-HR249,57623,723
Ownership13FQuarterly Notices by Money Managers13F-NT83,0661,672
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12B5,135104
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12G12,917399
Reports15Notices of Suspensions of Duty to File Reports15-15D15,731210
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12B18013
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12G22812
Reports15FNotices of Foreign Private Issuers’ Suspensions of Duty to File Reports15F-15D1212
Registrations18Registrations of Securities of Foreign Governments and Political Subdivisions18-12B4
Reports18-KAnnual Reports by Foreign Governments and Political Subdivisions18-K6582,031
Reports19b-4Proposed Rule Changes by SROs19B-4101
Reports19b-4(e)Information Required of SROs Listing and Trading in New Derivative Securities Products19B-4E26,033
Reports20-FAnnual Reports by Foreign Private Issuers20-F14,9663,328
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12B150149
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12G374589
Registrations24f-1Notices of Elections to Register Securities24F-16
Registrations24f-2Annual Notices of Securities Sold by Investment Companies24F-2EL292
Registrations24f-2Annual Notices of Securities Sold by Investment Companies24F-2NT170,1993,138
Registrations24f-2Annual Notices of Securities Sold by Investment Companies24F-2TM603
Reports25Notices by Issuers to Voluntarily Withdraw a Class of Securities from Listing and/or Registration on a National Exchange253,87838
Reports25Notices by National Exchanges of the Removal from Listing and/or Registration of Matured, Redeemed or Retired Securities25-NSE9,536229
Reports26Notices of the Admission to Trading of a Substituted or Additional Class of Securities262
ReportsSEA §12(g) / 13(a)Applications for Exemptions and from Filing Certain Reports34-12H7
Reports20(e)Statements Concerning Proposed Transactions35-APP62
Reports24Certificates Concerning Terms and Conditions of Transactions35-CERT5,13998
RegistrationsTIAApplications 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 Act39-304D91
RegistrationsTIAApplications Regarding a Conflict of Interest under the Trust Indenture Act39-310B2
RegistrationsICAApplications for Exemption Orders by Employees’ Investment Companies40-6B47160
RegistrationsICA §6(c)Applications for Exemptions and Other Relief40-6C433529
Reports8b-25(a)Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports40-8B25103
RegistrationsO-2Applications for Deregistration Orders by Certain Investment Companies40-8F-21725
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Abandonments of Registration40-8F-A12465
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Business Development Companies40-8F-B41
RegistrationsICAInvestment Company Registrations Withdrawn by SEC Order40-8FC31
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Liquidations40-8F-L455180
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Mergers40-8F-M542174
Reports17f-1Certificates of Accounting of Securities in the Custody of Investment Companies40-17F141117
Reports17f-2Certificates of Accounting of Securities in the Custody of Investment Companies40-17F217,460129
Reports17g-1(g)Fidelity Bonds of Investment Companies40-17G24,5952,113
Reports17g-1Claims and Settlements re: Investment Companies40-17GCS15
Reports24b-2Sales Literature of Investment Companies40-24B22,80386
ReportsICA §33Stockholder Derivative Actions re: Investment Companies40-331,0298
RegistrationsIAA §202Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act40-202A3230
RegistrationsIAA §203Exemptions from the Prohibition on Registration40-203A22
RegistrationsIAA §205Applications for Performance Fees Exemption40-205E32
RegistrationsIAA §206(3)Applications for Exemptions40-206A4436
RegistrationsICAApplications for Exemption Orders and Other Relief40-APP1,7562,691
Registrations40-FRegistration Statements and Annual Reports by Canadian Issuers40-F2,521470
Registrations40-FRegistrations of Securities of Canadian Issuers40FR12B11560
Registrations40-FRegistrations of Securities of Canadian Issuers40FR12G278
RegistrationsICAApplications for Exemption Orders from the SEC Office of Insurance Products (OIP)40-OIP79146
ReportsICAReports Required from Certain Applicants for Exemptions from the Investment Company Act40-RPT2
Ownership144Notices of Proposed Sales of Securities1446,964272
Registrations1-AOffering Statements– Information Previously Omitted— Reg. A/A+253G132
Registrations1-AOffering Statements– Information Substantively Changed or Added— Reg. A/A+253G2950
Registrations1-AOffering Statements– Information Previously Omitted or Substantively Changed— Reg. A/A+253G34
Registrations1-AOffering Statements– Information Previously Omitted or Substantively Changed– Not Timely Filed— Reg. A/A+253G41
RegistrationsT-1Statements of Eligibility by Corporations Designated to Act as Trustees305B21,75620
Registrations424(a)Prospectuses424A1,545
Registrations424(b)(1)Prospectuses424B15,953
Registrations424(b)(2)Prospectuses424B2203,638
Registrations424(b)(3)Prospectuses424B3153,945
Registrations424(b)(4)Prospectuses424B49,533
Registrations424(b)(5)Prospectuses424B555,489
Registrations424(b)(7)Prospectuses424B73,537
Registrations424(b)(8)Prospectuses424B8855
Registrations424(h)Preliminary Prospectuses424H58650
Reports425Prospectuses and Communications– Business Combinations42563,802
Registrations485(a)Post-Effective Amendments of Registrations485A24E88
Registrations485(a)Post-Effective Amendments of Registrations485A24F25
Registrations485(a)Post-Effective Amendments of Registrations485APOS38,721
Registrations485(b)Post-Effective Amendments of Registrations485B24E1,669
Registrations485(b)Post-Effective Amendments of Registrations485B24F64
Registrations485(b)Post-Effective Amendments of Registrations485BPOS175,053
Registrations485(b)Post-Effective Amendments of Registrations to Designate New Effective Dates485BXT20,149
Registrations485(b)Post-Effective Amendments of Registrations to Designate New Effective Dates485BXTF1
Registrations486(a)Post-Effective Amendments of Form N-2 Registrations486A24E1
Registrations486(a)Post-Effective Amendments of Form N-2 Registrations486APOS184
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations486B24E2
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations486BPOS700
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates486BXT23
Registrations487Pre-Effective Pricing Amendments of Registration Statements48718,039
Registrations497Definitive Materials497345,442
Reports497 & 482(c)Advertising by Certain Investment Companies497AD3,427
Registrations497(h)(2)Prospectuses of Certain Closed-End Investment Companies497H283
Registrations497(j)Certifications of No Changes in Definitive Materials497J113,360
Registrations497(k)Summary Prospectuses of Certain Open-End Investment Companies497K183,121
Reports497(k)(1)(i)Profiles of Certain Open-End Investment Companies497K1317
Reports497(k)(1)(ii)Profiles of Certain Open-End Investment Companies497K2164
Reports497(k)(1)(iii)(A)Profiles of Certain Open-End Investment Companies497K3A52
Reports497(k)(1)(iii)(B)Profiles of Certain Open-End Investment Companies497K3B2,294
ReportsSEA §15GAsset-Backed Securitizer ReportsABS-15G9,1952,689
RegistrationsAsset-Backed Securities Offerings’ [XML] ExhibitsABS-EE4,20089
ReportsReports by the Asian Development BankADB18
RegistrationsAdditional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is PrescribedADN-MTL50
RegistrationsIAARegistrations of Investment AdvisorsADV1
RegistrationsCancellations of Registered Advisers by SEC OrderADVCO53
ReportsIAACertificates of Accounting of Client Securities and Funds in Possession or Custody of an Investment AdvisorADV-E2,451
ReportsIAAApplications for Continuing Hardship ExemptionADV-H-C7
ReportsIAAApplications for Temporary Hardship ExemptionADV-H-T70
RegistrationsIAAAppointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment AdvisorsADV-NR640
RegistrationsIAANotices of Withdrawal from Registration as an Investment AdvisorADVW9
ReportsReports by the African Development BankAFDB91
ReportsAnnual Reports by International Development BanksANNLRPT981
RegistrationsICAApplications for Exemption Orders– ’40-APP’ SEC NoticesAPP NTC841
RegistrationsICAApplications for Exemption Orders– ’40-APP’ SEC OrdersAPP ORDR812
RegistrationsAPP WDWithdrawals of Applications for Exemption and Other Relief from Federal Securities LawsAPP WD44512
RegistrationsICAApplications for Exemption Orders– ’40-APP’ Withdrawals GrantedAPP WDG52
ReportsAnnual Reports to Security HoldersARS36,68337
ReportsATS-NAlternative Trading Systems (NMS Stock)– Initial InformationATS-N1
ReportsATS-NAlternative Trading Systems (NMS Stock)– Updating AmendmentsATS-N/UA3
ReportsATS-NAlternative Trading Systems (NMS Stock)– Notices of CessationATS-N-C3
RegistrationsAmendment Withdrawal RequestsAW3,519
RegistrationsAmendment Withdrawal Requests– Withdrawal DuplicateAW WD101
RegistrationsCancellations of Registered Brokers and Dealers by SEC OrderBDCO430
ReportsBW – 2Quarterly Reports by the International Bank for Reconstruction and Development (World Bank)BW-227
ReportsBW – 3Distribution of Primary Obligations Reports by the International Bank for Reconstruction and Development (World Bank)BW-393
RegistrationsCCrowdfunding Offering StatementsC1,8041,789
RegistrationsC/A-WCrowdfunding Offering Statement Amendment WithdrawalsC/A-W8
RegistrationsC-WCrowdfunding Offering Statement WithdrawalsC-W146
ReportsC-ARCrowdfunding Annual ReportsC-AR58233
ReportsC-AR-WCrowdfunding Annual Report WithdrawalsC-AR-W4
ReportsC-TRCrowdfunding Terminations of ReportingC-TR49
ReportsC-TR-WCrowdfunding Termination of Reporting WithdrawalsC-TR-W1
RegistrationsC-UCrowdfunding Progress UpdatesC-U797
RegistrationsC-U-WCrowdfunding Progress Update WithdrawalsC-U-W3
ReportsCA-1 FilingsCA-12
OwnershipCBRights/Exchange/Tender Offer Notifications/ResponsesCB1,5791,416
RegistrationsCERTCertifications by Exchanges Approving Securities for ListingCERT1,311
RegistrationsCERTCertifications by the American Stock Exchange Approving Securities for ListingCERTAMX1,585
RegistrationsCERTCertifications by the New York Stock Exchange Archipelago Approving Securities for ListingCERTARCA362
RegistrationsCERTCertifications by the Bats Global Markets Approving Securities for ListingCERTBATS69
RegistrationsCERTCertifications by the Boston Stock Exchange Approving Securities for ListingCERTBSE13
RegistrationsCERTCertifications by the Chicago Board Options Exchange Approving Securities for ListingCERTCBO73
RegistrationsCERTCertifications by the Chicago Stock Exchange Approving Securities for ListingCERTCSE2
RegistrationsCERTCertifications by the NASDAQ Stock Market Approving Securities for ListingCERTNAS2,776
RegistrationsCERTCertifications by the New York Stock Exchange Approving Securities for ListingCERTNYS5,655
RegistrationsCERTCertifications by the Pacific Coast Stock Exchange Approving Securities for ListingCERTPAC542
RegistrationsCERTCertifications by the Philadelphia Stock Exchange Approving Securities for ListingCERTPBS3
RegistrationsFunding PortalApplications for Registration as a Crowdfunding PortalCFPORTAL57190
RegistrationsFunding PortalApplications for Withdrawal from Registration as a Crowdfunding PortalCFPORTAL-W6
LettersComment-Response and Other Letters to the SEC [ a.k.a. COVER]CORRESP153,642
OrdersSEC Confidential Treatment OrdersCT ORDER15,520
RegistrationsDNotices of Exempt Offerings of SecuritiesD223,254153,507
Proxies13E-3Definitive Proxy Solicitation Materials– Going-Private Transaction StatementsDEF13E37787
Proxies14ADefinitive Proxy Solicitation MaterialsDEF 14A160,414
Proxies14CDefinitive Proxy Information StatementsDEF 14C11,570
Proxies14AAdditional Definitive Proxy Solicitation MaterialsDEFA14A78,893
Proxies14CAdditional Definitive Proxy Information StatementsDEFA14C341
Proxies14ADefinitive Proxy Solicitation Materials– Contested SolicitationsDEFC14A1,815
Proxies14CDefinitive Proxy Information Statements– Contested SolicitationsDEFC14C25
Proxies14ADefinitive Proxy Solicitation Materials– Mergers and AcquisitionsDEFM14A5,168
Proxies14CDefinitive Proxy Information Statements– Mergers and AcquisitionsDEFM14C416
Proxies14ADefinitive Non-Management Proxy Solicitation Materials– Non-Contested SolicitationsDEFN14A300
RegistrationsDefinitive Offering Circulars— Reg. ADEF-OC2
Proxies14ARevised Definitive Proxy Solicitation MaterialsDEFR14A5,242
Proxies14CRevised Definitive Proxy Information StatementsDEFR14C396
Proxies14ADefinitive Proxy Solicitation Materials– Special MeetingsDEFS14A3,996
Proxies14CDefinitive Proxy Information Statements– Special MeetingsDEFS14C88
RegistrationsRegistration Effectiveness-Delaying AmendmentsDEL AM1,034
Proxies14AAdditional Definitive Non-Management Proxy Solicitation MaterialsDFAN14A11,539
Proxies14ARevised Definitive Non-Management Proxy Solicitation MaterialsDFRN14A305
Registrations1-ADraft Offering Statements— Reg. A/A+DOS120132
LettersComment-Response and Draft-Offering-Statement Letters to the SECDOSLTR99
RegistrationsDRSDraft Registration Statements by Emerging Growth Companies and Foreign Private IssuersDRS1,9142,529
LettersComment-Response and Draft-Registration-Statement Letters to the SECDRSLTR2,020
ReportsDistribution of Primary Obligations Reports by International Development BanksDSTRBRPT38019
ReportsReports by the European Bank for Reconstruction and DevelopmentEBRD161
RegistrationsNotices of EffectivenessEFFECT49,028
RegistrationsF-1Registration Statements by Foreign Private IssuersF-11,2663,629
Registrations462(b)Registration Statements to Add Securities to a Prior Form F-1 RegistrationF-1MEF139
RegistrationsF-2Registration Statements by Foreign Private IssuersF-21636
RegistrationsF-2Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-2D1
RegistrationsF-3Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-31,2961,192
RegistrationsF-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private IssuersF-3ASR534
RegistrationsF-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-3D54
RegistrationsPost-Effective Amendments of F-3D RegistrationsF-3DPOS28
Registrations462(b)Registration Statements to Add Securities to a Prior Form F-3 RegistrationF-3MEF29
RegistrationsF-4Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination TransactionsF-47081,332
Registrations462(b)Registration Statements to Add Securities to a Prior Form F-4 RegistrationF-4MEF8
RegistrationsPost-Effective Amendments of Form F-4 RegistrationsF-4 POS21
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts– Not Effective ImmediatelyF-61,653152
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts– Effective ImmediatelyF-6EF6,039
RegistrationsPost-Effective Amendments of Form F-6 RegistrationsF-6 POS2,177
RegistrationsF-7Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of RightsF-74110
RegistrationsPost-Effective Amendments of Form F-7 RegistrationsF-7 POS5
RegistrationsF-8Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-83251
RegistrationsPost-Effective Amendments of Form F-8 RegistrationsF-8 POS13
RegistrationsF-9Registration Statements by Foreign Private Issuers– Not Effective ImmediatelyF-910190
RegistrationsF-9Registration Statements by Foreign Private Issuers– Effective ImmediatelyF-9EF3
RegistrationsPost-Effective Amendments of Form F-9 RegistrationsF-9 POS5
RegistrationsF-10Registration Statements by Foreign Private Issuers– Not Effective ImmediatelyF-10699771
RegistrationsF-10Registration Statements by Foreign Private Issuers– Effective ImmediatelyF-10EF7
RegistrationsPost-Effective Amendments of Form F-10 RegistrationsF-10POS55
RegistrationsF-80Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or Business CombinationsF-802622
RegistrationsPost-Effective Amendments of Form F-80 RegistrationsF-80POS19
RegistrationsF-NAppointments of Agents for Service of Process by Foreign Financial EntitiesF-N34823
ReportsAnnual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and DealersFOCUSN29,0481,058
Registrations163 / 433Free-Writing ProspectusesFWP128,163
RegistrationsF-XAppointments of Agents for Service of Process by Foreign Non-Financial EntitiesF-X2,475273
ReportsAnnual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405633
ReportsAnnual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405N501
RegistrationsNotices of Status as a Government Securities Broker or Dealer by Financial InstitutionsG-FIN22251
RegistrationsNotices of Withdrawal as a Government Securities Broker or Dealer by Financial InstitutionsG-FINW16
ReportsReports by the Inter-American Development BankIADB13
RegistrationsIDApplications for EDGAR Access– New Central Index Key (CIK)ID-NEWCIK1
ReportsReports by the International Finance CorporationIFC6
ReportsSEA §13(r)Notices of Disclosures in Quarterly and Annual Reports— ITRASHRA’12IRANNOTICE2,843
RegistrationsMAApplications for Municipal Advisor RegistrationMA8531,199
RegistrationsMAAnnual Updates of a Municipal Advisor’s RegistrationMA-A1,547
RegistrationsMA-IInformation Regarding Natural Persons Who Engage in Municipal Advisory ActivitiesMA-I7,3677,165
RegistrationsMA-WNotices of Withdrawal from Registration as a Municipal AdvisorMA-W281
RegistrationsRegistrations of Municipal Securities DealersMSD44417
RegistrationsCancellations of Registered Municipal Securities Dealers by SEC OrderMSDCO22
Registrations15Bc3-1Notices of Withdrawal from Registration as a Municipal Securities DealerMSDW81
RegistrationsN-1Registration Statements by Open-End Investment CompaniesN-12189
RegistrationsN-1ARegistration Statements by Open-End Investment CompaniesN-1A1,8332,718
RegistrationsN-1ARegistration Statements by Open-End Investment CompaniesN-1A EL361466
RegistrationsN-2Registration Statements by Closed-End Investment CompaniesN-23,5365,395
Registrations462(b)Registration Statements to Add Securities to a Prior Form N-2 RegistrationN-2MEF231
RegistrationsN-3Registration Statements for Separate Accounts– Investment CompaniesN-34019
RegistrationsN-3Registration Statements for Separate Accounts– Investment CompaniesN-3 EL66
RegistrationsN-4Registration Statements for Separate Accounts– Unit Investment TrustsN-42,1851,943
RegistrationsN-4Registration Statements for Separate Accounts– Unit Investment TrustsN-4 EL151141
RegistrationsN-5Registration Statements by Small-Business Investment CompaniesN-5910
RegistrationsN-6Registration Statements for Separate Accounts– Unit Investment TrustsN-6636449
ReportsN-6FNotices of Intentions to Elect Business-Development-Company StatusN-6F13462
RegistrationsN-8ANotices of RegistrationsN-8A4,096588
RegistrationsN-8B-2Registration Statements by Unit Investment TrustsN-8B-2182172
RegistrationsN-8B-4Registration Statements by Face-Amount Certificate CompaniesN-8B-41
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment CompaniesN-8F2,8131,307
RegistrationsICAApplications for Deregistration Orders– ‘N-8F’ SEC NoticesN-8F NTC1,489
RegistrationsICAApplications for Deregistration Orders– ‘N-8F’ SEC OrdersN-8F ORDR1,638
RegistrationsN-14Registration Statements by Open-End Investment Companies– Business CombinationsN-143,2352,147
RegistrationsN-14Registration Statements by Closed-End Investment Companies– Business CombinationsN-14 8C233269
RegistrationsN-14Registration Statements by Open-End Investment Companies with Automatic Effectiveness– Business CombinationsN-14AE891185
RegistrationsN-14Registration Statements by Open-End Investment Companies– Business CombinationsN14AE2423058
RegistrationsN-14Registration Statements by Open-End Investment Companies– Business CombinationsN14EL2415889
Registrations462(b)Registration Statements to Add Securities to a Prior Form N-14 RegistrationN-14MEF4
Reports18f-1Notices of ElectionsN-18F11,24531
OwnershipN-23C-1Reports by Closed-End Investment Companies of Purchases of their own SecuritiesN-23C-192016
Ownership23c-2(b)Notices by Closed-End Investment Companies of Intentions to Call or Redeem their own SecuritiesN-23C-21,53351
Ownership23c-3(b) onlyNotices of Periodic Repurchase OffersN-23C3A1,79125
Ownership23c-3(c) onlyNotices of Periodic Repurchase OffersN-23C3B3973
Ownership23c-3(b) & (c)Notices of Periodic Repurchase OffersN-23C3C4647
ReportsN-27D-1Accountings for Segregated Trust AccountsN-27D-112
Reports30b-2Periodic and Interim Reports Mailed to Shareholders of Investment CompaniesN-30B-210,850
Reports30d-1Annual and Semi-Annual Reports Mailed to Shareholders of Investment CompaniesN-30D70,9641,056
ReportsN-54ANotices of Elections by Business Development CompaniesN-54A2698
ReportsN-54CNotices of Withdrawal from Registration by Business Development CompaniesN-54C1804
ReportsN-CENAnnual Reports by Investment CompaniesN-CEN3,207589
ReportsN-CENAnnual Reports by Investment Companies (Late Filings)NT N-CEN96
ReportsN-CRCurrent Reports of Money-Market Funds’ Material EventsN-CR526
ReportsN-CSRCertified Annual Shareholder Reports by Investment CompaniesN-CSR57,6532,878
ReportsN-CSRCertified Semi-Annual Shareholder Reports by Investment CompaniesN-CSRS50,052900
ReportsN-MFPMonthly Holdings Schedules of Money-Market FundsN-MFP41,4142,242
ReportsN-MFPMonthly Holdings Schedules of Money-Market Funds (Late Filings)NT N-MFP238
ReportsN-MFPMonthly Holdings Schedules of Money-Market FundsN-MFP13,040553
ReportsN-MFPMonthly Holdings Schedules of Money-Market Funds (Late Filings)NT N-MFP135
ReportsN-MFPMonthly Holdings Schedules of Money-Market FundsN-MFP214,473822
ReportsN-MFPMonthly Holdings Schedules of Money-Market Funds (Late Filings)NT N-MFP2204
Letters14a-8SEC No-Action Letters [ a.k.a. 14A-8]NO ACT9,085
ReportsN-PORTQuarterly Holdings Schedules of Investment Companies [ now NPORT-EX]NPORT-EX2,9796
ReportsN-PORTQuarterly Holdings Schedules of Investment Companies (Late Filings) [ now NPORT-EX]NT NPORTEX7
ReportsN-PXProxy Voting Records– Annual Reports by Investment CompaniesN-PX46,1581,729
ReportsN-QQuarterly Holdings Schedules of Investment CompaniesN-Q93,8681,003
RegistrationsNRSROAnnual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO-CE4223
RegistrationsNRSROUpdates of Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-UPD126
ReportsN-SARSemi-Annual Reports by Investment CompaniesNSAR-A73,4064,004
ReportsN-SARSemi-Annual-Transition Reports by Investment CompaniesNSAR-AT20216
ReportsN-SARAnnual Reports by Investment CompaniesNSAR-B73,5426,357
ReportsN-SARAnnual-Transition Reports by Investment CompaniesNSAR-BT68954
ReportsN-SARAnnual Reports by Unit Investment TrustsNSAR-U16,570351
Reports12b-25Notices of Late Filings of Form 10-DNT 10-D91
Reports12b-25Notices of Late Filings of Form 10-D (Late Notices)NTN 10D5
Reports12b-25Notices of Late Filings of Form 10-KNT 10-K42,260663
Reports12b-25Notices of Late Filings of Form 10-K (Late Notices)NTN 10K1,580
Reports12b-25Notices of Late Filings of Form 10-QNT 10-Q69,027584
Reports12b-25Notices of Late Filings of Form 10-Q (Late Notices)NTN 10Q2,302
Reports12b-25Notices of Late Filings of Form 11-KNT 11-K1,64816
Reports12b-25Notices of Late Filings of Form 11-K (Late Notices)NTN 11K18
Reports12b-25Notices of Late Filings of ‘SP 15D2’ Special Financial ReportsNT 15D287
Reports12b-25Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices)NTN15D23
Reports12b-25Notices of Late Filings of Form 20-FNT 20-F1,53926
Reports12b-25Notices of Late Filings of Form 20-F (Late Notices)NTN 20F37
Reports12b-25Notices of Late Filings of Form N-CENNT-NCEN511
Reports12b-25Notices of Late Filings of Form N-CEN (Late Notices)NTFNCEN10
Reports12b-25Notices of Late Filings of Form N-CSRNT-NCSR33523
Reports12b-25Notices of Late Filings of Form N-CSR (Late Notices)NTFNCSR75
Reports12b-25Notices of Late Filings of Form N-SARNT-NSAR2,590116
Reports12b-25Notices of Late Filings of Form N-SAR (Late Notices)NTFNSAR190
RegistrationsICAApplications for Exemption Orders– ’40-OIP’ SEC NoticesOIP NTC63
RegistrationsICAApplications for Exemption Orders– ’40-OIP’ SEC OrdersOIP ORDR57
RegistrationsSA §8(c)Post-Effective Amendments of Certain Investment Company RegistrationsPOS 8C2,105
RegistrationsPost-Effective Amendments of Rule 462(b) Registration StatementsPOS462B218
RegistrationsPost-Effective Amendments of Rule 462(c) Registration StatementsPOS462C83
RegistrationsPost-Effective Amendments of RegistrationsPOS AM29,221
RegistrationsPUHCAPost-Effective Amendments of Form U-1 RegistrationsPOS AMC1,182
RegistrationsICAPost-Effective Amendments of Investment Company RegistrationsPOS AMI6,031
RegistrationsS-3ASR / F-3ASRPost-Effective Amendments of Automatic Shelf Registration StatementsPOSASR1,706
Registrations462(d)Post-Effective Amendments of Registration Statements to Add ExhibitsPOS EX3,668
Proxies13E-3Preliminary Proxy Solicitation Materials– Going-Private Transaction StatementsPRE13E3173290
Proxies14APreliminary Proxy Solicitation MaterialsPRE 14A36,502
Proxies14CPreliminary Proxy Information StatementsPRE 14C9,047
Proxies14AAdditional Preliminary Proxy Solicitation MaterialsPREA14A16
Proxies14CAdditional Preliminary Proxy Information StatementsPREA14C1
Proxies14APreliminary Proxy Solicitation Materials– Contested SolicitationsPREC14A2,477
Proxies14CPreliminary Proxy Information Statements– Contested SolicitationsPREC14C63
Proxies14APreliminary Proxy Solicitation Materials– Mergers and AcquisitionsPREM14A4,617
Proxies14CPreliminary Proxy Information Statements– Mergers and AcquisitionsPREM14C668
Proxies14APreliminary Non-Management Proxy Solicitation Materials– Non-Contested SolicitationsPREN14A369
Proxies14ARevised Preliminary Proxy Solicitation MaterialsPRER14A10,744
Proxies14CRevised Preliminary Proxy Information StatementsPRER14C2,420
Proxies14APreliminary Proxy Solicitation Materials– Special MeetingsPRES14A3,944
Proxies14CPreliminary Proxy Information Statements– Special MeetingsPRES14C129
Proxies14ARevised Preliminary Non-Management Proxy Solicitation Materials– Contested Solicitations and Other SituationsPRRN14A2,006
Proxies14a-6(g)Notices of Exempt Proxy SolicitationsPX14A6G1,459
Proxies14a-6(n)Notices of Exempt Preliminary Proxy Roll-Up CommunicationsPX14A6N40
ReportsQuarterly Reports by International Development BanksQRTLYRPT1152
RegistrationsNotices of Qualification— Reg. A/A+QUALIF697
RegistrationsDNotices of Exempt Offerings of SecuritiesREGDEX128,23142,440
RegistrationsInitial Undertakings to File Reports for Non-Resident Brokers, Dealers and Investment AdvisersREG-NR642
RegistrationsSEA §12(j)SEC Orders Revoking Securities Exchange Act RegistrationsREVOKED5,478
RegistrationsRegistration Withdrawal RequestsRW11,542
RegistrationsWithdrawals of Registration Withdrawal RequestsRW WD392
RegistrationsS-1Registration Statements (General Form)S-118,29649,478
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-1 RegistrationS-1MEF1,417
RegistrationsS-2Registration StatementsS-29781,457
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-2 RegistrationS-2MEF73
RegistrationsS-3Registration Statements for Securities Offered Pursuant to TransactionsS-334,34828,418
RegistrationsS-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned IssuersS-3ASR6,737
RegistrationsS-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansS-3D9345
RegistrationsPost-Effective Amendments of S-3D RegistrationsS-3DPOS639
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-3 RegistrationS-3MEF1,243
RegistrationsS-4Registrations of Securities Issued in Business-Combination TransactionsS-414,13519,049
RegistrationsS-4Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding CompaniesS-4EF7631
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-4 RegistrationS-4MEF148
RegistrationsPost-Effective Amendments of Form S-4 RegistrationsS-4 POS296
RegistrationsS-6Registration Statements by Unit Investment TrustsS-619,5667,957
RegistrationsS-6Registration Statements by Unit Investment TrustsS-6EL241,398359
RegistrationsS-8Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit PlansS-880,86518
RegistrationsPost-Effective Amendments of Form S-8 RegistrationsS-8 POS31,843
RegistrationsS-11Registration Statements by Real Estate CompaniesS-111,0873,377
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-11 RegistrationS-11MEF82
RegistrationsS-20Registration Statements for Standardized OptionsS-2065
RegistrationsBRegistration Statements by Foreign Governments and Political SubdivisionsS-B314193
Registrations462(b)Registration Statements to Add Securities to a Prior Schedule B RegistrationS-BMEF13
RegistrationsSB-1Registration Statements by Small-Business IssuersSB-1151359
Registrations462(b)Registration Statements to Add Securities to a Prior Form SB-1 RegistrationSB-1MEF1
RegistrationsSB-2Registration Statements by Small-Business IssuersSB-27,81216,585
Registrations462(b)Registration Statements to Add Securities to a Prior Form SB-2 RegistrationSB-2MEF104
Ownership13DGeneral Statements of Beneficial OwnershipSC 13D55,789116,568
Ownership13E-1Tender-Offer Transaction StatementsSC 13E12313
Ownership13E-3Tender-Offer Statements– Going-Private TransactionsSC 13E32,3807,956
Ownership13E-4Tender-Offer Statements– Issuer Tender OffersSC 13E47341,250
Ownership13E-4FTender-Offer Statements– Issuer Tender OffersSC13E4F1724
Ownership13GStatements of Beneficial OwnershipSC 13G193,043343,781
Ownership14D-1Tender-Offer Statements– Third-Party Tender OffersSC 14D11,2715,205
Ownership14D-1FTender-Offer Statements– Third-Party Tender OffersSC14D1F44147
Ownership14D-9Tender-Offer Solicitation/Recommendation StatementsSC 14D94,1659,140
Ownership14D-9CTender-Offer Solicitation/Recommendation Statements– Preliminary CommunicationsSC14D9C2,297
Ownership14D-9FTender-Offer Solicitation/Recommendation Statements– Preliminary Communications– ForeignSC14D9F4040
Ownership14F-1Statements re: Changes in Majority of DirectorsSC 14F12,209226
Proxies14NInformation from Certain Nominating ShareholdersSC 14N76
OwnershipTOTender-Offer Statements– Preliminary CommunicationsSC TO-C5,178
OwnershipTOTender-Offer Statements– Issuer Tender OffersSC TO-I8,61414,246
OwnershipTOTender-Offer Statements– Third-Party Tender OffersSC TO-T2,53711,833
Reports13p-1Specialized Disclosure Reports Relating to the Use of Conflict MineralsSD7,16524
RegistrationsSDRApplications for Registration as a Security-Based Swap Data RepositorySDR24
ReportsSEScanned Exhibits of Paper SubmissionsSE3,562
LettersSEC Staff Actions [ a.k.a. ORDER]SEC ACTION126
LettersSEC Staff Letters [ a.k.a. STAFFLETTER, 14A-8, REDACTEDEXHIBIT& SERIOUSDEFICIENCIES]SEC LETTER16
RegistrationsSF-1Registration Statements (General Form) by Issuers of Asset-Backed SecuritiesSF-139
RegistrationsSF-3Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-3120190
RegistrationsSales LiteratureSL9
Reports15d-2Special Financial ReportsSP 15D2562
OrdersSEC Stop OrdersSTOP ORDER59
RegistrationsSA §11(a)Voluntary Supplemental Materials Filed by Foreign IssuersSUPPL55,609
RegistrationsT-3Applications for Qualification of a Trust IndentureT-3614604
RegistrationsTA-1Applications for Registration as a Transfer AgentTA-13753,994
ReportsTA-2Annual Reports of Transfer Agents’ ActivitiesTA-28,256715
RegistrationsCancellations of Registered Transfer Agents by SEC OrderTACO128
RegistrationsTA-WNotices of Withdrawal from Registration as a Transfer AgentTA-W483
ReportsNotices of Reliance on Temporary Hardship ExemptionTH135
RegistrationsTesting-the-Waters Filings— Reg. A/A+TTW288
RegistrationsU-1Applications and DeclarationsU-19692,309
RegistrationsU-3A-2Statements by Utility Holding Companies Claiming ExemptionU-3A-2985163
RegistrationsU-3A3-1Twelve-Month Statements by Banks Claiming ExemptionU-3A3-121
RegistrationsU5ANotices of RegistrationsU5A404
RegistrationsU5BRegistration StatementsU5B3210
ReportsU5SAnnual Reports by Utility Holding CompaniesU5S24268
ReportsU-6B-2Certificates of Notices of Security Issues, Renewals and GuaranteesU-6B-21,2849
ReportsU-7DCertificates Concerning Leases of Utility FacilitiesU-7D3139
ReportsU-9C-3Quarterly Reports by Energy or Gas-Related CompaniesU-9C-363616
OwnershipU-12(I)-AOwnership Statements by Persons Employed or Retained by Utility Holding CompaniesU-12-IA291
OwnershipU-12(I)-BThree-Year Ownership Statements by Persons Employed or Retained by Utility Holding CompaniesU-12-IB1,5373
ReportsU-13-60Annual Reports by Mutual and Subsidiary Service CompaniesU-13-6036617
OwnershipU-13E-1Transaction Statements by Affiliate and Independent Service CompaniesU-13E-14
ReportsU-33-SAnnual Reports by Foreign Utility CompaniesU-33-S481
ReportsU-57Notices of Foreign Utility Company StatusU-57614237
RegistrationsS-6Initial Undertakings to File ReportsUNDER411
LettersComment and Other Letters from the SEC [ a.k.a. LETTER]UPLOAD152,921
RegistrationsWithdrawal Requests for Materials Previously Filed— Reg. A/A+WDL-REQ62
ReportsX-17A-5Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and DealersX-17A-583,5595,687
____________ Totals 11,646,9351,306,391
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.


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