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			Form, Sch., Rule or Reg.		Filing / Form Type		Filings
	Category			Description			Original  Amended
							(click for most-recent)
•	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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