• Registrations – Applications for Registration or Exemption from Registration as a National Securities Exchange 1 88 1,166 • Registrations 1-A Offering Statements — Reg. A / A+ 1-A 916 2,247 • Registrations 1-A Post-Qualification Amendments to Offering Statements — Reg. A / A+ 1-A POS 459 – • Registrations 1-A Withdrawals of Offering Statements — Reg. A / A+ 1-A-W 101 15 • Reports E Notifications by Small Business Investment Companies and Business Development Companies 1-E 152 78 • Registrations E Sales Materials 1-E AD 2 – • Reports 1-K Annual Reports — Reg. A 1-K 165 12 • Reports 1-SA Semi-Annual Reports — Reg. A 1-SA 218 16 • Reports 1-U Current Reports — Reg. A 1-U 751 8 • Reports 1-Z Exit Reports — Reg. A 1-Z 66 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 3 292,128 16,733 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities 4 3,328,465 105,706 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities 5 102,465 3,963 • Filings – 40-6B Notices 6B NTC 24 – • Filings – 40-6B Orders 6B ORDR 23 – • Reports 6-K Current Reports by Foreign Private Issuers 6-K 377,520 4,888 • Forms – 7-A 7-A – – • Registrations 8-A Registrations of Certain Classes of Securities 8-A12B 18,352 4,337 • Registrations 8-A Registrations of Certain Classes of Securities 8A12BEF 95 – • Registrations 8-A Registrations of Certain Classes of Securities 8A12BT 28 8 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12G 9,904 2,344 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 8-B12B 94 29 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 8-B12G 61 13 • Filings – 40-8F-2 Notices 8F-2 NTC 3 – • Filings – 40-8F-2 Orders 8F-2 ORDR 2 – • Reports 8-K Current Reports 8-K 1,517,485 72,456 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12B 202 19 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12G3 620 114 • Reports 8-K Notices of Assumptions of Duty to Report by Successor Issuers 8-K15D5 70 2 • Filings – Consents to Service of Process by Notice (Non-Resident Broker-Dealer Corporations) 8-M 59 – • Filings – Consents to Service of Process by Notice (Non-Resident Broker-Dealer Partnerships) 9-M 13 – • Registrations 10 Registrations of Securities (General Form) 10-12B 734 1,531 • Registrations 10 Registrations of Securities (General Form) 10-12G 2,437 4,234 • Reports 10-C Reports by Issuers of Securities Quoted on NASDAQ 10-C 1,305 25 • Reports 10-D Distribution Reports by Asset-Backed Issuers 10-D 56,272 2,100 • Reports 10-K Annual Reports 10-K 180,261 40,143 • Reports 10-K Annual Reports — Reg. S-K – Item 405 10-K405 20,238 3,227 • Reports 10-KSB Annual Reports by Small Businesses 10KSB 37,062 11,939 • Reports 10-KSB Annual Reports by Small Businesses — Reg. S-B – Item 405 10KSB40 3,460 629 • Reports 10-K Annual-Transition Reports 10-KT 481 113 • Reports 10-K Annual-Transition Reports — Reg. S-K – Item 405 10KT405 82 17 • Forms – 10-M 10-M – – • Reports 10-Q Quarterly Reports 10-Q 558,172 42,789 • Reports 10-QSB Quarterly Reports by Small Businesses 10QSB 120,308 17,154 • Reports 10-Q Quarterly-Transition Reports 10-QT 203 36 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 10SB12B 245 134 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 10SB12G 4,147 5,545 • Reports 11-K Annual Reports by Employee Stock Purchase, Savings and Similar Plans 11-K 38,865 947 • Reports 11-K Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans 11-KT 94 2 • Forms – 12G-2 12G-2 – – • Forms – 12G3-2A 12G3-2A – – • Filings – Exemptions for American Depository Receipts and Certain Foreign Securities 12G3-2B 613 – • Filings – Exemptions for American Depository Receipts and Certain Foreign Securities 12G32BR 178 – • Ownership 13F Quarterly Holdings and Combination Reports by Institutional Money Managers – Confidential Treatment Requested 13FCONP 1,270 90 • Ownership 13F Quarterly Reports by Institutional Money Managers 13F-E 1,188 120 • Ownership 13F Quarterly Holdings and Combination Reports by Institutional Money Managers 13F-HR 243,919 23,354 • Ownership 13F Quarterly Notices by Institutional Money Managers 13F-NT 81,421 1,640 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12B 5,051 103 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12G 12,854 390 • Reports 15 Notices of Suspensions of Duty to File Reports 15-15D 15,663 207 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 15F-12B 177 12 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 15F-12G 227 12 • Reports 15F Notices of Foreign Private Issuers’ Suspensions of Duty to File Reports 15F-15D 118 2 • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 18-12B 4 – • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 18-12G – – • Reports 18-K Annual Reports by Foreign Governments and Political Subdivisions 18-K 644 1,996 • Filings 19b-4 Proposed Rule Changes by SROs 19B-4 10 1 • Filings 19b-4(e) Information Required of SROs Listing and Trading in New Derivative Securities Products 19B-4E 25,543 – • Reports 20-F Annual Reports by Foreign Private Issuers 20-F 14,487 3,272 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12B 149 147 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12G 374 589 • Registrations 24f-1 Notices of Elections to Register Securities 24F-1 6 – • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 24F-2EL 29 2 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 24F-2NT 167,601 3,133 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 24F-2TM 603 – • Reports 25 Notices to Voluntarily Withdraw Classes of Securities from Listings and Registrations on National Exchanges 25 3,852 35 • Reports 25 Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities 25-NSE 9,286 215 • Reports 26 Notices of the Admission to Trading of a Substituted or Additional Class of Securities 26 2 – • Forms – 27 27 – – • Forms – 28 28 – – • Filings SEA §12(g)/13(a) Applications for Exemption or from Filing Certain Reports 34-12H 7 – • Forms SEA 34-36CF 34-36CF – – • Forms SEA 34-36MR 34-36MR – – • Forms PUHCA 35-2 35-2 – – • Forms PUHCA 35-3 35-3 – – • Forms PUHCA 35-7B 35-7B – – • Forms PUHCA 35-11 35-11 – – • Reports 20(e) Statements Concerning Proposed Transactions 35-APP 6 2 • Reports 24 Certificates Concerning Terms and Conditions of Transactions 35-CERT 5,139 98 • Forms TIA 39-10B2 39-10B2 – – • Forms TIA 39-304C 39-304C – – • Filings 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 • Filings TIA Applications Regarding a Conflict of Interest under the Trust Indenture Act 39-310B 2 – • Registrations O-2 Applications for Orders by Employees’ Securities Companies 40-6B 47 156 • Registrations ICA §6(c) Applications for Exemption and Other Relief 40-6C 433 529 • Reports 8b-25(a) Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports 40-8B25 99 – • Registrations O-2 Initial Applications for Deregistration by Certain Registered Investment Companies 40-8F-2 17 24 • Registrations N-8F Applications for Deregistration by Certain Registered Investment Companies – Abandonments of Registration 40-8F-A 124 65 • Registrations N-8F Applications for Deregistration by Certain Registered Investment Companies – Business Development Companies 40-8F-B 4 1 • Orders ICA Investment Company Registrations Withdrawn by SEC Order 40-8FC 3 1 • Registrations N-8F Applications for Deregistration by Certain Registered Investment Companies – Liquidations 40-8F-L 455 180 • Registrations N-8F Applications for Deregistration by Certain Registered Investment Companies – Mergers 40-8F-M 542 174 • Reports 17f-1 Certificates of Accounting of Securities in the Custody of Management Investment Companies 40-17F1 408 17 • Reports 17f-2 Certificates of Accounting of Securities in the Custody of Management Investment Companies 40-17F2 17,395 129 • Reports 17g-1(g) Fidelity Bonds of Management Investment Companies 40-17G 24,319 2,099 • Reports 17g-1 Claims and Settlements re: Management Investment Companies 40-17GCS 15 – • Reports 24b-2 Sales Literature of Management Investment Companies 40-24B2 2,761 86 • Reports ICA §33 Stockholder Derivative Actions re: Management Investment Companies 40-33 1,028 8 • Registrations IAA §202 Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act 40-202A 30 30 • Registrations IAA §203 Exemptions from the Prohibition on Registration 40-203A 2 2 • Registrations IAA §205 Applications for Performance Fees Exemption 40-205E 3 2 • Registrations IAA §206(3) Applications for Exemption 40-206A 44 34 • Registrations O-2 Applications for Orders other than those Reviewed by the Office of Insurance Products 40-APP 1,720 2,629 • Registrations 40-F Registration Statements and Annual Reports by Canadian Issuers 40-F 2,462 457 • Registrations 40-F Registrations of Securities of Canadian Issuers — SEA’34 §12(b) 40FR12B 113 56 • Registrations 40-F Registrations of Securities of Canadian Issuers — SEA’34 §12(g) 40FR12G 25 8 • Registrations O-2 Applications for Orders Reviewed by the Office of Insurance Products 40-OIP 78 145 • Reports ICA Reports Required from Certain Applicants for Exemptions from the Investment Company Act 40-RPT 2 – • Forms – 45B-3 45B-3 – – • Ownership 144 Notices of Proposed Sales of Securities 144 6,892 251 • Registrations 1-A Offering Statements – Information Previously Omitted — Reg. A / A+ 253G1 27 – • Registrations 1-A Offering Statements – Information Substantively Changed or Added — Reg. A / A+ 253G2 804 – • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed — Reg. A / A+ 253G3 4 – • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed – Not Timely Filed — Reg. A / A+ 253G4 1 – • Registrations T-1 Statements of Eligibility by Corporations Designated to Act as Trustees 305B2 1,724 20 • Registrations 424(a) Prospectuses 424A 1,545 – • Registrations 424(b)(1) Prospectuses 424B1 5,941 – • Registrations 424(b)(2) Prospectuses 424B2 192,804 – • Registrations 424(b)(3) Prospectuses 424B3 152,170 – • Registrations 424(b)(4) Prospectuses 424B4 9,384 – • Registrations 424(b)(5) Prospectuses 424B5 54,698 – • Registrations 424(b)(7) Prospectuses 424B7 3,505 – • Registrations 424(b)(8) Prospectuses 424B8 817 – • Registrations 424(h) Preliminary Prospectuses 424H 545 46 • Reports 425 Business-Combination Transaction Communications 425 62,926 – • Registrations † Post-Effective Amendments 485A24E 88 – • Registrations † Post-Effective Amendments 485A24F 25 – • Registrations † Post-Effective Amendments 485APOS 38,463 – • Registrations † Post-Effective Amendments 485B24E 1,669 – • Registrations † Post-Effective Amendments 485B24F 64 – • Registrations † Post-Effective Amendments 485BPOS 171,746 – • Registrations † Post-Effective Amendments to Designate New Effective Dates 485BXT 19,730 – • Forms – 485BXTE 485BXTE – – • Registrations † Post-Effective Amendments to Designate New Effective Dates 485BXTF 1 – • Registrations N-2 Post-Effective Amendments to N-2s 486A24E 1 – • Forms – 486A24F 486A24F – – • Registrations N-2 Post-Effective Amendments to N-2s 486APOS 176 – • Registrations N-2 Post-Effective Amendments to N-2s 486B24E 2 – • Forms – 486B24F 486B24F – – • Registrations N-2 Post-Effective Amendments to N-2s 486BPOS 668 – • Registrations † Post-Effective Amendments to Designate New Effective Dates 486BXT 22 – • Registrations † Pre-Effective Pricing Amendments 487 17,764 – • Registrations 497 Definitive Materials 497 339,613 – • Reports 482 Advertising by Certain Investment Companies 497AD 3,343 – • Registrations 497(h)(2) Prospectuses 497H2 83 – • Registrations 497(j) Certifications of No Changes in Definitive Materials 497J 111,157 – • Registrations 497(k) Summary Prospectuses of Open-End Management Investment Companies 497K 175,167 – • Reports 497(k)(1)(i) Profiles of Open-End Management Investment Companies 497K1 317 – • Reports 497(k)(1)(ii) Profiles of Open-End Management Investment Companies 497K2 164 – • Reports 497(k)(1)(iii)(A) Profiles of Open-End Management Investment Companies 497K3A 52 – • Reports 497(k)(1)(iii)(B) Profiles of Open-End Management Investment Companies 497K3B 2,294 – • Reports SEA §15G Asset-Backed Securitizer Reports ABS-15G 8,826 2,565 • Registrations † Asset-Backed Securities Offerings’ [XML] Exhibits ABS-EE 3,211 53 • Reports – Reports by the Asian Development Bank ADB 18 – • Registrations – Additional or Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed ADN-MTL 50 – • Registrations IAA Registrations of Investment Advisors ADV – 1 • Orders – Cancellations of Registered Advisers by SEC Order ADVCO 53 – • Reports IAA Certificates of Accounting of Client Securities and Funds in Possession or Custody of an Investment Advisor ADV-E 2,451 – • Reports IAA Applications for Continuing Hardship Exemption ADV-H-C 7 – • Reports IAA Applications for Temporary Hardship Exemption ADV-H-T 57 – • Registrations IAA Appointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment Advisors ADV-NR 618 – • Registrations IAA Notices of Withdrawal from Registration as an Investment Advisor ADVW 9 – • Reports – Reports by the African Development Bank AFDB 9 1 • Reports BW – 2 Annual Reports by the International Bank for Reconstruction and Development (World Bank) ANNLRPT 97 1 • Filings – 40-APP Notices APP NTC 824 – • Filings – 40-APP Orders APP ORDR 796 – • Registrations APP WD Withdrawals of Applications for Exemptive or Other Relief from the Federal Securities Laws APP WD 436 12 • Filings – 40-APP Withdrawals Granted APP WDG 46 – • Reports † Annual Reports to Security Holders ARS 36,668 37 • Registrations † Amendment Withdrawal Requests AW 3,466 – • Registrations † Amendment Withdrawal Requests (Withdraw Duplicate) AW WD 100 – • Orders – Cancellations of Registered Brokers and Dealers by SEC Order BDCO 430 – • Reports BW – 2 Quarterly Reports by the International Bank for Reconstruction and Development (World Bank) BW-2 27 – • Reports BW – 3 Distribution of Obligations Reports by the International Bank for Reconstruction and Development (World Bank) BW-3 93 – • Registrations C Crowdfunding Offering Statements C 1,626 1,567 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals C/A-W 8 – • Registrations C-W Crowdfunding Offering Statement Withdrawals C-W 125 – • Reports C-AR Crowdfunding Annual Reports C-AR 287 25 • Reports C-AR/A-W Crowdfunding Annual Report Amendment Withdrawals C-AR/A-W – – • Reports C-AR-W Crowdfunding Annual Report Withdrawals C-AR-W 3 – • Reports C-TR Crowdfunding Terminations of Reporting C-TR 23 – • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals C-TR-W 1 – • Registrations C-U Crowdfunding Progress Updates C-U 682 – • Registrations C-U-W Crowdfunding Progress Update Withdrawals C-U-W 3 – • Filings – CA-1 Filings CA-1 2 – • Ownership CB Rights/Exchange/Tender Offer Notifications/Responses CB 1,561 1,374 • Registrations CERT Certifications by Exchanges Approving Securities for Listing CERT 1,017 – • Registrations CERT Certifications by the American Stock Exchange Approving Securities for Listing CERTAMX 1,585 – • Registrations CERT Certifications by the New York Stock Exchange Archipelago Approving Securities for Listing CERTARCA 362 – • Registrations CERT Certifications by the Bats Global Markets Approving Securities for Listing CERTBATS 69 – • Registrations CERT Certifications by the Boston Stock Exchange Approving Securities for Listing CERTBSE 13 – • Registrations CERT Certifications by the Chicago Board Options Exchange Approving Securities for Listing CERTCBO 27 – • Registrations CERT CERTCIN CERTCIN – – • Registrations CERT Certifications by the Chicago Stock Exchange Approving Securities for Listing CERTCSE 2 – • Registrations CERT Certifications by the International Securities Exchange Approving Securities for Listing CERTISE – – • Registrations CERT Certifications by the NASDAQ Stock Market Approving Securities for Listing CERTNAS 2,772 – • Registrations CERT Certifications by the New York Stock Exchange Approving Securities for Listing CERTNYS 5,651 – • Registrations CERT Certifications by the Pacific Coast Stock Exchange Approving Securities for Listing CERTPAC 542 – • Registrations CERT Certifications by the Philadelphia Stock Exchange Approving Securities for Listing CERTPBS 3 – • Registrations Funding Portal Applications for Registration as a Crowdfunding Portal CFPORTAL 54 162 • Registrations Funding Portal Applications for Withdrawal from Registration as a Crowdfunding Portal CFPORTAL-W 6 – • SEC – Corrections CORRECTION – – • Letters – Comment-Response and Other Letters to the SEC [ a.k.a. COVER ] CORRESP 151,091 – • Orders – SEC Confidential Treatment Orders CT ORDER 15,232 – • Registrations D Notices of Exempt Offerings of Securities D 214,238 147,523 • Proxies 13E-3 Definitive Proxy Solicitation Materials – Going-Private Transaction Statements DEF13E3 77 87 • Proxies 14A Definitive Proxy Solicitation Materials DEF 14A 157,392 – • Proxies 14C Definitive Proxy Information Statements DEF 14C 11,405 – • Proxies 14A Additional Definitive Proxy Solicitation Materials DEFA14A 75,829 – • Proxies 14C Additional Definitive Proxy Information Statements DEFA14C 337 – • Proxies 14A Definitive Proxy Solicitation Materials – Contested Solicitations DEFC14A 1,771 – • Proxies 14C Definitive Proxy Information Statements – Contested Solicitations DEFC14C 25 – • Proxies 14A Definitive Proxy Solicitation Materials – Mergers and Acquisitions DEFM14A 5,104 – • Proxies 14C Definitive Proxy Information Statements – Mergers and Acquisitions DEFM14C 411 – • Proxies 14A Definitive Non-Management Proxy Solicitation Materials – Non-Contested Solicitations DEFN14A 297 – • Registrations – Definitive Offering Circulars — Reg. A DEF-OC 2 – • Proxies 14A Revised Definitive Proxy Solicitation Materials DEFR14A 5,160 – • Proxies 14C Revised Definitive Proxy Information Statements DEFR14C 393 – • Proxies 14A Definitive Proxy Solicitation Materials – Special Meetings DEFS14A 3,996 – • Proxies 14C Definitive Proxy Information Statements – Special Meetings DEFS14C 88 – • Registrations † Registration Effectiveness-Delaying Amendments DEL AM 1,019 – • Proxies 14A Additional Definitive Non-Management Proxy Solicitation Materials DFAN14A 11,247 – • Proxies 14A Revised Definitive Non-Management Proxy Solicitation Materials DFRN14A 296 – • Registrations 1-A Draft Offering Statements — Reg. A / A+ DOS 113 121 • Letters – Comment-Response and Draft-Offering-Statement Letters to the SEC DOSLTR 90 – • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Private Issuers DRS 1,755 2,355 • Letters – Comment-Response and Draft-Registration-Statement Letters to the SEC DRSLTR 1,848 – • Reports BW – 3 Distribution of Obligations Reports by the International Bank for Reconstruction and Development (World Bank) DSTRBRPT 355 19 • Reports – Reports by the European Bank for Reconstruction and Development EBRD 16 1 • Registrations † Notices of Effectiveness EFFECT 47,902 – • Registrations F-1 Registration Statements by Foreign Private Issuers F-1 1,218 3,532 • Registrations F-1 Registrations of Additional Securities F-1MEF 130 – • Registrations F-2 Registration Statements by Foreign Private Issuers F-2 16 36 • Registrations F-2 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-2D 1 – • Forms – F-2DPOS F-2DPOS – – • Forms – F-2MEF F-2MEF – – • Registrations F-3 Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to Transactions F-3 1,263 1,181 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private Issuers F-3ASR 514 – • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-3D 54 – • Registrations F-3 Post-Effective Amendments to F-3Ds F-3DPOS 27 – • Registrations F-3 Registrations of Additional Securities F-3MEF 28 – • Registrations F-4 Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination Transactions F-4 701 1,324 • Forms – F-4EF F-4EF – – • Registrations F-4 Registrations of Additional Securities F-4MEF 8 – • Registrations F-4 Post-Effective Amendments to F-4s F-4 POS 21 – • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately) F-6 1,626 145 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately) F-6EF 5,994 – • Registrations F-6 Post-Effective Amendments to F-6s F-6 POS 2,153 – • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights F-7 40 10 • Registrations F-7 Post-Effective Amendments to F-7s F-7 POS 5 – • Registrations F-8 Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to Transactions F-8 32 51 • Registrations F-8 Post-Effective Amendments to F-8s F-8 POS 13 – • Registrations F-9 Registration Statements by Foreign Private Issuers (Not Effective Immediately) F-9 101 90 • Registrations F-9 Registration Statements by Foreign Private Issuers (Effective Immediately) F-9EF 3 – • Forms – F-9MEF F-9MEF – – • Registrations F-9 Post-Effective Amendments to F-9s F-9 POS 5 – • Registrations F-10 Registration Statements by Foreign Private Issuers (Not Effective Immediately) F-10 685 756 • Registrations F-10 Registration Statements by Foreign Private Issuers (Effective Immediately) F-10EF 7 – • Forms – F-10MEF F-10MEF – – • Registrations F-10 Post-Effective Amendments to F-10s F-10POS 53 – • Registrations F-80 Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or Business Combinations F-80 26 22 • Registrations F-80 Post-Effective Amendments to F-80s F-80POS 19 – • Registrations F-N Appointments of Agents for Service of Process by Foreign Financial Entities F-N 339 23 • Reports – Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers FOCUSN 28,211 1,038 • Registrations 163/433 Free-Writing Prospectuses FWP 123,711 – • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities F-X 2,437 199 • Filings – Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers G-405 61 3 • Reports – Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers G-405N 48 1 • Registrations – Notices of Status as a Government Securities Broker or Dealer by Financial Institutions G-FIN 21 247 • Registrations – Notices of Withdrawal as a Government Securities Broker or Dealer by Financial Institutions G-FINW 16 – • Forms – HISTORY HISTORY – – • Reports – Reports by the Inter-American Development Bank IADB 13 – • Forms – IBRD IBRD – – • Registrations ID Applications for a New SEC Central Index Key (CIK) ID-NEWCIK 1 – • Reports – Reports by the International Finance Corporation IFC 6 – • Reports §13(r) Notices of Disclosures in Quarterly and Annual Reports — ITRASHRA’12 IRANNOTICE 2,746 – • Registrations MA Applications for Municipal Advisor Registration MA 841 1,109 • Registrations MA Annual Updates of a Municipal Advisor’s Registration MA-A 1,400 – • Registrations MA-I Information Regarding Natural Persons Who Engage in Municipal Advisory Activities MA-I 7,145 6,668 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor MA-W 263 – • Filings – Registrations of Municipal Securities Dealers MSD 44 410 • Orders – Cancellations of Registered Municipal Securities Dealers by SEC Order MSDCO 22 – • Registrations 15Bc3-1 Notices of Withdrawal from Registration as a Municipal Securities Dealer MSDW 80 – • Registrations N-1 Registration Statements by Open-End Management Investment Companies N-1 2 189 • Registrations N-1A Registration Statements by Open-End Management Investment Companies N-1A 1,827 2,704 • Registrations N-1A Registration Statements by Open-End Management Investment Companies N-1A EL 361 466 • Registrations N-2 Registration Statements by Closed-End Investment Companies N-2 3,471 5,327 • Registrations N-2 Registrations of Additional Securities N-2MEF 228 – • Registrations N-3 Registration Statements for Separate Accounts (Management Investment Companies) N-3 40 19 • Registrations N-3 Registration Statements for Separate Accounts (Management Investment Companies) N-3 EL 6 6 • Registrations N-4 Registration Statements for Separate Accounts (Unit Investment Trusts) N-4 2,170 1,928 • Registrations N-4 Registration Statements for Separate Accounts (Unit Investment Trusts) N-4 EL 151 141 • 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-6 617 441 • Forms – N-6C9 N-6C9 – – • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status N-6F 132 62 • Registrations N-8A Notices of Registrations N-8A 4,073 574 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts N-8B-2 182 172 • Registrations N-8B-3 Registration Statements by Periodic Payment Plans N-8B-3 – – • Registrations N-8B-4 Registration Statements by Face-Amount Certificate Companies N-8B-4 1 – • Registrations N-8F Applications for Deregistration by Certain Registered Investment Companies N-8F 2,773 1,276 • Filings – N-8F Notices N-8F NTC 1,449 – • Filings – N-8F Orders N-8F ORDR 1,604 – • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) N-14 3,193 2,123 • Registrations N-14 Registration Statements by Closed-End Investment Companies (Business Combinations) N-14 8C 225 267 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) with Automatic Effectiveness N-14AE 891 185 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) N14AE24 230 58 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) N14EL24 158 89 • Registrations N-14 Registrations of Additional Securities N-14MEF 4 – • Reports N-18F-1 Notices of Elections N-18F1 1,240 30 • Ownership N-23C-1 Reports by Closed-End Investment Companies of Purchases of their own Securities N-23C-1 920 16 • Ownership 23c-2(b) Notices by Closed-End Investment Companies of Intentions to Call or Redeem their own Securities N-23C-2 1,523 51 • Ownership 23c-3(b) Only Notices of Periodic Repurchase Offers N-23C3A 1,715 25 • Ownership 23c-3(c) Only Notices of Periodic Repurchase Offers N-23C3B 396 3 • Ownership 23c-3(b) & (c) Notices of Periodic Repurchase Offers N-23C3C 45 47 • Reports N-27D-1 Accountings for Segregated Trust Accounts N-27D-1 12 – • Reports 30b-2 Periodic and Interim Reports Mailed to Shareholders N-30B-2 10,741 – • Reports 30d-1 Annual and Semi-Annual Reports Mailed to Shareholders N-30D 70,957 1,055 • Reports N-54A Notices of Elections by Business Development Companies N-54A 266 8 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies N-54C 179 4 • Reports N-CEN Annual Reports by Registered Investment Companies N-CEN 2,683 254 • Reports N-CEN Annual Reports by Registered Investment Companies (Late Filings) NT N-CEN 31 – • Reports N-CR Current Reports of Money Market Funds’ Material Events N-CR 50 6 • Reports N-CSR Certified Annual Shareholder Reports by Management Investment Companies N-CSR 57,078 2,845 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Management Investment Companies N-CSRS 48,853 890 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds N-MFP 41,414 2,242 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings) NT N-MFP 238 – • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds N-MFP1 3,040 553 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings) NT N-MFP1 35 – • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds N-MFP2 12,745 777 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings) NT N-MFP2 197 – • Letters 14a-8 SEC No-Action Letters NO ACT 9,085 – • Forms – NPORT-EX NPORT-EX – – • Forms – NPORT-P NPORT-P – – • Reports N-PX Proxy Voting Record Annual Reports by Management Investment Companies N-PX 46,128 1,728 • Reports N-PX Proxy Voting Record Annual Combination Reports by Institutional Managers N-PX-CR – – • Reports N-PX Proxy Voting Record Annual Reports by Management Investment Companies that Include Votes by Institutional Managers N-PX-FM – – • Reports N-PX Proxy Voting Record Annual Notices by Institutional Managers N-PX-NT – – • Reports N-PX Proxy Voting Record Annual Voting Reports by Institutional Managers N-PX-VR – – • Reports N-Q Quarterly Schedules of Portfolio Holdings of Management Investment Companies N-Q 92,624 993 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations NRSRO-CE 32 23 • Reports NRSRO Annual Financial and Other Reports by Nationally Recognized Statistical Rating Organizations NRSRO-FR – – • Registrations NRSRO Updates of Registration by Nationally Recognized Statistical Rating Organizations NRSRO-UPD 117 – • Registrations NRSRO Withdrawals from Credit Rating Class by Nationally Recognized Statistical Rating Organizations NRSRO-WCLS – – • Registrations NRSRO Withdrawals from Registration by Nationally Recognized Statistical Rating Organizations NRSRO-WREG – – • Reports N-SAR Semi-Annual Reports by Money-Management Companies NSAR-A 73,406 4,004 • Reports N-SAR Semi-Annual-Transition Reports by Money-Management Companies NSAR-AT 202 16 • Reports N-SAR Annual Reports by Money-Management Companies NSAR-B 73,542 6,355 • Reports N-SAR Annual-Transition Reports by Money-Management Companies NSAR-BT 689 54 • Reports N-SAR Annual Reports by Unit Investment Trusts NSAR-U 16,570 351 • Reports 12b-25 Notices of Late Filings of Form 10-D NT 10-D 9 1 • Reports 12b-25 Notices of Late Filings of Form 10-D (Late Notices) NTN 10D 5 – • Reports 12b-25 Notices of Late Filings of Form 10-K NT 10-K 41,700 657 • Reports 12b-25 Notices of Late Filings of Form 10-K (Late Notices) NTN 10K 1,580 – • Reports 12b-25 Notices of Late Filings of Form 10-Q NT 10-Q 68,499 581 • Reports 12b-25 Notices of Late Filings of Form 10-Q (Late Notices) NTN 10Q 2,302 – • Reports 12b-25 Notices of Late Filings of Form 11-K NT 11-K 1,645 16 • Reports 12b-25 Notices of Late Filings of Form 11-K (Late Notices) NTN 11K 18 – • 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 – • Reports 12b-25 Notices of Late Filings of Form 20-F NT 20-F 1,474 26 • Reports 12b-25 Notices of Late Filings of Form 20-F (Late Notices) NTN 20F 37 – • Reports 12b-25 Notices of Late Filings of Form N-CEN NT-NCEN 50 – • Reports 12b-25 Notices of Late Filings of Form N-CEN (Late Notices) NTFNCEN 10 – • Reports 12b-25 Notices of Late Filings of Form N-CSR NT-NCSR 333 22 • Reports 12b-25 Notices of Late Filings of Form N-CSR (Late Notices) NTFNCSR 75 – • Reports 12b-25 Notices of Late Filings of Form N-SAR NT-NSAR 2,590 116 • Reports 12b-25 Notices of Late Filings of Form N-SAR (Late Notices) NTFNSAR 190 – • Forms – OC OC – – • Filings – 40-OIP Notices OIP NTC 62 – • Filings – 40-OIP Orders OIP ORDR 56 – • Registrations SA §8(c) Post-Effective Amendments POS 8C 2,035 – • Registrations 462(b) Post-Effective Amendments POS462B 215 – • Registrations 462(c) Post-Effective Amendments POS462C 83 – • Registrations † Post-Effective Amendments POS AM 28,929 – • Registrations U-1 Post-Effective Amendments to U-1s POS AMC 1,182 – • Registrations † Post-Effective Amendments POS AMI 5,971 – • Registrations † Post-Effective Amendments to S-3ASRs and F-3ASRs POSASR 1,675 – • Registrations † Post-Effective Amendments to Add Exhibits POS EX 3,556 – • Proxies 13E-3 Preliminary Proxy Solicitation Materials – Going-Private Transaction Statements PRE13E3 173 290 • Proxies 14A Preliminary Proxy Solicitation Materials PRE 14A 36,124 – • Proxies 14C Preliminary Proxy Information Statements PRE 14C 8,947 – • Proxies 14A Additional Preliminary Proxy Solicitation Materials PREA14A 16 – • Proxies 14C Additional Preliminary Proxy Information Statements PREA14C 1 – • Proxies 14A Preliminary Proxy Solicitation Materials – Contested Solicitations PREC14A 2,436 – • Proxies 14C Preliminary Proxy Information Statements – Contested Solicitations PREC14C 63 – • Proxies 14A Preliminary Proxy Solicitation Materials – Mergers and Acquisitions PREM14A 4,574 – • Proxies 14C Preliminary Proxy Information Statements – Mergers and Acquisitions PREM14C 663 – • Proxies 14A Preliminary Non-Management Proxy Solicitation Materials – Non-Contested Solicitations PREN14A 364 – • Proxies 14A Revised Preliminary Proxy Solicitation Materials PRER14A 10,684 – • Proxies 14C Revised Preliminary Proxy Information Statements PRER14C 2,409 – • Proxies 14A Preliminary Proxy Solicitation Materials – Special Meetings PRES14A 3,944 – • Proxies 14C Preliminary Proxy Information Statements – Special Meetings PRES14C 129 – • Proxies 14A Revised Preliminary Non-Management Proxy Solicitation Materials – Contested Solicitations and Other Situations PRRN14A 1,981 – • Forms – PWR-ATT PWR-ATT – – • Proxies 14a-6(g) Notices of Exempt Proxy Solicitations PX14A6G 1,323 – • Proxies 14a-6(n) Notices of Exempt Preliminary Proxy Roll-Up Communications PX14A6N 35 – • Reports BW – 2 Quarterly Reports by the International Bank for Reconstruction and Development (World Bank) QRTLYRPT 111 2 • Registrations – Notices of Qualification — Reg. A / A+ QUALIF 631 – • Registrations D Notices of Exempt Offerings of Securities REGDEX 128,231 42,440 • Filings – Initial Undertakings of Records for Non-Resident Brokers, Dealers and Investment Advisers REG-NR 62 2 • Orders §12(j) SEC Orders Revoking Securities Exchange Act Registration REVOKED 5,198 – • Registrations † Registration Withdrawal Requests RW 11,428 – • Registrations † Registration Withdrawal (Withdraw Duplicate) Requests RW WD 389 – • Registrations S-1 Registration Statements (General Form) S-1 18,042 49,038 • Registrations S-1 Registrations of Additional Securities S-1MEF 1,385 – • Registrations S-2 Registrations of Securities S-2 978 1,457 • Registrations S-2 Registrations of Additional Securities S-2MEF 73 – • Registrations S-3 Registration Statements for Securities Offered Pursuant to Transactions S-3 34,141 28,339 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers S-3ASR 6,602 – • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans S-3D 929 5 • Registrations S-3 Post-Effective Amendments to S-3Ds S-3DPOS 631 – • Registrations S-3 Registrations of Additional Securities S-3MEF 1,236 – • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions S-4 14,065 18,953 • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding Companies S-4EF 76 31 • Registrations S-4 Registrations of Additional Securities S-4MEF 146 – • Registrations S-4 Post-Effective Amendments to S-4s S-4 POS 296 – • Registrations S-6 Registration Statements by Unit Investment Trusts S-6 19,238 7,879 • Registrations S-6 Registration Statements by Unit Investment Trusts S-6EL24 1,398 359 • Registrations S-8 Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit Plans S-8 80,040 18 • Registrations S-8 Post-Effective Amendments to S-8s S-8 POS 31,360 – • Registrations S-11 Registration Statements by Real Estate Companies S-11 1,076 3,365 • Registrations S-11 Registrations of Additional Securities 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 312 191 • Registrations SB-1 Registrations of Securities of Small-Business Issuers SB-1 151 359 • Registrations SB-1 Registrations of Additional Securities SB-1MEF 1 – • Registrations SB-2 Registrations of Securities of Small-Business Issuers SB-2 7,812 16,585 • Registrations SB-2 Registrations of Additional Securities SB-2MEF 104 – • Registrations B Registrations of Additional Securities S-BMEF 13 – • Registrations SBSE Applications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants SBSE – – • Registrations SBSE-A Applications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as a Swap Dealer or Major Swap Participant SBSE-A – – • Registrations SBSE-BD Applications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-Dealers SBSE-BD – – • Registrations SBSE-C Certifications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants SBSE-C – – • Registrations SBSE-W Requests for Withdrawal from Registration as a Security-Based Swap Dealer or Major Security-Based Swap Participant SBSE-W – – • Ownership 13D General Statements of Beneficial Ownership SC 13D 55,421 115,369 • Ownership 13E-1 Tender-Offer Transaction Statements SC 13E1 23 13 • Ownership 13E-3 Tender-Offer Statements – Going-Private Transactions SC 13E3 2,370 7,935 • Ownership 13E-4 Tender-Offer Statements – Issuer Tender Offers SC 13E4 734 1,250 • Ownership 13E-4F Tender-Offer Statements – Issuer Tender Offers SC13E4F 16 24 • Ownership 13G Statements of Beneficial Ownership SC 13G 192,340 342,778 • Ownership 14D-1 Tender-Offer Statements – Third-Party Tender Offers SC 14D1 1,271 5,205 • Ownership 14D-1F Tender-Offer Statements – Third-Party Tender Offers SC14D1F 44 145 • Ownership 14D-9 Tender-Offer Solicitation/Recommendation Statements SC 14D9 4,153 9,089 • Ownership 14D-9C Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications SC14D9C 2,282 – • Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications – Foreign SC14D9F 40 40 • Ownership 14F-1 Statements re: Changes in Majority of Directors SC 14F1 2,198 226 • Proxies 14N Information from Certain Nominating Shareholders SC 14N 6 5 • Proxies 14N-S Solicitations re: Either the Formation of a Nominating Shareholder Group or a Nomination SC 14N-S – – • Ownership TO Tender-Offer Statements – Preliminary Communications SC TO-C 5,121 – • Ownership TO Tender-Offer Statements – Issuer Tender Offers SC TO-I 8,454 14,032 • Ownership TO Tender-Offer Statements – Third-Party Tender Offers SC TO-T 2,526 11,774 • Reports 13p-1 Specialized Disclosure Reports Relating to the Use of Conflict Minerals SD 6,092 22 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository SDR 2 4 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository – Annual Amendments SDR-A – – • Reports SDR-CCO Annual Compliance and Financial Reports for Security-Based Swap Data Repositories SDR-CCO – – • Registrations SDR Applications for Withdrawal from Registration as a Security-Based Swap Data Repository SDR-W – – • Registrations – Sales Exhibits SE 3,559 – • Orders – SEC Staff Actions SEC ACTION 40 – • Letters – SEC Staff Letters SEC LETTER 2 – • Registrations SF-1 Registration Statements (General Form) by Issuers of Asset-Backed Securities SF-1 2 9 • Registrations SF-1 Registrations of Additional Securities SF-1MEF – – • Registrations SF-3 Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities SF-3 113 187 • Registrations SF-3 Registrations of Additional Securities SF-3MEF – – • Reports SH Weekly Short-Sale Entries Reports by Institutional Investment Managers SH-ER – – • Reports SH Weekly Short-Sale Notice Reports by Institutional Investment Managers SH-NT – – • Registrations – Sales Literature SL 9 – • Reports 15d-2 Special Financial Reports SP 15D2 56 2 • Orders – SEC Stop Orders STOP ORDER 58 – • Registrations † Voluntary Supplemental Materials Filed by Foreign Issuers SUPPL 55,585 – • Registrations T-3 Applications for Qualification of a Trust Indenture T-3 609 594 • Forms – T-6 T-6 – – • Registrations TA-1 Applications for Registration as a Transfer Agent TA-1 364 3,933 • Reports TA-2 Annual Reports of Transfer Agents’ Activities TA-2 8,110 705 • Orders – Cancellations of Registered Transfer Agents by SEC Order TACO 128 – • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent TA-W 477 – • Filings – Notices of Reliance on Temporary Hardship Exemption TH 135 – • Registrations – Testing-the-Waters Filings — Reg. A / A+ TTW 28 8 • Registrations U-1 Applications and Declarations U-1 969 2,309 • Registrations U-3A-2 Statements by Holding Companies Claiming Exemption U-3A-2 985 163 • Registrations U-3A3-1 Twelve-Month Statements by Banks Claiming Exemption U-3A3-1 21 – • Registrations U5A Notices of Registrations U5A 40 4 • Registrations U5B Registration Statements U5B 32 10 • Reports U5S Annual Reports by Holding Companies U5S 242 68 • Reports U-6B-2 Certificates of Notices of Security Issues, Renewals and Guarantees U-6B-2 1,284 9 • Reports U-7D Certificates Concerning Leases of Utility Facilities U-7D 31 39 • Reports U-9C-3 Quarterly Reports by Energy or Gas-Related Companies U-9C-3 636 16 • Ownership U-12(I)-A Ownership Statements by Persons Employed or Retained by Registered Holding Companies U-12-IA 29 1 • Ownership U-12(I)-B Three-Year Ownership Statements by Persons Employed or Retained by Registered Holding Companies U-12-IB 1,537 3 • Forms – U-13-1 U-13-1 – – • Reports U-13-60 Annual Reports by Mutual and Subsidiary Service Companies U-13-60 366 17 • Ownership U-13E-1 Transaction Statements by Affiliate and Independent Service Companies U-13E-1 4 – • Reports U-33-S Annual Reports by Foreign Utility Companies U-33-S 48 1 • Reports U-57 Notices of Foreign Utility Company Status U-57 614 237 • Letters – Comment and Other Letters from the SEC – Corrections ULCORRCTN – – • Registrations S-6 Initial Undertakings to File Reports UNDER 41 1 • Letters – Comment and Other Letters from the SEC [ a.k.a. LETTER ] UPLOAD 151,122 – • Forms – U-R-1 U-R-1 – – • 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 81,888 5,613 ________ T This Filing/Form Type is obsolete or no longer made public. Totals 11,445,654 1,291,085 † This Filing/Form Type pertains to multiple Forms, Schedules, Rules, Regulations or Acts’ Sections. ↑ Top 