• Registrations – Applications for Registration or Exemption from Registration as a National Securities Exchange 89 1,195 • Registrations 1-A Offering Statements — Reg. A/A+ 947 2,329 • Registrations 1-A Post-Qualification Amendments to Offering Statements — Reg. A/A+ 504 – • Registrations 1-A Withdrawals of Offering Statements — Reg. A/A+ 110 15 • Reports E Notifications by Small Business Investment Companies and Business Development Companies 152 78 • Registrations E Sales Materials 2 – • Reports 1-K Annual Reports — Reg. A 239 18 • Reports 1-SA Semi-Annual Reports — Reg. A 226 16 • Reports 1-U Current Reports — Reg. A 833 9 • Reports 1-Z Exit Reports — Reg. A 74 4 • Reports 1-Z Withdrawals of Exit Reports — Reg. A 2 – • Reports 2-A Reports of Sales of Securities — Reg. A/A+ 52 81 • Reports 2-A Final Reports of Sales of Securities — Reg. A/A+ 36 – • Reports E Reports of Sales of Securities 87 11 • Ownership 3 Initial Statements of Beneficial Ownership of Securities 294,885 16,850 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities 3,361,931 106,501 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities 102,603 3,969 • Registrations ICA Applications for SEC Exemption Orders – ’40-6B’ SEC Notices 24 – • Registrations ICA Applications for SEC Exemption Orders – ’40-6B’ SEC Orders 23 – • Reports 6-K Current Reports by Foreign Private Issuers 382,365 4,965 • Registrations 8-A Registrations of Certain Classes of Securities 18,513 4,353 • Registrations 8-A Registrations of Certain Classes of Securities 95 – • Registrations 8-A Registrations of Certain Classes of Securities 28 8 • Registrations 8-A Registrations of Certain Classes of Securities 9,917 2,345 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 94 29 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 61 13 • Registrations ICA Applications for SEC Deregistration Orders – ’40-8F-2’ SEC Notices 3 – • Registrations ICA Applications for SEC Deregistration Orders – ’40-8F-2’ SEC Orders 2 – • Reports 8-K Current Reports 1,531,088 72,771 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 206 20 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 621 115 • Reports 8-K Notices of Assumptions of Duty to Report by Successor Issuers 70 2 • Filings – Consents to Service of Process by Notice (Non-Resident Broker-Dealer Corporations) 61 – • Filings – Consents to Service of Process by Notice (Non-Resident Broker-Dealer Partnerships) 13 – • Registrations 10 Registrations of Securities (General Form) 740 1,541 • Registrations 10 Registrations of Securities (General Form) 2,455 4,262 • Reports 10-C Reports by Issuers of Securities Quoted on NASDAQ 1,305 25 • Reports 10-D Distribution Reports by Asset-Backed Issuers 57,741 2,140 • Reports 10-K Annual Reports 182,184 40,557 • Reports 10-K Annual Reports — Reg. S-K – Item 405 20,238 3,227 • Reports 10-KSB Annual Reports by Small Businesses 37,062 11,939 • Reports 10-KSB Annual Reports by Small Businesses — Reg. S-B – Item 405 3,460 629 • Reports 10-K Annual-Transition Reports 486 114 • Reports 10-K Annual-Transition Reports — Reg. S-K – Item 405 82 17 • Reports 10-Q Quarterly Reports 563,416 42,917 • Reports 10-QSB Quarterly Reports by Small Businesses 120,308 17,154 • Reports 10-Q Quarterly-Transition Reports 204 36 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 245 134 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 4,147 5,545 • Reports 11-K Annual Reports by Employee Stock Purchase, Savings and Similar Plans 38,911 947 • Reports 11-K Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans 94 2 • Filings – Exemptions for American Depository Receipts and Certain Foreign Securities 613 – • Filings – Exemptions for American Depository Receipts and Certain Foreign Securities 178 – • Ownership 13F Quarterly Holdings and Combination Reports by Institutional Money Managers – Confidential Treatment Requested 1,270 90 • Ownership 13F Quarterly Reports by Institutional Money Managers 1,188 120 • Ownership 13F Quarterly Holdings and Combination Reports by Institutional Money Managers 249,040 23,645 • Ownership 13F Quarterly Notices by Institutional Money Managers 83,031 1,670 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 5,100 104 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 12,896 396 • Reports 15 Notices of Suspensions of Duty to File Reports 15,709 210 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 178 13 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 228 12 • Reports 15F Notices of Foreign Private Issuers’ Suspensions of Duty to File Reports 120 2 • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 4 – • Reports 18-K Annual Reports by Foreign Governments and Political Subdivisions 654 2,021 • Filings 19b-4 Proposed Rule Changes by SROs 10 1 • Filings 19b-4(e) Information Required of SROs Listing and Trading in New Derivative Securities Products 26,014 – • Reports 20-F Annual Reports by Foreign Private Issuers 14,927 3,301 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 150 148 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 374 589 • Registrations 24f-1 Notices of Elections to Register Securities 6 – • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 29 2 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 169,787 3,137 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 603 – • Reports 25 Notices to Voluntarily Withdraw Classes of Securities from Listings and Registrations on National Exchanges 3,865 35 • Reports 25 Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities 9,425 225 • Reports 26 Notices of the Admission to Trading of a Substituted or Additional Class of Securities 2 – • Filings SEA §12(g)/13(a) Applications for Exemption or from Filing Certain Reports 7 – • Reports 20(e) Statements Concerning Proposed Transactions 6 2 • Reports 24 Certificates Concerning Terms and Conditions of Transactions 5,139 98 • 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 9 1 • Filings TIA Applications Regarding a Conflict of Interest under the Trust Indenture Act 2 – • Registrations ICA Applications for SEC Exemption Orders by Employees’ Investment Companies 47 159 • Registrations ICA §6(c) Applications for Exemption and Other Relief 433 529 • Reports 8b-25(a) Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports 101 – • Registrations O-2 Applications for SEC Deregistration Orders by Certain Investment Companies 17 24 • Registrations N-8F Applications for SEC Deregistration Orders by Certain Investment Companies – Abandonments of Registration 124 65 • Registrations N-8F Applications for SEC Deregistration Orders by Certain Investment Companies – Business Development Companies 4 1 • Registrations ICA Investment Company Registrations Withdrawn by SEC Order 3 1 • Registrations N-8F Applications for SEC Deregistration Orders by Certain Investment Companies – Liquidations 455 180 • Registrations N-8F Applications for SEC Deregistration Orders by Certain Investment Companies – Mergers 542 174 • Reports 17f-1 Certificates of Accounting of Securities in the Custody of Management Investment Companies 410 17 • Reports 17f-2 Certificates of Accounting of Securities in the Custody of Management Investment Companies 17,443 129 • Reports 17g-1(g) Fidelity Bonds of Management Investment Companies 24,447 2,105 • Reports 17g-1 Claims and Settlements re: Management Investment Companies 15 – • Reports 24b-2 Sales Literature of Management Investment Companies 2,788 86 • Reports ICA §33 Stockholder Derivative Actions re: Management Investment Companies 1,029 8 • Registrations IAA §202 Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act 30 30 • Registrations IAA §203 Exemptions from the Prohibition on Registration 2 2 • Registrations IAA §205 Applications for Performance Fees Exemption 3 2 • Registrations IAA §206(3) Applications for Exemption 44 36 • Registrations ICA Applications for SEC Exemption Orders and Other Relief 1,743 2,660 • Registrations 40-F Registration Statements and Annual Reports by Canadian Issuers 2,516 467 • Registrations 40-F Registrations of Securities of Canadian Issuers — SEA’34 §12(b) 114 57 • Registrations 40-F Registrations of Securities of Canadian Issuers — SEA’34 §12(g) 25 8 • Registrations ICA Applications for SEC Exemption Orders from the SEC Office of Insurance Products (OIP) 79 145 • Reports ICA Reports Required from Certain Applicants for Exemptions from the Investment Company Act 2 – • Ownership 144 Notices of Proposed Sales of Securities 6,937 271 • Registrations 1-A Offering Statements – Information Previously Omitted — Reg. A/A+ 31 – • Registrations 1-A Offering Statements – Information Substantively Changed or Added — Reg. A/A+ 876 – • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed — Reg. A/A+ 4 – • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed – Not Timely Filed — Reg. A/A+ 1 – • Registrations T-1 Statements of Eligibility by Corporations Designated to Act as Trustees 1,741 20 • Registrations 424(a) Prospectuses 1,545 – • Registrations 424(b)(1) Prospectuses 5,949 – • Registrations 424(b)(2) Prospectuses 198,936 – • Registrations 424(b)(3) Prospectuses 153,255 – • Registrations 424(b)(4) Prospectuses 9,478 – • Registrations 424(b)(5) Prospectuses 55,132 – • Registrations 424(b)(7) Prospectuses 3,523 – • Registrations 424(b)(8) Prospectuses 831 – • Registrations 424(h) Preliminary Prospectuses 568 48 • Reports 425 Business-Combination Transaction Communications 63,411 – • Registrations † Post-Effective Amendments 88 – • Registrations † Post-Effective Amendments 25 – • Registrations † Post-Effective Amendments 38,601 – • Registrations † Post-Effective Amendments 1,669 – • Registrations † Post-Effective Amendments 64 – • Registrations † Post-Effective Amendments 174,425 – • Registrations † Post-Effective Amendments to Designate New Effective Dates 19,989 – • Registrations † Post-Effective Amendments to Designate New Effective Dates 1 – • Registrations N-2 Post-Effective Amendments to N-2s 1 – • Registrations N-2 Post-Effective Amendments to N-2s 179 – • Registrations N-2 Post-Effective Amendments to N-2s 2 – • Registrations N-2 Post-Effective Amendments to N-2s 687 – • Registrations † Post-Effective Amendments to Designate New Effective Dates 22 – • Registrations † Pre-Effective Pricing Amendments 17,916 – • Registrations 497 Definitive Materials 343,145 – • Reports 482 Advertising by Certain Investment Companies 3,383 – • Registrations 497(h)(2) Prospectuses 83 – • Registrations 497(j) Certifications of No Changes in Definitive Materials 112,810 – • Registrations 497(k) Summary Prospectuses of Open-End Management Investment Companies 180,882 – • Reports 497(k)(1)(i) Profiles of Open-End Management Investment Companies 317 – • Reports 497(k)(1)(ii) Profiles of Open-End Management Investment Companies 164 – • Reports 497(k)(1)(iii)(A) Profiles of Open-End Management Investment Companies 52 – • Reports 497(k)(1)(iii)(B) Profiles of Open-End Management Investment Companies 2,294 – • Reports SEA §15G Asset-Backed Securitizer Reports 9,053 2,687 • Registrations † Asset-Backed Securities Offerings’ [XML] Exhibits 3,759 82 • Reports – Reports by the Asian Development Bank 18 – • Registrations – Additional or Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed 50 – • Registrations IAA Registrations of Investment Advisors – 1 • Orders – Cancellations of Registered Advisers by SEC Order 53 – • Reports IAA Certificates of Accounting of Client Securities and Funds in Possession or Custody of an Investment Advisor 2,451 – • Reports IAA Applications for Continuing Hardship Exemption 7 – • Reports IAA Applications for Temporary Hardship Exemption 70 – • Registrations IAA Appointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment Advisors 638 – • Registrations IAA Notices of Withdrawal from Registration as an Investment Advisor 9 – • Reports – Reports by the African Development Bank 9 1 • Reports – Annual Reports by International Development Banks 98 1 • Registrations ICA Applications for SEC Exemption Orders – ’40-APP’ SEC Notices 833 – • Registrations ICA Applications for SEC Exemption Orders – ’40-APP’ SEC Orders 807 – • Registrations APP WD Withdrawals of Applications for Exemptive or Other Relief from the Federal Securities Laws 442 12 • Registrations ICA Applications for SEC Exemption Orders – ’40-APP’ Withdrawals Granted 50 – • Reports † Annual Reports to Security Holders 36,681 37 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Initial Information 1 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Updating Amendments 1 – • Reports ATS-N Alternative Trading Systems (NMS Stock) – Notices of Cessation 3 – • Registrations † Amendment Withdrawal Requests 3,507 – • Registrations † Amendment Withdrawal Requests (Withdraw Duplicate) 101 – • Orders – Cancellations of Registered Brokers and Dealers by SEC Order 430 – • Reports BW – 2 Quarterly Reports by the International Bank for Reconstruction and Development (World Bank) 27 – • Reports BW – 3 Distribution of Primary Obligations Reports by the International Bank for Reconstruction and Development (World Bank) 93 – • Registrations C Crowdfunding Offering Statements 1,733 1,705 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals 8 – • Registrations C-W Crowdfunding Offering Statement Withdrawals 137 – • Reports C-AR Crowdfunding Annual Reports 578 33 • Reports C-AR-W Crowdfunding Annual Report Withdrawals 4 – • Reports C-TR Crowdfunding Terminations of Reporting 47 – • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals 1 – • Registrations C-U Crowdfunding Progress Updates 764 – • Registrations C-U-W Crowdfunding Progress Update Withdrawals 3 – • Filings – CA-1 Filings 2 – • Ownership CB Rights/Exchange/Tender Offer Notifications/Responses 1,564 1,382 • Registrations CERT Certifications by Exchanges Approving Securities for Listing 1,173 – • Registrations CERT Certifications by the American Stock Exchange Approving Securities for Listing 1,585 – • Registrations CERT Certifications by the New York Stock Exchange Archipelago Approving Securities for Listing 362 – • Registrations CERT Certifications by the Bats Global Markets Approving Securities for Listing 69 – • Registrations CERT Certifications by the Boston Stock Exchange Approving Securities for Listing 13 – • Registrations CERT Certifications by the Chicago Board Options Exchange Approving Securities for Listing 27 – • Registrations CERT Certifications by the Chicago Stock Exchange Approving Securities for Listing 2 – • Registrations CERT Certifications by the NASDAQ Stock Market Approving Securities for Listing 2,772 – • Registrations CERT Certifications by the New York Stock Exchange Approving Securities for Listing 5,651 – • Registrations CERT Certifications by the Pacific Coast Stock Exchange Approving Securities for Listing 542 – • Registrations CERT Certifications by the Philadelphia Stock Exchange Approving Securities for Listing 3 – • Registrations Funding Portal Applications for Registration as a Crowdfunding Portal 54 176 • Registrations Funding Portal Applications for Withdrawal from Registration as a Crowdfunding Portal 6 – • Letters – Comment-Response and Other Letters to the SEC [ a.k.a. COVER ] 152,521 – • Orders – SEC Confidential Treatment Orders 15,449 – • Registrations D Notices of Exempt Offerings of Securities 219,199 150,996 • Proxies 13E-3 Definitive Proxy Solicitation Materials – Going-Private Transaction Statements 77 87 • Proxies 14A Definitive Proxy Solicitation Materials 160,114 – • Proxies 14C Definitive Proxy Information Statements 11,498 – • Proxies 14A Additional Definitive Proxy Solicitation Materials 78,326 – • Proxies 14C Additional Definitive Proxy Information Statements 340 – • Proxies 14A Definitive Proxy Solicitation Materials – Contested Solicitations 1,803 – • Proxies 14C Definitive Proxy Information Statements – Contested Solicitations 25 – • Proxies 14A Definitive Proxy Solicitation Materials – Mergers and Acquisitions 5,133 – • Proxies 14C Definitive Proxy Information Statements – Mergers and Acquisitions 414 – • Proxies 14A Definitive Non-Management Proxy Solicitation Materials – Non-Contested Solicitations 299 – • Registrations – Definitive Offering Circulars — Reg. A 2 – • Proxies 14A Revised Definitive Proxy Solicitation Materials 5,221 – • Proxies 14C Revised Definitive Proxy Information Statements 395 – • Proxies 14A Definitive Proxy Solicitation Materials – Special Meetings 3,996 – • Proxies 14C Definitive Proxy Information Statements – Special Meetings 88 – • Registrations † Registration Effectiveness-Delaying Amendments 1,028 – • Proxies 14A Additional Definitive Non-Management Proxy Solicitation Materials 11,435 – • Proxies 14A Revised Definitive Non-Management Proxy Solicitation Materials 300 – • Registrations 1-A Draft Offering Statements — Reg. A/A+ 118 125 • Letters – Comment-Response and Draft-Offering-Statement Letters to the SEC 97 – • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Private Issuers 1,840 2,447 • Letters – Comment-Response and Draft-Registration-Statement Letters to the SEC 1,932 – • Reports – Distribution of Primary Obligations Reports by International Development Banks 371 19 • Reports – Reports by the European Bank for Reconstruction and Development 16 1 • Registrations † Notices of Effectiveness 48,616 – • Registrations F-1 Registration Statements by Foreign Private Issuers 1,239 3,583 • Registrations F-1 Registrations of Additional Securities 136 – • Registrations F-2 Registration Statements by Foreign Private Issuers 16 36 • Registrations F-2 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 1 – • Registrations F-3 Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to Transactions 1,283 1,186 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private Issuers 526 – • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 54 – • Registrations F-3 Post-Effective Amendments to F-3Ds 28 – • Registrations F-3 Registrations of Additional Securities 29 – • Registrations F-4 Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination Transactions 705 1,329 • Registrations F-4 Registrations of Additional Securities 8 – • Registrations F-4 Post-Effective Amendments to F-4s 21 – • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately) 1,643 150 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately) 6,025 – • Registrations F-6 Post-Effective Amendments to F-6s 2,161 – • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights 41 10 • Registrations F-7 Post-Effective Amendments to F-7s 5 – • Registrations F-8 Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to Transactions 32 51 • Registrations F-8 Post-Effective Amendments to F-8s 13 – • Registrations F-9 Registration Statements by Foreign Private Issuers (Not Effective Immediately) 101 90 • Registrations F-9 Registration Statements by Foreign Private Issuers (Effective Immediately) 3 – • Registrations F-9 Post-Effective Amendments to F-9s 5 – • Registrations F-10 Registration Statements by Foreign Private Issuers (Not Effective Immediately) 691 762 • Registrations F-10 Registration Statements by Foreign Private Issuers (Effective Immediately) 7 – • Registrations F-10 Post-Effective Amendments to F-10s 55 – • Registrations F-80 Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or Business Combinations 26 22 • Registrations F-80 Post-Effective Amendments to F-80s 19 – • Registrations F-N Appointments of Agents for Service of Process by Foreign Financial Entities 342 23 • Reports – Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers 28,862 1,045 • Registrations 163/433 Free-Writing Prospectuses 126,036 – • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities 2,451 247 • Filings – Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers 62 3 • Reports – Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers 49 1 • Registrations – Notices of Status as a Government Securities Broker or Dealer by Financial Institutions 22 250 • Registrations – Notices of Withdrawal as a Government Securities Broker or Dealer by Financial Institutions 16 – • Reports – Reports by the Inter-American Development Bank 13 – • Registrations ID Applications for a New SEC Central Index Key (CIK) 1 – • Reports – Reports by the International Finance Corporation 6 – • Reports §13(r) Notices of Disclosures in Quarterly and Annual Reports — ITRASHRA’12 2,828 – • Registrations MA Applications for Municipal Advisor Registration 847 1,171 • Registrations MA Annual Updates of a Municipal Advisor’s Registration 1,534 – • Registrations MA-I Information Regarding Natural Persons Who Engage in Municipal Advisory Activities 7,298 6,922 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor 270 – • Filings – Registrations of Municipal Securities Dealers 44 414 • Orders – Cancellations of Registered Municipal Securities Dealers by SEC Order 22 – • Registrations 15Bc3-1 Notices of Withdrawal from Registration as a Municipal Securities Dealer 81 – • Registrations N-1 Registration Statements by Open-End Management Investment Companies 2 189 • Registrations N-1A Registration Statements by Open-End Management Investment Companies 1,828 2,711 • Registrations N-1A Registration Statements by Open-End Management Investment Companies 361 466 • Registrations N-2 Registration Statements by Closed-End Investment Companies 3,503 5,356 • Registrations N-2 Registrations of Additional Securities 228 – • Registrations N-3 Registration Statements for Separate Accounts (Management Investment Companies) 40 19 • Registrations N-3 Registration Statements for Separate Accounts (Management Investment Companies) 6 6 • Registrations N-4 Registration Statements for Separate Accounts (Unit Investment Trusts) 2,173 1,936 • Registrations N-4 Registration Statements for Separate Accounts (Unit Investment Trusts) 151 141 • Registrations N-5 Registration Statements by Small-Business Investment Companies 9 10 • Registrations N-6 Registration Statements for Separate Accounts (Unit Investment Trusts) 621 448 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status 133 62 • Registrations N-8A Notices of Registrations 4,084 575 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts 182 172 • Registrations N-8B-4 Registration Statements by Face-Amount Certificate Companies 1 – • Registrations N-8F Applications for SEC Deregistration Orders by Certain Investment Companies 2,795 1,294 • Registrations ICA Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices 1,469 – • Registrations ICA Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders 1,615 – • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) 3,214 2,135 • Registrations N-14 Registration Statements by Closed-End Investment Companies (Business Combinations) 227 267 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) with Automatic Effectiveness 891 185 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) 230 58 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) 158 89 • Registrations N-14 Registrations of Additional Securities 4 – • Reports N-18F-1 Notices of Elections 1,244 30 • Ownership N-23C-1 Reports by Closed-End Investment Companies of Purchases of their own Securities 920 16 • Ownership 23c-2(b) Notices by Closed-End Investment Companies of Intentions to Call or Redeem their own Securities 1,531 51 • Ownership 23c-3(b) Only Notices of Periodic Repurchase Offers 1,750 25 • Ownership 23c-3(c) Only Notices of Periodic Repurchase Offers 397 3 • Ownership 23c-3(b) & (c) Notices of Periodic Repurchase Offers 45 47 • Reports N-27D-1 Accountings for Segregated Trust Accounts 12 – • Reports 30b-2 Periodic and Interim Reports Mailed to Shareholders 10,838 – • Reports 30d-1 Annual and Semi-Annual Reports Mailed to Shareholders 70,963 1,056 • Reports N-54A Notices of Elections by Business Development Companies 267 8 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies 180 4 • Reports N-CEN Annual Reports by Registered Investment Companies 2,863 417 • Reports N-CEN Annual Reports by Registered Investment Companies (Late Filings) 95 – • Reports N-CR Current Reports of Money Market Funds’ Material Events 50 6 • Reports N-CSR Certified Annual Shareholder Reports by Management Investment Companies 57,315 2,866 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Management Investment Companies 49,313 896 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds 41,414 2,242 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings) 238 – • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds 3,040 553 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings) 35 – • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds 13,646 801 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings) 199 – • Letters 14a-8 SEC No-Action Letters [ a.k.a. 14A-8 ] 9,085 – • Reports N-PORT Portfolio Holdings Exhibits 392 – • Reports N-PX Proxy Voting Record Annual Reports by Management Investment Companies 46,131 1,728 • Reports N-Q Quarterly Schedules of Portfolio Holdings of Management Investment Companies 93,643 998 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations 42 23 • Registrations NRSRO Updates of Registration by Nationally Recognized Statistical Rating Organizations 122 – • Reports N-SAR Semi-Annual Reports by Money-Management Companies 73,406 4,004 • Reports N-SAR Semi-Annual-Transition Reports by Money-Management Companies 202 16 • Reports N-SAR Annual Reports by Money-Management Companies 73,542 6,356 • Reports N-SAR Annual-Transition Reports by Money-Management Companies 689 54 • Reports N-SAR Annual Reports by Unit Investment Trusts 16,570 351 • Reports 12b-25 Notices of Late Filings of Form 10-D 9 1 • Reports 12b-25 Notices of Late Filings of Form 10-D (Late Notices) 5 – • Reports 12b-25 Notices of Late Filings of Form 10-K 42,189 663 • Reports 12b-25 Notices of Late Filings of Form 10-K (Late Notices) 1,580 – • Reports 12b-25 Notices of Late Filings of Form 10-Q 68,959 584 • Reports 12b-25 Notices of Late Filings of Form 10-Q (Late Notices) 2,302 – • Reports 12b-25 Notices of Late Filings of Form 11-K 1,645 16 • Reports 12b-25 Notices of Late Filings of Form 11-K (Late Notices) 18 – • Reports 12b-25 Notices of Late Filings of ‘SP 15D2’ Special Financial Reports 8 7 • Reports 12b-25 Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices) 3 – • Reports 12b-25 Notices of Late Filings of Form 20-F 1,537 26 • Reports 12b-25 Notices of Late Filings of Form 20-F (Late Notices) 37 – • Reports 12b-25 Notices of Late Filings of Form N-CEN 50 – • Reports 12b-25 Notices of Late Filings of Form N-CEN (Late Notices) 10 – • Reports 12b-25 Notices of Late Filings of Form N-CSR 333 22 • Reports 12b-25 Notices of Late Filings of Form N-CSR (Late Notices) 75 – • Reports 12b-25 Notices of Late Filings of Form N-SAR 2,590 116 • Reports 12b-25 Notices of Late Filings of Form N-SAR (Late Notices) 190 – • Registrations ICA Applications for SEC Exemption Orders – ’40-OIP’ SEC Notices 62 – • Registrations ICA Applications for SEC Exemption Orders – ’40-OIP’ SEC Orders 57 – • Registrations SA §8(c) Post-Effective Amendments 2,077 – • Registrations 462(b) Post-Effective Amendments 218 – • Registrations 462(c) Post-Effective Amendments 83 – • Registrations † Post-Effective Amendments 29,154 – • Registrations U-1 Post-Effective Amendments to U-1s 1,182 – • Registrations † Post-Effective Amendments 6,012 – • Registrations † Post-Effective Amendments to S-3ASRs and F-3ASRs 1,697 – • Registrations † Post-Effective Amendments to Add Exhibits 3,616 – • Proxies 13E-3 Preliminary Proxy Solicitation Materials – Going-Private Transaction Statements 173 290 • Proxies 14A Preliminary Proxy Solicitation Materials 36,427 – • Proxies 14C Preliminary Proxy Information Statements 9,007 – • Proxies 14A Additional Preliminary Proxy Solicitation Materials 16 – • Proxies 14C Additional Preliminary Proxy Information Statements 1 – • Proxies 14A Preliminary Proxy Solicitation Materials – Contested Solicitations 2,474 – • Proxies 14C Preliminary Proxy Information Statements – Contested Solicitations 63 – • Proxies 14A Preliminary Proxy Solicitation Materials – Mergers and Acquisitions 4,595 – • Proxies 14C Preliminary Proxy Information Statements – Mergers and Acquisitions 666 – • Proxies 14A Preliminary Non-Management Proxy Solicitation Materials – Non-Contested Solicitations 369 – • Proxies 14A Revised Preliminary Proxy Solicitation Materials 10,720 – • Proxies 14C Revised Preliminary Proxy Information Statements 2,413 – • Proxies 14A Preliminary Proxy Solicitation Materials – Special Meetings 3,944 – • Proxies 14C Preliminary Proxy Information Statements – Special Meetings 129 – • Proxies 14A Revised Preliminary Non-Management Proxy Solicitation Materials – Contested Solicitations and Other Situations 2,003 – • Proxies 14a-6(g) Notices of Exempt Proxy Solicitations 1,444 – • Proxies 14a-6(n) Notices of Exempt Preliminary Proxy Roll-Up Communications 37 – • Reports – Quarterly Reports by International Development Banks 113 2 • Registrations – Notices of Qualification — Reg. A/A+ 668 – • Registrations D Notices of Exempt Offerings of Securities 128,231 42,440 • Registrations – Initial Undertakings to File Reports for Non-Resident Brokers, Dealers and Investment Advisers 64 2 • Orders §12(j) SEC Orders Revoking Securities Exchange Act Registration 5,375 – • Registrations † Registration Withdrawal Requests 11,486 – • Registrations † Registration Withdrawal (Withdraw Duplicate) Requests 389 – • Registrations S-1 Registration Statements (General Form) 18,184 49,291 • Registrations S-1 Registrations of Additional Securities 1,404 – • Registrations S-2 Registrations of Securities 978 1,457 • Registrations S-2 Registrations of Additional Securities 73 – • Registrations S-3 Registration Statements for Securities Offered Pursuant to Transactions 34,270 28,393 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers 6,694 – • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans 931 5 • Registrations S-3 Post-Effective Amendments to S-3Ds 638 – • Registrations S-3 Registrations of Additional Securities 1,240 – • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions 14,103 19,011 • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding Companies 76 31 • Registrations S-4 Registrations of Additional Securities 148 – • Registrations S-4 Post-Effective Amendments to S-4s 296 – • Registrations S-6 Registration Statements by Unit Investment Trusts 19,437 7,930 • Registrations S-6 Registration Statements by Unit Investment Trusts 1,398 359 • Registrations S-8 Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit Plans 80,549 18 • Registrations S-8 Post-Effective Amendments to S-8s 31,662 – • Registrations S-11 Registration Statements by Real Estate Companies 1,083 3,375 • Registrations S-11 Registrations of Additional Securities 82 – • Registrations S-20 Registration Statements for Standardized Options 6 5 • Registrations B Registration Statements by Foreign Governments and Political Subdivisions 313 193 • Registrations SB-1 Registrations of Securities of Small-Business Issuers 151 359 • Registrations SB-1 Registrations of Additional Securities 1 – • Registrations SB-2 Registrations of Securities of Small-Business Issuers 7,812 16,585 • Registrations SB-2 Registrations of Additional Securities 104 – • Registrations B Registrations of Additional Securities 13 – • Ownership 13D General Statements of Beneficial Ownership 55,645 116,083 • Ownership 13E-1 Tender-Offer Transaction Statements 23 13 • Ownership 13E-3 Tender-Offer Statements – Going-Private Transactions 2,377 7,944 • Ownership 13E-4 Tender-Offer Statements – Issuer Tender Offers 734 1,250 • Ownership 13E-4F Tender-Offer Statements – Issuer Tender Offers 16 24 • Ownership 13G Statements of Beneficial Ownership 192,731 343,299 • Ownership 14D-1 Tender-Offer Statements – Third-Party Tender Offers 1,271 5,205 • Ownership 14D-1F Tender-Offer Statements – Third-Party Tender Offers 44 147 • Ownership 14D-9 Tender-Offer Solicitation/Recommendation Statements 4,159 9,120 • Ownership 14D-9C Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications 2,291 – • Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications – Foreign 40 40 • Ownership 14F-1 Statements re: Changes in Majority of Directors 2,203 226 • Proxies 14N Information from Certain Nominating Shareholders 7 5 • Ownership TO Tender-Offer Statements – Preliminary Communications 5,137 – • Ownership TO Tender-Offer Statements – Issuer Tender Offers 8,529 14,147 • Ownership TO Tender-Offer Statements – Third-Party Tender Offers 2,531 11,813 • Reports 13p-1 Specialized Disclosure Reports Relating to the Use of Conflict Minerals 6,338 23 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository 2 4 • Reports SE Scanned Exhibits of Paper Submissions 3,560 – • Orders – SEC Staff Actions [ a.k.a. ORDER ] 67 – • Letters – SEC Staff Letters [ a.k.a. 14A-8 & SERIOUS DEFICIENCIES ] 2 – • Registrations SF-1 Registration Statements (General Form) by Issuers of Asset-Backed Securities 2 9 • Registrations SF-3 Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities 117 189 • Registrations – Sales Literature 9 – • Reports 15d-2 Special Financial Reports 56 2 • Orders – SEC Stop Orders 59 – • Registrations † Voluntary Supplemental Materials Filed by Foreign Issuers 55,599 – • Registrations T-3 Applications for Qualification of a Trust Indenture 611 598 • Registrations TA-1 Applications for Registration as a Transfer Agent 368 3,978 • Reports TA-2 Annual Reports of Transfer Agents’ Activities 8,255 712 • Orders – Cancellations of Registered Transfer Agents by SEC Order 128 – • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent 479 – • Reports – Notices of Reliance on Temporary Hardship Exemption 135 – • Registrations – Testing-the-Waters Filings — Reg. A/A+ 28 8 • Registrations U-1 Applications and Declarations 969 2,309 • Registrations U-3A-2 Statements by Utility Holding Companies Claiming Exemption 985 163 • Registrations U-3A3-1 Twelve-Month Statements by Banks Claiming Exemption 21 – • Registrations U5A Notices of Registrations 40 4 • Registrations U5B Registration Statements 32 10 • Reports U5S Annual Reports by Utility Holding Companies 242 68 • Reports U-6B-2 Certificates of Notices of Security Issues, Renewals and Guarantees 1,284 9 • Reports U-7D Certificates Concerning Leases of Utility Facilities 31 39 • Reports U-9C-3 Quarterly Reports by Energy or Gas-Related Companies 636 16 • Ownership U-12(I)-A Ownership Statements by Persons Employed or Retained by Registered Utility Holding Companies 29 1 • Ownership U-12(I)-B Three-Year Ownership Statements by Persons Employed or Retained by Registered Utility Holding Companies 1,537 3 • Reports U-13-60 Annual Reports by Mutual and Subsidiary Service Companies 366 17 • Ownership U-13E-1 Transaction Statements by Affiliate and Independent Service Companies 4 – • Reports U-33-S Annual Reports by Foreign Utility Companies 48 1 • Reports U-57 Notices of Foreign Utility Company Status 614 237 • Registrations S-6 Initial Undertakings to File Reports 41 1 • Letters – Comment and Other Letters from the SEC [ a.k.a. LETTER ] 152,063 – • Registrations – Withdrawal Requests for Materials Previously Filed — Reg. A/A+ 62 – • Reports X-17A-5 Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers 83,226 5,653 ____________ Totals 11,571,670 1,300,237 T This Filing/Form Type is obsolete or no longer made public. † This Filing/Form Type pertains to multiple Forms, Schedules, Rules or Regulations of Acts’ Sections. 