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406 Filing/Form Types

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Form,Sch.,
RuleorReg.
Filing /
Form Type
Filings Totals
CategoryDescriptionOriginal Amended
Sort in ascending orderSort in ascending orderSort in ascending orderIn ascending order(click for most-recent)
Registrations1-AOffering Statements — Reg. A / A+1-A4371,091
Registrations1-APost-Qualification Amendments to Offering Statements — Reg. A / A+1-A POS382
Registrations1-AWithdrawals of Offering Statements — Reg. A / A+1-A-W8315
Reports1-ENotifications by Small Business Investment Companies and Business Development Companies1-E1013
Reports1-ESales Materials1-E AD2
Reports1-KAnnual ReportsReg. A1-K15512
Reports1-SASemi-Annual ReportsReg. A1-SA13614
Reports1-UCurrent ReportsReg. A1-U5318
Registrations1-ZExit ReportsReg. A1-Z564
Registrations1-ZWithdrawals of Exit ReportsReg. A1-Z-W2
ReportsEReports of Sales of Securities2-E62
Ownership3Initial Statements of Beneficial Ownership of Securities3285,39216,473
Ownership4Statements of Changes in Beneficial Ownership of Securities43,232,268103,564
Ownership5Annual Statements of Changes in Beneficial Ownership of Securities5100,1173,924
Reports6-KCurrent Reports by Foreign Private Issuers6-K357,6444,723
Registrations8-ARegistrations of Certain Classes of Securities8-A12B17,9444,092
Registrations8-ARegistrations of Certain Classes of Securities8A12BEF95
Registrations8-ARegistrations of Certain Classes of Securities8A12BT288
Registrations8-ARegistrations of Certain Classes of Securities8-A12G9,8562,334
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12B9429
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12G6113
Reports8-KCurrent Reports8-K1,485,24171,554
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12B18416
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12G3614114
Reports8-KNotices of Assumptions of Duty to Report by Successor Issuers8-K15D5702
Registrations10Registrations of Securities (General Form)10-12B7241,503
Registrations10Registrations of Securities (General Form)10-12G2,4044,188
Reports10-CReports by Issuers of Securities Quoted on NASDAQ10-C1,30525
Reports10-DPeriodic Distribution Reports by Asset-Backed Issuers10-D52,5332,050
Reports10-KAnnual Reports10-K176,05439,899
Reports10-KAnnual Reports — Reg. S-K Item 40510-K40520,2083,225
Reports10-KSBAnnual Reports by Small Businesses10KSB37,05511,939
Reports10-KSBAnnual Reports by Small Businesses — Reg. S-B Item 40510KSB403,460629
Reports10-KAnnual-Transition Reports10-KT457107
Reports10-KAnnual-Transition Reports — Reg. S-K Item 40510KT4058217
Reports10-QQuarterly Reports10-Q551,05542,500
Reports10-QSBQuarterly Reports by Small Businesses10QSB120,29817,154
Reports10-QQuarterly-Transition Reports10-QT19836
Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12B245134
Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12G4,1455,541
Reports11-KAnnual Reports by Employee Stock Purchase, Savings and Similar Plans11-K34,509836
Reports11-KAnnual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-KT932
Ownership13F-EQuarterly Reports by Institutional Money Managers13F-E1,188120
Ownership13FQuarterly Holdings and Combination Reports by Institutional Money Managers13F-HR233,92822,862
Ownership13FQuarterly Notices by Institutional Money Managers13F-NT78,3001,623
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12B4,880102
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12G12,664371
Reports15Notices of Suspensions of Duty to File Reports15-15D15,528199
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12B17412
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12G22512
Reports15FNotices of Foreign Private Issuers’ Suspensions of Duty to File Reports15F-15D1182
Registrations18Registrations of Securities of Foreign Governments and Political Subdivisions18-12B3
Registrations18Registrations of Securities of Foreign Governments and Political Subdivisions18-12G
Reports18-KAnnual Reports by Foreign Governments and Political Subdivisions18-K6051,867
Reports20-FAnnual Reports by Foreign Private Issuers20-F13,5713,167
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12B126129
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12G347532
Registrations24f-1Notices of Elections to Register Securities24F-16
Registrations24F-2Annual Notices of Securities Sold by Investment Companies24F-2EL292
Registrations24F-2Annual Notices of Securities Sold by Investment Companies24F-2NT164,2523,128
Registrations24F-2Annual Notices of Securities Sold by Investment Companies24F-2TM603
Reports25Notices to Voluntarily Withdraw Classes of Securities from Listings and Registrations on National Exchanges251,85628
Reports25Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities25-NSE8,870208
Reports35-APPStatements Concerning Proposed Transactions35-APP62
Reports35-CERTCertificates Concerning Terms and Conditions of Transactions35-CERT5,13798
Registrations0-2Applications for Orders by Employees’ Securities Companies40-6B1773
Reports8b-25(a)Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports40-8B2594
Registrations0-2Initial Applications for Deregistration by Certain Registered Investment Companies40-8F-21723
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Abandonments of Registration40-8F-A12465
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Business Development Companies40-8F-B41
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Liquidations40-8F-L455180
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Mergers40-8F-M542174
ReportsN-17F-1Certificates of Accounting of Securities in the Custody of Management Investment Companies40-17F137717
ReportsN-17F-2Certificates of Accounting of Securities in the Custody of Management Investment Companies40-17F217,110129
Reports17g-1Fidelity Bonds of Management Investment Companies40-17G13,8952,030
Reports17g-1Claims and Settlements re: Management Investment Companies40-17GCS15
Reports24b-2Sales Literature of Management Investment Companies40-24B22,69583
ReportsICA §33Stockholder Derivative Actions re: Management Investment Companies40-331256
Registrations0-2Applications for Orders other than those Reviewed by the Office of Insurance Products40-APP1,2502,095
Reports40-FAnnual Reports by Canadian Issuers40-F2,283442
Registrations40-FRegistrations of Securities of Canadian IssuersSEA’34 12(b)40FR12B10050
Registrations40-FRegistrations of Securities of Canadian IssuersSEA’34 12(g)40FR12G238
Registrations0-2Applications for Orders Reviewed by the Office of Insurance Products40-OIP71137
Ownership144Notices of Proposed Sales of Securities1446,807250
Registrations1-AOffering Statements – Information Previously Omitted — Reg. A / A+253G126
Registrations1-AOffering Statements – Information Substantively Changed or Added — Reg. A / A+253G2603
Registrations1-AOffering Statements – Information Previously Omitted or Substantively Changed — Reg. A / A+253G34
Registrations1-AOffering Statements – Information Previously Omitted or Substantively Changed – Not Timely Filed — Reg. A / A+253G41
RegistrationsT-1Statements of Eligibility by Corporations Designated to Act as Trustees305B21,67820
Registrations424(a)Prospectuses424A1,538
Registrations424(b)(1)Prospectuses424B15,863
Registrations424(b)(2)Prospectuses424B2177,515
Registrations424(b)(3)Prospectuses424B3149,268
Registrations424(b)(4)Prospectuses424B49,201
Registrations424(b)(5)Prospectuses424B553,494
Registrations424(b)(7)Prospectuses424B73,437
Registrations424(b)(8)Prospectuses424B8757
Registrations424(h)Preliminary Prospectuses424H47140
Reports425Business-Combination Transaction Communications42561,102
RegistrationsPost-Effective Amendments485A24E88
RegistrationsPost-Effective Amendments485A24F25
RegistrationsPost-Effective Amendments485APOS37,935
RegistrationsPost-Effective Amendments485B24E1,669
RegistrationsPost-Effective Amendments485B24F64
RegistrationsPost-Effective Amendments485BPOS168,067
RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXT19,054
RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXTF1
RegistrationsN-2Post-Effective Amendments to N-2s486A24E1
RegistrationsN-2Post-Effective Amendments to N-2s486APOS164
RegistrationsN-2Post-Effective Amendments to N-2s486B24E2
RegistrationsN-2Post-Effective Amendments to N-2s486BPOS627
RegistrationsPost-Effective Amendments to Designate New Effective Dates486BXT15
RegistrationsPre-Effective Pricing Amendments48717,282
Registrations497Definitive Materials497332,547
Reports482Advertising by Certain Investment Companies497AD3,223
Registrations497(h)(2)Prospectuses497H283
Registrations497(j)Certifications of No Changes in Definitive Materials497J108,865
Registrations497(k)Summary Prospectuses of Open-End Management Investment Companies497K163,705
Reports497(k)(1)(i)Profiles of Open-End Management Investment Companies497K1317
Reports497(k)(1)(ii)Profiles of Open-End Management Investment Companies497K2164
Reports497(k)(1)(iii)(A)Profiles of Open-End Management Investment Companies497K3A52
Reports497(k)(1)(iii)(B)Profiles of Open-End Management Investment Companies497K3B2,294
ReportsSEA §15GAsset-Backed Securitizer ReportsABS-15G7,6232,311
RegistrationsAsset-Backed Securities Offerings’ [XML] ExhibitsABS-EE1,94340
ReportsBW 2I.B.R.D. (World Bank) Annual ReportsANNLRPT891
RegistrationsAPP WDWithdrawals of Applications for Exemptive or Other Relief from the Federal Securities LawsAPP WD21212
ReportsAnnual Reports to Security HoldersARS1,48810
RegistrationsAmendment Withdrawal RequestsAW3,390
RegistrationsAmendment Withdrawal (Withdraw Duplicate) RequestsAW WD99
ReportsBW 2I.B.R.D. (World Bank) Quarterly ReportsBW-227
ReportsBW 3I.B.R.D. (World Bank) Distribution of Obligations ReportsBW-393
RegistrationsCCrowdfunding Offering StatementsC1,2411,181
RegistrationsC/A-WCrowdfunding Offering Statement Amendment WithdrawalsC/A-W8
ReportsC-ARCrowdfunding Annual ReportsC-AR27224
ReportsC-AR/A-WCrowdfunding Annual Report Amendment WithdrawalsC-AR/A-W
ReportsC-AR-WCrowdfunding Annual Report WithdrawalsC-AR-W3
OwnershipCBRights/Exchange/Tender Offer Notifications/ResponsesCB1,020985
RegistrationsCERTCertifications by Exchanges Approving Securities for ListingCERT521
RegistrationsCERTCertifications by the American Stock Exchange Approving Securities for ListingCERTAMX
RegistrationsCERTCertifications by the New York Stock Exchange Archipelago Approving Securities for ListingCERTARCA
RegistrationsCERTCertifications by the Bats Global Markets Approving Securities for ListingCERTBATS
RegistrationsCERTCertifications by the Boston Stock Exchange Approving Securities for ListingCERTBSE
RegistrationsCERTCertifications by the Chicago Stock Exchange Approving Securities for ListingCERTCSE
RegistrationsCERTCertifications by the NASDAQ Approving Securities for ListingCERTNAS
RegistrationsCERTCertifications by the New York Stock Exchange Approving Securities for ListingCERTNYS
RegistrationsCERTCertifications by the Pacific Coast Stock Exchange Approving Securities for ListingCERTPAC
RegistrationsCERTCertifications by the Philadelphia Stock Exchange Approving Securities for ListingCERTPBS
RegistrationsFunding PortalApplications for Registration as a Crowdfunding PortalCFPORTAL48123
RegistrationsFunding PortalApplications for Withdrawal from Registration as a Crowdfunding PortalCFPORTAL-W1
OtherCorrectionsCORRECTION
LettersComment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP147,718
ReportsC-TRCrowdfunding Terminations of ReportingC-TR15
ReportsC-TR-WCrowdfunding Termination of Reporting WithdrawalsC-TR-W1
RegistrationsC-UCrowdfunding Progress UpdatesC-U526
RegistrationsC-U-WCrowdfunding Progress Update WithdrawalsC-U-W2
RegistrationsC-WCrowdfunding Offering Statement WithdrawalsC-W100
RegistrationsDNotices of Offerings of Securities Made Without RegistrationD200,638138,334
Proxies13E-3Definitive Proxy Solicitation Materials – Going-Private Transaction StatementsDEF13E37787
Proxies14ADefinitive Proxy Solicitation MaterialsDEF 14A155,902
Proxies14CDefinitive Proxy Information StatementsDEF 14C11,167
Proxies14AAdditional Definitive Proxy Solicitation MaterialsDEFA14A74,170
Proxies14CAdditional Definitive Proxy Information StatementsDEFA14C330
Proxies14ADefinitive Proxy Solicitation Materials – Contested SolicitationsDEFC14A1,749
Proxies14CDefinitive Proxy Information Statements – Contested SolicitationsDEFC14C25
Proxies14ADefinitive Proxy Solicitation Materials – Mergers and AcquisitionsDEFM14A4,984
Proxies14CDefinitive Proxy Information Statements – Mergers and AcquisitionsDEFM14C406
Proxies14ADefinitive Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsDEFN14A296
Proxies14ARevised Definitive Proxy Solicitation MaterialsDEFR14A5,121
Proxies14CRevised Definitive Proxy Information StatementsDEFR14C392
Proxies14ADefinitive Proxy Solicitation Materials – Special MeetingsDEFS14A3,996
Proxies14CDefinitive Proxy Information Statements – Special MeetingsDEFS14C88
RegistrationsRegistration Effectiveness-Delaying AmendmentsDEL AM991
Proxies14AAdditional Definitive Non-Management Proxy Solicitation MaterialsDFAN14A11,070
Proxies14ARevised Definitive Non-Management Proxy Solicitation MaterialsDFRN14A287
Registrations1-ADraft Offering Statements — Reg. A / A+DOS95100
LettersComment-Response and Draft-Offering-Statement Letters to the SECDOSLTR77
RegistrationsDRSDraft Registration Statements by Emerging Growth Companies and Foreign Private IssuersDRS1,5822,146
LettersComment-Response and Draft-Registration-Statement Letters to the SECDRSLTR1,654
ReportsBW 3I.B.R.D. (World Bank) Distribution of Obligations ReportsDSTRBRPT19415
RegistrationsNotices of EffectivenessEFFECT
RegistrationsF-1Registration Statements by Foreign Private IssuersF-11,1523,353
RegistrationsF-1Registrations of Additional SecuritiesF-1MEF125
RegistrationsF-2Registration Statements by Foreign Private IssuersF-21633
RegistrationsF-2Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-2D1
RegistrationsF-3Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-31,1921,098
RegistrationsF-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private IssuersF-3ASR503
RegistrationsF-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-3D52
RegistrationsF-3Post-Effective Amendments to F-3DsF-3DPOS22
RegistrationsF-3Registrations of Additional SecuritiesF-3MEF28
RegistrationsF-4Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination TransactionsF-46621,058
RegistrationsF-4Registrations of Additional SecuritiesF-4MEF8
RegistrationsF-4Post-Effective Amendments to F-4sF-4 POS20
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately)F-61,505126
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately)F-6EF5,853
RegistrationsF-6Post-Effective Amendments to F-6sF-6 POS2,088
RegistrationsF-7Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of RightsF-7378
RegistrationsF-7Post-Effective Amendments to F-7sF-7 POS5
RegistrationsF-8Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-83050
RegistrationsF-8Post-Effective Amendments to F-8sF-8 POS12
RegistrationsF-9Registration Statements by Foreign Private Issuers (Not Effective Immediately)F-99583
RegistrationsF-9Registration Statements by Foreign Private Issuers (Effective Immediately)F-9EF3
RegistrationsF-9Post-Effective Amendments to F-9sF-9 POS5
RegistrationsF-10Registration Statements by Foreign Private Issuers (Not Effective Immediately)F-10652725
RegistrationsF-10Registration Statements by Foreign Private Issuers (Effective Immediately)F-10EF6
RegistrationsF-10Post-Effective Amendments to F-10sF-10POS51
RegistrationsF-80Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or Business CombinationsF-802319
RegistrationsF-80Post-Effective Amendments to F-80sF-80POS15
RegistrationsF-NAppointments of Agents for Service of Process by Foreign Financial EntitiesF-N32621
Registrations163/433Free-Writing ProspectusesFWP117,606
RegistrationsF-XAppointments of Agents for Service of Process by Foreign Non-Financial EntitiesF-X2,027167
Reports§13(r)Notices of Disclosures in Quarterly and Annual Reports — ITRASHRA’12IRANNOTICE2,583
RegistrationsMAApplications for Municipal Advisor RegistrationMA8241,012
RegistrationsMAAnnual Updates of a Municipal Advisor’s RegistrationMA-A1,224
RegistrationsMA-IInformation Regarding Natural Persons Who Engage in Municipal Advisory ActivitiesMA-I6,8615,854
RegistrationsMA-WNotices of Withdrawal from Registration as a Municipal AdvisorMA-W241
RegistrationsN-1Registration Statements by Open-End Management Investment CompaniesN-12189
RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A1,8112,681
RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A EL361466
RegistrationsN-2Registration Statements by Closed-End Investment CompaniesN-23,4115,240
RegistrationsN-2Registrations of Additional SecuritiesN-2MEF225
RegistrationsN-3Registration Statements for Separate Accounts (Management Investment Companies)N-34019
RegistrationsN-3Registration Statements for Separate Accounts (Management Investment Companies)N-3 EL66
RegistrationsN-4Registration Statements for Separate Accounts (Unit Investment Trusts)N-42,1551,918
RegistrationsN-4Registration Statements for Separate Accounts (Unit Investment Trusts)N-4 EL151141
RegistrationsN-5Registration Statements by Small-Business Investment CompaniesN-5910
RegistrationsN-6Registration Statements for Separate Accounts (Unit Investment Trusts)N-6600439
ReportsN-6FNotices of Intentions to Elect Business-Development-Company StatusN-6F13262
RegistrationsN-8ANotices of RegistrationsN-8A4,018562
RegistrationsN-8B-2Registration Statements by Unit Investment TrustsN-8B-2182171
RegistrationsN-8B-3Registration Statements by Periodic Payment PlansN-8B-3
RegistrationsN-8B-4Registration Statements by Face-Amount Certificate CompaniesN-8B-41
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment CompaniesN-8F2,7151,247
RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N-143,1092,090
RegistrationsN-14Registration Statements by Closed-End Investment Companies (Business Combinations)N-14 8C219262
RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations) with Automatic EffectivenessN-14AE891185
RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N14AE2423058
RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N14EL2415889
RegistrationsN-14Registrations of Additional SecuritiesN-14MEF4
ReportsN-18F-1Notices of ElectionsN-18F11,22929
OwnershipN-23C-1Reports by Closed-End Investment Companies of Purchases of their own SecuritiesN-23C-192016
Ownership23c-2(b)Notices by Closed-End Investment Companies of Intentions to Call or Redeem their own SecuritiesN-23C-21,49351
Ownership23c-3(b) OnlyNotices of Periodic Repurchase OffersN-23C3A1,60322
Ownership23c-3(c) OnlyNotices of Periodic Repurchase OffersN-23C3B3933
Ownership23c-3(b) & (c)Notices of Periodic Repurchase OffersN-23C3C4547
ReportsN-27D-1Accountings for Segregated Trust AccountsN-27D-112
Reports30b-2Periodic and Interim Reports Mailed to ShareholdersN-30B-210,528
Reports30d-1Annual and Semi-Annual Reports Mailed to ShareholdersN-30D70,8441,055
ReportsN-54ANotices of Elections by Business Development CompaniesN-54A2628
ReportsN-54CNotices of Withdrawal from Registration by Business Development CompaniesN-54C1754
ReportsN-CENAnnual Reports by Registered Investment CompaniesN-CEN1398
ReportsN-CENAnnual Reports by Registered Investment Companies (Late Filings)NT N-CEN5
ReportsN-CRCurrent Reports of Money Market Funds’ Material EventsN-CR446
ReportsN-CSRCertified Annual Shareholder Reports by Management Investment CompaniesN-CSR54,7892,784
ReportsN-CSRCertified Semi-Annual Shareholder Reports by Management Investment CompaniesN-CSRS47,890879
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market FundsN-MFP41,4142,242
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings)NT N-MFP238
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market FundsN-MFP13,040553
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings)NT N-MFP135
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market FundsN-MFP210,318658
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings)NT N-MFP227
ReportsN-PXProxy Voting Record Annual Reports by Management Investment CompaniesN-PX46,1111,719
ReportsN-PXProxy Voting Record Annual Combination Reports by Institutional ManagersN-PX-CR
ReportsN-PXProxy Voting Record Annual Reports by Management Investment Companies that Include Votes by Institutional ManagersN-PX-FM
ReportsN-PXProxy Voting Record Annual Notices by Institutional ManagersN-PX-NT
ReportsN-PXProxy Voting Record Annual Voting Reports by Institutional ManagersN-PX-VR
ReportsN-QQuarterly Schedules of Portfolio Holdings of Management Investment CompaniesN-Q89,510985
RegistrationsNRSROAnnual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO-CE3222
ReportsNRSROAnnual Financial and Other Reports by Nationally Recognized Statistical Rating OrganizationsNRSRO-FR
RegistrationsNRSROUpdates of Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-UPD106
RegistrationsNRSROWithdrawals from Credit Rating Class by Nationally Recognized Statistical Rating OrganizationsNRSRO-WCLS
RegistrationsNRSROWithdrawals from Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-WREG
ReportsN-SARSemi-Annual Reports by Money-Management CompaniesNSAR-A73,4024,004
ReportsN-SARSemi-Annual-Transition Reports by Money-Management CompaniesNSAR-AT20216
ReportsN-SARAnnual Reports by Money-Management CompaniesNSAR-B73,5376,350
ReportsN-SARAnnual-Transition Reports by Money-Management CompaniesNSAR-BT68954
ReportsN-SARAnnual Reports by Unit Investment TrustsNSAR-U16,555351
Reports12b-25Notices of Late Filings of Form 10-DNT 10-D91
Reports12b-25Notices of Late Filings of Form 10-D (Late Notices)NTN 10D5
Reports12b-25Notices of Late Filings of Form 10-KNT 10-K41,417654
Reports12b-25Notices of Late Filings of Form 10-K (Late Notices)NTN 10K1,580
Reports12b-25Notices of Late Filings of Form 10-QNT 10-Q67,848580
Reports12b-25Notices of Late Filings of Form 10-Q (Late Notices)NTN 10Q2,299
Reports12b-25Notices of Late Filings of Form 11-KNT 11-K1,61716
Reports12b-25Notices of Late Filings of Form 11-K (Late Notices)NTN 11K18
Reports12b-25Notices of Late Filings of ‘SP 15D2’ Special Financial ReportsNT 15D287
Reports12b-25Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices)NTN15D23
Reports12b-25Notices of Late Filings of Form 20-FNT 20-F1,41625
Reports12b-25Notices of Late Filings of Form 20-F (Late Notices)NTN 20F34
Reports12b-25Notices of Late Filings of Form N-CENNT-NCEN3
Reports12b-25Notices of Late Filings of Form N-CSRNT-NCSR32221
Reports12b-25Notices of Late Filings of Form N-CSR (Late Notices)NTFNCSR75
Reports12b-25Notices of Late Filings of Form N-SARNT-NSAR2,589116
Reports12b-25Notices of Late Filings of Form N-SAR (Late Notices)NTFNSAR188
RegistrationsSA §8(c)Post-Effective AmendmentsPOS 8C1,984
Registrations462(b)Post-Effective AmendmentsPOS462B211
Registrations462(c)Post-Effective AmendmentsPOS462C82
RegistrationsPost-Effective AmendmentsPOS AM28,491
RegistrationsU-1Post-Effective Amendments to U-1sPOS AMC1,182
RegistrationsPost-Effective AmendmentsPOS AMI5,876
RegistrationsPost-Effective Amendments to S-3ASRs and F-3ASRsPOSASR1,583
RegistrationsPost-Effective Amendments to Add ExhibitsPOS EX3,373
Proxies13E-3Preliminary Proxy Solicitation Materials – Going-Private Transaction StatementsPRE13E3173290
Proxies14APreliminary Proxy Solicitation MaterialsPRE 14A35,741
Proxies14CPreliminary Proxy Information StatementsPRE 14C8,807
Proxies14AAdditional Preliminary Proxy Solicitation MaterialsPREA14A16
Proxies14CAdditional Preliminary Proxy Information StatementsPREA14C1
Proxies14APreliminary Proxy Solicitation Materials – Contested SolicitationsPREC14A2,410
Proxies14CPreliminary Proxy Information Statements – Contested SolicitationsPREC14C63
Proxies14APreliminary Proxy Solicitation Materials – Mergers and AcquisitionsPREM14A4,510
Proxies14CPreliminary Proxy Information Statements – Mergers and AcquisitionsPREM14C659
Proxies14APreliminary Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsPREN14A363
Proxies14ARevised Preliminary Proxy Solicitation MaterialsPRER14A10,626
Proxies14CRevised Preliminary Proxy Information StatementsPRER14C2,388
Proxies14APreliminary Proxy Solicitation Materials – Special MeetingsPRES14A3,944
Proxies14CPreliminary Proxy Information Statements – Special MeetingsPRES14C129
Proxies14ARevised Preliminary Non-Management Proxy Solicitation Materials – Contested Solicitations and Other SituationsPRRN14A1,966
Proxies14a-6(g)Notices of Exempt Proxy SolicitationsPX14A6G1,206
Proxies14a-6(n)Notices of Exempt Preliminary Proxy Roll-Up CommunicationsPX14A6N35
ReportsBW 2I.B.R.D. (World Bank) Quarterly ReportsQRTLYRPT781
RegistrationsDNotices of Offerings of Securities Made Without RegistrationREGDEX
RegistrationsRegistration Withdrawal RequestsRW11,240
RegistrationsRegistration Withdrawal (Withdraw Duplicate) RequestsRW WD382
RegistrationsS-1Registration Statements (General Form)S-117,72248,406
RegistrationsS-1Registrations of Additional SecuritiesS-1MEF1,351
RegistrationsS-2Registrations of SecuritiesS-29781,457
RegistrationsS-2Registrations of Additional SecuritiesS-2MEF73
RegistrationsS-3Registration Statements for Securities Offered Pursuant to TransactionsS-333,82528,233
RegistrationsS-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned IssuersS-3ASR6,385
RegistrationsS-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansS-3D9205
RegistrationsS-3Post-Effective Amendments to S-3DsS-3DPOS619
RegistrationsS-3Registrations of Additional SecuritiesS-3MEF1,230
RegistrationsS-4Registrations of Securities Issued in Business-Combination TransactionsS-413,91518,772
RegistrationsS-4Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding CompaniesS-4EF7631
RegistrationsS-4Registrations of Additional SecuritiesS-4MEF141
RegistrationsS-4Post-Effective Amendments to S-4sS-4 POS295
RegistrationsS-6Registration Statements by Unit Investment TrustsS-618,6987,728
RegistrationsS-6Registration Statements by Unit Investment TrustsS-6EL241,398359
RegistrationsS-8Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit PlansS-879,03518
RegistrationsS-8Post-Effective Amendments to S-8sS-8 POS30,299
RegistrationsS-11Registration Statements by Real Estate CompaniesS-111,0703,350
RegistrationsS-11Registrations of Additional SecuritiesS-11MEF81
RegistrationsS-20Registration Statements for Standardized OptionsS-2065
RegistrationsBRegistration Statements by Foreign Governments and Political SubdivisionsS-B283175
RegistrationsSB-1Registrations of Securities of Small-Business IssuersSB-1151358
RegistrationsSB-1Registrations of Additional SecuritiesSB-1MEF1
RegistrationsSB-2Registrations of Securities of Small-Business IssuersSB-27,81216,585
RegistrationsSB-2Registrations of Additional SecuritiesSB-2MEF104
RegistrationsBRegistrations of Additional SecuritiesS-BMEF13
RegistrationsSBSEApplications for Registration of Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE
RegistrationsSBSE-AApplications 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 ParticipantSBSE-A
RegistrationsSBSE-BDApplications for Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-DealersSBSE-BD
RegistrationsSBSE-CCertifications for Registration of Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE-C
RegistrationsSBSE-WRequests for Withdrawal from Registration as a Security-Based Swap Dealer or Major Security-Based Swap ParticipantSBSE-W
Ownership13DGeneral Statements of Beneficial OwnershipSC 13D54,703113,133
Ownership13E-1Tender-Offer Transaction StatementsSC 13E12313
Ownership13E-3Tender-Offer Statements – Going-Private TransactionsSC 13E32,3537,871
Ownership13E-4Tender-Offer Statements – Issuer Tender OffersSC 13E47341,250
Ownership13E-4FTender-Offer Statements – Issuer Tender OffersSC13E4F1616
Ownership13GStatements of Beneficial OwnershipSC 13G187,462328,406
Ownership14D-1Tender-Offer Statements – Third-Party Tender OffersSC 14D11,2715,205
Ownership14D-1FTender-Offer Statements – Third-Party Tender OffersSC14D1F42134
Ownership14D-9Tender-Offer Solicitation/Recommendation StatementsSC 14D94,1118,988
Ownership14D-9CTender-Offer Solicitation/Recommendation Statements – Preliminary CommunicationsSC14D9C2,239
Ownership14D-9FTender-Offer Solicitation/Recommendation Statements – Preliminary Communications – ForeignSC14D9F3939
Ownership14F-1Statements re: Changes in Majority of DirectorsSC 14F12,185223
Proxies14NInformation from Certain Nominating ShareholdersSC 14N55
Proxies14N-SSolicitations re: Either the Formation of a Nominating Shareholder Group or a NominationSC 14N-S
OwnershipTOTender-Offer Statements – Preliminary CommunicationsSC TO-C5,057
OwnershipTOTender-Offer Statements – Issuer Tender OffersSC TO-I8,22413,740
OwnershipTOTender-Offer Statements – Third-Party Tender OffersSC TO-T2,49311,639
Reports13p-1Specialized Disclosure Reports Relating to the Use of Conflict MineralsSD6,08521
RegistrationsSDRApplications for Registration as a Security-Based Swap Data RepositorySDR24
RegistrationsSDRApplications for Registration as a Security-Based Swap Data Repository – Annual AmendmentsSDR-A
ReportsSDR-CCOAnnual Compliance and Financial Reports for Security-Based Swap Data RepositoriesSDR-CCO
RegistrationsSDRApplications for Withdrawal from Registration as a Security-Based Swap Data RepositorySDR-W
RegistrationsSF-1Registration Statements (General Form) by Issuers of Asset-Backed SecuritiesSF-129
RegistrationsSF-1Registrations of Additional SecuritiesSF-1MEF
RegistrationsSF-3Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-379157
RegistrationsSF-3Registrations of Additional SecuritiesSF-3MEF
ReportsSHWeekly Short-Sale Entries Reports by Institutional Investment ManagersSH-ER
ReportsSHWeekly Short-Sale Notice Reports by Institutional Investment ManagersSH-NT
Reports15d-2Special Financial ReportsSP 15D2562
RegistrationsVoluntary Supplemental Materials Filed by Foreign IssuersSUPPL1,354
RegistrationsT-3Applications for Qualification of a Trust IndentureT-3589579
RegistrationsTA-1Applications for Registration as a Transfer AgentTA-11542,555
ReportsTA-2Annual Reports of Transfer Agents’ ActivitiesTA-24,374522
RegistrationsTA-WNotices of Withdrawal from Registration as a Transfer AgentTA-W239
RegistrationsU-1Applications and DeclarationsU-19692,309
RegistrationsU-3A-2Statements by Holding Companies Claiming ExemptionU-3A-2984163
RegistrationsU-3A3-1Twelve-Month Statements by Banks Claiming ExemptionU-3A3-121
RegistrationsU5ANotices of RegistrationsU5A404
RegistrationsU5BRegistration StatementsU5B3210
ReportsU5SAnnual Reports by Holding CompaniesU5S24268
ReportsU-6B-2Certificates of Notices of Security Issues, Renewals and GuaranteesU-6B-21,2849
ReportsU-7DCertificates Concerning Leases of Utility FacilitiesU-7D2839
ReportsU-9C-3Quarterly Reports by Energy or Gas-Related CompaniesU-9C-363516
OwnershipU-12(I)-AOwnership Statements by Persons Employed or Retained by Registered Holding CompaniesU-12-IA291
OwnershipU-12(I)-BThree-Year Ownership Statements by Persons Employed or Retained by Registered Holding CompaniesU-12-IB1,5373
ReportsU-13-60Annual Reports by Mutual and Subsidiary Service CompaniesU-13-6036617
OwnershipU-13E-1Transaction Statements by Affiliate and Independent Service CompaniesU-13E-14
ReportsU-33-SAnnual Reports by Foreign Utility CompaniesU-33-S481
ReportsU-57Notices of Foreign Utility Company StatusU-57614237
LettersComment and Other Letters from the SEC – CorrectionsULCORRCTN
RegistrationsInitial Undertakings to File ReportsUNDER201
LettersComment and Other Letters from the SEC [ a.k.a. LETTER ]UPLOAD148,756
ReportsX-17A-5Annual Financial Reports by Broker-DealersX-17A-52,304200
________
T This Filing/Form Type is obsolete or no longer made public. Totals 10,664,6911,199,536
This Filing/Form Type pertains to multiple Forms, Schedules, Rules, Regulations or Acts’ Sections.Top

 

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