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Form,Sch.,
RuleorReg.
Filings
CategoryDescriptionFilingTypeInitial Amended
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Registrations1-AOffering Statements — Reg. A1-A98232
Registrations1-APost-Qualification Amendments to Offering Statements — Reg. A1-A POS33
Registrations1-AWithdrawals of Offering Statements — Reg. A1-A-W204
Reports1-ENotifications by Small Business Investment Companies and Business Development Companies1-E1011
Reports1-ESales Materials1-E AD2
Reports1-KAnnual Reports — Reg. A1-K5
Reports1-SASemi-Annual Reports — Reg. A1-SA2
Reports1-UCurrent Reports — Reg. A1-U28
Registrations1-ZExit Reports — Reg. A1-Z81
Registrations1-ZWithdrawals of Exit Reports — Reg. A1-Z-W
ReportsReports of Sales of Securities2-E52
Ownership3Initial Statements of Beneficial Ownership of Securities3252,77615,009
Ownership4Statements of Changes in Beneficial Ownership of Securities42,821,53494,780
Ownership5Annual Statements of Changes in Beneficial Ownership of Securities593,7683,765
Reports6-KReports by Foreign Private Issuers6-K309,5034,148
Registrations8-ARegistrations of Certain Classes of Securities8-A12B16,0613,862
Registrations8-ARegistrations of Certain Classes of Securities8A12BEF95
Registrations8-ARegistrations of Certain Classes of Securities8A12BT288
Registrations8-ARegistrations of Certain Classes of Securities8-A12G9,6602,302
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12B9429
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12G6113
Reports8-KCurrent Reports8-K1,328,51366,835
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12B13711
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12G3592113
Reports8-KNotices of Assumptions of Duty to Report by Successor Issuers8-K15D5662
Registrations10Registrations of Securities (General Form)10-12B6741,325
Registrations10Registrations of Securities (General Form)10-12G2,1933,864
Reports10-CReports by Issuers of Securities Quoted on NASDAQ10-C1,30525
Reports10-DPeriodic Distribution Reports by Asset-Backed Issuers10-D36,9991,864
Reports10-KAnnual Reports10-K161,45537,702
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-KT402101
Reports10-KAnnual-Transition Reports — Reg. S-K – Item 40510KT4058217
Reports10-QQuarterly Reports10-Q506,21040,771
Reports10-QSBQuarterly Reports by Small Businesses10QSB120,29817,154
Reports10-QQuarterly-Transition Reports10-QT18033
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-K31,065792
Reports11-KAnnual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-KT902
Ownership13F-EQuarterly Reports by Institutional Money Managers13F-E1,188120
Ownership13FQuarterly Holdings and Combination Reports by Institutional Money Managers13F-HR193,42320,514
Ownership13FQuarterly Notices by Institutional Money Managers13F-NT64,5261,522
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12B4,25189
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12G12,052344
Reports15Notices of Suspensions of Duty to File Reports15-15D15,028195
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12B15811
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12G20910
Reports15FNotices of Foreign Private Issuers’ Suspensions of Duty to File Reports15F-15D1062
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-K5191,580
Reports20-FAnnual Reports by Foreign Private Issuers20-F12,1712,894
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12B118115
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12G343526
RegistrationsNotices 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-2NT149,0293,008
Registrations24F-2Annual Notices of Securities Sold by Investment Companies24F-2TM603
Reports25Notices to Voluntarily Withdraw Classes of Securities from Listings and Registrations on National Exchanges251,62226
Reports25Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities25-NSE7,019189
Reports35-APPStatements Concerning Proposed Transactions35-APP62
Reports35-CERTCertificates Concerning Terms and Conditions of Transactions35-CERT5,13798
RegistrationsApplications for Orders by Employees’ Securities Companies40-6B1067
ReportsApplications Requesting Extensions of Time for Filing Certain Information, Documents or Reports40-8B2570
RegistrationsInitial Applications for Deregistration by Certain Registered Investment Companies40-8F-21621
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 Companies40-17F12678
ReportsN-17F-2Certificates of Accounting of Securities in the Custody of Management Investment Companies40-17F215,362125
ReportsFidelity Bonds of Management Investment Companies40-17G11,6551,812
ReportsClaims and Settlements re: Management Investment Companies40-17GCS1
ReportsSales Literature of Management Investment Companies40-24B22,45280
ReportsStockholder Derivative Actions re: Management Investment Companies40-33744
RegistrationsApplications for Orders other than those Reviewed by the Office of Insurance Products40-APP9531,664
Reports40-FAnnual Reports by Foreign Private Issuers40-F2,021402
Reports40-FAnnual Reports by Foreign Private Issuers — ’34 S.12(b) Reg.40FR12B8842
Reports40-FAnnual Reports by Foreign Private Issuers — ’34 S.12(g) Reg.40FR12G218
RegistrationsApplications for Orders Reviewed by the Office of Insurance Products40-OIP67119
Ownership144Notices of Proposed Sales of Securities1446,178235
Registrations1-AOffering Statements – Information Previously Omitted — Reg. A253G11
Registrations1-AOffering Statements – Information Substantively Changed or Added — Reg. A253G241
Registrations1-AOffering Statements – Information Previously Omitted or Substantively Changed — Reg. A253G3
Registrations1-AOffering Statements – Information Previously Omitted or Substantively Changed – Not Timely Filed — Reg. A253G4
RegistrationsT-1Statements of Eligibility by Corporations Designated to Act as Trustees305B21,47518
RegistrationsProspectuses424A1,536
RegistrationsProspectuses424B15,747
RegistrationsProspectuses424B2115,570
RegistrationsProspectuses424B3136,348
RegistrationsProspectuses424B48,332
RegistrationsProspectuses424B547,680
RegistrationsProspectuses424B72,949
RegistrationsProspectuses424B8498
RegistrationsPreliminary Prospectuses424H781
ReportsBusiness-Combination Transaction Communications42553,066
RegistrationsPost-Effective Amendments485A24E88
RegistrationsPost-Effective Amendments485A24F25
RegistrationsPost-Effective Amendments485APOS35,133
RegistrationsPost-Effective Amendments485B24E1,669
RegistrationsPost-Effective Amendments485B24F64
RegistrationsPost-Effective Amendments485BPOS149,598
RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXT14,099
RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXTF1
RegistrationsN-2Post-Effective Amendments to N-2s486A24E1
RegistrationsN-2Post-Effective Amendments to N-2s486APOS125
RegistrationsN-2Post-Effective Amendments to N-2s486B24E2
RegistrationsN-2Post-Effective Amendments to N-2s486BPOS497
RegistrationsPre-Effective Pricing Amendments48714,867
RegistrationsDefinitive Materials497295,442
ReportsAdvertising by Certain Investment Companies497AD2,735
RegistrationsProspectuses497H282
RegistrationsCertifications of No Changes in Definitive Materials497J96,967
RegistrationsSummary Prospectuses of Open-End Management Investment Companies497K112,267
ReportsProfiles of Open-End Management Investment Companies497K1317
ReportsProfiles of Open-End Management Investment Companies497K2164
ReportsProfiles of Open-End Management Investment Companies497K3A52
ReportsProfiles of Open-End Management Investment Companies497K3B2,294
ReportsAsset-Backed Securities ReportsABS-15G4,1641,360
RegistrationsAsset-Backed Securities Offerings’ Electronic ExhibitsABS-EE
ReportsI.B.R.D. (World Bank) Annual ReportsANNLRPT751
RegistrationsAPP WDWithdrawals of Applications for Exemptive or Other Relief from the Federal Securities LawsAPP WD16611
ReportsAnnual Reports to Security HoldersARS1,4198
RegistrationsAmendment Withdrawal RequestsAW2,946
RegistrationsAmendment Withdrawal (Withdraw Duplicate) RequestsAW WD89
ReportsI.B.R.D. (World Bank) Quarterly ReportsBW-227
ReportsI.B.R.D. (World Bank) Distribution of Obligations ReportsBW-393
OwnershipCBRights/Exchange/Tender Offer Notifications/ResponsesCB877765
RegistrationsFunding PortalApplications for Registration as a Crowd-Funding PortalCFPORTAL1012
RegistrationsFunding PortalApplications for Withdrawal from Registration as a Crowd-Funding PortalCFPORTAL-W
OtherCorrectionsCORRECTION
LettersCorrespondence – Comment-Response and Other Letters to the SECCORRESP8
RegistrationsDNotices of Offerings of Securities Made Without RegistrationD142,89999,246
Proxies13E-3Definitive Proxy Solicitation Materials – Going-Private Transaction StatementsDEF13E37787
Proxies14ADefinitive Proxy Solicitation MaterialsDEF 14A145,349
Proxies14CDefinitive Proxy Information StatementsDEF 14C10,015
Proxies14AAdditional Definitive Proxy Solicitation MaterialsDEFA14A62,820
Proxies14CAdditional Definitive Proxy Information StatementsDEFA14C304
Proxies14ADefinitive Proxy Solicitation Materials – Contested SolicitationsDEFC14A1,591
Proxies14CDefinitive Proxy Information Statements – Contested SolicitationsDEFC14C25
Proxies14ADefinitive Proxy Solicitation Materials – Mergers and AcquisitionsDEFM14A4,437
Proxies14CDefinitive Proxy Information Statements – Mergers and AcquisitionsDEFM14C377
Proxies14ADefinitive Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsDEFN14A287
Proxies14ARevised Definitive Proxy Solicitation MaterialsDEFR14A4,842
Proxies14CRevised Definitive Proxy Information StatementsDEFR14C362
Proxies14ADefinitive Proxy Solicitation Materials – Special MeetingsDEFS14A3,996
Proxies14CDefinitive Proxy Information Statements – Special MeetingsDEFS14C88
RegistrationsRegistration Effectiveness-Delaying AmendmentsDEL AM872
Proxies14AAdditional Definitive Non-Management Proxy Solicitation MaterialsDFAN14A9,716
Proxies14ARevised Definitive Non-Management Proxy Solicitation MaterialsDFRN14A271
Registrations1-ADraft Offering Statements — Reg. ADOS32
RegistrationsS-1/F-1Draft Registration Statements by Emerging Growth Companies and Foreign Private IssuersDRS24
LettersCorrespondence – Letters re: Draft Registration StatementsDRSLTR
ReportsI.B.R.D. (World Bank) Distribution of Obligations ReportsDSTRBRPT13215
RegistrationsNotices of EffectivenessEFFECT
RegistrationsF-1Registration Statements by Foreign Private IssuersF-19552,810
RegistrationsF-1Registrations of Additional SecuritiesF-1MEF98
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-31,009998
RegistrationsF-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private IssuersF-3ASR403
RegistrationsF-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-3D37
RegistrationsF-3Post-Effective Amendments to F-3DsF-3DPOS22
RegistrationsF-3Registrations of Additional SecuritiesF-3MEF24
RegistrationsF-4Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination TransactionsF-4607943
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-61,34395
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately)F-6EF5,217
RegistrationsF-6Post-Effective Amendments to F-6sF-6 POS993
RegistrationsF-7Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of RightsF-7308
RegistrationsF-7Post-Effective Amendments to F-7sF-7 POS5
RegistrationsF-8Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-82950
RegistrationsF-8Post-Effective Amendments to F-8sF-8 POS7
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-10548615
RegistrationsF-10Registration Statements by Foreign Private Issuers (Effective Immediately)F-10EF4
RegistrationsF-10Post-Effective Amendments to F-10sF-10POS48
RegistrationsF-80Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or Business CombinationsF-802018
RegistrationsF-80Post-Effective Amendments to F-80sF-80POS9
RegistrationsF-NAppointments of Agents for Service of Process by Foreign Financial EntitiesF-N24616
RegistrationsFree-Writing ProspectusesFWP96,542
RegistrationsF-XAppointments of Agents for Service of Process by Foreign Non-Financial EntitiesF-X1,758148
ReportsNotices of Disclosures in Quarterly and Annual Reports re: The Iran Threat Reduction and Syria Human Rights ActIRANNOTICE1,782
RegistrationsMAApplications for Municipal Advisor RegistrationMA733389
RegistrationsMAAnnual Updates of a Municipal Advisor’s RegistrationMA-A538
RegistrationsMA-IInformation Regarding Natural Persons Who Engage in Municipal Advisory ActivitiesMA-I5,3482,004
RegistrationsMA-WNotices of Withdrawal from Registration as a Municipal AdvisorMA-W61
RegistrationsN-1Registration Statements by Open-End Management Investment CompaniesN-12189
RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A1,7222,524
RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A EL361466
RegistrationsN-2Registration Statements by Closed-End Investment CompaniesN-23,0874,757
RegistrationsN-2Registrations of Additional SecuritiesN-2MEF213
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-42,0811,842
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-6583414
ReportsN-6FNotices of Intentions to Elect Business-Development-Company StatusN-6F12460
RegistrationsN-8ANotices of RegistrationsN-8A3,807542
RegistrationsN-8B-2Registration Statements by Unit Investment TrustsN-8B-2182166
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-8F2,4051,103
RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N-142,7981,867
RegistrationsN-14Registration Statements by Closed-End Investment Companies (Business Combinations)N-14 8C192221
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-14MEF3
ReportsN-18F-1Notices of ElectionsN-18F11,17429
OwnershipN-23C-1Reports by Closed-End Investment Companies of Purchases of their own SecuritiesN-23C-192016
OwnershipNotices by Closed-End Investment Companies of Intentions to Call or Redeem their own SecuritiesN-23C-21,34251
OwnershipNotices of Periodic Repurchase OffersN-23C3A1,27018
OwnershipNotices of Periodic Repurchase OffersN-23C3B3843
OwnershipNotices of Periodic Repurchase OffersN-23C3C4545
ReportsN-27D-1Accountings for Segregated Trust AccountsN-27D-112
ReportsPeriodic and Interim Reports Mailed to ShareholdersN-30B-29,552
ReportsAnnual and Semi-Annual Reports Mailed to ShareholdersN-30D70,1871,052
ReportsN-54ANotices of Elections by Business Development CompaniesN-54A2438
ReportsN-54CNotices of Withdrawal from Registration by Business Development CompaniesN-54C1574
ReportsN-CRCurrent Reports of Money Market Funds’ Material EventsN-CR236
ReportsN-CSRCertified Annual Shareholder Reports by Management Investment CompaniesN-CSR47,4332,498
ReportsN-CSRCertified Semi-Annual Shareholder Reports by Management Investment CompaniesN-CSRS39,530786
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market FundsN-MFP41,4122,231
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market FundsN-MFP151555
ReportsN-PXProxy Voting Record Annual Reports by Management Investment CompaniesN-PX37,6911,592
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-Q75,709902
RegistrationsNRSROAnnual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO-CE121
ReportsNRSROAnnual Financial and Other Reports by Nationally Recognized Statistical Rating OrganizationsNRSRO-FR
RegistrationsNRSROUpdates of Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-UPD31
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-A67,6873,714
ReportsN-SARSemi-Annual-Transition Reports by Money-Management CompaniesNSAR-AT20016
ReportsN-SARAnnual Reports by Money-Management CompaniesNSAR-B67,6025,859
ReportsN-SARAnnual-Transition Reports by Money-Management CompaniesNSAR-BT66754
ReportsN-SARAnnual Reports by Unit Investment TrustsNSAR-U15,101317
Reports12b-25Notices of Late Filings of Form 10-DNT 10-D71
Reports12b-25Notices of Late Filings of Form 10-KNT 10-K39,187620
Reports12b-25Notices of Late Filings of Form 10-QNT 10-Q63,514559
Reports12b-25Notices of Late Filings of Form 11-KNT 11-K1,55716
Reports12b-25Notices of Late Filings of Special Financial ReportsNT 15D287
Reports12b-25Notices of Late Filings of Form 20-FNT 20-F1,27322
Reports12b-25Notices of Late Filings of Form N-CSRNTFNCSR71
Reports12b-25Notices of Late Filings of Form N-SARNTFNSAR187
Reports12b-25Notices of Late Filings of Form 10-DNTN 10D5
Reports12b-25Notices of Late Filings of Form 10-KNTN 10K1,561
Reports12b-25Notices of Late Filings of Form 10-QNTN 10Q2,277
Reports12b-25Notices of Late Filings of Form 11-KNTN 11K18
Reports12b-25Notices of Late Filings of Special Financial ReportsNTN15D23
Reports12b-25Notices of Late Filings of Form 20-FNTN 20F34
Reports12b-25Notices of Late Filings of Form N-CSRNT-NCSR30017
ReportsN-MFPLate Filings of Monthly Schedules of Portfolio Holdings of Money Market FundsNT N-MFP238
ReportsN-MFPLate Filings of Monthly Schedules of Portfolio Holdings of Money Market FundsNT N-MFP111
Reports12b-25Notices of Late Filings of Form N-SARNT-NSAR2,553111
RegistrationsPost-Effective AmendmentsPOS 8C1,558
RegistrationsPost-Effective AmendmentsPOS462B202
RegistrationsPost-Effective AmendmentsPOS462C82
RegistrationsPost-Effective AmendmentsPOS AM26,483
RegistrationsU-1Post-Effective Amendments to U-1sPOS AMC1,182
RegistrationsPost-Effective AmendmentsPOS AMI5,387
RegistrationsS-3/F-3Post-Effective Amendments to S-3 and F-3 ASRsPOSASR1,240
RegistrationsPost-Effective Amendments to Add ExhibitsPOS EX2,459
Proxies13E-3Preliminary Proxy Solicitation Materials – Going-Private Transaction StatementsPRE13E3173290
Proxies14APreliminary Proxy Solicitation MaterialsPRE 14A33,475
Proxies14CPreliminary Proxy Information StatementsPRE 14C8,052
Proxies14AAdditional Preliminary Proxy Solicitation MaterialsPREA14A16
Proxies14CAdditional Preliminary Proxy Information StatementsPREA14C1
Proxies14APreliminary Proxy Solicitation Materials – Contested SolicitationsPREC14A2,218
Proxies14CPreliminary Proxy Information Statements – Contested SolicitationsPREC14C62
Proxies14APreliminary Proxy Solicitation Materials – Mergers and AcquisitionsPREM14A4,169
Proxies14CPreliminary Proxy Information Statements – Mergers and AcquisitionsPREM14C629
Proxies14APreliminary Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsPREN14A351
Proxies14ARevised Preliminary Proxy Solicitation MaterialsPRER14A10,133
Proxies14CRevised Preliminary Proxy Information StatementsPRER14C2,232
Proxies14APreliminary Proxy Solicitation Materials – Special MeetingsPRES14A3,944
Proxies14CPreliminary Proxy Information Statements – Special MeetingsPRES14C129
Proxies14ARevised Preliminary Non-Management Proxy Solicitation Materials – Contested Solicitations and Other SituationsPRRN14A1,850
ProxiesNotices of Exempt Proxy SolicitationsPX14A6G874
ProxiesNotices of Exempt Preliminary Proxy Roll-Up CommunicationsPX14A6N28
ReportsI.B.R.D. (World Bank) Quarterly ReportsQRTLYRPT591
RegistrationsRegistration Withdrawal RequestsRW10,525
RegistrationsRegistration Withdrawal (Withdraw Duplicate) RequestsRW WD351
RegistrationsS-1Registration Statements (General Form)S-115,99744,638
RegistrationsS-1Registrations of Additional SecuritiesS-1MEF1,148
RegistrationsS-2Registrations of SecuritiesS-29781,457
RegistrationsS-2Registrations of Additional SecuritiesS-2MEF73
RegistrationsS-3Registration Statements for Securities Offered Pursuant to TransactionsS-332,07127,319
RegistrationsS-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned IssuersS-3ASR5,170
RegistrationsS-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansS-3D8805
RegistrationsS-3Post-Effective Amendments to S-3DsS-3DPOS570
RegistrationsS-3Registrations of Additional SecuritiesS-3MEF1,184
RegistrationsS-4Registrations of Securities Issued in Business-Combination TransactionsS-413,18917,827
RegistrationsS-4Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding CompaniesS-4EF7631
RegistrationsS-4Registrations of Additional SecuritiesS-4MEF132
RegistrationsS-4Post-Effective Amendments to S-4sS-4 POS288
RegistrationsS-6Registration Statements by Unit Investment TrustsS-616,0026,117
RegistrationsS-6Registration Statements by Unit Investment TrustsS-6EL241,398359
RegistrationsS-8Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit PlansS-874,25918
RegistrationsS-8Post-Effective Amendments to S-8sS-8 POS25,669
RegistrationsS-11Registration Statements by Real Estate CompaniesS-111,0093,191
RegistrationsS-11Registrations of Additional SecuritiesS-11MEF76
RegistrationsS-20Registration Statements for Standardized OptionsS-2065
RegistrationsBRegistration Statements by Foreign Governments and Political SubdivisionsS-B239151
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-BMEF12
Ownership13DGeneral Statements of Beneficial OwnershipSC 13D51,626103,446
OwnershipTender-Offer Transaction StatementsSC 13E12313
Ownership13E-3Tender-Offer Statements – Going-Private TransactionsSC 13E32,2627,516
Ownership13E-4Tender-Offer Statements – Issuer Tender OffersSC 13E47341,250
Ownership13E-4FTender-Offer Statements – Issuer Tender OffersSC13E4F1516
Ownership13GStatements of Beneficial OwnershipSC 13G175,141294,862
Ownership14D-1Tender-Offer Statements – Third-Party Tender OffersSC 14D11,2715,205
Ownership14D-1Tender-Offer Statements – Third-Party Tender OffersSC14D1F40134
Ownership14D-9Tender-Offer Solicitation/Recommendation StatementsSC 14D93,9128,280
Ownership14D-9CTender-Offer Solicitation/Recommendation Statements – Preliminary CommunicationsSC14D9C2,001
Ownership14D-9FTender-Offer Solicitation/Recommendation Statements – Preliminary Communications – ForeignSC14D9F3639
OwnershipStatements re: Changes in Majority of DirectorsSC 14F12,071214
OwnershipTOTender-Offer Statements – Preliminary CommunicationsSC TO-C4,603
OwnershipTOTender-Offer Statements – Issuer Tender OffersSC TO-I7,03912,123
OwnershipTOTender-Offer Statements – Third-Party Tender OffersSC TO-T2,31010,818
ReportsSpecialized Disclosure Reports Relating to the Use of Conflict MineralsSD3,18811
RegistrationsSDRApplications for Registration as a Security-Based Swap Data RepositorySDR1
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-114
RegistrationsSF-3Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-357114
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
ReportsSpecial Financial ReportsSP 15D2542
RegistrationsVoluntary Supplemental Materials Filed by Foreign IssuersSUPPL1,196
RegistrationsT-3Applications for Qualification of a Trust IndentureT-3546532
RegistrationsTA-1Applications for Registration as a Transfer AgentTA-11352,159
ReportsTA-2Annual Reports of Transfer Agents’ ActivitiesTA-23,820446
RegistrationsTA-WNotices of Withdrawal from Registration as a Transfer AgentTA-W201
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
LettersCorrespondence – Comment Letters from the SEC – CorrectionsULCORRCTN
RegistrationsInitial Undertakings to File ReportsUNDER201
LettersCorrespondence – Comment Letters from the SECUPLOAD515
ReportsX-17A-5Annual Reports by Broker-DealersX-17A-5
________
Filing Type pertains to multiple Forms, Schedules, Rules or Regulations.Total: 9,080,5421,065,922
T Filing Type is obsolete or no longer made public.Top

 

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