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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)
RegistrationsApplications for Registration or Exemption from Registration as a National Securities Exchange1881,166
Registrations1-AOffering Statements — Reg. A / A+1-A9162,247
Registrations1-APost-Qualification Amendments to Offering Statements — Reg. A / A+1-A POS459
Registrations1-AWithdrawals of Offering Statements — Reg. A / A+1-A-W10115
ReportsENotifications by Small Business Investment Companies and Business Development Companies1-E15278
RegistrationsESales Materials1-E AD2
Reports1-KAnnual ReportsReg. A1-K16512
Reports1-SASemi-Annual ReportsReg. A1-SA21816
Reports1-UCurrent ReportsReg. A1-U7518
Reports1-ZExit ReportsReg. A1-Z664
Reports1-ZWithdrawals of Exit ReportsReg. A1-Z-W2
Reports2-AReports of Sales of Securities — Reg. A / A+2-A5281
Reports2-AFinal Reports of Sales of Securities — Reg. A / A+2-AF36
ReportsEReports of Sales of Securities2-E8711
Ownership3Initial Statements of Beneficial Ownership of Securities3292,12816,733
Ownership4Statements of Changes in Beneficial Ownership of Securities43,328,465105,706
Ownership5Annual Statements of Changes in Beneficial Ownership of Securities5102,4653,963
Filings40-6B Notices6B NTC24
Filings40-6B Orders6B ORDR23
Reports6-KCurrent Reports by Foreign Private Issuers6-K377,5204,888
Forms7-A7-A
Registrations8-ARegistrations of Certain Classes of Securities8-A12B18,3524,337
Registrations8-ARegistrations of Certain Classes of Securities8A12BEF95
Registrations8-ARegistrations of Certain Classes of Securities8A12BT288
Registrations8-ARegistrations of Certain Classes of Securities8-A12G9,9042,344
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12B9429
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12G6113
Filings40-8F-2 Notices8F-2 NTC3
Filings40-8F-2 Orders8F-2 ORDR2
Reports8-KCurrent Reports8-K1,517,48572,456
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12B20219
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12G3620114
Reports8-KNotices of Assumptions of Duty to Report by Successor Issuers8-K15D5702
FilingsConsents to Service of Process by Notice (Non-Resident Broker-Dealer Corporations)8-M59
FilingsConsents to Service of Process by Notice (Non-Resident Broker-Dealer Partnerships)9-M13
Registrations10Registrations of Securities (General Form)10-12B7341,531
Registrations10Registrations of Securities (General Form)10-12G2,4374,234
Reports10-CReports by Issuers of Securities Quoted on NASDAQ10-C1,30525
Reports10-DDistribution Reports by Asset-Backed Issuers10-D56,2722,100
Reports10-KAnnual Reports10-K180,26140,143
Reports10-KAnnual Reports — Reg. S-K – Item 40510-K40520,2383,227
Reports10-KSBAnnual Reports by Small Businesses10KSB37,06211,939
Reports10-KSBAnnual Reports by Small Businesses — Reg. S-B – Item 40510KSB403,460629
Reports10-KAnnual-Transition Reports10-KT481113
Reports10-KAnnual-Transition Reports — Reg. S-K – Item 40510KT4058217
Forms10-M10-M
Reports10-QQuarterly Reports10-Q558,17242,789
Reports10-QSBQuarterly Reports by Small Businesses10QSB120,30817,154
Reports10-QQuarterly-Transition Reports10-QT20336
Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12B245134
Registrations10-SBRegistrations of Securities of Small-Business Issuers10SB12G4,1475,545
Reports11-KAnnual Reports by Employee Stock Purchase, Savings and Similar Plans11-K38,865947
Reports11-KAnnual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-KT942
Forms12G-212G-2
Forms12G3-2A12G3-2A
FilingsExemptions for American Depository Receipts and Certain Foreign Securities12G3-2B613
FilingsExemptions for American Depository Receipts and Certain Foreign Securities12G32BR178
Ownership13FQuarterly Holdings and Combination Reports by Institutional Money Managers – Confidential Treatment Requested13FCONP1,27090
Ownership13FQuarterly Reports by Institutional Money Managers13F-E1,188120
Ownership13FQuarterly Holdings and Combination Reports by Institutional Money Managers13F-HR243,91923,354
Ownership13FQuarterly Notices by Institutional Money Managers13F-NT81,4211,640
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12B5,051103
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12G12,854390
Reports15Notices of Suspensions of Duty to File Reports15-15D15,663207
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12B17712
Registrations15FCertifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities15F-12G22712
Reports15FNotices of Foreign Private Issuers’ Suspensions of Duty to File Reports15F-15D1182
Registrations18Registrations of Securities of Foreign Governments and Political Subdivisions18-12B4
Registrations18Registrations of Securities of Foreign Governments and Political Subdivisions18-12G
Reports18-KAnnual Reports by Foreign Governments and Political Subdivisions18-K6441,996
Filings19b-4Proposed Rule Changes by SROs19B-4101
Filings19b-4(e)Information Required of SROs Listing and Trading in New Derivative Securities Products19B-4E25,543
Reports20-FAnnual Reports by Foreign Private Issuers20-F14,4873,272
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12B149147
Registrations20-FRegistrations of Securities of Foreign Private Issuers20FR12G374589
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-2NT167,6013,133
Registrations24f-2Annual Notices of Securities Sold by Investment Companies24F-2TM603
Reports25Notices to Voluntarily Withdraw Classes of Securities from Listings and Registrations on National Exchanges253,85235
Reports25Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities25-NSE9,286215
Reports26Notices of the Admission to Trading of a Substituted or Additional Class of Securities262
Forms2727
Forms2828
FilingsSEA §12(g)/13(a)Applications for Exemption or from Filing Certain Reports34-12H7
FormsSEA34-36CF34-36CF
FormsSEA34-36MR34-36MR
FormsPUHCA35-235-2
FormsPUHCA35-335-3
FormsPUHCA35-7B35-7B
FormsPUHCA35-1135-11
Reports20(e)Statements Concerning Proposed Transactions35-APP62
Reports24Certificates Concerning Terms and Conditions of Transactions35-CERT5,13998
FormsTIA39-10B239-10B2
FormsTIA39-304C39-304C
FilingsTIAApplications 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 Act39-304D91
FilingsTIAApplications Regarding a Conflict of Interest under the Trust Indenture Act39-310B2
RegistrationsO-2Applications for Orders by Employees’ Securities Companies40-6B47156
RegistrationsICA §6(c)Applications for Exemption and Other Relief40-6C433529
Reports8b-25(a)Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports40-8B2599
RegistrationsO-2Initial Applications for Deregistration by Certain Registered Investment Companies40-8F-21724
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
OrdersICAInvestment Company Registrations Withdrawn by SEC Order40-8FC31
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Liquidations40-8F-L455180
RegistrationsN-8FApplications for Deregistration by Certain Registered Investment Companies – Mergers40-8F-M542174
Reports17f-1Certificates of Accounting of Securities in the Custody of Management Investment Companies40-17F140817
Reports17f-2Certificates of Accounting of Securities in the Custody of Management Investment Companies40-17F217,395129
Reports17g-1(g)Fidelity Bonds of Management Investment Companies40-17G24,3192,099
Reports17g-1Claims and Settlements re: Management Investment Companies40-17GCS15
Reports24b-2Sales Literature of Management Investment Companies40-24B22,76186
ReportsICA §33Stockholder Derivative Actions re: Management Investment Companies40-331,0288
RegistrationsIAA §202Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act40-202A3030
RegistrationsIAA §203Exemptions from the Prohibition on Registration40-203A22
RegistrationsIAA §205Applications for Performance Fees Exemption40-205E32
RegistrationsIAA §206(3)Applications for Exemption40-206A4434
RegistrationsO-2Applications for Orders other than those Reviewed by the Office of Insurance Products40-APP1,7202,629
Registrations40-FRegistration Statements and Annual Reports by Canadian Issuers40-F2,462457
Registrations40-FRegistrations of Securities of Canadian IssuersSEA’34 12(b)40FR12B11356
Registrations40-FRegistrations of Securities of Canadian IssuersSEA’34 12(g)40FR12G258
RegistrationsO-2Applications for Orders Reviewed by the Office of Insurance Products40-OIP78145
ReportsICAReports Required from Certain Applicants for Exemptions from the Investment Company Act40-RPT2
Forms45B-345B-3
Ownership144Notices of Proposed Sales of Securities1446,892251
Registrations1-AOffering Statements – Information Previously Omitted — Reg. A / A+253G127
Registrations1-AOffering Statements – Information Substantively Changed or Added — Reg. A / A+253G2804
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 Trustees305B21,72420
Registrations424(a)Prospectuses424A1,545
Registrations424(b)(1)Prospectuses424B15,941
Registrations424(b)(2)Prospectuses424B2192,804
Registrations424(b)(3)Prospectuses424B3152,170
Registrations424(b)(4)Prospectuses424B49,384
Registrations424(b)(5)Prospectuses424B554,698
Registrations424(b)(7)Prospectuses424B73,505
Registrations424(b)(8)Prospectuses424B8817
Registrations424(h)Preliminary Prospectuses424H54546
Reports425Business-Combination Transaction Communications42562,926
RegistrationsPost-Effective Amendments485A24E88
RegistrationsPost-Effective Amendments485A24F25
RegistrationsPost-Effective Amendments485APOS38,463
RegistrationsPost-Effective Amendments485B24E1,669
RegistrationsPost-Effective Amendments485B24F64
RegistrationsPost-Effective Amendments485BPOS171,746
RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXT19,730
Forms485BXTE485BXTE
RegistrationsPost-Effective Amendments to Designate New Effective Dates485BXTF1
RegistrationsN-2Post-Effective Amendments to N-2s486A24E1
Forms486A24F486A24F
RegistrationsN-2Post-Effective Amendments to N-2s486APOS176
RegistrationsN-2Post-Effective Amendments to N-2s486B24E2
Forms486B24F486B24F
RegistrationsN-2Post-Effective Amendments to N-2s486BPOS668
RegistrationsPost-Effective Amendments to Designate New Effective Dates486BXT22
RegistrationsPre-Effective Pricing Amendments48717,764
Registrations497Definitive Materials497339,613
Reports482Advertising by Certain Investment Companies497AD3,343
Registrations497(h)(2)Prospectuses497H283
Registrations497(j)Certifications of No Changes in Definitive Materials497J111,157
Registrations497(k)Summary Prospectuses of Open-End Management Investment Companies497K175,167
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-15G8,8262,565
RegistrationsAsset-Backed Securities Offerings’ [XML] ExhibitsABS-EE3,21153
ReportsReports by the Asian Development BankADB18
RegistrationsAdditional or Detached Materials for which No Rule or Regulation Applies or No Specific Form is PrescribedADN-MTL50
RegistrationsIAARegistrations of Investment AdvisorsADV1
OrdersCancellations of Registered Advisers by SEC OrderADVCO53
ReportsIAACertificates of Accounting of Client Securities and Funds in Possession or Custody of an Investment AdvisorADV-E2,451
ReportsIAAApplications for Continuing Hardship ExemptionADV-H-C7
ReportsIAAApplications for Temporary Hardship ExemptionADV-H-T57
RegistrationsIAAAppointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment AdvisorsADV-NR618
RegistrationsIAANotices of Withdrawal from Registration as an Investment AdvisorADVW9
ReportsReports by the African Development BankAFDB91
ReportsBW – 2Annual Reports by the International Bank for Reconstruction and Development (World Bank)ANNLRPT971
Filings40-APP NoticesAPP NTC824
Filings40-APP OrdersAPP ORDR796
RegistrationsAPP WDWithdrawals of Applications for Exemptive or Other Relief from the Federal Securities LawsAPP WD43612
Filings40-APP Withdrawals GrantedAPP WDG46
ReportsAnnual Reports to Security HoldersARS36,66837
RegistrationsAmendment Withdrawal RequestsAW3,466
RegistrationsAmendment Withdrawal Requests (Withdraw Duplicate)AW WD100
OrdersCancellations of Registered Brokers and Dealers by SEC OrderBDCO430
ReportsBW – 2Quarterly Reports by the International Bank for Reconstruction and Development (World Bank)BW-227
ReportsBW – 3Distribution of Obligations Reports by the International Bank for Reconstruction and Development (World Bank)BW-393
RegistrationsCCrowdfunding Offering StatementsC1,6261,567
RegistrationsC/A-WCrowdfunding Offering Statement Amendment WithdrawalsC/A-W8
RegistrationsC-WCrowdfunding Offering Statement WithdrawalsC-W125
ReportsC-ARCrowdfunding Annual ReportsC-AR28725
ReportsC-AR/A-WCrowdfunding Annual Report Amendment WithdrawalsC-AR/A-W
ReportsC-AR-WCrowdfunding Annual Report WithdrawalsC-AR-W3
ReportsC-TRCrowdfunding Terminations of ReportingC-TR23
ReportsC-TR-WCrowdfunding Termination of Reporting WithdrawalsC-TR-W1
RegistrationsC-UCrowdfunding Progress UpdatesC-U682
RegistrationsC-U-WCrowdfunding Progress Update WithdrawalsC-U-W3
FilingsCA-1 FilingsCA-12
OwnershipCBRights/Exchange/Tender Offer Notifications/ResponsesCB1,5611,374
RegistrationsCERTCertifications by Exchanges Approving Securities for ListingCERT1,017
RegistrationsCERTCertifications by the American Stock Exchange Approving Securities for ListingCERTAMX1,585
RegistrationsCERTCertifications by the New York Stock Exchange Archipelago Approving Securities for ListingCERTARCA362
RegistrationsCERTCertifications by the Bats Global Markets Approving Securities for ListingCERTBATS69
RegistrationsCERTCertifications by the Boston Stock Exchange Approving Securities for ListingCERTBSE13
RegistrationsCERTCertifications by the Chicago Board Options Exchange Approving Securities for ListingCERTCBO27
RegistrationsCERTCERTCINCERTCIN
RegistrationsCERTCertifications by the Chicago Stock Exchange Approving Securities for ListingCERTCSE2
RegistrationsCERTCertifications by the International Securities Exchange Approving Securities for ListingCERTISE
RegistrationsCERTCertifications by the NASDAQ Stock Market Approving Securities for ListingCERTNAS2,772
RegistrationsCERTCertifications by the New York Stock Exchange Approving Securities for ListingCERTNYS5,651
RegistrationsCERTCertifications by the Pacific Coast Stock Exchange Approving Securities for ListingCERTPAC542
RegistrationsCERTCertifications by the Philadelphia Stock Exchange Approving Securities for ListingCERTPBS3
RegistrationsFunding PortalApplications for Registration as a Crowdfunding PortalCFPORTAL54162
RegistrationsFunding PortalApplications for Withdrawal from Registration as a Crowdfunding PortalCFPORTAL-W6
SECCorrectionsCORRECTION
LettersComment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP151,091
OrdersSEC Confidential Treatment OrdersCT ORDER15,232
RegistrationsDNotices of Exempt Offerings of SecuritiesD214,238147,523
Proxies13E-3Definitive Proxy Solicitation Materials – Going-Private Transaction StatementsDEF13E37787
Proxies14ADefinitive Proxy Solicitation MaterialsDEF 14A157,392
Proxies14CDefinitive Proxy Information StatementsDEF 14C11,405
Proxies14AAdditional Definitive Proxy Solicitation MaterialsDEFA14A75,829
Proxies14CAdditional Definitive Proxy Information StatementsDEFA14C337
Proxies14ADefinitive Proxy Solicitation Materials – Contested SolicitationsDEFC14A1,771
Proxies14CDefinitive Proxy Information Statements – Contested SolicitationsDEFC14C25
Proxies14ADefinitive Proxy Solicitation Materials – Mergers and AcquisitionsDEFM14A5,104
Proxies14CDefinitive Proxy Information Statements – Mergers and AcquisitionsDEFM14C411
Proxies14ADefinitive Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsDEFN14A297
RegistrationsDefinitive Offering CircularsReg. ADEF-OC2
Proxies14ARevised Definitive Proxy Solicitation MaterialsDEFR14A5,160
Proxies14CRevised Definitive Proxy Information StatementsDEFR14C393
Proxies14ADefinitive Proxy Solicitation Materials – Special MeetingsDEFS14A3,996
Proxies14CDefinitive Proxy Information Statements – Special MeetingsDEFS14C88
RegistrationsRegistration Effectiveness-Delaying AmendmentsDEL AM1,019
Proxies14AAdditional Definitive Non-Management Proxy Solicitation MaterialsDFAN14A11,247
Proxies14ARevised Definitive Non-Management Proxy Solicitation MaterialsDFRN14A296
Registrations1-ADraft Offering Statements — Reg. A / A+DOS113121
LettersComment-Response and Draft-Offering-Statement Letters to the SECDOSLTR90
RegistrationsDRSDraft Registration Statements by Emerging Growth Companies and Foreign Private IssuersDRS1,7552,355
LettersComment-Response and Draft-Registration-Statement Letters to the SECDRSLTR1,848
ReportsBW – 3Distribution of Obligations Reports by the International Bank for Reconstruction and Development (World Bank)DSTRBRPT35519
ReportsReports by the European Bank for Reconstruction and DevelopmentEBRD161
RegistrationsNotices of EffectivenessEFFECT47,902
RegistrationsF-1Registration Statements by Foreign Private IssuersF-11,2183,532
RegistrationsF-1Registrations of Additional SecuritiesF-1MEF130
RegistrationsF-2Registration Statements by Foreign Private IssuersF-21636
RegistrationsF-2Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-2D1
FormsF-2DPOSF-2DPOS
FormsF-2MEFF-2MEF
RegistrationsF-3Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-31,2631,181
RegistrationsF-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private IssuersF-3ASR514
RegistrationsF-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-3D54
RegistrationsF-3Post-Effective Amendments to F-3DsF-3DPOS27
RegistrationsF-3Registrations of Additional SecuritiesF-3MEF28
RegistrationsF-4Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination TransactionsF-47011,324
FormsF-4EFF-4EF
RegistrationsF-4Registrations of Additional SecuritiesF-4MEF8
RegistrationsF-4Post-Effective Amendments to F-4sF-4 POS21
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately)F-61,626145
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately)F-6EF5,994
RegistrationsF-6Post-Effective Amendments to F-6sF-6 POS2,153
RegistrationsF-7Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of RightsF-74010
RegistrationsF-7Post-Effective Amendments to F-7sF-7 POS5
RegistrationsF-8Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to TransactionsF-83251
RegistrationsF-8Post-Effective Amendments to F-8sF-8 POS13
RegistrationsF-9Registration Statements by Foreign Private Issuers (Not Effective Immediately)F-910190
RegistrationsF-9Registration Statements by Foreign Private Issuers (Effective Immediately)F-9EF3
FormsF-9MEFF-9MEF
RegistrationsF-9Post-Effective Amendments to F-9sF-9 POS5
RegistrationsF-10Registration Statements by Foreign Private Issuers (Not Effective Immediately)F-10685756
RegistrationsF-10Registration Statements by Foreign Private Issuers (Effective Immediately)F-10EF7
FormsF-10MEFF-10MEF
RegistrationsF-10Post-Effective Amendments to F-10sF-10POS53
RegistrationsF-80Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or Business CombinationsF-802622
RegistrationsF-80Post-Effective Amendments to F-80sF-80POS19
RegistrationsF-NAppointments of Agents for Service of Process by Foreign Financial EntitiesF-N33923
ReportsAnnual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and DealersFOCUSN28,2111,038
Registrations163/433Free-Writing ProspectusesFWP123,711
RegistrationsF-XAppointments of Agents for Service of Process by Foreign Non-Financial EntitiesF-X2,437199
FilingsAnnual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405613
ReportsAnnual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405N481
RegistrationsNotices of Status as a Government Securities Broker or Dealer by Financial InstitutionsG-FIN21247
RegistrationsNotices of Withdrawal as a Government Securities Broker or Dealer by Financial InstitutionsG-FINW16
FormsHISTORYHISTORY
ReportsReports by the Inter-American Development BankIADB13
FormsIBRDIBRD
RegistrationsIDApplications for a New SEC Central Index Key (CIK)ID-NEWCIK1
ReportsReports by the International Finance CorporationIFC6
Reports§13(r)Notices of Disclosures in Quarterly and Annual Reports — ITRASHRA’12IRANNOTICE2,746
RegistrationsMAApplications for Municipal Advisor RegistrationMA8411,109
RegistrationsMAAnnual Updates of a Municipal Advisor’s RegistrationMA-A1,400
RegistrationsMA-IInformation Regarding Natural Persons Who Engage in Municipal Advisory ActivitiesMA-I7,1456,668
RegistrationsMA-WNotices of Withdrawal from Registration as a Municipal AdvisorMA-W263
FilingsRegistrations of Municipal Securities DealersMSD44410
OrdersCancellations of Registered Municipal Securities Dealers by SEC OrderMSDCO22
Registrations15Bc3-1Notices of Withdrawal from Registration as a Municipal Securities DealerMSDW80
RegistrationsN-1Registration Statements by Open-End Management Investment CompaniesN-12189
RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A1,8272,704
RegistrationsN-1ARegistration Statements by Open-End Management Investment CompaniesN-1A EL361466
RegistrationsN-2Registration Statements by Closed-End Investment CompaniesN-23,4715,327
RegistrationsN-2Registrations of Additional SecuritiesN-2MEF228
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-42,1701,928
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-6617441
FormsN-6C9N-6C9
ReportsN-6FNotices of Intentions to Elect Business-Development-Company StatusN-6F13262
RegistrationsN-8ANotices of RegistrationsN-8A4,073574
RegistrationsN-8B-2Registration Statements by Unit Investment TrustsN-8B-2182172
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-8F2,7731,276
FilingsN-8F NoticesN-8F NTC1,449
FilingsN-8F OrdersN-8F ORDR1,604
RegistrationsN-14Registration Statements by Open-End Investment Companies (Business Combinations)N-143,1932,123
RegistrationsN-14Registration Statements by Closed-End Investment Companies (Business Combinations)N-14 8C225267
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-18F11,24030
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-21,52351
Ownership23c-3(b) OnlyNotices of Periodic Repurchase OffersN-23C3A1,71525
Ownership23c-3(c) OnlyNotices of Periodic Repurchase OffersN-23C3B3963
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-210,741
Reports30d-1Annual and Semi-Annual Reports Mailed to ShareholdersN-30D70,9571,055
ReportsN-54ANotices of Elections by Business Development CompaniesN-54A2668
ReportsN-54CNotices of Withdrawal from Registration by Business Development CompaniesN-54C1794
ReportsN-CENAnnual Reports by Registered Investment CompaniesN-CEN2,683254
ReportsN-CENAnnual Reports by Registered Investment Companies (Late Filings)NT N-CEN31
ReportsN-CRCurrent Reports of Money Market Funds’ Material EventsN-CR506
ReportsN-CSRCertified Annual Shareholder Reports by Management Investment CompaniesN-CSR57,0782,845
ReportsN-CSRCertified Semi-Annual Shareholder Reports by Management Investment CompaniesN-CSRS48,853890
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-MFP212,745777
ReportsN-MFPMonthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings)NT N-MFP2197
Letters14a-8SEC No-Action LettersNO ACT9,085
FormsNPORT-EXNPORT-EX
FormsNPORT-PNPORT-P
ReportsN-PXProxy Voting Record Annual Reports by Management Investment CompaniesN-PX46,1281,728
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-Q92,624993
RegistrationsNRSROAnnual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO-CE3223
ReportsNRSROAnnual Financial and Other Reports by Nationally Recognized Statistical Rating OrganizationsNRSRO-FR
RegistrationsNRSROUpdates of Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-UPD117
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-A73,4064,004
ReportsN-SARSemi-Annual-Transition Reports by Money-Management CompaniesNSAR-AT20216
ReportsN-SARAnnual Reports by Money-Management CompaniesNSAR-B73,5426,355
ReportsN-SARAnnual-Transition Reports by Money-Management CompaniesNSAR-BT68954
ReportsN-SARAnnual Reports by Unit Investment TrustsNSAR-U16,570351
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-K41,700657
Reports12b-25Notices of Late Filings of Form 10-K (Late Notices)NTN 10K1,580
Reports12b-25Notices of Late Filings of Form 10-QNT 10-Q68,499581
Reports12b-25Notices of Late Filings of Form 10-Q (Late Notices)NTN 10Q2,302
Reports12b-25Notices of Late Filings of Form 11-KNT 11-K1,64516
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-F1,47426
Reports12b-25Notices of Late Filings of Form 20-F (Late Notices)NTN 20F37
Reports12b-25Notices of Late Filings of Form N-CENNT-NCEN50
Reports12b-25Notices of Late Filings of Form N-CEN (Late Notices)NTFNCEN10
Reports12b-25Notices of Late Filings of Form N-CSRNT-NCSR33322
Reports12b-25Notices of Late Filings of Form N-CSR (Late Notices)NTFNCSR75
Reports12b-25Notices of Late Filings of Form N-SARNT-NSAR2,590116
Reports12b-25Notices of Late Filings of Form N-SAR (Late Notices)NTFNSAR190
FormsOCOC
Filings40-OIP NoticesOIP NTC62
Filings40-OIP OrdersOIP ORDR56
RegistrationsSA §8(c)Post-Effective AmendmentsPOS 8C2,035
Registrations462(b)Post-Effective AmendmentsPOS462B215
Registrations462(c)Post-Effective AmendmentsPOS462C83
RegistrationsPost-Effective AmendmentsPOS AM28,929
RegistrationsU-1Post-Effective Amendments to U-1sPOS AMC1,182
RegistrationsPost-Effective AmendmentsPOS AMI5,971
RegistrationsPost-Effective Amendments to S-3ASRs and F-3ASRsPOSASR1,675
RegistrationsPost-Effective Amendments to Add ExhibitsPOS EX3,556
Proxies13E-3Preliminary Proxy Solicitation Materials – Going-Private Transaction StatementsPRE13E3173290
Proxies14APreliminary Proxy Solicitation MaterialsPRE 14A36,124
Proxies14CPreliminary Proxy Information StatementsPRE 14C8,947
Proxies14AAdditional Preliminary Proxy Solicitation MaterialsPREA14A16
Proxies14CAdditional Preliminary Proxy Information StatementsPREA14C1
Proxies14APreliminary Proxy Solicitation Materials – Contested SolicitationsPREC14A2,436
Proxies14CPreliminary Proxy Information Statements – Contested SolicitationsPREC14C63
Proxies14APreliminary Proxy Solicitation Materials – Mergers and AcquisitionsPREM14A4,574
Proxies14CPreliminary Proxy Information Statements – Mergers and AcquisitionsPREM14C663
Proxies14APreliminary Non-Management Proxy Solicitation Materials – Non-Contested SolicitationsPREN14A364
Proxies14ARevised Preliminary Proxy Solicitation MaterialsPRER14A10,684
Proxies14CRevised Preliminary Proxy Information StatementsPRER14C2,409
Proxies14APreliminary Proxy Solicitation Materials – Special MeetingsPRES14A3,944
Proxies14CPreliminary Proxy Information Statements – Special MeetingsPRES14C129
Proxies14ARevised Preliminary Non-Management Proxy Solicitation Materials – Contested Solicitations and Other SituationsPRRN14A1,981
FormsPWR-ATTPWR-ATT
Proxies14a-6(g)Notices of Exempt Proxy SolicitationsPX14A6G1,323
Proxies14a-6(n)Notices of Exempt Preliminary Proxy Roll-Up CommunicationsPX14A6N35
ReportsBW – 2Quarterly Reports by the International Bank for Reconstruction and Development (World Bank)QRTLYRPT1112
RegistrationsNotices of Qualification — Reg. A / A+QUALIF631
RegistrationsDNotices of Exempt Offerings of SecuritiesREGDEX128,23142,440
FilingsInitial Undertakings of Records for Non-Resident Brokers, Dealers and Investment AdvisersREG-NR622
Orders§12(j)SEC Orders Revoking Securities Exchange Act RegistrationREVOKED5,198
RegistrationsRegistration Withdrawal RequestsRW11,428
RegistrationsRegistration Withdrawal (Withdraw Duplicate) RequestsRW WD389
RegistrationsS-1Registration Statements (General Form)S-118,04249,038
RegistrationsS-1Registrations of Additional SecuritiesS-1MEF1,385
RegistrationsS-2Registrations of SecuritiesS-29781,457
RegistrationsS-2Registrations of Additional SecuritiesS-2MEF73
RegistrationsS-3Registration Statements for Securities Offered Pursuant to TransactionsS-334,14128,339
RegistrationsS-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned IssuersS-3ASR6,602
RegistrationsS-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansS-3D9295
RegistrationsS-3Post-Effective Amendments to S-3DsS-3DPOS631
RegistrationsS-3Registrations of Additional SecuritiesS-3MEF1,236
RegistrationsS-4Registrations of Securities Issued in Business-Combination TransactionsS-414,06518,953
RegistrationsS-4Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding CompaniesS-4EF7631
RegistrationsS-4Registrations of Additional SecuritiesS-4MEF146
RegistrationsS-4Post-Effective Amendments to S-4sS-4 POS296
RegistrationsS-6Registration Statements by Unit Investment TrustsS-619,2387,879
RegistrationsS-6Registration Statements by Unit Investment TrustsS-6EL241,398359
RegistrationsS-8Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit PlansS-880,04018
RegistrationsS-8Post-Effective Amendments to S-8sS-8 POS31,360
RegistrationsS-11Registration Statements by Real Estate CompaniesS-111,0763,365
RegistrationsS-11Registrations of Additional SecuritiesS-11MEF82
RegistrationsS-20Registration Statements for Standardized OptionsS-2065
RegistrationsBRegistration Statements by Foreign Governments and Political SubdivisionsS-B312191
RegistrationsSB-1Registrations of Securities of Small-Business IssuersSB-1151359
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 13D55,421115,369
Ownership13E-1Tender-Offer Transaction StatementsSC 13E12313
Ownership13E-3Tender-Offer Statements – Going-Private TransactionsSC 13E32,3707,935
Ownership13E-4Tender-Offer Statements – Issuer Tender OffersSC 13E47341,250
Ownership13E-4FTender-Offer Statements – Issuer Tender OffersSC13E4F1624
Ownership13GStatements of Beneficial OwnershipSC 13G192,340342,778
Ownership14D-1Tender-Offer Statements – Third-Party Tender OffersSC 14D11,2715,205
Ownership14D-1FTender-Offer Statements – Third-Party Tender OffersSC14D1F44145
Ownership14D-9Tender-Offer Solicitation/Recommendation StatementsSC 14D94,1539,089
Ownership14D-9CTender-Offer Solicitation/Recommendation Statements – Preliminary CommunicationsSC14D9C2,282
Ownership14D-9FTender-Offer Solicitation/Recommendation Statements – Preliminary Communications – ForeignSC14D9F4040
Ownership14F-1Statements re: Changes in Majority of DirectorsSC 14F12,198226
Proxies14NInformation from Certain Nominating ShareholdersSC 14N65
Proxies14N-SSolicitations re: Either the Formation of a Nominating Shareholder Group or a NominationSC 14N-S
OwnershipTOTender-Offer Statements – Preliminary CommunicationsSC TO-C5,121
OwnershipTOTender-Offer Statements – Issuer Tender OffersSC TO-I8,45414,032
OwnershipTOTender-Offer Statements – Third-Party Tender OffersSC TO-T2,52611,774
Reports13p-1Specialized Disclosure Reports Relating to the Use of Conflict MineralsSD6,09222
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
RegistrationsSales ExhibitsSE3,559
OrdersSEC Staff ActionsSEC ACTION40
LettersSEC Staff LettersSEC LETTER2
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-3113187
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
RegistrationsSales LiteratureSL9
Reports15d-2Special Financial ReportsSP 15D2562
OrdersSEC Stop OrdersSTOP ORDER58
RegistrationsVoluntary Supplemental Materials Filed by Foreign IssuersSUPPL55,585
RegistrationsT-3Applications for Qualification of a Trust IndentureT-3609594
FormsT-6T-6
RegistrationsTA-1Applications for Registration as a Transfer AgentTA-13643,933
ReportsTA-2Annual Reports of Transfer Agents’ ActivitiesTA-28,110705
OrdersCancellations of Registered Transfer Agents by SEC OrderTACO128
RegistrationsTA-WNotices of Withdrawal from Registration as a Transfer AgentTA-W477
FilingsNotices of Reliance on Temporary Hardship ExemptionTH135
RegistrationsTesting-the-Waters Filings — Reg. A / A+TTW288
RegistrationsU-1Applications and DeclarationsU-19692,309
RegistrationsU-3A-2Statements by Holding Companies Claiming ExemptionU-3A-2985163
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-7D3139
ReportsU-9C-3Quarterly Reports by Energy or Gas-Related CompaniesU-9C-363616
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
FormsU-13-1U-13-1
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
RegistrationsS-6Initial Undertakings to File ReportsUNDER411
LettersComment and Other Letters from the SEC [ a.k.a. LETTER ]UPLOAD151,122
FormsU-R-1U-R-1
RegistrationsWithdrawal Requests for Materials Previously Filed — Reg. A / A+WDL-REQ62
ReportsX-17A-5Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and DealersX-17A-581,8885,613
________
T This Filing/Form Type is obsolete or no longer made public. Totals 11,445,6541,291,085
This Filing/Form Type pertains to multiple Forms, Schedules, Rules, Regulations or Acts’ Sections.Top

 

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