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 Form, Sch.,
Rule or Reg.
Filing /
Form Type
Filings
CategoryDescriptionOriginal  /Amended
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 • Registrations  Applications for Registration or Exemption from Registration as a Securities Exchange 1901,653 
 • Registrations 1-A Offering Statements — Reg. A/A+ 1-A°1,2583,033 
 • Registrations  Post-Qualification Amendments of Form 1-A Offering Statements — Reg. A/A+ 1-A POS×808– 
 • Registrations  Withdrawals of Form 1-A Offering Statements — Reg. A/A+ 1-A-W16322 
 • Reports E Notices by Small Business Investment and Business Development Companies 1-E15278 
 • Registrations E Ads by Small Business Investment and Business Development Companies 1-E AD2– 
 • Reports 1-K Annual Reports — Reg. A 1-K×41329 
 • Reports 1-SA Semi-Annual Reports — Reg. A 1-SA37124 
 • Reports 1-U Current Reports — Reg. A 1-U1,63915 
 • Reports 1-Z Exit Reports — Reg. A 1-Z×964 
 • Reports 1-Z Withdrawals of Exit Reports — Reg. A 1-Z-W2– 
 • Reports 2-A Reports of Sales of Securities — Reg. A/A+ 2-A5281 
 • Reports 2-A Final Reports of Sales of Securities — Reg. A/A+ 2-AF36– 
 • Reports E Reports of Sales of Securities 2-E8711 
 • Ownership 3 Initial Statements of Beneficial Ownership of Securities by Insiders 3°313,38017,479 
 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities by Insiders 4°3,587,371110,944 
 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities by Insiders 5°105,3364,031 
 • Registrations ICA Applications for Exemption Orders – ’40-6B’ SEC Notices 
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 6B NTC25– 
 • Registrations ICA Applications for Exemption Orders – ’40-6B’ SEC Orders 
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 6B ORDR25– 
 • Reports 6-K Reports by Foreign Issuers 6-K°411,6705,296 
 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12B19,7164,462 
 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12G9,9852,354 
 • Registrations ICA Applications for Deregistration Orders – ’40-8F-2’ SEC Notices 
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 8F-2 NTC3– 
 • Registrations ICA Applications for Deregistration Orders – ’40-8F-2’ SEC Orders 
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 8F-2 ORDR2– 
 • Reports 8-K Current Reports 8-K°1,620,06175,057 
 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12B°24727 
 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12G3625115 
 • Reports 8-K Notices of Assumptions of Duty to Report by Successor Issuers 8-K15D5702 
 • Registrations  Consents to Service of Process by Notice – Non-Resident Broker-Dealer Corporations 8-M66– 
 • Registrations  Consents to Service of Process by Notice – Non-Resident Broker-Dealer Partnerships 9-M13– 
 • Registrations 10 Registrations of Securities (General Form) 10-12B°7771,573 
 • Registrations 10 Registrations of Securities (General Form) 10-12G°2,5744,416 
 • Reports 10-D Distribution Reports by Asset-Backed Issuers 10-D°68,4782,292 
 • Reports 10-K Annual Reports 10-K°189,30941,818 
 • Reports 10-K Annual-Transition Reports 10-KT°502117 
 • Reports 10-Q Quarterly Reports 10-Q°586,81143,644 
 • Reports 10-Q Quarterly-Transition Reports 10-QT°20636 
 • Reports 11-K Annual Reports by Employee Stock Purchase, Savings and Similar Plans 11-K40,947972 
 • Reports 11-K Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans 11-KT962 
 • Ownership 13F Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested 13FCONP1,27190 
 • Ownership 13F Quarterly Holdings and Combination Reports by Money Managers 13F-HR°275,60224,958 
 • Ownership 13F Quarterly Holdings Notices by Money Managers 13F-NT°90,7731,804 
 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12B5,439109 
 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12G13,121409 
 • Reports 15 Notices of Suspensions of Duty to File Reports 15-15D15,938215 
 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 15F-12B19113 
 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 15F-12G23412 
 • Reports 15F Notices of Foreign Issuers’ Suspensions of Duty to File Reports 15F-15D1283 
 • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 18-12B4– 
 • Reports 18-K Annual Reports by Foreign Governments and Political Subdivisions 18-K°7042,228 
 • Reports 19b-4(e) Info Required of SROs Listing and Trading New Derivative Securities Products 19B-4E26,818– 
 • Reports 20-F Annual Reports by Foreign Non-Canadian Issuers 20-F°15,7453,452 
 • Registrations 20-F Registrations of Securities of Foreign Non-Canadian Issuers 20FR12B160155 
 • Registrations 20-F Registrations of Securities of Foreign Non-Canadian Issuers 20FR12G°380595 
 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 24F-2NT177,4723,164 
 • Reports 25 Notices by Issuers of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities 254,00642 
 • Reports 25 Notices by Securities Exchanges of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities 25-NSE×10,464237 
 • Registrations TIA Applications to Exempt any Person, Registration Statement, Indenture Security or Transaction (or any Class or Classes of such) from One or More Provisions of the Trust Indenture Act 39-304D91 
 • Registrations TIA Applications Regarding a Conflict of Interest under the Trust Indenture Act 39-310B2– 
 • Registrations ICA Applications for Exemption Orders by Employees’ Investment Companies 40-6B49169 
 • Registrations ICA §6(c) Applications for Exemptions and Other Relief by Investment Companies 40-6C433529 
 • Reports 8b-25(a) Applications for Extensions of Time to File Reports by Investment Companies 40-8B25111– 
 • Registrations O-2 Applications for Deregistration Orders by Investment Companies 40-8F-21930 
 • Registrations ICA Investment Company Registrations Withdrawn by SEC Order 
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 40-8FC31 
 • Reports 17f-1 Certificates of Accounting of Securities in the Custody of Investment Companies 40-17F152417 
 • Reports 17f-2 Certificates of Accounting of Securities in the Custody of Investment Companies 40-17F218,319130 
 • Reports 17g-1(g) Fidelity Bonds for Investment Companies 40-17G25,6102,165 
 • Reports 17g-1 Claims and Settlements re: Investment Companies 40-17GCS16– 
 • Reports 24b-2 Sales Literature from Investment Companies 40-24B22,94386 
 • Reports ICA §33 Stockholder Derivative Actions re: Investment Companies 40-331,0408 
 • Registrations IAA §202 Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act 40-202A3334 
 • Registrations IAA §203 Exemptions from the Prohibition on Registration as an Investment Adviser 40-203A22 
 • Registrations IAA §205 Applications for Performance Fee Exemptions by Investment Advisers 40-205E32 
 • Registrations IAA §206(3) Applications for Exemptions by Investment Advisers 40-206A4739 
 • Registrations ICA Applications for Exemption Orders and Other Relief by Investment Companies 40-APP1,8642,869 
 • Registrations 40-F Registration Statements and Annual Reports by Canadian Issuers 40-F°2,646495 
 • Registrations 40-F Registrations of Securities of Canadian Issuers 40FR12B12662 
 • Registrations 40-F Registrations of Securities of Canadian Issuers 40FR12G278 
 • Registrations ICA Applications for Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment Companies 40-OIP81150 
 • Reports ICA Reports Required from Certain Applicants for Exemptions from the Investment Company Act 40-RPT2– 
 • Ownership 144 Notices of Proposed Sales of Securities by Insiders 1447,195284 
 • Registrations 1-A Offering Statements – Info Previously Omitted — Reg. A/A+ 253G157– 
 • Registrations 1-A Offering Statements – Info Substantively Changed or Added — Reg. A/A+ 253G21,670– 
 • Registrations 1-A Offering Statements – Info Previously Omitted – Info Substantively Changed or Added — Reg. A/A+ 253G38– 
 • Registrations 1-A Offering Statements – Info Previously Omitted – Info Substantively Changed or Added (Late Filings) — Reg. A/A+ 253G43– 
 • Registrations T-1 Statements of Eligibility by Corporations Designated to Act as Trustees 305B21,87520 
 • Registrations 424(a) Prospectuses – Info Substantively Changed or Added 424A1,551– 
 • Registrations 424(b)(1) Prospectuses – Info Previously Omitted 424B16,011– 
 • Registrations 424(b)(2) Prospectuses – Primary Offerings or Shelf Securities 424B2252,221– 
 • Registrations 424(b)(3) Prospectuses – New Facts or Events 424B3°160,502– 
 • Registrations 424(b)(4) Prospectuses – Info Previously Omitted – New Facts or Events 424B4°10,148– 
 • Registrations 424(b)(5) Prospectuses – Primary Offerings or Shelf Securities – New Facts or Events 424B5°59,409– 
 • Registrations 424(b)(7) Prospectuses – Selling Security Holders – Info Previously Omitted 424B73,701– 
 • Registrations 424(b)(8) Prospectuses (Late Filings) 424B81,126– 
 • Registrations 424(h) Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed 424H73157 
 • Reports 425 Prospectuses and Communications – Mergers 425°67,270– 
 • Registrations 485(a) Post-Effective Amendments of Form N-1 and N-1A Registrations 485APOS°39,860– 
 • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations 485BPOS°183,213– 
 • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates 485BXT21,726– 
 • Registrations 486(a) Post-Effective Amendments of Form N-2 Registrations 486APOS212– 
 • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations 486BPOS817– 
 • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates 486BXT50– 
 • Registrations 487 Pre-Effective Pricing Amendments of Registration Statements 48719,074– 
 • Registrations 497 Definitive Materials 497°364,329– 
 • Reports 497 & 482(c) Advertising by Certain Investment Companies 497AD3,756– 
 • Registrations 497(h)(2) Prospectuses of Certain Closed-End Investment Companies 497H283– 
 • Registrations 497(j) Certifications of No Change in Definitive Materials 497J118,645– 
 • Registrations 497(k) Summary Prospectuses of Certain Open-End Investment Companies 497K209,647– 
 • Reports SEA §15G Asset-Backed Securitizer Reports ABS-15G11,2743,354 
 • Registrations  Asset-Backed Securities [XML] Exhibits ABS-EE°8,872143 
 • Registrations  Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed ADN-MTL50– 
 • Reports IAA Certificates of Accounting of Client Securities and Funds in Possession or Custody of Investment Advisers ADV-E2,451– 
 • Reports IAA Applications for Continuing Hardship Exemptions by Investment Advisers ADV-H-C8– 
 • Reports IAA Applications for Temporary Hardship Exemptions by Investment Advisers ADV-H-T73– 
 • Registrations IAA Appointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment Advisers ADV-NR677– 
 • Reports  Annual Reports by International Development Banks ANNLRPT°1071 
 • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Notices 
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 APP NTC878– 
 • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Orders 
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 APP ORDR846– 
 • Registrations ICA Withdrawals of Applications for Exemption Orders and Other Relief APP WD47512 
 • Registrations ICA Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grant 
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 APP WDG72– 
 • Reports  Annual Reports to Security Holders ARS°36,70838 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Initial Info ATS-N×4– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Correcting Amendments ATS-N/CA×18– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Material Amendments ATS-N/MA×54– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Updating Amendments ATS-N/UA×140– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Notices of Cessation ATS-N-C×6– 
 • Registrations  Amendment Withdrawal Requests AW3,692– 
 • Registrations  Amendment Withdrawal Requests – Withdraw Duplicate AW WD104– 
 • Registrations C Crowdfunding Offering Statements C×2,9493,129 
 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals C/A-W×9– 
 • Registrations C-W Crowdfunding Offering Statement Withdrawals C-W×281– 
 • Reports C-AR Crowdfunding Annual Reports C-AR×1,01650 
 • Reports C-AR-W Crowdfunding Annual Report Withdrawals C-AR-W×6– 
 • Reports C-TR Crowdfunding Terminations of Reporting C-TR×162– 
 • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals C-TR-W×2– 
 • Registrations C-U Crowdfunding Progress Updates C-U×1,211– 
 • Registrations C-U-W Crowdfunding Progress Update Withdrawals C-U-W×6– 
 • Ownership CB Tender-Offer, Exchange-Offer and Rights-Offering Notices re: Foreign Issuers CB1,6201,512 
 • Registrations CERT Certifications by Securities Exchanges Approving Securities for Listing CERT2,408– 
 • Registrations Funding Portal Applications for Registration as a Crowdfunding Portal CFPORTAL×72257 
 • Registrations Funding Portal Applications for Withdrawal from Registration as a Crowdfunding Portal CFPORTAL-W×9– 
 • Letters  Comment-Response and Other Letters to the SEC 
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  [ a.k.a. Document COVER ]  (Delayed Release)
 CORRESP162,788– 
 • Orders  SEC Confidential Treatment Orders 
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 CT ORDER15,952– 
 • Registrations D Notices of Exempt Offerings of Securities — Reg. D D×254,712174,283 
 • Proxies 14A Definitive Proxy Statements DEF 14A°165,618– 
 • Proxies 14C Definitive Proxy Info Statements DEF 14C12,096– 
 • Proxies 14A Additional Definitive Proxy Soliciting Materials DEFA14A°86,399– 
 • Proxies 14C Additional Definitive Proxy Info Statements DEFA14C357– 
 • Proxies 14A Definitive Proxy Statements for Contested Solicitations DEFC14A1,898– 
 • Proxies 14C Definitive Proxy Info Statements for Contested Solicitations DEFC14C25– 
 • Proxies 14A Definitive Proxy Statements for Mergers and Acquisitions DEFM14A5,395– 
 • Proxies 14C Definitive Proxy Info Statements for Mergers and Acquisitions DEFM14C427– 
 • Proxies 14A Definitive Non-Management Proxy Statements DEFN14A304– 
 • Proxies 14A Revised Definitive Proxy Soliciting Materials DEFR14A5,382– 
 • Proxies 14C Revised Definitive Proxy Info Statements DEFR14C409– 
 • Registrations  Registration Effectiveness-Delaying Amendments DEL AM1,094– 
 • Proxies 14A Additional Definitive Non-Management Proxy Soliciting Materials DFAN14A11,997– 
 • Proxies 14A Revised Definitive Non-Management Proxy Statements DFRN14A324– 
 • Registrations 1-A Draft Offering Statements — Reg. A/A+ DOS×150169 
 • Letters  Comment-Response and Draft-Offering-Statement Letters to the SEC 
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  (Delayed Release)
 DOSLTR147– 
 • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Issuers DRS°2,4863,116 
 • Letters  Comment-Response and Draft-Registration-Statement Letters to the SEC 
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  (Delayed Release)
 DRSLTR2,563– 
 • Reports  Distribution Reports of Primary Obligations by International Development Banks DSTRBRPT48119 
 • Registrations  SEC Notices of Effectiveness 
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 EFFECT×52,830– 
 • Registrations F-1 Registration Statements by Foreign Issuers F-1°1,4494,007 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-1 Registration F-1MEF171– 
 • Registrations F-3 Registration Statements by Foreign Issuers for Securities Offered Pursuant to Transactions F-3°1,4441,252 
 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Issuers F-3ASR°586– 
 • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-3D56– 
 • Registrations  Post-Effective Amendments of ‘F-3D’ Registrations F-3DPOS36– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-3 Registration F-3MEF31– 
 • Registrations F-4 Registration Statements by Foreign Issuers for Securities Issued in Mergers – Not Effective Immediately F-4°7331,379 
 • Registrations F-4 Registration Statements by Foreign Issuers for Securities Issued in Mergers – Effective Immediately F-4EF1– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-4 Registration F-4MEF8– 
 • Registrations  Post-Effective Amendments of Form F-4 Registrations F-4 POS22– 
 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Not Effective Immediately F-61,737167 
 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Effective Immediately F-6EF6,619– 
 • Registrations  Post-Effective Amendments of ‘F-6EF’ Registrations F-6 POS2,316– 
 • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights F-74310 
 • Registrations  Post-Effective Amendments of Form F-7 Registrations F-7 POS5– 
 • Registrations F-8 Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers and Mergers F-83251 
 • Registrations  Post-Effective Amendments of Form F-8 Registrations F-8 POS13– 
 • Registrations F-10 Registration Statements by Canadian Issuers – Not Effective Immediately F-10778841 
 • Registrations F-10 Registration Statements by Canadian Issuers – Effective Immediately F-10EF7– 
 • Registrations  Post-Effective Amendments of ‘F-10EF’ Registrations F-10POS57– 
 • Registrations F-80 Registrations of Securities of Canadian Issuers for Securities to be Issued in Exchange Offers and Mergers F-802622 
 • Registrations  Post-Effective Amendments of Form F-80 Registrations F-80POS19– 
 • Registrations F-N Appointments of Agents for Service of Process by Foreign Financial Entities F-N37224 
 • Reports  Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers FOCUSN30,0341,060 
 • Registrations 163 / 433 Free-Writing Prospectuses FWP149,142– 
 • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities F-X2,624278 
 • Reports  Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers G-405633 
 • Reports  Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers G-405N501 
 • Registrations  Notices of Activities as a Government Securities Broker or Dealer by Financial Institutions G-FIN22254 
 • Registrations  Notices of Withdrawal as a Government Securities Broker or Dealer by Financial Institutions G-FINW16– 
 • Registrations ID Applications for EDGAR Access – New Central Index Key (CIK) ID-NEWCIK1– 
 • Reports ITRASHRA Notices of Iran/Syria Disclosures in Quarterly and Annual Reports IRANNOTICE3,123– 
 • Registrations MA Applications for Municipal Advisor Registration MA×8781,476 
 • Registrations MA Annual Updates of a Municipal Advisor’s Registration MA-A×1,978– 
 • Registrations MA-I Info Regarding Natural Persons Who Engage in Municipal Advisory Activities MA-I×7,8468,379 
 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor MA-W×325– 
 • Registrations  Registrations of Municipal Securities Dealers MSD44425 
 • Registrations 15Bc3-1 Notices of Withdrawal from Registration as a Municipal Securities Dealer MSDW82– 
 • Registrations N-1 Registration Statements by Open-End Investment Companies N-12189 
 • Registrations N-1A Registration Statements by Open-End Investment Companies N-1A°1,8682,772 
 • Registrations N-2 Registration Statements by Closed-End Investment Companies N-23,7385,628 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-2 Registration N-2MEF243– 
 • Registrations N-4 Registration Statements for Separate Accounts – Unit Investment Trusts N-42,2542,004 
 • Registrations N-5 Registration Statements by Small-Business Investment Companies N-5910 
 • Registrations N-6 Registration Statements for Separate Accounts – Unit Investment Trusts N-6676503 
 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status N-6F14162 
 • Registrations N-8A Notices of Registrations by Investment Companies N-8A4,248603 
 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts N-8B-2184172 
 • Registrations N-8B-4 Registration Statements by Face-Amount Certificate Companies N-8B-43– 
 • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies N-8F3,0291,393 
 • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Notices 
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 N-8F NTC1,682– 
 • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Orders 
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 N-8F ORDR1,826– 
 • Registrations N-14 Registration Statements by Open-End Investment Companies – Mergers N-143,4312,272 
 • Registrations N-14 Registration Statements by Closed-End Investment Companies – Mergers N-14 8C255291 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-14 Registration N-14MEF4– 
 • Reports 18f-1 Notices of Elections by Open-End Investment Companies N-18F11,25431 
 • Ownership 23c-2 Notices of Intentions to Call or Redeem their own Securities by Closed-End Investment Companies N-23C-21,61555 
 • Ownership N-23c-3 Notices of Periodic Repurchase Offers by Closed-End Investment Companies N-23C3A2,08927 
 • Ownership N-23c-3 Notices of Discretionary Repurchase Offers by Closed-End Investment Companies N-23C3B4023 
 • Ownership N-23c-3 Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment Companies N-23C3C4847 
 • Reports 30b-2 Periodic and Interim Reports Mailed to Shareholders of Investment Companies N-30B-211,415– 
 • Reports 30d-1 Annual and Semi-Annual Reports Mailed to Shareholders of Investment Companies N-30D71,2731,057 
 • Reports N-54A Notices of Elections by Business Development Companies N-54A2799 
 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies N-54C1894 
 • Reports N-CEN Annual Reports by Investment Companies N-CEN×6,8921,008 
 • Reports N-CEN Annual Reports by Investment Companies (Late Filings) NT N-CEN°137– 
 • Reports N-CR Current Reports of Material Events by Money-Market Funds N-CR6413 
 • Reports N-CSR Certified Annual Shareholder Reports by Investment Companies N-CSR°61,1872,968 
 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Investment Companies N-CSRS°54,197942 
 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds N-MFP2×20,215931 
 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) NT N-MFP2°267– 
 • Letters 14a-8 SEC No-Action Letters 
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 NO ACT9,085– 
 • Reports N-PORT Portfolio Holdings Schedules by Investment Companies 
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  [ now Exhibit NPORT-EX of Filing NPORT-P ]
 NPORT-EX7,21014 
 • Reports N-PORT Portfolio Holdings Schedules by Investment Companies (Late Filings) 
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  [ now Exhibit NPORT-EX of Filing NPORT-P ]
 NT NPORTEX85– 
 • Reports N-PORT Monthly Portfolio Investments Reports (made Public Quarterly) by Investment Companies NPORT-P×41,224672 
 • Reports N-PORT Monthly Portfolio Investments Reports (made Public Quarterly) by Investment Companies (Late Filings) NT NPORT-P×809– 
 • Proxies N-PX Proxy Voting Records – Annual Reports by Investment Companies N-PX51,3461,836 
 • Reports N-Q Quarterly Portfolio Holdings Schedules by Investment Companies N-Q°94,9271,010 
 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations NRSRO-CE5126 
 • Registrations NRSRO Updates of Registrations by Nationally Recognized Statistical Rating Organizations NRSRO-UPD157– 
 • Reports 12b-25 Notices of Late Filings of Form 10-D Distribution Reports NT 10-D91 
 • Reports 12b-25 Notices of Late Filings of Form 10-D Distribution Reports (Late Notices) NTN 10D5– 
 • Reports 12b-25 Notices of Late Filings of Form 10-K Annual Reports NT 10-K43,036689 
 • Reports 12b-25 Notices of Late Filings of Form 10-K Annual Reports (Late Notices) NTN 10K1,580– 
 • Reports 12b-25 Notices of Late Filings of Form 10-Q Quarterly Reports NT 10-Q°70,655602 
 • Reports 12b-25 Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices) NTN 10Q2,302– 
 • Reports 12b-25 Notices of Late Filings of Form 11-K Annual Reports NT 11-K1,65516 
 • Reports 12b-25 Notices of Late Filings of Form 11-K Annual Reports (Late Notices) NTN 11K18– 
 • Reports 12b-25 Notices of Late Filings of Form 20-F Annual Reports NT 20-F1,61726 
 • Reports 12b-25 Notices of Late Filings of Form 20-F Annual Reports (Late Notices) NTN 20F37– 
 • Reports 12b-25 Notices of Late Filings of Form N-CEN Annual Reports NT-NCEN572 
 • Reports 12b-25 Notices of Late Filings of Form N-CEN Annual Reports (Late Notices) NTFNCEN16– 
 • Reports 12b-25 Notices of Late Filings of Form N-CSR Shareholder Reports NT-NCSR34525 
 • Reports 12b-25 Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices) NTFNCSR78– 
 • Reports 12b-25 Notices of Late Filings of ‘SP 15D2’ Special Financial Reports NT 15D287 
 • Reports 12b-25 Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices) NTN15D23– 
 • Registrations ICA Applications for Exemption Orders – ’40-OIP’ SEC Notices 
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 OIP NTC65– 
 • Registrations ICA Applications for Exemption Orders – ’40-OIP’ SEC Orders 
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 OIP ORDR59– 
 • Registrations SA §8(c) Post-Effective Amendments of Certain Investment Company Registration Statements POS 8C2,198– 
 • Registrations  Post-Effective Amendments of Rule 462(b) Registration Statements POS462B219– 
 • Registrations  Post-Effective Amendments of Rule 462(c) Registration Statements POS462C83– 
 • Registrations  Post-Effective Amendments of Registration Statements POS AM°30,016– 
 • Registrations ICA Post-Effective Amendments of Investment Company Registration Statements POS AMI6,262– 
 • Registrations S-3ASR / F-3ASR Post-Effective Amendments of Automatic Shelf Registration Statements POSASR°1,852– 
 • Registrations 462(d) Post-Effective Amendments of Registration Statements to Add Exhibits POS EX°4,082– 
 • Proxies 14A Preliminary Proxy Statements PRE 14A°37,670– 
 • Proxies 14C Preliminary Proxy Info Statements PRE 14C9,359– 
 • Proxies 14A Preliminary Proxy Statements for Contested Solicitations PREC14A2,607– 
 • Proxies 14C Preliminary Proxy Info Statements for Contested Solicitations PREC14C63– 
 • Proxies 14A Preliminary Proxy Statements for Mergers and Acquisitions PREM14A4,760– 
 • Proxies 14C Preliminary Proxy Info Statements for Mergers and Acquisitions PREM14C678– 
 • Proxies 14A Preliminary Non-Management Proxy Statements PREN14A373– 
 • Proxies 14A Revised Preliminary Proxy Soliciting Materials PRER14A10,981– 
 • Proxies 14C Revised Preliminary Proxy Info Statements PRER14C2,462– 
 • Proxies 14A Revised Preliminary Non-Management Proxy Soliciting Materials for Contested Solicitations and Other Situations PRRN14A2,063– 
 • Proxies 14a-6(g) Notices of Exempt Non-Management Proxy Solicitations PX14A6G1,670– 
 • Proxies 14a-6(n) Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications PX14A6N40– 
 • Reports  Quarterly Reports by International Development Banks QRTLYRPT1343 
 • Registrations  SEC Notices of Qualification — Reg. A/A+ 
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 QUALIF×1,019– 
 • Registrations  Initial Undertakings to File Reports for Non-Resident Brokers, Dealers and Investment Advisers REG-NR672 
 • Registrations SEA §12(j) SEC Orders Revoking Registrations 
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 REVOKED5,743– 
 • Registrations  Registration Withdrawal Requests RW11,818– 
 • Registrations  Withdrawals of Registration Withdrawal Requests RW WD401– 
 • Registrations S-1 Registration Statements (General Form) S-1°19,30851,015 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-1 Registration S-1MEF1,603– 
 • Registrations S-3 Registration Statements for Securities Offered Pursuant to Transactions S-3°35,26628,764 
 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers S-3ASR°7,412– 
 • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans S-3D9485 
 • Registrations  Post-Effective Amendments of ‘S-3D’ Registrations S-3DPOS662– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-3 Registration S-3MEF1,270– 
 • Registrations S-4 Registrations of Securities Issued in Mergers S-4°14,43119,405 
 • Registrations S-4 Registrations of Securities Issued in Mergers Forming Bank and Savings & Loan Holding Companies S-4EF7731 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-4 Registration S-4MEF153– 
 • Registrations  Post-Effective Amendments of ‘S-4EF’ Registrations S-4 POS306– 
 • Registrations S-6 Registration Statements by Unit Investment Trusts S-620,7428,192 
 • Registrations S-8 Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit Plans S-883,34718 
 • Registrations  Post-Effective Amendments of Form S-8 Registrations S-8 POS33,902– 
 • Registrations S-11 Registration Statements by Real Estate Companies S-11°1,1083,429 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-11 Registration S-11MEF82– 
 • Registrations S-20 Registration Statements for Standardized Options S-2065 
 • Registrations B Registration Statements by Foreign Governments and Political Subdivisions S-B334206 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Schedule B Registration S-BMEF13– 
 • Ownership 13D Statements of Acquisitions of Beneficial Ownership by Non-Passive Investors SC 13D57,034121,197 
 • Ownership 13E-1 Tender-Offer Statements by Issuers SC 13E12313 
 • Ownership 13E-3 Tender-Offer Statements by Issuers for Going-Private Transactions SC 13E32,4248,092 
 • Ownership 13E-4F Tender-Offer Statements by Canadian Issuers SC13E4F1726 
 • Ownership 13G Statements of Acquisitions of Beneficial Ownership by Passive Investors SC 13G199,481359,816 
 • Ownership 14D-1F Tender-Offer Statements by Canadian Third Parties SC14D1F45147 
 • Ownership 14D-9 Tender-Offer Solicitation/Recommendation Statements SC 14D94,2399,343 
 • Ownership 14D-9C Tender-Offer Communications by Issuers re: Third-Party Offers SC14D9C2,371– 
 • Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers SC14D9F4040 
 • Ownership 14F-1 Statements re: Changes in the Majority of Directors SC 14F12,238230 
 • Proxies 14N Info from Certain Nominating Shareholders SC 14N86 
 • Ownership TO Tender-Offer Communications re: Issuer and Third-Party Offers SC TO-C5,345– 
 • Ownership TO Tender-Offer Statements by Issuers SC TO-I9,09314,978 
 • Ownership TO Tender-Offer Statements by Third Parties SC TO-T2,60312,068 
 • Reports 13p-1 Specialized Disclosure Reports Relating to the Use of Conflict Minerals SD8,21626 
 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository SDR×24 
 • Reports SE Separate Exhibits of Scanned Paper-Format Exhibits of Filings SE3,574– 
 • Letters  SEC Staff Actions 
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  [ a.k.a. Document ORDER ]
 SEC ACTION224– 
 • Letters  SEC Staff Letters 
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  [ a.k.a. Documents STAFF LETTER, REDACTED EXHIBIT, SERIOUS DEFICIENCIES & 14A-8 ]
 SEC LETTER599– 
 • Registrations SF-1 Registration Statements (General Form) by Issuers of Asset-Backed Securities SF-1311 
 • Registrations SF-3 Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities SF-3129202 
 • Registrations  Sales Literature SL9– 
 • Reports 15d-2 Special Financial Reports SP 15D2562 
 • Orders  SEC Stop Orders 
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 STOP ORDER59– 
 • Registrations SA §11(a) Supplemental Materials by Foreign Issuers {Voluntary} SUPPL55,780– 
 • Registrations T-3 Applications for Qualification of a Trust Indenture T-3625621 
 • Registrations TA-1 Applications for Registration as a Transfer Agent TA-1°4114,196 
 • Reports TA-2 Annual Reports of Transfer Agents’ Activities TA-2°8,527749 
 • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent TA-W°501– 
 • Reports TH Notices of Reliance on Temporary Hardship Exemption TH135– 
 • Registrations  Test-the-Waters Materials — Reg. A/A+ TTW288 
 • Letters  Comment and Other Letters from the SEC 
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  [ a.k.a. Document LETTER ]  (Delayed Release)
 UPLOAD159,397– 
 • Registrations  Withdrawal Requests for Materials Previously Filed — Reg. A/A+ WDL-REQ62– 
 • Reports X-17A-5 Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers X-17A-5°86,6545,779 
 
  Totals       11,812,693   1,246,492 
____________
 This Filing/Form Type pertains to multiple Forms
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, Schedules
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, Rules
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or Regulations
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of the Acts’ Sections.
° May contain, or be, an XMLª or XBRLª File.         (Most XMLª Files are rendered by using the SEC’s XSLTª Stylesheets –
× Must be, or contain, an XMLª or XBRLª File.         XBRLª Files are rendered by the SEC as IDEAª ‘R#’ Financial Reports.)
ª Acronyms: 
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      XML:  eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard.  ?xml?
      XBRL:  eXtensible Business Reporting Language — A financial-data-interchange standard, based on XML.  
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      XSLT:  eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML.  
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      IDEA:  Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data.  (See our XBRL page info.)  
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