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Form,Sch.,
RuleorReg.
Filing /
Form Type
Filings
CategoryDescriptionOriginal Amended
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RegistrationsApplications for Registration or Exemption from Registration as a National Securities Exchange1901,455
Registrations1-AOffering Statements— Reg. A/A+1-A1,1232,761
RegistrationsPost-Qualification Amendments of Form 1-A Offering Statements— Reg. A/A+1-A POS679
RegistrationsWithdrawals of Form 1-A Offering Statements— Reg. A/A+1-A-W14419
ReportsENotifications by Small Business Investment Companies and Business Development Companies1-E15278
RegistrationsESales Materials1-E AD2
Reports1-KAnnual Reports— Reg. A1-K27222
Reports1-SASemi-Annual Reports— Reg. A1-SA34320
Reports1-UCurrent Reports— Reg. A1-U1,28314
Reports1-ZExit Reports— Reg. A1-Z904
Reports1-ZWithdrawals of Exit Reports— Reg. 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 Securities3306,38417,245
Ownership4Statements of Changes in Beneficial Ownership of Securities43,508,684109,359
Ownership5Annual Statements of Changes in Beneficial Ownership of Securities5105,0854,021
RegistrationsICAApplications for Exemption Orders– ’40-6B’ SEC Notices6B NTC25
RegistrationsICAApplications for Exemption Orders– ’40-6B’ SEC Orders6B ORDR25
Reports6-KCurrent Reports by Foreign Issuers6-K400,3505,168
Registrations8-ARegistrations of Certain Classes of Securities8-A12B19,1924,413
Registrations8-ARegistrations of Certain Classes of Securities8A12BEF95
Registrations8-ARegistrations of Certain Classes of Securities8A12BT288
Registrations8-ARegistrations of Certain Classes of Securities8-A12G9,9612,351
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12B9429
Registrations8-BRegistrations of Securities of Certain Successor Issuers8-B12G6113
RegistrationsICAApplications for Deregistration Orders– ’40-8F-2’ SEC Notices8F-2 NTC3
RegistrationsICAApplications for Deregistration Orders– ’40-8F-2’ SEC Orders8F-2 ORDR2
Reports8-KCurrent Reports8-K1,584,20974,225
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12B23023
Registrations8-KNotices of Securities of Successor Issuers Deemed to be Registered8-K12G3623115
Reports8-KNotices of Assumptions of Duty to Report by Successor Issuers8-K15D5702
RegistrationsConsents to Service of Process by Notice– Non-Resident Broker-Dealer Corporations8-M66
RegistrationsConsents to Service of Process by Notice– Non-Resident Broker-Dealer Partnerships9-M13
Registrations10Registrations of Securities (General Form)10-12B7711,568
Registrations10Registrations of Securities (General Form)10-12G2,5344,363
Reports10-CReports by Issuers of Securities Quoted on NASDAQ10-C1,30525
Reports10-DDistribution Reports by Asset-Backed Issuers10-D64,6262,237
Reports10-KAnnual Reports10-K188,10441,191
Reports10-KAnnual Reports— Item 405– Reg. S-K10-K40520,2383,227
Reports10-KSBAnnual Reports by Small Businesses10KSB37,06211,939
Reports10-KSBAnnual Reports by Small Businesses— Item 405– Reg. S-K10KSB403,460629
Reports10-KAnnual-Transition Reports10-KT497114
Reports10-KAnnual-Transition Reports— Item 405– Reg. S-K10KT4058217
Reports10-QQuarterly Reports10-Q576,13143,332
Reports10-QSBQuarterly Reports by Small Businesses10QSB120,30817,154
Reports10-QQuarterly-Transition Reports10-QT20536
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-K39,964957
Reports11-KAnnual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-KT962
Registrations12g-3Exemptions for American Depository Receipts and Certain Foreign Securities12G3-2B613
Registrations12g-3Exemptions for American Depository Receipts and Certain Foreign Securities12G32BR178
Ownership13FQuarterly Holdings and Combination Reports by Money Managers– Confidential Treatment Requested13FCONP1,27190
Ownership13FQuarterly Reports by Money Managers13F-E1,188120
Ownership13FQuarterly Holdings and Combination Reports by Money Managers13F-HR264,74124,457
Ownership13FQuarterly Notices by Money Managers13F-NT87,7251,773
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12B5,322108
Registrations15Certifications of Terminations of Registration of Classes of Securities15-12G13,053403
Reports15Notices of Suspensions of Duty to File Reports15-15D15,862212
Registrations15FCertifications of Foreign Issuers’ Terminations of Registration of Classes of Securities15F-12B18913
Registrations15FCertifications of Foreign Issuers’ Terminations of Registration of Classes of Securities15F-12G23112
Reports15FNotices of Foreign Issuers’ Suspensions of Duty to File Reports15F-15D1283
Registrations18Registrations of Securities of Foreign Governments and Political Subdivisions18-12B4
Reports18-KAnnual Reports by Foreign Governments and Political Subdivisions18-K6832,147
Reports19b-4Proposed Rule Changes by SROs19B-4101
Reports19b-4(e)Information Required of SROs Listing and Trading in New Derivative Securities Products19B-4E26,428
Reports20-FAnnual Reports by Foreign Issuers20-F15,2553,377
Registrations20-FRegistrations of Securities of Foreign Issuers20FR12B156153
Registrations20-FRegistrations of Securities of Foreign Issuers20FR12G377589
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-2NT175,8093,154
Registrations24f-2Annual Notices of Securities Sold by Investment Companies24F-2TM603
Reports25Notices by Issuers to Voluntarily Withdraw a Class of Securities from Listing and/or Registration on a National Exchange253,96442
Reports25Notices by National Exchanges of the Removal from Listing and/or Registration of Matured, Redeemed or Retired Securities25-NSE10,108235
Reports26Notices of the Admission to Trading of a Substituted or Additional Class of Securities262
ReportsSEA §12(g) / 13(a)Applications for Exemptions and from Filing Certain Reports34-12H7
Reports20(e)Statements Concerning Proposed Transactions35-APP62
Reports24Certificates Concerning Terms and Conditions of Transactions35-CERT5,13998
RegistrationsTIAApplications 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
RegistrationsTIAApplications Regarding a Conflict of Interest under the Trust Indenture Act39-310B2
RegistrationsICAApplications for Exemption Orders by Employees’ Investment Companies40-6B49164
RegistrationsICA §6(c)Applications for Exemptions and Other Relief40-6C433529
Reports8b-25(a)Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports40-8B25107
RegistrationsO-2Applications for Deregistration Orders by Certain Investment Companies40-8F-21829
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Abandonments of Registration40-8F-A12465
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Business Development Companies40-8F-B41
RegistrationsICAInvestment Company Registrations Withdrawn by SEC Order40-8FC31
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Liquidations40-8F-L455180
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment Companies– Mergers40-8F-M542174
Reports17f-1Certificates of Accounting of Securities in the Custody of Investment Companies40-17F149717
Reports17f-2Certificates of Accounting of Securities in the Custody of Investment Companies40-17F218,031130
Reports17g-1(g)Fidelity Bonds for Investment Companies40-17G25,2172,148
Reports17g-1Claims and Settlements re: Investment Companies40-17GCS16
Reports24b-2Sales Literature from Investment Companies40-24B22,88386
ReportsICA §33Stockholder Derivative Actions re: Investment Companies40-331,0398
RegistrationsIAA §202Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act40-202A3333
RegistrationsIAA §203Exemptions from the Prohibition on Registration40-203A22
RegistrationsIAA §205Applications for Performance Fees Exemption40-205E32
RegistrationsIAA §206(3)Applications for Exemptions40-206A4737
RegistrationsICAApplications for Exemption Orders and Other Relief40-APP1,8222,785
Registrations40-FRegistration Statements and Annual Reports by Canadian Issuers40-F2,624484
Registrations40-FRegistrations of Securities of Canadian Issuers40FR12B11960
Registrations40-FRegistrations of Securities of Canadian Issuers40FR12G278
RegistrationsICAApplications for Exemption Orders from the SEC Office of Insurance Products (OIP)40-OIP79149
ReportsICAReports Required from Certain Applicants for Exemptions from the Investment Company Act40-RPT2
Ownership144Notices of Proposed Sales of Securities1447,121279
Registrations1-AOffering Statements– Information Previously Omitted— Reg. A/A+253G145
Registrations1-AOffering Statements– Information Substantively Changed or Added— Reg. A/A+253G21,340
Registrations1-AOffering Statements– Information Previously Omitted or Substantively Changed— Reg. A/A+253G35
Registrations1-AOffering Statements– Information Previously Omitted or Substantively Changed– Not Timely Filed— Reg. A/A+253G42
RegistrationsT-1Statements of Eligibility by Corporations Designated to Act as Trustees305B21,81420
Registrations424(a)Prospectuses424A1,547
Registrations424(b)(1)Prospectuses424B15,977
Registrations424(b)(2)Prospectuses424B2232,608
Registrations424(b)(3)Prospectuses424B3157,656
Registrations424(b)(4)Prospectuses424B49,818
Registrations424(b)(5)Prospectuses424B557,397
Registrations424(b)(7)Prospectuses424B73,618
Registrations424(b)(8)Prospectuses424B81,009
Registrations424(h)Preliminary Prospectuses424H68455
Reports425Prospectuses and Communications– Business Combinations42566,088
Registrations485(a)Post-Effective Amendments of Form N-1 and N-1A Registrations485A24E88
Registrations485(a)Post-Effective Amendments of Form N-1 and N-1A Registrations485A24F25
Registrations485(a)Post-Effective Amendments of Form N-1 and N-1A Registrations485APOS39,401
Registrations485(b)Post-Effective Amendments of Form N-1 and N-1A Registrations485B24E1,669
Registrations485(b)Post-Effective Amendments of Form N-1 and N-1A Registrations485B24F64
Registrations485(b)Post-Effective Amendments of Form N-1 and N-1A Registrations485BPOS179,514
Registrations485(b)Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates485BXT21,047
Registrations485(b)Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates485BXTF1
Registrations486(a)Post-Effective Amendments of Form N-2 Registrations486A24E1
Registrations486(a)Post-Effective Amendments of Form N-2 Registrations486APOS203
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations486B24E2
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations486BPOS769
Registrations486(b)Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates486BXT40
Registrations487Pre-Effective Pricing Amendments of Registration Statements48718,689
Registrations497Definitive Materials497355,712
Reports497 & 482(c)Advertising by Certain Investment Companies497AD3,634
Registrations497(h)(2)Prospectuses of Certain Closed-End Investment Companies497H283
Registrations497(j)Certifications of No Change in Definitive Materials497J116,185
Registrations497(k)Summary Prospectuses of Certain Open-End Investment Companies497K198,242
Reports497(k)(1)(i)Profiles of Certain Open-End Investment Companies497K1317
Reports497(k)(1)(ii)Profiles of Certain Open-End Investment Companies497K2164
Reports497(k)(1)(iii)(A)Profiles of Certain Open-End Investment Companies497K3A52
Reports497(k)(1)(iii)(B)Profiles of Certain Open-End Investment Companies497K3B2,294
ReportsSEA §15GAsset-Backed Securitizer ReportsABS-15G10,7913,078
RegistrationsAsset-Backed Securities Offerings’ [XML] ExhibitsABS-EE6,889124
ReportsReports by the Asian Development BankADB18
RegistrationsAdditional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is PrescribedADN-MTL50
RegistrationsIAARegistrations of Investment AdvisorsADV1
RegistrationsCancellations 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-C8
ReportsIAAApplications for Temporary Hardship ExemptionADV-H-T72
RegistrationsIAAAppointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment AdvisorsADV-NR676
RegistrationsIAANotices of Withdrawal from Registration as an Investment AdvisorADVW9
ReportsReports by the African Development BankAFDB91
ReportsAnnual Reports by International Development BanksANNLRPT1031
RegistrationsICAApplications for Exemption Orders– ’40-APP’ SEC NoticesAPP NTC865
RegistrationsICAApplications for Exemption Orders– ’40-APP’ SEC OrdersAPP ORDR835
RegistrationsAPP WDWithdrawals of Applications for Exemptive or Other Relief from Federal Securities LawsAPP WD47012
RegistrationsICAApplications for Exemption Orders– ’40-APP’ Withdrawals GrantedAPP WDG62
ReportsAnnual Reports to Security HoldersARS36,69637
ReportsATS-NAlternative Trading Systems (NMS Stock)– Initial InformationATS-N2
ReportsATS-NAlternative Trading Systems (NMS Stock)– Correcting AmendmentsATS-N/CA12
ReportsATS-NAlternative Trading Systems (NMS Stock)– Material AmendmentsATS-N/MA37
ReportsATS-NAlternative Trading Systems (NMS Stock)– Updating AmendmentsATS-N/UA96
ReportsATS-NAlternative Trading Systems (NMS Stock)– Notices of CessationATS-N-C5
RegistrationsAmendment Withdrawal RequestsAW3,630
RegistrationsAmendment Withdrawal Requests– Withdrawal DuplicateAW WD104
RegistrationsCancellations 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 Primary Obligations Reports by the International Bank for Reconstruction and Development (World Bank)BW-393
RegistrationsCCrowdfunding Offering StatementsC2,4142,447
RegistrationsC/A-WCrowdfunding Offering Statement Amendment WithdrawalsC/A-W8
RegistrationsC-WCrowdfunding Offering Statement WithdrawalsC-W210
ReportsC-ARCrowdfunding Annual ReportsC-AR62038
ReportsC-AR-WCrowdfunding Annual Report WithdrawalsC-AR-W5
ReportsC-TRCrowdfunding Terminations of ReportingC-TR83
ReportsC-TR-WCrowdfunding Termination of Reporting WithdrawalsC-TR-W1
RegistrationsC-UCrowdfunding Progress UpdatesC-U1,021
RegistrationsC-U-WCrowdfunding Progress Update WithdrawalsC-U-W5
ReportsCA-1 FilingsCA-12
OwnershipCBTender-Offer, Exchange-Offer and Rights-Offering Notices re: Foreign IssuersCB1,6021,493
RegistrationsCERTCertifications by Exchanges Approving Securities for ListingCERT1,887
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 ListingCERTBATS75
RegistrationsCERTCertifications by the Boston Stock Exchange Approving Securities for ListingCERTBSE13
RegistrationsCERTCertifications by the Chicago Board Options Exchange Approving Securities for ListingCERTCBO73
RegistrationsCERTCertifications by the Chicago Stock Exchange Approving Securities for ListingCERTCSE2
RegistrationsCERTCertifications by the NASDAQ Stock Market Approving Securities for ListingCERTNAS2,776
RegistrationsCERTCertifications by the New York Stock Exchange Approving Securities for ListingCERTNYS5,655
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 PortalCFPORTAL65238
RegistrationsFunding PortalApplications for Withdrawal from Registration as a Crowdfunding PortalCFPORTAL-W8
LettersComment-Response and Other Letters to the SEC [ a.k.a. Doc. COVER] (Delayed)CORRESP159,031
OrdersSEC Confidential Treatment OrdersCT ORDER15,807
RegistrationsDNotices of Exempt Offerings of SecuritiesD242,736166,264
Proxies13e-3Definitive Proxy Statements for Going-Private TransactionsDEF13E37787
Proxies14ADefinitive Proxy StatementsDEF 14A162,600
Proxies14CDefinitive Proxy Information StatementsDEF 14C11,905
Proxies14AAdditional Definitive Proxy Soliciting MaterialsDEFA14A81,534
Proxies14CAdditional Definitive Proxy Information StatementsDEFA14C349
Proxies14ADefinitive Proxy Statements for Contested SolicitationsDEFC14A1,866
Proxies14CDefinitive Proxy Information Statements for Contested SolicitationsDEFC14C25
Proxies14ADefinitive Proxy Statements for Mergers and AcquisitionsDEFM14A5,327
Proxies14CDefinitive Proxy Information Statements for Mergers and AcquisitionsDEFM14C424
Proxies14ADefinitive Non-Management Proxy StatementsDEFN14A303
RegistrationsDefinitive Offering Circulars— Reg. ADEF-OC2
Proxies14ARevised Definitive Proxy Soliciting MaterialsDEFR14A5,300
Proxies14CRevised Definitive Proxy Information StatementsDEFR14C407
Proxies14ADefinitive Proxy Statements for Special MeetingsDEFS14A3,996
Proxies14CDefinitive Proxy Information Statements for Special MeetingsDEFS14C88
RegistrationsRegistration Effectiveness-Delaying AmendmentsDEL AM1,073
Proxies14AAdditional Definitive Non-Management Proxy Soliciting MaterialsDFAN14A11,811
Proxies14ARevised Definitive Non-Management Proxy StatementsDFRN14A314
Registrations1-ADraft Offering Statements— Reg. A/A+DOS139156
LettersComment-Response and Draft-Offering-Statement Letters to the SEC (Delayed)DOSLTR140
RegistrationsDRSDraft Registration Statements by Emerging Growth Companies and Foreign IssuersDRS2,1502,813
LettersComment-Response and Draft-Registration-Statement Letters to the SEC (Delayed)DRSLTR2,330
ReportsDistribution of Primary Obligations Reports by International Development BanksDSTRBRPT45819
ReportsReports by the European Bank for Reconstruction and DevelopmentEBRD161
RegistrationsNotices of EffectivenessEFFECT51,001
RegistrationsF-1Registration Statements by Foreign IssuersF-11,3533,847
Registrations462(b)Registration Statements to Add Securities to a Prior Form F-1 RegistrationF-1MEF153
RegistrationsF-2Registration Statements by Foreign IssuersF-21636
RegistrationsF-2Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-2D1
RegistrationsF-3Registration Statements by Foreign Issuers for Securities Offered Pursuant to TransactionsF-31,3721,222
RegistrationsF-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign IssuersF-3ASR551
RegistrationsF-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansF-3D55
RegistrationsPost-Effective Amendments of F-3D RegistrationsF-3DPOS36
Registrations462(b)Registration Statements to Add Securities to a Prior Form F-3 RegistrationF-3MEF30
RegistrationsF-4Registration Statements by Foreign Issuers for Securities Issued in Business-Combination TransactionsF-47221,364
Registrations462(b)Registration Statements to Add Securities to a Prior Form F-4 RegistrationF-4MEF8
RegistrationsPost-Effective Amendments of Form F-4 RegistrationsF-4 POS21
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts– Not Effective ImmediatelyF-61,699158
RegistrationsF-6Registrations of Depositary Shares Evidenced by American Depositary Receipts– Effective ImmediatelyF-6EF6,570
RegistrationsPost-Effective Amendments of F-6EF RegistrationsF-6 POS2,254
RegistrationsF-7Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of RightsF-74210
RegistrationsPost-Effective Amendments of Form F-7 RegistrationsF-7 POS5
RegistrationsF-8Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers and Business CombinationsF-83251
RegistrationsPost-Effective Amendments of Form F-8 RegistrationsF-8 POS13
RegistrationsF-9Registration Statements by Canadian Issuers– Not Effective ImmediatelyF-910190
RegistrationsF-9Registration Statements by Canadian Issuers– Effective ImmediatelyF-9EF3
RegistrationsPost-Effective Amendments of F-9EF RegistrationsF-9 POS5
RegistrationsF-10Registration Statements by Canadian Issuers– Not Effective ImmediatelyF-10737808
RegistrationsF-10Registration Statements by Canadian Issuers– Effective ImmediatelyF-10EF7
RegistrationsPost-Effective Amendments of F-10EF RegistrationsF-10POS56
RegistrationsF-80Registrations of Securities of Canadian Issuers for Securities to be Issued in Exchange Offers and Business CombinationsF-802622
RegistrationsPost-Effective Amendments of Form F-80 RegistrationsF-80POS19
RegistrationsF-NAppointments of Agents for Service of Process by Foreign Financial EntitiesF-N35924
ReportsAnnual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and DealersFOCUSN29,2831,060
Registrations163 / 433Free-Writing ProspectusesFWP139,735
RegistrationsF-XAppointments of Agents for Service of Process by Foreign Non-Financial EntitiesF-X2,557278
ReportsAnnual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405633
ReportsAnnual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405N501
RegistrationsNotices of Status as a Government Securities Broker or Dealer by Financial InstitutionsG-FIN22253
RegistrationsNotices of Withdrawal as a Government Securities Broker or Dealer by Financial InstitutionsG-FINW16
ReportsReports by the Inter-American Development BankIADB13
RegistrationsIDApplications for EDGAR Access– New Central Index Key (CIK)ID-NEWCIK1
ReportsReports by the International Finance CorporationIFC6
ReportsSEA §13(r)Notices of Disclosures in Quarterly and Annual Reports— ITRASHRA’12IRANNOTICE3,030
RegistrationsMAApplications for Municipal Advisor RegistrationMA8691,373
RegistrationsMAAnnual Updates of a Municipal Advisor’s RegistrationMA-A1,804
RegistrationsMA-IInformation Regarding Natural Persons Who Engage in Municipal Advisory ActivitiesMA-I7,7237,908
RegistrationsMA-WNotices of Withdrawal from Registration as a Municipal AdvisorMA-W309
RegistrationsRegistrations of Municipal Securities DealersMSD44425
RegistrationsCancellations of Registered Municipal Securities Dealers by SEC OrderMSDCO22
Registrations15Bc3-1Notices of Withdrawal from Registration as a Municipal Securities DealerMSDW82
RegistrationsN-1Registration Statements by Open-End Investment CompaniesN-12189
RegistrationsN-1ARegistration Statements by Open-End Investment CompaniesN-1A1,8542,751
RegistrationsN-1ARegistration Statements by Open-End Investment CompaniesN-1A EL361466
RegistrationsN-2Registration Statements by Closed-End Investment CompaniesN-23,6725,552
Registrations462(b)Registration Statements to Add Securities to a Prior Form N-2 RegistrationN-2MEF239
RegistrationsN-3Registration Statements for Separate Accounts– Investment CompaniesN-34019
RegistrationsN-3Registration Statements for Separate Accounts– Investment CompaniesN-3 EL66
RegistrationsN-4Registration Statements for Separate Accounts– Unit Investment TrustsN-42,2281,975
RegistrationsN-4Registration Statements for Separate Accounts– Unit Investment TrustsN-4 EL151141
RegistrationsN-5Registration Statements by Small-Business Investment CompaniesN-5910
RegistrationsN-6Registration Statements for Separate Accounts– Unit Investment TrustsN-6666493
ReportsN-6FNotices of Intentions to Elect Business-Development-Company StatusN-6F13862
RegistrationsN-8ANotices of RegistrationsN-8A4,198601
RegistrationsN-8B-2Registration Statements by Unit Investment TrustsN-8B-2183172
RegistrationsN-8B-4Registration Statements by Face-Amount Certificate CompaniesN-8B-43
RegistrationsN-8FApplications for Deregistration Orders by Certain Investment CompaniesN-8F2,9681,350
RegistrationsICAApplications for Deregistration Orders– ‘N-8F’ SEC NoticesN-8F NTC1,602
RegistrationsICAApplications for Deregistration Orders– ‘N-8F’ SEC OrdersN-8F ORDR1,757
RegistrationsN-14Registration Statements by Open-End Investment Companies– Business CombinationsN-143,3552,236
RegistrationsN-14Registration Statements by Closed-End Investment Companies– Business CombinationsN-14 8C243286
RegistrationsN-14Registration Statements by Open-End Investment Companies with Automatic Effectiveness– Business CombinationsN-14AE891185
RegistrationsN-14Registration Statements by Open-End Investment Companies– Business CombinationsN14AE2423058
RegistrationsN-14Registration Statements by Open-End Investment Companies– Business CombinationsN14EL2415889
Registrations462(b)Registration Statements to Add Securities to a Prior Form N-14 RegistrationN-14MEF4
Reports18f-1Notices of ElectionsN-18F11,25331
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-21,58255
Ownership23c-3(b) onlyNotices of Periodic Repurchase OffersN-23C3A1,96826
Ownership23c-3(c) onlyNotices of Periodic Repurchase OffersN-23C3B4003
Ownership23c-3(b) & (c)Notices of Periodic Repurchase OffersN-23C3C4847
ReportsN-27D-1Accountings for Segregated Trust AccountsN-27D-112
Reports30b-2Periodic and Interim Reports Mailed to Shareholders of Investment CompaniesN-30B-211,185
Reports30d-1Annual and Semi-Annual Reports Mailed to Shareholders of Investment CompaniesN-30D71,1781,057
ReportsN-54ANotices of Elections by Business Development CompaniesN-54A2759
ReportsN-54CNotices of Withdrawal from Registration by Business Development CompaniesN-54C1884
ReportsN-CENAnnual Reports by Investment CompaniesN-CEN6,092851
ReportsN-CENAnnual Reports by Investment Companies (Late Filings)NT N-CEN115
ReportsN-CRCurrent Reports of Money-Market Funds’ Material EventsN-CR6413
ReportsN-CSRCertified Annual Shareholder Reports by Investment CompaniesN-CSR60,2642,949
ReportsN-CSRCertified Semi-Annual Shareholder Reports by Investment CompaniesN-CSRS52,058916
ReportsN-MFPMonthly Portfolio Holdings Schedules by Money-Market FundsN-MFP41,4142,243
ReportsN-MFPMonthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)NT N-MFP238
ReportsN-MFPMonthly Portfolio Holdings Schedules by Money-Market FundsN-MFP13,040553
ReportsN-MFPMonthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)NT N-MFP135
ReportsN-MFPMonthly Portfolio Holdings Schedules by Money-Market FundsN-MFP217,779899
ReportsN-MFPMonthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)NT N-MFP2225
Letters14a-8SEC No-Action Letters [ a.k.a. Document 14A-8]NO ACT9,085
ReportsN-PORTPortfolio Holdings Schedules by Investment Companies [ now Exhibit NPORT-EX of Filing NPORT-P ]NPORT-EX7,21010
ReportsN-PORTPortfolio Holdings Schedules by Investment Companies (Late Filings) [ now Exhibit NPORT-EX of Filing NPORT-P ]NT NPORTEX27
ReportsN-PORTMonthly Portfolio Investments Reports (Public) by Investment CompaniesNPORT-P19,474291
ReportsN-PORTMonthly Portfolio Investments Reports (Public) by Investment Companies (Late Filings)NT NPORT-P5
ProxiesN-PXProxy Voting Records– Annual Reports by Investment CompaniesN-PX48,7851,810
ReportsN-QQuarterly Portfolio Holdings Schedules by Investment CompaniesN-Q94,8351,007
RegistrationsNRSROAnnual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO-CE5125
RegistrationsNRSROUpdates of Registration by Nationally Recognized Statistical Rating OrganizationsNRSRO-UPD142
ReportsN-SARSemi-Annual Reports by Investment CompaniesNSAR-A73,4064,004
ReportsN-SARSemi-Annual-Transition Reports by Investment CompaniesNSAR-AT20216
ReportsN-SARAnnual Reports by Investment CompaniesNSAR-B73,5426,357
ReportsN-SARAnnual-Transition Reports by Investment 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-K42,672671
Reports12b-25Notices of Late Filings of Form 10-K (Late Notices)NTN 10K1,580
Reports12b-25Notices of Late Filings of Form 10-QNT 10-Q70,031590
Reports12b-25Notices of Late Filings of Form 10-Q (Late Notices)NTN 10Q2,302
Reports12b-25Notices of Late Filings of Form 11-KNT 11-K1,64916
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-F1,55726
Reports12b-25Notices of Late Filings of Form 20-F (Late Notices)NTN 20F37
Reports12b-25Notices of Late Filings of Form N-CENNT-NCEN541
Reports12b-25Notices of Late Filings of Form N-CEN (Late Notices)NTFNCEN16
Reports12b-25Notices of Late Filings of Form N-CSRNT-NCSR34224
Reports12b-25Notices of Late Filings of Form N-CSR (Late Notices)NTFNCSR78
Reports12b-25Notices of Late Filings of Form N-SARNT-NSAR2,590116
Reports12b-25Notices of Late Filings of Form N-SAR (Late Notices)NTFNSAR190
RegistrationsICAApplications for Exemption Orders– ’40-OIP’ SEC NoticesOIP NTC65
RegistrationsICAApplications for Exemption Orders– ’40-OIP’ SEC OrdersOIP ORDR59
RegistrationsSA §8(c)Post-Effective Amendments of Certain Investment Company Registration StatementsPOS 8C2,151
RegistrationsPost-Effective Amendments of Rule 462(b) Registration StatementsPOS462B218
RegistrationsPost-Effective Amendments of Rule 462(c) Registration StatementsPOS462C83
RegistrationsPost-Effective Amendments of Registration StatementsPOS AM29,670
RegistrationsPUHCAPost-Effective Amendments of Form U-1 RegistrationsPOS AMC1,182
RegistrationsICAPost-Effective Amendments of Investment Company Registration StatementsPOS AMI6,159
RegistrationsS-3ASR / F-3ASRPost-Effective Amendments of Automatic Shelf Registration StatementsPOSASR1,798
Registrations462(d)Post-Effective Amendments of Registration Statements to Add ExhibitsPOS EX3,897
Proxies13e-3Preliminary Proxy Statements for Going-Private TransactionsPRE13E3173290
Proxies14APreliminary Proxy StatementsPRE 14A37,106
Proxies14CPreliminary Proxy Information StatementsPRE 14C9,253
Proxies14AAdditional Preliminary Proxy Soliciting MaterialsPREA14A16
Proxies14CAdditional Preliminary Proxy Information StatementsPREA14C1
Proxies14APreliminary Proxy Statements for Contested SolicitationsPREC14A2,551
Proxies14CPreliminary Proxy Information Statements for Contested SolicitationsPREC14C63
Proxies14APreliminary Proxy Statements for Mergers and AcquisitionsPREM14A4,722
Proxies14CPreliminary Proxy Information Statements for Mergers and AcquisitionsPREM14C676
Proxies14APreliminary Non-Management Proxy StatementsPREN14A372
Proxies14ARevised Preliminary Proxy Soliciting MaterialsPRER14A10,886
Proxies14CRevised Preliminary Proxy Information StatementsPRER14C2,447
Proxies14APreliminary Proxy Statements for Special MeetingsPRES14A3,944
Proxies14CPreliminary Proxy Information Statements for Special MeetingsPRES14C129
Proxies14ARevised Preliminary Non-Management Proxy Soliciting Materials for Contested Solicitations and Other SituationsPRRN14A2,046
Proxies14a-6(g)Notices of Exempt Non-Management Proxy SolicitationsPX14A6G1,504
Proxies14a-6(n)Notices of Exempt Non-Management Proxy Solicitations– Preliminary Roll-Up CommunicationsPX14A6N40
ReportsQuarterly Reports by International Development BanksQRTLYRPT1303
RegistrationsNotices of Qualification— Reg. A/A+QUALIF890
RegistrationsDNotices of Exempt Offerings of SecuritiesREGDEX128,23142,440
RegistrationsInitial Undertakings to File Reports for Non-Resident Brokers, Dealers and Investment AdvisersREG-NR672
RegistrationsSEA §12(j)SEC Orders Revoking Securities Exchange Act RegistrationsREVOKED5,656
RegistrationsRegistration Withdrawal RequestsRW11,719
RegistrationsWithdrawals of Registration Withdrawal RequestsRW WD397
RegistrationsS-1Registration Statements (General Form)S-118,76350,239
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-1 RegistrationS-1MEF1,482
RegistrationsS-2Registration StatementsS-29781,457
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-2 RegistrationS-2MEF73
RegistrationsS-3Registration Statements for Securities Offered Pursuant to TransactionsS-334,80028,572
RegistrationsS-3Automatic Shelf Registration Statements for Securities of Well-Known Seasoned IssuersS-3ASR7,083
RegistrationsS-3Registrations of Securities Pursuant to Dividend and Interest Reinvestment PlansS-3D9415
RegistrationsPost-Effective Amendments of S-3D RegistrationsS-3DPOS652
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-3 RegistrationS-3MEF1,252
RegistrationsS-4Registrations of Securities Issued in Business-Combination TransactionsS-414,32419,269
RegistrationsS-4Registrations of Securities Issued in Business-Combination Transactions Forming Bank and Savings & Loan Holding CompaniesS-4EF7631
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-4 RegistrationS-4MEF151
RegistrationsPost-Effective Amendments of S-4EF RegistrationsS-4 POS301
RegistrationsS-6Registration Statements by Unit Investment TrustsS-620,3238,095
RegistrationsS-6Registration Statements by Unit Investment TrustsS-6EL241,398359
RegistrationsS-8Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit PlansS-882,15518
RegistrationsPost-Effective Amendments of Form S-8 RegistrationsS-8 POS33,055
RegistrationsS-11Registration Statements by Real Estate CompaniesS-111,1003,406
Registrations462(b)Registration Statements to Add Securities to a Prior Form S-11 RegistrationS-11MEF82
RegistrationsS-20Registration Statements for Standardized OptionsS-2065
RegistrationsBRegistration Statements by Foreign Governments and Political SubdivisionsS-B324196
Registrations462(b)Registration Statements to Add Securities to a Prior Schedule B RegistrationS-BMEF13
RegistrationsSB-1Registration Statements by Small-Business IssuersSB-1151359
Registrations462(b)Registration Statements to Add Securities to a Prior Form SB-1 RegistrationSB-1MEF1
RegistrationsSB-2Registration Statements by Small-Business IssuersSB-27,81216,585
Registrations462(b)Registration Statements to Add Securities to a Prior Form SB-2 RegistrationSB-2MEF104
Ownership13DStatements of Acquisitions of Beneficial Ownership by Non-Passive InvestorsSC 13D56,531119,275
Ownership13E-1Tender-Offer Statements by IssuersSC 13E12313
Ownership13E-3Tender-Offer Statements by Issuers for Going-Private TransactionsSC 13E32,4018,035
Ownership13E-4 / TOTender-Offer Statements by IssuersSC 13E47341,250
Ownership13E-4FTender-Offer Statements by Canadian IssuersSC13E4F1726
Ownership13GStatements of Acquisitions of Beneficial Ownership by Passive InvestorsSC 13G198,203358,212
Ownership14D-1Tender-Offer Statements by Third PartiesSC 14D11,2715,205
Ownership14D-1FTender-Offer Statements by Canadian Third PartiesSC14D1F44147
Ownership14D-9Tender-Offer Solicitation/Recommendation StatementsSC 14D94,2109,268
Ownership14D-9CTender-Offer Communications by Issuers re: Third-Party OffersSC14D9C2,347
Ownership14D-9FTender-Offer Solicitation/Recommendation Statements by Canadian IssuersSC14D9F4040
Ownership14F-1Statements re: Changes in the Majority of DirectorsSC 14F12,223228
Proxies14NInformation from Certain Nominating ShareholdersSC 14N86
OwnershipTOTender-Offer Communications re: Issuer and Third-Party OffersSC TO-C5,280
OwnershipTOTender-Offer Statements by IssuersSC TO-I8,93014,721
OwnershipTOTender-Offer Statements by Third PartiesSC TO-T2,57711,968
Reports13p-1Specialized Disclosure Reports Relating to the Use of Conflict MineralsSD7,17224
RegistrationsSDRApplications for Registration as a Security-Based Swap Data RepositorySDR24
ReportsSESeparate Exhibits of Scanned Paper-Format Exhibits of FilingsSE3,574
LettersSEC Staff Actions [ a.k.a. Document ORDER]SEC ACTION191
LettersSEC Staff Letters [ a.k.a. Documents STAFFLETTER, 14A-8, REDACTEDEXHIBIT& SERIOUSDEFICIENCIES]SEC LETTER416
RegistrationsSF-1Registration Statements (General Form) by Issuers of Asset-Backed SecuritiesSF-1311
RegistrationsSF-3Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-3126197
RegistrationsSales LiteratureSL9
Reports15d-2Special Financial ReportsSP 15D2562
OrdersSEC Stop OrdersSTOP ORDER59
RegistrationsSA §11(a)Voluntary Supplemental Materials by Foreign IssuersSUPPL55,686
RegistrationsT-3Applications for Qualification of a Trust IndentureT-3622614
RegistrationsTA-1Applications for Registration as a Transfer AgentTA-13964,114
ReportsTA-2Annual Reports of Transfer Agents’ ActivitiesTA-28,475731
RegistrationsCancellations of Registered Transfer Agents by SEC OrderTACO128
RegistrationsTA-WNotices of Withdrawal from Registration as a Transfer AgentTA-W493
ReportsTHNotices of Reliance on Temporary Hardship ExemptionTH135
RegistrationsTesting-the-Waters Filings— Reg. A/A+TTW288
RegistrationsU-1Applications and DeclarationsU-19692,309
RegistrationsU-3A-2Statements by Utility 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 Utility 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 Utility Holding CompaniesU-12-IA291
OwnershipU-12(I)-BThree-Year Ownership Statements by Persons Employed or Retained by Utility 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
RegistrationsS-6Initial Undertakings to File ReportsUNDER411
LettersComment and Other Letters from the SEC [ a.k.a. Document LETTER] (Delayed)UPLOAD156,795
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-585,1545,765
____________ Totals 12,083,5791,349,851
T This Filing/Form Type is no longer filed, or is no longer made public, or is now a different Type. (118 of them)
This Filing/Form Type pertains to multiple Forms, Schedules, Rules or Regulations of Acts’ Sections.


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