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ABS:  Exhibit  
Exhibit emoji
 
Asset-Backed Securities [XML] ExhibitsABS-EE ABS-EE°28,226291
ABS:  Prospectus  
Prospectus emoji
 
Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed424(h) 424H1,13773
ABS:  Report –
Periodic
  
Report emoji
 
Distribution Reports by Issuers of Asset-Backed Securities10-D 10-D°100,2042,804
ABS:  Report –
Periodic
  
Report emoji
 
Asset-Backed Securities Securitizer ReportsABS-15G ABS-15G18,7525,769
ABS:  Statement  
Statement emoji
 
Registration Statements (General Form) by Issuers of Asset-Backed SecuritiesSF-1 SF-12656
ABS:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form SF-1 Registrations462(b) SF-1MEF2
ABS:  Statement  
Statement emoji
 
Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-3 SF-3194253
Comment:  Letter  
Letter emoji
 
Comment-Response and Other Letters to the SEC 
Comment Response emoji
  [ a.k.a. Document COVER ]  (Delayed Release)
 CORRESP198,804
Comment:  Letter  
Letter emoji
 
Comment-Response and Draft-Offering-Statement Letters to the SEC 
Comment Response emoji
  (Delayed Release)
 DOSLTR202
Comment:  Letter  
Letter emoji
 
Comment-Response and Draft-Registration-Statement Letters to the SEC 
Comment Response emoji
  (Delayed Release)
 DRSLTR4,494
Comment:  Letter  
Letter emoji
 
Comment and Other Letters from the SEC 
Comment emoji
  [ a.k.a. Document LETTER ]  (Delayed Release)
 UPLOAD185,853
Ownership:  Communication  
Communication emoji
 
Tender-Offer Communications by Issuers re: Third-Party Offers14D-9C SC14D9C2,642
Ownership:  Communication  
Communication emoji
 
Tender-Offer Communications by Issuers and Third PartiesTO SC TO-C5,854
Ownership:  Notice  
Notice emoji
 
Notices of Proposed Sales of Securities by Insiders144 144°42,345814
Ownership:  Notice  
Notice emoji
 
Tender-Offer, Exchange-Offer, Rights-Offering and Response NoticesCB CB1,8181,638
Ownership:  Notice  
Notice emoji
 
Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies23c-2 N-23C-21,93164
Ownership:  Notice  
Notice emoji
 
Notices of Periodic Repurchase Offers by Closed-End Investment CompaniesN-23c-3 N-23C3A3,21337
Ownership:  Notice  
Notice emoji
 
Notices of Discretionary Repurchase Offers by Closed-End Investment CompaniesN-23c-3 N-23C3B4083
Ownership:  Notice  
Notice emoji
 
Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment CompaniesN-23c-3 N-23C3C5148
Ownership:  Notice –
Quarterly
  
Notice emoji
 
Quarterly Holdings Notices by Money Managers13F 13F-NT°114,1371,986
Ownership:  Report –
Quarterly
  
Report emoji
 
Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested13F 13FCONP1,27190
Ownership:  Report –
Quarterly
  
Report emoji
 
Quarterly Holdings Reports by Money Managers13F 13F-E1,188120
Ownership:  Report –
Quarterly
  
Report emoji
 
Quarterly Holdings and Combination Reports by Money Managers13F 13F-HR°368,79429,407
Ownership:  Report  
Report emoji
 
Reports of Purchases of Their Own Securities by Closed-End Investment CompaniesN-23C-1 N-23C-192016
Ownership:  Statement –
Annual
  
Statement emoji
 
Annual Statements of Changes in Beneficial Ownership of Securities by Insiders5 5°113,5654,229
Ownership:  Statement –
Annual
  
Statement emoji
 
Ownership by Persons Employed and Retained by Utility Holding Companies – Annual StatementsU-12(I)-A U-12-IA291
Ownership:  Statement –
Periodic
  
Statement emoji
 
Ownership by Persons Employed and Retained by Utility Holding Companies – Three-Year StatementsU-12(I)-B U-12-IB1,5373
Ownership:  Statement  
Statement emoji
 
Initial Statements of Beneficial Ownership of Securities by Insiders3 3°372,22319,627
Ownership:  Statement  
Statement emoji
 
Statements of Changes in Beneficial Ownership of Securities by Insiders4 4°4,246,745123,325
Ownership:  Statement  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Active” Investors13D SC 13D61,668136,217
Ownership:  Statement  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Active” Investors13D SCH 13D×66
Ownership:  Statement  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Passive” Investors13G SC 13G227,825427,211
Ownership:  Statement  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Passive” Investors13G SCH 13G×5549
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Issuers13E-1 SC 13E12313
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Certain Issuers – Going-Private Transactions13E-3 SC 13E32,5858,637
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Issuers13E-4 SC 13E47341,250
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Canadian Issuers13E-4F SC13E4F2336
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Third Parties14D-1 SC 14D11,2715,202
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Canadian Third Parties14D-1F SC14D1F45148
Ownership:  Statement  
Statement emoji
 
Tender-Offer Solicitation/Recommendation Statements14D-9 SC 14D94,44910,002
Ownership:  Statement  
Statement emoji
 
Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers14D-9F SC14D9F4040
Ownership:  Statement  
Statement emoji
 
Statements re: Changes in the Majority of Directors14F-1 SC 14F12,333237
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by IssuersTO SC TO-I10,59316,950
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Third PartiesTO SC TO-T2,78712,804
Ownership:  Statement  
Statement emoji
 
Transaction Statements by Affiliates and Independent Service CompaniesU-13E-1 U-13E-14
Proxy:  Information  
Information emoji
 
Info from Certain Nominating Shareholders14N SC 14N177
Proxy:  Material  
Material emoji
 
Definitive Additional Proxy Soliciting Materials14A DEFA14A°109,582
Proxy:  Material  
Material emoji
 
Definitive Additional Non-Management Proxy Soliciting Materials14A DFAN14A14,256
Proxy:  Material  
Material emoji
 
Definitive Revised Proxy Soliciting Materials14A DEFR14A6,101
Proxy:  Material  
Material emoji
 
Preliminary Additional Proxy Soliciting Materials14A PREA14A16
Proxy:  Material  
Material emoji
 
Preliminary Revised Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations14A PRRN14A2,232
Proxy:  Material  
Material emoji
 
Preliminary Revised Proxy Soliciting Materials14A PRER14A11,871
Proxy:  Notice  
Notice emoji
 
Notices of Exempt Non-Management Proxy Solicitations14a-6(g) PX14A6G2,764
Proxy:  Notice  
Notice emoji
 
Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications14a-6(n) PX14A6N59
Proxy:  Report – Annual  
Report emoji
 
Annual Proxy Voting Reports by Investment CompaniesN-PX N-PX59,2641,982
Proxy:  Statement –
Information
  
Statement emoji
 
Definitive Proxy Info Statements14C DEF 14C13,390
Proxy:  Statement –
Information
  
Statement emoji
 
Definitive Additional Proxy Info Statements14C DEFA14C404
Proxy:  Statement –
Information
  
Statement emoji
 
Definitive Proxy Info Statements – Contested Solicitations14C DEFC14C26
Proxy:  Statement –
Information
  
Statement emoji
 
Definitive Proxy Info Statements – Mergers & Acquisitions14C DEFM14C462
Proxy:  Statement –
Information
  
Statement emoji
 
Definitive Revised Proxy Info Statements14C DEFR14C447
Proxy:  Statement –
Information
  
Statement emoji
 
Definitive Proxy Info Statements – Special Meetings14C DEFS14C88
Proxy:  Statement –
Information
  
Statement emoji
 
Preliminary Proxy Info Statements14C PRE 14C10,120
Proxy:  Statement –
Information
  
Statement emoji
 
Preliminary Additional Proxy Info Statements14C PREA14C1
Proxy:  Statement –
Information
  
Statement emoji
 
Preliminary Proxy Info Statements – Contested Solicitations14C PREC14C65
Proxy:  Statement –
Information
  
Statement emoji
 
Preliminary Proxy Info Statements – Mergers & Acquisitions14C PREM14C715
Proxy:  Statement –
Information
  
Statement emoji
 
Preliminary Revised Proxy Info Statements14C PRER14C2,537
Proxy:  Statement –
Information
  
Statement emoji
 
Preliminary Proxy Info Statements – Special Meetings14C PRES14C129
Proxy:  Statement  
Statement emoji
 
Definitive Proxy Statements – Going-Private Transactions13E-3 DEF13E37787
Proxy:  Statement  
Statement emoji
 
Definitive Proxy Statements14A DEF 14A°183,885
Proxy:  Statement  
Statement emoji
 
Definitive Proxy Statements – Contested Solicitations14A DEFC14A2,187
Proxy:  Statement  
Statement emoji
 
Definitive Proxy Statements – Mergers & Acquisitions14A DEFM14A6,295
Proxy:  Statement  
Statement emoji
 
Definitive Non-Management Proxy Statements14A DEFN14A309
Proxy:  Statement  
Statement emoji
 
Definitive Revised Non-Management Proxy Statements14A DFRN14A483
Proxy:  Statement  
Statement emoji
 
Definitive Proxy Statements – Special Meetings14A DEFS14A3,995
Proxy:  Statement  
Statement emoji
 
Preliminary Proxy Statements – Going-Private Transactions13E-3 PRE13E3173290
Proxy:  Statement  
Statement emoji
 
Preliminary Proxy Statements14A PRE 14A°42,486
Proxy:  Statement  
Statement emoji
 
Preliminary Proxy Statements – Contested Solicitations14A PREC14A2,953
Proxy:  Statement  
Statement emoji
 
Preliminary Proxy Statements – Mergers & Acquisitions14A PREM14A5,300
Proxy:  Statement  
Statement emoji
 
Preliminary Non-Management Proxy Statements14A PREN14A383
Proxy:  Statement  
Statement emoji
 
Preliminary Proxy Statements – Special Meetings14A PRES14A3,944
Registration:  Amendment  /A  Post-Qualification Amendments of Form 1-A Offering StatementsA/A+ 1-A POS×2,055
Registration:  Amendment  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations485(a) 485A24E88
Registration:  Amendment  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations485(a) 485A24F25
Registration:  Amendment  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations485(a) 485APOS°43,448
Registration:  Amendment  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations485(b) 485B24E1,668
Registration:  Amendment  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations485(b) 485B24F64
Registration:  Amendment  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations485(b) 485BPOS°199,382
Registration:  Amendment  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates485(b)(1)(iii) 485BXT28,209
Registration:  Amendment  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates485(b) 485BXTF1
Registration:  Amendment  /A  Post-Effective Amendments of Form N-2 Registrations486(a) 486A24E1
Registration:  Amendment  /A  Post-Effective Amendments of Form N-2 Registrations486(a) 486APOS278
Registration:  Amendment  /A  Post-Effective Amendments of Form N-2 Registrations486(b) 486B24E2
Registration:  Amendment  /A  Post-Effective Amendments of Form N-2 Registrations486(b) 486BPOS1,352
Registration:  Amendment  /A  Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates486(b) 486BXT106
Registration:  Amendment  /A  Pre-Effective Pricing Amendments of Registration Statements487 48722,003
Registration:  Amendment  /A  Registration Effectiveness-Delaying Amendments DEL AM1,424
Registration:  Amendment  /A  Post-Effective Amendments of ‘F-3D’ RegistrationsF-3 F-3DPOS48
Registration:  Amendment  /A  Post-Effective Amendments of Form F-4 Registrations F-4 POS22
Registration:  Amendment  /A  Post-Effective Amendments of ‘F-6EF’ RegistrationsF-6 F-6 POS2,783
Registration:  Amendment  /A  Post-Effective Amendments of Form F-7 Registrations F-7 POS6
Registration:  Amendment  /A  Post-Effective Amendments of Form F-8 Registrations F-8 POS13
Registration:  Amendment  /A  Post-Effective Amendments of ‘F-9EF’ RegistrationsF-9 F-9 POS5
Registration:  Amendment  /A  Post-Effective Amendments of ‘F-10EF’ RegistrationsF-10 F-10POS83
Registration:  Amendment  /A  Post-Effective Amendments of Form F-80 Registrations F-80POS19
Registration:  Amendment  /A  Post-Effective Amendments of Form N-2 Automatic Shelf RegistrationsICA N-2 POSASR7
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements by Certain Investment CompaniesICA §8(c) POS 8C2,254
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements – Rule 462(b) POS462B228
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements – Rule 462(c) POS462C88
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements POS AM°33,900
Registration:  Amendment  /A  Post-Effective Amendments of Form U-1 RegistrationsPUHCA POS AMC1,182
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements by Investment Companies POS AMI6,888
Registration:  Amendment  /A  Post-Effective Amendments of Automatic Shelf Registration StatementsS-3/F-3ASR POSASR°2,309
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements – Additional Exhibits462(d) POS EX°5,530
Registration:  Amendment  /A  Post-Effective Amendments of ‘S-3D’ RegistrationsS-3 S-3DPOS731
Registration:  Amendment  /A  Post-Effective Amendments of ‘S-4EF’ RegistrationsS-4 S-4 POS315
Registration:  Amendment  /A  Post-Effective Amendments of Form S-8 Registrations S-8 POS40,174
Registration:  Application  
Application emoji
 
Applications re: Conflicts of Interest Under the Trust Indenture ActTIA 39-310B2
Registration:  Application  
Application emoji
 
Applications for Exemption Orders by Employees’ Investment CompaniesO-2 40-6B70192
Registration:  Application  
Application emoji
 
Applications for Exemptions and Other Relief by Investment CompaniesICA §6(c) 40-6C433529
Registration:  Application  
Application emoji
 
Applications to Designate the Applicant a Person Not Within the Intent of the Investment Advisers ActIAA §202 40-202A3336
Registration:  Application  
Application emoji
 
Applications for Performance Fee Exemptions by Investment AdvisorsIAA §205 40-205E32
Registration:  Application  
Application emoji
 
Applications for Exemptions by Investment AdvisorsIAA §206(3) 40-206A4839
Registration:  Application  
Application emoji
 
Applications for Exemption Orders and Other Relief by Investment CompaniesO-2 40-APP2,2633,404
Registration:  Application  
Application emoji
 
Applications for SEC Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment CompaniesO-2 40-OIP82156
Registration:  Application  
Application emoji
 
Applications for Registrations by Investment AdvisorsADV ADV1
Registration:  Application  
Application emoji
 
Applications for Registration, or an Exemption therefrom, as a Clearing AgencyCA-1 CA-12
Registration:  Application  
Application emoji
 
Applications for Registration by Crowdfunding PortalsFunding Portal CFPORTAL×125529
Registration:  Application  
Application emoji
 
Applications for EDGAR Access and New SEC Central Index Keys (CIKs)ID ID-NEWCIK1
Registration:  Application  
Application emoji
 
Applications for Registrations by Municipal AdvisorsMA MA×9252,311
Registration:  Application  
Application emoji
 
Applications for Registrations by Municipal Securities DealersMSD MSD46463
Registration:  Application  
Application emoji
 
Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE SBSE×524
Registration:  Application  
Application emoji
 
Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as suchSBSE-A SBSE-A×39265
Registration:  Application  
Application emoji
 
Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-DealersSBSE-BD SBSE-BD×73
Registration:  Application  
Application emoji
 
Applications for Registration by Security-Based Swap Data RepositoriesSDR SDR×24
Registration:  Application  
Application emoji
 
Applications for Qualifications of Trust IndenturesT-3 T-3647643
Registration:  Application  
Application emoji
 
Applications for Determinations of Eligibility to Act as a Trustee by Foreign EntitiesT-6 T-62
Registration:  Application  
Application emoji
 
Applications for Registrations by Transfer AgentsTA-1 TA-1°4884,827
Registration:  Application  
Application emoji
 
Applications and DeclarationsU-1 U-19692,309
Registration:  Application –
Exemption
  
Application emoji
 
Applications to Exempt Persons, Registration Statements, Indenture Securities and Transactions (and any Class or Classes of Such) from One or More Provisions of the Trust Indenture ActTIA 39-304D91
Registration:  Certification –
Annual
  
Certification emoji
 
Annual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO NRSRO-CE8435
Registration:  Certification  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities15 15-12B5,929112
Registration:  Certification  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities15 15-12G14,401430
Registration:  Certification  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers15F 15F-12B24213
Registration:  Certification  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers15F 15F-12G24012
Registration:  Certification  
Certification emoji
 
Certifications of No Change in Definitive Materials497(j) 497J134,261
Registration:  Certification  
Certification emoji
 
Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE-C SBSE-C×51
Registration:  Document –
Exemption
  
Document emoji
 
Exemptions for American Depository Receipts (ADRs) and Certain Foreign Securities12g-3 12G3-2B613
Registration:  Document –
Exemption
  
Document emoji
 
Exemptions for American Depository Receipts (ADRs) and Certain Foreign Securities12g-3 12G32BR178
Registration:  Document –
Exemption
  
Document emoji
 
Exemptions from the Prohibition on Registration as an Investment AdvisorIAA §203 40-203A22
Registration:  Document –
Prospectus
  
Document emoji
 
Definitive Offering CircularsA DEF-OC2
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Corporations8-M 8-M67
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Partnerships9-M 9-M13
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer General Partners10-M 10-M1
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident General Partners and Managing Agents of Investment AdvisorsADV-NR ADV-NR690
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Foreign Banks and Insurance CompaniesF-N F-N45334
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Foreign Non-Financial EntitiesF-X F-X3,142320
Registration:  Information  
Information emoji
 
Info re: Natural Persons Who Engage in Municipal Advisory ActivityMA-I MA-I×9,03512,651
Registration:  Material  
Material emoji
 
Definitive Materials497 497°403,826
Registration:  Material  
Material emoji
 
Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed ADN-MTL50
Registration:  Material  
Material emoji
 
Supplemental Materials by Foreign IssuersSA §11(a) SUPPL56,173
Registration:  Material  
Material emoji
 
Test-the-Waters MaterialsA/A+ TTW288
Registration:  Notice  
Notice emoji
 
Notices of Exempt Offerings of Securities by Small Business Investment and Business Development Companies (SBICs and BDCs)1-E 1-E15378
Registration:  Notice  
Notice emoji
 
Notices of Securities Deemed to be Registered by Successor Issuers8-K 8-K12B°32636
Registration:  Notice  
Notice emoji
 
Notices of Securities Deemed to be Registered by Successor Issuers8-K 8-K12G3648115
Registration:  Notice  
Notice emoji
 
Notices of Exempt Offerings of SecuritiesD D×387,718245,573
Registration:  Notice  
Notice emoji
 
Notices of Activity as a Government Securities Broker or Dealer by Financial InstitutionsG-FIN G-FIN24276
Registration:  Notice  
Notice emoji
 
Notices of Registrations by Investment CompaniesN-8A N-8A4,587629
Registration:  Notice  
Notice emoji
 
Notices of Exempt Offerings of SecuritiesD REGDEX128,23142,440
Registration:  Notice  
Notice emoji
 
Notices of Registrations by Utility Holding CompaniesU5A U5A404
Registration:  Prospectus –
Annual
  
Prospectus emoji
 
Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements424(i)(1) 424I82
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Info Substantively Changed or Added424(a) 424A1,558
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Info Previously Omitted424(b)(1) 424B16,206
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Primary Offerings and Shelf Securities424(b)(2) 424B2471,973
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – New Facts or Events424(b)(3) 424B3°186,832
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Info Previously Omitted & New Facts or Events424(b)(4) 424B4°12,690
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events424(b)(5) 424B5°68,877
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Selling Security Holders – Info Previously Omitted424(b)(7) 424B74,435
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses (Late Filings)424(b)(8) 424B81,886
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses and Communications – Mergers425 425°87,053
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Certain Closed-End Investment Companies497(h)(2) 497H283
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Certain Open-End Investment Companies – Summary497(k) 497K279,623
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Variable Annuity/Life Contracts – Initial Summary497(k) 497VPI2,724
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence497(k) 497VPSUB273
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Variable Annuity/Life Contracts – Updating Summary497(k) 497VPU4,975
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Free Writing163 / 433 FWP230,105
Registration:  Report –
Initial
  
Report emoji
 
Initial Undertakings to File Reports by Non-Resident Brokers, Dealers and Investment Advisors REG-NR692
Registration:  Report –
Initial
  
Report emoji
 
Initial Undertakings to File ReportsS-6 – Item 4 UNDER411
Registration:  Report  
Report emoji
 
Exit Reports1-Z 1-Z×2738
Registration:  Report  
Report emoji
 
Crowdfunding – Terminations of ReportingC-TR C-TR×601
Registration:  Sales Media –
Advertising
  
Sales Media emoji
 
Advertising by Small Business Investment and Business Development Companies (SBICs and BDCs)1-E 1-E AD2
Registration:  Sales Media –
Literature
  
Sales Media emoji
 
Sales Literature SL9
Registration:  Statement –
Annual
  
Statement emoji
 
Annual Statements by Banks Claiming an ExemptionU-3A3-1 U-3A3-121
Registration:  Statement –
Exemption
  
Statement emoji
 
Statements by Utility Holding Companies Claiming an ExemptionU-3A-2 U-3A-2985163
Registration:  Statement –
Notice
  
Statement emoji
 
Registration Statements by Certain Investment Companies – Notices of Election24F-1 24F-16
Registration:  Statement –
Notice
  
Statement emoji
 
Registration Statements by Certain Investment Companies – Declarations of Election24F-2 24F-2EL292
Registration:  Statement –
Notice
  
Statement emoji
 
Registration Statements by Certain Investment Companies – Terminations of Declarations of Election24F-2 24F-2TM603
Registration:  Statement  
Statement emoji
 
Offering Statements1-A 1-A°2,3464,852
Registration:  Statement  
Statement emoji
 
Registration Statements for Certain Classes of Securities8-A 8-A12B24,2494,817
Registration:  Statement  
Statement emoji
 
Registration Statements for Certain Classes of Securities8-A 8A12BEF95
Registration:  Statement  
Statement emoji
 
Registration Statements for Certain Classes of Securities8-A 8A12BT288
Registration:  Statement  
Statement emoji
 
Registration Statements for Certain Classes of Securities8-A 8-A12G10,2012,380
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Successor Issuers8-B 8-B12B9429
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Successor Issuers8-B 8-B12G6113
Registration:  Statement  
Statement emoji
 
Registration Statements10 10-12B°8451,711
Registration:  Statement  
Statement emoji
 
Registration Statements10 10-12G°2,9625,141
Registration:  Statement  
Statement emoji
 
Registration Statements by Small-Business Issuers10-SB 10SB12B245134
Registration:  Statement  
Statement emoji
 
Registration Statements by Small-Business Issuers10-SB 10SB12G4,1455,545
Registration:  Statement  
Statement emoji
 
Registration Statements by Foreign Governments and Political Subdivisions18 18-12B4
Registration:  Statement  
Statement emoji
 
Registration Statements by Foreign Non-Canadian Issuers20-F 20FR12B208200
Registration:  Statement  
Statement emoji
 
Registration Statements by Foreign Non-Canadian Issuers20-F 20FR12G°397619
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers40-F 40FR12B178104
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers40-F 40FR12G3210
Registration:  Statement  
Statement emoji
 
Offering Statements – Info Previously Omitted1-A 253G1184
Registration:  Statement  
Statement emoji
 
Offering Statements – Info Substantively Changed or Added1-A 253G24,136
Registration:  Statement  
Statement emoji
 
Offering Statements – Info Previously Omitted & Info Substantively Changed or Added1-A 253G352
Registration:  Statement  
Statement emoji
 
Offering Statements – Info Previously Omitted & Info Substantively Changed or Added (Late Filings)1-A 253G44
Registration:  Statement  
Statement emoji
 
Statements of Eligibility to Act as a Trustee by CorporationsT-1 305B22,19721
Registration:  Statement  
Statement emoji
 
Crowdfunding – Offering StatementsC C×8,3908,924
Registration:  Statement  
Statement emoji
 
Draft Offering Statements1-A DOS×227232
Registration:  Statement  
Statement emoji
 
Draft Registration Statements by Emerging Growth Companies and Foreign IssuersDRS DRS°4,9175,533
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign IssuersF-1 F-1°2,2776,264
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form F-1 Registrations462(b) F-1MEF242
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign IssuersF-2 F-21636
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign IssuersF-2 F-2D1
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for TransactionsF-3 F-3°2,0231,642
Registration:  Statement  
Statement emoji
 
Automatic Shelf Registration Statements by Well-Known Foreign IssuersF-3 F-3ASR°775
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for Dividend and Interest Reinvestment PlansF-3 F-3D66
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form F-3 Registrations462(b) F-3MEF46
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for MergersF-4 F-4°9612,032
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for Mergers (Immediately Effective)F-4 F-4EF1
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form F-4 Registrations462(b) F-4MEF13
Registration:  Statement  
Statement emoji
 
Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs)F-6 F-61,951202
Registration:  Statement  
Statement emoji
 
Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective)F-6 F-6EF7,273
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of RightsF-7 F-75411
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange OffersF-8 F-83251
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Debt and Preferred SecuritiesF-9 F-910190
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Debt and Preferred Securities (Immediately Effective)F-9 F-9EF3
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian IssuersF-10 F-101,0101,001
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers (Immediately Effective)F-10 F-10EF15
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange OffersF-80 F-802622
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment CompaniesN-1 N-12189
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment CompaniesN-1A N-1A°1,9763,008
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment CompaniesN-1A N-1A EL360466
Registration:  Statement  
Statement emoji
 
Registration Statements by Closed-End Investment CompaniesN-2 N-24,2536,349
Registration:  Statement  
Statement emoji
 
Automatic Shelf Registration Statements by Well-Known Closed-End Investment CompaniesN-2 N-2ASR61
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form N-2 Registrations462(b) N-2MEF262
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment Companies for Separate AccountsN-3 N-34122
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment Companies for Separate AccountsN-3 N-3 EL56
Registration:  Statement  
Statement emoji
 
Registration Statements by Variable Annuity Unit Investment Trusts for Separate AccountsN-4 N-42,3942,098
Registration:  Statement  
Statement emoji
 
Registration Statements by Variable Annuity Unit Investment Trusts for Separate AccountsN-4 N-4 EL150141
Registration:  Statement  
Statement emoji
 
Registration Statements by Small Business Investment Companies (SBICs)N-5 N-5910
Registration:  Statement  
Statement emoji
 
Registration Statements by Variable Life Unit Investment Trusts for Separate AccountsN-6 N-6761572
Registration:  Statement  
Statement emoji
 
Registration Statements by Unit Investment TrustsN-8B-2 N-8B-2184178
Registration:  Statement  
Statement emoji
 
Registration Statements by Face-Amount Certificate CompaniesN-8B-4 N-8B-47
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for MergersN-14 N-143,8852,544
Registration:  Statement  
Statement emoji
 
Registration Statements by Closed-End Investment Companies – Securities for MergersN-14 N-14 8C318376
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment Companies – Securities for Mergers (Automatic Effectiveness)N-14 N-14AE891185
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment Companies – Securities for MergersN-14 N14AE2423058
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment Companies – Securities for MergersN-14 N14EL2415889
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form N-14 Registrations462(b) N-14MEF8
Registration:  Statement  
Statement emoji
 
Registration Statements (General Form)S-1 S-1°23,67959,305
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-1 Registrations462(b) S-1MEF2,197
Registration:  Statement  
Statement emoji
 
Registration StatementsS-2 S-29781,457
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-2 Registrations462(b) S-2MEF72
Registration:  Statement  
Statement emoji
 
Registration Statements – Securities for TransactionsS-3 S-3°38,36429,764
Registration:  Statement  
Statement emoji
 
Automatic Shelf Registration Statements by Well-Known IssuersS-3 S-3ASR°9,429
Registration:  Statement  
Statement emoji
 
Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective)S-3 S-3D9735
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-3 Registrations462(b) S-3MEF1,354
Registration:  Statement  
Statement emoji
 
Registration Statements – Securities for MergersS-4 S-4°15,47321,651
Registration:  Statement  
Statement emoji
 
Registration Statements – Securities for the Formation of Bank and Savings & Loan Holding CompaniesS-4 S-4EF7731
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-4 Registrations462(b) S-4MEF183
Registration:  Statement  
Statement emoji
 
Registration Statements by Unit Investment TrustsS-6 S-624,3038,896
Registration:  Statement  
Statement emoji
 
Registration Statements by Unit Investment TrustsS-6 S-6EL241,397359
Registration:  Statement  
Statement emoji
 
Registration Statements – Securities for Certain Employee Benefit PlansS-8 S-892,50018
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Real Estate CompaniesS-11 S-11°1,1913,553
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-11 Registrations462(b) S-11MEF90
Registration:  Statement  
Statement emoji
 
Registration Statements – Standardized OptionsS-20 S-2065
Registration:  Statement  
Statement emoji
 
Registration Statements by Foreign Governments and Political SubdivisionsB S-B377235
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Schedule B Registrations462(b) S-BMEF15
Registration:  Statement  
Statement emoji
 
Registration Statements by Small-Business Issuers (Optional Form)SB-1 SB-1151359
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form SB-1 Registrations462(b) SB-1MEF1
Registration:  Statement  
Statement emoji
 
Registration Statements by Small-Business Issuers (Optional Form)SB-2 SB-27,81216,585
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form SB-2 Registrations462(b) SB-2MEF104
Registration:  Statement  
Statement emoji
 
Registration Statements by Utility Holding CompaniesU5B U5B3210
Registration:  Update – Annual  
Update emoji
 
Annual Updates of Registrations by Municipal AdvisorsMA MA-A×3,738
Registration:  Update  
Update emoji
 
Crowdfunding – Progress UpdatesC-U C-U×4,074
Registration:  Update  
Update emoji
 
Registration Updates by Nationally Recognized Statistical Rating OrganizationsNRSRO NRSRO-UPD244
Registration:  Withdrawal –
Application
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders by Investment CompaniesO-2 40-8F-22240
Registration:  Withdrawal –
Application
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders by Certain Investment Companies – Abandonments of RegistrationN-8F 40-8F-A12465
Registration:  Withdrawal –
Application
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders by Certain Investment Companies – Business Development Companies (BDCs)N-8F 40-8F-B41
Registration:  Withdrawal –
Application
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders by Certain Investment Companies – LiquidationsN-8F 40-8F-L455180
Registration:  Withdrawal –
Application
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders by Certain Investment Companies – MergersN-8F 40-8F-M542174
Registration:  Withdrawal –
Application
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders by Certain Investment CompaniesN-8F N-8F3,3891,548
Registration:  Withdrawal –
Notice
  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Crowdfunding PortalsFunding Portal CFPORTAL-W×27
Registration:  Withdrawal –
Notice
  
Withdrawal emoji
 
Notices of Withdrawals from Registration as a Government Securities Broker or Dealer by Financial InstitutionsG-FINW G-FINW16
Registration:  Withdrawal –
Notice
  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Municipal AdvisorsMA-W MA-W×434
Registration:  Withdrawal –
Notice
  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Municipal Securities DealersMSDW MSDW84
Registration:  Withdrawal –
Notice
  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Business Development Companies (BDCs)N-54C N-54C2184
Registration:  Withdrawal –
Notice
  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Transfer AgentsTA-W TA-W°555
Registration:  Withdrawal  
Withdrawal emoji
 
Withdrawals of Form 1-A Offering StatementsA/A+ 1-A-W37737
Registration:  Withdrawal  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Investment AdvisorsADV-W ADVW9
Registration:  Withdrawal  
Withdrawal emoji
 
Withdrawals of Applications for Exemption Orders and Other ReliefICA APP WD53721
Registration:  Withdrawal  
Withdrawal emoji
 
Amendment Withdrawal Requests AW4,173
Registration:  Withdrawal  
Withdrawal emoji
 
Amendment Withdrawal Requests – Withdraw Duplicates AW WD116
Registration:  Withdrawal  
Withdrawal emoji
 
Crowdfunding – Offering Statement Amendment WithdrawalsC/A-W C/A-W×24
Registration:  Withdrawal  
Withdrawal emoji
 
Crowdfunding – Offering Statement WithdrawalsC-W C-W×902
Registration:  Withdrawal  
Withdrawal emoji
 
Crowdfunding – Termination of Reporting WithdrawalsC-TR-W C-TR-W×12
Registration:  Withdrawal  
Withdrawal emoji
 
Crowdfunding – Progress Update WithdrawalsC-U-W C-U-W×20
Registration:  Withdrawal  
Withdrawal emoji
 
Registration Withdrawal Requests RW13,028
Registration:  Withdrawal  
Withdrawal emoji
 
Withdrawals of Registration Withdrawal Requests RW WD446
Registration:  Withdrawal  
Withdrawal emoji
 
Withdrawal Requests for Materials Previously FiledA/A+ WDL-REQ62
SEC:  Application –
Notice
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices 
SEC emoji
ICA 6B NTC29
SEC:  Application –
Notice
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices 
SEC emoji
ICA APP NTC1,069
SEC:  Application –
Notice
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-OIP’ SEC Notices 
SEC emoji
ICA OIP NTC67
SEC:  Application –
Order
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders 
SEC emoji
ICA 6B ORDR29
SEC:  Application –
Order
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders 
SEC emoji
ICA APP ORDR1,020
SEC:  Application –
Order
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-OIP’ SEC Orders 
SEC emoji
ICA OIP ORDR61
SEC:  Cancellation –
Order
  
Cancellation emoji
 
Cancellations of Investment Advisor Registrations by SEC Orders 
SEC emoji
IAA ADVCO53
SEC:  Cancellation –
Order
  
Cancellation emoji
 
Cancellations of Broker and Dealer Registrations by SEC Orders 
SEC emoji
 BDCO430
SEC:  Cancellation –
Order
  
Cancellation emoji
 
Cancellations of Certain Municipal Advisor Registrations by SEC Orders 
SEC emoji
SEA §15B(c)(3) CANCEL-MA35
SEC:  Cancellation –
Order
  
Cancellation emoji
 
Cancellations of Municipal Securities Dealer Registrations by SEC Orders 
SEC emoji
 MSDCO22
SEC:  Cancellation –
Order
  
Cancellation emoji
 
SEC Orders Revoking Registrations 
SEC emoji
SEA §12(j) REVOKED6,354
SEC:  Cancellation –
Order
  
Cancellation emoji
 
SEC Orders Revoking Registrations of Municipal Advisors 
SEC emoji
SEA §15B(c)(2) REVOKED-MA1
SEC:  Cancellation –
Order
  
Cancellation emoji
 
Cancellations of Transfer Agent Registrations by SEC Orders 
SEC emoji
 TACO181
SEC:  Letter  
Letter emoji
 
SEC No-Action Letters re: Shareholder Proposals 
SEC emoji
  [ a.k.a. Document 14A-8 ]
14a-8 NO ACT9,085
SEC:  Letter  
Letter emoji
 
SEC Staff Letters 
SEC emoji
  [ a.k.a. Documents LETTER, 14A-8 (No-Action Letter), REDACTED EXHIBIT, SERIOUS DEFICIENCIES & STAFF LETTER ]  (Delayed Release)
 SEC LETTER1,621
SEC:  Notice  
Notice emoji
 
SEC Notices of Effectiveness 
SEC emoji
 EFFECT×67,115
SEC:  Notice  
Notice emoji
 
SEC Notices of Qualification 
SEC emoji
A/A+ QUALIF×2,518
SEC:  SEC – Order  
SEC emoji
 
SEC Confidential Treatment Orders 
SEC emoji
 CT ORDER16,236
SEC:  SEC – Order  
SEC emoji
 
SEC Staff Actions 
SEC emoji
  [ a.k.a. Documents ORDER (SEC Order) & STAFF ACTION ]
 SEC ACTION797
SEC:  SEC – Order  
SEC emoji
 
SEC Stop Orders 
SEC emoji
 STOP ORDER61
SEC:  Withdrawal –
Grant
  
Withdrawal emoji
 
Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants 
SEC emoji
ICA APP WDG128
SEC:  Withdrawal –
Notice
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Notices 
SEC emoji
ICA 8F-2 NTC6
SEC:  Withdrawal –
Notice
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices 
SEC emoji
ICA N-8F NTC1,986
SEC:  Withdrawal –
Order
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Orders 
SEC emoji
ICA 8F-2 ORDR5
SEC:  Withdrawal –
Order
  
Withdrawal emoji
 
Investment Company Registrations Withdrawn by SEC Orders 
SEC emoji
ICA 40-8FC31
SEC:  Withdrawal –
Order
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders 
SEC emoji
ICA N-8F ORDR2,128
Trading:  Amendment  /A  Alternative Trading Systems (NMS Stock) – Correcting AmendmentsATS-N ATS-N/CA×73
Trading:  Amendment  /A  Alternative Trading Systems (NMS Stock) – Material AmendmentsATS-N ATS-N/MA×191
Trading:  Amendment  /A  Alternative Trading Systems (NMS Stock) – Order Display and Fair Access AmendmentsATS-N ATS-N/OFA×8
Trading:  Amendment  /A  Alternative Trading Systems (NMS Stock) – Updating AmendmentsATS-N ATS-N/UA×420
Trading:  Application  
Application emoji
 
Applications for Registration, or an Exemption from Registration, as a National Securities Exchange1 1942,612
Trading:  Certification  
Certification emoji
 
Certifications by Securities Exchanges Approving ListingsCERT CERT7,080
Trading:  Certification  
Certification emoji
 
Certifications by the American Stock Exchange Approving ListingsCERT CERTAMX1,585
Trading:  Certification  
Certification emoji
 
Certifications by the NYSE Archipelago Approving ListingsCERT CERTARCA362
Trading:  Certification  
Certification emoji
 
Certifications by the Cboe Bats Exchanges Approving ListingsCERT CERTBATS75
Trading:  Certification  
Certification emoji
 
Certifications by the Boston Stock Exchange Approving ListingsCERT CERTBSE13
Trading:  Certification  
Certification emoji
 
Certifications by the Cboe Global Markets Approving ListingsCERT CERTCBO74
Trading:  Certification  
Certification emoji
 
Certifications by the Chicago Stock Exchange Approving ListingsCERT CERTCSE2
Trading:  Certification  
Certification emoji
 
Certifications by the Nasdaq Stock Market Approving ListingsCERT CERTNAS2,776
Trading:  Certification  
Certification emoji
 
Certifications by the NYSE Approving ListingsCERT CERTNYS5,655
Trading:  Certification  
Certification emoji
 
Certifications by the Pacific Coast Stock Exchange Approving ListingsCERT CERTPAC542
Trading:  Certification  
Certification emoji
 
Certifications by the Philadelphia Stock Exchange Approving ListingsCERT CERTPBS3
Trading:  Information  
Information emoji
 
Proposed Rule Changes by Self-Regulatory Organizations (SROs)19b-4 19B-4102
Trading:  Information  
Information emoji
 
Info from Self-Regulatory Organizations (SROs) Listing and Trading New Derivative Securities Products19b-4(e) 19B-4E30,146
Trading:  Information  
Information emoji
 
Alternative Trading Systems (NMS Stock) – Initial InfoATS-N ATS-N×5
Trading:  Notice  
Notice emoji
 
Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities25 254,42245
Trading:  Notice  
Notice emoji
 
Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities25 25-NSE×14,156278
Trading:  Notice  
Notice emoji
 
Notices of Admissions to Trading of Substituted and Additional Classes of Securities26 262
Trading:  Notice  
Notice emoji
 
Alternative Trading Systems (NMS Stock) – Notices of CessationATS-N ATS-N-C×17
Trading:  Withdrawal  
Withdrawal emoji
 
Alternative Trading Systems (NMS Stock) – Withdrawals of Form ATS-N ATS-N-W×4
Update:  Accounting  
Accounting emoji
 
Accountings for Segregated Trust AccountsN-27D-1 N-27D-112
Update:  Accounting –
Certificate
  
Accounting emoji
 
Certificates of Accounting of Securities of Investment Companies in the Custody of Members of National Securities ExchangesN-17f-1 40-17F173418
Update:  Accounting –
Certificate
  
Accounting emoji
 
Certificates of Accounting of Securities in the Custody of Investment CompaniesN-17f-2 40-17F219,865151
Update:  Accounting –
Certificate
  
Accounting emoji
 
Certificates of Accounting of Client Securities and Funds in the Possession or Custody of Investment AdvisorsADV-E ADV-E2,451
Update:  Application  
Application emoji
 
Applications for Exemptions and from Filing Certain Reports§12(g) / 13(a) 34-12H7
Update:  Application  
Application emoji
 
Applications for Extensions of Time to File Reports by Investment Companies8b-25(a) 40-8B25116
Update:  Application  
Application emoji
 
Applications for Continuing Hardship Exemptions by Investment AdvisorsADV-H ADV-H-C8
Update:  Application  
Application emoji
 
Applications for Temporary Hardship Exemptions by Investment AdvisorsADV-H ADV-H-T77
Update:  Application –
Statement
  
Application emoji
 
Statements re: Proposed Transactions where No Application is Prescribed35-APP 35-APP62
Update:  Bond  
Bond emoji
 
Fidelity Bonds for Investment Companies17g-1(g) 40-17G28,9772,370
Update:  Bond – Claim  
Bond emoji
 
Fidelity Bonds for Investment Companies – Claims and Settlements17g-1(g) 40-17GCS19
Update:  Certificate  
Certificate emoji
 
Certificates re: Terms and Conditions of Transactions35-CERT 35-CERT5,13998
Update:  Certificate  
Certificate emoji
 
Certificates re: Leases of Utility FacilitiesU-7D U-7D3139
Update:  Document –
Claim
  
Document emoji
 
Stockholder Derivative Actions Against Investment Companies and AffiliatesICA §33 40-331,0908
Update:  Document –
Profile
  
Document emoji
 
Profiles of Certain Open-End Investment Companies497(k)(1)(i) 497K1317
Update:  Document –
Profile
  
Document emoji
 
Profiles of Certain Open-End Investment Companies497(k)(1)(ii) 497K2164
Update:  Document –
Profile
  
Document emoji
 
Profiles of Certain Open-End Investment Companies497(k)(1)(iii)(A) 497K3A52
Update:  Document –
Profile
  
Document emoji
 
Profiles of Certain Open-End Investment Companies497(k)(1)(iii)(B) 497K3B2,294
Update:  Document –
Special
  
Document emoji
 
Specialized Disclosures re: the Holding Foreign Companies Accountable ActSPDSCL SPDSCL12
Update:  Exhibit  
Exhibit emoji
 
Separate Exhibits – Scanned Paper-Format Exhibits of Other Electronic FilingsSE SE3,594
Update:  Notice – Annual  
Notice emoji
 
Annual Notices of Securities Sold by Investment Companies24F-2 24F-2NT°197,3303,238
Update:  Notice –
Certificate
  
Notice emoji
 
Certificates of Notices of Security Issues, Renewals and GuaranteesU-6B-2 U-6B-21,2849
Update:  Notice  
Notice emoji
 
Notices of Assumptions of Duty to File Reports by Successor Issuers8-K 8-K15D5712
Update:  Notice  
Notice emoji
 
Notices of Suspensions of Duty to File Reports15 15-15D16,449217
Update:  Notice  
Notice emoji
 
Notices of Suspensions of Duty to File Reports by Foreign Issuers15F 15F-15D1474
Update:  Notice  
Notice emoji
 
Notices of Iran/Syria Disclosures in Quarterly and Annual ReportsITRASHRA IRANNOTICE3,944
Update:  Notice  
Notice emoji
 
Notices of Intentions to Elect Business Development Company (BDC) StatusN-6F N-6F16568
Update:  Notice  
Notice emoji
 
Notices of Elections by Open-End Investment CompaniesN-18f-1 N-18F11,28931
Update:  Notice  
Notice emoji
 
Notices of Elections by Business Development Companies (BDCs)N-54A N-54A3699
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-D Distribution Reports12b-25 NT 10-D101
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-D Distribution Reports (Late Notices)12b-25 NTN 10D5
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-K Annual Reports12b-25 NT 10-K45,954737
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-K Annual Reports (Late Notices)12b-25 NTN 10K1,580
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-Q Quarterly Reports12b-25 NT 10-Q°76,552660
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices)12b-25 NTN 10Q2,302
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 11-K Annual Reports12b-25 NT 11-K1,69517
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 11-K Annual Reports (Late Notices)12b-25 NTN 11K18
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 20-F Annual Reports12b-25 NT 20-F2,04934
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 20-F Annual Reports (Late Notices)12b-25 NTN 20F37
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form N-CEN Annual Reports12b-25 NT-NCEN832
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form N-CEN Annual Reports (Late Notices)12b-25 NTFNCEN17
Update:  Notice  
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Notices of Late Filings of Form N-CSR Shareholder Reports12b-25 NT-NCSR37939
Update:  Notice  
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Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices)12b-25 NTFNCSR82
Update:  Notice  
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Notices of Late Filings of Form N-SAR Semi-Annual Reports12b-25 NT-NSAR2,590116
Update:  Notice  
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Notices of Late Filings of Form N-SAR Semi-Annual Reports (Late Notices)12b-25 NTFNSAR190
Update:  Notice  
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Notices of Late Filings of ‘SP 15D2’ Special Financial Reports12b-25 NT 15D297
Update:  Notice  
Notice emoji
 
Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices)12b-25 NTN15D23
Update:  Notice  
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Notices by Certain Variable Annuity/Life ContractsN-VP N-VP505627
Update:  Notice  
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Notices of Reliance on a Temporary Hardship ExemptionTH TH135
Update:  Notice  
Notice emoji
 
Notices of Status by Foreign Utility CompaniesU-57 U-57614237
Update:  Report –
Accounting
  
Report emoji
 
Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers FOCUSN32,8901,088
Update:  Report –
Accounting
  
Report emoji
 
Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405N G-405N511
Update:  Report – Annual  
Report emoji
 
Annual Reports and Special Financial Reports1-K 1-K×1,49892
Update:  Report – Annual  
Report emoji
 
Annual Reports10-K 10-K°215,63244,897
Update:  Report – Annual  
Report emoji
 
Annual Reports — Reg. S-K – Item 40510-K 10-K40520,2363,227
Update:  Report – Annual  
Report emoji
 
Annual and Annual-Transition Reports by Small Businesses (Optional Form)10-KSB 10KSB37,06211,939
Update:  Report – Annual  
Report emoji
 
Annual and Annual-Transition Reports by Small Businesses — Reg. S-B – Item 40510-KSB 10KSB403,459629
Update:  Report – Annual  
Report emoji
 
Annual-Transition Reports10-K 10-KT°567131
Update:  Report – Annual  
Report emoji
 
Annual-Transition Reports — Reg. S-K – Item 40510-K 10KT4058217
Update:  Report – Annual  
Report emoji
 
Annual Reports by Employee Stock Purchase, Savings and Similar Plans11-K 11-K43,8171,021
Update:  Report – Annual  
Report emoji
 
Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-K 11-KT1002
Update:  Report – Annual  
Report emoji
 
Annual Reports by Foreign Governments and Political Subdivisions18-K 18-K°8322,721
Update:  Report – Annual  
Report emoji
 
Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers20-F 20-F°18,7973,875
Update:  Report – Annual  
Report emoji
 
Annual Reports by Canadian Issuers40-F 40-F°3,223564
Update:  Report – Annual  
Report emoji
 
Annual Reports by International Development Banks ANNLRPT°1323
Update:  Report – Annual  
Report emoji
 
Annual Reports to Security Holders ARS°40,49761
Update:  Report – Annual  
Report emoji
 
Crowdfunding – Annual ReportsC-AR C-AR×3,228215
Update:  Report – Annual  
Report emoji
 
Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405 G-405653
Update:  Report – Annual  
Report emoji
 
Annual Reports by Investment CompaniesN-CEN N-CEN×19,1521,927
Update:  Report – Annual  
Report emoji
 
Annual Reports by Investment Companies (Late Filings)N-CEN NT N-CEN°220
Update:  Report – Annual  
Report emoji
 
Annual Certified Shareholder Reports by Investment CompaniesN-CSR N-CSR°72,6643,591
Update:  Report – Annual  
Report emoji
 
Annual Reports by Investment CompaniesN-SAR NSAR-B73,5426,357
Update:  Report – Annual  
Report emoji
 
Annual-Transition Reports by Investment CompaniesN-SAR NSAR-BT68954
Update:  Report – Annual  
Report emoji
 
Annual Reports by Unit Investment TrustsN-SAR NSAR-U16,570351
Update:  Report – Annual  
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Annual Reports of Activity by Transfer AgentsTA-2 TA-2°9,541833
Update:  Report – Annual  
Report emoji
 
Annual Reports by Utility Holding CompaniesU5S U5S24268
Update:  Report – Annual  
Report emoji
 
Annual Reports by Mutual and Subsidiary Service CompaniesU-13-60 U-13-6036617
Update:  Report – Annual  
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Annual Reports by Foreign Utility CompaniesU-33-S U-33-S481
Update:  Report – Annual  
Report emoji
 
Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and DealersX-17A-5 X-17A-5°98,6916,215
Update:  Report –
Current
  
Report emoji
 
Current Reports1-U 1-U6,98559
Update:  Report –
Current
  
Report emoji
 
Current Reports8-K 8-K°1,865,87981,339
Update:  Report –
Current
  
Report emoji
 
Current Reports of Material Events by Money-Market FundsN-CR N-CR7213
Update:  Report –
Exemption
  
Report emoji
 
Reports Required for Exemptions from the Investment Company Act by Certain ApplicantsICA 40-RPT2
Update:  Report –
Monthly
  
Report emoji
 
Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies  [ with Document NPORT-EX ]N-PORT NPORT-P×216,3173,773
Update:  Report –
Monthly
  
Report emoji
 
Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings)  [ with Document NPORT-EX ]N-PORT NT NPORT-P×417
Update:  Report –
Periodic
  
Report emoji
 
Current, Quarterly and Annual Reports by Foreign Issuers6-K 6-K°501,7446,296
Update:  Report –
Periodic
  
Report emoji
 
Reports of Changes in the Number of Shares Outstanding and Issuer Name Changes by Issuers of Securities Quoted on the Nasdaq Stock Market10-C 10-C1,30525
Update:  Report –
Periodic
  
Report emoji
 
Reports by the Asian Development Bank ADB18
Update:  Report –
Periodic
  
Report emoji
 
Reports by the African Development Bank AFDB91
Update:  Report –
Periodic
  
Report emoji
 
Reports by the European Bank for Reconstruction and Development EBRD161
Update:  Report –
Periodic
  
Report emoji
 
Reports by the Inter-American Development Bank IADB13
Update:  Report –
Periodic
  
Report emoji
 
Reports by the International Finance Corporation IFC6
Update:  Report –
Periodic
  
Report emoji
 
Periodic and Interim Reports Mailed to Shareholders by Investment Companies30b-2 N-30B-213,097
Update:  Report –
Periodic
  
Report emoji
 
Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies30d-1 N-30D71,8291,056
Update:  Report –
Quarterly
  
Report emoji
 
Quarterly Reports10-Q 10-Q°652,29745,657
Update:  Report –
Quarterly
  
Report emoji
 
Quarterly and Quarterly-Transition Reports by Small Businesses (Optional Form)10-QSB 10QSB120,30817,154
Update:  Report –
Quarterly
  
Report emoji
 
Quarterly-Transition Reports10-Q 10-QT°22836
Update:  Report –
Quarterly
  
Report emoji
 
Quarterly Reports by the International Bank for Reconstruction and Development (World Bank)BW – 2 BW-227
Update:  Report –
Quarterly
  
Report emoji
 
Quarterly Reports by International Development Banks QRTLYRPT2029
Update:  Report –
Quarterly
  
Report emoji
 
Quarterly Reports by Energy and Gas-Related CompaniesU-9C-3 U-9C-363616
Update:  Report  
Report emoji
 
Reports of Sales of Securities2-A 2-A5281
Update:  Report  
Report emoji
 
Final Reports of Sales of Securities2-A 2-AF36
Update:  Report  
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Reports of Sales of Securities by Investment Companies (SBICs and BDCs)2-E 2-E8711
Update:  Report –
Semi-Annual
  
Report emoji
 
Semi-Annual Reports and Special Financial Reports1-SA 1-SA1,75171
Update:  Report –
Semi-Annual
  
Report emoji
 
Semi-Annual Certified Shareholder Reports by Investment CompaniesN-CSR N-CSRS°64,5511,115
Update:  Report –
Semi-Annual
  
Report emoji
 
Semi-Annual Reports by Investment CompaniesN-SAR NSAR-A73,4064,002
Update:  Report –
Semi-Annual
  
Report emoji
 
Semi-Annual-Transition Reports by Investment CompaniesN-SAR NSAR-AT20216
Update:  Report –
Special
  
Report emoji
 
Specialized Disclosure Reports re: Uses of Conflict MineralsSD SD11,24734
Update:  Report –
Special
  
Report emoji
 
Special Financial Reports15d-2 SP 15D2602
Update:  Report –
Transactional
  
Report emoji
 
Distribution of Primary Obligations Reports by the International Bank for Reconstruction and Development (World Bank)BW – 3 BW-393
Update:  Report –
Transactional
  
Report emoji
 
Distribution of Primary Obligations Reports by International Development Banks DSTRBRPT94722
Update:  Sales Media –
Advertising
  
Sales Media emoji
 
Advertising by Certain Investment Companies497 & 482(c) 497AD4,844
Update:  Sales Media –
Literature
  
Sales Media emoji
 
Sales Literature from Investment Companies24b-2 40-24B23,38486
Update:  Schedule –
Exhibit
  
Schedule emoji
 
Portfolio Holdings Schedules by Investment Companies 
Schedule emoji
  [ now Document NPORT-EX of Filing NPORT-P ]
N-PORT NPORT-EX7,21016
Update:  Schedule –
Exhibit
  
Schedule emoji
 
Portfolio Holdings Schedules by Investment Companies (Late Filings) 
Schedule emoji
  [ now Document NPORT-EX of Filing NPORT-P ]
N-PORT NT NPORTEX85
Update:  Schedule –
Monthly
  
Schedule emoji
 
Monthly Portfolio Holdings Schedules by Money-Market FundsN-MFP N-MFP×41,4142,243
Update:  Schedule –
Monthly
  
Schedule emoji
 
Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)N-MFP NT N-MFP°238
Update:  Schedule –
Monthly
  
Schedule emoji
 
Monthly Portfolio Holdings Schedules by Money-Market FundsN-MFP N-MFP1×3,040553
Update:  Schedule –
Monthly
  
Schedule emoji
 
Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)N-MFP NT N-MFP1°35
Update:  Schedule –
Monthly
  
Schedule emoji
 
Monthly Portfolio Holdings Schedules by Money-Market FundsN-MFP N-MFP2×34,8681,577
Update:  Schedule –
Monthly
  
Schedule emoji
 
Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)N-MFP NT N-MFP2°300
Update:  Schedule –
Quarterly
  
Schedule emoji
 
Quarterly Portfolio Holdings Schedules by Investment CompaniesN-Q N-Q°94,9311,010
Update:  Statement  
Statement emoji
 
Financial Statements of Certain Variable Annuity/Life ContractsN-VPFS N-VPFS1,924110
Update:  Withdrawal  
Withdrawal emoji
 
Withdrawals of Exit Reports1-Z 1-Z-W6
Update:  Withdrawal  
Withdrawal emoji
 
Crowdfunding – Annual Report WithdrawalsC-AR-W C-AR-W×10
 
See Filing/Form Type Totals by Time Periods Σ Totals:     14,997,162   1,610,685 
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