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				Form, Sch., Rule or Reg.	Filing/Form Type		Filings   (→Latest)
Category			Description				Original  Amended
Update:	Accounting		Accountings for Segregated Trust Accounts	N-27D-1		N-27D-1	12	–
Registration:	Material		Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed	–		ADN-MTL	50	–
Update:	Sales Media – Advertising		Advertising by Certain Investment Companies	497 & 482(c)		497AD	4,854	–
Registration:	Sales Media – Advertising		Advertising by Small Business Investment and Business Development Companies (SBICs and BDCs)	1-E		1-E AD	2	–
Trading:	Amendment	/A	Alternative Trading Systems (NMS Stock) – Correcting Amendments	ATS-N		ATS-N/CA×	73
Trading:	Information		Alternative Trading Systems (NMS Stock) – Initial Info	ATS-N		ATS-N×	5
Trading:	Amendment	/A	Alternative Trading Systems (NMS Stock) – Material Amendments	ATS-N		ATS-N/MA×	192
Trading:	Notice		Alternative Trading Systems (NMS Stock) – Notices of Cessation	ATS-N		ATS-N-C×	17
Trading:	Amendment	/A	Alternative Trading Systems (NMS Stock) – Order Display and Fair Access Amendments	ATS-N		ATS-N/OFA×	8
Trading:	Amendment	/A	Alternative Trading Systems (NMS Stock) – Updating Amendments	ATS-N		ATS-N/UA×	423
Trading:	Withdrawal		Alternative Trading Systems (NMS Stock) – Withdrawals of Form ATS-N	–		ATS-N-W×	4
Registration:	Withdrawal		Amendment Withdrawal Requests	†		AW	4,180	–
Registration:	Withdrawal		Amendment Withdrawal Requests – Withdraw Duplicates	†		AW WD	116	–
Update:	Report – Annual		Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers	20-F		20-F°	18,919	3,883
Update:	Report – Annual		Annual and Annual-Transition Reports by Small Businesses (Optional Form)	10-KSB		10KSB	37,062	11,939
Update:	Report – Annual		Annual and Annual-Transition Reports by Small Businesses — Reg. S-B – Item 405	10-KSB		10KSB40	3,459	629
Update:	Report – Periodic		Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies	30d-1		N-30D	71,829	1,056
Update:	Report – Accounting		Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers	–		FOCUSN	33,039	1,088
Update:	Report – Accounting		Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers	G-405N		G-405N	51	1
Registration:	Certification – Annual		Annual Certifications by Nationally Recognized Statistical Rating Organizations	NRSRO		NRSRO-CE	89	36
Update:	Report – Annual		Annual Certified Shareholder Reports by Investment Companies	N-CSR		N-CSR°	72,703	3,604
Update:	Report – Annual		Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers	X-17A-5		X-17A-5°	99,422	6,235
Update:	Report – Annual		Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers	G-405		G-405	65	3
Update:	Notice – Annual		Annual Notices of Securities Sold by Investment Companies	24F-2		24F-2NT°	197,499	3,239
Proxy:	Report – Annual		Annual Proxy Voting Reports by Investment Companies	N-PX		N-PX	59,265	1,982
Update:	Report – Annual		Annual Reports	10-K		10-K°	216,747	44,972
Update:	Report – Annual		Annual Reports — Reg. S-K – Item 405	10-K		10-K405	20,236	3,227
Update:	Report – Annual		Annual Reports and Special Financial Reports	1-K		1-K×	1,517	92
Update:	Report – Annual		Annual Reports by Canadian Issuers	40-F		40-F°	3,242	567
Update:	Report – Annual		Annual Reports by Employee Stock Purchase, Savings and Similar Plans	11-K		11-K	43,821	1,021
Update:	Report – Annual		Annual Reports by Foreign Governments and Political Subdivisions	18-K		18-K°	836	2,729
Update:	Report – Annual		Annual Reports by Foreign Utility Companies	U-33-S		U-33-S	48	1
Update:	Report – Annual		Annual Reports by International Development Banks	–		ANNLRPT°	132	3
Update:	Report – Annual		Annual Reports by Investment Companies	N-CEN		N-CEN×	19,216	1,939
Update:	Report – Annual		Annual Reports by Investment Companies	N-SAR		NSAR-B	73,542	6,357
Update:	Report – Annual		Annual Reports by Investment Companies (Late Filings)	N-CEN		NT N-CEN°	224	–
Update:	Report – Annual		Annual Reports by Mutual and Subsidiary Service Companies	U-13-60		U-13-60	366	17
Update:	Report – Annual		Annual Reports by Unit Investment Trusts	N-SAR		NSAR-U	16,570	351
Update:	Report – Annual		Annual Reports by Utility Holding Companies	U5S		U5S	242	68
Update:	Report – Annual		Annual Reports of Activity by Transfer Agents	TA-2		TA-2°	9,596	835
Update:	Report – Annual		Annual Reports to Security Holders	–		ARS°	41,321	68
Registration:	Statement – Annual		Annual Statements by Banks Claiming an Exemption	U-3A3-1		U-3A3-1	21	–
Ownership:	Statement – Annual		Annual Statements of Changes in Beneficial Ownership of Securities by Insiders	5		5°	113,577	4,229
Registration:	Update – Annual		Annual Updates of Registrations by Municipal Advisors	MA		MA-A×	3,816	–
Update:	Report – Annual		Annual-Transition Reports	10-K		10-KT°	569	131
Update:	Report – Annual		Annual-Transition Reports — Reg. S-K – Item 405	10-K		10KT405	82	17
Update:	Report – Annual		Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans	11-K		11-KT	100	2
Update:	Report – Annual		Annual-Transition Reports by Investment Companies	N-SAR		NSAR-BT	689	54
Registration:	Application		Applications and Declarations	U-1		U-1	969	2,309
Update:	Application		Applications for Continuing Hardship Exemptions by Investment Advisors	ADV-H		ADV-H-C	8	–
Registration:	Application		Applications for Determinations of Eligibility to Act as a Trustee by Foreign Entities	T-6		T-6	2	–
Registration:	Application		Applications for EDGAR Access and New SEC Central Index Keys (CIKs)	ID		ID-NEWCIK	1	–
Registration:	Application		Applications for Exemption Orders and Other Relief by Investment Companies	O-2		40-APP	2,269	3,415
Registration:	Application		Applications for Exemption Orders by Employees’ Investment Companies	O-2		40-6B	70	193
Update:	Application		Applications for Exemptions and from Filing Certain Reports	§12(g) / 13(a)		34-12H	7	–
Registration:	Application		Applications for Exemptions and Other Relief by Investment Companies	ICA §6(c)		40-6C	433	529
Registration:	Application		Applications for Exemptions by Investment Advisors	IAA §206(3)		40-206A	48	39
Update:	Application		Applications for Extensions of Time to File Reports by Investment Companies	8b-25(a)		40-8B25	116	–
Registration:	Application		Applications for Performance Fee Exemptions by Investment Advisors	IAA §205		40-205E	3	2
Registration:	Application		Applications for Qualifications of Trust Indentures	T-3		T-3	647	643
Registration:	Application		Applications for Registration by Crowdfunding Portals	Funding Portal		CFPORTAL×	126	532
Registration:	Application		Applications for Registration by Security-Based Swap Data Repositories	SDR		SDR×	2	4
Registration:	Application		Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants	SBSE		SBSE×	5	25
Registration:	Application		Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-Dealers	SBSE-BD		SBSE-BD×	7	3
Registration:	Application		Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as such	SBSE-A		SBSE-A×	39	266
Trading:	Application		Applications for Registration, or an Exemption from Registration, as a National Securities Exchange	1		1	94	2,645
Registration:	Application		Applications for Registration, or an Exemption therefrom, as a Clearing Agency	CA-1		CA-1	2	–
Registration:	Application		Applications for Registrations by Investment Advisors	ADV		ADV	–	1
Registration:	Application		Applications for Registrations by Municipal Advisors	MA		MA×	926	2,323
Registration:	Application		Applications for Registrations by Municipal Securities Dealers	MSD		MSD	46	463
Registration:	Application		Applications for Registrations by Transfer Agents	TA-1		TA-1°	489	4,840
SEC:	Withdrawal – Notice		Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Notices	ICA		8F-2 NTC	6
SEC:	Withdrawal – Order		Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Orders	ICA		8F-2 ORDR	5
SEC:	Withdrawal – Notice		Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices	ICA		N-8F NTC	1,991
SEC:	Withdrawal – Order		Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders	ICA		N-8F ORDR	2,128
Registration:	Withdrawal – Application		Applications for SEC Deregistration Orders by Certain Investment Companies	N-8F		N-8F	3,391	1,548
Registration:	Withdrawal – Application		Applications for SEC Deregistration Orders by Certain Investment Companies – Abandonments of Registration	N-8F		40-8F-A	124	65
Registration:	Withdrawal – Application		Applications for SEC Deregistration Orders by Certain Investment Companies – Business Development Companies (BDCs)	N-8F		40-8F-B	4	1
Registration:	Withdrawal – Application		Applications for SEC Deregistration Orders by Certain Investment Companies – Liquidations	N-8F		40-8F-L	455	180
Registration:	Withdrawal – Application		Applications for SEC Deregistration Orders by Certain Investment Companies – Mergers	N-8F		40-8F-M	542	174
Registration:	Withdrawal – Application		Applications for SEC Deregistration Orders by Investment Companies	O-2		40-8F-2	22	40
SEC:	Application – Notice		Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices	ICA		6B NTC	29
SEC:	Application – Order		Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders	ICA		6B ORDR	29
SEC:	Application – Notice		Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices	ICA		APP NTC	1,073
SEC:	Application – Order		Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders	ICA		APP ORDR	1,025
SEC:	Application – Notice		Applications for SEC Exemption Orders – ‘40-OIP’ SEC Notices	ICA		OIP NTC	67
SEC:	Application – Order		Applications for SEC Exemption Orders – ‘40-OIP’ SEC Orders	ICA		OIP ORDR	61
Registration:	Application		Applications for SEC Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment Companies	O-2		40-OIP	82	156
Update:	Application		Applications for Temporary Hardship Exemptions by Investment Advisors	ADV-H		ADV-H-T	77	–
Registration:	Application		Applications re: Conflicts of Interest Under the Trust Indenture Act	TIA		39-310B	2	–
Registration:	Application		Applications to Designate the Applicant a Person Not Within the Intent of the Investment Advisers Act	IAA §202		40-202A	33	36
Registration:	Application – Exemption		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 Act	TIA		39-304D	9	1
Registration:	Individual – Appointment		Appointments of U.S. Agents for Service of Process by Foreign Banks and Insurance Companies	F-N		F-N	454	34
Registration:	Individual – Appointment		Appointments of U.S. Agents for Service of Process by Foreign Non-Financial Entities	F-X		F-X	3,148	320
Registration:	Individual – Appointment		Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Corporations	8-M		8-M	67	–
Registration:	Individual – Appointment		Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer General Partners	10-M		10-M	1	–
Registration:	Individual – Appointment		Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Partnerships	9-M		9-M	13	–
Registration:	Individual – Appointment		Appointments of U.S. Agents for Service of Process by Non-Resident General Partners and Managing Agents of Investment Advisors	ADV-NR		ADV-NR	690	–
ABS:	Exhibit		Asset-Backed Securities [XML] Exhibits	ABS-EE		ABS-EE°	28,345	291
ABS:	Report – Periodic		Asset-Backed Securities Securitizer Reports	ABS-15G		ABS-15G	18,816	5,770
Registration:	Statement		Automatic Shelf Registration Statements by Well-Known Closed-End Investment Companies	N-2		N-2ASR	61	–
Registration:	Statement		Automatic Shelf Registration Statements by Well-Known Foreign Issuers	F-3		F-3ASR°	779	–
Registration:	Statement		Automatic Shelf Registration Statements by Well-Known Issuers	S-3		S-3ASR°	9,453	–
SEC:	Cancellation – Order		Cancellations of Broker and Dealer Registrations by SEC Orders	–		BDCO	430
SEC:	Cancellation – Order		Cancellations of Certain Municipal Advisor Registrations by SEC Orders	SEA §15B(c)(3)		CANCEL-MA	35
SEC:	Cancellation – Order		Cancellations of Investment Advisor Registrations by SEC Orders	IAA		ADVCO	53
SEC:	Cancellation – Order		Cancellations of Municipal Securities Dealer Registrations by SEC Orders	–		MSDCO	30
SEC:	Cancellation – Order		Cancellations of Transfer Agent Registrations by SEC Orders	–		TACO	181
Update:	Accounting – Certificate		Certificates of Accounting of Client Securities and Funds in the Possession or Custody of Investment Advisors	ADV-E		ADV-E	2,451	–
Update:	Accounting – Certificate		Certificates of Accounting of Securities in the Custody of Investment Companies	N-17f-2		40-17F2	19,875	151
Update:	Accounting – Certificate		Certificates of Accounting of Securities of Investment Companies in the Custody of Members of National Securities Exchanges	N-17f-1		40-17F1	734	18
Update:	Notice – Certificate		Certificates of Notices of Security Issues, Renewals and Guarantees	U-6B-2		U-6B-2	1,284	9
Update:	Certificate		Certificates re: Leases of Utility Facilities	U-7D		U-7D	31	39
Update:	Certificate		Certificates re: Terms and Conditions of Transactions	35-CERT		35-CERT	5,139	98
Trading:	Certification		Certifications by Securities Exchanges Approving Listings	CERT		CERT	7,122
Trading:	Certification		Certifications by the American Stock Exchange Approving Listings	CERT		CERTAMX	1,585
Trading:	Certification		Certifications by the Boston Stock Exchange Approving Listings	CERT		CERTBSE	13
Trading:	Certification		Certifications by the Cboe Bats Exchanges Approving Listings	CERT		CERTBATS	75
Trading:	Certification		Certifications by the Cboe Global Markets Approving Listings	CERT		CERTCBO	74
Trading:	Certification		Certifications by the Chicago Stock Exchange Approving Listings	CERT		CERTCSE	2
Trading:	Certification		Certifications by the Nasdaq Stock Market Approving Listings	CERT		CERTNAS	2,776
Trading:	Certification		Certifications by the NYSE Approving Listings	CERT		CERTNYS	5,655
Trading:	Certification		Certifications by the NYSE Archipelago Approving Listings	CERT		CERTARCA	362
Trading:	Certification		Certifications by the Pacific Coast Stock Exchange Approving Listings	CERT		CERTPAC	542
Trading:	Certification		Certifications by the Philadelphia Stock Exchange Approving Listings	CERT		CERTPBS	3
Registration:	Certification		Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants	SBSE-C		SBSE-C×	51	–
Registration:	Certification		Certifications of No Change in Definitive Materials	497(j)		497J	134,433	–
Registration:	Certification		Certifications of Terminations of Registration of Classes of Securities	15		15-12B	5,929	112
Registration:	Certification		Certifications of Terminations of Registration of Classes of Securities	15		15-12G	14,440	430
Registration:	Certification		Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers	15F		15F-12B	243	13
Registration:	Certification		Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers	15F		15F-12G	240	12
Comment:	Letter		Comment and Other Letters from the SEC   [ a.k.a. Document LETTER ]  (Delayed Release)	–		UPLOAD	186,114
Comment:	Letter		Comment-Response and Draft-Offering-Statement Letters to the SEC   (Delayed Release)	–		DOSLTR	204
Comment:	Letter		Comment-Response and Draft-Registration-Statement Letters to the SEC   (Delayed Release)	–		DRSLTR	4,513
Comment:	Letter		Comment-Response and Other Letters to the SEC   [ a.k.a. Document COVER ]  (Delayed Release)	–		CORRESP	199,208
Update:	Withdrawal		Crowdfunding – Annual Report Withdrawals	C-AR-W		C-AR-W×	10	–
Update:	Report – Annual		Crowdfunding – Annual Reports	C-AR		C-AR×	3,272	215
Registration:	Withdrawal		Crowdfunding – Offering Statement Amendment Withdrawals	C/A-W		C/A-W×	24	–
Registration:	Withdrawal		Crowdfunding – Offering Statement Withdrawals	C-W		C-W×	913	–
Registration:	Statement		Crowdfunding – Offering Statements	C		C×	8,457	8,991
Registration:	Withdrawal		Crowdfunding – Progress Update Withdrawals	C-U-W		C-U-W×	20	–
Registration:	Update		Crowdfunding – Progress Updates	C-U		C-U×	4,109	–
Registration:	Withdrawal		Crowdfunding – Termination of Reporting Withdrawals	C-TR-W		C-TR-W×	12	–
Registration:	Report		Crowdfunding – Terminations of Reporting	C-TR		C-TR×	622	–
Update:	Report – Current		Current Reports	1-U		1-U	7,245	59
Update:	Report – Current		Current Reports	8-K		8-K°	1,868,604	81,425
Update:	Report – Current		Current Reports of Material Events by Money-Market Funds	N-CR		N-CR	72	13
Update:	Report – Periodic		Current, Quarterly and Annual Reports by Foreign Issuers	6-K		6-K°	503,072	6,323
Proxy:	Material		Definitive Additional Non-Management Proxy Soliciting Materials	14A		DFAN14A	14,300
Proxy:	Statement – Information		Definitive Additional Proxy Info Statements	14C		DEFA14C	407
Proxy:	Material		Definitive Additional Proxy Soliciting Materials	14A		DEFA14A°	110,674
Registration:	Material		Definitive Materials	497		497°	404,412	–
Proxy:	Statement		Definitive Non-Management Proxy Statements	14A		DEFN14A	311
Registration:	Document – Prospectus		Definitive Offering Circulars	A		DEF-OC	2	–
Proxy:	Statement – Information		Definitive Proxy Info Statements	14C		DEF 14C	13,402
Proxy:	Statement – Information		Definitive Proxy Info Statements – Contested Solicitations	14C		DEFC14C	26
Proxy:	Statement – Information		Definitive Proxy Info Statements – Mergers & Acquisitions	14C		DEFM14C	465
Proxy:	Statement – Information		Definitive Proxy Info Statements – Special Meetings	14C		DEFS14C	88
Proxy:	Statement		Definitive Proxy Statements	14A		DEF 14A°	184,991
Proxy:	Statement		Definitive Proxy Statements – Contested Solicitations	14A		DEFC14A	2,196
Proxy:	Statement		Definitive Proxy Statements – Going-Private Transactions	13E-3		DEF13E3	77	87
Proxy:	Statement		Definitive Proxy Statements – Mergers & Acquisitions	14A		DEFM14A	6,310
Proxy:	Statement		Definitive Proxy Statements – Special Meetings	14A		DEFS14A	3,995
Proxy:	Statement		Definitive Revised Non-Management Proxy Statements	14A		DFRN14A	484
Proxy:	Statement – Information		Definitive Revised Proxy Info Statements	14C		DEFR14C	448
Proxy:	Material		Definitive Revised Proxy Soliciting Materials	14A		DEFR14A	6,131
Update:	Report – Transactional		Distribution of Primary Obligations Reports by International Development Banks	–		DSTRBRPT	965	22
Update:	Report – Transactional		Distribution of Primary Obligations Reports by the International Bank for Reconstruction and Development (World Bank)	BW – 3		BW-3	93	–
ABS:	Report – Periodic		Distribution Reports by Issuers of Asset-Backed Securities	10-D		10-D°	100,397	2,813
Registration:	Statement		Draft Offering Statements	1-A		DOS×	228	232
Registration:	Statement		Draft Registration Statements by Emerging Growth Companies and Foreign Issuers	DRS		DRS°	4,940	5,581
Registration:	Document – Exemption		Exemptions for American Depository Receipts (ADRs) and Certain Foreign Securities	12g-3		12G3-2B	613	–
Registration:	Document – Exemption		Exemptions for American Depository Receipts (ADRs) and Certain Foreign Securities	12g-3		12G32BR	178	–
Registration:	Document – Exemption		Exemptions from the Prohibition on Registration as an Investment Advisor	IAA §203		40-203A	2	2
Registration:	Report		Exit Reports	1-Z		1-Z×	277	8
Update:	Bond		Fidelity Bonds for Investment Companies	17g-1(g)		40-17G	29,031	2,374
Update:	Bond – Claim		Fidelity Bonds for Investment Companies – Claims and Settlements	17g-1(g)		40-17GCS	19	–
Update:	Report		Final Reports of Sales of Securities	2-A		2-AF	36	–
Update:	Statement		Financial Statements of Certain Variable Annuity/Life Contracts	N-VPFS		N-VPFS	2,145	117
Proxy:	Information		Info from Certain Nominating Shareholders	14N		SC 14N	17	7
Trading:	Information		Info from Self-Regulatory Organizations (SROs) Listing and Trading New Derivative Securities Products	19b-4(e)		19B-4E	30,222
Registration:	Information		Info re: Natural Persons Who Engage in Municipal Advisory Activity	MA-I		MA-I×	9,053	12,715
Ownership:	Statement		Initial Statements of Beneficial Ownership of Securities by Insiders	3		3°	372,871	19,647
Registration:	Report – Initial		Initial Undertakings to File Reports	S-6 – Item 4		UNDER	41	1
Registration:	Report – Initial		Initial Undertakings to File Reports by Non-Resident Brokers, Dealers and Investment Advisors	–		REG-NR	69	2
SEC:	Withdrawal – Order		Investment Company Registrations Withdrawn by SEC Orders	ICA		40-8FC	3	1
Update:	Schedule – Monthly		Monthly Portfolio Holdings Schedules by Money-Market Funds	N-MFP		N-MFP×	41,414	2,243
Update:	Schedule – Monthly		Monthly Portfolio Holdings Schedules by Money-Market Funds	N-MFP		N-MFP1×	3,040	553
Update:	Schedule – Monthly		Monthly Portfolio Holdings Schedules by Money-Market Funds	N-MFP		N-MFP2×	35,191	1,580
Update:	Schedule – Monthly		Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)	N-MFP		NT N-MFP°	238	–
Update:	Schedule – Monthly		Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)	N-MFP		NT N-MFP1°	35	–
Update:	Schedule – Monthly		Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)	N-MFP		NT N-MFP2°	300	–
Update:	Report – Monthly		Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies  [ with Document NPORT-EX ]	N-PORT		NPORT-P×	217,791	3,891
Update:	Report – Monthly		Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings)  [ with Document NPORT-EX ]	N-PORT		NT NPORT-P×	417	–
Update:	Notice		Notices by Certain Variable Annuity/Life Contracts	N-VP		N-VP	505	627
Trading:	Notice		Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities	25		25	4,429	45
Trading:	Notice		Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities	25		25-NSE×	14,202	278
Registration:	Notice		Notices of Activity as a Government Securities Broker or Dealer by Financial Institutions	G-FIN		G-FIN	24	276
Trading:	Notice		Notices of Admissions to Trading of Substituted and Additional Classes of Securities	26		26	2
Update:	Notice		Notices of Assumptions of Duty to File Reports by Successor Issuers	8-K		8-K15D5	71	2
Ownership:	Notice		Notices of Discretionary Repurchase Offers by Closed-End Investment Companies	N-23c-3		N-23C3B	408	3
Update:	Notice		Notices of Elections by Business Development Companies (BDCs)	N-54A		N-54A	371	9
Update:	Notice		Notices of Elections by Open-End Investment Companies	N-18f-1		N-18F1	1,289	31
Proxy:	Notice		Notices of Exempt Non-Management Proxy Solicitations	14a-6(g)		PX14A6G	2,872
Proxy:	Notice		Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications	14a-6(n)		PX14A6N	59
Registration:	Notice		Notices of Exempt Offerings of Securities	D		D×	389,514	246,944
Registration:	Notice		Notices of Exempt Offerings of Securities	D		REGDEX	128,231	42,440
Registration:	Notice		Notices of Exempt Offerings of Securities by Small Business Investment and Business Development Companies (SBICs and BDCs)	1-E		1-E	153	78
Ownership:	Notice		Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies	23c-2		N-23C-2	1,932	64
Update:	Notice		Notices of Intentions to Elect Business Development Company (BDC) Status	N-6F		N-6F	165	68
Update:	Notice		Notices of Iran/Syria Disclosures in Quarterly and Annual Reports	ITRASHRA		IRANNOTICE	3,952	–
Update:	Notice		Notices of Late Filings of ‘SP 15D2’ Special Financial Reports	12b-25		NT 15D2	9	7
Update:	Notice		Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices)	12b-25		NTN15D2	3	–
Update:	Notice		Notices of Late Filings of Form 10-D Distribution Reports	12b-25		NT 10-D	10	1
Update:	Notice		Notices of Late Filings of Form 10-D Distribution Reports (Late Notices)	12b-25		NTN 10D	5	–
Update:	Notice		Notices of Late Filings of Form 10-K Annual Reports	12b-25		NT 10-K	46,544	743
Update:	Notice		Notices of Late Filings of Form 10-K Annual Reports (Late Notices)	12b-25		NTN 10K	1,580	–
Update:	Notice		Notices of Late Filings of Form 10-Q Quarterly Reports	12b-25		NT 10-Q°	76,574	660
Update:	Notice		Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices)	12b-25		NTN 10Q	2,302	–
Update:	Notice		Notices of Late Filings of Form 11-K Annual Reports	12b-25		NT 11-K	1,695	17
Update:	Notice		Notices of Late Filings of Form 11-K Annual Reports (Late Notices)	12b-25		NTN 11K	18	–
Update:	Notice		Notices of Late Filings of Form 20-F Annual Reports	12b-25		NT 20-F	2,051	34
Update:	Notice		Notices of Late Filings of Form 20-F Annual Reports (Late Notices)	12b-25		NTN 20F	37	–
Update:	Notice		Notices of Late Filings of Form N-CEN Annual Reports	12b-25		NT-NCEN	83	2
Update:	Notice		Notices of Late Filings of Form N-CEN Annual Reports (Late Notices)	12b-25		NTFNCEN	17	–
Update:	Notice		Notices of Late Filings of Form N-CSR Shareholder Reports	12b-25		NT-NCSR	379	39
Update:	Notice		Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices)	12b-25		NTFNCSR	82	–
Update:	Notice		Notices of Late Filings of Form N-SAR Semi-Annual Reports	12b-25		NT-NSAR	2,590	116
Update:	Notice		Notices of Late Filings of Form N-SAR Semi-Annual Reports (Late Notices)	12b-25		NTFNSAR	190	–
Ownership:	Notice		Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment Companies	N-23c-3		N-23C3C	51	48
Ownership:	Notice		Notices of Periodic Repurchase Offers by Closed-End Investment Companies	N-23c-3		N-23C3A	3,238	37
Ownership:	Notice		Notices of Proposed Sales of Securities by Insiders	144		144°	43,661	817
Registration:	Notice		Notices of Registrations by Investment Companies	N-8A		N-8A	4,592	629
Registration:	Notice		Notices of Registrations by Utility Holding Companies	U5A		U5A	40	4
Update:	Notice		Notices of Reliance on a Temporary Hardship Exemption	TH		TH	135	–
Registration:	Notice		Notices of Securities Deemed to be Registered by Successor Issuers	8-K		8-K12B°	327	36
Registration:	Notice		Notices of Securities Deemed to be Registered by Successor Issuers	8-K		8-K12G3	648	115
Update:	Notice		Notices of Status by Foreign Utility Companies	U-57		U-57	614	237
Update:	Notice		Notices of Suspensions of Duty to File Reports	15		15-15D	16,458	217
Update:	Notice		Notices of Suspensions of Duty to File Reports by Foreign Issuers	15F		15F-15D	148	4
Registration:	Withdrawal – Notice		Notices of Withdrawals from Registration as a Government Securities Broker or Dealer by Financial Institutions	G-FINW		G-FINW	16	–
Registration:	Withdrawal – Notice		Notices of Withdrawals from Registration by Business Development Companies (BDCs)	N-54C		N-54C	218	4
Registration:	Withdrawal – Notice		Notices of Withdrawals from Registration by Crowdfunding Portals	Funding Portal		CFPORTAL-W×	27	–
Registration:	Withdrawal		Notices of Withdrawals from Registration by Investment Advisors	ADV-W		ADVW	9	–
Registration:	Withdrawal – Notice		Notices of Withdrawals from Registration by Municipal Advisors	MA-W		MA-W×	435	–
Registration:	Withdrawal – Notice		Notices of Withdrawals from Registration by Municipal Securities Dealers	MSDW		MSDW	84	–
Registration:	Withdrawal – Notice		Notices of Withdrawals from Registration by Transfer Agents	TA-W		TA-W°	555	–
Registration:	Statement		Offering Statements	1-A		1-A°	2,353	4,864
Registration:	Statement		Offering Statements – Info Previously Omitted	1-A		253G1	184	–
Registration:	Statement		Offering Statements – Info Previously Omitted & Info Substantively Changed or Added	1-A		253G3	52	–
Registration:	Statement		Offering Statements – Info Previously Omitted & Info Substantively Changed or Added (Late Filings)	1-A		253G4	4	–
Registration:	Statement		Offering Statements – Info Substantively Changed or Added	1-A		253G2	4,158	–
Ownership:	Statement – Annual		Ownership by Persons Employed and Retained by Utility Holding Companies – Annual Statements	U-12(I)-A		U-12-IA	29	1
Ownership:	Statement – Periodic		Ownership by Persons Employed and Retained by Utility Holding Companies – Three-Year Statements	U-12(I)-B		U-12-IB	1,537	3
Update:	Report – Periodic		Periodic and Interim Reports Mailed to Shareholders by Investment Companies	30b-2		N-30B-2	13,147	–
Update:	Schedule – Exhibit		Portfolio Holdings Schedules by Investment Companies   [ now Document NPORT-EX of Filing NPORT-P ]	N-PORT		NPORT-EX	7,210	16
Update:	Schedule – Exhibit		Portfolio Holdings Schedules by Investment Companies (Late Filings)   [ now Document NPORT-EX of Filing NPORT-P ]	N-PORT		NT NPORTEX	85	–
Registration:	Amendment	/A	Post-Effective Amendments of ‘F-10EF’ Registrations	F-10		F-10POS	84
Registration:	Amendment	/A	Post-Effective Amendments of ‘F-3D’ Registrations	F-3		F-3DPOS	48
Registration:	Amendment	/A	Post-Effective Amendments of ‘F-6EF’ Registrations	F-6		F-6 POS	2,801
Registration:	Amendment	/A	Post-Effective Amendments of ‘F-9EF’ Registrations	F-9		F-9 POS	5
Registration:	Amendment	/A	Post-Effective Amendments of ‘S-3D’ Registrations	S-3		S-3DPOS	732
Registration:	Amendment	/A	Post-Effective Amendments of ‘S-4EF’ Registrations	S-4		S-4 POS	315
Registration:	Amendment	/A	Post-Effective Amendments of Automatic Shelf Registration Statements	S-3/F-3ASR		POSASR°	2,316
Registration:	Amendment	/A	Post-Effective Amendments of Form F-4 Registrations	–		F-4 POS	22
Registration:	Amendment	/A	Post-Effective Amendments of Form F-7 Registrations	–		F-7 POS	6
Registration:	Amendment	/A	Post-Effective Amendments of Form F-8 Registrations	–		F-8 POS	13
Registration:	Amendment	/A	Post-Effective Amendments of Form F-80 Registrations	–		F-80POS	19
Registration:	Amendment	/A	Post-Effective Amendments of Form N-1 and N-1A Registrations	485(a)		485A24E	88
Registration:	Amendment	/A	Post-Effective Amendments of Form N-1 and N-1A Registrations	485(a)		485A24F	25
Registration:	Amendment	/A	Post-Effective Amendments of Form N-1 and N-1A Registrations	485(a)		485APOS°	43,499
Registration:	Amendment	/A	Post-Effective Amendments of Form N-1 and N-1A Registrations	485(b)		485B24E	1,668
Registration:	Amendment	/A	Post-Effective Amendments of Form N-1 and N-1A Registrations	485(b)		485B24F	64
Registration:	Amendment	/A	Post-Effective Amendments of Form N-1 and N-1A Registrations	485(b)		485BPOS°	199,681
Registration:	Amendment	/A	Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates	485(b)(1)(iii)		485BXT	28,303
Registration:	Amendment	/A	Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates	485(b)		485BXTF	1
Registration:	Amendment	/A	Post-Effective Amendments of Form N-2 Automatic Shelf Registrations	ICA		N-2 POSASR	7
Registration:	Amendment	/A	Post-Effective Amendments of Form N-2 Registrations	486(a)		486A24E	1
Registration:	Amendment	/A	Post-Effective Amendments of Form N-2 Registrations	486(a)		486APOS	278
Registration:	Amendment	/A	Post-Effective Amendments of Form N-2 Registrations	486(b)		486B24E	2
Registration:	Amendment	/A	Post-Effective Amendments of Form N-2 Registrations	486(b)		486BPOS	1,353
Registration:	Amendment	/A	Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates	486(b)		486BXT	108
Registration:	Amendment	/A	Post-Effective Amendments of Form S-8 Registrations	–		S-8 POS	40,304
Registration:	Amendment	/A	Post-Effective Amendments of Form U-1 Registrations	PUHCA		POS AMC	1,182
Registration:	Amendment	/A	Post-Effective Amendments of Registration Statements	†		POS AM°	34,027
Registration:	Amendment	/A	Post-Effective Amendments of Registration Statements – Additional Exhibits	462(d)		POS EX°	5,557
Registration:	Amendment	/A	Post-Effective Amendments of Registration Statements – Rule 462(b)	†		POS462B	228
Registration:	Amendment	/A	Post-Effective Amendments of Registration Statements – Rule 462(c)	†		POS462C	88
Registration:	Amendment	/A	Post-Effective Amendments of Registration Statements by Certain Investment Companies	ICA §8(c)		POS 8C	2,254
Registration:	Amendment	/A	Post-Effective Amendments of Registration Statements by Investment Companies	†		POS AMI	6,896
Registration:	Amendment	/A	Post-Qualification Amendments of Form 1-A Offering Statements	A/A+		1-A POS×	2,066
Registration:	Amendment	/A	Pre-Effective Pricing Amendments of Registration Statements	487		487	22,051
Proxy:	Statement – Information		Preliminary Additional Proxy Info Statements	14C		PREA14C	1
Proxy:	Material		Preliminary Additional Proxy Soliciting Materials	14A		PREA14A	16
Proxy:	Statement		Preliminary Non-Management Proxy Statements	14A		PREN14A	383
Proxy:	Statement – Information		Preliminary Proxy Info Statements	14C		PRE 14C	10,129
Proxy:	Statement – Information		Preliminary Proxy Info Statements – Contested Solicitations	14C		PREC14C	65
Proxy:	Statement – Information		Preliminary Proxy Info Statements – Mergers & Acquisitions	14C		PREM14C	717
Proxy:	Statement – Information		Preliminary Proxy Info Statements – Special Meetings	14C		PRES14C	129
Proxy:	Statement		Preliminary Proxy Statements	14A		PRE 14A°	42,755
Proxy:	Statement		Preliminary Proxy Statements – Contested Solicitations	14A		PREC14A	2,985
Proxy:	Statement		Preliminary Proxy Statements – Going-Private Transactions	13E-3		PRE13E3	173	290
Proxy:	Statement		Preliminary Proxy Statements – Mergers & Acquisitions	14A		PREM14A	5,305
Proxy:	Statement		Preliminary Proxy Statements – Special Meetings	14A		PRES14A	3,944
Proxy:	Material		Preliminary Revised Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations	14A		PRRN14A	2,238
Proxy:	Statement – Information		Preliminary Revised Proxy Info Statements	14C		PRER14C	2,540
Proxy:	Material		Preliminary Revised Proxy Soliciting Materials	14A		PRER14A	11,885
Update:	Document – Profile		Profiles of Certain Open-End Investment Companies	497(k)(1)(i)		497K1	317	–
Update:	Document – Profile		Profiles of Certain Open-End Investment Companies	497(k)(1)(ii)		497K2	164	–
Update:	Document – Profile		Profiles of Certain Open-End Investment Companies	497(k)(1)(iii)(A)		497K3A	52	–
Update:	Document – Profile		Profiles of Certain Open-End Investment Companies	497(k)(1)(iii)(B)		497K3B	2,294	–
Trading:	Information		Proposed Rule Changes by Self-Regulatory Organizations (SROs)	19b-4		19B-4	10	2
Registration:	Prospectus		Prospectuses (Late Filings)	424(b)(8)		424B8	1,888
ABS:	Prospectus		Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed	424(h)		424H	1,147	73
Registration:	Prospectus		Prospectuses – Certain Closed-End Investment Companies	497(h)(2)		497H2	83
Registration:	Prospectus		Prospectuses – Certain Open-End Investment Companies – Summary	497(k)		497K	280,262
Registration:	Prospectus – Annual		Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements	424(i)(1)		424I	104
Registration:	Prospectus		Prospectuses – Free Writing	163 / 433		FWP	231,369
Registration:	Prospectus		Prospectuses – Info Previously Omitted	424(b)(1)		424B1	6,207
Registration:	Prospectus		Prospectuses – Info Previously Omitted & New Facts or Events	424(b)(4)		424B4°	12,706
Registration:	Prospectus		Prospectuses – Info Substantively Changed or Added	424(a)		424A	1,558
Registration:	Prospectus		Prospectuses – New Facts or Events	424(b)(3)		424B3°	187,352
Registration:	Prospectus		Prospectuses – Primary Offerings and Shelf Securities	424(b)(2)		424B2	476,411
Registration:	Prospectus		Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events	424(b)(5)		424B5°	69,031
Registration:	Prospectus		Prospectuses – Selling Security Holders – Info Previously Omitted	424(b)(7)		424B7	4,444
Registration:	Prospectus		Prospectuses – Variable Annuity/Life Contracts – Initial Summary	497(k)		497VPI	2,777
Registration:	Prospectus		Prospectuses – Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence	497(k)		497VPSUB	273
Registration:	Prospectus		Prospectuses – Variable Annuity/Life Contracts – Updating Summary	497(k)		497VPU	5,068
Registration:	Prospectus		Prospectuses and Communications – Mergers	425		425°	87,197
Update:	Report – Quarterly		Quarterly and Quarterly-Transition Reports by Small Businesses (Optional Form)	10-QSB		10QSB	120,308	17,154
Ownership:	Report – Quarterly		Quarterly Holdings and Combination Reports by Money Managers	13F		13F-HR°	369,738	29,455
Ownership:	Report – Quarterly		Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested	13F		13FCONP	1,271	90
Ownership:	Notice – Quarterly		Quarterly Holdings Notices by Money Managers	13F		13F-NT°	114,175	1,986
Ownership:	Report – Quarterly		Quarterly Holdings Reports by Money Managers	13F		13F-E	1,188	120
Update:	Schedule – Quarterly		Quarterly Portfolio Holdings Schedules by Investment Companies	N-Q		N-Q°	94,931	1,010
Update:	Report – Quarterly		Quarterly Reports	10-Q		10-Q°	652,413	45,686
Update:	Report – Quarterly		Quarterly Reports by Energy and Gas-Related Companies	U-9C-3		U-9C-3	636	16
Update:	Report – Quarterly		Quarterly Reports by International Development Banks	–		QRTLYRPT	202	9
Update:	Report – Quarterly		Quarterly Reports by the International Bank for Reconstruction and Development (World Bank)	BW – 2		BW-2	27	–
Update:	Report – Quarterly		Quarterly-Transition Reports	10-Q		10-QT°	228	36
Registration:	Amendment	/A	Registration Effectiveness-Delaying Amendments	†		DEL AM	1,432
Registration:	Statement		Registration Statements	10		10-12B°	845	1,712
Registration:	Statement		Registration Statements	10		10-12G°	2,966	5,143
Registration:	Statement		Registration Statements	S-2		S-2	978	1,457
Registration:	Statement		Registration Statements (General Form)	S-1		S-1°	23,739	59,392
ABS:	Statement		Registration Statements (General Form) by Issuers of Asset-Backed Securities	SF-1		SF-1	27	56
Registration:	Statement		Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs)	F-6		F-6	1,952	202
Registration:	Statement		Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective)	F-6		F-6EF	7,282	–
Registration:	Statement		Registration Statements – Securities for Certain Employee Benefit Plans	S-8		S-8	92,652	18
Registration:	Statement		Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective)	S-3		S-3D	973	5
Registration:	Statement		Registration Statements – Securities for Mergers	S-4		S-4°	15,480	21,678
Registration:	Statement		Registration Statements – Securities for the Formation of Bank and Savings & Loan Holding Companies	S-4		S-4EF	77	31
Registration:	Statement		Registration Statements – Securities for Transactions	S-3		S-3°	38,431	29,785
Registration:	Statement		Registration Statements – Standardized Options	S-20		S-20	6	5
Registration:	Statement		Registration Statements by Certain Canadian Issuers	40-F		40FR12B	180	104
Registration:	Statement		Registration Statements by Certain Canadian Issuers	40-F		40FR12G	32	10
Registration:	Statement		Registration Statements by Certain Canadian Issuers	F-10		F-10	1,013	1,003
Registration:	Statement		Registration Statements by Certain Canadian Issuers (Immediately Effective)	F-10		F-10EF	15	–
Registration:	Statement		Registration Statements by Certain Canadian Issuers – Debt and Preferred Securities	F-9		F-9	101	90
Registration:	Statement		Registration Statements by Certain Canadian Issuers – Debt and Preferred Securities (Immediately Effective)	F-9		F-9EF	3	–
Registration:	Statement		Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers	F-8		F-8	32	51
Registration:	Statement		Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers	F-80		F-80	26	22
Registration:	Statement		Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of Rights	F-7		F-7	54	11
Registration:	Statement		Registration Statements by Certain Foreign Issuers	F-1		F-1°	2,292	6,287
Registration:	Statement		Registration Statements by Certain Foreign Issuers	F-2		F-2	16	36
Registration:	Statement		Registration Statements by Certain Foreign Issuers	F-2		F-2D	1	–
Registration:	Statement		Registration Statements by Certain Foreign Issuers – Securities for Dividend and Interest Reinvestment Plans	F-3		F-3D	66	–
Registration:	Statement		Registration Statements by Certain Foreign Issuers – Securities for Mergers	F-4		F-4°	962	2,039
Registration:	Statement		Registration Statements by Certain Foreign Issuers – Securities for Mergers (Immediately Effective)	F-4		F-4EF	1	–
Registration:	Statement		Registration Statements by Certain Foreign Issuers – Securities for Transactions	F-3		F-3°	2,035	1,644
Registration:	Statement – Notice		Registration Statements by Certain Investment Companies – Declarations of Election	24F-2		24F-2EL	29	2
Registration:	Statement – Notice		Registration Statements by Certain Investment Companies – Notices of Election	24F-1		24F-1	6	–
Registration:	Statement – Notice		Registration Statements by Certain Investment Companies – Terminations of Declarations of Election	24F-2		24F-2TM	603	–
Registration:	Statement		Registration Statements by Certain Real Estate Companies	S-11		S-11°	1,192	3,553
Registration:	Statement		Registration Statements by Certain Successor Issuers	8-B		8-B12B	94	29
Registration:	Statement		Registration Statements by Certain Successor Issuers	8-B		8-B12G	61	13
Registration:	Statement		Registration Statements by Closed-End Investment Companies	N-2		N-2	4,263	6,365
Registration:	Statement		Registration Statements by Closed-End Investment Companies – Securities for Mergers	N-14		N-14 8C	319	380
Registration:	Statement		Registration Statements by Face-Amount Certificate Companies	N-8B-4		N-8B-4	7	–
Registration:	Statement		Registration Statements by Foreign Governments and Political Subdivisions	18		18-12B	4	–
Registration:	Statement		Registration Statements by Foreign Governments and Political Subdivisions	B		S-B	377	236
Registration:	Statement		Registration Statements by Foreign Non-Canadian Issuers	20-F		20FR12B	209	202
Registration:	Statement		Registration Statements by Foreign Non-Canadian Issuers	20-F		20FR12G°	397	619
Registration:	Statement		Registration Statements by Open-End Investment Companies	N-1		N-1	2	189
Registration:	Statement		Registration Statements by Open-End Investment Companies	N-1A		N-1A°	1,978	3,013
Registration:	Statement		Registration Statements by Open-End Investment Companies	N-1A		N-1A EL	360	466
Registration:	Statement		Registration Statements by Open-End Investment Companies – Securities for Mergers	N-14		N14AE24	230	58
Registration:	Statement		Registration Statements by Open-End Investment Companies – Securities for Mergers	N-14		N14EL24	158	89
Registration:	Statement		Registration Statements by Open-End Investment Companies – Securities for Mergers (Automatic Effectiveness)	N-14		N-14AE	891	185
Registration:	Statement		Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for Mergers	N-14		N-14	3,892	2,548
Registration:	Statement		Registration Statements by Open-End Investment Companies for Separate Accounts	N-3		N-3	41	22
Registration:	Statement		Registration Statements by Open-End Investment Companies for Separate Accounts	N-3		N-3 EL	5	6
Registration:	Statement		Registration Statements by Small Business Investment Companies (SBICs)	N-5		N-5	9	10
Registration:	Statement		Registration Statements by Small-Business Issuers	10-SB		10SB12B	245	134
Registration:	Statement		Registration Statements by Small-Business Issuers	10-SB		10SB12G	4,145	5,545
Registration:	Statement		Registration Statements by Small-Business Issuers (Optional Form)	SB-1		SB-1	151	359
Registration:	Statement		Registration Statements by Small-Business Issuers (Optional Form)	SB-2		SB-2	7,812	16,585
Registration:	Statement		Registration Statements by Unit Investment Trusts	N-8B-2		N-8B-2	184	178
Registration:	Statement		Registration Statements by Unit Investment Trusts	S-6		S-6	24,334	8,908
Registration:	Statement		Registration Statements by Unit Investment Trusts	S-6		S-6EL24	1,397	359
Registration:	Statement		Registration Statements by Utility Holding Companies	U5B		U5B	32	10
Registration:	Statement		Registration Statements by Variable Annuity Unit Investment Trusts for Separate Accounts	N-4		N-4	2,394	2,098
Registration:	Statement		Registration Statements by Variable Annuity Unit Investment Trusts for Separate Accounts	N-4		N-4 EL	150	141
Registration:	Statement		Registration Statements by Variable Life Unit Investment Trusts for Separate Accounts	N-6		N-6	761	572
Registration:	Statement		Registration Statements for Certain Classes of Securities	8-A		8-A12B	24,290	4,822
Registration:	Statement		Registration Statements for Certain Classes of Securities	8-A		8A12BEF	95	–
Registration:	Statement		Registration Statements for Certain Classes of Securities	8-A		8A12BT	28	8
Registration:	Statement		Registration Statements for Certain Classes of Securities	8-A		8-A12G	10,202	2,381
Registration:	Statement		Registration Statements to Add Securities to Prior Form F-1 Registrations	462(b)		F-1MEF	242	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form F-3 Registrations	462(b)		F-3MEF	46	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form F-4 Registrations	462(b)		F-4MEF	13	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form N-14 Registrations	462(b)		N-14MEF	8	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form N-2 Registrations	462(b)		N-2MEF	263	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form S-1 Registrations	462(b)		S-1MEF	2,199	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form S-11 Registrations	462(b)		S-11MEF	90	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form S-2 Registrations	462(b)		S-2MEF	72	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form S-3 Registrations	462(b)		S-3MEF	1,354	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form S-4 Registrations	462(b)		S-4MEF	183	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form SB-1 Registrations	462(b)		SB-1MEF	1	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form SB-2 Registrations	462(b)		SB-2MEF	104	–
ABS:	Statement		Registration Statements to Add Securities to Prior Form SF-1 Registrations	462(b)		SF-1MEF	2	–
Registration:	Statement		Registration Statements to Add Securities to Prior Schedule B Registrations	462(b)		S-BMEF	15	–
Registration:	Update		Registration Updates by Nationally Recognized Statistical Rating Organizations	NRSRO		NRSRO-UPD	247	–
Registration:	Withdrawal		Registration Withdrawal Requests	†		RW	13,051	–
Update:	Report – Periodic		Reports by the African Development Bank	–		AFDB	9	1
Update:	Report – Periodic		Reports by the Asian Development Bank	–		ADB	18	–
Update:	Report – Periodic		Reports by the European Bank for Reconstruction and Development	–		EBRD	16	1
Update:	Report – Periodic		Reports by the Inter-American Development Bank	–		IADB	13	–
Update:	Report – Periodic		Reports by the International Finance Corporation	–		IFC	6	–
Update:	Report – Periodic		Reports of Changes in the Number of Shares Outstanding and Issuer Name Changes by Issuers of Securities Quoted on the Nasdaq Stock Market	10-C		10-C	1,305	25
Ownership:	Report		Reports of Purchases of Their Own Securities by Closed-End Investment Companies	N-23C-1		N-23C-1	920	16
Update:	Report		Reports of Sales of Securities	2-A		2-A	52	81
Update:	Report		Reports of Sales of Securities by Investment Companies (SBICs and BDCs)	2-E		2-E	87	11
Update:	Report – Exemption		Reports Required for Exemptions from the Investment Company Act by Certain Applicants	ICA		40-RPT	2	–
Registration:	Sales Media – Literature		Sales Literature	–		SL	9	–
Update:	Sales Media – Literature		Sales Literature from Investment Companies	24b-2		40-24B2	3,393	86
SEC:	SEC – Order		SEC Confidential Treatment Orders	–		CT ORDER	16,238
SEC:	Letter		SEC No-Action Letters re: Shareholder Proposals   [ a.k.a. Document 14A-8 ]	14a-8		NO ACT	9,085
SEC:	Notice		SEC Notices of Effectiveness	†		EFFECT×	67,344
SEC:	Notice		SEC Notices of Qualification	A/A+		QUALIF×	2,525
SEC:	Cancellation – Order		SEC Orders Revoking Registrations	SEA §12(j)		REVOKED	6,359
SEC:	Cancellation – Order		SEC Orders Revoking Registrations of Municipal Advisors	SEA §15B(c)(2)		REVOKED-MA	1
SEC:	SEC – Order		SEC Staff Actions   [ a.k.a. Documents ORDER (SEC Order) & STAFF ACTION ]	–		SEC ACTION	808
SEC:	Letter		SEC Staff Letters   [ a.k.a. Documents LETTER, 14A-8 (No-Action Letter), REDACTED EXHIBIT, SERIOUS DEFICIENCIES & STAFF LETTER ]  (Delayed Release)	–		SEC LETTER	1,627
SEC:	SEC – Order		SEC Stop Orders	–		STOP ORDER	61
Update:	Report – Semi-Annual		Semi-Annual Certified Shareholder Reports by Investment Companies	N-CSR		N-CSRS°	64,686	1,119
Update:	Report – Semi-Annual		Semi-Annual Reports and Special Financial Reports	1-SA		1-SA	1,754	71
Update:	Report – Semi-Annual		Semi-Annual Reports by Investment Companies	N-SAR		NSAR-A	73,406	4,002
Update:	Report – Semi-Annual		Semi-Annual-Transition Reports by Investment Companies	N-SAR		NSAR-AT	202	16
Update:	Exhibit		Separate Exhibits – Scanned Paper-Format Exhibits of Other Electronic Filings	SE		SE	3,594	–
ABS:	Statement		Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities	SF-3		SF-3	195	255
Update:	Report – Special		Special Financial Reports	15d-2		SP 15D2	61	2
Update:	Report – Special		Specialized Disclosure Reports re: Uses of Conflict Minerals	SD		SD	11,251	34
Update:	Document – Special		Specialized Disclosures re: the Holding Foreign Companies Accountable Act	SPDSCL		SPDSCL	13	–
Registration:	Statement – Exemption		Statements by Utility Holding Companies Claiming an Exemption	U-3A-2		U-3A-2	985	163
Ownership:	Statement		Statements of Acquisitions of Beneficial Ownership by “Active” Investors	13D		SC 13D	61,725	136,462
Ownership:	Statement		Statements of Acquisitions of Beneficial Ownership by “Active” Investors	13D		SCH 13D×	6	9
Ownership:	Statement		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors	13G		SC 13G	227,969	427,502
Ownership:	Statement		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors	13G		SCH 13G×	57	50
Ownership:	Statement		Statements of Changes in Beneficial Ownership of Securities by Insiders	4		4°	4,255,725	123,483
Registration:	Statement		Statements of Eligibility to Act as a Trustee by Corporations	T-1		305B2	2,201	21
Ownership:	Statement		Statements re: Changes in the Majority of Directors	14F-1		SC 14F1	2,336	237
Update:	Application – Statement		Statements re: Proposed Transactions where No Application is Prescribed	35-APP		35-APP	6	2
Update:	Document – Claim		Stockholder Derivative Actions Against Investment Companies and Affiliates	ICA §33		40-33	1,090	8
Registration:	Material		Supplemental Materials by Foreign Issuers	SA §11(a)		SUPPL	56,176	–
Ownership:	Communication		Tender-Offer Communications by Issuers and Third Parties	TO		SC TO-C	5,859	–
Ownership:	Communication		Tender-Offer Communications by Issuers re: Third-Party Offers	14D-9C		SC14D9C	2,644	–
Ownership:	Statement		Tender-Offer Solicitation/Recommendation Statements	14D-9		SC 14D9	4,451	10,007
Ownership:	Statement		Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers	14D-9F		SC14D9F	40	40
Ownership:	Statement		Tender-Offer Statements by Canadian Issuers	13E-4F		SC13E4F	23	36
Ownership:	Statement		Tender-Offer Statements by Canadian Third Parties	14D-1F		SC14D1F	45	148
Ownership:	Statement		Tender-Offer Statements by Certain Issuers – Going-Private Transactions	13E-3		SC 13E3	2,587	8,650
Ownership:	Statement		Tender-Offer Statements by Issuers	13E-1		SC 13E1	23	13
Ownership:	Statement		Tender-Offer Statements by Issuers	13E-4		SC 13E4	734	1,250
Ownership:	Statement		Tender-Offer Statements by Issuers	TO		SC TO-I	10,609	16,992
Ownership:	Statement		Tender-Offer Statements by Third Parties	14D-1		SC 14D1	1,271	5,202
Ownership:	Statement		Tender-Offer Statements by Third Parties	TO		SC TO-T	2,790	12,809
Ownership:	Notice		Tender-Offer, Exchange-Offer, Rights-Offering and Response Notices	CB		CB	1,819	1,639
Registration:	Material		Test-the-Waters Materials	A/A+		TTW	28	8
Ownership:	Statement		Transaction Statements by Affiliates and Independent Service Companies	U-13E-1		U-13E-1	4	–
Registration:	Withdrawal		Withdrawal Requests for Materials Previously Filed	A/A+		WDL-REQ	62	–
SEC:	Withdrawal – Grant		Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants	ICA		APP WDG	128
Registration:	Withdrawal		Withdrawals of Applications for Exemption Orders and Other Relief	ICA		APP WD	537	21
Update:	Withdrawal		Withdrawals of Exit Reports	1-Z		1-Z-W	6	–
Registration:	Withdrawal		Withdrawals of Form 1-A Offering Statements	A/A+		1-A-W	381	38
Registration:	Withdrawal		Withdrawals of Registration Withdrawal Requests	†		RW WD	449	–
See Filing/Form Type Totals by Time Periods Σ						Totals:	15,036,006	1,613,826
____________ T  This Filing/Form Type is no longer filed, or it is no longer made public, or it was replaced with a different Type.  (126 of them)  †   This Filing/Form Type pertains to multiple Forms , Schedules , Rules or Regulations of the Acts’ Sections §. °  May contain, or be, an XMLª, XBRLª or iXBRLª File.         (Most XMLª Files are rendered by us using the SEC’s XSLTª Stylesheets — ×  Must be, or contain, an XMLª, XBRLª or iXBRLª File.         Most XBRLª Files are SEC-created as IDEAª “R#” Financial Report Info.) ª  Acronyms:        IDEA:  Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data via “R#” Financial Reports – since 2009.  (See our XBRL page.)         XML:  eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard.  ‹?xml?›       XSLT:  eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML.         XBRL:  eXtensible Business Reporting Language — A financial-data-interchange standard based on XML – since 2005-08 (EX-100 & EX-101).         iXBRL:  Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard – since 2016.  i

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