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 Form, Sch.,
Rule or Reg.
Filing /
Form Type
Filings 
CategoryDescriptionOriginal  Amended 
Sort in ascending orderIn ascending orderSort in ascending orderSort in ascending order(click for most-recent) 
 
 • Registrations  Applications for Registration or Exemption from Registration as a Securities Exchange 1901,801 
 • Registrations  Post-Qualification Amendments of Form 1-A Offering Statements — Reg. A/A+ 1-A POS×982– 
 • Registrations  Withdrawals of Form 1-A Offering Statements — Reg. A/A+ 1-A-W19023 
 • Registrations  Consents to Service of Process by Notice – Non-Resident Broker-Dealer Corporations 8-M66– 
 • Registrations  Consents to Service of Process by Notice – Non-Resident Broker-Dealer Partnerships 9-M13– 
 • Reports  Reports by the Asian Development Bank ADB18– 
 • Registrations  Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed ADN-MTL50– 
 • Reports  Reports by the African Development Bank AFDB91 
 • Reports  Annual Reports by International Development Banks ANNLRPT°1091 
 • Registrations  Cancellations of Broker and Dealer Registrations by SEC Order 
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 BDCO430– 
 • Letters  Comment-Response and Other Letters to the SEC 
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  [ a.k.a. Document COVER ]  (Delayed Release)
 CORRESP167,519– 
 • Orders  SEC Confidential Treatment Orders 
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 CT ORDER15,993– 
 • Registrations  Definitive Offering Circulars — Reg. A DEF-OC2– 
 • Letters  Comment-Response and Draft-Offering-Statement Letters to the SEC 
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  (Delayed Release)
 DOSLTR154– 
 • Letters  Comment-Response and Draft-Registration-Statement Letters to the SEC 
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  (Delayed Release)
 DRSLTR2,869– 
 • Reports  Distribution Reports of Primary Obligations by International Development Banks DSTRBRPT56719 
 • Reports  Reports by the European Bank for Reconstruction and Development EBRD161 
 • Registrations  Post-Effective Amendments of ‘F-3D’ Registrations F-3DPOS38– 
 • Registrations  Post-Effective Amendments of Form F-4 Registrations F-4 POS22– 
 • Registrations  Post-Effective Amendments of ‘F-6EF’ Registrations F-6 POS2,407– 
 • Registrations  Post-Effective Amendments of Form F-7 Registrations F-7 POS5– 
 • Registrations  Post-Effective Amendments of Form F-8 Registrations F-8 POS13– 
 • Registrations  Post-Effective Amendments of ‘F-9EF’ Registrations F-9 POS5– 
 • Registrations  Post-Effective Amendments of ‘F-10EF’ Registrations F-10POS57– 
 • Registrations  Post-Effective Amendments of Form F-80 Registrations F-80POS19– 
 • Reports  Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers FOCUSN30,2221,062 
 • Reports  Reports by the Inter-American Development Bank IADB13– 
 • Reports  Reports by the International Finance Corporation IFC6– 
 • Registrations  Cancellations of Municipal Securities Dealer Registrations by SEC Order 
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 MSDCO22– 
 • Registrations  Post-Effective Amendments of Form N-2 Automatic Shelf Registrations N-2 POSASR1– 
 • Reports  Quarterly Reports by International Development Banks QRTLYRPT1473 
 • Registrations  SEC Notices of Qualification — Reg. A/A+ 
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 QUALIF×1,196– 
 • Registrations  Initial Undertakings to File Reports for Non-Resident Brokers, Dealers and Investment Advisers REG-NR672 
 • Registrations  Post-Effective Amendments of ‘S-3D’ Registrations S-3DPOS670– 
 • Registrations  Post-Effective Amendments of ‘S-4EF’ Registrations S-4 POS307– 
 • Registrations  Post-Effective Amendments of Form S-8 Registrations S-8 POS34,850– 
 • Letters  SEC Staff Actions 
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  [ a.k.a. Document ORDER ]
 SEC ACTION271– 
 • Letters  SEC Staff Letters 
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  [ a.k.a. Documents STAFF LETTER, REDACTED EXHIBIT, SERIOUS DEFICIENCIES & 14A-8 ]
 SEC LETTER749– 
 • Registrations  Sales Literature SL9– 
 • Orders  SEC Stop Orders 
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 STOP ORDER59– 
 • Registrations  Cancellations of Transfer Agent Registrations by SEC Order 
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 TACO128– 
 • Registrations  Test-the-Waters Materials — Reg. A/A+ TTW288 
 • Letters  Comment and Other Letters from the SEC 
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  [ a.k.a. Document LETTER ]  (Delayed Release)
 UPLOAD162,539– 
 • Registrations  Withdrawal Requests for Materials Previously Filed — Reg. A/A+ WDL-REQ62– 
 • Registrations  Asset-Backed Securities [XML] Exhibits ABS-EE°11,104170 
 • Reports  Annual Reports to Security Holders ARS°36,71338 
 • Registrations  Amendment Withdrawal Requests AW3,728– 
 • Registrations  Amendment Withdrawal Requests – Withdraw Duplicate AW WD104– 
 • Registrations  Registration Effectiveness-Delaying Amendments DEL AM1,127– 
 • Registrations  SEC Notices of Effectiveness 
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 EFFECT×54,842– 
 • Registrations  Post-Effective Amendments of Rule 462(b) Registration Statements POS462B221– 
 • Registrations  Post-Effective Amendments of Rule 462(c) Registration Statements POS462C83– 
 • Registrations  Post-Effective Amendments of Registration Statements POS AM°30,295– 
 • Registrations  Registration Withdrawal Requests RW11,938– 
 • Registrations  Withdrawals of Registration Withdrawal Requests RW WD409– 
 
Form
 
 • Registrations 1-A Offering Statements — Reg. A/A+ 1-A°1,4023,341 
 • Registrations 1-A Offering Statements – Info Previously Omitted — Reg. A/A+ 253G173– 
 • Registrations 1-A Offering Statements – Info Substantively Changed or Added — Reg. A/A+ 253G21,980– 
 • Registrations 1-A Offering Statements – Info Previously Omitted – Info Substantively Changed or Added — Reg. A/A+ 253G38– 
 • Registrations 1-A Offering Statements – Info Previously Omitted – Info Substantively Changed or Added (Late Filings) — Reg. A/A+ 253G44– 
 • Registrations 1-A Draft Offering Statements — Reg. A/A+ DOS×170197 
 • Reports 1-K Annual Reports — Reg. A 1-K×42834 
 • Reports 1-SA Semi-Annual Reports — Reg. A 1-SA51830 
 • Reports 1-U Current Reports — Reg. A 1-U2,02019 
 • Reports 1-Z Exit Reports — Reg. A 1-Z×1144 
 • Reports 1-Z Withdrawals of Exit Reports — Reg. A 1-Z-W2– 
 • Registrations 10 Registrations of Securities (General Form) 10-12B°7811,580 
 • Registrations 10 Registrations of Securities (General Form) 10-12G°2,6204,499 
 • Reports 10-C Reports by Issuers of Securities Quoted on NASDAQ 10-C1,30525 
 • Reports 10-D Distribution Reports by Asset-Backed Issuers 10-D°72,4992,371 
 • Reports 10-K Annual Reports 10-K°192,08941,987 
 • Reports 10-K Annual Reports — Reg. S-K – Item 405 10-K40520,2383,227 
 • Reports 10-K Annual-Transition Reports 10-KT°506121 
 • Reports 10-K Annual-Transition Reports — Reg. S-K – Item 405 10KT4058217 
 • Reports 10-KSB Annual Reports by Small Businesses 10KSB37,06211,939 
 • Reports 10-KSB Annual Reports by Small Businesses — Reg. S-K – Item 405 10KSB403,460629 
 • Reports 10-Q Quarterly Reports 10-Q°593,35643,814 
 • Reports 10-Q Quarterly-Transition Reports 10-QT°20836 
 • Reports 10-QSB Quarterly Reports by Small Businesses 10QSB120,30817,154 
 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 10SB12B245134 
 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 10SB12G4,1475,545 
 • Reports 11-K Annual Reports by Employee Stock Purchase, Savings and Similar Plans 11-K40,985974 
 • Reports 11-K Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans 11-KT962 
 • Ownership 13F Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested 13FCONP1,27190 
 • Ownership 13F Quarterly Holdings Reports by Money Managers 13F-E1,188120 
 • Ownership 13F Quarterly Holdings and Combination Reports by Money Managers 13F-HR°286,92425,472 
 • Ownership 13F Quarterly Holdings Notices by Money Managers 13F-NT°93,8881,811 
 • Ownership 144 Notices of Proposed Sales of Securities by Insiders 1447,302285 
 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12B5,548109 
 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12G13,178410 
 • Reports 15 Notices of Suspensions of Duty to File Reports 15-15D16,005217 
 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 15F-12B19713 
 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 15F-12G23412 
 • Reports 15F Notices of Foreign Issuers’ Suspensions of Duty to File Reports 15F-15D1283 
 • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 18-12B4– 
 • Reports 18-K Annual Reports by Foreign Governments and Political Subdivisions 18-K°7192,308 
 • Reports 2-A Reports of Sales of Securities — Reg. A/A+ 2-A5281 
 • Reports 2-A Final Reports of Sales of Securities — Reg. A/A+ 2-AF36– 
 • Reports 20-F Annual Reports by Foreign Non-Canadian Issuers 20-F°15,8673,472 
 • Registrations 20-F Registrations of Securities of Foreign Non-Canadian Issuers 20FR12B171158 
 • Registrations 20-F Registrations of Securities of Foreign Non-Canadian Issuers 20FR12G°380597 
 • Reports 25 Notices by Issuers of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities 254,05543 
 • Reports 25 Notices by Securities Exchanges of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities 25-NSE×10,937246 
 • Reports 26 Notices of the Admission to Trading of a Substituted or Additional Class of Securities 262– 
 • Ownership 3 Initial Statements of Beneficial Ownership of Securities by Insiders 3°323,35317,806 
 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities by Insiders 4°3,673,646112,595 
 • Registrations 40-F Registration Statements and Annual Reports by Canadian Issuers 40-F°2,693496 
 • Registrations 40-F Registrations of Securities of Canadian Issuers 40FR12B13166 
 • Registrations 40-F Registrations of Securities of Canadian Issuers 40FR12G309 
 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities by Insiders 5°107,3904,051 
 • Reports 6-K Reports by Foreign Issuers 6-K°421,5775,391 
 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12B20,5794,513 
 • Registrations 8-A Registrations of Certain Classes of Securities 8A12BEF95– 
 • Registrations 8-A Registrations of Certain Classes of Securities 8A12BT288 
 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12G10,0102,362 
 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 8-B12B9429 
 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 8-B12G6113 
 • Reports 8-K Current Reports 8-K°1,650,49375,778 
 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12B°26129 
 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12G3628115 
 • Reports 8-K Notices of Assumptions of Duty to Report by Successor Issuers 8-K15D5702 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Initial Info ATS-N×4– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Correcting Amendments ATS-N/CA×25– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Material Amendments ATS-N/MA×74– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Updating Amendments ATS-N/UA×179– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Notices of Cessation ATS-N-C×6– 
 • Registrations C Crowdfunding Offering Statements C×3,5994,001 
 • Reports C-AR Crowdfunding Annual Reports C-AR×1,05150 
 • Reports C-AR-W Crowdfunding Annual Report Withdrawals C-AR-W×6– 
 • Reports C-TR Crowdfunding Terminations of Reporting C-TR×168– 
 • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals C-TR-W×2– 
 • Registrations C-U Crowdfunding Progress Updates C-U×1,447– 
 • Registrations C-U-W Crowdfunding Progress Update Withdrawals C-U-W×7– 
 • Registrations C-W Crowdfunding Offering Statement Withdrawals C-W×349– 
 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals C/A-W×11– 
 • Registrations CA-1 Registrations and Exemptions from Registration as a Clearing Agency CA-12– 
 • Ownership CB Tender-Offer, Exchange-Offer and Rights-Offering Notices re: Foreign Issuers CB1,6501,547 
 • Registrations CERT Certifications by Securities Exchanges Approving Listings CERT3,298– 
 • Registrations CERT Certifications by the American Stock Exchange Approving Listings CERTAMX1,585– 
 • Registrations CERT Certifications by the NYSE Arca Approving Listings CERTARCA362– 
 • Registrations CERT Certifications by the Cboe Bats Exchanges Approving Listings CERTBATS75– 
 • Registrations CERT Certifications by the Boston Stock Exchange Approving Listings CERTBSE13– 
 • Registrations CERT Certifications by the Cboe Global Markets Approving Listings  [ now as CERT ] CERTCBO74– 
 • Registrations CERT Certifications by the Chicago Stock Exchange Approving Listings CERTCSE2– 
 • Registrations CERT Certifications by the NASDAQ Stock Market Approving Listings  [ now as CERT ] CERTNAS2,776– 
 • Registrations CERT Certifications by the NYSE Approving Listings  [ now as CERT ] CERTNYS5,655– 
 • Registrations CERT Certifications by the Pacific Coast Stock Exchange Approving Listings CERTPAC542– 
 • Registrations CERT Certifications by the Philadelphia Stock Exchange Approving Listings CERTPBS3– 
 • Registrations D Notices of Exempt Offerings of Securities — Reg. D D×269,915182,542 
 • Registrations D Notices of Exempt Offerings of Securities — Reg. D REGDEX128,23142,440 
 • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Issuers DRS°3,1043,427 
 • Registrations F-1 Registration Statements by Foreign Issuers F-1°1,5424,234 
 • Registrations F-10 Registration Statements by Canadian Issuers – Not Effective Immediately F-10813873 
 • Registrations F-10 Registration Statements by Canadian Issuers – Effective Immediately F-10EF7– 
 • Registrations F-2 Registration Statements by Foreign Issuers F-21636 
 • Registrations F-2 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-2D1– 
 • Registrations F-3 Registration Statements by Foreign Issuers for Securities Offered Pursuant to Transactions F-3°1,5221,272 
 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Issuers F-3ASR°613– 
 • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-3D58– 
 • Registrations F-4 Registration Statements by Foreign Issuers for Securities Issued in Mergers – Not Effective Immediately F-4°7501,417 
 • Registrations F-4 Registration Statements by Foreign Issuers for Securities Issued in Mergers – Effective Immediately F-4EF1– 
 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Not Effective Immediately F-61,780177 
 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Effective Immediately F-6EF6,725– 
 • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights F-74410 
 • Registrations F-8 Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers and Mergers F-83251 
 • Registrations F-80 Registrations of Securities of Canadian Issuers for Securities to be Issued in Exchange Offers and Mergers F-802622 
 • Registrations F-9 Registration Statements by Canadian Issuers – Not Effective Immediately F-910190 
 • Registrations F-9 Registration Statements by Canadian Issuers – Effective Immediately F-9EF3– 
 • Registrations F-N Appointments of Agents for Service of Process by Foreign Financial Entities F-N39227 
 • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities F-X2,723284 
 • Registrations Funding Portal Applications for Registration as a Crowdfunding Portal CFPORTAL×84301 
 • Registrations Funding Portal Applications for Withdrawal from Registration as a Crowdfunding Portal CFPORTAL-W×10– 
 • Reports G-405 Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers G-405633 
 • Reports G-405N Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers G-405N501 
 • Registrations G-FIN Notices of Activities as a Government Securities Broker or Dealer by Financial Institutions G-FIN23254 
 • Registrations G-FINW Notices of Withdrawal as a Government Securities Broker or Dealer by Financial Institutions G-FINW16– 
 • Registrations ID Applications for EDGAR Access – New Central Index Key (CIK) ID-NEWCIK1– 
 • Registrations MA Applications for Municipal Advisor Registration MA×8901,590 
 • Registrations MA Annual Updates of a Municipal Advisor’s Registration MA-A×2,171– 
 • Registrations MA-I Info Regarding Natural Persons Who Engage in Municipal Advisory Activities MA-I×7,9869,089 
 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor MA-W×340– 
 • Registrations MSD Registrations of Municipal Securities Dealers MSD44426 
 • Registrations MSDW Notices of Withdrawal from Registration as a Municipal Securities Dealer MSDW82– 
 • Registrations N-1 Registration Statements by Open-End Investment Companies N-12189 
 • Registrations N-14 Registration Statements by Open-End Investment Companies – Mergers N-143,5182,319 
 • Registrations N-14 Registration Statements by Closed-End Investment Companies – Mergers N-14 8C264312 
 • Registrations N-14 Registration Statements by Open-End Investment Companies with Automatic Effectiveness – Mergers N-14AE891185 
 • Registrations N-14 Registration Statements by Open-End Investment Companies – Mergers N14AE2423058 
 • Registrations N-14 Registration Statements by Open-End Investment Companies – Mergers N14EL2415889 
 • Registrations N-1A Registration Statements by Open-End Investment Companies N-1A°1,8842,801 
 • Registrations N-1A Registration Statements by Open-End Investment Companies N-1A EL361466 
 • Registrations N-2 Registration Statements by Closed-End Investment Companies N-23,7865,706 
 • Registrations N-2 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Closed-End Investment Companies N-2ASR3– 
 • Ownership N-23C-1 Reports of Purchases of their own Securities by Closed-End Investment Companies N-23C-192016 
 • Ownership N-23c-3 Notices of Periodic Repurchase Offers by Closed-End Investment Companies N-23C3A2,21028 
 • Ownership N-23c-3 Notices of Discretionary Repurchase Offers by Closed-End Investment Companies N-23C3B4043 
 • Ownership N-23c-3 Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment Companies N-23C3C4847 
 • Reports N-27D-1 Accountings for Segregated Trust Accounts N-27D-112– 
 • Registrations N-3 Registration Statements for Separate Accounts – Investment Companies N-34019 
 • Registrations N-3 Registration Statements for Separate Accounts – Investment Companies N-3 EL66 
 • Registrations N-4 Registration Statements for Separate Accounts – Unit Investment Trusts N-42,2872,027 
 • Registrations N-4 Registration Statements for Separate Accounts – Unit Investment Trusts N-4 EL151141 
 • Registrations N-5 Registration Statements by Small-Business Investment Companies N-5910 
 • Reports N-54A Notices of Elections by Business Development Companies N-54A2899 
 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies N-54C1954 
 • Registrations N-6 Registration Statements for Separate Accounts – Unit Investment Trusts N-6703518 
 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status N-6F14463 
 • Registrations N-8A Notices of Registrations by Investment Companies N-8A4,283604 
 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts N-8B-2184172 
 • Registrations N-8B-4 Registration Statements by Face-Amount Certificate Companies N-8B-43– 
 • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies – Abandonments of Registration 40-8F-A12465 
 • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies – Business Development Companies 40-8F-B41 
 • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies – Liquidations 40-8F-L455180 
 • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies – Mergers 40-8F-M542174 
 • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies N-8F3,1011,415 
 • Reports N-CEN Annual Reports by Investment Companies N-CEN×8,0821,084 
 • Reports N-CEN Annual Reports by Investment Companies (Late Filings) NT N-CEN°140– 
 • Reports N-CR Current Reports of Material Events by Money-Market Funds N-CR6913 
 • Reports N-CSR Certified Annual Shareholder Reports by Investment Companies N-CSR°62,8803,011 
 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Investment Companies N-CSRS°55,003959 
 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds N-MFP×41,4142,243 
 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) NT N-MFP°238– 
 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds N-MFP1×3,040553 
 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) NT N-MFP1°35– 
 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds N-MFP2×22,1901,022 
 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) NT N-MFP2°270– 
 • Reports N-PORT Portfolio Holdings Schedules by Investment Companies 
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  [ now Exhibit NPORT-EX of Filing NPORT-P ]
 NPORT-EX7,21014 
 • Reports N-PORT Portfolio Holdings Schedules by Investment Companies (Late Filings) 
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  [ now Exhibit NPORT-EX of Filing NPORT-P ]
 NT NPORTEX85– 
 • Reports N-PORT Monthly Portfolio Investments Reports (made Public Quarterly) by Investment Companies  [ with Exhibit NPORT-EX ] NPORT-P×65,0981,147 
 • Reports N-PORT Monthly Portfolio Investments Reports (made Public Quarterly) by Investment Companies (Late Filings)  [ with Exhibit NPORT-EX ] NT NPORT-P×874– 
 • Proxies N-PX Proxy Voting Records – Annual Reports by Investment Companies N-PX51,3551,859 
 • Reports N-Q Quarterly Portfolio Holdings Schedules by Investment Companies N-Q°94,9301,010 
 • Reports N-SAR Semi-Annual Reports by Investment Companies NSAR-A73,4064,004 
 • Reports N-SAR Semi-Annual-Transition Reports by Investment Companies NSAR-AT20216 
 • Reports N-SAR Annual Reports by Investment Companies NSAR-B73,5426,357 
 • Reports N-SAR Annual-Transition Reports by Investment Companies NSAR-BT68954 
 • Reports N-SAR Annual Reports by Unit Investment Trusts NSAR-U16,570351 
 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations NRSRO-CE5128 
 • Registrations NRSRO Updates of Registrations by Nationally Recognized Statistical Rating Organizations NRSRO-UPD173– 
 • Registrations S-1 Registration Statements (General Form) S-1°20,27052,382 
 • Registrations S-11 Registration Statements by Real Estate Companies S-11°1,1213,446 
 • Registrations S-2 Registration Statements S-29781,457 
 • Registrations S-20 Registration Statements for Standardized Options S-2065 
 • Registrations S-3 Registration Statements for Securities Offered Pursuant to Transactions S-3°35,64828,876 
 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers S-3ASR°7,720– 
 • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans S-3D9545 
 • Registrations S-3ASR / F-3ASR Post-Effective Amendments of Automatic Shelf Registration Statements POSASR°1,897– 
 • Registrations S-4 Registrations of Securities Issued in Mergers S-4°14,58119,640 
 • Registrations S-4 Registrations of Securities Issued in Mergers Forming Bank and Savings & Loan Holding Companies S-4EF7731 
 • Registrations S-6 Registration Statements by Unit Investment Trusts S-621,2188,286 
 • Registrations S-6 Registration Statements by Unit Investment Trusts S-6EL241,398359 
 • Registrations S-6 Initial Undertakings to File Reports UNDER411 
 • Registrations S-8 Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit Plans S-884,28018 
 • Registrations SB-1 Registration Statements by Small-Business Issuers SB-1151359 
 • Registrations SB-2 Registration Statements by Small-Business Issuers SB-27,81216,585 
 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository SDR×24 
 • Reports SE Separate Exhibits of Scanned Paper-Format Exhibits of Filings SE3,582– 
 • Registrations SF-1 Registration Statements (General Form) by Issuers of Asset-Backed Securities SF-1514 
 • Registrations SF-3 Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities SF-3135204 
 • Registrations T-1 Statements of Eligibility by Corporations Designated to Act as Trustees 305B21,90820 
 • Registrations T-3 Applications for Qualification of a Trust Indenture T-3628622 
 • Registrations T-6 Applications for Determination of Eligibility of a Foreign Person to Act as an Institutional Trustee T-61– 
 • Registrations TA-1 Applications for Registration as a Transfer Agent TA-1°4284,262 
 • Reports TA-2 Annual Reports of Transfer Agents’ Activities TA-2°8,571752 
 • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent TA-W°509– 
 • Reports TH Notices of Reliance on Temporary Hardship Exemption TH135– 
 • Registrations U-1 Applications and Declarations U-19692,309 
 • Ownership U-12(I)-A Ownership Statements by Persons Employed or Retained by Utility Holding Companies U-12-IA291 
 • Ownership U-12(I)-B Three-Year Ownership Statements by Persons Employed or Retained by Utility Holding Companies U-12-IB1,5373 
 • Reports U-13-60 Annual Reports by Mutual and Subsidiary Service Companies U-13-6036617 
 • Ownership U-13E-1 Transaction Statements by Affiliate and Independent Service Companies U-13E-14– 
 • Reports U-33-S Annual Reports by Foreign Utility Companies U-33-S481 
 • Registrations U-3A-2 Statements by Utility Holding Companies Claiming Exemption U-3A-2985163 
 • Registrations U-3A3-1 Twelve-Month Statements by Banks Claiming Exemption U-3A3-121– 
 • Reports U-57 Notices of Foreign Utility Company Status U-57614237 
 • Reports U-6B-2 Certificates of Notices of Security Issues, Renewals and Guarantees U-6B-21,2849 
 • Reports U-7D Certificates Concerning Leases of Utility Facilities U-7D3139 
 • Reports U-9C-3 Quarterly Reports by Energy or Gas-Related Companies U-9C-363616 
 • Registrations U5A Notices of Registrations by Utility Holding Companies U5A404 
 • Registrations U5B Registration Statements by Utility Holding Companies U5B3210 
 • Reports U5S Annual Reports by Utility Holding Companies U5S24268 
 • Reports X-17A-5 Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers X-17A-5°88,0245,812 
 • Registrations IAA Registrations of Investment Advisers ADV1 
 • Registrations IAA Cancellations of Investment Adviser Registrations by SEC Order 
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 ADVCO53– 
 • Reports IAA Certificates of Accounting of Client Securities and Funds in Possession or Custody of Investment Advisers ADV-E2,451– 
 • Reports IAA Applications for Continuing Hardship Exemptions by Investment Advisers ADV-H-C8– 
 • Reports IAA Applications for Temporary Hardship Exemptions by Investment Advisers ADV-H-T73– 
 • Registrations IAA Appointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment Advisers ADV-NR679– 
 • Registrations IAA Notices of Withdrawal from Registration as an Investment Adviser ADVW9– 
 • Registrations ICA Applications for Exemption Orders – ’40-6B’ SEC Notices 
SEC emoji
 6B NTC26– 
 • Registrations ICA Applications for Exemption Orders – ’40-6B’ SEC Orders 
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 6B ORDR26– 
 • Registrations ICA Applications for Deregistration Orders – ’40-8F-2’ SEC Notices 
SEC emoji
 8F-2 NTC4– 
 • Registrations ICA Applications for Deregistration Orders – ’40-8F-2’ SEC Orders 
SEC emoji
 8F-2 ORDR3– 
 • Registrations ICA Applications for Exemption Orders by Employees’ Investment Companies 40-6B50171 
 • Registrations ICA Investment Company Registrations Withdrawn by SEC Order 
SEC emoji
 40-8FC31 
 • Registrations ICA Applications for Exemption Orders and Other Relief by Investment Companies 40-APP1,9072,935 
 • Registrations ICA Applications for Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment Companies 40-OIP82156 
 • Reports ICA Reports Required from Certain Applicants for Exemptions from the Investment Company Act 40-RPT2– 
 • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Notices 
SEC emoji
 APP NTC886– 
 • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Orders 
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 APP ORDR858– 
 • Registrations ICA Withdrawals of Applications for Exemption Orders and Other Relief APP WD48012 
 • Registrations ICA Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grant 
SEC emoji
 APP WDG74– 
 • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Notices 
SEC emoji
 N-8F NTC1,743– 
 • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Orders 
SEC emoji
 N-8F ORDR1,891– 
 • Registrations ICA Applications for Exemption Orders – ’40-OIP’ SEC Notices 
SEC emoji
 OIP NTC66– 
 • Registrations ICA Applications for Exemption Orders – ’40-OIP’ SEC Orders 
SEC emoji
 OIP ORDR60– 
 • Registrations ICA Post-Effective Amendments of Investment Company Registration Statements POS AMI6,348– 
 • Reports ITRASHRA Notices of Iran/Syria Disclosures in Quarterly and Annual Reports IRANNOTICE3,200– 
 • Registrations PUHCA Post-Effective Amendments of Form U-1 Registrations POS AMC1,182– 
 
Reg.
 
 • Reports BW – 2 Quarterly Reports by the International Bank for Reconstruction and Development (World Bank) BW-227– 
 • Reports BW – 3 Distribution of Primary Obligations Reports by the International Bank for Reconstruction and Development (World Bank) BW-393– 
 • Reports E Notices by Small Business Investment and Business Development Companies 1-E15278 
 • Registrations E Ads by Small Business Investment and Business Development Companies 1-E AD2– 
 • Reports E Reports of Sales of Securities 2-E8711 
 
Rule
 
 • Reports 12b-25 Notices of Late Filings of Form 10-D Distribution Reports NT 10-D91 
 • Reports 12b-25 Notices of Late Filings of Form 10-D Distribution Reports (Late Notices) NTN 10D5– 
 • Reports 12b-25 Notices of Late Filings of Form 10-K Annual Reports NT 10-K43,195690 
 • Reports 12b-25 Notices of Late Filings of Form 10-K Annual Reports (Late Notices) NTN 10K1,580– 
 • Reports 12b-25 Notices of Late Filings of Form 10-Q Quarterly Reports NT 10-Q°71,043605 
 • Reports 12b-25 Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices) NTN 10Q2,302– 
 • Reports 12b-25 Notices of Late Filings of Form 11-K Annual Reports NT 11-K1,65516 
 • Reports 12b-25 Notices of Late Filings of Form 11-K Annual Reports (Late Notices) NTN 11K18– 
 • Reports 12b-25 Notices of Late Filings of Form 20-F Annual Reports NT 20-F1,62926 
 • Reports 12b-25 Notices of Late Filings of Form 20-F Annual Reports (Late Notices) NTN 20F37– 
 • Reports 12b-25 Notices of Late Filings of Form N-CEN Annual Reports NT-NCEN592 
 • Reports 12b-25 Notices of Late Filings of Form N-CEN Annual Reports (Late Notices) NTFNCEN16– 
 • Reports 12b-25 Notices of Late Filings of Form N-CSR Shareholder Reports NT-NCSR34826 
 • Reports 12b-25 Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices) NTFNCSR78– 
 • Reports 12b-25 Notices of Late Filings of Form N-SAR Semi-Annual Reports NT-NSAR2,590116 
 • Reports 12b-25 Notices of Late Filings of Form N-SAR Semi-Annual Reports (Late Notices) NTFNSAR190– 
 • Reports 12b-25 Notices of Late Filings of ‘SP 15D2’ Special Financial Reports NT 15D287 
 • Reports 12b-25 Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices) NTN15D23– 
 • Registrations 12g-3 Exemptions for American Depository Receipts and Certain Foreign Securities 12G3-2B613– 
 • Registrations 12g-3 Exemptions for American Depository Receipts and Certain Foreign Securities 12G32BR178– 
 • Proxies 13e-3 Definitive Proxy Statements for Going-Private Transactions DEF13E37787 
 • Proxies 13e-3 Preliminary Proxy Statements for Going-Private Transactions PRE13E3173290 
 • Reports 13p-1 Specialized Disclosure Reports Relating to the Use of Conflict Minerals SD8,21926 
 • Proxies 14a-6(g) Notices of Exempt Non-Management Proxy Solicitations PX14A6G1,700– 
 • Proxies 14a-6(n) Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications PX14A6N40– 
 • Letters 14a-8 SEC No-Action Letters 
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 NO ACT9,085– 
 • Reports 15d-2 Special Financial Reports SP 15D2562 
 • Registrations 163 / 433 Free-Writing Prospectuses FWP157,950– 
 • Reports 17f-1 Certificates of Accounting of Securities in the Custody of Investment Companies 40-17F155517 
 • Reports 17f-2 Certificates of Accounting of Securities in the Custody of Investment Companies 40-17F218,539130 
 • Reports 17g-1 Claims and Settlements re: Investment Companies 40-17GCS18– 
 • Reports 17g-1(g) Fidelity Bonds for Investment Companies 40-17G26,0352,210 
 • Reports 18f-1 Notices of Elections by Open-End Investment Companies N-18F11,25731 
 • Reports 19b-4 Proposed Rule Changes by SROs 19B-4101 
 • Reports 19b-4(e) Info from SROs Listing and Trading New Derivative Securities Products 19B-4E27,413– 
 • Reports 20(e) Statements Concerning Proposed Transactions 35-APP62 
 • Ownership 23c-2 Notices of Intentions to Call or Redeem their own Securities by Closed-End Investment Companies N-23C-21,66257 
 • Reports 24 Certificates Concerning Terms and Conditions of Transactions 35-CERT5,13998 
 • Reports 24b-2 Sales Literature from Investment Companies 40-24B23,00486 
 • Registrations 24f-1 Registrations of Securities by Certain Investment Companies – Notices of Election 24F-16– 
 • Registrations 24f-2 Registrations of Securities by Certain Investment Companies – Declarations of Election 24F-2EL292 
 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 24F-2NT179,7493,166 
 • Registrations 24f-2 Registrations of Securities by Certain Investment Companies – Terminations of Declarations of Election 24F-2TM603– 
 • Reports 30b-2 Periodic and Interim Reports Mailed to Shareholders of Investment Companies N-30B-211,496– 
 • Reports 30d-1 Annual and Semi-Annual Reports Mailed to Shareholders of Investment Companies N-30D71,3131,057 
 • Registrations 424(a) Prospectuses – Info Substantively Changed or Added 424A1,555– 
 • Registrations 424(b)(1) Prospectuses – Info Previously Omitted 424B16,041– 
 • Registrations 424(b)(2) Prospectuses – Primary Offerings or Shelf Securities 424B2276,542– 
 • Registrations 424(b)(3) Prospectuses – New Facts or Events 424B3°163,072– 
 • Registrations 424(b)(4) Prospectuses – Info Previously Omitted – New Facts or Events 424B4°10,818– 
 • Registrations 424(b)(5) Prospectuses – Primary Offerings or Shelf Securities – New Facts or Events 424B5°61,058– 
 • Registrations 424(b)(7) Prospectuses – Selling Security Holders – Info Previously Omitted 424B73,794– 
 • Registrations 424(b)(8) Prospectuses (Late Filings) 424B81,193– 
 • Registrations 424(h) Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed 424H77161 
 • Reports 425 Prospectuses and Communications – Mergers 425°69,758– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-1 Registration F-1MEF192– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-3 Registration F-3MEF41– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-4 Registration F-4MEF8– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-2 Registration N-2MEF249– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-14 Registration N-14MEF5– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-1 Registration S-1MEF1,876– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-2 Registration S-2MEF73– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-3 Registration S-3MEF1,311– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-4 Registration S-4MEF156– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-11 Registration S-11MEF82– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Schedule B Registration S-BMEF13– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form SB-1 Registration SB-1MEF1– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form SB-2 Registration SB-2MEF104– 
 • Registrations 462(d) Post-Effective Amendments of Registration Statements to Add Exhibits POS EX°4,207– 
 • Registrations 485(a) Post-Effective Amendments of Form N-1 and N-1A Registrations 485A24E88– 
 • Registrations 485(a) Post-Effective Amendments of Form N-1 and N-1A Registrations 485A24F25– 
 • Registrations 485(a) Post-Effective Amendments of Form N-1 and N-1A Registrations 485APOS°40,435– 
 • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations 485B24E1,669– 
 • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations 485B24F64– 
 • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations 485BPOS°185,277– 
 • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates 485BXT22,480– 
 • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates 485BXTF1– 
 • Registrations 486(a) Post-Effective Amendments of Form N-2 Registrations 486A24E1– 
 • Registrations 486(a) Post-Effective Amendments of Form N-2 Registrations 486APOS223– 
 • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations 486B24E2– 
 • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations 486BPOS865– 
 • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates 486BXT57– 
 • Registrations 487 Pre-Effective Pricing Amendments of Registration Statements 48719,456– 
 • Registrations 497 Definitive Materials 497°369,799– 
 • Reports 497 & 482(c) Advertising by Certain Investment Companies 497AD3,908– 
 • Registrations 497(h)(2) Prospectuses of Certain Closed-End Investment Companies 497H283– 
 • Registrations 497(j) Certifications of No Change in Definitive Materials 497J120,511– 
 • Registrations 497(k) Summary Prospectuses of Certain Open-End Investment Companies 497K219,385– 
 • Reports 497(k)(1)(i) Profiles of Certain Open-End Investment Companies 497K1317– 
 • Reports 497(k)(1)(ii) Profiles of Certain Open-End Investment Companies 497K2164– 
 • Reports 497(k)(1)(iii)(A) Profiles of Certain Open-End Investment Companies 497K3A52– 
 • Reports 497(k)(1)(iii)(B) Profiles of Certain Open-End Investment Companies 497K3B2,294– 
 • Reports 8b-25(a) Applications for Extensions of Time to File Reports by Investment Companies 40-8B25111– 
 • Registrations O-2 Applications for Deregistration Orders by Investment Companies 40-8F-22132 
 
Sch.
 
 • Ownership 13D Statements of Acquisitions of Beneficial Ownership by Non-Passive Investors SC 13D57,679123,224 
 • Ownership 13E-1 Tender-Offer Statements by Issuers SC 13E12313 
 • Ownership 13E-3 Tender-Offer Statements by Issuers for Going-Private Transactions SC 13E32,4528,198 
 • Ownership 13E-4 / TO Tender-Offer Statements by Issuers SC 13E47341,250 
 • Ownership 13E-4F Tender-Offer Statements by Canadian Issuers SC13E4F1726 
 • Ownership 13G Statements of Acquisitions of Beneficial Ownership by Passive Investors SC 13G205,656374,014 
 • Proxies 14A Definitive Proxy Statements DEF 14A°166,547– 
 • Proxies 14A Additional Definitive Proxy Soliciting Materials DEFA14A°88,187– 
 • Proxies 14A Definitive Proxy Statements for Contested Solicitations DEFC14A1,920– 
 • Proxies 14A Definitive Proxy Statements for Mergers and Acquisitions DEFM14A5,505– 
 • Proxies 14A Definitive Non-Management Proxy Statements DEFN14A304– 
 • Proxies 14A Revised Definitive Proxy Soliciting Materials DEFR14A5,432– 
 • Proxies 14A Definitive Proxy Statements for Special Meetings DEFS14A3,996– 
 • Proxies 14A Additional Definitive Non-Management Proxy Soliciting Materials DFAN14A12,183– 
 • Proxies 14A Revised Definitive Non-Management Proxy Statements DFRN14A327– 
 • Proxies 14A Preliminary Proxy Statements PRE 14A°37,982– 
 • Proxies 14A Additional Preliminary Proxy Soliciting Materials PREA14A16– 
 • Proxies 14A Preliminary Proxy Statements for Contested Solicitations PREC14A2,635– 
 • Proxies 14A Preliminary Proxy Statements for Mergers and Acquisitions PREM14A4,830– 
 • Proxies 14A Preliminary Non-Management Proxy Statements PREN14A373– 
 • Proxies 14A Revised Preliminary Proxy Soliciting Materials PRER14A11,075– 
 • Proxies 14A Preliminary Proxy Statements for Special Meetings PRES14A3,944– 
 • Proxies 14A Revised Preliminary Non-Management Proxy Soliciting Materials for Contested Solicitations and Other Situations PRRN14A2,076– 
 • Proxies 14C Definitive Proxy Info Statements DEF 14C12,289– 
 • Proxies 14C Additional Definitive Proxy Info Statements DEFA14C360– 
 • Proxies 14C Definitive Proxy Info Statements for Contested Solicitations DEFC14C25– 
 • Proxies 14C Definitive Proxy Info Statements for Mergers and Acquisitions DEFM14C430– 
 • Proxies 14C Revised Definitive Proxy Info Statements DEFR14C416– 
 • Proxies 14C Definitive Proxy Info Statements for Special Meetings DEFS14C88– 
 • Proxies 14C Preliminary Proxy Info Statements PRE 14C9,467– 
 • Proxies 14C Additional Preliminary Proxy Info Statements PREA14C1– 
 • Proxies 14C Preliminary Proxy Info Statements for Contested Solicitations PREC14C63– 
 • Proxies 14C Preliminary Proxy Info Statements for Mergers and Acquisitions PREM14C683– 
 • Proxies 14C Revised Preliminary Proxy Info Statements PRER14C2,482– 
 • Proxies 14C Preliminary Proxy Info Statements for Special Meetings PRES14C129– 
 • Ownership 14D-1 Tender-Offer Statements by Third Parties SC 14D11,2715,205 
 • Ownership 14D-1F Tender-Offer Statements by Canadian Third Parties SC14D1F45148 
 • Ownership 14D-9 Tender-Offer Solicitation/Recommendation Statements SC 14D94,2639,446 
 • Ownership 14D-9C Tender-Offer Communications by Issuers re: Third-Party Offers SC14D9C2,403– 
 • Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers SC14D9F4040 
 • Ownership 14F-1 Statements re: Changes in the Majority of Directors SC 14F12,254233 
 • Proxies 14N Info from Certain Nominating Shareholders SC 14N107 
 • Registrations B Registration Statements by Foreign Governments and Political Subdivisions S-B343212 
 • Ownership TO Tender-Offer Communications re: Issuer and Third-Party Offers SC TO-C5,410– 
 • Ownership TO Tender-Offer Statements by Issuers SC TO-I9,27515,243 
 • Ownership TO Tender-Offer Statements by Third Parties SC TO-T2,62412,179 
 
Sect.
 
 • Registrations SA §11(a) Supplemental Materials by Foreign Issuers {Voluntary} SUPPL55,863– 
 • Reports SEA §12(g) / 13(a) Applications for Exemptions and from Filing Certain Reports 34-12H7– 
 • Registrations SEA §12(j) SEC Orders Revoking Registrations 
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 REVOKED5,849– 
 • Reports SEA §15G Asset-Backed Securitizer Reports ABS-15G12,5203,648 
 • Registrations IAA §202 Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act 40-202A3336 
 • Registrations IAA §203 Exemptions from the Prohibition on Registration as an Investment Adviser 40-203A22 
 • Registrations IAA §205 Applications for Performance Fee Exemptions by Investment Advisers 40-205E32 
 • Registrations IAA §206(3) Applications for Exemptions by Investment Advisers 40-206A4739 
 • Reports ICA §33 Stockholder Derivative Actions re: Investment Companies 40-331,0468 
 • Registrations ICA §6(c) Applications for Exemptions and Other Relief by Investment Companies 40-6C433529 
 • Registrations SA §8(c) Post-Effective Amendments of Certain Investment Company Registration Statements POS 8C2,211– 
 • Registrations TIA Applications to Exempt any Person, Registration Statement, Indenture Security or Transaction (or any Class or Classes of such) from One or More Provisions of the Trust Indenture Act 39-304D91 
 • Registrations TIA Applications Regarding a Conflict of Interest under the Trust Indenture Act 39-310B2– 
 
  Totals       12,714,995   1,406,963 
____________
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      XSLT:  eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML.  
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