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 Trading  
Application emoji
 
Applications for Registration, or an Exemption from Registration, as a National Securities Exchange SEA’34 1 12,792a
 Registration  
Statement emoji
 
Offering Statements SA’33 1-A 1-A°7,322a
 Registration  /A  Post-Qualification Amendments of Form 1-A Offering Statements SA’33 A/A+ 1-A POS×2,118  
 Registration  
Withdrawal emoji
 
Withdrawals of Form 1-A Offering Statements SA’33 A/A+ 1-A-W434a
 Registration  
Notice emoji
 
Notices of Exempt Offerings of Securities by Small Business Investment and Business Development Companies (SBICs and BDCs) ICA’40 1-E 1-E231a
 Registration  
Sales Media emoji
 
Advertising by Small Business Investment and Business Development Companies (SBICs and BDCs) ICA’40 1-E 1-E AD2  
 Update  
Report emoji
 
Annual Reports and Special Financial Reports SEA’34 1-K 1-K×2,029a
 Update  
Report emoji
 
Semi-Annual Reports and Special Financial Reports SEA’34 1-SA 1-SA1,829a
 Update  
Report emoji
 
Current Reports SEA’34 1-U 1-U7,460a
 Registration  
Report emoji
 
Exit Reports SA’33 1-Z 1-Z×303a
 Update  
Withdrawal emoji
 
Withdrawals of Exit Reports SA’33 1-Z 1-Z-W6  
 Update  
Report emoji
 
Reports of Sales of Securities2-A 2-A133a
 Update  
Report emoji
 
Final Reports of Sales of Securities2-A 2-AF36  
 Update  
Report emoji
 
Reports of Sales of Securities by Investment Companies (SBICs and BDCs) ICA’40 2-E 2-E98a
 Ownership  
Statement emoji
 
Initial Statements of Beneficial Ownership of Securities by Insiders SEA’34 3 3°394,690a
 Ownership  
Statement emoji
 
Statements of Changes in Beneficial Ownership of Securities by Insiders SEA’34 4 4°4,416,441a
 Ownership  
Statement emoji
 
Annual Statements of Changes in Beneficial Ownership of Securities by Insiders SEA’34 5 5°117,856a
 SEC  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices ICA’40 ICA 6B NTC31  
 SEC  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders ICA’40 ICA 6B ORDR31  
 Update  
Report emoji
 
Current, Quarterly and Other Reports by Foreign Issuers SEA’34 6-K 6-K°514,921a
 Registration  
Statement emoji
 
Registration Statements for Certain Classes of Securities SEA’34 8-A 8-A12B29,320a
 Registration  
Statement emoji
 
Registration Statements for Certain Classes of Securities SEA’34 8-A 8-A12G12,594a
 SEC  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Notices ICA’40 ICA 8F-2 NTC6  
 SEC  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Orders ICA’40 ICA 8F-2 ORDR5  
 Update  
Report emoji
 
Current Reports SEA’34 8-K 8-K°1,965,383a
 Registration  
Notice emoji
 
Notices of Securities Deemed to be Registered by Successor Issuers SEA’34 8-K 8-K12B°364a
 Registration  
Notice emoji
 
Notices of Securities Deemed to be Registered by Successor Issuers SEA’34 8-K 8-K12G3763a
 Update  
Notice emoji
 
Notices of Assumptions of Duty to File Reports by Successor Issuers SEA’34 8-K 8-K15D573a
 Registration  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Corporations8-M 8-M67  
 Registration  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Partnerships9-M 9-M13  
 Registration  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer General Partners10-M 10-M1  
 Registration  
Statement emoji
 
Registration Statements SEA’34 10 10-12B°2,569a
 Registration  
Statement emoji
 
Registration Statements SEA’34 10 10-12G°8,133a
 ABS  
Report emoji
 
Distribution Reports by Issuers of Asset-Backed Securities SEA’34 10-D 10-D°104,744a
 Update  
Report emoji
 
Annual Reports SEA’34 10-K 10-K°262,497a
 Update  
Report emoji
 
Annual-Transition Reports SEA’34 10-K 10-KT°701a
 Update  
Report emoji
 
Quarterly Reports SEA’34 10-Q 10-Q°703,448a
 Update  
Report emoji
 
Quarterly-Transition Reports SEA’34 10-Q 10-QT°264a
 Update  
Report emoji
 
Annual Reports by Employee Stock Purchase, Savings and Similar Plans SEA’34 11-K 11-K45,068a
 Update  
Report emoji
 
Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans SEA’34 11-K 11-KT102a
 Ownership  
Report emoji
 
Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested SEA’34 13F 13FCONP1,361a
 Ownership  
Report emoji
 
Quarterly Holdings and Combination Reports by Money Managers SEA’34 13F 13F-HR°406,264a
 Ownership  
Notice emoji
 
Quarterly Holdings Notices by Money Managers SEA’34 13F 13F-NT°117,880a
 Registration  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities SEA’34 15 15-12B6,041a
 Registration  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities SEA’34 15 15-12G14,951a
 Update  
Notice emoji
 
Notices of Suspensions of Duty to File Reports SEA’34 15 15-15D16,700a
 Registration  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers SEA’34 15F 15F-12B261a
 Registration  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers SEA’34 15F 15F-12G252a
 Update  
Notice emoji
 
Notices of Suspensions of Duty to File Reports by Foreign Issuers SEA’34 15F 15F-15D153a
 Registration  
Statement emoji
 
Registration Statements by Foreign Governments and Political Subdivisions SEA’34 18 18-12B4  
 Update  
Report emoji
 
Annual Reports by Foreign Governments and Political Subdivisions SEA’34 18-K 18-K°3,598a
 Trading  
Information emoji
 
Proposed Rule Changes by Self-Regulatory Organizations (SROs)19b-4 19B-412a
 Trading  
Information emoji
 
Info from Self-Regulatory Organizations (SROs) Listing and Trading New Derivative Securities Products SEA’34 19b-4(e) 19B-4E30,455  
 Update  
Report emoji
 
Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers SEA’34 20-F 20-F°23,243a
 Registration  
Statement emoji
 
Registration Statements by Foreign Non-Canadian Issuers SEA’34 20-F 20FR12B412a
 Registration  
Statement emoji
 
Registration Statements by Foreign Non-Canadian Issuers SEA’34 20-F 20FR12G°1,018a
 Update  
Notice emoji
 
Annual Notices of Securities Sold by Investment Companies ICA’40 24F-2 24F-2NT°201,277a
 Trading  
Notice emoji
 
Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities SEA’34 25 254,491a
 Trading  
Notice emoji
 
Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities SEA’34 25 25-NSE×14,617a
 Update  
Application emoji
 
Applications for Exemptions and from Filing Certain Reports SEA’34 §12(g) / 13(a) 34-12H7  
 Registration  
Application emoji
 
Applications for Exemption Orders by Employees’ Investment Companies ICA’40 O-2 40-6B266a
 Update  
Application emoji
 
Applications for Extensions of Time to File Reports by Investment Companies ICA’40 8b-25(a) 40-8B25116  
 Registration  
Withdrawal emoji
 
Applications for SEC Deregistration Orders by Investment Companies ICA’40 O-2 40-8F-262a
 Update  
Accounting emoji
 
Certificates of Accounting of Securities of Investment Companies in the Custody of Members of National Securities Exchanges ICA’40 N-17f-1 40-17F1767a
 Update  
Accounting emoji
 
Certificates of Accounting of Securities in the Custody of Investment Companies ICA’40 N-17f-2 40-17F220,105a
 Update  
Bond emoji
 
Fidelity Bonds for Investment Companies ICA’40 17g-1(g) 40-17G31,541a
 Update  
Bond emoji
 
Fidelity Bonds for Investment Companies – Claims and Settlements ICA’40 17g-1(g) 40-17GCS20  
 Update  
Sales Media emoji
 
Sales Literature from Investment Companies ICA’40 24b-2 40-24B23,499a
 Update  
Document emoji
 
Stockholder Derivative Actions Against Investment Companies and Affiliates ICA’40 ICA §33 40-331,098a
 Registration  
Application emoji
 
Applications to Designate the Applicant a Person Not Within the Intent of the Investment Advisers Act IAA’40 IAA §202 40-202A69a
 Registration  
Application emoji
 
Applications for Exemptions by Investment Advisors IAA’40 IAA §206(3) 40-206A87a
 Registration  
Application emoji
 
Applications for Exemption Orders and Other Relief by Investment Companies ICA’40 O-2 40-APP5,735a
 Update  
Report emoji
 
Annual Reports by Canadian Issuers SEA’34 40-F 40-F°3,819a
 Registration  
Statement emoji
 
Registration Statements by Certain Canadian Issuers SEA’34 40-F 40FR12B284a
 Registration  
Statement emoji
 
Registration Statements by Certain Canadian Issuers SEA’34 40-F 40FR12G42a
 Registration  
Application emoji
 
Applications for SEC Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment Companies ICA’40 O-2 40-OIP238a
 Ownership  
Notice emoji
 
Notices of Proposed Sales of Securities by Insiders SA’33 144 144°51,322a
 Registration  
Statement emoji
 
Offering Statements – Info Previously Omitted SA’33 1-A 253G1187  
 Registration  
Statement emoji
 
Offering Statements – Info Substantively Changed or Added SA’33 1-A 253G24,208  
 Registration  
Statement emoji
 
Offering Statements – Info Previously Omitted & Info Substantively Changed or Added SA’33 1-A 253G353  
 Registration  
Statement emoji
 
Offering Statements – Info Previously Omitted & Info Substantively Changed or Added (Late Filings) SA’33 1-A 253G44  
 Registration  
Statement emoji
 
Statements of Eligibility to Act as a Trustee by Corporations TIA’39 T-1 305B22,243a
 Registration  
Prospectus emoji
 
Prospectuses – Info Substantively Changed or Added SA’33 424(a) 424A1,558  
 Registration  
Prospectus emoji
 
Prospectuses – Info Previously Omitted SA’33 424(b)(1) 424B16,212  
 Registration  
Prospectus emoji
 
Prospectuses – Primary Offerings and Shelf Securities SA’33 424(b)(2) 424B2491,633  
 Registration  
Prospectus emoji
 
Prospectuses – New Facts or Events SA’33 424(b)(3) 424B3°188,851  
 Registration  
Prospectus emoji
 
Prospectuses – Info Previously Omitted & New Facts or Events SA’33 424(b)(4) 424B4°12,800  
 Registration  
Prospectus emoji
 
Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events SA’33 424(b)(5) 424B5°69,592  
 Registration  
Prospectus emoji
 
Prospectuses – Selling Security Holders – Info Previously Omitted SA’33 424(b)(7) 424B74,492  
 Registration  
Prospectus emoji
 
Prospectuses (Late Filings) SA’33 424(b)(8) 424B81,901  
 ABS  
Prospectus emoji
 
Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed SA’33 424(h) 424H1,246a
 Registration  
Prospectus emoji
 
Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements SA’33 424(i)(1) 424I105  
 Registration  
Prospectus emoji
 
Prospectuses and Communications – Mergers SA’33 425 425°87,802  
 Registration  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations ICA’40 485(a) 485APOS°43,670  
 Registration  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations ICA’40 485(b) 485BPOS°201,356  
 Registration  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates ICA’40 485(b)(1)(iii) 485BXT28,526  
 Registration  /A  Post-Effective Amendments of Form N-2 Registrations ICA’40 486(a) 486APOS290  
 Registration  /A  Post-Effective Amendments of Form N-2 Registrations ICA’40 486(b) 486BPOS1,410  
 Registration  /A  Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates486(b) 486BXT113  
 Registration  /A  Pre-Effective Pricing Amendments of Registration Statements ICA’40 487 48722,200  
 Registration  
Material emoji
 
Definitive Materials ICA’40 497 497°406,583  
 Update  
Sales Media emoji
 
Advertising by Certain Investment Companies ICA’40 497 & 482(c) 497AD4,910  
 Registration  
Prospectus emoji
 
Prospectuses – Certain Closed-End Investment Companies ICA’40 497(h)(2) 497H283  
 Registration  
Certification emoji
 
Certifications of No Change in Definitive Materials ICA’40 497(j) 497J136,111  
 Registration  
Prospectus emoji
 
Prospectuses – Certain Open-End Investment Companies – Summary ICA’40 497(k) 497K285,075  
 Registration  
Prospectus emoji
 
Prospectuses – Variable Annuity/Life Contracts – Initial Summary ICA’40 497(k) 497VPI3,283  
 Registration  
Prospectus emoji
 
Prospectuses – Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence ICA’40 497(k) 497VPSUB275  
 Registration  
Prospectus emoji
 
Prospectuses – Variable Annuity/Life Contracts – Updating Summary ICA’40 497(k) 497VPU6,158  
 ABS  
Report emoji
 
Asset-Backed Securities Securitizer Reports SEA’34 ABS-15G ABS-15G25,061a
 ABS  
Exhibit emoji
 
Asset-Backed Securities [XML] Exhibits SA’33 ABS-EE ABS-EE°29,693a
 Registration  
Material emoji
 
Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed ADN-MTL50  
 Update  
Accounting emoji
 
Certificates of Accounting of Client Securities and Funds in the Possession or Custody of Investment Advisors IAA’40 ADV-E ADV-E2,451  
 Update  
Application emoji
 
Applications for Continuing Hardship Exemptions by Investment Advisors IAA’40 ADV-H ADV-H-C8  
 Update  
Application emoji
 
Applications for Temporary Hardship Exemptions by Investment Advisors IAA’40 ADV-H ADV-H-T77  
 Registration  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident General Partners and Managing Agents of Investment Advisors IAA’40 ADV-NR ADV-NR690  
 Update  
Report emoji
 
Annual Reports by International Development Banks ANNLRPT°139a
 SEC  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices ICA’40 ICA APP NTC1,082  
 SEC  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders ICA’40 ICA APP ORDR1,029  
 Registration  
Withdrawal emoji
 
Withdrawals of Applications for Exemption Orders and Other Relief ICA’40 ICA APP WD560a
 SEC  
Withdrawal emoji
 
Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants ICA’40 ICA APP WDG140  
 Update  
Report emoji
 
Annual Reports to Security Holders SEA’34  ARS°42,605a
 Trading  
Information emoji
 
Alternative Trading Systems (NMS Stock) – Initial Info SEA’34 ATS-N ATS-N×5  
 Trading  /A  Alternative Trading Systems (NMS Stock) – Correcting Amendments SEA’34 ATS-N ATS-N/CA×80  
 Trading  /A  Alternative Trading Systems (NMS Stock) – Material Amendments SEA’34 ATS-N ATS-N/MA×204  
 Trading  /A  Alternative Trading Systems (NMS Stock) – Order Display and Fair Access Amendments SEA’34 ATS-N ATS-N/OFA×8  
 Trading  /A  Alternative Trading Systems (NMS Stock) – Updating Amendments SEA’34 ATS-N ATS-N/UA×440  
 Trading  
Notice emoji
 
Alternative Trading Systems (NMS Stock) – Notices of Cessation SEA’34 ATS-N ATS-N-C×18  
 Trading  
Withdrawal emoji
 
Alternative Trading Systems (NMS Stock) – Withdrawals of Form ATS-N SEA’34  ATS-N-W×6  
 Registration  
Withdrawal emoji
 
Amendment Withdrawal Requests SA’33  AW4,202  
 Registration  
Withdrawal emoji
 
Amendment Withdrawal Requests – Withdraw Duplicates SA’33  AW WD116  
 Registration  
Statement emoji
 
Crowdfunding – Offering Statements SA’33 C C×18,014a
 Registration  
Withdrawal emoji
 
Crowdfunding – Offering Statement Amendment Withdrawals SA’33 C/A-W C/A-W×27  
 Registration  
Withdrawal emoji
 
Crowdfunding – Offering Statement Withdrawals SA’33 C-W C-W×953  
 Update  
Report emoji
 
Crowdfunding – Annual Reports SEA’34 C-AR C-AR×4,048a
 Update  
Withdrawal emoji
 
Crowdfunding – Annual Report Withdrawals SEA’34 C-AR-W C-AR-W×10  
 Registration  
Report emoji
 
Crowdfunding – Terminations of Reporting SEA’34 C-TR C-TR×718  
 Registration  
Withdrawal emoji
 
Crowdfunding – Termination of Reporting Withdrawals SEA’34 C-TR-W C-TR-W×17  
 Registration  
Update emoji
 
Crowdfunding – Progress Updates SA’33 C-U C-U×4,241  
 Registration  
Withdrawal emoji
 
Crowdfunding – Progress Update Withdrawals SA’33 C-U-W C-U-W×21  
 Registration  
Application emoji
 
Applications for Registration, or an Exemption therefrom, as a Clearing AgencyCA-1 CA-12  
 SEC  
Cancellation emoji
 
Cancellations of Certain Municipal Advisor Registrations by SEC Orders SEA’34 SEA §15B(c)(3) CANCEL-MA35  
 Ownership  
Notice emoji
 
Tender-Offer, Exchange-Offer, Rights-Offering and Response Notices WA’68 CB CB3,482a
 Trading  
Certification emoji
 
Certifications by Securities Exchanges Approving Listings SEA’34 CERT CERT7,335  
 Registration  
Application emoji
 
Applications for Registration by Crowdfunding Portals SEA’34 Funding Portal CFPORTAL×677a
 Registration  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Crowdfunding Portals SEA’34 Funding Portal CFPORTAL-W×29  
 Comment  
Letter emoji
 
Comment-Response and Other Letters to the SEC CORRESP200,948  
 SEC  
SEC emoji
 
SEC Confidential Treatment Orders CT ORDER16,240  
 Registration  
Notice emoji
 
Notices of Exempt Offerings of Securities SA’33 D D×645,646a
 Proxy  
Statement emoji
 
Definitive Proxy Statements SEA’34 14A DEF 14A°186,720  
 Proxy  
Statement emoji
 
Definitive Proxy Info Statements SEA’34 14C DEF 14C13,450  
 Proxy  
Material emoji
 
Definitive Additional Proxy Soliciting Materials SEA’34 14A DEFA14A°113,230  
 Proxy  
Statement emoji
 
Definitive Additional Proxy Info Statements SEA’34 14C DEFA14C408  
 Proxy  
Statement emoji
 
Definitive Proxy Statements – Contested Solicitations SEA’34 14A DEFC14A2,241  
 Proxy  
Statement emoji
 
Definitive Proxy Info Statements – Contested Solicitations SEA’34 14C DEFC14C26  
 Proxy  
Statement emoji
 
Definitive Proxy Statements – Mergers & Acquisitions SEA’34 14A DEFM14A6,355  
 Proxy  
Statement emoji
 
Definitive Proxy Info Statements – Mergers & Acquisitions SEA’34 14C DEFM14C469  
 Proxy  
Statement emoji
 
Definitive Non-Management Proxy Statements SEA’34 14A DEFN14A312  
 Proxy  
Material emoji
 
Definitive Additional Non-Management Proxy Soliciting Materials SEA’34 14A DFAN14A14,765  
 Proxy  
Statement emoji
 
Definitive Revised Non-Management Proxy Statements SEA’34 14A DFRN14A507  
 Proxy  
Material emoji
 
Definitive Revised Proxy Soliciting Materials SEA’34 14A DEFR14A6,223  
 Proxy  
Statement emoji
 
Definitive Revised Proxy Info Statements SEA’34 14C DEFR14C449  
 Registration  /A  Registration Effectiveness-Delaying Amendments SA’33  DEL AM1,444  
 Registration  
Statement emoji
 
Draft Offering Statements SA’33 1-A DOS×462a
 Comment  
Letter emoji
 
Comment-Response and Draft-Offering-Statement Letters to the SEC DOSLTR207  
 Registration  
Statement emoji
 
Draft Registration Statements by Emerging Growth Companies and Foreign Issuers SA’33 DRS DRS°10,701a
 Comment  
Letter emoji
 
Comment-Response and Draft-Registration-Statement Letters to the SEC DRSLTR4,658  
 Update  
Report emoji
 
Distribution of Primary Obligations Reports by International Development Banks DSTRBRPT1,013a
 SEC  
Notice emoji
 
SEC Notices of Effectiveness SA’33  EFFECT×68,257  
 Registration  
Statement emoji
 
Registration Statements by Certain Foreign Issuers SA’33 F-1 F-1°8,794a
 Registration  
Statement emoji
 
Registration Statements to Add Securities to Prior Form F-1 Registrations SA’33 462(b) F-1MEF247  
 Registration  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for Transactions SA’33 F-3 F-3°3,751a
 Registration  
Statement emoji
 
Automatic Shelf Registration Statements by Well-Known Foreign Issuers SA’33 F-3 F-3ASR°788  
 Registration  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for Dividend and Interest Reinvestment Plans SA’33 F-3 F-3D68  
 Registration  /A  Post-Effective Amendments of ‘F-3D’ Registrations SA’33 F-3 F-3DPOS48  
 Registration  
Statement emoji
 
Registration Statements to Add Securities to Prior Form F-3 Registrations SA’33 462(b) F-3MEF46  
 Registration  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for Mergers SA’33 F-4 F-4°3,022a
 Registration  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for Mergers (Immediately Effective)F-4 F-4EF1  
 Registration  
Statement emoji
 
Registration Statements to Add Securities to Prior Form F-4 Registrations SA’33 462(b) F-4MEF14  
 Registration  /A  Post-Effective Amendments of Form F-4 Registrations SA’33  F-4 POS22  
 Registration  
Statement emoji
 
Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) SA’33 F-6 F-62,165a
 Registration  
Statement emoji
 
Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective) SA’33 F-6 F-6EF7,315  
 Registration  /A  Post-Effective Amendments of ‘F-6EF’ Registrations SA’33 F-6 F-6 POS2,813  
 Registration  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of Rights SA’33 F-7 F-765a
 Registration  /A  Post-Effective Amendments of Form F-7 Registrations SA’33  F-7 POS6  
 Registration  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers SA’33 F-8 F-883a
 Registration  /A  Post-Effective Amendments of Form F-8 Registrations SA’33  F-8 POS13  
 Registration  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Debt and Preferred Securities SA’33 F-9 F-9191a
 Registration  /A  Post-Effective Amendments of ‘F-9EF’ Registrations SA’33 F-9 F-9 POS5  
 Registration  
Statement emoji
 
Registration Statements by Certain Canadian Issuers SA’33 F-10 F-102,034a
 Registration  
Statement emoji
 
Registration Statements by Certain Canadian Issuers (Immediately Effective) SA’33 F-10 F-10EF16  
 Registration  /A  Post-Effective Amendments of ‘F-10EF’ Registrations SA’33 F-10 F-10POS86  
 Registration  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers SA’33 F-80 F-8048a
 Registration  /A  Post-Effective Amendments of Form F-80 Registrations SA’33  F-80POS19  
 Registration  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Foreign Banks and Insurance Companies SA’33 F-N F-N491a
 Update  
Report emoji
 
Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers FOCUSN34,259a
 Registration  
Prospectus emoji
 
Prospectuses – Free Writing SA’33 163 / 433 FWP235,029  
 Registration  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Foreign Non-Financial Entities SA’33 F-X F-X3,498a
 Update  
Report emoji
 
Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405 G-40568a
 Update  
Report emoji
 
Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405N G-405N52a
 Registration  
Notice emoji
 
Notices of Activity as a Government Securities Broker or Dealer by Financial InstitutionsG-FIN G-FIN304a
 Registration  
Withdrawal emoji
 
Notices of Withdrawals from Registration as a Government Securities Broker or Dealer by Financial InstitutionsG-FINW G-FINW16  
 Update  
Notice emoji
 
Notices of Iran/Syria Disclosures in Quarterly and Annual Reports SEA’34 ITRASHRA IRANNOTICE3,989  
 Registration  
Application emoji
 
Applications for Registrations by Municipal Advisors SEA’34 MA MA×3,296a
 Registration  
Update emoji
 
Annual Updates of Registrations by Municipal Advisors SEA’34 MA MA-A×3,975  
 Registration  
Information emoji
 
Info re: Natural Persons Who Engage in Municipal Advisory Activity SEA’34 MA-I MA-I×21,947a
 Registration  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Municipal Advisors SEA’34 MA-W MA-W×443  
 Registration  
Application emoji
 
Applications for Registrations by Municipal Securities DealersMSD MSD513a
 SEC  
Cancellation emoji
 
Cancellations of Municipal Securities Dealer Registrations by SEC Orders MSDCO30  
 Registration  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Municipal Securities DealersMSDW MSDW85  
 Registration  
Statement emoji
 
Registration Statements by Open-End Investment Companies ICA’40 N-1A N-1A°5,004a
 Registration  
Statement emoji
 
Registration Statements by Closed-End Investment Companies ICA’40 N-2 N-210,712a
 Registration  
Statement emoji
 
Automatic Shelf Registration Statements by Well-Known Closed-End Investment Companies ICA’40 N-2 N-2ASR67  
 Registration  
Statement emoji
 
Registration Statements to Add Securities to Prior Form N-2 Registrations ICA’40 462(b) N-2MEF264  
 Registration  /A  Post-Effective Amendments of Form N-2 Automatic Shelf Registrations ICA’40 ICA N-2 POSASR7  
 Registration  
Statement emoji
 
Registration Statements by Open-End Investment Companies for Separate Accounts ICA’40 N-3 N-363a
 Registration  
Statement emoji
 
Registration Statements by Variable Annuity Unit Investment Trusts for Separate Accounts ICA’40 N-4 N-44,498a
 Registration  
Statement emoji
 
Registration Statements by Small Business Investment Companies (SBICs) ICA’40 N-5 N-519a
 Registration  
Statement emoji
 
Registration Statements by Variable Life Unit Investment Trusts for Separate Accounts ICA’40 N-6 N-61,334a
 Update  
Notice emoji
 
Notices of Intentions to Elect Business Development Company (BDC) Status ICA’40 N-6F N-6F235a
 Registration  
Notice emoji
 
Notices of Registrations by Investment Companies ICA’40 N-8A N-8A5,241a
 Registration  
Statement emoji
 
Registration Statements by Unit Investment Trusts ICA’40 N-8B-2 N-8B-2364a
 Registration  
Statement emoji
 
Registration Statements by Face-Amount Certificate Companies ICA’40 N-8B-4 N-8B-47  
 Registration  
Withdrawal emoji
 
Applications for SEC Deregistration Orders by Certain Investment Companies ICA’40 N-8F N-8F5,003a
 SEC  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices ICA’40 ICA N-8F NTC2,047  
 SEC  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders ICA’40 ICA N-8F ORDR2,143  
 Registration  
Statement emoji
 
Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for Mergers ICA’40 N-14 N-146,473a
 Registration  
Statement emoji
 
Registration Statements by Closed-End Investment Companies – Securities for Mergers ICA’40 N-14 N-14 8C700a
 Registration  
Statement emoji
 
Registration Statements to Add Securities to Prior Form N-14 Registrations ICA’40 462(b) N-14MEF8  
 Update  
Notice emoji
 
Notices of Elections by Open-End Investment Companies ICA’40 N-18f-1 N-18F11,321a
 Ownership  
Notice emoji
 
Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies ICA’40 23c-2 N-23C-22,024a
 Ownership  
Notice emoji
 
Notices of Periodic Repurchase Offers by Closed-End Investment Companies ICA’40 N-23c-3 N-23C3A3,340a
 Ownership  
Notice emoji
 
Notices of Discretionary Repurchase Offers by Closed-End Investment Companies ICA’40 N-23c-3 N-23C3B411a
 Ownership  
Notice emoji
 
Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment Companies ICA’40 N-23c-3 N-23C3C99a
 Update  
Report emoji
 
Periodic and Interim Reports Mailed to Shareholders by Investment Companies ICA’40 30b-2 N-30B-213,172  
 Update  
Report emoji
 
Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies ICA’40 30d-1 N-30D72,886a
 Update  
Notice emoji
 
Notices of Elections by Business Development Companies (BDCs) ICA’40 N-54A N-54A383a
 Registration  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Business Development Companies (BDCs) ICA’40 N-54C N-54C223a
 Update  
Report emoji
 
Annual Reports by Investment Companies ICA’40 N-CEN N-CEN×21,540a
 Update  
Report emoji
 
Annual Reports by Investment Companies (Late Filings) ICA’40 N-CEN NT N-CEN°224  
 Update  
Report emoji
 
Current Reports of Material Events by Money-Market Funds ICA’40 N-CR N-CR85a
 Update  
Report emoji
 
Annual Certified Shareholder Reports by Investment Companies ICA’40 N-CSR N-CSR°76,741a
 Update  
Report emoji
 
Semi-Annual Certified Shareholder Reports by Investment Companies ICA’40 N-CSR N-CSRS°66,311a
 Update  
Schedule emoji
 
Monthly Portfolio Holdings Schedules by Money-Market Funds ICA’40 N-MFP N-MFP2×37,430a
 Update  
Schedule emoji
 
Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) ICA’40 N-MFP NT N-MFP2°300  
 SEC  
Letter emoji
 
SEC No-Action Letters re: Shareholder Proposals14a-8 NO ACT9,085  
 Update  
Report emoji
 
Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies ICA’40 N-PORT NPORT-P×230,899a
 Update  
Report emoji
 
Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings) ICA’40 N-PORT NT NPORT-P×421  
 Proxy  
Report emoji
 
Annual Proxy Voting Reports by Investment Companies ICA’40 N-PX N-PX61,275a
 Update  
Schedule emoji
 
Quarterly Portfolio Holdings Schedules by Investment Companies ICA’40 N-Q N-Q°95,941a
 Registration  
Certification emoji
 
Annual Certifications by Nationally Recognized Statistical Rating Organizations SEA’34 NRSRO NRSRO-CE125a
 Registration  
Update emoji
 
Registration Updates by Nationally Recognized Statistical Rating Organizations SEA’34 NRSRO NRSRO-UPD248  
 Update  
Notice emoji
 
Notices of Late Filings of Form 10-D Distribution Reports SEA’34 12b-25 NT 10-D11a
 Update  
Notice emoji
 
Notices of Late Filings of Form 10-D Distribution Reports (Late Notices) SEA’34 12b-25 NTN 10D5  
 Update  
Notice emoji
 
Notices of Late Filings of Form 10-K Annual Reports SEA’34 12b-25 NT 10-K47,329a
 Update  
Notice emoji
 
Notices of Late Filings of Form 10-K Annual Reports (Late Notices) SEA’34 12b-25 NTN 10K1,580  
 Update  
Notice emoji
 
Notices of Late Filings of Form 10-Q Quarterly Reports SEA’34 12b-25 NT 10-Q°77,804a
 Update  
Notice emoji
 
Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices) SEA’34 12b-25 NTN 10Q2,302  
 Update  
Notice emoji
 
Notices of Late Filings of Form 11-K Annual Reports SEA’34 12b-25 NT 11-K1,712a
 Update  
Notice emoji
 
Notices of Late Filings of Form 11-K Annual Reports (Late Notices) SEA’34 12b-25 NTN 11K18  
 Update  
Notice emoji
 
Notices of Late Filings of Form 20-F Annual Reports SEA’34 12b-25 NT 20-F2,212a
 Update  
Notice emoji
 
Notices of Late Filings of Form 20-F Annual Reports (Late Notices) SEA’34 12b-25 NTN 20F37  
 Update  
Notice emoji
 
Notices of Late Filings of Form N-CEN Annual Reports12b-25 NT-NCEN91a
 Update  
Notice emoji
 
Notices of Late Filings of Form N-CEN Annual Reports (Late Notices)12b-25 NTFNCEN17  
 Update  
Notice emoji
 
Notices of Late Filings of Form N-CSR Shareholder Reports12b-25 NT-NCSR430a
 Update  
Notice emoji
 
Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices)12b-25 NTFNCSR82  
 Update  
Notice emoji
 
Notices of Late Filings of ‘SP 15D2’ Special Financial Reports SEA’34 12b-25 NT 15D216a
 Update  
Notice emoji
 
Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices) SEA’34 12b-25 NTN15D23  
 Update  
Notice emoji
 
Notices by Certain Variable Annuity/Life Contracts ICA’40 N-VP N-VP1,484a
 Update  
Statement emoji
 
Financial Statements of Certain Variable Annuity/Life Contracts ICA’40 N-VPFS N-VPFS2,663a
 SEC  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-OIP’ SEC Notices ICA’40 ICA OIP NTC67  
 SEC  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-OIP’ SEC Orders ICA’40 ICA OIP ORDR61  
 Registration  /A  Post-Effective Amendments of Registration Statements by Certain Investment Companies ICA’40 ICA §8(c) POS 8C2,255  
 Registration  /A  Post-Effective Amendments of Registration Statements – Rule 462(b) SA’33  POS462B228  
 Registration  /A  Post-Effective Amendments of Registration Statements – Rule 462(c) SA’33  POS462C88  
 Registration  /A  Post-Effective Amendments of Registration Statements SA’33  POS AM°34,276  
 Registration  /A  Post-Effective Amendments of Registration Statements by Investment Companies ICA’40  POS AMI6,937  
 Registration  /A  Post-Effective Amendments of Automatic Shelf Registration Statements SA’33 S-3/F-3ASR POSASR°2,345  
 Registration  /A  Post-Effective Amendments of Registration Statements – Additional Exhibits SA’33 462(d) POS EX°5,620  
 Proxy  
Statement emoji
 
Preliminary Proxy Statements SEA’34 14A PRE 14A°43,043  
 Proxy  
Statement emoji
 
Preliminary Proxy Info Statements SEA’34 14C PRE 14C10,164  
 Proxy  
Statement emoji
 
Preliminary Proxy Statements – Contested Solicitations SEA’34 14A PREC14A3,019  
 Proxy  
Statement emoji
 
Preliminary Proxy Info Statements – Contested Solicitations SEA’34 14C PREC14C65  
 Proxy  
Statement emoji
 
Preliminary Proxy Statements – Mergers & Acquisitions SEA’34 14A PREM14A5,328  
 Proxy  
Statement emoji
 
Preliminary Proxy Info Statements – Mergers & Acquisitions SEA’34 14C PREM14C720  
 Proxy  
Statement emoji
 
Preliminary Non-Management Proxy Statements SEA’34 14A PREN14A384  
 Proxy  
Material emoji
 
Preliminary Revised Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations SEA’34 14A PRRN14A2,249  
 Proxy  
Material emoji
 
Preliminary Revised Proxy Soliciting Materials SEA’34 14A PRER14A11,932  
 Proxy  
Statement emoji
 
Preliminary Revised Proxy Info Statements SEA’34 14C PRER14C2,545  
 Proxy  
Notice emoji
 
Notices of Exempt Non-Management Proxy Solicitations SEA’34 14a-6(g) PX14A6G3,050  
 Proxy  
Notice emoji
 
Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications SEA’34 14a-6(n) PX14A6N59  
 Update  
Report emoji
 
Quarterly Reports by International Development Banks QRTLYRPT215a
 SEC  
Notice emoji
 
SEC Notices of Qualification SA’33 A/A+ QUALIF×2,559  
 Registration  
Report emoji
 
Initial Undertakings to File Reports by Non-Resident Brokers, Dealers and Investment Advisors REG-NR71a
 SEC  
Cancellation emoji
 
SEC Orders Revoking Registrations SEA’34 SEA §12(j) REVOKED6,382  
 SEC  
Cancellation emoji
 
SEC Orders Revoking Registrations of Municipal Advisors SEA’34 SEA §15B(c)(2) REVOKED-MA1  
 Registration  
Withdrawal emoji
 
Registration Withdrawal Requests SA’33  RW13,117  
 Registration  
Withdrawal emoji
 
Withdrawals of Registration Withdrawal Requests SA’33  RW WD451  
 Registration  
Statement emoji
 
Registration Statements (General Form) SA’33 S-1 S-1°83,629a
 Registration  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-1 Registrations SA’33 462(b) S-1MEF2,205  
 Registration  
Statement emoji
 
Registration Statements – Securities for Transactions SA’33 S-3 S-3°68,518a
 Registration  
Statement emoji
 
Automatic Shelf Registration Statements by Well-Known Issuers SA’33 S-3 S-3ASR°9,577  
 Registration  
Statement emoji
 
Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective) SA’33 S-3 S-3D980a
 Registration  /A  Post-Effective Amendments of ‘S-3D’ Registrations SA’33 S-3 S-3DPOS737  
 Registration  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-3 Registrations SA’33 462(b) S-3MEF1,354  
 Registration  
Statement emoji
 
Registration Statements – Securities for Mergers SA’33 S-4 S-4°37,266a
 Registration  
Statement emoji
 
Registration Statements – Securities for the Formation of Bank and Savings & Loan Holding Companies SA’33 S-4 S-4EF108a
 Registration  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-4 Registrations SA’33 462(b) S-4MEF184  
 Registration  /A  Post-Effective Amendments of ‘S-4EF’ Registrations SA’33 S-4 S-4 POS315  
 Registration  
Statement emoji
 
Registration Statements by Unit Investment Trusts SA’33 S-6 S-633,453a
 Registration  
Statement emoji
 
Registration Statements – Securities for Certain Employee Benefit Plans SA’33 S-8 S-893,278a
 Registration  /A  Post-Effective Amendments of Form S-8 Registrations SA’33  S-8 POS40,633  
 Registration  
Statement emoji
 
Registration Statements by Certain Real Estate Companies SA’33 S-11 S-11°4,752a
 Registration  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-11 Registrations SA’33 462(b) S-11MEF90  
 Registration  
Statement emoji
 
Registration Statements – Standardized Options SA’33 S-20 S-2011a
 Registration  
Statement emoji
 
Registration Statements by Foreign Governments and Political Subdivisions SA’33 B S-B615a
 Registration  
Statement emoji
 
Registration Statements to Add Securities to Prior Schedule B Registrations SA’33 462(b) S-BMEF15  
 Registration  
Application emoji
 
Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants SEA’34 SBSE SBSE×31a
 Registration  
Application emoji
 
Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as such SEA’34 SBSE-A SBSE-A×336a
 Registration  
Application emoji
 
Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-Dealers SEA’34 SBSE-BD SBSE-BD×10a
 Registration  
Certification emoji
 
Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants SEA’34 SBSE-C SBSE-C×51  
 Ownership  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Active” Investors WA’68 13D SC 13D199,142a
 Ownership  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Active” Investors WA’68 13D SCH 13D×23a
 Ownership  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Passive” Investors WA’68 13G SC 13G656,346a
 Ownership  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Passive” Investors WA’68 13G SCH 13G×144a
 Ownership  
Statement emoji
 
Tender-Offer Statements by Issuers WA’68 13E-1 SC 13E136a
 Ownership  
Statement emoji
 
Tender-Offer Statements by Certain Issuers – Going-Private Transactions WA’68 13E-3 SC 13E311,276a
 Ownership  
Statement emoji
 
Tender-Offer Statements by Canadian Issuers WA’68 13E-4F SC13E4F59a
 Ownership  
Statement emoji
 
Tender-Offer Statements by Canadian Third Parties WA’68 14D-1F SC14D1F193a
 Ownership  
Statement emoji
 
Tender-Offer Solicitation/Recommendation Statements WA’68 14D-9 SC 14D914,487a
 Ownership  
Communication emoji
 
Tender-Offer Communications by Issuers re: Third-Party Offers WA’68 14D-9C SC14D9C2,654  
 Ownership  
Statement emoji
 
Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers WA’68 14D-9F SC14D9F80a
 Ownership  
Statement emoji
 
Statements re: Changes in the Majority of Directors WA’68 14F-1 SC 14F12,578a
 Proxy  
Information emoji
 
Info from Certain Nominating Shareholders SEA’34 14N SC 14N24a
 Ownership  
Communication emoji
 
Tender-Offer Communications by Issuers and Third Parties WA’68 TO SC TO-C5,891  
 Ownership  
Statement emoji
 
Tender-Offer Statements by Issuers WA’68 TO SC TO-I27,833a
 Ownership  
Statement emoji
 
Tender-Offer Statements by Third Parties WA’68 TO SC TO-T15,641a
 Update  
Report emoji
 
Specialized Disclosure Reports re: Conflict Minerals and Resource Extraction Payments DFA’10 SD SD12,294a
 Registration  
Application emoji
 
Applications for Registration by Security-Based Swap Data Repositories SEA’34 SDR SDR×6a
 Update  
Exhibit emoji
 
Separate Exhibits – Scanned Paper-Format Exhibits of Other Electronic FilingsSE SE3,594  
 SEC  
SEC emoji
 
SEC Staff Actions SEC ACTION827  
 SEC  
Letter emoji
 
SEC Staff Letters SEC LETTER1,650  
 ABS  
Statement emoji
 
Registration Statements (General Form) by Issuers of Asset-Backed Securities SA’33 SF-1 SF-184a
 ABS  
Statement emoji
 
Registration Statements to Add Securities to Prior Form SF-1 Registrations SA’33 462(b) SF-1MEF2  
 ABS  
Statement emoji
 
Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities SA’33 SF-3 SF-3457a
 Registration  
Sales Media emoji
 
Sales Literature SL9  
 Update  
Report emoji
 
Special Financial Reports SEA’34 15d-2 SP 15D266a
 Update  
Document emoji
 
Specialized Disclosures re: the Holding Foreign Companies Accountable ActSPDSCL SPDSCL14  
 SEC  
SEC emoji
 
SEC Stop Orders STOP ORDER62  
 Registration  
Material emoji
 
Supplemental Materials by Foreign Issuers SA’33 SA §11(a) SUPPL56,193  
 Registration  
Application emoji
 
Applications for Qualifications of Trust Indentures TIA’39 T-3 T-31,293a
 Registration  
Application emoji
 
Applications for Determinations of Eligibility to Act as a Trustee by Foreign EntitiesT-6 T-62  
 Registration  
Application emoji
 
Applications for Registrations by Transfer Agents SEA’34 TA-1 TA-1°5,371a
 Update  
Report emoji
 
Annual Reports of Activity by Transfer Agents SEA’34 TA-2 TA-2°10,450a
 SEC  
Cancellation emoji
 
Cancellations of Transfer Agent Registrations by SEC Orders TACO182  
 Registration  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Transfer Agents SEA’34 TA-W TA-W°558  
 Update  
Notice emoji
 
Notices of Reliance on a Temporary Hardship ExemptionTH TH135  
 Registration  
Material emoji
 
Test-the-Waters MaterialsA/A+ TTW36a
 Comment  
Letter emoji
 
Comment and Other Letters from the SEC UPLOAD187,460  
 Registration  
Withdrawal emoji
 
Withdrawal Requests for Materials Previously FiledA/A+ WDL-REQ62  
 Update  
Report emoji
 
Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers SEA’34 X-17A-5 X-17A-5°106,063a
____________
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    1-A POS
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    1-K
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    1-U
    1-Z
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    6B NTC
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    8F-2 NTC
    8F-2 ORDR
    8-K
    8-K12B
    8-K12G3
    8-K15D5
    8-M
    9-M
    10-M
    10-12B
    10-12G
    10-D
    10-K
    10-KT
    10-Q
    10-QT
    11-K
    11-KT
    13FCONP
    13F-HR
    13F-NT
    15-12B
    15-12G
    15-15D
    15F-12B
    15F-12G
    15F-15D
    18-12B
    18-K
    19B-4
    19B-4E
    20-F
    20FR12B
    20FR12G
    24F-2NT
    25
    25-NSE
    34-12H
    40-6B
    40-8B25
    40-8F-2
    40-17F1
    40-17F2
    40-17G
    40-17GCS
    40-24B2
    40-33
    40-202A
    40-206A
    40-APP
    40-F
    40FR12B
    40FR12G
    40-OIP
    144
    253G1
    253G2
    253G3
    253G4
    305B2
    424A
    424B1
    424B2
    424B3
    424B4
    424B5
    424B7
    424B8
    424H
    424I
    425
    485APOS
    485BPOS
    485BXT
    486APOS
    486BPOS
    486BXT
    487
    497
    497AD
    497H2
    497J
    497K
    497VPI
    497VPSUB
    497VPU
    ABS-15G
    ABS-EE
    ADN-MTL
    ADV-E
    ADV-H-C
    ADV-H-T
    ADV-NR
    ANNLRPT
    APP NTC
    APP ORDR
    APP WD
    APP WDG
    ARS
    ATS-N
    ATS-N/CA
    ATS-N/MA
    ATS-N/OFA
    ATS-N/UA
    ATS-N-C
    ATS-N-W
    AW
    AW WD
    C
    C/A-W
    C-W
    C-AR
    C-AR-W
    C-TR
    C-TR-W
    C-U
    C-U-W
    CA-1
    CANCEL-MA
    CB
    CERT
    CFPORTAL
    CFPORTAL-W
    CORRESP
    CT ORDER
    D
    DEF 14A
    DEF 14C
    DEFA14A
    DEFA14C
    DEFC14A
    DEFC14C
    DEFM14A
    DEFM14C
    DEFN14A
    DFAN14A
    DFRN14A
    DEFR14A
    DEFR14C
    DEL AM
    DOS
    DOSLTR
    DRS
    DRSLTR
    DSTRBRPT
    EFFECT
    F-1
    F-1MEF
    F-3
    F-3ASR
    F-3D
    F-3DPOS
    F-3MEF
    F-4
    F-4EF
    F-4MEF
    F-4 POS
    F-6
    F-6EF
    F-6 POS
    F-7
    F-7 POS
    F-8
    F-8 POS
    F-9
    F-9 POS
    F-10
    F-10EF
    F-10POS
    F-80
    F-80POS
    F-N
    FOCUSN
    FWP
    F-X
    G-405
    G-405N
    G-FIN
    G-FINW
    IRANNOTICE
    MA
    MA-A
    MA-I
    MA-W
    MSD
    MSDCO
    MSDW
    N-1A
    N-2
    N-2ASR
    N-2MEF
    N-2 POSASR
    N-3
    N-4
    N-5
    N-6
    N-6F
    N-8A
    N-8B-2
    N-8B-4
    N-8F
    N-8F NTC
    N-8F ORDR
    N-14
    N-14 8C
    N-14MEF
    N-18F1
    N-23C-2
    N-23C3A
    N-23C3B
    N-23C3C
    N-30B-2
    N-30D
    N-54A
    N-54C
    N-CEN
    NT N-CEN
    N-CR
    N-CSR
    N-CSRS
    N-MFP2
    NT N-MFP2
    NO ACT
    NPORT-P
    NT NPORT-P
    N-PX
    N-Q
    NRSRO-CE
    NRSRO-UPD
    NT 10-D
    NTN 10D
    NT 10-K
    NTN 10K
    NT 10-Q
    NTN 10Q
    NT 11-K
    NTN 11K
    NT 20-F
    NTN 20F
    NT-NCEN
    NTFNCEN
    NT-NCSR
    NTFNCSR
    NT 15D2
    NTN15D2
    N-VP
    N-VPFS
    OIP NTC
    OIP ORDR
    POS 8C
    POS462B
    POS462C
    POS AM
    POS AMI
    POSASR
    POS EX
    PRE 14A
    PRE 14C
    PREC14A
    PREC14C
    PREM14A
    PREM14C
    PREN14A
    PRRN14A
    PRER14A
    PRER14C
    PX14A6G
    PX14A6N
    QRTLYRPT
    QUALIF
    REG-NR
    REVOKED
    REVOKED-MA
    RW
    RW WD
    S-1
    S-1MEF
    S-3
    S-3ASR
    S-3D
    S-3DPOS
    S-3MEF
    S-4
    S-4EF
    S-4MEF
    S-4 POS
    S-6
    S-8
    S-8 POS
    S-11
    S-11MEF
    S-20
    S-B
    S-BMEF
    SBSE
    SBSE-A
    SBSE-BD
    SBSE-C
    SC 13D
    SCH 13D
    SC 13G
    SCH 13G
    SC 13E1
    SC 13E3
    SC13E4F
    SC14D1F
    SC 14D9
    SC14D9C
    SC14D9F
    SC 14F1
    SC 14N
    SC TO-C
    SC TO-I
    SC TO-T
    SD
    SDR
    SE
    SEC ACTION
    SEC LETTER
    SF-1
    SF-1MEF
    SF-3
    SL
    SP 15D2
    SPDSCL
    STOP ORDER
    SUPPL
    T-3
    T-6
    TA-1
    TA-2
    TACO
    TA-W
    TH
    TTW
    UPLOAD
    WDL-REQ
    X-17A-5
    All Filing Types
Information emoji
Info about Filing Agents
 
As of  Yesterday, 6/18/24
10pm ET emoji
Information emoji
Info about Filing Software
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“True” Filing Agent¹ 
Filing Agent emoji
Filing
Types
Filers/  Q/M/W
Clients  Subs.
Filing Submissions¹ 
Submission emoji
Since
1992
Most Frequently Used
  Filing Software
§ in 2024  
#  
Location:  Hover over flags to see “Business Address, Mailing Address or Organized/Incorporated in...”, as filed with the SEC emoji
 
  Filings Ratio...  For Others : For Themself ² — SEC CIK ³   2024 2023 2022 2021 2020
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90
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92
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 194
 NY
 
Donnelley Financial Solutions  All : 0 — 119312595 
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29,2859655,4369759,4429869,0339962,52101,372,3281 
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D Fin XBRL 
 22 
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27,448324,01047,38651,360614765,2008 
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New ActiveDisclosure 
 39 
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26,5251050,3761149,8181258,5151353,35914692,13715 
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GoFiler Complete 
 416 
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20,6361739,1541832,1691927,7282019,26721192,02522 
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GoFiler Complete 
 523 
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17,5282439,7532538,8902637,7682737,68928187,62229 
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ArcReporting® 
 630Please Sign In to see these Filing Agents. 
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10,7433121,0603217,1603315,2983411,29535111,04036 
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GoFiler Complete 
 737 
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10,2173819,6293914,9264014,0334110,57542370,40643 
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Broadridge PROfile® 
 844 
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10,0674516,2494615,3604717,2804817,24549296,69150 
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 951 
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9,407528,865536,885543,176551,5635640,62457
 1058 
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8,9915916,8306014,624619,791626350,23664 
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Quality EDGAR QES 
 

        
Totals for the above 2024 Filing Agents:   170,847   291,362   256,660   253,982   213,528   3,378,309   Filing Software Since 2014  
 
Totals for the non-listed Filing Agents:  150,437  306,694  316,706  337,189  314,080  8,267,385   Total # of ‘Vendors’:  56  
 
Totals for All “True” Filing Agents:   321,284   598,056   573,366   591,171   527,608   11,645,694   and Total # of Apps:  134  
 
Totals for All Self-Filer Registrants:  72,329  132,485  136,581  141,986  125,180  2,777,131 
and All Affiliate-Filer Registrants:  41,503  64,830  61,256  65,733  64,595  1,595,909 
Totals for All SEC Offices:  6,366  15,617  16,460  18,567  16,065  785,699 
 
Total Filing Submissions:   441,482   810,988   787,663   817,457   733,448   16,804,433 
 
Active (in Year) “True” Filing Agents:  493  597  532  580  580  
Cumulative “True” Filing Agents:  4,141  4,082  3,922  3,832  3,733  4,141 
____________
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Filing Agent Location:  Hover over flags to see “Business Address, Mailing Address or Organized/Incorporated in...”, as filed with the SEC. 


Info about Filing Agents

 ¹  In SEC terminology, a “filing agent” (in non-bold all-lowercase herein) is the entity submitting a Filing, i.e., the party who is logged into the SEC’s EDGAR® system when it is submitted, and is identified by the CIK³ they used to login to EDGAR®.  They are either (1) an SEC-registered Filing Agent (in Bold Initial-Caps herein), or (2) a Registrant who is filing for themself as the Filer/Issuer (a “Self-Filer”) or is submitting a Filing for an affiliate (an “Affiliate-Filer”), or (3) the SEC itself.  A registered Filing Agent is in the business of submitting Filings for other Registrants, so we call them a “true” Filing Agent (Bold Initial-Caps) to distinguish them conceptually from the filing agent (non-bold all-lowercase) who submitted the Filing.  Out of ≈860K Filers/Issuers, there have been 300K+ filing agents and 4K+ “true” Filing Agents, meaning that ≈65% of Registrants have used only Filing Agents for their Filings and ≈35% have filed at least one Filing for themself as a Self-Filer or as an Affiliate-Filer without using a Filing Agent.  Determining which filing agents are “true” Filing Agents is difficult.²  You cannot tell whether a Filing’s filing agent CIK is that of a Filing Agent or a Registrant Filer/Issuer, because Registrants may be (or own) Filing Agents (e.g., Donnelley Financial Solutions owns about 40 of them) or submit Filings for their directors/officers, and Filing Agents may be Registrants for other business purposes (e.g., some Transfer Agents).  Further complicating this, some “parents” submit Filings as Affiliate-Filers for their subsidiaries, Funds/ETFs or ABSs, and various Money Managers submit Filings for other related Money Managers.  Another complication is that some Filing Agents offer Self-Filer filing services on websites, whereby the Filer/Issuer can choose on some websites to have the site’s Filing Software§ login to EDGAR® with either their own CIK or the Filing Agent’s.  A Filing is self-filed when the Filer/Issuer is logged into EDGAR® with their own CIK and is filing their own Filing, whether or not they are using an SEC website or Filing Software§ from a Filing Agent or another ‘Vendor’.  Similarly (but less frequently, due to password-security issues), if a Filer/Issuer allows a Filing Agent to login to EDGAR® with the Filer/Issuer’s CIK, that would be a self-filing situation, because there would be no SEC record of the Filing Agent’s involvement.  If a Filer/Issuer is logged into a Filing Agent’s site when submitting a Filing but doesn’t use their own CIK for the submission, then the Filing Agent is the filing agent.  In this case, regardless of whether or not a Filing Agent’s site allows Registrant clients to “sign off” on Filings or submit them from there, the Filing Agent is still the filing agent and the Filing is not self-filed.  Our algorithms reconcile all of this daily and figure out who the “true” Filing Agents are.
 
 ²  The SEC doesn’t publish the names of, nor any data about, registered Filing Agents.  (Try finding Filing Agent #1 by entering 0001193125 (its CIK) on the SEC’s Company and Person Lookup page.  You won’t find them!)  We determine which of the 300K+ historic filing agents¹ are “true” Filing Agents, and of those 4K+, which of them are “pure” (≈90%) or not (≈10%), by comparing the CIK³ of each Filing’s filing agent with that of the Filer/Issuer for whom the Filing was filed.  We consider a Registrant to be a “true” Filing Agent when they have either (1) done Filings only for others, or (2) done more than a specific number (which is based upon our extensive research and is proprietary to us) of Filings for others for each Filing they did for themself as the Filer/Issuer.  The “Filings Ratio” after each name above indicates either (1) that the filing agent is a “pure” Filing Agent (shown as “All : 0” when all of their submissions have been for other Registrants and none have been for themself), or (2) the ratio of Filings for others versus for themself as a Registrant (e.g., “100+ : 1” or # : 1”).  Once we identify a Filing Agent by its CIK, we figure out who they are.
 
 ³  To submit Filings, an entity must first register with the SEC to receive a 10-digit Central Index Key (CIK).  When a Filing is submitted, the CIK of the filing agent¹ is used, and it may differ from that of the Filer/Issuer legally required to make the Filing.  The submitting filing agent may be a “true” Filing Agent or a Registrant who is self-filing or filing for a related Registrant.  The filing agent’s CIK shows up as the first part of each Filing’s identifying SEC Accession Number, which is in ‘CIK-Year-Submission#’ format (e.g., SEC # 0001193125-24-029285).

Info about Filing Software

 §  Most Filing Agents use specialized SEC Filing Software to create and edit the Documents in the Filings that they submit.  Shown above is the name of the most frequently used software App that each Filing Agent used, based upon the number of their Filings in which identifiable software was used.  We search through all Filings and look for patterns that enable us to accurately identify the software that was used to edit each Document.  The software may be a commercially available Filing Software product or customized software that a Filing Agent wrote for their own purposes (for internal use and/or for sale).  Since Filing Agents are diverse in the degree to which they specialize/generalize in the various Filing/Form Types that they can submit, some Filing Agents use software written and sold/licensed by their direct competitors.  The reasons for this are that each software product has varying capabilities, strengths/weaknesses and costs/benefits depending upon the underlying complexities of the Types that are being submitted.  For many of the Filing Agents above, you can click on the button to the left of the most frequently used software App’s name to see details of the software ‘Vendors’ and Apps that they or others used for the Filings they submitted.  Registrants who self-file instead of using a Filing Agent use most of these same software Apps for their Filings.  In identifying the software used by a Filing Agent, we have determined that approximately 0.5% of Filings contain Documents edited by software other than that which the agent uses.  This happens when Documents edited by one Filing Agent get re-used by a Filer/Issuer in Filings submitted for them by a different agent.  (Some of the Types can be filed on the SEC’s EDGAR Filing Websites without special software, and some software doesn’t identify itself.)  SEC Info is the only service that offers detailed info and data on the SEC Filing Software market!

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