SEC Filing Agents and Filing Software

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Content Type:   Any (unfiltered)°  Has XBRL Files×  Has iXBRL Files×         Original & Amended Types:   Both Original & Amended (type/A)  Only Original (No ‘type/A’ Filings)    Select the Filing/Form Types that interest you, then click on a Show the Rankings button above.       Deselect 0    Deselect 0      Category     364 Filings/Forms   Act Form, etc. Filing Type Filings  Trading      Applications for Registration, or an Exemption from Registration, as a National Securities Exchange  SEA’34  1  1 3,622 a  Registration      Offering Statements  SA’33  1-A  1-A° 8,176 a  Registration   /A   Post-Qualification Amendments of Form 1-A Offering Statements  SA’33  A/A+  1-A POS× 2,527     Registration      Withdrawals of Form 1-A Offering Statements  SA’33  A/A+  1-A-W 528 a  Registration      Notices of Exempt Offerings of Securities by Small Business Investment and Business Development Companies (SBICs and BDCs)  ICA’40  1-E  1-E 231 a  Registration      Advertising by Small Business Investment and Business Development Companies (SBICs and BDCs)  ICA’40  1-E  1-E AD 2     Update      Annual Reports and Special Financial Reports  SEA’34  1-K  1-K× 2,575 a  Update      Semi-Annual Reports and Special Financial Reports  SEA’34  1-SA  1-SA 2,768 a  Update      Current Reports  SEA’34  1-U  1-U 10,850 a  Registration      Exit Reports  SA’33  1-Z  1-Z× 357 a  Update      Withdrawals of Exit Reports  SA’33  1-Z  1-Z-W 6     Update      Reports of Sales of Securities – 2-A  2-A 133 a  Update      Final Reports of Sales of Securities – 2-A  2-AF 36     Update      Reports of Sales of Securities by Investment Companies (SBICs and BDCs)  ICA’40  2-E  2-E 98 a  Ownership      Initial Statements of Beneficial Ownership of Securities by Insiders  SEA’34  3  3° 425,067 a  Ownership      Statements of Changes in Beneficial Ownership of Securities by Insiders  SEA’34  4  4° 4,725,579 a  Ownership      Annual Statements of Changes in Beneficial Ownership of Securities by Insiders  SEA’34  5  5° 120,225 a  SEC      Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices  ICA’40  ICA  6B NTC 34     SEC      Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders  ICA’40  ICA  6B ORDR 32     Update      Current, Quarterly and Other Reports by Foreign Issuers  SEA’34  6-K  6-K° 564,286 a  Registration      Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Individuals – 7-M  7-M 2     Registration      Registration Statements for Certain Classes of Securities  SEA’34  8-A  8-A12B 32,285 a  Registration      Registration Statements for Certain Classes of Securities  SEA’34  8-A  8-A12G 12,694 a  SEC      Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Notices  ICA’40  ICA  8F-2 NTC 6     SEC      Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Orders  ICA’40  ICA  8F-2 ORDR 5     Update      Current Reports  SEA’34  8-K  8-K° 2,084,062 a  Registration      Notices of Securities Deemed to be Registered by Successor Issuers  SEA’34  8-K  8-K12B° 402 a  Registration      Notices of Securities Deemed to be Registered by Successor Issuers  SEA’34  8-K  8-K12G3° 779 a  Update      Notices of Assumptions of Duty to File Reports by Successor Issuers  SEA’34  8-K  8-K15D5° 76 a  Registration      Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Corporations – 8-M  8-M 71     Registration      Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Partnerships – 9-M  9-M 13     Registration      Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer General Partners – 10-M  10-M 1     Registration      Registration Statements  SEA’34  10  10-12B° 2,646 a  Registration      Registration Statements  SEA’34  10  10-12G° 8,495 a  ABS      Distribution Reports by Issuers of Asset-Backed Securities  SEA’34  10-D  10-D° 122,784 a  Update      Annual Reports  SEA’34  10-K  10-K° 276,167 a  Update      Annual-Transition Reports  SEA’34  10-K  10-KT° 732 a  Update      Quarterly Reports  SEA’34  10-Q  10-Q° 732,831 a  Update      Quarterly-Transition Reports  SEA’34  10-Q  10-QT° 268 a  Update      Annual Reports by Employee Stock Purchase, Savings and Similar Plans  SEA’34  11-K  11-K° 46,593 a  Update      Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans  SEA’34  11-K  11-KT 103 a  Ownership      Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested  SEA’34  13F  13FCONP 1,361 a  Ownership      Quarterly Holdings and Combination Reports by Money Managers  SEA’34  13F  13F-HR° 467,589 a  Ownership      Quarterly Holdings Notices by Money Managers  SEA’34  13F  13F-NT° 131,324 a  Registration      Certifications of Terminations of Registration of Classes of Securities  SEA’34  15  15-12B 6,041 a  Registration      Certifications of Terminations of Registration of Classes of Securities  SEA’34  15  15-12G 15,768 a  Update      Notices of Suspensions of Duty to File Reports  SEA’34  15  15-15D 16,954 a  Registration      Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers  SEA’34  15F  15F-12B 285 a  Registration      Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers  SEA’34  15F  15F-12G 259 a  Update      Notices of Suspensions of Duty to File Reports by Foreign Issuers  SEA’34  15F  15F-15D 155 a  Update      Annual Reports by Central Matching Service Providers  SEA’34  17Ad-27  17AD-27° 3 a  Registration      Registration Statements by Foreign Governments and Political Subdivisions  SEA’34  18  18-12B 4     Update      Annual Reports by Foreign Governments and Political Subdivisions  SEA’34  18-K  18-K° 3,908 a  Trading      Proposed Rule Changes by Self-Regulatory Organizations (SROs) – 19b-4  19B-4 13 a  Trading      Info from Self-Regulatory Organizations (SROs) Listing and Trading New Derivative Securities Products  SEA’34  19b-4(e)  19B-4E 31,934     Update      Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers  SEA’34  20-F  20-F° 25,153 a  Registration      Registration Statements by Foreign Non-Canadian Issuers  SEA’34  20-F  20FR12B° 447 a  Registration      Registration Statements by Foreign Non-Canadian Issuers  SEA’34  20-F  20FR12G° 1,021 a  Update      Annual Notices of Securities Sold by Investment Companies  ICA’40  24F-2  24F-2NT° 210,936 a  Trading      Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities  SEA’34  25  25 4,725 a  Trading      Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities  SEA’34  25  25-NSE× 16,212 a  Update      Applications for Exemptions and from Filing Certain Reports  SEA’34  §12(g) / 13(a)  34-12H 7     Registration      Applications for Exemption Orders by Employees’ Investment Companies  ICA’40  O-2  40-6B 288 a  Update      Applications for Extensions of Time to File Reports by Investment Companies  ICA’40  8b-25(a)  40-8B25 139     Registration      Applications for SEC Deregistration Orders by Investment Companies  ICA’40  O-2  40-8F-2 63 a  Update      Certificates of Accounting of Securities of Investment Companies in the Custody of Members of National Securities Exchanges  ICA’40  N-17f-1  40-17F1 915 a  Update      Certificates of Accounting of Securities in the Custody of Investment Companies  ICA’40  N-17f-2  40-17F2 21,383 a  Update      Fidelity Bonds for Investment Companies  ICA’40  17g-1(g)  40-17G 33,509 a  Update      Fidelity Bonds for Investment Companies – Claims and Settlements  ICA’40  17g-1(g)  40-17GCS 22     Update      Sales Literature from Investment Companies  ICA’40  24b-2  40-24B2 3,595 a  Update      Stockholder Derivative Actions Against Investment Companies and Affiliates  ICA’40  ICA §33  40-33 1,112 a  Registration      Applications to Designate the Applicant a Person Not Within the Intent of the Investment Advisers Act  IAA’40  IAA §202  40-202A 69 a  Registration      Applications for Exemptions by Investment Advisors  IAA’40  IAA §206(3)  40-206A 87 a  Registration      Applications for Exemption Orders and Other Relief by Investment Companies  ICA’40  O-2  40-APP 6,746 a  Update      Annual Reports by Canadian Issuers  SEA’34  40-F  40-F° 4,133 a  Registration      Registration Statements by Certain Canadian Issuers  SEA’34  40-F  40FR12B 319 a  Registration      Registration Statements by Certain Canadian Issuers  SEA’34  40-F  40FR12G° 44 a  Registration      Applications for SEC Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment Companies  ICA’40  O-2  40-OIP 238 a  Ownership      Notices of Proposed Sales of Securities by Insiders  SA’33  144  144° 116,683 a  Registration      Offering Statements – Info Previously Omitted  SA’33  1-A  253G1 229     Registration      Offering Statements – Info Substantively Changed or Added  SA’33  1-A  253G2 4,910     Registration      Offering Statements – Info Previously Omitted & Info Substantively Changed or Added  SA’33  1-A  253G3 66     Registration      Offering Statements – Info Previously Omitted & Info Substantively Changed or Added (Late Filings)  SA’33  1-A  253G4 6     Registration      Statements of Eligibility to Act as a Trustee by Corporations  TIA’39  T-1  305B2 2,398 a  Registration      Prospectuses – Info Substantively Changed or Added  SA’33  424(a)  424A 1,560     Registration      Prospectuses – Info Previously Omitted  SA’33  424(b)(1)  424B1° 6,280     Registration      Prospectuses – Primary Offerings and Shelf Securities  SA’33  424(b)(2)  424B2° 672,361     Registration      Prospectuses – New Facts or Events  SA’33  424(b)(3)  424B3° 203,357     Registration      Prospectuses – Info Previously Omitted & New Facts or Events  SA’33  424(b)(4)  424B4° 13,847     Registration      Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  SA’33  424(b)(5)  424B5° 75,471     Registration      Prospectuses – Selling Security Holders – Info Previously Omitted  SA’33  424(b)(7)  424B7° 4,906     Registration      Prospectuses (Late Filings)  SA’33  424(b)(8)  424B8° 2,173     ABS      Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed  SA’33  424(h)  424H 1,513 a  Registration      Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements  SA’33  424(i)(1)  424I 264     Registration      Prospectuses and Communications – Mergers  SA’33  425  425° 94,909     Registration   /A   Post-Effective Amendments of Form N-1 and N-1A Registrations  ICA’40  485(a)  485APOS° 46,157     Registration   /A   Post-Effective Amendments of Form N-1 and N-1A Registrations  ICA’40  485(b)  485BPOS° 209,250     Registration   /A   Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates  ICA’40  485(b)(1)(iii)  485BXT 33,562     Registration   /A   Post-Effective Amendments of Form N-2 Registrations  ICA’40  486(a)  486APOS° 367     Registration   /A   Post-Effective Amendments of Form N-2 Registrations  ICA’40  486(b)  486BPOS° 1,745     Registration   /A   Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates – 486(b)  486BXT° 147     Registration   /A   Pre-Effective Pricing Amendments of Registration Statements  ICA’40  487  487 23,754     Registration      Definitive Materials by Certain Investment Companies  ICA’40  497  497° 426,709     Update      Advertising by Certain Investment Companies  ICA’40  497 & 482(c)  497AD 5,525     Registration      Prospectuses – Certain Closed-End Investment Companies  ICA’40  497(h)(2)  497H2 83     Registration      Certifications of No Changes in Definitive Materials by Certain Investment Companies  ICA’40  497(j)  497J 144,082     Registration      Prospectuses – Certain Open-End Investment Companies – Summary  ICA’40  497(k)  497K 322,418     Registration      Prospectuses – Variable Annuity/Life Contracts – Initial Summary  ICA’40  497(k)  497VPI 5,688     Registration      Prospectuses – Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence  ICA’40  497(k)  497VPSUB 847     Registration      Prospectuses – Variable Annuity/Life Contracts – Updating Summary  ICA’40  497(k)  497VPU 10,534     ABS      Asset-Backed Securities Securitizer Reports  SEA’34  ABS-15G  ABS-15G 30,819 a  ABS      Asset-Backed Securities [XML] Exhibits  SA’33  ABS-EE  ABS-EE 42,537 a  Registration      Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed – –  ADN-MTL 50     Update      Certificates of Accounting of Client Securities and Funds in the Possession or Custody of Investment Advisors  IAA’40  ADV-E  ADV-E 2,451     Update      Applications for Continuing Hardship Exemptions by Investment Advisors  IAA’40  ADV-H  ADV-H-C 8     Update      Applications for Temporary Hardship Exemptions by Investment Advisors  IAA’40  ADV-H  ADV-H-T 84     Registration      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-NR 690     Update      Annual Reports by International Development Banks – –  ANNLRPT° 158 a  SEC      Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices  ICA’40  ICA  APP NTC 1,353     SEC      Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders  ICA’40  ICA  APP ORDR 1,281     Registration      Withdrawals of Applications for Exemption Orders and Other Relief  ICA’40  ICA  APP WD 600 a  SEC      Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants  ICA’40  ICA  APP WDG 195     Update      Annual Reports to Security Holders  SEA’34  –  ARS° 47,536 a  Trading      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× 124     Trading   /A   Alternative Trading Systems (NMS Stock) – Material Amendments  SEA’34  ATS-N  ATS-N/MA× 280     Trading   /A   Alternative Trading Systems (NMS Stock) – Order Display and Fair Access Amendments  SEA’34  ATS-N  ATS-N/OFA× 29     Trading   /A   Alternative Trading Systems (NMS Stock) – Updating Amendments  SEA’34  ATS-N  ATS-N/UA× 629     Trading      Alternative Trading Systems (NMS Stock) – Notices of Cessation  SEA’34  ATS-N  ATS-N-C× 21     Trading      Alternative Trading Systems (NMS Stock) – Withdrawals of Form ATS-N  SEA’34  –  ATS-N-W× 12     Registration      Amendment Withdrawal Requests  SA’33  —  AW 4,503     Registration      Amendment Withdrawal Requests – Withdraw Duplicates  SA’33  —  AW WD 121     Registration      Crowdfunding – Offering Statements  SA’33  C  C× 22,169 a  Registration      Crowdfunding – Offering Statement Amendment Withdrawals  SA’33  C/A-W  C/A-W× 33     Registration      Crowdfunding – Offering Statement Withdrawals  SA’33  C-W  C-W× 1,066     Update      Crowdfunding – Annual Reports  SEA’34  C-AR  C-AR× 5,102 a  Update      Crowdfunding – Annual Report Withdrawals  SEA’34  C-AR-W  C-AR-W× 13     Registration      Crowdfunding – Terminations of Reporting  SEA’34  C-TR  C-TR× 910     Registration      Crowdfunding – Termination of Reporting Withdrawals  SEA’34  C-TR-W  C-TR-W× 25     Registration      Crowdfunding – Progress Updates  SA’33  C-U  C-U× 5,385     Registration      Crowdfunding – Progress Update Withdrawals  SA’33  C-U-W  C-U-W× 23     Registration      Applications for Registration, or an Exemption therefrom, as a Clearing Agency – CA-1  CA-1 2     SEC      Cancellations of Certain Municipal Advisor Registrations by SEC Orders  SEA’34  SEA §15B(c)(3)  CANCEL-MA 37     Ownership      Tender-Offer, Exchange-Offer, Rights-Offering and Response Notices  WA’68  CB  CB 3,711 a  Trading      Certifications by Securities Exchanges Approving Listings  SEA’34  CERT  CERT 10,280     Registration      Applications for Registration by Crowdfunding Portals  SEA’34  Funding Portal  CFPORTAL× 767 a  Registration      Notices of Withdrawals from Registration by Crowdfunding Portals  SEA’34  Funding Portal  CFPORTAL-W× 45     Comment      Comment-Response and Other Letters to the SEC – –  CORRESP 215,817     SEC      SEC Confidential Treatment Orders – –  CT ORDER 16,278     Registration      Notices of Exempt Offerings of Securities  SA’33  D  D× 748,503 a  Proxy      Definitive Proxy Statements  SEA’34  14A  DEF 14A° 195,234     Proxy      Definitive Proxy Info Statements  SEA’34  14C  DEF 14C° 14,083     Proxy      Definitive Additional Proxy Soliciting Materials  SEA’34  14A  DEFA14A° 123,466     Proxy      Definitive Additional Proxy Info Statements  SEA’34  14C  DEFA14C° 435     Proxy      Definitive Proxy Statements – Contested Solicitations  SEA’34  14A  DEFC14A° 2,392     Proxy      Definitive Proxy Info Statements – Contested Solicitations  SEA’34  14C  DEFC14C 26     Proxy      Definitive Proxy Statements – Mergers & Acquisitions  SEA’34  14A  DEFM14A° 6,797     Proxy      Definitive Proxy Info Statements – Mergers & Acquisitions  SEA’34  14C  DEFM14C° 506     Proxy      Definitive Non-Management Proxy Statements  SEA’34  14A  DEFN14A 320     Proxy      Definitive Additional Non-Management Proxy Soliciting Materials  SEA’34  14A  DFAN14A 15,704     Proxy      Definitive Revised Non-Management Proxy Statements  SEA’34  14A  DFRN14A 588     Proxy      Definitive Revised Proxy Soliciting Materials  SEA’34  14A  DEFR14A° 6,572     Proxy      Definitive Revised Proxy Info Statements  SEA’34  14C  DEFR14C 462     Registration   /A   Registration Effectiveness-Delaying Amendments  SA’33  —  DEL AM 1,580     Registration      Draft Offering Statements  SA’33  1-A  DOS× 531 a  Comment      Comment-Response and Draft-Offering-Statement Letters to the SEC – –  DOSLTR 239     Registration      Draft Registration Statements by Emerging Growth Companies and Foreign Issuers  SA’33  DRS  DRS° 13,391 a  Comment      Comment-Response and Draft-Registration-Statement Letters to the SEC – –  DRSLTR 5,800     Update      Distribution of Primary Obligations Reports by International Development Banks – –  DSTRBRPT 1,254 a  SEC      SEC Notices of Effectiveness  SA’33  —  EFFECT× 75,447     Registration      Registration Statements by Certain Foreign Issuers  SA’33  F-1  F-1° 11,231 a  Registration      Registration Statements to Add Securities to Prior Form F-1 Registrations  SA’33  462(b)  F-1MEF 274     Registration      Registration Statements by Certain Foreign Issuers – Securities for Transactions  SA’33  F-3  F-3° 4,446 a  Registration      Automatic Shelf Registration Statements by Well-Known Foreign Issuers  SA’33  F-3  F-3ASR° 894     Registration      Registration Statements by Certain Foreign Issuers – Securities for Dividend and Interest Reinvestment Plans  SA’33  F-3  F-3D 70     Registration   /A   Post-Effective Amendments of ‘F-3D’ Registrations  SA’33  F-3  F-3DPOS 51     Registration      Registration Statements to Add Securities to Prior Form F-3 Registrations  SA’33  462(b)  F-3MEF 49     Registration      Registration Statements by Certain Foreign Issuers – Securities for Mergers  SA’33  F-4  F-4° 3,383 a  Registration      Registration Statements by Certain Foreign Issuers – Securities for Mergers (Immediately Effective) – F-4  F-4EF 1     Registration      Registration Statements to Add Securities to Prior Form F-4 Registrations  SA’33  462(b)  F-4MEF 15     Registration   /A   Post-Effective Amendments of Form F-4 Registrations  SA’33  –  F-4 POS 22     Registration      Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs)  SA’33  F-6  F-6 2,288 a  Registration      Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective)  SA’33  F-6  F-6EF 7,812     Registration   /A   Post-Effective Amendments of ‘F-6EF’ Registrations  SA’33  F-6  F-6 POS 3,095     Registration      Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of Rights  SA’33  F-7  F-7 66 a  Registration   /A   Post-Effective Amendments of Form F-7 Registrations  SA’33  –  F-7 POS 6     Registration      Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers  SA’33  F-8  F-8 83 a  Registration   /A   Post-Effective Amendments of Form F-8 Registrations  SA’33  –  F-8 POS 13     Registration      Registration Statements by Certain Canadian Issuers – Debt and Preferred Securities  SA’33  F-9  F-9 191 a  Registration   /A   Post-Effective Amendments of ‘F-9EF’ Registrations  SA’33  F-9  F-9 POS 5     Registration      Registration Statements by Certain Canadian Issuers  SA’33  F-10  F-10 2,205 a  Registration      Registration Statements by Certain Canadian Issuers (Immediately Effective)  SA’33  F-10  F-10EF 31     Registration   /A   Post-Effective Amendments of ‘F-10EF’ Registrations  SA’33  F-10  F-10POS 125     Registration      Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers  SA’33  F-80  F-80 49 a  Registration   /A   Post-Effective Amendments of Form F-80 Registrations  SA’33  –  F-80POS 19     Registration      Appointments of U.S. Agents for Service of Process by Foreign Banks and Insurance Companies  SA’33  F-N  F-N 529 a  Update      Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers – –  FOCUSN 34,776 a  Registration      Prospectuses – Free Writing  SA’33  163 / 433  FWP 278,873     Registration      Appointments of U.S. Agents for Service of Process by Foreign Non-Financial Entities  SA’33  F-X  F-X 3,792 a  Update      Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers – G-405  G-405 68 a  Update      Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers – G-405N  G-405N 52 a  Registration      Notices of Activity as a Government Securities Broker or Dealer by Financial Institutions – G-FIN  G-FIN 399 a  Registration      Notices of Withdrawals from Registration as a Government Securities Broker or Dealer by Financial Institutions – G-FINW  G-FINW 19     Update      Notices of Iran/Syria Disclosures in Quarterly and Annual Reports  SEA’34  ITRASHRA  IRANNOTICE 4,392     Registration      Applications for Registrations by Municipal Advisors  SEA’34  MA  MA× 3,704 a  Registration      Annual Updates of Registrations by Municipal Advisors  SEA’34  MA  MA-A× 4,735     Registration      Info re: Natural Persons Who Engage in Municipal Advisory Activity  SEA’34  MA-I  MA-I× 25,029 a  Registration      Notices of Withdrawals from Registration by Municipal Advisors  SEA’34  MA-W  MA-W× 481     Registration      Applications for Registrations by Municipal Securities Dealers – MSD  MSD 548 a  SEC      Cancellations of Municipal Securities Dealer Registrations by SEC Orders – –  MSDCO 30     Registration      Notices of Withdrawals from Registration by Municipal Securities Dealers – MSDW  MSDW 87     Registration      Registration Statements by Open-End Investment Companies  ICA’40  N-1A  N-1A° 5,154 a  Registration      Registration Statements by Closed-End Investment Companies  ICA’40  N-2  N-2° 11,568 a  Registration      Automatic Shelf Registration Statements by Well-Known Closed-End Investment Companies  ICA’40  N-2  N-2ASR° 119     Registration      Registration Statements to Add Securities to Prior Form N-2 Registrations  ICA’40  462(b)  N-2MEF° 268     Registration   /A   Post-Effective Amendments of Form N-2 Automatic Shelf Registrations  ICA’40  ICA  N-2 POSASR 8     Registration      Registration Statements by Open-End Investment Companies for Separate Accounts  ICA’40  N-3  N-3 63 a  Registration      Registration Statements by Variable Annuity Unit Investment Trusts for Separate Accounts  ICA’40  N-4  N-4° 4,694 a  Registration      Registration Statements by Small Business Investment Companies (SBICs)  ICA’40  N-5  N-5 19 a  Registration      Registration Statements by Variable Life Unit Investment Trusts for Separate Accounts  ICA’40  N-6  N-6° 1,402 a  Update      Notices of Intentions to Elect Business Development Company (BDC) Status  ICA’40  N-6F  N-6F 254 a  Registration      Notices of Registrations by Investment Companies  ICA’40  N-8A  N-8A 5,462 a  Registration      Registration Statements by Unit Investment Trusts  ICA’40  N-8B-2  N-8B-2 370 a  Registration      Registration Statements by Face-Amount Certificate Companies  ICA’40  N-8B-4  N-8B-4 8 a  Registration      Applications for SEC Deregistration Orders by Certain Investment Companies  ICA’40  N-8F  N-8F 5,233 a  SEC      Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices  ICA’40  ICA  N-8F NTC 2,197     SEC      Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders  ICA’40  ICA  N-8F ORDR 2,332     Registration      Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for Mergers  ICA’40  N-14  N-14 6,875 a  Registration      Registration Statements by Closed-End Investment Companies – Securities for Mergers  ICA’40  N-14  N-14 8C 847 a  Registration      Registration Statements to Add Securities to Prior Form N-14 Registrations  ICA’40  462(b)  N-14MEF 8     Update      Notices of Elections by Open-End Investment Companies  ICA’40  N-18f-1  N-18F1 1,327 a  Ownership      Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies  ICA’40  23c-2  N-23C-2 2,290 a  Ownership      Notices of Periodic Repurchase Offers by Closed-End Investment Companies  ICA’40  N-23c-3  N-23C3A 4,280 a  Ownership      Notices of Discretionary Repurchase Offers by Closed-End Investment Companies  ICA’40  N-23c-3  N-23C3B 411 a  Ownership      Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment Companies  ICA’40  N-23c-3  N-23C3C 100 a  Update      Periodic and Interim Reports Mailed to Shareholders by Investment Companies  ICA’40  30b-2  N-30B-2 13,899     Update      Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies  ICA’40  30d-1  N-30D 73,088 a  Update      Notices of Elections by Business Development Companies (BDCs)  ICA’40  N-54A  N-54A 427 a  Registration      Notices of Withdrawals from Registration by Business Development Companies (BDCs)  ICA’40  N-54C  N-54C 239 a  Update      Annual Reports by Investment Companies  ICA’40  N-CEN  N-CEN× 27,932 a  Update      Annual Reports by Investment Companies (Late Filings)  ICA’40  N-CEN  NT N-CEN 280     Update      Current Reports of Material Events by Money-Market Funds  ICA’40  N-CR  N-CR° 87 a  Update      Annual Certified Shareholder Reports by Investment Companies  ICA’40  N-CSR  N-CSR° 83,197 a  Update      Semi-Annual Certified Shareholder Reports by Investment Companies  ICA’40  N-CSR  N-CSRS° 72,481 a  Update      Monthly Portfolio Holdings Schedules by Money-Market Funds  ICA’40  N-MFP  N-MFP2× 37,491 a  Update      Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)  ICA’40  N-MFP  NT N-MFP2 300     Update      Monthly Portfolio Holdings Schedules by Money-Market Funds  ICA’40  N-MFP  N-MFP3× 7,475 a  SEC      SEC No-Action Letters re: Shareholder Proposals – 14a-8  NO ACT 9,085     Update      Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies  ICA’40  N-PORT  NPORT-P× 326,494 a  Update      Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings)  ICA’40  N-PORT  NT NPORT-P× 573     Proxy      Annual Proxy Voting Reports by Investment Companies  ICA’40  N-PX  N-PX° 83,197 a  Update      Quarterly Portfolio Holdings Schedules by Investment Companies  ICA’40  N-Q  N-Q 95,941 a  Registration      Annual Certifications by Nationally Recognized Statistical Rating Organizations  SEA’34  NRSRO  NRSRO-CE 149 a  Registration      Registration Updates by Nationally Recognized Statistical Rating Organizations  SEA’34  NRSRO  NRSRO-UPD 310     Update      Notices of Late Filings of Form 10-D Distribution Reports  SEA’34  12b-25  NT 10-D 11 a  Update      Notices of Late Filings of Form 10-D Distribution Reports (Late Notices)  SEA’34  12b-25  NTN 10D 5     Update      Notices of Late Filings of Form 10-K Annual Reports  SEA’34  12b-25  NT 10-K 48,712 a  Update      Notices of Late Filings of Form 10-K Annual Reports (Late Notices)  SEA’34  12b-25  NTN 10K 1,580     Update      Notices of Late Filings of Form 10-Q Quarterly Reports  SEA’34  12b-25  NT 10-Q° 79,997 a  Update      Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices)  SEA’34  12b-25  NTN 10Q 2,302     Update      Notices of Late Filings of Form 11-K Annual Reports  SEA’34  12b-25  NT 11-K 1,736 a  Update      Notices of Late Filings of Form 11-K Annual Reports (Late Notices)  SEA’34  12b-25  NTN 11K 18     Update      Notices of Late Filings of Form 20-F Annual Reports  SEA’34  12b-25  NT 20-F 2,478 a  Update      Notices of Late Filings of Form 20-F Annual Reports (Late Notices)  SEA’34  12b-25  NTN 20F 37     Update      Notices of Late Filings of Form N-CEN Annual Reports – 12b-25  NT-NCEN 113 a  Update      Notices of Late Filings of Form N-CEN Annual Reports (Late Notices) – 12b-25  NTFNCEN 25     Update      Notices of Late Filings of Form N-CSR Shareholder Reports – 12b-25  NT-NCSR 486 a  Update      Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices) – 12b-25  NTFNCSR 88     Update      Notices of Late Filings of ‘SP 15D2’ Special Financial Reports  SEA’34  12b-25  NT 15D2 17 a  Update      Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices)  SEA’34  12b-25  NTN15D2 3     Update      Notices by Certain Variable Annuity/Life Contracts  ICA’40  N-VP  N-VP 2,469 a  Update      Financial Statements of Certain Variable Annuity/Life Contracts  ICA’40  N-VPFS  N-VPFS 3,485 a  SEC      Applications for SEC Exemption Orders – ‘40-OIP’ SEC Notices  ICA’40  ICA  OIP NTC 67     SEC      Applications for SEC Exemption Orders – ‘40-OIP’ SEC Orders  ICA’40  ICA  OIP ORDR 61     Registration   /A   Post-Effective Amendments of Registration Statements by Certain Investment Companies  ICA’40  ICA §8(c)  POS 8C° 2,263     Registration   /A   Post-Effective Amendments of Registration Statements – Rule 462(b)  SA’33  —  POS462B 228     Registration   /A   Post-Effective Amendments of Registration Statements – Rule 462(c)  SA’33  —  POS462C 98     Registration   /A   Post-Effective Amendments of Registration Statements  SA’33  —  POS AM° 36,133     Registration   /A   Post-Effective Amendments of Registration Statements by Investment Companies  ICA’40  —  POS AMI° 7,257     Registration   /A   Post-Effective Amendments of Automatic Shelf Registration Statements  SA’33  S-3/F-3ASR  POSASR° 2,606     Registration   /A   Post-Effective Amendments of Registration Statements – Additional Exhibits  SA’33  462(d)  POS EX° 6,443     Proxy      Preliminary Proxy Statements  SEA’34  14A  PRE 14A° 45,637     Proxy      Preliminary Proxy Info Statements  SEA’34  14C  PRE 14C° 10,556     Proxy      Preliminary Proxy Statements – Contested Solicitations  SEA’34  14A  PREC14A° 3,183     Proxy      Preliminary Proxy Info Statements – Contested Solicitations  SEA’34  14C  PREC14C 65     Proxy      Preliminary Proxy Statements – Mergers & Acquisitions  SEA’34  14A  PREM14A° 5,595     Proxy      Preliminary Proxy Info Statements – Mergers & Acquisitions  SEA’34  14C  PREM14C 753     Proxy      Preliminary Non-Management Proxy Statements  SEA’34  14A  PREN14A 390     Proxy      Preliminary Revised Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations  SEA’34  14A  PRRN14A 2,298     Proxy      Preliminary Revised Proxy Soliciting Materials  SEA’34  14A  PRER14A° 12,275     Proxy      Preliminary Revised Proxy Info Statements  SEA’34  14C  PRER14C° 2,595     Proxy      Notices of Exempt Non-Management Proxy Solicitations  SEA’34  14a-6(g)  PX14A6G 3,413     Proxy      Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications  SEA’34  14a-6(n)  PX14A6N 59     Update      Quarterly Reports by International Development Banks – –  QRTLYRPT 252 a  SEC      SEC Notices of Qualification  SA’33  A/A+  QUALIF× 3,011     Registration      Initial Undertakings to File Reports by Non-Resident Brokers, Dealers and Investment Advisors – –  REG-NR 71 a  SEC      SEC Orders Revoking Registrations  SEA’34  SEA §12(j)  REVOKED 6,523     SEC      SEC Orders Revoking Registrations of Municipal Advisors  SEA’34  SEA §15B(c)(2)  REVOKED-MA 1     Registration      Registration Withdrawal Requests  SA’33  —  RW 13,692     Registration      Withdrawals of Registration Withdrawal Requests  SA’33  —  RW WD 473     Registration      Registration Statements (General Form)  SA’33  S-1  S-1° 88,620 a  Registration      Registration Statements to Add Securities to Prior Form S-1 Registrations  SA’33  462(b)  S-1MEF° 2,334     Registration      Registration Statements – Securities for Transactions  SA’33  S-3  S-3° 70,778 a  Registration      Automatic Shelf Registration Statements by Well-Known Issuers  SA’33  S-3  S-3ASR° 10,514     Registration      Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective)  SA’33  S-3  S-3D 985 a  Registration   /A   Post-Effective Amendments of ‘S-3D’ Registrations  SA’33  S-3  S-3DPOS 763     Registration      Registration Statements to Add Securities to Prior Form S-3 Registrations  SA’33  462(b)  S-3MEF 1,385     Registration      Registration Statements – Securities for Mergers  SA’33  S-4  S-4° 38,276 a  Registration      Registration Statements – Securities for the Formation of Bank and Savings & Loan Holding Companies  SA’33  S-4  S-4EF 108 a  Registration      Registration Statements to Add Securities to Prior Form S-4 Registrations  SA’33  462(b)  S-4MEF 190     Registration   /A   Post-Effective Amendments of ‘S-4EF’ Registrations  SA’33  S-4  S-4 POS 318     Registration      Registration Statements by Unit Investment Trusts  SA’33  S-6  S-6 35,688 a  Registration      Registration Statements – Securities for Certain Employee Benefit Plans  SA’33  S-8  S-8 97,743 a  Registration   /A   Post-Effective Amendments of Form S-8 Registrations  SA’33  –  S-8 POS 44,075     Registration      Registration Statements by Certain Real Estate Companies  SA’33  S-11  S-11° 4,827 a  Registration      Registration Statements to Add Securities to Prior Form S-11 Registrations  SA’33  462(b)  S-11MEF 93     Registration      Registration Statements – Standardized Options  SA’33  S-20  S-20 11 a  Registration      Registration Statements by Foreign Governments and Political Subdivisions  SA’33  B  S-B 648 a  Registration      Registration Statements to Add Securities to Prior Schedule B Registrations  SA’33  462(b)  S-BMEF 15     Registration      Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants  SEA’34  SBSE  SBSE× 54 a  Registration      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× 548 a  Registration      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× 18 a  Registration      Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants  SEA’34  SBSE-C  SBSE-C× 55     Registration      Requests for Withdrawals from Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants  SEA’34  SBSE-W  SBSE-W× 4     Registration      Applications for Registration by Security-Based Swap Execution Facilities  SEA’34  SBSEF  SBSEF× 24 a  Registration      Requests for Withdrawals of Pending Applications for Registration by Security-Based Swap Execution Facilities  SEA’34  SBSEF-W  SBSEF-W× 1     Ownership      Statements of Acquisitions of Beneficial Ownership by “Active” Investors  WA’68  13D  SCH 13D× 7,537 a  Ownership      Statements of Acquisitions of Beneficial Ownership by “Passive” Investors  WA’68  13G  SCH 13G× 34,689 a  Ownership      Tender-Offer Statements by Issuers  WA’68  13E-1  SC 13E1 36 a  Ownership      Tender-Offer Statements by Certain Issuers – Going-Private Transactions  WA’68  13E-3  SC 13E3 11,624 a  Ownership      Tender-Offer Statements by Canadian Issuers  WA’68  13E-4F  SC13E4F 62 a  Ownership      Tender-Offer Statements by Canadian Third Parties  WA’68  14D-1F  SC14D1F 193 a  Ownership      Tender-Offer Solicitation/Recommendation Statements  WA’68  14D-9  SC 14D9 14,834 a  Ownership      Tender-Offer Communications by Issuers re: Third-Party Offers  WA’68  14D-9C  SC14D9C 2,786     Ownership      Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers  WA’68  14D-9F  SC14D9F 80 a  Ownership      Statements re: Changes in the Majority of Directors  WA’68  14F-1  SC 14F1 2,611 a  Proxy      Info from Certain Nominating Shareholders  SEA’34  14N  SC 14N 26 a  Ownership      Tender-Offer Communications by Issuers and Third Parties  WA’68  TO  SC TO-C 6,123     Ownership      Tender-Offer Statements by Issuers  WA’68  TO  SC TO-I 30,221 a  Ownership      Tender-Offer Statements by Third Parties  WA’68  TO  SC TO-T 16,076 a  Update      Specialized Disclosure Reports re: Conflict Minerals and Resource Extraction Payments  DFA’10  SD  SD° 13,655 a  Registration      Applications for Registration by Security-Based Swap Data Repositories  SEA’34  SDR  SDR× 6 a  Update      Separate Exhibits – Scanned Paper-Format Exhibits of Other Electronic Filings – SE  SE 3,594     SEC      SEC Staff Actions – –  SEC ACTION 1,140     SEC      SEC Staff Letters – –  SEC LETTER 1,833     ABS      Registration Statements (General Form) by Issuers of Asset-Backed Securities  SA’33  SF-1  SF-1 116 a  ABS      Registration Statements to Add Securities to Prior Form SF-1 Registrations  SA’33  462(b)  SF-1MEF 2     ABS      Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities  SA’33  SF-3  SF-3 556 a  Registration      Sales Literature – –  SL 9     Update      Special Financial Reports  SEA’34  15d-2  SP 15D2° 73 a  Update      Specialized Disclosures re: the Holding Foreign Companies Accountable Act – SPDSCL  SPDSCL 15     SEC      SEC Stop Orders – –  STOP ORDER 63     Registration      Supplemental Materials by Foreign Issuers  SA’33  SA §11(a)  SUPPL 56,401     Registration      Applications for Qualifications of Trust Indentures  TIA’39  T-3  T-3 1,323 a  Registration      Applications for Determinations of Eligibility to Act as a Trustee by Foreign Entities – T-6  T-6 6 a  Registration      Applications for Registrations by Transfer Agents  SEA’34  TA-1  TA-1° 5,784 a  Update      Annual Reports of Activity by Transfer Agents  SEA’34  TA-2  TA-2° 11,016 a  SEC      Cancellations of Transfer Agent Registrations by SEC Orders – –  TACO 182     Registration      Notices of Withdrawals from Registration by Transfer Agents  SEA’34  TA-W  TA-W° 577     Update      Notices of Reliance on a Temporary Hardship Exemption – TH  TH 135     Registration      Test-the-Waters Materials – A/A+  TTW 36 a  Comment      Comment and Other Letters from the SEC – –  UPLOAD 198,558     Registration      Withdrawal Requests for Materials Previously Filed – A/A+  WDL-REQ 62     Update      Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers  SEA’34  X-17A-5  X-17A-5° 112,169 a ____________  °  May contain, or be, an XML, XBRL or iXBRL File.  ×  Must be, or contain, an XML, XBRL or iXBRL File.  a  # includes amendments (‘type/A’ amended Filings).

Content:  Any (unfiltered)°Has   Files×Has i Files×  —   Both Original & Amended (type/A):Only Original (No ‘type/A’ Filings):     1     1-A     1-A POS     1-A-W     1-E     1-E AD     1-K     1-SA     1-U     1-Z     1-Z-W     2-A     2-AF     2-E     3     4     5     6B NTC     6B ORDR     6-K     7-M     8-A12B     8-A12G     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     17AD-27     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     N-MFP3     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     SBSE-W     SBSEF     SBSEF-W     SCH 13D     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

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