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            SEC:  Forms List



        
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Trading:  Application  
Application emoji
 
Applications for Registration, or an Exemption from Registration, as a National Securities Exchange1 1952,671
Registration:  Statement  
Statement emoji
 
Offering Statements1-A 1-A°2,3644,903
Registration:  Amendment  /A  Post-Qualification Amendments of Form 1-A Offering StatementsA/A+ 1-A POS×2,088
Registration:  Withdrawal  
Withdrawal emoji
 
Withdrawals of Form 1-A Offering StatementsA/A+ 1-A-W38838
Registration:  Notice  
Notice emoji
 
Notices of Exempt Offerings of Securities by Small Business Investment and Business Development Companies (SBICs and BDCs)1-E 1-E15378
Registration:  Sales Media –
Advertising
  
Sales Media emoji
 
Advertising by Small Business Investment and Business Development Companies (SBICs and BDCs)1-E 1-E AD2
Update:  Report – Annual  
Report emoji
 
Annual Reports and Special Financial Reports1-K 1-K×1,91994
Update:  Report –
Semi-Annual
  
Report emoji
 
Semi-Annual Reports and Special Financial Reports1-SA 1-SA1,75473
Update:  Report –
Current
  
Report emoji
 
Current Reports1-U 1-U7,32663
Registration:  Report  
Report emoji
 
Exit Reports1-Z 1-Z×2868
Update:  Withdrawal  
Withdrawal emoji
 
Withdrawals of Exit Reports1-Z 1-Z-W6
Update:  Report  
Report emoji
 
Reports of Sales of Securities2-A 2-A5281
Update:  Report  
Report emoji
 
Final Reports of Sales of Securities2-A 2-AF36
Update:  Report  
Report emoji
 
Reports of Sales of Securities by Investment Companies (SBICs and BDCs)2-E 2-E8711
Ownership:  Statement  
Statement emoji
 
Initial Statements of Beneficial Ownership of Securities by Insiders3 3°373,98619,681
Ownership:  Statement  
Statement emoji
 
Statements of Changes in Beneficial Ownership of Securities by Insiders4 4°4,272,483123,813
Ownership:  Statement –
Annual
  
Statement emoji
 
Annual Statements of Changes in Beneficial Ownership of Securities by Insiders5 5°113,6064,233
SEC:  Application –
Notice
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices 
SEC emoji
ICA 6B NTC31
SEC:  Application –
Order
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders 
SEC emoji
ICA 6B ORDR30
Update:  Report –
Periodic
  
Report emoji
 
Current, Quarterly and Annual Reports by Foreign Issuers6-K 6-K°506,2436,360
Registration:  Statement  
Statement emoji
 
Registration Statements for Certain Classes of Securities8-A 8-A12B24,3794,838
Registration:  Statement  
Statement emoji
 
Registration Statements for Certain Classes of Securities8-A 8-A12G10,2092,383
SEC:  Withdrawal –
Notice
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Notices 
SEC emoji
ICA 8F-2 NTC6
SEC:  Withdrawal –
Order
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Orders 
SEC emoji
ICA 8F-2 ORDR5
Update:  Report –
Current
  
Report emoji
 
Current Reports8-K 8-K°1,877,72281,596
Registration:  Notice  
Notice emoji
 
Notices of Securities Deemed to be Registered by Successor Issuers8-K 8-K12B°32836
Registration:  Notice  
Notice emoji
 
Notices of Securities Deemed to be Registered by Successor Issuers8-K 8-K12G3648115
Update:  Notice  
Notice emoji
 
Notices of Assumptions of Duty to File Reports by Successor Issuers8-K 8-K15D5712
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Corporations8-M 8-M67
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Partnerships9-M 9-M13
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer General Partners10-M 10-M1
Registration:  Statement  
Statement emoji
 
Registration Statements10 10-12B°8471,715
Registration:  Statement  
Statement emoji
 
Registration Statements10 10-12G°2,9695,153
ABS:  Report –
Periodic
  
Report emoji
 
Distribution Reports by Issuers of Asset-Backed Securities10-D 10-D°101,1702,816
Update:  Report – Annual  
Report emoji
 
Annual Reports10-K 10-K°217,02245,264
Update:  Report – Annual  
Report emoji
 
Annual-Transition Reports10-K 10-KT°569132
Update:  Report –
Quarterly
  
Report emoji
 
Quarterly Reports10-Q 10-Q°657,11045,728
Update:  Report –
Quarterly
  
Report emoji
 
Quarterly-Transition Reports10-Q 10-QT°22836
Update:  Report – Annual  
Report emoji
 
Annual Reports by Employee Stock Purchase, Savings and Similar Plans11-K 11-K43,8261,021
Update:  Report – Annual  
Report emoji
 
Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-K 11-KT1002
Ownership:  Report –
Quarterly
  
Report emoji
 
Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested13F 13FCONP1,27190
Ownership:  Report –
Quarterly
  
Report emoji
 
Quarterly Holdings and Combination Reports by Money Managers13F 13F-HR°376,29929,661
Ownership:  Notice –
Quarterly
  
Notice emoji
 
Quarterly Holdings Notices by Money Managers13F 13F-NT°115,8311,989
Registration:  Certification  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities15 15-12B5,929112
Registration:  Certification  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities15 15-12G14,483431
Update:  Notice  
Notice emoji
 
Notices of Suspensions of Duty to File Reports15 15-15D16,471217
Registration:  Certification  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers15F 15F-12B24613
Registration:  Certification  
Certification emoji
 
Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers15F 15F-12G24012
Update:  Notice  
Notice emoji
 
Notices of Suspensions of Duty to File Reports by Foreign Issuers15F 15F-15D1484
Registration:  Statement  
Statement emoji
 
Registration Statements by Foreign Governments and Political Subdivisions18 18-12B4
Update:  Report – Annual  
Report emoji
 
Annual Reports by Foreign Governments and Political Subdivisions18-K 18-K°8432,742
Trading:  Information  
Information emoji
 
Proposed Rule Changes by Self-Regulatory Organizations (SROs)19b-4 19B-4102
Trading:  Information  
Information emoji
 
Info from Self-Regulatory Organizations (SROs) Listing and Trading New Derivative Securities Products19b-4(e) 19B-4E30,401
Update:  Report – Annual  
Report emoji
 
Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers20-F 20-F°19,3083,900
Registration:  Statement  
Statement emoji
 
Registration Statements by Foreign Non-Canadian Issuers20-F 20FR12B209203
Registration:  Statement  
Statement emoji
 
Registration Statements by Foreign Non-Canadian Issuers20-F 20FR12G°397620
Update:  Notice – Annual  
Notice emoji
 
Annual Notices of Securities Sold by Investment Companies24F-2 24F-2NT°197,7303,241
Trading:  Notice  
Notice emoji
 
Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities25 254,43845
Trading:  Notice  
Notice emoji
 
Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities25 25-NSE×14,274278
Update:  Application  
Application emoji
 
Applications for Exemptions and from Filing Certain Reports§12(g) / 13(a) 34-12H7
Registration:  Application  
Application emoji
 
Applications for Exemption Orders by Employees’ Investment CompaniesO-2 40-6B70194
Update:  Application  
Application emoji
 
Applications for Extensions of Time to File Reports by Investment Companies8b-25(a) 40-8B25116
Registration:  Withdrawal –
Application
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders by Investment CompaniesO-2 40-8F-22240
Update:  Accounting –
Certificate
  
Accounting emoji
 
Certificates of Accounting of Securities of Investment Companies in the Custody of Members of National Securities ExchangesN-17f-1 40-17F174918
Update:  Accounting –
Certificate
  
Accounting emoji
 
Certificates of Accounting of Securities in the Custody of Investment CompaniesN-17f-2 40-17F219,891151
Update:  Bond  
Bond emoji
 
Fidelity Bonds for Investment Companies17g-1(g) 40-17G29,0892,375
Update:  Bond – Claim  
Bond emoji
 
Fidelity Bonds for Investment Companies – Claims and Settlements17g-1(g) 40-17GCS19
Update:  Sales Media –
Literature
  
Sales Media emoji
 
Sales Literature from Investment Companies24b-2 40-24B23,41186
Update:  Document –
Claim
  
Document emoji
 
Stockholder Derivative Actions Against Investment Companies and AffiliatesICA §33 40-331,0908
Registration:  Application  
Application emoji
 
Applications to Designate the Applicant a Person Not Within the Intent of the Investment Advisers ActIAA §202 40-202A3336
Registration:  Application  
Application emoji
 
Applications for Exemptions by Investment AdvisorsIAA §206(3) 40-206A4839
Registration:  Application  
Application emoji
 
Applications for Exemption Orders and Other Relief by Investment CompaniesO-2 40-APP2,2803,434
Update:  Report – Annual  
Report emoji
 
Annual Reports by Canadian Issuers40-F 40-F°3,248567
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers40-F 40FR12B180104
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers40-F 40FR12G3210
Registration:  Application  
Application emoji
 
Applications for SEC Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment CompaniesO-2 40-OIP82156
Ownership:  Notice  
Notice emoji
 
Notices of Proposed Sales of Securities by Insiders144 144°46,827859
Registration:  Statement  
Statement emoji
 
Offering Statements – Info Previously Omitted1-A 253G1186
Registration:  Statement  
Statement emoji
 
Offering Statements – Info Substantively Changed or Added1-A 253G24,189
Registration:  Statement  
Statement emoji
 
Offering Statements – Info Previously Omitted & Info Substantively Changed or Added1-A 253G352
Registration:  Statement  
Statement emoji
 
Offering Statements – Info Previously Omitted & Info Substantively Changed or Added (Late Filings)1-A 253G44
Registration:  Statement  
Statement emoji
 
Statements of Eligibility to Act as a Trustee by CorporationsT-1 305B22,21421
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Info Substantively Changed or Added424(a) 424A1,558
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Info Previously Omitted424(b)(1) 424B16,209
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Primary Offerings and Shelf Securities424(b)(2) 424B2484,467
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – New Facts or Events424(b)(3) 424B3°188,226
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Info Previously Omitted & New Facts or Events424(b)(4) 424B4°12,772
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events424(b)(5) 424B5°69,337
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Selling Security Holders – Info Previously Omitted424(b)(7) 424B74,464
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses (Late Filings)424(b)(8) 424B81,890
ABS:  Prospectus  
Prospectus emoji
 
Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed424(h) 424H1,16273
Registration:  Prospectus –
Annual
  
Prospectus emoji
 
Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements424(i)(1) 424I104
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses and Communications – Mergers425 425°87,530
Registration:  Amendment  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations485(a) 485APOS°43,573
Registration:  Amendment  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations485(b) 485BPOS°201,163
Registration:  Amendment  /A  Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates485(b)(1)(iii) 485BXT28,413
Registration:  Amendment  /A  Post-Effective Amendments of Form N-2 Registrations486(a) 486APOS283
Registration:  Amendment  /A  Post-Effective Amendments of Form N-2 Registrations486(b) 486BPOS1,398
Registration:  Amendment  /A  Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates486(b) 486BXT110
Registration:  Amendment  /A  Pre-Effective Pricing Amendments of Registration Statements487 48722,141
Registration:  Material  
Material emoji
 
Definitive Materials497 497°405,762
Update:  Sales Media –
Advertising
  
Sales Media emoji
 
Advertising by Certain Investment Companies497 & 482(c) 497AD4,885
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Certain Closed-End Investment Companies497(h)(2) 497H283
Registration:  Certification  
Certification emoji
 
Certifications of No Change in Definitive Materials497(j) 497J135,884
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Certain Open-End Investment Companies – Summary497(k) 497K284,258
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Variable Annuity/Life Contracts – Initial Summary497(k) 497VPI3,230
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence497(k) 497VPSUB275
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Variable Annuity/Life Contracts – Updating Summary497(k) 497VPU6,117
ABS:  Report –
Periodic
  
Report emoji
 
Asset-Backed Securities Securitizer ReportsABS-15G ABS-15G18,9985,957
ABS:  Exhibit  
Exhibit emoji
 
Asset-Backed Securities [XML] ExhibitsABS-EE ABS-EE°28,888291
Registration:  Material  
Material emoji
 
Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed ADN-MTL50
Update:  Accounting –
Certificate
  
Accounting emoji
 
Certificates of Accounting of Client Securities and Funds in the Possession or Custody of Investment AdvisorsADV-E ADV-E2,451
Update:  Application  
Application emoji
 
Applications for Continuing Hardship Exemptions by Investment AdvisorsADV-H ADV-H-C8
Update:  Application  
Application emoji
 
Applications for Temporary Hardship Exemptions by Investment AdvisorsADV-H ADV-H-T77
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Non-Resident General Partners and Managing Agents of Investment AdvisorsADV-NR ADV-NR690
Update:  Report – Annual  
Report emoji
 
Annual Reports by International Development Banks ANNLRPT°1335
SEC:  Application –
Notice
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices 
SEC emoji
ICA APP NTC1,077
SEC:  Application –
Order
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders 
SEC emoji
ICA APP ORDR1,028
Registration:  Withdrawal  
Withdrawal emoji
 
Withdrawals of Applications for Exemption Orders and Other ReliefICA APP WD53821
SEC:  Withdrawal –
Grant
  
Withdrawal emoji
 
Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants 
SEC emoji
ICA APP WDG138
Update:  Report – Annual  
Report emoji
 
Annual Reports to Security Holders ARS°42,43673
Trading:  Information  
Information emoji
 
Alternative Trading Systems (NMS Stock) – Initial InfoATS-N ATS-N×5
Trading:  Amendment  /A  Alternative Trading Systems (NMS Stock) – Correcting AmendmentsATS-N ATS-N/CA×79
Trading:  Amendment  /A  Alternative Trading Systems (NMS Stock) – Material AmendmentsATS-N ATS-N/MA×199
Trading:  Amendment  /A  Alternative Trading Systems (NMS Stock) – Order Display and Fair Access AmendmentsATS-N ATS-N/OFA×8
Trading:  Amendment  /A  Alternative Trading Systems (NMS Stock) – Updating AmendmentsATS-N ATS-N/UA×434
Trading:  Notice  
Notice emoji
 
Alternative Trading Systems (NMS Stock) – Notices of CessationATS-N ATS-N-C×18
Trading:  Withdrawal  
Withdrawal emoji
 
Alternative Trading Systems (NMS Stock) – Withdrawals of Form ATS-N ATS-N-W×5
Registration:  Withdrawal  
Withdrawal emoji
 
Amendment Withdrawal Requests AW4,188
Registration:  Withdrawal  
Withdrawal emoji
 
Amendment Withdrawal Requests – Withdraw Duplicates AW WD116
Registration:  Statement  
Statement emoji
 
Crowdfunding – Offering StatementsC C×8,5749,218
Registration:  Withdrawal  
Withdrawal emoji
 
Crowdfunding – Offering Statement Amendment WithdrawalsC/A-W C/A-W×26
Registration:  Withdrawal  
Withdrawal emoji
 
Crowdfunding – Offering Statement WithdrawalsC-W C-W×937
Update:  Report – Annual  
Report emoji
 
Crowdfunding – Annual ReportsC-AR C-AR×3,763232
Update:  Withdrawal  
Withdrawal emoji
 
Crowdfunding – Annual Report WithdrawalsC-AR-W C-AR-W×10
Registration:  Report  
Report emoji
 
Crowdfunding – Terminations of ReportingC-TR C-TR×707
Registration:  Withdrawal  
Withdrawal emoji
 
Crowdfunding – Termination of Reporting WithdrawalsC-TR-W C-TR-W×17
Registration:  Update  
Update emoji
 
Crowdfunding – Progress UpdatesC-U C-U×4,217
Registration:  Withdrawal  
Withdrawal emoji
 
Crowdfunding – Progress Update WithdrawalsC-U-W C-U-W×21
Registration:  Application  
Application emoji
 
Applications for Registration, or an Exemption therefrom, as a Clearing AgencyCA-1 CA-12
SEC:  Cancellation –
Order
  
Cancellation emoji
 
Cancellations of Certain Municipal Advisor Registrations by SEC Orders 
SEC emoji
SEA §15B(c)(3) CANCEL-MA35
Ownership:  Notice  
Notice emoji
 
Tender-Offer, Exchange-Offer, Rights-Offering and Response NoticesCB CB1,8271,643
Trading:  Certification  
Certification emoji
 
Certifications by Securities Exchanges Approving ListingsCERT CERT7,211
Registration:  Application  
Application emoji
 
Applications for Registration by Crowdfunding PortalsFunding Portal CFPORTAL×127538
Registration:  Withdrawal –
Notice
  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Crowdfunding PortalsFunding Portal CFPORTAL-W×29
Comment:  Letter  
Letter emoji
 
Comment-Response and Other Letters to the SEC 
Comment Response emoji
  [ a.k.a. Document COVER ]  (Delayed Release)
 CORRESP200,058
SEC:  SEC – Order  
SEC emoji
 
SEC Confidential Treatment Orders 
SEC emoji
 CT ORDER16,240
Registration:  Notice  
Notice emoji
 
Notices of Exempt Offerings of SecuritiesD D×392,460248,880
Proxy:  Statement  
Statement emoji
 
Definitive Proxy Statements14A DEF 14A°186,505
Proxy:  Statement –
Information
  
Statement emoji
 
Definitive Proxy Info Statements14C DEF 14C13,426
Proxy:  Material  
Material emoji
 
Definitive Additional Proxy Soliciting Materials14A DEFA14A°112,479
Proxy:  Statement –
Information
  
Statement emoji
 
Definitive Additional Proxy Info Statements14C DEFA14C408
Proxy:  Statement  
Statement emoji
 
Definitive Proxy Statements – Contested Solicitations14A DEFC14A2,230
Proxy:  Statement –
Information
  
Statement emoji
 
Definitive Proxy Info Statements – Contested Solicitations14C DEFC14C26
Proxy:  Statement  
Statement emoji
 
Definitive Proxy Statements – Mergers & Acquisitions14A DEFM14A6,332
Proxy:  Statement –
Information
  
Statement emoji
 
Definitive Proxy Info Statements – Mergers & Acquisitions14C DEFM14C465
Proxy:  Statement  
Statement emoji
 
Definitive Non-Management Proxy Statements14A DEFN14A312
Proxy:  Material  
Material emoji
 
Definitive Additional Non-Management Proxy Soliciting Materials14A DFAN14A14,554
Proxy:  Statement  
Statement emoji
 
Definitive Revised Non-Management Proxy Statements14A DFRN14A504
Proxy:  Material  
Material emoji
 
Definitive Revised Proxy Soliciting Materials14A DEFR14A6,202
Proxy:  Statement –
Information
  
Statement emoji
 
Definitive Revised Proxy Info Statements14C DEFR14C449
Registration:  Amendment  /A  Registration Effectiveness-Delaying Amendments DEL AM1,438
Registration:  Statement  
Statement emoji
 
Draft Offering Statements1-A DOS×229232
Comment:  Letter  
Letter emoji
 
Comment-Response and Draft-Offering-Statement Letters to the SEC 
Comment Response emoji
  (Delayed Release)
 DOSLTR207
Registration:  Statement  
Statement emoji
 
Draft Registration Statements by Emerging Growth Companies and Foreign IssuersDRS DRS°4,9605,613
Comment:  Letter  
Letter emoji
 
Comment-Response and Draft-Registration-Statement Letters to the SEC 
Comment Response emoji
  (Delayed Release)
 DRSLTR4,601
Update:  Report –
Transactional
  
Report emoji
 
Distribution of Primary Obligations Reports by International Development Banks DSTRBRPT98522
SEC:  Notice  
Notice emoji
 
SEC Notices of Effectiveness 
SEC emoji
 EFFECT×67,940
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign IssuersF-1 F-1°2,3186,366
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form F-1 Registrations462(b) F-1MEF246
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for TransactionsF-3 F-3°2,0561,655
Registration:  Statement  
Statement emoji
 
Automatic Shelf Registration Statements by Well-Known Foreign IssuersF-3 F-3ASR°785
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for Dividend and Interest Reinvestment PlansF-3 F-3D67
Registration:  Amendment  /A  Post-Effective Amendments of ‘F-3D’ RegistrationsF-3 F-3DPOS48
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form F-3 Registrations462(b) F-3MEF46
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for MergersF-4 F-4°9642,046
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Foreign Issuers – Securities for Mergers (Immediately Effective)F-4 F-4EF1
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form F-4 Registrations462(b) F-4MEF14
Registration:  Amendment  /A  Post-Effective Amendments of Form F-4 Registrations F-4 POS22
Registration:  Statement  
Statement emoji
 
Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs)F-6 F-61,957203
Registration:  Statement  
Statement emoji
 
Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective)F-6 F-6EF7,304
Registration:  Amendment  /A  Post-Effective Amendments of ‘F-6EF’ RegistrationsF-6 F-6 POS2,805
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of RightsF-7 F-75411
Registration:  Amendment  /A  Post-Effective Amendments of Form F-7 Registrations F-7 POS6
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange OffersF-8 F-83251
Registration:  Amendment  /A  Post-Effective Amendments of Form F-8 Registrations F-8 POS13
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Debt and Preferred SecuritiesF-9 F-910190
Registration:  Amendment  /A  Post-Effective Amendments of ‘F-9EF’ RegistrationsF-9 F-9 POS5
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian IssuersF-10 F-101,0161,006
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers (Immediately Effective)F-10 F-10EF15
Registration:  Amendment  /A  Post-Effective Amendments of ‘F-10EF’ RegistrationsF-10 F-10POS85
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange OffersF-80 F-802622
Registration:  Amendment  /A  Post-Effective Amendments of Form F-80 Registrations F-80POS19
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Foreign Banks and Insurance CompaniesF-N F-N45634
Update:  Report –
Accounting
  
Report emoji
 
Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers FOCUSN33,1701,088
Registration:  Prospectus  
Prospectus emoji
 
Prospectuses – Free Writing163 / 433 FWP233,229
Registration:  Individual –
Appointment
  
Individual emoji
 
Appointments of U.S. Agents for Service of Process by Foreign Non-Financial EntitiesF-X F-X3,162320
Update:  Report – Annual  
Report emoji
 
Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405 G-405653
Update:  Report –
Accounting
  
Report emoji
 
Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405N G-405N511
Registration:  Notice  
Notice emoji
 
Notices of Activity as a Government Securities Broker or Dealer by Financial InstitutionsG-FIN G-FIN25279
Registration:  Withdrawal –
Notice
  
Withdrawal emoji
 
Notices of Withdrawals from Registration as a Government Securities Broker or Dealer by Financial InstitutionsG-FINW G-FINW16
Update:  Notice  
Notice emoji
 
Notices of Iran/Syria Disclosures in Quarterly and Annual ReportsITRASHRA IRANNOTICE3,985
Registration:  Application  
Application emoji
 
Applications for Registrations by Municipal AdvisorsMA MA×9282,352
Registration:  Update – Annual  
Update emoji
 
Annual Updates of Registrations by Municipal AdvisorsMA MA-A×3,953
Registration:  Information  
Information emoji
 
Info re: Natural Persons Who Engage in Municipal Advisory ActivityMA-I MA-I×9,07612,796
Registration:  Withdrawal –
Notice
  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Municipal AdvisorsMA-W MA-W×438
Registration:  Application  
Application emoji
 
Applications for Registrations by Municipal Securities DealersMSD MSD46467
SEC:  Cancellation –
Order
  
Cancellation emoji
 
Cancellations of Municipal Securities Dealer Registrations by SEC Orders 
SEC emoji
 MSDCO30
Registration:  Withdrawal –
Notice
  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Municipal Securities DealersMSDW MSDW85
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment CompaniesN-1A N-1A°1,9793,017
Registration:  Statement  
Statement emoji
 
Registration Statements by Closed-End Investment CompaniesN-2 N-24,2836,387
Registration:  Statement  
Statement emoji
 
Automatic Shelf Registration Statements by Well-Known Closed-End Investment CompaniesN-2 N-2ASR67
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form N-2 Registrations462(b) N-2MEF263
Registration:  Amendment  /A  Post-Effective Amendments of Form N-2 Automatic Shelf RegistrationsICA N-2 POSASR7
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment Companies for Separate AccountsN-3 N-34122
Registration:  Statement  
Statement emoji
 
Registration Statements by Variable Annuity Unit Investment Trusts for Separate AccountsN-4 N-42,3942,104
Registration:  Statement  
Statement emoji
 
Registration Statements by Small Business Investment Companies (SBICs)N-5 N-5910
Registration:  Statement  
Statement emoji
 
Registration Statements by Variable Life Unit Investment Trusts for Separate AccountsN-6 N-6761573
Update:  Notice  
Notice emoji
 
Notices of Intentions to Elect Business Development Company (BDC) StatusN-6F N-6F16568
Registration:  Notice  
Notice emoji
 
Notices of Registrations by Investment CompaniesN-8A N-8A4,603629
Registration:  Statement  
Statement emoji
 
Registration Statements by Unit Investment TrustsN-8B-2 N-8B-2184179
Registration:  Statement  
Statement emoji
 
Registration Statements by Face-Amount Certificate CompaniesN-8B-4 N-8B-47
Registration:  Withdrawal –
Application
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders by Certain Investment CompaniesN-8F N-8F3,4421,552
SEC:  Withdrawal –
Notice
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices 
SEC emoji
ICA N-8F NTC1,996
SEC:  Withdrawal –
Order
  
Withdrawal emoji
 
Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders 
SEC emoji
ICA N-8F ORDR2,138
Registration:  Statement  
Statement emoji
 
Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for MergersN-14 N-143,9022,550
Registration:  Statement  
Statement emoji
 
Registration Statements by Closed-End Investment Companies – Securities for MergersN-14 N-14 8C319380
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form N-14 Registrations462(b) N-14MEF8
Update:  Notice  
Notice emoji
 
Notices of Elections by Open-End Investment CompaniesN-18f-1 N-18F11,28931
Ownership:  Notice  
Notice emoji
 
Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies23c-2 N-23C-21,94864
Ownership:  Notice  
Notice emoji
 
Notices of Periodic Repurchase Offers by Closed-End Investment CompaniesN-23c-3 N-23C3A3,26037
Ownership:  Notice  
Notice emoji
 
Notices of Discretionary Repurchase Offers by Closed-End Investment CompaniesN-23c-3 N-23C3B4083
Ownership:  Notice  
Notice emoji
 
Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment CompaniesN-23c-3 N-23C3C5148
Update:  Report –
Periodic
  
Report emoji
 
Periodic and Interim Reports Mailed to Shareholders by Investment Companies30b-2 N-30B-213,160
Update:  Report –
Periodic
  
Report emoji
 
Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies30d-1 N-30D71,8291,056
Update:  Notice  
Notice emoji
 
Notices of Elections by Business Development Companies (BDCs)N-54A N-54A3729
Registration:  Withdrawal –
Notice
  
Withdrawal emoji
 
Notices of Withdrawals from Registration by Business Development Companies (BDCs)N-54C N-54C2184
Update:  Report – Annual  
Report emoji
 
Annual Reports by Investment CompaniesN-CEN N-CEN×19,3311,950
Update:  Report – Annual  
Report emoji
 
Annual Reports by Investment Companies (Late Filings)N-CEN NT N-CEN°224
Update:  Report –
Current
  
Report emoji
 
Current Reports of Material Events by Money-Market FundsN-CR N-CR7213
Update:  Report – Annual  
Report emoji
 
Annual Certified Shareholder Reports by Investment CompaniesN-CSR N-CSR°72,8423,615
Update:  Report –
Semi-Annual
  
Report emoji
 
Semi-Annual Certified Shareholder Reports by Investment CompaniesN-CSR N-CSRS°64,8881,121
Update:  Schedule –
Monthly
  
Schedule emoji
 
Monthly Portfolio Holdings Schedules by Money-Market FundsN-MFP N-MFP2×35,5131,589
Update:  Schedule –
Monthly
  
Schedule emoji
 
Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)N-MFP NT N-MFP2°300
SEC:  Letter  
Letter emoji
 
SEC No-Action Letters re: Shareholder Proposals 
SEC emoji
  [ a.k.a. Document 14A-8 ]
14a-8 NO ACT9,085
Update:  Report –
Monthly
  
Report emoji
 
Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies  [ with Document NPORT-EX ]N-PORT NPORT-P×220,4983,970
Update:  Report –
Monthly
  
Report emoji
 
Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings)  [ with Document NPORT-EX ]N-PORT NT NPORT-P×419
Proxy:  Report – Annual  
Report emoji
 
Annual Proxy Voting Reports by Investment CompaniesN-PX N-PX59,2682,002
Update:  Schedule –
Quarterly
  
Schedule emoji
 
Quarterly Portfolio Holdings Schedules by Investment CompaniesN-Q N-Q°94,9311,010
Registration:  Certification –
Annual
  
Certification emoji
 
Annual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO NRSRO-CE8936
Registration:  Update  
Update emoji
 
Registration Updates by Nationally Recognized Statistical Rating OrganizationsNRSRO NRSRO-UPD248
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-D Distribution Reports12b-25 NT 10-D101
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-D Distribution Reports (Late Notices)12b-25 NTN 10D5
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-K Annual Reports12b-25 NT 10-K46,563746
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-K Annual Reports (Late Notices)12b-25 NTN 10K1,580
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-Q Quarterly Reports12b-25 NT 10-Q°77,111662
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices)12b-25 NTN 10Q2,302
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 11-K Annual Reports12b-25 NT 11-K1,69517
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 11-K Annual Reports (Late Notices)12b-25 NTN 11K18
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 20-F Annual Reports12b-25 NT 20-F2,17635
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form 20-F Annual Reports (Late Notices)12b-25 NTN 20F37
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form N-CEN Annual Reports12b-25 NT-NCEN832
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form N-CEN Annual Reports (Late Notices)12b-25 NTFNCEN17
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form N-CSR Shareholder Reports12b-25 NT-NCSR37939
Update:  Notice  
Notice emoji
 
Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices)12b-25 NTFNCSR82
Update:  Notice  
Notice emoji
 
Notices of Late Filings of ‘SP 15D2’ Special Financial Reports12b-25 NT 15D297
Update:  Notice  
Notice emoji
 
Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices)12b-25 NTN15D23
Update:  Notice  
Notice emoji
 
Notices by Certain Variable Annuity/Life ContractsN-VP N-VP825645
Update:  Statement  
Statement emoji
 
Financial Statements of Certain Variable Annuity/Life ContractsN-VPFS N-VPFS2,529122
SEC:  Application –
Notice
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-OIP’ SEC Notices 
SEC emoji
ICA OIP NTC67
SEC:  Application –
Order
  
Application emoji
 
Applications for SEC Exemption Orders – ‘40-OIP’ SEC Orders 
SEC emoji
ICA OIP ORDR61
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements by Certain Investment CompaniesICA §8(c) POS 8C2,254
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements – Rule 462(b) POS462B228
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements – Rule 462(c) POS462C88
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements POS AM°34,203
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements by Investment Companies POS AMI6,928
Registration:  Amendment  /A  Post-Effective Amendments of Automatic Shelf Registration StatementsS-3/F-3ASR POSASR°2,341
Registration:  Amendment  /A  Post-Effective Amendments of Registration Statements – Additional Exhibits462(d) POS EX°5,594
Proxy:  Statement  
Statement emoji
 
Preliminary Proxy Statements14A PRE 14A°42,946
Proxy:  Statement –
Information
  
Statement emoji
 
Preliminary Proxy Info Statements14C PRE 14C10,149
Proxy:  Statement  
Statement emoji
 
Preliminary Proxy Statements – Contested Solicitations14A PREC14A2,997
Proxy:  Statement –
Information
  
Statement emoji
 
Preliminary Proxy Info Statements – Contested Solicitations14C PREC14C65
Proxy:  Statement  
Statement emoji
 
Preliminary Proxy Statements – Mergers & Acquisitions14A PREM14A5,317
Proxy:  Statement –
Information
  
Statement emoji
 
Preliminary Proxy Info Statements – Mergers & Acquisitions14C PREM14C719
Proxy:  Statement  
Statement emoji
 
Preliminary Non-Management Proxy Statements14A PREN14A383
Proxy:  Material  
Material emoji
 
Preliminary Revised Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations14A PRRN14A2,243
Proxy:  Material  
Material emoji
 
Preliminary Revised Proxy Soliciting Materials14A PRER14A11,907
Proxy:  Statement –
Information
  
Statement emoji
 
Preliminary Revised Proxy Info Statements14C PRER14C2,542
Proxy:  Notice  
Notice emoji
 
Notices of Exempt Non-Management Proxy Solicitations14a-6(g) PX14A6G3,007
Proxy:  Notice  
Notice emoji
 
Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications14a-6(n) PX14A6N59
Update:  Report –
Quarterly
  
Report emoji
 
Quarterly Reports by International Development Banks QRTLYRPT2059
SEC:  Notice  
Notice emoji
 
SEC Notices of Qualification 
SEC emoji
A/A+ QUALIF×2,538
Registration:  Report –
Initial
  
Report emoji
 
Initial Undertakings to File Reports by Non-Resident Brokers, Dealers and Investment Advisors REG-NR692
SEC:  Cancellation –
Order
  
Cancellation emoji
 
SEC Orders Revoking Registrations 
SEC emoji
SEA §12(j) REVOKED6,378
SEC:  Cancellation –
Order
  
Cancellation emoji
 
SEC Orders Revoking Registrations of Municipal Advisors 
SEC emoji
SEA §15B(c)(2) REVOKED-MA1
Registration:  Withdrawal  
Withdrawal emoji
 
Registration Withdrawal Requests RW13,083
Registration:  Withdrawal  
Withdrawal emoji
 
Withdrawals of Registration Withdrawal Requests RW WD451
Registration:  Statement  
Statement emoji
 
Registration Statements (General Form)S-1 S-1°23,83259,572
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-1 Registrations462(b) S-1MEF2,203
Registration:  Statement  
Statement emoji
 
Registration Statements – Securities for TransactionsS-3 S-3°38,54429,857
Registration:  Statement  
Statement emoji
 
Automatic Shelf Registration Statements by Well-Known IssuersS-3 S-3ASR°9,535
Registration:  Statement  
Statement emoji
 
Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective)S-3 S-3D9745
Registration:  Amendment  /A  Post-Effective Amendments of ‘S-3D’ RegistrationsS-3 S-3DPOS737
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-3 Registrations462(b) S-3MEF1,354
Registration:  Statement  
Statement emoji
 
Registration Statements – Securities for MergersS-4 S-4°15,50021,725
Registration:  Statement  
Statement emoji
 
Registration Statements – Securities for the Formation of Bank and Savings & Loan Holding CompaniesS-4 S-4EF7731
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-4 Registrations462(b) S-4MEF184
Registration:  Amendment  /A  Post-Effective Amendments of ‘S-4EF’ RegistrationsS-4 S-4 POS315
Registration:  Statement  
Statement emoji
 
Registration Statements by Unit Investment TrustsS-6 S-624,4098,920
Registration:  Statement  
Statement emoji
 
Registration Statements – Securities for Certain Employee Benefit PlansS-8 S-892,93918
Registration:  Amendment  /A  Post-Effective Amendments of Form S-8 Registrations S-8 POS40,494
Registration:  Statement  
Statement emoji
 
Registration Statements by Certain Real Estate CompaniesS-11 S-11°1,1933,554
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form S-11 Registrations462(b) S-11MEF90
Registration:  Statement  
Statement emoji
 
Registration Statements – Standardized OptionsS-20 S-2065
Registration:  Statement  
Statement emoji
 
Registration Statements by Foreign Governments and Political SubdivisionsB S-B378236
Registration:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Schedule B Registrations462(b) S-BMEF15
Registration:  Application  
Application emoji
 
Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE SBSE×526
Registration:  Application  
Application emoji
 
Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as suchSBSE-A SBSE-A×39284
Registration:  Application  
Application emoji
 
Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-DealersSBSE-BD SBSE-BD×73
Registration:  Certification  
Certification emoji
 
Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE-C SBSE-C×51
Ownership:  Statement  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Active” Investors13D SC 13D61,826136,843
Ownership:  Statement  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Active” Investors13D SCH 13D×79
Ownership:  Statement  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Passive” Investors13G SC 13G228,152427,770
Ownership:  Statement  
Statement emoji
 
Statements of Acquisitions of Beneficial Ownership by “Passive” Investors13G SCH 13G×6855
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Issuers13E-1 SC 13E12313
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Certain Issuers – Going-Private Transactions13E-3 SC 13E32,5908,666
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Canadian Issuers13E-4F SC13E4F2336
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Canadian Third Parties14D-1F SC14D1F45148
Ownership:  Statement  
Statement emoji
 
Tender-Offer Solicitation/Recommendation Statements14D-9 SC 14D94,45710,012
Ownership:  Communication  
Communication emoji
 
Tender-Offer Communications by Issuers re: Third-Party Offers14D-9C SC14D9C2,648
Ownership:  Statement  
Statement emoji
 
Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers14D-9F SC14D9F4040
Ownership:  Statement  
Statement emoji
 
Statements re: Changes in the Majority of Directors14F-1 SC 14F12,338238
Proxy:  Information  
Information emoji
 
Info from Certain Nominating Shareholders14N SC 14N177
Ownership:  Communication  
Communication emoji
 
Tender-Offer Communications by Issuers and Third PartiesTO SC TO-C5,872
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by IssuersTO SC TO-I10,65417,069
Ownership:  Statement  
Statement emoji
 
Tender-Offer Statements by Third PartiesTO SC TO-T2,79612,827
Update:  Report –
Special
  
Report emoji
 
Specialized Disclosure Reports re: Uses of Conflict MineralsSD SD11,34534
Registration:  Application  
Application emoji
 
Applications for Registration by Security-Based Swap Data RepositoriesSDR SDR×24
Update:  Exhibit  
Exhibit emoji
 
Separate Exhibits – Scanned Paper-Format Exhibits of Other Electronic FilingsSE SE3,594
SEC:  SEC – Order  
SEC emoji
 
SEC Staff Actions 
SEC emoji
  [ a.k.a. Documents ORDER (SEC Order) & STAFF ACTION ]
 SEC ACTION818
SEC:  Letter  
Letter emoji
 
SEC Staff Letters 
SEC emoji
  [ a.k.a. Documents LETTER, 14A-8 (No-Action Letter), REDACTED EXHIBIT, SERIOUS DEFICIENCIES & STAFF LETTER ]  (Delayed Release)
 SEC LETTER1,637
ABS:  Statement  
Statement emoji
 
Registration Statements (General Form) by Issuers of Asset-Backed SecuritiesSF-1 SF-12756
ABS:  Statement  
Statement emoji
 
Registration Statements to Add Securities to Prior Form SF-1 Registrations462(b) SF-1MEF2
ABS:  Statement  
Statement emoji
 
Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-3 SF-3197256
Registration:  Sales Media –
Literature
  
Sales Media emoji
 
Sales Literature SL9
Update:  Report –
Special
  
Report emoji
 
Special Financial Reports15d-2 SP 15D2622
Update:  Document –
Special
  
Document emoji
 
Specialized Disclosures re: the Holding Foreign Companies Accountable ActSPDSCL SPDSCL14
SEC:  SEC – Order  
SEC emoji
 
SEC Stop Orders 
SEC emoji
 STOP ORDER61
Registration:  Material  
Material emoji
 
Supplemental Materials by Foreign IssuersSA §11(a) SUPPL56,185
Registration:  Application  
Application emoji
 
Applications for Qualifications of Trust IndenturesT-3 T-3648643
Registration:  Application  
Application emoji
 
Applications for Determinations of Eligibility to Act as a Trustee by Foreign EntitiesT-6 T-62
Registration:  Application  
Application emoji
 
Applications for Registrations by Transfer AgentsTA-1 TA-1°4914,864
Update:  Report – Annual  
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Annual Reports of Activity by Transfer AgentsTA-2 TA-2°9,611838
SEC:  Cancellation –
Order
  
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Cancellations of Transfer Agent Registrations by SEC Orders 
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 TACO181
Registration:  Withdrawal –
Notice
  
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Notices of Withdrawals from Registration by Transfer AgentsTA-W TA-W°558
Update:  Notice  
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Notices of Reliance on a Temporary Hardship ExemptionTH TH135
Registration:  Material  
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Test-the-Waters MaterialsA/A+ TTW288
Comment:  Letter  
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Comment and Other Letters from the SEC 
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  [ a.k.a. Document LETTER ]  (Delayed Release)
 UPLOAD186,765
Registration:  Withdrawal  
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Withdrawal Requests for Materials Previously FiledA/A+ WDL-REQ62
Update:  Report – Annual  
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Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and DealersX-17A-5 X-17A-5°99,7136,255
 
See Filing/Form Type Totals by Time Periods Σ Totals:     14,534,329   1,493,435 
____________
 †  This Filing/Form Type pertains to multiple Forms
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, Schedules
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, Rules
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or Regulations
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of the Acts’ Sections §.
° May contain, or be, an XMLª, XBRLª or iXBRLª File.         (Most XMLª Files are rendered by us using the SEC’s XSLTª Stylesheets —
× Must be, or contain, an XMLª, XBRLª or iXBRLª File.         Most XBRLª Files are SEC-created as IDEAª “R#” Financial Report Info.)
ª Acronyms: 
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      IDEA:  Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data via “R#” Financial Reports – since 2009.  (See our XBRL page.)  
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      XML:  eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard.  ?xml?
      XSLT:  eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML.  
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      XBRL:  eXtensible Business Reporting Language — A financial-data-interchange standard based on XML – since 2005-08 (EX-100 & EX-101).  
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      iXBRL:  Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard – since 2016.  i
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