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				Form, Sch., Rule or Reg.	Filing / Form Type		Released Filings
•	Category		Description				Original  Amended
							(click for most-recent)
•	Registrations		Applications for Registration, or an Exemption from Registration, as a National Securities Exchange	1		1	92	2,539
•	Registrations		Offering Statements	1-A		1-A°	2,297	4,755
•	Registrations		Post-Qualification Amendments of Form 1-A Offering Statements	A/A+		1-A POS×	1,973	–
•	Registrations		Withdrawals of Form 1-A Offering Statements	A/A+		1-A-W	352	37
•	Reports		Notices of Exempt Offerings of Securities by Small Business Investment and Business Development Companies (SBICs and BDCs)	1-E		1-E	152	78
•	Registrations		Advertising by Small Business Investment and Business Development Companies (SBICs and BDCs)	1-E		1-E AD	2	–
•	Reports		Annual Reports and Special Financial Reports	1-K		1-K×	1,479	91
•	Reports		Semi-Annual Reports and Special Financial Reports	1-SA		1-SA	1,728	66
•	Reports		Current Reports	1-U		1-U	6,322	53
•	Reports		Exit Reports	1-Z		1-Z×	256	8
•	Reports		Withdrawals of Exit Reports	1-Z		1-Z-W	5	–
•	Reports		Reports of Sales of Securities	2-A		2-A	52	81
•	Reports		Final Reports of Sales of Securities	2-A		2-AF	36	–
•	Reports		Reports of Sales of Securities by Investment Companies (SBICs and BDCs)	2-E		2-E	87	11
•	Ownership		Initial Statements of Beneficial Ownership of Securities by Insiders	3		3°	367,933	19,464
•	Ownership		Statements of Changes in Beneficial Ownership of Securities by Insiders	4		4°	4,177,674	122,088
•	Ownership		Annual Statements of Changes in Beneficial Ownership of Securities by Insiders	5		5°	112,413	4,210
•	SEC		Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices	ICA		6B NTC	29	–
•	SEC		Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders	ICA		6B ORDR	29	–
•	Reports		Current, Quarterly and Annual Reports by Foreign Issuers	6-K		6-K°	494,458	6,204
•	Registrations		Registration Statements for Certain Classes of Securities	8-A		8-A12B	23,923	4,788
•	Registrations		Registration Statements for Certain Classes of Securities	8-A		8-A12G	10,189	2,380
•	SEC		Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Notices	ICA		8F-2 NTC	6	–
•	SEC		Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Orders	ICA		8F-2 ORDR	5	–
•	Reports		Current Reports	8-K		8-K°	1,846,741	80,831
•	Registrations		Notices of Securities Deemed to be Registered by Successor Issuers	8-K		8-K12B°	319	35
•	Registrations		Notices of Securities Deemed to be Registered by Successor Issuers	8-K		8-K12G3	647	115
•	Reports		Notices of Assumptions of Duty to File Reports by Successor Issuers	8-K		8-K15D5	71	2
•	Registrations		Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Corporations	8-M		8-M	67	–
•	Registrations		Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Partnerships	9-M		9-M	13	–
•	Registrations		Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer General Partners	10-M		10-M	1	–
•	Registrations		Registration Statements	10		10-12B°	841	1,703
•	Registrations		Registration Statements	10		10-12G°	2,940	5,116
•	Reports		Distribution Reports by Issuers of Asset-Backed Securities	10-D		10-D°	97,283	2,780
•	Reports		Annual Reports	10-K		10-K°	211,314	44,725
•	Reports		Annual-Transition Reports	10-K		10-KT°	561	131
•	Reports		Quarterly Reports	10-Q		10-Q°	651,089	45,526
•	Reports		Quarterly-Transition Reports	10-Q		10-QT°	225	36
•	Reports		Annual Reports by Employee Stock Purchase, Savings and Similar Plans	11-K		11-K	43,795	1,021
•	Reports		Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans	11-K		11-KT	100	2
•	Ownership		Quarterly Holdings and Combination Reports by Money Managers	13F		13F-HR°	361,169	28,992
•	Ownership		Quarterly Holdings Notices by Money Managers	13F		13F-NT°	112,455	1,970
•	Registrations		Certifications of Terminations of Registration of Classes of Securities	15		15-12B	5,929	112
•	Registrations		Certifications of Terminations of Registration of Classes of Securities	15		15-12G	14,247	430
•	Reports		Notices of Suspensions of Duty to File Reports	15		15-15D	16,400	217
•	Registrations		Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers	15F		15F-12B	231	13
•	Registrations		Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers	15F		15F-12G	240	12
•	Reports		Notices of Suspensions of Duty to File Reports by Foreign Issuers	15F		15F-15D	147	4
•	Registrations		Registration Statements by Foreign Governments and Political Subdivisions	18		18-12B	4	–
•	Reports		Annual Reports by Foreign Governments and Political Subdivisions	18-K		18-K°	823	2,678
•	Reports		Proposed Rule Changes by Self-Regulatory Organizations (SROs)	19b-4		19B-4	10	1
•	Reports		Info from Self-Regulatory Organizations (SROs) Listing and Trading New Derivative Securities Products	19b-4(e)		19B-4E	29,923	–
•	Reports		Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers	20-F		20-F°	18,499	3,827
•	Registrations		Registration Statements by Foreign Non-Canadian Issuers	20-F		20FR12B	202	198
•	Registrations		Registration Statements by Foreign Non-Canadian Issuers	20-F		20FR12G°	395	619
•	Registrations		Annual Notices of Securities Sold by Investment Companies	24F-2		24F-2NT°	194,768	3,232
•	Reports		Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities	25		25	4,375	45
•	Reports		Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities	25		25-NSE×	13,861	276
•	Registrations		Applications to Exempt Persons, Registration Statements, Indenture Securities and Transactions (and any Class or Classes of Such) from One or More Provisions of the Trust Indenture Act	TIA		39-304D	9	1
•	Registrations		Applications re: Conflicts of Interest Under the Trust Indenture Act	TIA		39-310B	2	–
•	Registrations		Applications for Exemption Orders by Employees’ Investment Companies	O-2		40-6B	64	191
•	Registrations		Applications for Exemptions and Other Relief by Investment Companies	ICA §6(c)		40-6C	433	529
•	Reports		Applications for Extensions of Time to File Reports by Investment Companies	8b-25(a)		40-8B25	116	–
•	Registrations		Applications for SEC Deregistration Orders by Investment Companies	O-2		40-8F-2	22	40
•	Reports		Certificates of Accounting of Securities of Investment Companies in the Custody of Members of National Securities Exchanges	N-17f-1		40-17F1	726	18
•	Reports		Certificates of Accounting of Securities in the Custody of Investment Companies	N-17f-2		40-17F2	19,764	151
•	Reports		Fidelity Bonds for Investment Companies	17g-1(g)		40-17G	28,646	2,347
•	Reports		Fidelity Bonds for Investment Companies – Claims and Settlements	17g-1(g)		40-17GCS	19	–
•	Registrations		Sales Literature from Investment Companies	24b-2		40-24B2	3,348	86
•	Reports		Stockholder Derivative Actions Against Investment Companies and Affiliates	ICA §33		40-33	1,085	8
•	Registrations		Applications to Designate the Applicant a Person Not Within the Intent of the Investment Advisers Act	IAA §202		40-202A	33	36
•	Registrations		Exemptions from the Prohibition on Registration as an Investment Advisor	IAA §203		40-203A	2	2
•	Registrations		Applications for Performance Fee Exemptions by Investment Advisors	IAA §205		40-205E	3	2
•	Registrations		Applications for Exemptions by Investment Advisors	IAA §206(3)		40-206A	48	39
•	Registrations		Applications for Exemption Orders and Other Relief by Investment Companies	O-2		40-APP	2,239	3,367
•	Reports		Annual Reports by Canadian Issuers	40-F		40-F°	3,125	562
•	Registrations		Registration Statements by Certain Canadian Issuers	40-F		40FR12B	177	102
•	Registrations		Registration Statements by Certain Canadian Issuers	40-F		40FR12G	32	10
•	Registrations		Applications for SEC Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment Companies	O-2		40-OIP	82	156
•	Reports		Reports Required for Exemptions from the Investment Company Act by Certain Applicants	ICA		40-RPT	2	–
•	Ownership		Notices of Proposed Sales of Securities by Insiders	144		144°	29,398	651
•	Registrations		Offering Statements – Info Previously Omitted	1-A		253G1	178	–
•	Registrations		Offering Statements – Info Substantively Changed or Added	1-A		253G2	4,006	–
•	Registrations		Offering Statements – Info Previously Omitted & Info Substantively Changed or Added	1-A		253G3	50	–
•	Registrations		Offering Statements – Info Previously Omitted & Info Substantively Changed or Added (Late Filings)	1-A		253G4	4	–
•	Registrations		Statements of Eligibility to Act as a Trustee by Corporations	T-1		305B2	2,171	21
•	Registrations		Prospectuses – Info Substantively Changed or Added	424(a)		424A	1,558	–
•	Registrations		Prospectuses – Info Previously Omitted	424(b)(1)		424B1	6,186	–
•	Registrations		Prospectuses – Primary Offerings and Shelf Securities	424(b)(2)		424B2	448,051	–
•	Registrations		Prospectuses – New Facts or Events	424(b)(3)		424B3°	184,642	–
•	Registrations		Prospectuses – Info Previously Omitted & New Facts or Events	424(b)(4)		424B4°	12,578	–
•	Registrations		Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events	424(b)(5)		424B5°	68,035	–
•	Registrations		Prospectuses – Selling Security Holders – Info Previously Omitted	424(b)(7)		424B7	4,365	–
•	Registrations		Prospectuses (Late Filings)	424(b)(8)		424B8	1,836	–
•	Registrations		Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed	424(h)		424H	1,104	72
•	Registrations		Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements	424(i)(1)		424I	62	–
•	Registrations		Prospectuses and Communications – Mergers	425		425°	85,822	–
•	Registrations		Post-Effective Amendments of Form N-1 and N-1A Registrations	485(a)		485APOS°	43,139	–
•	Registrations		Post-Effective Amendments of Form N-1 and N-1A Registrations	485(b)		485BPOS°	198,227	–
•	Registrations		Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates	485(b)(1)(iii)		485BXT	27,687	–
•	Registrations		Post-Effective Amendments of Form N-2 Registrations	486(a)		486APOS	274	–
•	Registrations		Post-Effective Amendments of Form N-2 Registrations	486(b)		486BPOS	1,322	–
•	Registrations		Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates	486(b)		486BXT	100	–
•	Registrations		Pre-Effective Pricing Amendments of Registration Statements	487		487	21,764	–
•	Registrations		Definitive Materials	497		497°	400,603	–
•	Reports		Advertising by Certain Investment Companies	497 & 482(c)		497AD	4,733	–
•	Registrations		Prospectuses by Certain Closed-End Investment Companies	497(h)(2)		497H2	83	–
•	Registrations		Certifications of No Change in Definitive Materials	497(j)		497J	133,073	–
•	Registrations		Summary Prospectuses by Certain Open-End Investment Companies	497(k)		497K	272,454	–
•	Registrations		Summary Prospectuses of Variable Annuity/Life Contracts – Initial	497(k)		497VPI	2,484	–
•	Registrations		Summary Prospectuses of Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence	497(k)		497VPSUB	256	–
•	Registrations		Summary Prospectuses of Variable Annuity/Life Contracts – Updating	497(k)		497VPU	4,579	–
•	Reports		Asset-Backed Securities Securitizer Reports	ABS-15G		ABS-15G	17,550	5,580
•	Registrations		Asset-Backed Securities [XML] Exhibits	ABS-EE		ABS-EE°	26,259	289
•	Registrations		Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed	–		ADN-MTL	50	–
•	Registrations		Applications for Registrations by Investment Advisors	ADV		ADV	–	1
•	Reports		Certificates of Accounting of Client Securities and Funds in the Possession or Custody of Investment Advisors	ADV-E		ADV-E	2,451	–
•	Reports		Applications for Continuing Hardship Exemptions by Investment Advisors	IAA		ADV-H-C	8	–
•	Reports		Applications for Temporary Hardship Exemptions by Investment Advisors	IAA		ADV-H-T	77	–
•	Registrations		Appointments of U.S. Agents for Service of Process by Non-Resident General Partners and Managing Agents of Investment Advisors	ADV-NR		ADV-NR	690	–
•	Registrations		Notices of Withdrawals from Registration by Investment Advisors	ADV-W		ADVW	9	–
•	Reports		Annual Reports by International Development Banks	–		ANNLRPT°	131	3
•	SEC		Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices	ICA		APP NTC	1,044	–
•	SEC		Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders	ICA		APP ORDR	994	–
•	Registrations		Withdrawals of Applications for Exemption Orders and Other Relief	APP WD		APP WD	536	21
•	SEC		Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants	ICA		APP WDG	126	–
•	Reports		Annual Reports to Security Holders	–		ARS°	39,802	56
•	Reports		Alternative Trading Systems (NMS Stock) – Initial Info	ATS-N		ATS-N×	5	–
•	Reports		Alternative Trading Systems (NMS Stock) – Correcting Amendments	ATS-N		ATS-N/CA×	67	–
•	Reports		Alternative Trading Systems (NMS Stock) – Material Amendments	ATS-N		ATS-N/MA×	181	–
•	Reports		Alternative Trading Systems (NMS Stock) – Order Display and Fair Access Amendments	ATS-N		ATS-N/OFA×	8	–
•	Reports		Alternative Trading Systems (NMS Stock) – Updating Amendments	ATS-N		ATS-N/UA×	406	–
•	Reports		Alternative Trading Systems (NMS Stock) – Notices of Cessation	ATS-N		ATS-N-C×	16	–
•	Reports		Alternative Trading Systems (NMS Stock) – Withdrawals of Form ATS-N	–		ATS-N-W×	3	–
•	Registrations		Amendment Withdrawal Requests	†		AW	4,136	–
•	Registrations		Amendment Withdrawal Requests – Withdraw Duplicates	†		AW WD	116	–
•	Registrations		Crowdfunding – Offering Statements	C		C×	7,946	8,442
•	Registrations		Crowdfunding – Offering Statement Amendment Withdrawals	C/A-W		C/A-W×	24	–
•	Registrations		Crowdfunding – Offering Statement Withdrawals	C-W		C-W×	870	–
•	Reports		Crowdfunding – Annual Reports	C-AR		C-AR×	3,167	214
•	Reports		Crowdfunding – Annual Report Withdrawals	C-AR-W		C-AR-W×	10	–
•	Reports		Crowdfunding – Terminations of Reporting	C-TR		C-TR×	576	–
•	Reports		Crowdfunding – Termination of Reporting Withdrawals	C-TR-W		C-TR-W×	11	–
•	Registrations		Crowdfunding – Progress Updates	C-U		C-U×	3,892	–
•	Registrations		Crowdfunding – Progress Update Withdrawals	C-U-W		C-U-W×	19	–
•	Registrations		Applications for Registration, or an Exemption from Registration, as a Clearing Agency	CA-1		CA-1	2	–
•	SEC		Cancellations of Certain Municipal Advisor Registrations by SEC Orders	SEA §15B(c)(3)		CANCEL-MA	35	–
•	Ownership		Tender-Offer, Exchange-Offer, Rights-Offering and Response Notices	CB		CB	1,810	1,631
•	Registrations		Certifications by Securities Exchanges Approving Listings	CERT		CERT	6,742	–
•	Registrations		Certifications by the Cboe Global Markets Approving Listings  [ now as CERT ]	CERT		CERTCBO	74	–
•	Registrations		Certifications by the Nasdaq Stock Market Approving Listings  [ now as CERT ]	CERT		CERTNAS	2,776	–
•	Registrations		Certifications by the NYSE Approving Listings  [ now as CERT ]	CERT		CERTNYS	5,655	–
•	Registrations		Applications for Registration by Crowdfunding Portals	Funding Portal		CFPORTAL×	125	515
•	Registrations		Notices of Withdrawals from Registration by Crowdfunding Portals	Funding Portal		CFPORTAL-W×	21	–
•	Letters		Comment-Response and Other Letters to the SEC   [ a.k.a. Document COVER ]  (Delayed Release)	–		CORRESP	195,802	–
•	SEC		SEC Confidential Treatment Orders	–		CT ORDER	16,232	–
•	Registrations		Notices of Exempt Offerings of Securities	D		D×	378,069	238,366
•	Proxies		Definitive Proxy Statements	14A		DEF 14A°	182,585	–
•	Proxies		Definitive Proxy Info Statements	14C		DEF 14C	13,289	–
•	Proxies		Definitive Additional Proxy Soliciting Materials	14A		DEFA14A°	107,773	–
•	Proxies		Definitive Additional Proxy Info Statements	14C		DEFA14C	401	–
•	Proxies		Definitive Proxy Statements – Contested Solicitations	14A		DEFC14A	2,146	–
•	Proxies		Definitive Proxy Info Statements – Contested Solicitations	14C		DEFC14C	26	–
•	Proxies		Definitive Proxy Statements – Mergers & Acquisitions	14A		DEFM14A	6,222	–
•	Proxies		Definitive Proxy Info Statements – Mergers & Acquisitions	14C		DEFM14C	459	–
•	Proxies		Definitive Non-Management Proxy Statements	14A		DEFN14A	308	–
•	Proxies		Definitive Revised Proxy Soliciting Materials	14A		DEFR14A	6,048	–
•	Proxies		Definitive Revised Proxy Info Statements	14C		DEFR14C	444	–
•	Registrations		Registration Effectiveness-Delaying Amendments	†		DEL AM	1,395	–
•	Proxies		Definitive Additional Non-Management Proxy Soliciting Materials	14A		DFAN14A	13,928	–
•	Proxies		Definitive Revised Non-Management Proxy Statements	14A		DFRN14A	471	–
•	Registrations		Draft Offering Statements	1-A		DOS×	225	232
•	Letters		Comment-Response and Draft-Offering-Statement Letters to the SEC   (Delayed Release)	–		DOSLTR	192	–
•	Registrations		Draft Registration Statements by Emerging Growth Companies and Foreign Issuers	DRS		DRS°	4,817	5,336
•	Letters		Comment-Response and Draft-Registration-Statement Letters to the SEC   (Delayed Release)	–		DRSLTR	4,338	–
•	Reports		Distribution of Primary Obligations Reports by International Development Banks	–		DSTRBRPT	884	20
•	SEC		SEC Notices of Effectiveness	†		EFFECT×	66,166	–
•	Registrations		Registration Statements by Certain Foreign Issuers	F-1		F-1°	2,192	5,973
•	Registrations		Registration Statements to Add Securities to Prior Form F-1 Registrations	462(b)		F-1MEF	234	–
•	Registrations		Registration Statements by Certain Foreign Issuers – Securities for Transactions	F-3		F-3°	1,972	1,623
•	Registrations		Automatic Shelf Registration Statements by Well-Known Foreign Issuers	F-3		F-3ASR°	758	–
•	Registrations		Registration Statements by Certain Foreign Issuers – Securities for Dividend and Interest Reinvestment Plans	F-3		F-3D	66	–
•	Registrations		Post-Effective Amendments of ‘F-3D’ Registrations	F-3		F-3DPOS	48	–
•	Registrations		Registration Statements to Add Securities to Prior Form F-3 Registrations	462(b)		F-3MEF	46	–
•	Registrations		Registration Statements by Certain Foreign Issuers – Securities for Mergers	F-4		F-4°	947	1,956
•	Registrations		Registration Statements by Certain Foreign Issuers – Securities for Mergers (Immediately Effective)	F-4		F-4EF	1	–
•	Registrations		Registration Statements to Add Securities to Prior Form F-4 Registrations	462(b)		F-4MEF	12	–
•	Registrations		Post-Effective Amendments of Form F-4 Registrations	–		F-4 POS	22	–
•	Registrations		Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs)	F-6		F-6	1,941	199
•	Registrations		Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective)	F-6		F-6EF	7,239	–
•	Registrations		Post-Effective Amendments of ‘F-6EF’ Registrations	F-6		F-6 POS	2,734	–
•	Registrations		Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of Rights	F-7		F-7	53	11
•	Registrations		Post-Effective Amendments of Form F-7 Registrations	–		F-7 POS	6	–
•	Registrations		Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers	F-8		F-8	32	51
•	Registrations		Post-Effective Amendments of Form F-8 Registrations	–		F-8 POS	13	–
•	Registrations		Registration Statements by Certain Canadian Issuers	F-10		F-10	994	995
•	Registrations		Registration Statements by Certain Canadian Issuers (Immediately Effective)	F-10		F-10EF	14	–
•	Registrations		Post-Effective Amendments of ‘F-10EF’ Registrations	F-10		F-10POS	83	–
•	Registrations		Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers	F-80		F-80	26	22
•	Registrations		Post-Effective Amendments of Form F-80 Registrations	–		F-80POS	19	–
•	Registrations		Appointments of U.S. Agents for Service of Process by Foreign Banks and Insurance Companies	F-N		F-N	446	32
•	Reports		Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers	–		FOCUSN	32,613	1,087
•	Registrations		Free-Writing Prospectuses	163 / 433		FWP	223,452	–
•	Registrations		Appointments of U.S. Agents for Service of Process by Foreign Non-Financial Entities	F-X		F-X	3,100	318
•	Reports		Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers	G-405		G-405	65	3
•	Reports		Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers	G-405N		G-405N	51	1
•	Registrations		Notices of Activity as a Government Securities Broker or Dealer by Financial Institutions	G-FIN		G-FIN	23	266
•	Registrations		Notices of Withdrawals from Registration as a Government Securities Broker or Dealer by Financial Institutions	G-FINW		G-FINW	16	–
•	Reports		Notices of Iran/Syria Disclosures in Quarterly and Annual Reports	ITRASHRA		IRANNOTICE	3,850	–
•	Registrations		Applications for Registrations by Municipal Advisors	MA		MA×	918	2,253
•	Registrations		Annual Updates of Registrations by Municipal Advisors	MA		MA-A×	3,495	–
•	Registrations		Info re: Natural Persons Who Engage in Municipal Advisory Activity	MA-I		MA-I×	8,938	12,264
•	Registrations		Notices of Withdrawals from Registration by Municipal Advisors	MA-W		MA-W×	429	–
•	Registrations		Applications for Registrations by Municipal Securities Dealers	MSD		MSD	46	455
•	Registrations		Notices of Withdrawals from Registration by Municipal Securities Dealers	MSDW		MSDW	84	–
•	Registrations		Registration Statements by Open-End Investment Companies	N-1A		N-1A°	1,969	2,995
•	Registrations		Registration Statements by Closed-End Investment Companies	N-2		N-2	4,204	6,282
•	Registrations		Automatic Shelf Registration Statements by Well-Known Closed-End Investment Companies	N-2		N-2ASR	57	–
•	Registrations		Registration Statements to Add Securities to Prior Form N-2 Registrations	462(b)		N-2MEF	262	–
•	Registrations		Post-Effective Amendments of Form N-2 Automatic Shelf Registrations	ICA		N-2 POSASR	7	–
•	Registrations		Registration Statements by Open-End Investment Companies for Separate Accounts	N-3		N-3	41	22
•	Registrations		Registration Statements by Variable Annuity Unit Investment Trusts for Separate Accounts	N-4		N-4	2,394	2,097
•	Registrations		Registration Statements by Small Business Investment Companies (SBICs)	N-5		N-5	9	10
•	Registrations		Registration Statements by Variable Life Unit Investment Trusts for Separate Accounts	N-6		N-6	759	571
•	Reports		Notices of Intentions to Elect Business Development Company (BDC) Status	N-6F		N-6F	165	68
•	Registrations		Notices of Registrations by Investment Companies	N-8A		N-8A	4,557	627
•	Registrations		Registration Statements by Unit Investment Trusts	N-8B-2		N-8B-2	184	178
•	Registrations		Registration Statements by Face-Amount Certificate Companies	N-8B-4		N-8B-4	7	–
•	Registrations		Applications for SEC Deregistration Orders by Certain Investment Companies	N-8F		N-8F	3,382	1,537
•	SEC		Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices	ICA		N-8F NTC	1,960	–
•	SEC		Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders	ICA		N-8F ORDR	2,097	–
•	Registrations		Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for Mergers	N-14		N-14	3,844	2,527
•	Registrations		Registration Statements by Closed-End Investment Companies – Securities for Mergers	N-14		N-14 8C	314	371
•	Registrations		Registration Statements to Add Securities to Prior Form N-14 Registrations	462(b)		N-14MEF	8	–
•	Reports		Notices of Elections by Open-End Investment Companies	N-18f-1		N-18F1	1,282	31
•	Ownership		Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies	23c-2		N-23C-2	1,883	64
•	Ownership		Notices of Periodic Repurchase Offers by Closed-End Investment Companies	N-23c-3		N-23C3A	3,097	34
•	Ownership		Notices of Discretionary Repurchase Offers by Closed-End Investment Companies	N-23c-3		N-23C3B	408	3
•	Ownership		Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment Companies	N-23c-3		N-23C3C	50	47
•	Reports		Accountings for Segregated Trust Accounts	N-27D-1		N-27D-1	12	–
•	Reports		Periodic and Interim Reports Mailed to Shareholders by Investment Companies	30b-2		N-30B-2	12,910	–
•	Reports		Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies	30d-1		N-30D	71,780	1,056
•	Reports		Notices of Elections by Business Development Companies (BDCs)	N-54A		N-54A	364	9
•	Reports		Notices of Withdrawals from Registration by Business Development Companies (BDCs)	N-54C		N-54C	215	4
•	Reports		Annual Reports by Investment Companies	N-CEN		N-CEN×	17,132	1,737
•	Reports		Annual Reports by Investment Companies (Late Filings)	N-CEN		NT N-CEN°	214	–
•	Reports		Current Reports of Material Events by Money-Market Funds	N-CR		N-CR	72	13
•	Reports		Annual Certified Shareholder Reports by Investment Companies	N-CSR		N-CSR°	71,199	3,534
•	Reports		Semi-Annual Certified Shareholder Reports by Investment Companies	N-CSR		N-CSRS°	63,965	1,102
•	Reports		Monthly Portfolio Holdings Schedules by Money-Market Funds	N-MFP		N-MFP2×	33,894	1,522
•	Reports		Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)	N-MFP		NT N-MFP2°	298	–
•	SEC		SEC No-Action Letters re: Shareholder Proposals   [ a.k.a. Document 14A-8 ]	14a-8		NO ACT	9,085	–
•	Reports		Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies  [ with Document NPORT-EX ]	N-PORT		NPORT-P×	201,540	3,557
•	Reports		Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings)  [ with Document NPORT-EX ]	N-PORT		NT NPORT-P×	323	–
•	Proxies		Annual Proxy Voting Reports by Investment Companies	N-PX		N-PX	59,257	1,972
•	Reports		Quarterly Portfolio Holdings Schedules by Investment Companies	N-Q		N-Q°	94,931	1,010
•	Registrations		Annual Certifications by Nationally Recognized Statistical Rating Organizations	NRSRO		NRSRO-CE	79	35
•	Registrations		Registration Updates by Nationally Recognized Statistical Rating Organizations	NRSRO		NRSRO-UPD	236	–
•	Reports		Notices of Late Filings of Form 10-D Distribution Reports	12b-25		NT 10-D	10	1
•	Reports		Notices of Late Filings of Form 10-D Distribution Reports (Late Notices)	12b-25		NTN 10D	5	–
•	Reports		Notices of Late Filings of Form 10-K Annual Reports	12b-25		NT 10-K	45,766	737
•	Reports		Notices of Late Filings of Form 10-K Annual Reports (Late Notices)	12b-25		NTN 10K	1,580	–
•	Reports		Notices of Late Filings of Form 10-Q Quarterly Reports	12b-25		NT 10-Q°	76,387	658
•	Reports		Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices)	12b-25		NTN 10Q	2,302	–
•	Reports		Notices of Late Filings of Form 11-K Annual Reports	12b-25		NT 11-K	1,695	17
•	Reports		Notices of Late Filings of Form 11-K Annual Reports (Late Notices)	12b-25		NTN 11K	18	–
•	Reports		Notices of Late Filings of Form 20-F Annual Reports	12b-25		NT 20-F	2,028	33
•	Reports		Notices of Late Filings of Form 20-F Annual Reports (Late Notices)	12b-25		NTN 20F	37	–
•	Reports		Notices of Late Filings of Form N-CEN Annual Reports	12b-25		NT-NCEN	78	2
•	Reports		Notices of Late Filings of Form N-CEN Annual Reports (Late Notices)	12b-25		NTFNCEN	17	–
•	Reports		Notices of Late Filings of Form N-CSR Shareholder Reports	12b-25		NT-NCSR	377	36
•	Reports		Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices)	12b-25		NTFNCSR	82	–
•	Reports		Notices of Late Filings of ‘SP 15D2’ Special Financial Reports	12b-25		NT 15D2	9	7
•	Reports		Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices)	12b-25		NTN15D2	3	–
•	Reports		Notices by Certain Variable Annuity/Life Contracts	N-VP		N-VP	505	515
•	Reports		Financial Statements of Certain Variable Annuity/Life Contracts	N-VPFS		N-VPFS	1,871	101
•	SEC		Applications for SEC Exemption Orders – ‘40-OIP’ SEC Notices	ICA		OIP NTC	67	–
•	SEC		Applications for SEC Exemption Orders – ‘40-OIP’ SEC Orders	ICA		OIP ORDR	61	–
•	Registrations		Post-Effective Amendments of Registration Statements by Certain Investment Companies	ICA §8(c)		POS 8C	2,239	–
•	Registrations		Post-Effective Amendments of Registration Statements – Rule 462(b)	†		POS462B	228	–
•	Registrations		Post-Effective Amendments of Registration Statements – Rule 462(c)	†		POS462C	88	–
•	Registrations		Post-Effective Amendments of Registration Statements	†		POS AM°	33,591	–
•	Registrations		Post-Effective Amendments of Registration Statements by Investment Companies	†		POS AMI	6,829	–
•	Registrations		Post-Effective Amendments of Automatic Shelf Registration Statements	S-3/F-3ASR		POSASR°	2,267	–
•	Registrations		Post-Effective Amendments of Registration Statements – Additional Exhibits	462(d)		POS EX°	5,396	–
•	Proxies		Preliminary Proxy Statements	14A		PRE 14A°	41,975	–
•	Proxies		Preliminary Proxy Info Statements	14C		PRE 14C	10,051	–
•	Proxies		Preliminary Proxy Statements – Contested Solicitations	14A		PREC14A	2,908	–
•	Proxies		Preliminary Proxy Info Statements – Contested Solicitations	14C		PREC14C	65	–
•	Proxies		Preliminary Proxy Statements – Mergers & Acquisitions	14A		PREM14A	5,251	–
•	Proxies		Preliminary Proxy Info Statements – Mergers & Acquisitions	14C		PREM14C	710	–
•	Proxies		Preliminary Non-Management Proxy Statements	14A		PREN14A	381	–
•	Proxies		Preliminary Revised Proxy Soliciting Materials	14A		PRER14A	11,810	–
•	Proxies		Preliminary Revised Proxy Info Statements	14C		PRER14C	2,531	–
•	Proxies		Preliminary Revised Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations	14A		PRRN14A	2,214	–
•	Proxies		Notices of Exempt Non-Management Proxy Solicitations	14a-6(g)		PX14A6G	2,676	–
•	Proxies		Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications	14a-6(n)		PX14A6N	59	–
•	Reports		Quarterly Reports by International Development Banks	–		QRTLYRPT	197	9
•	SEC		SEC Notices of Qualification	A/A+		QUALIF×	2,465	–
•	Registrations		Initial Undertakings to File Reports by Non-Resident Brokers, Dealers and Investment Advisors	–		REG-NR	69	2
•	SEC		SEC Orders Revoking Registrations	SEA §12(j)		REVOKED	6,322	–
•	SEC		SEC Orders Revoking Registrations of Municipal Advisors	SEA §15B(c)(2)		REVOKED-MA	1	–
•	Registrations		Registration Withdrawal Requests	†		RW	12,936	–
•	Registrations		Withdrawals of Registration Withdrawal Requests	†		RW WD	441	–
•	Registrations		Registration Statements (General Form)	S-1		S-1°	23,440	58,773
•	Registrations		Registration Statements to Add Securities to Prior Form S-1 Registrations	462(b)		S-1MEF	2,187	–
•	Registrations		Registration Statements – Securities for Transactions	S-3		S-3°	38,109	29,686
•	Registrations		Automatic Shelf Registration Statements by Well-Known Issuers	S-3		S-3ASR°	9,215	–
•	Registrations		Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective)	S-3		S-3D	968	5
•	Registrations		Post-Effective Amendments of ‘S-3D’ Registrations	S-3		S-3DPOS	728	–
•	Registrations		Registration Statements to Add Securities to Prior Form S-3 Registrations	462(b)		S-3MEF	1,346	–
•	Registrations		Registration Statements – Securities for Mergers	S-4		S-4°	15,415	21,510
•	Registrations		Registration Statements – Securities for the Formation of Bank and Savings & Loan Holding Companies	S-4		S-4EF	77	31
•	Registrations		Registration Statements to Add Securities to Prior Form S-4 Registrations	462(b)		S-4MEF	182	–
•	Registrations		Post-Effective Amendments of ‘S-4EF’ Registrations	S-4		S-4 POS	313	–
•	Registrations		Registration Statements by Unit Investment Trusts	S-6		S-6	23,976	8,828
•	Registrations		Registration Statements – Securities for Certain Employee Benefit Plans	S-8		S-8	91,643	18
•	Registrations		Post-Effective Amendments of Form S-8 Registrations	–		S-8 POS	39,667	–
•	Registrations		Registration Statements by Certain Real Estate Companies	S-11		S-11°	1,190	3,546
•	Registrations		Registration Statements to Add Securities to Prior Form S-11 Registrations	462(b)		S-11MEF	90	–
•	Registrations		Registration Statements – Standardized Options	S-20		S-20	6	5
•	Registrations		Registration Statements by Foreign Governments and Political Subdivisions	B		S-B	376	233
•	Registrations		Registration Statements to Add Securities to Prior Schedule B Registrations	462(b)		S-BMEF	15	–
•	Registrations		Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants	SBSE		SBSE×	5	19
•	Registrations		Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as a Swap Dealer or Major Swap Participant	SBSE-A		SBSE-A×	39	234
•	Registrations		Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-Dealers	SBSE-BD		SBSE-BD×	7	3
•	Registrations		Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants	SBSE-C		SBSE-C×	51	–
•	Ownership		Statements of Acquisitions of Beneficial Ownership by “Active” Investors	13D		SC 13D	61,303	134,587
•	Ownership		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors	13G		SC 13G	223,719	412,708
•	Ownership		Tender-Offer Statements by Issuers	13E-1		SC 13E1	23	13
•	Ownership		Tender-Offer Statements by Certain Issuers – Going-Private Transactions	13E-3		SC 13E3	2,571	8,592
•	Ownership		Tender-Offer Statements by Canadian Issuers	13E-4F		SC13E4F	23	34
•	Ownership		Tender-Offer Statements by Canadian Third Parties	14D-1F		SC14D1F	45	148
•	Ownership		Tender-Offer Solicitation/Recommendation Statements	14D-9		SC 14D9	4,431	9,933
•	Ownership		Tender-Offer Communications by Issuers re: Third-Party Offers	14D-9C		SC14D9C	2,604	–
•	Ownership		Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers	14D-9F		SC14D9F	40	40
•	Ownership		Statements re: Changes in the Majority of Directors	14F-1		SC 14F1	2,324	237
•	Proxies		Info from Certain Nominating Shareholders	14N		SC 14N	16	7
•	Ownership		Tender-Offer Communications by Issuers and Third Parties	TO		SC TO-C	5,816	–
•	Ownership		Tender-Offer Statements by Issuers	TO		SC TO-I	10,419	16,770
•	Ownership		Tender-Offer Statements by Third Parties	TO		SC TO-T	2,770	12,731
•	Reports		Specialized Disclosure Reports re: Uses of Conflict Minerals	SD		SD	11,243	34
•	Registrations		Applications for Registration by Security-Based Swap Data Repositories	SDR		SDR×	2	4
•	Reports		Separate Exhibits – Scanned Paper-Format Exhibits of Other Electronic Filings	SE		SE	3,594	–
•	SEC		SEC Staff Actions   [ a.k.a. Document ORDER (SEC Order) ]	–		SEC ACTION	730	–
•	SEC		SEC Staff Letters   [ a.k.a. Documents LETTER, 14A-8 (No-Action Letter), REDACTED EXHIBIT, SERIOUS DEFICIENCIES & STAFF LETTER ]  (Delayed Release)	–		SEC LETTER	1,566	–
•	Registrations		Registration Statements (General Form) by Issuers of Asset-Backed Securities	SF-1		SF-1	25	49
•	Registrations		Registration Statements to Add Securities to Prior Form SF-1 Registrations	462(b)		SF-1MEF	2	–
•	Registrations		Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities	SF-3		SF-3	192	250
•	Registrations		Sales Literature	–		SL	9	–
•	Reports		Special Financial Reports	15d-2		SP 15D2	59	2
•	Reports		Specialized Disclosures re: the Holding Foreign Companies Accountable Act	SPDSCL		SPDSCL	11	–
•	SEC		SEC Stop Orders	–		STOP ORDER	61	–
•	Registrations		Supplemental Materials by Foreign Issuers	SA §11(a)		SUPPL	56,143	–
•	Registrations		Applications for Qualifications of Trust Indentures	T-3		T-3	647	637
•	Registrations		Applications for Determinations of Eligibility to Act as a Trustee by Foreign Entities	T-6		T-6	2	–
•	Registrations		Applications for Registrations by Transfer Agents	TA-1		TA-1°	479	4,779
•	Reports		Annual Reports of Activity by Transfer Agents	TA-2		TA-2°	9,352	823
•	Registrations		Notices of Withdrawals from Registration by Transfer Agents	TA-W		TA-W°	550	–
•	Reports		Notices of Reliance on a Temporary Hardship Exemption	TH		TH	135	–
•	Registrations		Test-the-Waters Materials	A/A+		TTW	28	8
•	Letters		Comment and Other Letters from the SEC   [ a.k.a. Document LETTER ]  (Delayed Release)	–		UPLOAD	183,424	–
•	Registrations		Withdrawal Requests for Materials Previously Filed	A/A+		WDL-REQ	62	–
•	Reports		Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers	X-17A-5		X-17A-5°	96,956	6,162
Filing/Form Type Totals by Period Σ           Totals:							14,167,061	1,454,680
____________
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