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            SEC:  Forms List


 Form, Sch.,
Rule or Reg.
Filing /
Form Type
Released Filings 
 • CategoryDescriptionOriginal  Amended 
Sort in ascending orderSort in ascending orderSort in ascending orderIn ascending order(click for most-recent) 
 
 • Registrations  Applications for Registration, or an Exemption from Registration, as a National Securities Exchange1 1912,311 
 • Registrations  Offering Statements1-A 1-A°2,0744,428 
 • Registrations  Post-Qualification Amendments of Form 1-A Offering StatementsA/A+ 1-A POS×1,636– 
 • Registrations  Withdrawals of Form 1-A Offering StatementsA/A+ 1-A-W30131 
 • Reports  Notices of Exempt Offerings of Securities by Small Business Investment and Business Development Companies (SBICs and BDCs)1-E 1-E15278 
 • Registrations  Advertising by Small Business Investment and Business Development Companies (SBICs and BDCs)1-E 1-E AD2– 
 • Reports  Annual Reports and Special Financial Reports1-K 1-K×1,03073 
 • Reports  Semi-Annual Reports and Special Financial Reports1-SA 1-SA1,22950 
 • Reports  Current Reports1-U 1-U4,54137 
 • Reports  Exit Reports1-Z 1-Z×2078 
 • Reports  Withdrawals of Exit Reports1-Z 1-Z-W5– 
 • Reports  Reports of Sales of Securities2-A 2-A5281 
 • Reports  Final Reports of Sales of Securities2-A 2-AF36– 
 • Reports  Reports of Sales of Securities by Investment Companies (SBICs and BDCs)2-E 2-E8711 
 • Ownership  Initial Statements of Beneficial Ownership of Securities by Insiders3 3°357,57719,051 
 • Ownership  Statements of Changes in Beneficial Ownership of Securities by Insiders4 4°4,026,777119,302 
 • Ownership  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders5 5°111,0644,163 
 • SEC  Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices 
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ICA 6B NTC28– 
 • SEC  Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders 
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ICA 6B ORDR28– 
 • Reports  Current, Quarterly and Annual Reports by Foreign Issuers6-K 6-K°471,3795,926 
 • Registrations  Registration Statements for Certain Classes of Securities8-A 8-A12B23,1354,722 
 • Registrations  Registration Statements for Certain Classes of Securities8-A 8-A12G10,1362,375 
 • SEC  Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Notices 
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ICA 8F-2 NTC6– 
 • SEC  Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Orders 
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ICA 8F-2 ORDR5– 
 • Reports  Current Reports8-K 8-K°1,785,66979,297 
 • Registrations  Notices of Securities Deemed to be Registered by Successor Issuers8-K 8-K12B°30835 
 • Registrations  Notices of Securities Deemed to be Registered by Successor Issuers8-K 8-K12G3637115 
 • Reports  Notices of Assumptions of Duty to File Reports by Successor Issuers8-K 8-K15D5712 
 • Registrations  Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Corporations8-M 8-M67– 
 • Registrations  Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Partnerships9-M 9-M13– 
 • Registrations  Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer General Partners10-M 10-M1– 
 • Registrations  Registration Statements10 10-12B°8221,661 
 • Registrations  Registration Statements10 10-12G°2,8594,992 
 • Reports  Distribution Reports by Issuers of Asset-Backed Securities10-D 10-D°89,7732,718 
 • Reports  Annual Reports10-K 10-K°204,45443,902 
 • Reports  Annual-Transition Reports10-K 10-KT°548127 
 • Reports  Quarterly Reports10-Q 10-Q°633,01845,099 
 • Reports  Quarterly-Transition Reports10-Q 10-QT°22236 
 • Reports  Annual Reports by Employee Stock Purchase, Savings and Similar Plans11-K 11-K42,892995 
 • Reports  Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-K 11-KT982 
 • Ownership  Quarterly Holdings and Combination Reports by Money Managers13F 13F-HR°335,84227,729 
 • Ownership  Quarterly Holdings Notices by Money Managers13F 13F-NT°105,9821,929 
 • Registrations  Certifications of Terminations of Registration of Classes of Securities15 15-12B5,929112 
 • Registrations  Certifications of Terminations of Registration of Classes of Securities15 15-12G13,728426 
 • Reports  Notices of Suspensions of Duty to File Reports15 15-15D16,283217 
 • Registrations  Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers15F 15F-12B21613 
 • Registrations  Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers15F 15F-12G23712 
 • Reports  Notices of Suspensions of Duty to File Reports by Foreign Issuers15F 15F-15D1424 
 • Registrations  Registration Statements by Foreign Governments and Political Subdivisions18 18-12B4– 
 • Reports  Annual Reports by Foreign Governments and Political Subdivisions18-K 18-K°7942,577 
 • Reports  Proposed Rule Changes by Self-Regulatory Organizations (SROs)19b-4 19B-4101 
 • Reports  Info from Self-Regulatory Organizations (SROs) Listing and Trading New Derivative Securities Products19b-4(e) 19B-4E29,215– 
 • Reports  Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers20-F 20-F°17,5633,690 
 • Registrations  Registration Statements by Foreign Non-Canadian Issuers20-F 20FR12B188184 
 • Registrations  Registration Statements by Foreign Non-Canadian Issuers20-F 20FR12G°393618 
 • Registrations  Annual Notices of Securities Sold by Investment Companies24F-2 24F-2NT°190,3453,194 
 • Reports  Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities25 254,27544 
 • Reports  Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities25 25-NSE×12,909263 
 • 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 ActTIA 39-304D91 
 • Registrations  Applications re: Conflicts of Interest Under the Trust Indenture ActTIA 39-310B2– 
 • Registrations  Applications for Exemption Orders by Employees’ Investment CompaniesO-2 40-6B64183 
 • Registrations  Applications for Exemptions and Other Relief by Investment CompaniesICA §6(c) 40-6C433529 
 • Reports  Applications for Extensions of Time to File Reports by Investment Companies8b-25(a) 40-8B25115– 
 • Registrations  Applications for SEC Deregistration Orders by Investment CompaniesO-2 40-8F-22240 
 • Reports  Certificates of Accounting of Securities of Investment Companies in the Custody of Members of National Securities ExchangesN-17f-1 40-17F167517 
 • Reports  Certificates of Accounting of Securities in the Custody of Investment CompaniesN-17f-2 40-17F219,377147 
 • Reports  Fidelity Bonds for Investment Companies17g-1(g) 40-17G27,8592,296 
 • Reports  Fidelity Bonds for Investment Companies – Claims and Settlements17g-1(g) 40-17GCS19– 
 • Registrations  Sales Literature from Investment Companies24b-2 40-24B23,23386 
 • Reports  Stockholder Derivative Actions Against Investment Companies and AffiliatesICA §33 40-331,0738 
 • Registrations  Applications to Designate the Applicant a Person Not Within the Intent of the Investment Advisers ActIAA §202 40-202A3336 
 • Registrations  Exemptions from the Prohibition on Registration as an Investment AdvisorIAA §203 40-203A22 
 • Registrations  Applications for Performance Fee Exemptions by Investment AdvisorsIAA §205 40-205E32 
 • Registrations  Applications for Exemptions by Investment AdvisorsIAA §206(3) 40-206A4839 
 • Registrations  Applications for Exemption Orders and Other Relief by Investment CompaniesO-2 40-APP2,1383,257 
 • Reports  Annual Reports by Canadian Issuers40-F 40-F°2,978544 
 • Registrations  Registration Statements by Certain Canadian Issuers40-F 40FR12B172101 
 • Registrations  Registration Statements by Certain Canadian Issuers40-F 40FR12G3210 
 • Registrations  Applications for SEC Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment CompaniesO-2 40-OIP82156 
 • Reports  Reports Required for Exemptions from the Investment Company Act by Certain ApplicantsICA 40-RPT2– 
 • Ownership  Notices of Proposed Sales of Securities by Insiders144 144°7,751297 
 • Registrations  Offering Statements – Info Previously Omitted1-A 253G1157– 
 • Registrations  Offering Statements – Info Substantively Changed or Added1-A 253G23,535– 
 • Registrations  Offering Statements – Info Previously Omitted & Info Substantively Changed or Added1-A 253G349– 
 • Registrations  Offering Statements – Info Previously Omitted & Info Substantively Changed or Added (Late Filings)1-A 253G44– 
 • Registrations  Statements of Eligibility to Act as a Trustee by CorporationsT-1 305B22,09521 
 • Registrations  Prospectuses – Info Substantively Changed or Added424(a) 424A1,558– 
 • Registrations  Prospectuses – Info Previously Omitted424(b)(1) 424B16,149– 
 • Registrations  Prospectuses – Primary Offerings and Shelf Securities424(b)(2) 424B2391,509– 
 • Registrations  Prospectuses – New Facts or Events424(b)(3) 424B3°177,861– 
 • Registrations  Prospectuses – Info Previously Omitted & New Facts or Events424(b)(4) 424B4°12,224– 
 • Registrations  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events424(b)(5) 424B5°65,921– 
 • Registrations  Prospectuses – Selling Security Holders – Info Previously Omitted424(b)(7) 424B74,172– 
 • Registrations  Prospectuses (Late Filings)424(b)(8) 424B81,654– 
 • Registrations  Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed424(h) 424H99469 
 • Registrations  Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements424(i)(1) 424I17– 
 • Registrations  Prospectuses and Communications – Mergers425 425°81,858– 
 • Registrations  Post-Effective Amendments of Form N-1 and N-1A Registrations485(a) 485APOS°42,333– 
 • Registrations  Post-Effective Amendments of Form N-1 and N-1A Registrations485(b) 485BPOS°194,117– 
 • Registrations  Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates485(b)(1)(iii) 485BXT26,223– 
 • Registrations  Post-Effective Amendments of Form N-2 Registrations486(a) 486APOS263– 
 • Registrations  Post-Effective Amendments of Form N-2 Registrations486(b) 486BPOS1,153– 
 • Registrations  Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates486(b) 486BXT86– 
 • Registrations  Pre-Effective Pricing Amendments of Registration Statements487 48721,079– 
 • Registrations  Definitive Materials497 497°391,864– 
 • Reports  Advertising by Certain Investment Companies497 & 482(c) 497AD4,531– 
 • Registrations  Prospectuses by Certain Closed-End Investment Companies497(h)(2) 497H283– 
 • Registrations  Certifications of No Change in Definitive Materials497(j) 497J129,224– 
 • Registrations  Summary Prospectuses by Certain Open-End Investment Companies497(k) 497K256,574– 
 • Registrations  Summary Prospectuses of Variable Annuity/Life Contracts – Initial497(k) 497VPI1,476– 
 • Registrations  Summary Prospectuses of Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence497(k) 497VPSUB109– 
 • Registrations  Summary Prospectuses of Variable Annuity/Life Contracts – Updating497(k) 497VPU2,721– 
 • Reports  Asset-Backed Securities Securitizer ReportsABS-15G ABS-15G16,1854,848 
 • Registrations  Asset-Backed Securities [XML] ExhibitsABS-EE ABS-EE°21,428268 
 • Registrations  Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed ADN-MTL50– 
 • Registrations  Applications for Registrations by Investment AdvisorsADV ADV1 
 • Reports  Certificates of Accounting of Client Securities and Funds in the Possession or Custody of Investment AdvisorsADV-E ADV-E2,451– 
 • Reports  Applications for Continuing Hardship Exemptions by Investment AdvisorsIAA ADV-H-C8– 
 • Reports  Applications for Temporary Hardship Exemptions by Investment AdvisorsIAA ADV-H-T74– 
 • Registrations  Appointments of U.S. Agents for Service of Process by Non-Resident General Partners and Managing Agents of Investment AdvisorsADV-NR ADV-NR687– 
 • Registrations  Notices of Withdrawals from Registration by Investment AdvisorsADV-W ADVW9– 
 • Reports  Annual Reports by International Development Banks ANNLRPT°1231 
 • SEC  Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices 
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ICA APP NTC994– 
 • SEC  Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders 
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ICA APP ORDR953– 
 • Registrations  Withdrawals of Applications for Exemption Orders and Other ReliefAPP WD APP WD51717 
 • SEC  Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants 
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ICA APP WDG97– 
 • Reports  Annual Reports to Security Holders ARS°36,79339 
 • Reports  Alternative Trading Systems (NMS Stock) – Initial InfoATS-N ATS-N×5– 
 • Reports  Alternative Trading Systems (NMS Stock) – Correcting AmendmentsATS-N ATS-N/CA×50– 
 • Reports  Alternative Trading Systems (NMS Stock) – Material AmendmentsATS-N ATS-N/MA×141– 
 • Reports  Alternative Trading Systems (NMS Stock) – Order Display and Fair Access AmendmentsATS-N ATS-N/OFA×4– 
 • Reports  Alternative Trading Systems (NMS Stock) – Updating AmendmentsATS-N ATS-N/UA×346– 
 • Reports  Alternative Trading Systems (NMS Stock) – Notices of CessationATS-N ATS-N-C×15– 
 • Reports  Alternative Trading Systems (NMS Stock) – Withdrawals of Form ATS-N ATS-N-W×2– 
 • Registrations  Amendment Withdrawal Requests AW3,989– 
 • Registrations  Amendment Withdrawal Requests – Withdraw Duplicates AW WD109– 
 • Registrations  Crowdfunding – Offering StatementsC C×6,6967,265 
 • Registrations  Crowdfunding – Offering Statement Amendment WithdrawalsC/A-W C/A-W×23– 
 • Registrations  Crowdfunding – Offering Statement WithdrawalsC-W C-W×758– 
 • Reports  Crowdfunding – Annual ReportsC-AR C-AR×2,349183 
 • Reports  Crowdfunding – Annual Report WithdrawalsC-AR-W C-AR-W×7– 
 • Reports  Crowdfunding – Terminations of ReportingC-TR C-TR×399– 
 • Reports  Crowdfunding – Termination of Reporting WithdrawalsC-TR-W C-TR-W×6– 
 • Registrations  Crowdfunding – Progress UpdatesC-U C-U×3,255– 
 • Registrations  Crowdfunding – Progress Update WithdrawalsC-U-W C-U-W×19– 
 • Registrations  Applications for Registration, or an Exemption from Registration, as a Clearing AgencyCA-1 CA-12– 
 • SEC  Cancellations of Certain Municipal Advisor Registrations by SEC Orders 
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SEA §15B(c)(3) CANCEL-MA27– 
 • Ownership  Tender-Offer, Exchange-Offer, Rights-Offering and Response NoticesCB CB1,7741,599 
 • Registrations  Certifications by Securities Exchanges Approving ListingsCERT CERT5,972– 
 • Registrations  Certifications by the Cboe Global Markets Approving Listings  [ now as CERT ]CERT CERTCBO74– 
 • Registrations  Certifications by the Nasdaq Stock Market Approving Listings  [ now as CERT ]CERT CERTNAS2,776– 
 • Registrations  Certifications by the NYSE Approving Listings  [ now as CERT ]CERT CERTNYS5,655– 
 • Registrations  Applications for Registration by Crowdfunding PortalsFunding Portal CFPORTAL×110452 
 • Registrations  Notices of Withdrawals from Registration by Crowdfunding PortalsFunding Portal CFPORTAL-W×15– 
 • Letters  Comment-Response and Other Letters to the SEC 
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  [ a.k.a. Document COVER ]  (Delayed Release)
 CORRESP187,729– 
 • SEC  SEC Confidential Treatment Orders 
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 CT ORDER16,175– 
 • Registrations  Notices of Exempt Offerings of SecuritiesD D×351,734220,751 
 • Proxies  Definitive Proxy Statements14A DEF 14A°177,171– 
 • Proxies  Definitive Proxy Info Statements14C DEF 14C13,026– 
 • Proxies  Additional Definitive Proxy Soliciting Materials14A DEFA14A°101,482– 
 • Proxies  Additional Definitive Proxy Info Statements14C DEFA14C387– 
 • Proxies  Definitive Proxy Statements – Contested Solicitations14A DEFC14A2,071– 
 • Proxies  Definitive Proxy Info Statements – Contested Solicitations14C DEFC14C26– 
 • Proxies  Definitive Proxy Statements – Mergers & Acquisitions14A DEFM14A6,032– 
 • Proxies  Definitive Proxy Info Statements – Mergers & Acquisitions14C DEFM14C449– 
 • Proxies  Definitive Non-Management Proxy Statements14A DEFN14A308– 
 • Proxies  Revised Definitive Proxy Soliciting Materials14A DEFR14A5,851– 
 • Proxies  Revised Definitive Proxy Info Statements14C DEFR14C433– 
 • Registrations  Registration Effectiveness-Delaying Amendments DEL AM1,325– 
 • Proxies  Additional Definitive Non-Management Proxy Soliciting Materials14A DFAN14A13,435– 
 • Proxies  Revised Definitive Non-Management Proxy Statements14A DFRN14A433– 
 • Registrations  Draft Offering Statements1-A DOS×207216 
 • Letters  Comment-Response and Draft-Offering-Statement Letters to the SEC 
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  (Delayed Release)
 DOSLTR189– 
 • Registrations  Draft Registration Statements by Emerging Growth Companies and Foreign IssuersDRS DRS°4,4834,771 
 • Letters  Comment-Response and Draft-Registration-Statement Letters to the SEC 
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  (Delayed Release)
 DRSLTR3,954– 
 • Reports  Distribution of Primary Obligations Reports by International Development Banks DSTRBRPT76420 
 • SEC  SEC Notices of Effectiveness 
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 EFFECT×62,888– 
 • Registrations  Registration Statements by Certain Foreign IssuersF-1 F-1°1,9705,307 
 • Registrations  Registration Statements to Add Securities to Prior Form F-1 Registrations462(b) F-1MEF226– 
 • Registrations  Registration Statements by Certain Foreign Issuers – Securities for TransactionsF-3 F-3°1,8151,544 
 • Registrations  Automatic Shelf Registration Statements by Well-Known Foreign IssuersF-3 F-3ASR°724– 
 • Registrations  Registration Statements by Certain Foreign Issuers – Securities for Dividend and Interest Reinvestment PlansF-3 F-3D63– 
 • Registrations  Post-Effective Amendments of ‘F-3D’ RegistrationsF-3 F-3DPOS43– 
 • Registrations  Registration Statements to Add Securities to Prior Form F-3 Registrations462(b) F-3MEF46– 
 • Registrations  Registration Statements by Certain Foreign Issuers – Securities for MergersF-4 F-4°8741,767 
 • Registrations  Registration Statements by Certain Foreign Issuers – Securities for Mergers (Immediately Effective)F-4 F-4EF1– 
 • Registrations  Registration Statements to Add Securities to Prior Form F-4 Registrations462(b) F-4MEF10– 
 • Registrations  Post-Effective Amendments of Form F-4 Registrations F-4 POS22– 
 • Registrations  Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs)F-6 F-61,907197 
 • Registrations  Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective)F-6 F-6EF7,137– 
 • Registrations  Post-Effective Amendments of ‘F-6EF’ RegistrationsF-6 F-6 POS2,602– 
 • Registrations  Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of RightsF-7 F-75111 
 • Registrations  Post-Effective Amendments of Form F-7 Registrations F-7 POS5– 
 • Registrations  Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange OffersF-8 F-83251 
 • Registrations  Post-Effective Amendments of Form F-8 Registrations F-8 POS13– 
 • Registrations  Registration Statements by Certain Canadian IssuersF-10 F-10946971 
 • Registrations  Registration Statements by Certain Canadian Issuers (Immediately Effective)F-10 F-10EF10– 
 • Registrations  Post-Effective Amendments of ‘F-10EF’ RegistrationsF-10 F-10POS70– 
 • Registrations  Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange OffersF-80 F-802622 
 • Registrations  Post-Effective Amendments of Form F-80 Registrations F-80POS19– 
 • Registrations  Appointments of U.S. Agents for Service of Process by Foreign Banks and Insurance CompaniesF-N F-N42931 
 • Reports  Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers FOCUSN31,8981,083 
 • Registrations  Free-Writing Prospectuses163 / 433 FWP202,197– 
 • Registrations  Appointments of U.S. Agents for Service of Process by Foreign Non-Financial EntitiesF-X F-X3,017312 
 • Reports  Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405 G-405653 
 • Reports  Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and DealersG-405N G-405N511 
 • Registrations  Notices of Activity as a Government Securities Broker or Dealer by Financial InstitutionsG-FIN G-FIN23255 
 • Registrations  Notices of Withdrawals from Registration as a Government Securities Broker or Dealer by Financial InstitutionsG-FINW G-FINW16– 
 • Reports  Notices of Iran/Syria Disclosures in Quarterly and Annual ReportsITRASHRA IRANNOTICE3,623– 
 • Registrations  Applications for Registrations by Municipal AdvisorsMA MA×9082,068 
 • Registrations  Annual Updates of Registrations by Municipal AdvisorsMA MA-A×2,907– 
 • Registrations  Info re: Natural Persons Who Engage in Municipal Advisory ActivityMA-I MA-I×8,65511,338 
 • Registrations  Notices of Withdrawals from Registration by Municipal AdvisorsMA-W MA-W×409– 
 • Registrations  Applications for Registrations by Municipal Securities DealersMSD MSD44429 
 • Registrations  Notices of Withdrawals from Registration by Municipal Securities DealersMSDW MSDW83– 
 • Registrations  Registration Statements by Open-End Investment CompaniesN-1A N-1A°1,9472,949 
 • Registrations  Registration Statements by Closed-End Investment CompaniesN-2 N-24,1046,139 
 • Registrations  Automatic Shelf Registration Statements by Well-Known Closed-End Investment CompaniesN-2 N-2ASR46– 
 • Registrations  Registration Statements to Add Securities to Prior Form N-2 Registrations462(b) N-2MEF262– 
 • Registrations  Post-Effective Amendments of Form N-2 Automatic Shelf RegistrationsICA N-2 POSASR7– 
 • Registrations  Registration Statements by Open-End Investment Companies for Separate AccountsN-3 N-34122 
 • Registrations  Registration Statements by Variable Annuity Unit Investment Trusts for Separate AccountsN-4 N-42,3452,089 
 • Registrations  Registration Statements by Small Business Investment Companies (SBICs)N-5 N-5910 
 • Registrations  Registration Statements by Variable Life Unit Investment Trusts for Separate AccountsN-6 N-6742560 
 • Reports  Notices of Intentions to Elect Business Development Company (BDC) StatusN-6F N-6F16568 
 • Registrations  Notices of Registrations by Investment CompaniesN-8A N-8A4,489623 
 • Registrations  Registration Statements by Unit Investment TrustsN-8B-2 N-8B-2184177 
 • Registrations  Registration Statements by Face-Amount Certificate CompaniesN-8B-4 N-8B-46– 
 • Registrations  Applications for SEC Deregistration Orders by Certain Investment CompaniesN-8F N-8F3,2841,510 
 • SEC  Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices 
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ICA N-8F NTC1,892– 
 • SEC  Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders 
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ICA N-8F ORDR2,030– 
 • Registrations  Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for MergersN-14 N-143,7522,468 
 • Registrations  Registration Statements by Closed-End Investment Companies – Securities for MergersN-14 N-14 8C297356 
 • Registrations  Registration Statements to Add Securities to Prior Form N-14 Registrations462(b) N-14MEF8– 
 • Reports  Notices of Elections by Open-End Investment CompaniesN-18f-1 N-18F11,27631 
 • Ownership  Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies23c-2 N-23C-21,77264 
 • Ownership  Notices of Periodic Repurchase Offers by Closed-End Investment CompaniesN-23c-3 N-23C3A2,79734 
 • Ownership  Notices of Discretionary Repurchase Offers by Closed-End Investment CompaniesN-23c-3 N-23C3B4083 
 • Ownership  Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment CompaniesN-23c-3 N-23C3C4947 
 • Reports  Accountings for Segregated Trust AccountsN-27D-1 N-27D-112– 
 • Reports  Periodic and Interim Reports Mailed to Shareholders by Investment Companies30b-2 N-30B-212,414– 
 • Reports  Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies30d-1 N-30D71,6421,056 
 • Reports  Notices of Elections by Business Development Companies (BDCs)N-54A N-54A3409 
 • Reports  Notices of Withdrawals from Registration by Business Development Companies (BDCs)N-54C N-54C2124 
 • Reports  Annual Reports by Investment CompaniesN-CEN N-CEN×14,4611,371 
 • Reports  Annual Reports by Investment Companies (Late Filings)N-CEN NT N-CEN°184– 
 • Reports  Current Reports of Material Events by Money-Market FundsN-CR N-CR7213 
 • Reports  Annual Certified Shareholder Reports by Investment CompaniesN-CSR N-CSR°68,7083,353 
 • Reports  Semi-Annual Certified Shareholder Reports by Investment CompaniesN-CSR N-CSRS°61,1671,057 
 • Reports  Monthly Portfolio Holdings Schedules by Money-Market FundsN-MFP N-MFP2×30,6421,134 
 • Reports  Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)N-MFP NT N-MFP2°284– 
 • SEC  SEC No-Action Letters re: Shareholder Proposals 
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  [ a.k.a. Document 14A-8 ]
14a-8 NO ACT9,085– 
 • Reports  Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies  [ with Exhibit NPORT-EX ]N-PORT NPORT-P×157,1632,509 
 • Reports  Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings)  [ with Exhibit NPORT-EX ]N-PORT NT NPORT-P×289– 
 • Proxies  Annual Proxy Voting Reports by Investment CompaniesN-PX N-PX56,6271,906 
 • Reports  Quarterly Portfolio Holdings Schedules by Investment CompaniesN-Q N-Q°94,9311,010 
 • Registrations  Annual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO NRSRO-CE6935 
 • Registrations  Registration Updates by Nationally Recognized Statistical Rating OrganizationsNRSRO NRSRO-UPD215– 
 • Reports  Notices of Late Filings of Form 10-D Distribution Reports12b-25 NT 10-D101 
 • Reports  Notices of Late Filings of Form 10-D Distribution Reports (Late Notices)12b-25 NTN 10D5– 
 • Reports  Notices of Late Filings of Form 10-K Annual Reports12b-25 NT 10-K44,857712 
 • Reports  Notices of Late Filings of Form 10-K Annual Reports (Late Notices)12b-25 NTN 10K1,580– 
 • Reports  Notices of Late Filings of Form 10-Q Quarterly Reports12b-25 NT 10-Q°74,497641 
 • Reports  Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices)12b-25 NTN 10Q2,302– 
 • Reports  Notices of Late Filings of Form 11-K Annual Reports12b-25 NT 11-K1,68116 
 • Reports  Notices of Late Filings of Form 11-K Annual Reports (Late Notices)12b-25 NTN 11K18– 
 • Reports  Notices of Late Filings of Form 20-F Annual Reports12b-25 NT 20-F1,88833 
 • Reports  Notices of Late Filings of Form 20-F Annual Reports (Late Notices)12b-25 NTN 20F37– 
 • Reports  Notices of Late Filings of Form N-CEN Annual Reports12b-25 NT-NCEN682 
 • Reports  Notices of Late Filings of Form N-CEN Annual Reports (Late Notices)12b-25 NTFNCEN17– 
 • Reports  Notices of Late Filings of Form N-CSR Shareholder Reports12b-25 NT-NCSR36831 
 • Reports  Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices)12b-25 NTFNCSR78– 
 • Reports  Notices of Late Filings of ‘SP 15D2’ Special Financial Reports12b-25 NT 15D287 
 • Reports  Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices)12b-25 NTN15D23– 
 • Reports  Notices by Certain Variable Annuity/Life ContractsN-VP N-VP272305 
 • Reports  Financial Statements of Certain Variable Annuity/Life ContractsN-VPFS N-VPFS1,23932 
 • SEC  Applications for SEC Exemption Orders – ‘40-OIP’ SEC Notices 
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ICA OIP NTC67– 
 • SEC  Applications for SEC Exemption Orders – ‘40-OIP’ SEC Orders 
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ICA OIP ORDR61– 
 • Registrations  Post-Effective Amendments of Registration Statements by Certain Investment CompaniesICA §8(c) POS 8C2,232– 
 • Registrations  Post-Effective Amendments of Registration Statements – Rule 462(b) POS462B227– 
 • Registrations  Post-Effective Amendments of Registration Statements – Rule 462(c) POS462C86– 
 • Registrations  Post-Effective Amendments of Registration Statements POS AM°32,387– 
 • Registrations  Post-Effective Amendments of Registration Statements by Investment Companies POS AMI6,677– 
 • Registrations  Post-Effective Amendments of Automatic Shelf Registration StatementsS-3/F-3ASR POSASR°2,151– 
 • Registrations  Post-Effective Amendments of Registration Statements – Additional Exhibits462(d) POS EX°4,985– 
 • Proxies  Preliminary Proxy Statements14A PRE 14A°40,291– 
 • Proxies  Preliminary Proxy Info Statements14C PRE 14C9,889– 
 • Proxies  Preliminary Proxy Statements – Contested Solicitations14A PREC14A2,819– 
 • Proxies  Preliminary Proxy Info Statements – Contested Solicitations14C PREC14C64– 
 • Proxies  Preliminary Proxy Statements – Mergers & Acquisitions14A PREM14A5,137– 
 • Proxies  Preliminary Proxy Info Statements – Mergers & Acquisitions14C PREM14C700– 
 • Proxies  Preliminary Non-Management Proxy Statements14A PREN14A379– 
 • Proxies  Revised Preliminary Proxy Soliciting Materials14A PRER14A11,535– 
 • Proxies  Revised Preliminary Proxy Info Statements14C PRER14C2,514– 
 • Proxies  Revised Preliminary Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations14A PRRN14A2,164– 
 • Proxies  Notices of Exempt Non-Management Proxy Solicitations14a-6(g) PX14A6G2,277– 
 • Proxies  Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications14a-6(n) PX14A6N45– 
 • Reports  Quarterly Reports by International Development Banks QRTLYRPT1817 
 • SEC  SEC Notices of Qualification 
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A/A+ QUALIF×2,140– 
 • Registrations  Initial Undertakings to File Reports by Non-Resident Brokers, Dealers and Investment Advisors REG-NR682 
 • SEC  SEC Orders Revoking Registrations 
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SEA §12(j) REVOKED6,198– 
 • SEC  SEC Orders Revoking Registrations of Municipal Advisors 
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SEA §15B(c)(2) REVOKED-MA1– 
 • Registrations  Registration Withdrawal Requests RW12,657– 
 • Registrations  Withdrawals of Registration Withdrawal Requests RW WD432– 
 • Registrations  Registration Statements (General Form)S-1 S-1°22,78057,341 
 • Registrations  Registration Statements to Add Securities to Prior Form S-1 Registrations462(b) S-1MEF2,151– 
 • Registrations  Registration Statements – Securities for TransactionsS-3 S-3°37,37629,405 
 • Registrations  Automatic Shelf Registration Statements by Well-Known IssuersS-3 S-3ASR°8,712– 
 • Registrations  Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective)S-3 S-3D9635 
 • Registrations  Post-Effective Amendments of ‘S-3D’ RegistrationsS-3 S-3DPOS719– 
 • Registrations  Registration Statements to Add Securities to Prior Form S-3 Registrations462(b) S-3MEF1,340– 
 • Registrations  Registration Statements – Securities for MergersS-4 S-4°15,21621,003 
 • Registrations  Registration Statements – Securities for the Formation of Bank and Savings & Loan Holding CompaniesS-4 S-4EF7731 
 • Registrations  Registration Statements to Add Securities to Prior Form S-4 Registrations462(b) S-4MEF174– 
 • Registrations  Post-Effective Amendments of ‘S-4EF’ RegistrationsS-4 S-4 POS309– 
 • Registrations  Registration Statements by Unit Investment TrustsS-6 S-623,1458,670 
 • Registrations  Registration Statements – Securities for Certain Employee Benefit PlansS-8 S-889,30218 
 • Registrations  Post-Effective Amendments of Form S-8 Registrations S-8 POS38,000– 
 • Registrations  Registration Statements by Certain Real Estate CompaniesS-11 S-11°1,1793,527 
 • Registrations  Registration Statements to Add Securities to Prior Form S-11 Registrations462(b) S-11MEF90– 
 • Registrations  Registration Statements – Standardized OptionsS-20 S-2065 
 • Registrations  Registration Statements by Foreign Governments and Political SubdivisionsB S-B366227 
 • Registrations  Registration Statements to Add Securities to Prior Schedule B Registrations462(b) S-BMEF15– 
 • Registrations  Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE SBSE×48 
 • 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 ParticipantSBSE-A SBSE-A×39133 
 • Registrations  Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-DealersSBSE-BD SBSE-BD×71 
 • Registrations  Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE-C SBSE-C×50– 
 • Ownership  Statements of Acquisitions of Beneficial Ownership by “Active” Investors13D SC 13D60,219130,740 
 • Ownership  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors13G SC 13G219,070399,982 
 • Ownership  Tender-Offer Statements by Issuers13E-1 SC 13E12313 
 • Ownership  Tender-Offer Statements by Certain Issuers – Going-Private Transactions13E-3 SC 13E32,5288,446 
 • Ownership  Tender-Offer Statements by Canadian Issuers13E-4F SC13E4F2234 
 • Ownership  Tender-Offer Statements by Canadian Third Parties14D-1F SC14D1F45148 
 • Ownership  Tender-Offer Solicitation/Recommendation Statements14D-9 SC 14D94,3849,779 
 • Ownership  Tender-Offer Communications by Issuers re: Third-Party Offers14D-9C SC14D9C2,549– 
 • Ownership  Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers14D-9F SC14D9F4040 
 • Ownership  Statements re: Changes in the Majority of Directors14F-1 SC 14F12,303235 
 • Proxies  Info from Certain Nominating Shareholders14N SC 14N167 
 • Ownership  Tender-Offer Communications by Issuers and Third PartiesTO SC TO-C5,701– 
 • Ownership  Tender-Offer Statements by IssuersTO SC TO-I10,01816,256 
 • Ownership  Tender-Offer Statements by Third PartiesTO SC TO-T2,72712,559 
 • Reports  Specialized Disclosure Reports re: Uses of Conflict MineralsSD SD10,23332 
 • Registrations  Applications for Registration by Security-Based Swap Data RepositoriesSDR SDR×24 
 • Reports  Separate Exhibits – Scanned Paper-Format Exhibits of Other Electronic FilingsSE SE3,589– 
 • SEC  SEC Staff Actions 
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  [ a.k.a. Document ORDER (SEC Order) ]
 SEC ACTION603– 
 • SEC  SEC Staff Letters 
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  [ a.k.a. Documents LETTER, 14A-8 (No-Action Letter), REDACTED EXHIBIT, SERIOUS DEFICIENCIES & STAFF LETTER ]  (Delayed Release)
 SEC LETTER1,445– 
 • Registrations  Registration Statements (General Form) by Issuers of Asset-Backed SecuritiesSF-1 SF-11740 
 • Registrations  Registration Statements to Add Securities to Prior Form SF-1 Registrations462(b) SF-1MEF2– 
 • Registrations  Shelf Registration Statements for Qualified Offerings of Asset-Backed SecuritiesSF-3 SF-3186245 
 • Registrations  Sales Literature SL9– 
 • Reports  Special Financial Reports15d-2 SP 15D2582 
 • SEC  SEC Stop Orders 
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 STOP ORDER61– 
 • Registrations  Supplemental Materials by Foreign IssuersSA §11(a) SUPPL56,070– 
 • Registrations  Applications for Qualifications of Trust IndenturesT-3 T-3642634 
 • Registrations  Applications for Determinations of Eligibility to Act as a Trustee by Foreign EntitiesT-6 T-61– 
 • Registrations  Applications for Registrations by Transfer AgentsTA-1 TA-1°4714,606 
 • Reports  Annual Reports of Activity by Transfer AgentsTA-2 TA-2°9,101798 
 • Registrations  Notices of Withdrawals from Registration by Transfer AgentsTA-W TA-W°541– 
 • Reports  Notices of Reliance on a Temporary Hardship ExemptionTH TH135– 
 • Registrations  Test-the-Waters MaterialsA/A+ TTW288 
 • Letters  Comment and Other Letters from the SEC 
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  [ a.k.a. Document LETTER ]  (Delayed Release)
 UPLOAD176,988– 
 • Registrations  Withdrawal Requests for Materials Previously FiledA/A+ WDL-REQ62– 
 • Reports  Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and DealersX-17A-5 X-17A-5°93,6586,046 
 
Totals by Period Σ          Totals:     13,526,524   1,399,727 
____________
 This Filing/Form Type pertains to multiple Forms
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, Schedules
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or Regulations
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of the Acts’ Sections §.
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× Must be, or contain, an XMLª, XBRLª or iXBRLª File.         XBRLª Files are rendered by the SEC as IDEAª ‘R#’ Financial Reports.)
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      IDEA:  Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data.  (See our XBRL page info.)  
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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.  
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      iXBRL:  Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard.  i
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