SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Filing/Form Types
Bookmark tabs emoji
/
Page facing up emoji

To list Recent Filings of Selected Filing/Form Types...        or  Document/Exhibit Types
Page facing up emoji
/
Bookmark tabs emoji

Choose the Filing/Form Types
Input numbers emoji
Input latin uppercase emoji
of Filings you wish to list, then click on this button:
 (For the most-recent Filing of a Filing/Form Type, click on the right-most columns’ link.) 

Magnifying glass tilted right emoji
            Show obsolete Types
Eyes emoji
            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 1912,195 
 • Registrations  Offering Statements1-A 1-A°1,8834,147 
 • Registrations  Post-Qualification Amendments of Form 1-A Offering StatementsA/A+ 1-A POS×1,466– 
 • Registrations  Withdrawals of Form 1-A Offering StatementsA/A+ 1-A-W26930 
 • 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×1,00158 
 • Reports  Semi-Annual Reports and Special Financial Reports1-SA 1-SA84244 
 • Reports  Current Reports1-U 1-U3,61334 
 • Reports  Exit Reports1-Z 1-Z×1708 
 • Reports  Withdrawals of Exit Reports1-Z 1-Z-W3– 
 • 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°351,53918,823 
 • Ownership  Statements of Changes in Beneficial Ownership of Securities by Insiders4 4°3,949,967117,854 
 • Ownership  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders5 5°110,1174,149 
 • SEC  Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices 
SEC emoji
ICA 6B NTC28– 
 • SEC  Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders 
SEC emoji
ICA 6B ORDR28– 
 • Reports  Current, Quarterly and Annual Reports by Foreign Issuers6-K 6-K°458,8125,799 
 • Registrations  Registration Statements for Certain Classes of Securities8-A 8-A12B22,7324,676 
 • Registrations  Registration Statements for Certain Classes of Securities8-A 8-A12G10,0962,370 
 • SEC  Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Notices 
SEC emoji
ICA 8F-2 NTC6– 
 • SEC  Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Orders 
SEC emoji
ICA 8F-2 ORDR5– 
 • Reports  Current Reports8-K 8-K°1,753,49078,471 
 • Registrations  Notices of Securities Deemed to be Registered by Successor Issuers8-K 8-K12B°29734 
 • Registrations  Notices of Securities Deemed to be Registered by Successor Issuers8-K 8-K12G3634115 
 • 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°8101,635 
 • Registrations  Registration Statements10 10-12G°2,8214,904 
 • Reports  Distribution Reports by Issuers of Asset-Backed Securities10-D 10-D°85,1832,651 
 • Reports  Annual Reports10-K 10-K°203,56443,679 
 • Reports  Annual-Transition Reports10-K 10-KT°544125 
 • Reports  Quarterly Reports10-Q 10-Q°622,40444,801 
 • Reports  Quarterly-Transition Reports10-Q 10-QT°21836 
 • Reports  Annual Reports by Employee Stock Purchase, Savings and Similar Plans11-K 11-K42,866993 
 • Reports  Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans11-K 11-KT972 
 • Ownership  Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested13F 13FCONP1,27190 
 • Ownership  Quarterly Holdings and Combination Reports by Money Managers13F 13F-HR°322,09627,066 
 • Ownership  Quarterly Holdings Notices by Money Managers13F 13F-NT°102,5351,919 
 • Registrations  Certifications of Terminations of Registration of Classes of Securities15 15-12B5,929112 
 • Registrations  Certifications of Terminations of Registration of Classes of Securities15 15-12G13,404419 
 • Reports  Notices of Suspensions of Duty to File Reports15 15-15D16,206217 
 • Registrations  Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers15F 15F-12B20813 
 • 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-15D1354 
 • Registrations  Registration Statements by Foreign Governments and Political Subdivisions18 18-12B4– 
 • Reports  Annual Reports by Foreign Governments and Political Subdivisions18-K 18-K°7742,491 
 • 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-4E28,692– 
 • Reports  Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers20-F 20-F°17,4583,629 
 • Registrations  Registration Statements by Foreign Non-Canadian Issuers20-F 20FR12B184179 
 • Registrations  Registration Statements by Foreign Non-Canadian Issuers20-F 20FR12G°392618 
 • Registrations  Annual Notices of Securities Sold by Investment Companies24F-2 24F-2NT°188,2173,188 
 • Reports  Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities25 254,19843 
 • Reports  Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities25 25-NSE×12,267261 
 • 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 40-6B61179 
 • 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) 40-8B25113– 
 • 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 40-17F163517 
 • Reports  Certificates of Accounting of Securities in the Custody of Investment CompaniesN-17f-2 40-17F219,183145 
 • Reports  Fidelity Bonds for Investment Companies17g-1(g) 40-17G27,3552,277 
 • Reports  Fidelity Bonds for Investment Companies – Claims and Settlements17g-1(g) 40-17GCS19– 
 • Registrations  Sales Literature from Investment Companies24b-2 40-24B23,16486 
 • Reports  Stockholder Derivative Actions Against Investment Companies and AffiliatesICA §33 40-331,0668 
 • 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) 40-206A4739 
 • Registrations  Applications for Exemption Orders and Other Relief by Investment CompaniesO-2 40-APP2,0793,163 
 • Reports  Annual Reports by Canadian Issuers40-F 40-F°2,958542 
 • Registrations  Registration Statements by Certain Canadian Issuers40-F 40FR12B16998 
 • 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 1447,590295 
 • Registrations  Offering Statements – Info Previously Omitted1-A 253G1134– 
 • Registrations  Offering Statements – Info Substantively Changed or Added1-A 253G23,132– 
 • Registrations  Offering Statements – Info Previously Omitted & Info Substantively Changed or Added1-A 253G347– 
 • 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 305B22,05721 
 • Registrations  Prospectuses – Info Substantively Changed or Added424(a) 424A1,558– 
 • Registrations  Prospectuses – Info Previously Omitted424(b)(1) 424B16,137– 
 • Registrations  Prospectuses – Primary Offerings and Shelf Securities424(b)(2) 424B2362,405– 
 • Registrations  Prospectuses – New Facts or Events424(b)(3) 424B3°173,469– 
 • Registrations  Prospectuses – Info Previously Omitted & New Facts or Events424(b)(4) 424B4°12,056– 
 • Registrations  Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events424(b)(5) 424B5°64,825– 
 • Registrations  Prospectuses – Selling Security Holders – Info Previously Omitted424(b)(7) 424B74,083– 
 • Registrations  Prospectuses (Late Filings)424(b)(8) 424B81,500– 
 • Registrations  Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed424(h) 424H94466 
 • Registrations  Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements424(i)(1) 424I8– 
 • Registrations  Prospectuses and Communications – Mergers425 425°79,821– 
 • Registrations  Post-Effective Amendments of Form N-1 and N-1A Registrations485(a) 485APOS°41,919– 
 • Registrations  Post-Effective Amendments of Form N-1 and N-1A Registrations485(b) 485BPOS°192,513– 
 • Registrations  Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates485(b)(1)(iii) 485BXT25,347– 
 • Registrations  Post-Effective Amendments of Form N-2 Registrations486(a) 486APOS254– 
 • Registrations  Post-Effective Amendments of Form N-2 Registrations486(b) 486BPOS1,113– 
 • Registrations  Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates486(b) 486BXT72– 
 • Registrations  Pre-Effective Pricing Amendments of Registration Statements487 48720,673– 
 • Registrations  Definitive Materials497 497°387,198– 
 • Reports  Advertising by Certain Investment Companies497 & 482(c) 497AD4,398– 
 • Registrations  Prospectuses by Certain Closed-End Investment Companies497(h)(2) 497H283– 
 • Registrations  Certifications of No Change in Definitive Materials497(j) 497J127,474– 
 • Registrations  Summary Prospectuses by Certain Open-End Investment Companies497(k) 497K248,736– 
 • Registrations  Summary Prospectuses of Variable Annuity/Life Contracts – Initial497(k) 497VPI1,102– 
 • Registrations  Summary Prospectuses of Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence497(k) 497VPSUB67– 
 • Registrations  Summary Prospectuses of Variable Annuity/Life Contracts – Updating497(k) 497VPU2,059– 
 • Reports  Asset-Backed Securities Securitizer ReportsABS-15G ABS-15G15,3604,453 
 • Registrations  Asset-Backed Securities [XML] ExhibitsABS-EE ABS-EE°18,602264 
 • 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°1201 
 • SEC  Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices 
SEC emoji
ICA APP NTC966– 
 • SEC  Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders 
SEC emoji
ICA APP ORDR928– 
 • Registrations  Withdrawals of Applications for Exemption Orders and Other ReliefAPP WD APP WD50716 
 • SEC  Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants 
SEC emoji
ICA APP WDG87– 
 • Reports  Annual Reports to Security Holders ARS°36,74238 
 • Reports  Alternative Trading Systems (NMS Stock) – Initial InfoATS-N ATS-N×5– 
 • Reports  Alternative Trading Systems (NMS Stock) – Correcting AmendmentsATS-N ATS-N/CA×45– 
 • Reports  Alternative Trading Systems (NMS Stock) – Material AmendmentsATS-N ATS-N/MA×131– 
 • Reports  Alternative Trading Systems (NMS Stock) – Updating AmendmentsATS-N ATS-N/UA×308– 
 • Reports  Alternative Trading Systems (NMS Stock) – Notices of CessationATS-N ATS-N-C×14– 
 • Reports  Alternative Trading Systems (NMS Stock) – Withdrawals of Form ATS-N ATS-N-W×2– 
 • Registrations  Amendment Withdrawal Requests AW3,927– 
 • Registrations  Amendment Withdrawal Requests – Withdraw Duplicates AW WD109– 
 • Registrations  Crowdfunding – Offering StatementsC C×5,8806,553 
 • Registrations  Crowdfunding – Offering Statement Amendment WithdrawalsC/A-W C/A-W×23– 
 • Registrations  Crowdfunding – Offering Statement WithdrawalsC-W C-W×616– 
 • Reports  Crowdfunding – Annual ReportsC-AR C-AR×2,275169 
 • Reports  Crowdfunding – Annual Report WithdrawalsC-AR-W C-AR-W×7– 
 • Reports  Crowdfunding – Terminations of ReportingC-TR C-TR×384– 
 • Reports  Crowdfunding – Termination of Reporting WithdrawalsC-TR-W C-TR-W×6– 
 • Registrations  Crowdfunding – Progress UpdatesC-U C-U×2,673– 
 • Registrations  Crowdfunding – Progress Update WithdrawalsC-U-W C-U-W×12– 
 • 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 
SEC emoji
SEA §15B(c)(3) CANCEL-MA19– 
 • Ownership  Tender-Offer, Exchange-Offer, Rights-Offering and Response NoticesCB CB1,7571,598 
 • Registrations  Certifications by Securities Exchanges Approving ListingsCERT CERT5,557– 
 • 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×103399 
 • Registrations  Notices of Withdrawals from Registration by Crowdfunding PortalsFunding Portal CFPORTAL-W×14– 
 • Letters  Comment-Response and Other Letters to the SEC 
Speech balloon emoji
  [ a.k.a. Document COVER ]  (Delayed Release)
 CORRESP182,966– 
 • SEC  SEC Confidential Treatment Orders 
SEC emoji
 CT ORDER16,134– 
 • Registrations  Notices of Exempt Offerings of SecuritiesD D×333,907211,043 
 • Proxies  Definitive Proxy Statements14A DEF 14A°175,789– 
 • Proxies  Definitive Proxy Info Statements14C DEF 14C12,863– 
 • Proxies  Additional Definitive Proxy Soliciting Materials14A DEFA14A°99,736– 
 • Proxies  Additional Definitive Proxy Info Statements14C DEFA14C382– 
 • Proxies  Definitive Proxy Statements – Contested Solicitations14A DEFC14A2,052– 
 • Proxies  Definitive Proxy Info Statements – Contested Solicitations14C DEFC14C26– 
 • Proxies  Definitive Proxy Statements – Mergers & Acquisitions14A DEFM14A5,914– 
 • Proxies  Definitive Proxy Info Statements – Mergers & Acquisitions14C DEFM14C443– 
 • Proxies  Definitive Non-Management Proxy Statements14A DEFN14A308– 
 • Proxies  Revised Definitive Proxy Soliciting Materials14A DEFR14A5,765– 
 • Proxies  Revised Definitive Proxy Info Statements14C DEFR14C431– 
 • Registrations  Registration Effectiveness-Delaying Amendments DEL AM1,252– 
 • Proxies  Additional Definitive Non-Management Proxy Soliciting Materials14A DFAN14A13,255– 
 • Proxies  Revised Definitive Non-Management Proxy Statements14A DFRN14A414– 
 • Registrations  Draft Offering Statements1-A DOS×203215 
 • Letters  Comment-Response and Draft-Offering-Statement Letters to the SEC 
Speech balloon emoji
  (Delayed Release)
 DOSLTR186– 
 • Registrations  Draft Registration Statements by Emerging Growth Companies and Foreign IssuersDRS DRS°4,3044,460 
 • Letters  Comment-Response and Draft-Registration-Statement Letters to the SEC 
Speech balloon emoji
  (Delayed Release)
 DRSLTR3,800– 
 • Reports  Distribution of Primary Obligations Reports by International Development Banks DSTRBRPT71620 
 • SEC  SEC Notices of Effectiveness 
SEC emoji
 EFFECT×61,187– 
 • Registrations  Registration Statements by Certain Foreign IssuersF-1 F-1°1,8594,969 
 • Registrations  Registration Statements to Add Securities to Prior Form F-1 Registrations462(b) F-1MEF223– 
 • Registrations  Registration Statements by Certain Foreign Issuers – Securities for TransactionsF-3 F-3°1,7281,444 
 • Registrations  Automatic Shelf Registration Statements by Well-Known Foreign IssuersF-3 F-3ASR°710– 
 • 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-3DPOS42– 
 • 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°8391,671 
 • 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-61,890192 
 • Registrations  Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective)F-6 F-6EF7,068– 
 • Registrations  Post-Effective Amendments of ‘F-6EF’ RegistrationsF-6 F-6 POS2,553– 
 • Registrations  Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of RightsF-7 F-74911 
 • 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-10921959 
 • Registrations  Registration Statements by Certain Canadian Issuers (Immediately Effective)F-10 F-10EF8– 
 • Registrations  Post-Effective Amendments of ‘F-10EF’ RegistrationsF-10 F-10POS64– 
 • 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-N42631 
 • Reports  Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers FOCUSN31,7541,082 
 • Registrations  Free-Writing Prospectuses163 / 433 FWP189,469– 
 • Registrations  Appointments of U.S. Agents for Service of Process by Foreign Non-Financial EntitiesF-X F-X2,950310 
 • 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 IRANNOTICE3,577– 
 • Registrations  Applications for Registrations by Municipal AdvisorsMA MA×9021,934 
 • Registrations  Annual Updates of Registrations by Municipal AdvisorsMA MA-A×2,752– 
 • Registrations  Info re: Natural Persons Who Engage in Municipal Advisory ActivityMA-I MA-I×8,47210,628 
 • Registrations  Notices of Withdrawals from Registration by Municipal AdvisorsMA-W MA-W×396– 
 • Registrations  Applications for Registrations by Municipal Securities DealersMSD MSD44429 
 • Registrations  Notices of Withdrawals from Registration by Municipal Securities DealersMSDW MSDW82– 
 • Registrations  Registration Statements by Open-End Investment CompaniesN-1A N-1A°1,9392,918 
 • Registrations  Registration Statements by Closed-End Investment CompaniesN-2 N-24,0526,046 
 • Registrations  Automatic Shelf Registration Statements by Well-Known Closed-End Investment CompaniesN-2 N-2ASR43– 
 • Registrations  Registration Statements to Add Securities to Prior Form N-2 Registrations462(b) N-2MEF261– 
 • 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-42,3362,068 
 • 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-6738548 
 • Reports  Notices of Intentions to Elect Business Development Company (BDC) StatusN-6F N-6F16065 
 • Registrations  Notices of Registrations by Investment CompaniesN-8A N-8A4,455622 
 • Registrations  Registration Statements by Unit Investment TrustsN-8B-2 N-8B-2184175 
 • 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-8F3,2291,496 
 • SEC  Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices 
SEC emoji
ICA N-8F NTC1,847– 
 • SEC  Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders 
SEC emoji
ICA N-8F ORDR2,000– 
 • Registrations  Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for MergersN-14 N-143,6872,432 
 • Registrations  Registration Statements by Closed-End Investment Companies – Securities for MergersN-14 N-14 8C288345 
 • 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-18F11,27331 
 • Ownership  Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies23c-2 N-23C-21,74364 
 • Ownership  Notices of Periodic Repurchase Offers by Closed-End Investment CompaniesN-23c-3 N-23C3A2,62930 
 • 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-212,151– 
 • Reports  Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies30d-1 N-30D71,5721,056 
 • Reports  Notices of Elections by Business Development Companies (BDCs)N-54A N-54A3309 
 • Reports  Notices of Withdrawals from Registration by Business Development Companies (BDCs)N-54C N-54C2064 
 • Reports  Annual Reports by Investment CompaniesN-CEN N-CEN×13,1931,322 
 • Reports  Annual Reports by Investment Companies (Late Filings)N-CEN NT N-CEN°174– 
 • Reports  Current Reports of Material Events by Money-Market FundsN-CR N-CR7113 
 • Reports  Annual Certified Shareholder Reports by Investment CompaniesN-CSR N-CSR°67,1603,222 
 • Reports  Semi-Annual Certified Shareholder Reports by Investment CompaniesN-CSR N-CSRS°59,5051,017 
 • Reports  Monthly Portfolio Holdings Schedules by Money-Market FundsN-MFP N-MFP2×28,6151,083 
 • Reports  Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings)N-MFP NT N-MFP2°271– 
 • SEC  SEC No-Action Letters re: Shareholder Proposals 
SEC emoji
  [ 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×132,1752,227 
 • Reports  Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings)  [ with Exhibit NPORT-EX ]N-PORT NT NPORT-P×212– 
 • Proxies  Annual Proxy Voting Reports by Investment CompaniesN-PX N-PX54,2341,887 
 • Reports  Quarterly Portfolio Holdings Schedules by Investment CompaniesN-Q N-Q°94,9311,010 
 • Registrations  Annual Certifications by Nationally Recognized Statistical Rating OrganizationsNRSRO NRSRO-CE6932 
 • Registrations  Registration Updates by Nationally Recognized Statistical Rating OrganizationsNRSRO NRSRO-UPD209– 
 • Reports  Notices of Late Filings of Form 10-D Distribution Reports12b-25 NT 10-D91 
 • 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-K44,665710 
 • 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°73,543633 
 • 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-K1,68016 
 • 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-F1,86832 
 • 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-NCEN642 
 • 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-NCSR35729 
 • 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-VP272146 
 • Reports  Financial Statements of Certain Variable Annuity/Life ContractsN-VPFS N-VPFS1,23932 
 • SEC  Applications for SEC Exemption Orders – ‘40-OIP’ SEC Notices 
SEC emoji
ICA OIP NTC67– 
 • SEC  Applications for SEC Exemption Orders – ‘40-OIP’ SEC Orders 
SEC emoji
ICA OIP ORDR61– 
 • Registrations  Post-Effective Amendments of Registration Statements by Certain Investment CompaniesICA §8(c) POS 8C2,231– 
 • Registrations  Post-Effective Amendments of Registration Statements – Rule 462(b) POS462B224– 
 • Registrations  Post-Effective Amendments of Registration Statements – Rule 462(c) POS462C86– 
 • Registrations  Post-Effective Amendments of Registration Statements POS AM°31,899– 
 • Registrations  Post-Effective Amendments of Registration Statements by Investment Companies POS AMI6,600– 
 • Registrations  Post-Effective Amendments of Automatic Shelf Registration StatementsS-3/F-3ASR POSASR°2,095– 
 • Registrations  Post-Effective Amendments of Registration Statements – Additional Exhibits462(d) POS EX°4,816– 
 • Proxies  Preliminary Proxy Statements14A PRE 14A°39,588– 
 • Proxies  Preliminary Proxy Info Statements14C PRE 14C9,788– 
 • Proxies  Preliminary Proxy Statements – Contested Solicitations14A PREC14A2,791– 
 • Proxies  Preliminary Proxy Info Statements – Contested Solicitations14C PREC14C64– 
 • Proxies  Preliminary Proxy Statements – Mergers & Acquisitions14A PREM14A5,073– 
 • Proxies  Preliminary Proxy Info Statements – Mergers & Acquisitions14C PREM14C694– 
 • Proxies  Preliminary Non-Management Proxy Statements14A PREN14A379– 
 • Proxies  Revised Preliminary Proxy Soliciting Materials14A PRER14A11,357– 
 • Proxies  Revised Preliminary Proxy Info Statements14C PRER14C2,506– 
 • Proxies  Revised Preliminary Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations14A PRRN14A2,148– 
 • Proxies  Notices of Exempt Non-Management Proxy Solicitations14a-6(g) PX14A6G2,240– 
 • Proxies  Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications14a-6(n) PX14A6N45– 
 • Reports  Quarterly Reports by International Development Banks QRTLYRPT1745 
 • SEC  SEC Notices of Qualification 
SEC emoji
A/A+ QUALIF×1,874– 
 • Registrations  Initial Undertakings to File Reports by Non-Resident Brokers, Dealers and Investment Advisors REG-NR682 
 • SEC  SEC Orders Revoking Registrations 
SEC emoji
SEA §12(j) REVOKED6,133– 
 • SEC  SEC Orders Revoking Registrations of Municipal Advisors 
SEC emoji
SEA §15B(c)(2) REVOKED-MA1– 
 • Registrations  Registration Withdrawal Requests RW12,433– 
 • Registrations  Withdrawals of Registration Withdrawal Requests RW WD426– 
 • Registrations  Registration Statements (General Form)S-1 S-1°22,37156,488 
 • Registrations  Registration Statements to Add Securities to Prior Form S-1 Registrations462(b) S-1MEF2,128– 
 • Registrations  Registration Statements – Securities for TransactionsS-3 S-3°36,92629,296 
 • Registrations  Automatic Shelf Registration Statements by Well-Known IssuersS-3 S-3ASR°8,527– 
 • Registrations  Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective)S-3 S-3D9605 
 • Registrations  Post-Effective Amendments of ‘S-3D’ RegistrationsS-3 S-3DPOS714– 
 • Registrations  Registration Statements to Add Securities to Prior Form S-3 Registrations462(b) S-3MEF1,335– 
 • Registrations  Registration Statements – Securities for MergersS-4 S-4°15,09320,741 
 • 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-4MEF168– 
 • Registrations  Post-Effective Amendments of ‘S-4EF’ RegistrationsS-4 S-4 POS309– 
 • Registrations  Registration Statements by Unit Investment TrustsS-6 S-622,6418,583 
 • Registrations  Registration Statements – Securities for Certain Employee Benefit PlansS-8 S-888,52018 
 • Registrations  Post-Effective Amendments of Form S-8 Registrations S-8 POS37,227– 
 • Registrations  Registration Statements by Certain Real Estate CompaniesS-11 S-11°1,1753,523 
 • 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-B361225 
 • Registrations  Registration Statements to Add Securities to Prior Schedule B Registrations462(b) S-BMEF14– 
 • Registrations  Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE SBSE×34 
 • 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×3984 
 • Registrations  Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-DealersSBSE-BD SBSE-BD×6– 
 • Registrations  Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap ParticipantsSBSE-C SBSE-C×48– 
 • Ownership  Statements of Acquisitions of Beneficial Ownership by “Active” Investors13D SC 13D59,662128,654 
 • Ownership  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors13G SC 13G216,565393,622 
 • Ownership  Tender-Offer Statements by Issuers13E-1 SC 13E12313 
 • Ownership  Tender-Offer Statements by Certain Issuers – Going-Private Transactions13E-3 SC 13E32,5048,358 
 • 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 14D94,3519,697 
 • Ownership  Tender-Offer Communications by Issuers re: Third-Party Offers14D-9C SC14D9C2,506– 
 • Ownership  Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers14D-9F SC14D9F4040 
 • Ownership  Statements re: Changes in the Majority of Directors14F-1 SC 14F12,297235 
 • Proxies  Info from Certain Nominating Shareholders14N SC 14N167 
 • Ownership  Tender-Offer Communications by Issuers and Third PartiesTO SC TO-C5,617– 
 • Ownership  Tender-Offer Statements by IssuersTO SC TO-I9,79915,931 
 • Ownership  Tender-Offer Statements by Third PartiesTO SC TO-T2,69912,456 
 • Reports  Specialized Disclosure Reports re: Use of Conflict MineralsSD SD10,23132 
 • Registrations  Applications for Registration by Security-Based Swap Data RepositoriesSDR SDR×24 
 • Reports  Separate Exhibits – Scanned Paper-Format Exhibits of Other Electronic FilingsSE SE3,586– 
 • SEC  SEC Staff Actions 
SEC emoji
  [ a.k.a. Document ORDER (SEC Order) ]
 SEC ACTION500– 
 • SEC  SEC Staff Letters 
SEC emoji
  [ a.k.a. Documents LETTER, 14A-8 (No-Action Letter), REDACTED EXHIBIT, SERIOUS DEFICIENCIES & STAFF LETTER ]  (Delayed Release)
 SEC LETTER1,379– 
 • Registrations  Registration Statements (General Form) by Issuers of Asset-Backed SecuritiesSF-1 SF-11435 
 • 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-3183244 
 • Registrations  Sales Literature SL9– 
 • Reports  Special Financial Reports15d-2 SP 15D2582 
 • SEC  SEC Stop Orders 
SEC emoji
 STOP ORDER61– 
 • Registrations  Supplemental Materials by Foreign IssuersSA §11(a) SUPPL56,027– 
 • 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°4604,513 
 • Reports  Annual Reports of Activity by Transfer AgentsTA-2 TA-2°9,072786 
 • Registrations  Notices of Withdrawals from Registration by Transfer AgentsTA-W TA-W°533– 
 • 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 
Left speech bubble emoji
  [ a.k.a. Document LETTER ]  (Delayed Release)
 UPLOAD172,745– 
 • 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°93,1466,028 
 
Totals by Period Σ          Totals:     13,203,642   1,370,904 
____________
 This Filing/Form Type pertains to multiple Forms
Page facing up emoji
, Schedules
Page facing up emoji
, Rules
Registered emoji
or Regulations
Registered emoji
of the Acts’ Sections §.
° May contain, or be, an XMLª, XBRLª or iXBRLª File.         (Most XMLª Files are rendered by using the SEC’s XSLTª Stylesheets —
× Must be, or contain, an XMLª, XBRLª or iXBRLª File.         XBRLª Files are rendered by the SEC as IDEAª ‘R#’ Financial Reports.)
ª Acronyms: 
Input latin uppercase emoji
      IDEA:  Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data.  (See our XBRL page info.)  
SEC emoji
      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.  
W3C emoji
      XBRL:  eXtensible Business Reporting Language — A financial-data-interchange standard, based on XML.  
xBRL emoji
      iXBRL:  Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard.  i
xBRL emoji

Magnifying glass tilted right emoji
            Show obsolete Types
Eyes emoji
            SEC:  Forms List

Top

Copyright © 2022 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Sun., Aug. 7, 5:53:36.1pm ET