| | | | Form, Sch., Rule or Reg. | Filing / Form Type | Released Filings |
---|
• | Category | Description | Original Amended |
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|  |  |  |  | (click for most-recent) |
|
• | Registrations | | Applications for Registration, or an Exemption from Registration, as a National Securities Exchange | 1 | | 1 | 91 | 2,407 |
• | Registrations | | Offering Statements | 1-A | | 1-A° | 2,200 | 4,540 |
• | Registrations | | Post-Qualification Amendments of Form 1-A Offering Statements | A/A+ | | 1-A POS× | 1,746 | – |
• | Registrations | | Withdrawals of Form 1-A Offering Statements | A/A+ | | 1-A-W | 327 | 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× | 1,434 | 84 |
• | Reports | | Semi-Annual Reports and Special Financial Reports | 1-SA | | 1-SA | 1,243 | 52 |
• | Reports | | Current Reports | 1-U | | 1-U | 4,999 | 40 |
• | Reports | | Exit Reports | 1-Z | | 1-Z× | 229 | 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° | 361,833 | 19,250 |
• | Ownership | | Statements of Changes in Beneficial Ownership of Securities by Insiders | 4 | | 4° | 4,104,463 | 120,842 |
• | Ownership | | Annual Statements of Changes in Beneficial Ownership of Securities by Insiders | 5 | | 5° | 112,266 | 4,190 |
• | SEC | | Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices | ICA | | 6B NTC | 28 | – |
• | SEC | | Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders | ICA | | 6B ORDR | 28 | – |
• | Reports | | Current, Quarterly and Annual Reports by Foreign Issuers | 6-K | | 6-K° | 481,046 | 6,052 |
• | Registrations | | Registration Statements for Certain Classes of Securities | 8-A | | 8-A12B | 23,401 | 4,748 |
• | Registrations | | Registration Statements for Certain Classes of Securities | 8-A | | 8-A12G | 10,156 | 2,378 |
• | 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° | 1,811,885 | 79,910 |
• | Registrations | | Notices of Securities Deemed to be Registered by Successor Issuers | 8-K | | 8-K12B° | 311 | 35 |
• | Registrations | | Notices of Securities Deemed to be Registered by Successor Issuers | 8-K | | 8-K12G3 | 641 | 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° | 829 | 1,677 |
• | Registrations | | Registration Statements | 10 | | 10-12G° | 2,890 | 5,036 |
• | Reports | | Distribution Reports by Issuers of Asset-Backed Securities | 10-D | | 10-D° | 92,743 | 2,744 |
• | Reports | | Annual Reports | 10-K | | 10-K° | 210,490 | 44,442 |
• | Reports | | Annual-Transition Reports | 10-K | | 10-KT° | 559 | 131 |
• | Reports | | Quarterly Reports | 10-Q | | 10-Q° | 639,374 | 45,263 |
• | Reports | | Quarterly-Transition Reports | 10-Q | | 10-QT° | 224 | 36 |
• | Reports | | Annual Reports by Employee Stock Purchase, Savings and Similar Plans | 11-K | | 11-K | 42,946 | 996 |
• | Reports | | Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans | 11-K | | 11-KT | 99 | 2 |
• | Ownership | | Quarterly Holdings and Combination Reports by Money Managers | 13F | | 13F-HR° | 346,849 | 28,324 |
• | Ownership | | Quarterly Holdings Notices by Money Managers | 13F | | 13F-NT° | 109,096 | 1,950 |
• | 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 | 13,941 | 427 |
• | Reports | | Notices of Suspensions of Duty to File Reports | 15 | | 15-15D | 16,343 | 217 |
• | Registrations | | Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers | 15F | | 15F-12B | 223 | 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° | 805 | 2,612 |
• | 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 | 29,461 | – |
• | Reports | | Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers | 20-F | | 20-F° | 18,347 | 3,755 |
• | Registrations | | Registration Statements by Foreign Non-Canadian Issuers | 20-F | | 20FR12B | 193 | 191 |
• | Registrations | | Registration Statements by Foreign Non-Canadian Issuers | 20-F | | 20FR12G° | 393 | 618 |
• | Registrations | | Annual Notices of Securities Sold by Investment Companies | 24F-2 | | 24F-2NT° | 192,836 | 3,202 |
• | Reports | | Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities | 25 | | 25 | 4,319 | 44 |
• | Reports | | Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities | 25 | | 25-NSE× | 13,263 | 266 |
• | 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 | 187 |
• | 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 | 115 | – |
• | 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 | 690 | 17 |
• | Reports | | Certificates of Accounting of Securities in the Custody of Investment Companies | N-17f-2 | | 40-17F2 | 19,504 | 148 |
• | Reports | | Fidelity Bonds for Investment Companies | 17g-1(g) | | 40-17G | 28,148 | 2,327 |
• | 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 | 3,275 | 86 |
• | Reports | | Stockholder Derivative Actions Against Investment Companies and Affiliates | ICA §33 | | 40-33 | 1,080 | 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 | 2,176 | 3,290 |
• | Reports | | Annual Reports by Canadian Issuers | 40-F | | 40-F° | 3,102 | 556 |
• | Registrations | | Registration Statements by Certain Canadian Issuers | 40-F | | 40FR12B | 173 | 101 |
• | 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° | 12,971 | 372 |
• | Registrations | | Offering Statements – Info Previously Omitted | 1-A | | 253G1 | 167 | – |
• | Registrations | | Offering Statements – Info Substantively Changed or Added | 1-A | | 253G2 | 3,760 | – |
• | Registrations | | Offering Statements – Info Previously Omitted & Info Substantively Changed or Added | 1-A | | 253G3 | 49 | – |
• | 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 | 2,117 | 21 |
• | Registrations | | Prospectuses – Info Substantively Changed or Added | 424(a) | | 424A | 1,558 | – |
• | Registrations | | Prospectuses – Info Previously Omitted | 424(b)(1) | | 424B1 | 6,159 | – |
• | Registrations | | Prospectuses – Primary Offerings and Shelf Securities | 424(b)(2) | | 424B2 | 412,533 | – |
• | Registrations | | Prospectuses – New Facts or Events | 424(b)(3) | | 424B3° | 180,669 | – |
• | Registrations | | Prospectuses – Info Previously Omitted & New Facts or Events | 424(b)(4) | | 424B4° | 12,351 | – |
• | Registrations | | Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events | 424(b)(5) | | 424B5° | 66,800 | – |
• | Registrations | | Prospectuses – Selling Security Holders – Info Previously Omitted | 424(b)(7) | | 424B7 | 4,263 | – |
• | Registrations | | Prospectuses (Late Filings) | 424(b)(8) | | 424B8 | 1,724 | – |
• | Registrations | | Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed | 424(h) | | 424H | 1,032 | 70 |
• | Registrations | | Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements | 424(i)(1) | | 424I | 59 | – |
• | Registrations | | Prospectuses and Communications – Mergers | 425 | | 425° | 83,363 | – |
• | Registrations | | Post-Effective Amendments of Form N-1 and N-1A Registrations | 485(a) | | 485APOS° | 42,611 | – |
• | Registrations | | Post-Effective Amendments of Form N-1 and N-1A Registrations | 485(b) | | 485BPOS° | 196,641 | – |
• | Registrations | | Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates | 485(b)(1)(iii) | | 485BXT | 26,732 | – |
• | Registrations | | Post-Effective Amendments of Form N-2 Registrations | 486(a) | | 486APOS | 267 | – |
• | Registrations | | Post-Effective Amendments of Form N-2 Registrations | 486(b) | | 486BPOS | 1,245 | – |
• | Registrations | | Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates | 486(b) | | 486BXT | 94 | – |
• | Registrations | | Pre-Effective Pricing Amendments of Registration Statements | 487 | | 487 | 21,342 | – |
• | Registrations | | Definitive Materials | 497 | | 497° | 395,675 | – |
• | Reports | | Advertising by Certain Investment Companies | 497 & 482(c) | | 497AD | 4,592 | – |
• | Registrations | | Prospectuses by Certain Closed-End Investment Companies | 497(h)(2) | | 497H2 | 83 | – |
• | Registrations | | Certifications of No Change in Definitive Materials | 497(j) | | 497J | 131,377 | – |
• | Registrations | | Summary Prospectuses by Certain Open-End Investment Companies | 497(k) | | 497K | 265,153 | – |
• | Registrations | | Summary Prospectuses of Variable Annuity/Life Contracts – Initial | 497(k) | | 497VPI | 2,040 | – |
• | Registrations | | Summary Prospectuses of Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence | 497(k) | | 497VPSUB | 195 | – |
• | Registrations | | Summary Prospectuses of Variable Annuity/Life Contracts – Updating | 497(k) | | 497VPU | 3,902 | – |
• | Reports | | Asset-Backed Securities Securitizer Reports | ABS-15G | | ABS-15G | 16,979 | 5,214 |
• | Registrations | | Asset-Backed Securities [XML] Exhibits | ABS-EE | | ABS-EE° | 23,326 | 282 |
• | 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 | 687 | – |
• | Registrations | | Notices of Withdrawals from Registration by Investment Advisors | ADV-W | | ADVW | 9 | – |
• | Reports | | Annual Reports by International Development Banks | – | | ANNLRPT° | 125 | 3 |
• | SEC | | Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices | ICA | | APP NTC | 1,022 | – |
• | SEC | | Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders | ICA | | APP ORDR | 976 | – |
• | Registrations | | Withdrawals of Applications for Exemption Orders and Other Relief | APP WD | | APP WD | 523 | 19 |
• | SEC | | Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants | ICA | | APP WDG | 107 | – |
• | Reports | | Annual Reports to Security Holders | – | | ARS° | 39,368 | 55 |
• | 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× | 54 | – |
• | Reports | | Alternative Trading Systems (NMS Stock) – Material Amendments | ATS-N | | ATS-N/MA× | 155 | – |
• | Reports | | Alternative Trading Systems (NMS Stock) – Order Display and Fair Access Amendments | ATS-N | | ATS-N/OFA× | 6 | – |
• | Reports | | Alternative Trading Systems (NMS Stock) – Updating Amendments | ATS-N | | ATS-N/UA× | 369 | – |
• | Reports | | Alternative Trading Systems (NMS Stock) – Notices of Cessation | ATS-N | | ATS-N-C× | 15 | – |
• | Reports | | Alternative Trading Systems (NMS Stock) – Withdrawals of Form ATS-N | – | | ATS-N-W× | 3 | – |
• | Registrations | | Amendment Withdrawal Requests | † | | AW | 4,043 | – |
• | Registrations | | Amendment Withdrawal Requests – Withdraw Duplicates | † | | AW WD | 113 | – |
• | Registrations | | Crowdfunding – Offering Statements | C | | C× | 7,202 | 7,769 |
• | Registrations | | Crowdfunding – Offering Statement Amendment Withdrawals | C/A-W | | C/A-W× | 24 | – |
• | Registrations | | Crowdfunding – Offering Statement Withdrawals | C-W | | C-W× | 816 | – |
• | Reports | | Crowdfunding – Annual Reports | C-AR | | C-AR× | 3,053 | 200 |
• | Reports | | Crowdfunding – Annual Report Withdrawals | C-AR-W | | C-AR-W× | 9 | – |
• | Reports | | Crowdfunding – Terminations of Reporting | C-TR | | C-TR× | 545 | – |
• | Reports | | Crowdfunding – Termination of Reporting Withdrawals | C-TR-W | | C-TR-W× | 11 | – |
• | Registrations | | Crowdfunding – Progress Updates | C-U | | C-U× | 3,545 | – |
• | 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 | 27 | – |
• | Ownership | | Tender-Offer, Exchange-Offer, Rights-Offering and Response Notices | CB | | CB | 1,793 | 1,614 |
• | Registrations | | Certifications by Securities Exchanges Approving Listings | CERT | | CERT | 6,244 | – |
• | 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× | 117 | 485 |
• | Registrations | | Notices of Withdrawals from Registration by Crowdfunding Portals | Funding Portal | | CFPORTAL-W× | 16 | – |
• | Letters | | Comment-Response and Other Letters to the SEC [ a.k.a. Document COVER ] (Delayed Release) | – | | CORRESP | 190,796 | – |
• | SEC | | SEC Confidential Treatment Orders | – | | CT ORDER | 16,208 | – |
• | Registrations | | Notices of Exempt Offerings of Securities | D | | D× | 362,153 | 228,363 |
• | Proxies | | Definitive Proxy Statements | 14A | | DEF 14A° | 181,088 | – |
• | Proxies | | Definitive Proxy Info Statements | 14C | | DEF 14C | 13,146 | – |
• | Proxies | | Additional Definitive Proxy Soliciting Materials | 14A | | DEFA14A° | 105,654 | – |
• | Proxies | | Additional Definitive Proxy Info Statements | 14C | | DEFA14C | 393 | – |
• | Proxies | | Definitive Proxy Statements – Contested Solicitations | 14A | | DEFC14A | 2,123 | – |
• | Proxies | | Definitive Proxy Info Statements – Contested Solicitations | 14C | | DEFC14C | 26 | – |
• | Proxies | | Definitive Proxy Statements – Mergers & Acquisitions | 14A | | DEFM14A | 6,095 | – |
• | Proxies | | Definitive Proxy Info Statements – Mergers & Acquisitions | 14C | | DEFM14C | 453 | – |
• | Proxies | | Definitive Non-Management Proxy Statements | 14A | | DEFN14A | 308 | – |
• | Proxies | | Revised Definitive Proxy Soliciting Materials | 14A | | DEFR14A | 5,980 | – |
• | Proxies | | Revised Definitive Proxy Info Statements | 14C | | DEFR14C | 439 | – |
• | Registrations | | Registration Effectiveness-Delaying Amendments | † | | DEL AM | 1,352 | – |
• | Proxies | | Additional Definitive Non-Management Proxy Soliciting Materials | 14A | | DFAN14A | 13,729 | – |
• | Proxies | | Revised Definitive Non-Management Proxy Statements | 14A | | DFRN14A | 448 | – |
• | Registrations | | Draft Offering Statements | 1-A | | DOS× | 214 | 217 |
• | Letters | | Comment-Response and Draft-Offering-Statement Letters to the SEC (Delayed Release) | – | | DOSLTR | 189 | – |
• | Registrations | | Draft Registration Statements by Emerging Growth Companies and Foreign Issuers | DRS | | DRS° | 4,603 | 4,975 |
• | Letters | | Comment-Response and Draft-Registration-Statement Letters to the SEC (Delayed Release) | – | | DRSLTR | 4,123 | – |
• | Reports | | Distribution of Primary Obligations Reports by International Development Banks | – | | DSTRBRPT | 807 | 20 |
• | SEC | | SEC Notices of Effectiveness | † | | EFFECT× | 64,215 | – |
• | Registrations | | Registration Statements by Certain Foreign Issuers | F-1 | | F-1° | 2,048 | 5,549 |
• | Registrations | | Registration Statements to Add Securities to Prior Form F-1 Registrations | 462(b) | | F-1MEF | 228 | – |
• | Registrations | | Registration Statements by Certain Foreign Issuers – Securities for Transactions | F-3 | | F-3° | 1,873 | 1,568 |
• | Registrations | | Automatic Shelf Registration Statements by Well-Known Foreign Issuers | F-3 | | F-3ASR° | 741 | – |
• | Registrations | | Registration Statements by Certain Foreign Issuers – Securities for Dividend and Interest Reinvestment Plans | F-3 | | F-3D | 65 | – |
• | Registrations | | Post-Effective Amendments of ‘F-3D’ Registrations | F-3 | | F-3DPOS | 47 | – |
• | 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° | 899 | 1,828 |
• | 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 | 11 | – |
• | 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 | 1,914 | 197 |
• | Registrations | | Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective) | F-6 | | F-6EF | 7,192 | – |
• | Registrations | | Post-Effective Amendments of ‘F-6EF’ Registrations | F-6 | | F-6 POS | 2,667 | – |
• | Registrations | | Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of Rights | F-7 | | F-7 | 52 | 11 |
• | Registrations | | Post-Effective Amendments of Form F-7 Registrations | – | | F-7 POS | 5 | – |
• | 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 | 969 | 980 |
• | Registrations | | Registration Statements by Certain Canadian Issuers (Immediately Effective) | F-10 | | F-10EF | 12 | – |
• | Registrations | | Post-Effective Amendments of ‘F-10EF’ Registrations | F-10 | | F-10POS | 74 | – |
• | 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 | 432 | 31 |
• | Reports | | Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers | – | | FOCUSN | 32,419 | 1,085 |
• | Registrations | | Free-Writing Prospectuses | 163 / 433 | | FWP | 210,351 | – |
• | Registrations | | Appointments of U.S. Agents for Service of Process by Foreign Non-Financial Entities | F-X | | F-X | 3,053 | 314 |
• | 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 | 255 |
• | 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 | 3,763 | – |
• | Registrations | | Applications for Registrations by Municipal Advisors | MA | | MA× | 912 | 2,133 |
• | Registrations | | Annual Updates of Registrations by Municipal Advisors | MA | | MA-A× | 3,399 | – |
• | Registrations | | Info re: Natural Persons Who Engage in Municipal Advisory Activity | MA-I | | MA-I× | 8,782 | 11,753 |
• | Registrations | | Notices of Withdrawals from Registration by Municipal Advisors | MA-W | | MA-W× | 418 | – |
• | Registrations | | Applications for Registrations by Municipal Securities Dealers | MSD | | MSD | 45 | 429 |
• | 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° | 1,958 | 2,957 |
• | Registrations | | Registration Statements by Closed-End Investment Companies | N-2 | | N-2 | 4,138 | 6,191 |
• | Registrations | | Automatic Shelf Registration Statements by Well-Known Closed-End Investment Companies | N-2 | | N-2ASR | 52 | – |
• | 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 | 2,345 | 2,092 |
• | 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 | 749 | 564 |
• | 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 | 4,517 | 623 |
• | Registrations | | Registration Statements by Unit Investment Trusts | N-8B-2 | | N-8B-2 | 184 | 177 |
• | Registrations | | Registration Statements by Face-Amount Certificate Companies | N-8B-4 | | N-8B-4 | 6 | – |
• | Registrations | | Applications for SEC Deregistration Orders by Certain Investment Companies | N-8F | | N-8F | 3,309 | 1,522 |
• | SEC | | Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices | ICA | | N-8F NTC | 1,918 | – |
• | SEC | | Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders | ICA | | N-8F ORDR | 2,055 | – |
• | Registrations | | Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for Mergers | N-14 | | N-14 | 3,789 | 2,490 |
• | Registrations | | Registration Statements by Closed-End Investment Companies – Securities for Mergers | N-14 | | N-14 8C | 304 | 362 |
• | 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 | 1,280 | 31 |
• | Ownership | | Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies | 23c-2 | | N-23C-2 | 1,804 | 64 |
• | Ownership | | Notices of Periodic Repurchase Offers by Closed-End Investment Companies | N-23c-3 | | N-23C3A | 2,911 | 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 | 49 | 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 | 12,654 | – |
• | Reports | | Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies | 30d-1 | | N-30D | 71,709 | 1,056 |
• | Reports | | Notices of Elections by Business Development Companies (BDCs) | N-54A | | N-54A | 350 | 9 |
• | Reports | | Notices of Withdrawals from Registration by Business Development Companies (BDCs) | N-54C | | N-54C | 213 | 4 |
• | Reports | | Annual Reports by Investment Companies | N-CEN | | N-CEN× | 16,106 | 1,503 |
• | Reports | | Annual Reports by Investment Companies (Late Filings) | N-CEN | | NT N-CEN° | 209 | – |
• | 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° | 69,852 | 3,462 |
• | Reports | | Semi-Annual Certified Shareholder Reports by Investment Companies | N-CSR | | N-CSRS° | 61,923 | 1,078 |
• | Reports | | Monthly Portfolio Holdings Schedules by Money-Market Funds | N-MFP | | N-MFP2× | 31,633 | 1,276 |
• | Reports | | Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) | N-MFP | | NT N-MFP2° | 297 | – |
• | 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× | 176,333 | 2,723 |
• | Reports | | Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings) [ with Document NPORT-EX ] | N-PORT | | NT NPORT-P× | 303 | – |
• | Proxies | | Annual Proxy Voting Reports by Investment Companies | N-PX | | N-PX | 56,640 | 1,908 |
• | 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 | 224 | – |
• | 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 | 45,588 | 733 |
• | 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° | 75,229 | 643 |
• | 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 | 1,683 | 16 |
• | 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 | 2,000 | 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 | 75 | 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 | 372 | 34 |
• | Reports | | Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices) | 12b-25 | | NTFNCSR | 78 | – |
• | 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 | 339 |
• | Reports | | Financial Statements of Certain Variable Annuity/Life Contracts | N-VPFS | | N-VPFS | 1,871 | 77 |
• | 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 | 2,232 | – |
• | Registrations | | Post-Effective Amendments of Registration Statements – Rule 462(b) | † | | POS462B | 227 | – |
• | Registrations | | Post-Effective Amendments of Registration Statements – Rule 462(c) | † | | POS462C | 86 | – |
• | Registrations | | Post-Effective Amendments of Registration Statements | † | | POS AM° | 33,012 | – |
• | Registrations | | Post-Effective Amendments of Registration Statements by Investment Companies | † | | POS AMI | 6,757 | – |
• | Registrations | | Post-Effective Amendments of Automatic Shelf Registration Statements | S-3/F-3ASR | | POSASR° | 2,212 | – |
• | Registrations | | Post-Effective Amendments of Registration Statements – Additional Exhibits | 462(d) | | POS EX° | 5,218 | – |
• | Proxies | | Preliminary Proxy Statements | 14A | | PRE 14A° | 41,252 | – |
• | Proxies | | Preliminary Proxy Info Statements | 14C | | PRE 14C | 9,964 | – |
• | Proxies | | Preliminary Proxy Statements – Contested Solicitations | 14A | | PREC14A | 2,879 | – |
• | Proxies | | Preliminary Proxy Info Statements – Contested Solicitations | 14C | | PREC14C | 65 | – |
• | Proxies | | Preliminary Proxy Statements – Mergers & Acquisitions | 14A | | PREM14A | 5,187 | – |
• | Proxies | | Preliminary Proxy Info Statements – Mergers & Acquisitions | 14C | | PREM14C | 703 | – |
• | Proxies | | Preliminary Non-Management Proxy Statements | 14A | | PREN14A | 380 | – |
• | Proxies | | Revised Preliminary Proxy Soliciting Materials | 14A | | PRER14A | 11,644 | – |
• | Proxies | | Revised Preliminary Proxy Info Statements | 14C | | PRER14C | 2,525 | – |
• | Proxies | | Revised Preliminary Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations | 14A | | PRRN14A | 2,197 | – |
• | Proxies | | Notices of Exempt Non-Management Proxy Solicitations | 14a-6(g) | | PX14A6G | 2,617 | – |
• | 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 | 189 | 7 |
• | SEC | | SEC Notices of Qualification | A/A+ | | QUALIF× | 2,303 | – |
• | 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 | 6,260 | – |
• | SEC | | SEC Orders Revoking Registrations of Municipal Advisors | SEA §15B(c)(2) | | REVOKED-MA | 1 | – |
• | Registrations | | Registration Withdrawal Requests | † | | RW | 12,769 | – |
• | Registrations | | Withdrawals of Registration Withdrawal Requests | † | | RW WD | 434 | – |
• | Registrations | | Registration Statements (General Form) | S-1 | | S-1° | 23,016 | 57,865 |
• | Registrations | | Registration Statements to Add Securities to Prior Form S-1 Registrations | 462(b) | | S-1MEF | 2,163 | – |
• | Registrations | | Registration Statements – Securities for Transactions | S-3 | | S-3° | 37,669 | 29,530 |
• | Registrations | | Automatic Shelf Registration Statements by Well-Known Issuers | S-3 | | S-3ASR° | 8,947 | – |
• | Registrations | | Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective) | S-3 | | S-3D | 963 | 5 |
• | Registrations | | Post-Effective Amendments of ‘S-3D’ Registrations | S-3 | | S-3DPOS | 721 | – |
• | Registrations | | Registration Statements to Add Securities to Prior Form S-3 Registrations | 462(b) | | S-3MEF | 1,340 | – |
• | Registrations | | Registration Statements – Securities for Mergers | S-4 | | S-4° | 15,296 | 21,148 |
• | 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 | 176 | – |
• | Registrations | | Post-Effective Amendments of ‘S-4EF’ Registrations | S-4 | | S-4 POS | 310 | – |
• | Registrations | | Registration Statements by Unit Investment Trusts | S-6 | | S-6 | 23,469 | 8,728 |
• | Registrations | | Registration Statements – Securities for Certain Employee Benefit Plans | S-8 | | S-8 | 90,536 | 18 |
• | Registrations | | Post-Effective Amendments of Form S-8 Registrations | – | | S-8 POS | 38,553 | – |
• | Registrations | | Registration Statements by Certain Real Estate Companies | S-11 | | S-11° | 1,181 | 3,530 |
• | 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 | 369 | 229 |
• | 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× | 4 | 11 |
• | 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 | 175 |
• | 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 | 1 |
• | Registrations | | Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants | SBSE-C | | SBSE-C× | 50 | – |
• | Ownership | | Statements of Acquisitions of Beneficial Ownership by “Active” Investors | 13D | | SC 13D | 60,586 | 132,199 |
• | Ownership | | Statements of Acquisitions of Beneficial Ownership by “Passive” Investors | 13G | | SC 13G | 222,495 | 411,074 |
• | 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 | 2,541 | 8,496 |
• | Ownership | | Tender-Offer Statements by Canadian Issuers | 13E-4F | | SC13E4F | 22 | 34 |
• | Ownership | | Tender-Offer Statements by Canadian Third Parties | 14D-1F | | SC14D1F | 45 | 148 |
• | Ownership | | Tender-Offer Solicitation/Recommendation Statements | 14D-9 | | SC 14D9 | 4,398 | 9,826 |
• | Ownership | | Tender-Offer Communications by Issuers re: Third-Party Offers | 14D-9C | | SC14D9C | 2,568 | – |
• | 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 | 2,311 | 236 |
• | Proxies | | Info from Certain Nominating Shareholders | 14N | | SC 14N | 16 | 7 |
• | Ownership | | Tender-Offer Communications by Issuers and Third Parties | TO | | SC TO-C | 5,733 | – |
• | Ownership | | Tender-Offer Statements by Issuers | TO | | SC TO-I | 10,169 | 16,435 |
• | Ownership | | Tender-Offer Statements by Third Parties | TO | | SC TO-T | 2,740 | 12,605 |
• | Reports | | Specialized Disclosure Reports re: Uses of Conflict Minerals | SD | | SD | 11,233 | 33 |
• | 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 | 3,592 | – |
• | SEC | | SEC Staff Actions [ a.k.a. Document ORDER (SEC Order) ] | – | | SEC ACTION | 648 | – |
• | SEC | | SEC Staff Letters [ a.k.a. Documents LETTER, 14A-8 (No-Action Letter), REDACTED EXHIBIT, SERIOUS DEFICIENCIES & STAFF LETTER ] (Delayed Release) | – | | SEC LETTER | 1,487 | – |
• | Registrations | | Registration Statements (General Form) by Issuers of Asset-Backed Securities | SF-1 | | SF-1 | 20 | 44 |
• | 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 | 188 | 246 |
• | Registrations | | Sales Literature | – | | SL | 9 | – |
• | Reports | | Special Financial Reports | 15d-2 | | SP 15D2 | 58 | 2 |
• | SEC | | SEC Stop Orders | – | | STOP ORDER | 61 | – |
• | Registrations | | Supplemental Materials by Foreign Issuers | SA §11(a) | | SUPPL | 56,100 | – |
• | Registrations | | Applications for Qualifications of Trust Indentures | T-3 | | T-3 | 643 | 635 |
• | Registrations | | Applications for Determinations of Eligibility to Act as a Trustee by Foreign Entities | T-6 | | T-6 | 1 | – |
• | Registrations | | Applications for Registrations by Transfer Agents | TA-1 | | TA-1° | 474 | 4,683 |
• | Reports | | Annual Reports of Activity by Transfer Agents | TA-2 | | TA-2° | 9,341 | 811 |
• | Registrations | | Notices of Withdrawals from Registration by Transfer Agents | TA-W | | TA-W° | 545 | – |
• | 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 | 179,506 | – |
• | 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° | 96,460 | 6,143 |
|
Totals by Period Σ Totals: | 13,818,552 | 1,428,586 |
____________ |
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