| | | | Form, Sch., Rule or Reg. | Filing/Form Type | Filings (→Latest) | |
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Category | | Description | Original Amended | |
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Trading: | Application | | Applications for Registration, or an Exemption from Registration, as a National Securities Exchange | 1 | | 1 | 101 | 3,059 | |
Registration: | Statement | | Offering Statements | 1-A | | 1-A° | 2,533 | 5,256 | |
Registration: | Amendment | /A | Post-Qualification Amendments of Form 1-A Offering Statements | A/A+ | | 1-A POS× | 2,317 | | |
Registration: | Withdrawal | | Withdrawals of Form 1-A Offering Statements | A/A+ | | 1-A-W | 444 | 43 | |
Registration: | Notice | | Notices of Exempt Offerings of Securities by Small Business Investment and Business Development Companies (SBICs and BDCs) | 1-E | | 1-E | 153 | 78 | |
Registration: | Sales Media – Advertising | | Advertising by Small Business Investment and Business Development Companies (SBICs and BDCs) | 1-E | | 1-E AD | 2 | – | |
Update: | Report – Annual | | Annual Reports and Special Financial Reports | 1-K | | 1-K× | 2,011 | 106 | |
Update: | Report – Semi-Annual | | Semi-Annual Reports and Special Financial Reports | 1-SA | | 1-SA | 2,226 | 82 | |
Update: | Report – Current | | Current Reports | 1-U | | 1-U | 9,425 | 80 | |
Registration: | Report | | Exit Reports | 1-Z | | 1-Z× | 316 | 9 | |
Update: | Withdrawal | | Withdrawals of Exit Reports | 1-Z | | 1-Z-W | 6 | – | |
Update: | Report | | Reports of Sales of Securities | 2-A | | 2-A | 52 | 81 | |
Update: | Report | | Final Reports of Sales of Securities | 2-A | | 2-AF | 36 | – | |
Update: | Report | | Reports of Sales of Securities by Investment Companies (SBICs and BDCs) | 2-E | | 2-E | 87 | 11 | |
Ownership: | Statement | | Initial Statements of Beneficial Ownership of Securities by Insiders | 3 | | 3° | 384,907 | 20,034 | |
Ownership: | Statement | | Statements of Changes in Beneficial Ownership of Securities by Insiders | 4 | | 4° | 4,431,663 | 126,335 | |
Ownership: | Statement – Annual | | Annual Statements of Changes in Beneficial Ownership of Securities by Insiders | 5 | | 5° | 114,776 | 4,267 | |
SEC: | Application – Notice | | Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices | ICA | | 6B NTC | 33 | | |
SEC: | Application – Order | | Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders | ICA | | 6B ORDR | 32 | | |
Update: | Report – Periodic | | Current, Quarterly and Other Reports by Foreign Issuers | 6-K | | 6-K° | 530,244 | 6,629 | |
Registration: | Individual – Appointment | | Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Individuals | 7-M | | 7-M | 2 | – | |
Registration: | Statement | | Registration Statements for Certain Classes of Securities | 8-A | | 8-A12B | 25,556 | 4,933 | |
Registration: | Statement | | Registration Statements for Certain Classes of Securities | 8-A | | 8-A12G | 10,252 | 2,392 | |
SEC: | Withdrawal – Notice | | Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Notices | ICA | | 8F-2 NTC | 6 | | |
SEC: | Withdrawal – Order | | Applications for SEC Deregistration Orders – ‘40-8F-2’ SEC Orders | ICA | | 8F-2 ORDR | 5 | | |
Update: | Report – Current | | Current Reports | 8-K | | 8-K° | 1,936,203 | 82,941 | |
Registration: | Notice | | Notices of Securities Deemed to be Registered by Successor Issuers | 8-K | | 8-K12B° | 342 | 38 | |
Registration: | Notice | | Notices of Securities Deemed to be Registered by Successor Issuers | 8-K | | 8-K12G3 | 655 | 116 | |
Update: | Notice | | Notices of Assumptions of Duty to File Reports by Successor Issuers | 8-K | | 8-K15D5 | 72 | 4 | |
Registration: | Individual – Appointment | | Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Corporations | 8-M | | 8-M | 68 | – | |
Registration: | Individual – Appointment | | Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Partnerships | 9-M | | 9-M | 13 | – | |
Registration: | Individual – Appointment | | Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer General Partners | 10-M | | 10-M | 1 | – | |
Registration: | Statement | | Registration Statements | 10 | | 10-12B° | 859 | 1,747 | |
Registration: | Statement | | Registration Statements | 10 | | 10-12G° | 3,029 | 5,268 | |
ABS: | Report – Periodic | | Distribution Reports by Issuers of Asset-Backed Securities | 10-D | | 10-D° | 109,897 | 2,901 | |
Update: | Report – Annual | | Annual Reports | 10-K | | 10-K° | 223,393 | 45,871 | |
Update: | Report – Annual | | Annual-Transition Reports | 10-K | | 10-KT° | 582 | 133 | |
Update: | Report – Quarterly | | Quarterly Reports | 10-Q | | 10-Q° | 669,762 | 46,115 | |
Update: | Report – Quarterly | | Quarterly-Transition Reports | 10-Q | | 10-QT° | 230 | 37 | |
Update: | Report – Annual | | Annual Reports by Employee Stock Purchase, Savings and Similar Plans | 11-K | | 11-K | 44,703 | 1,033 | |
Update: | Report – Annual | | Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans | 11-K | | 11-KT | 101 | 2 | |
Ownership: | Report – Quarterly | | Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested | 13F | | 13FCONP | 1,271 | 90 | |
Ownership: | Report – Quarterly | | Quarterly Holdings and Combination Reports by Money Managers | 13F | | 13F-HR° | 402,244 | 30,914 | |
Ownership: | Notice – Quarterly | | Quarterly Holdings Notices by Money Managers | 13F | | 13F-NT° | 121,521 | 2,046 | |
Registration: | Certification | | Certifications of Terminations of Registration of Classes of Securities | 15 | | 15-12B | 5,929 | 112 | |
Registration: | Certification | | Certifications of Terminations of Registration of Classes of Securities | 15 | | 15-12G | 14,898 | 439 | |
Update: | Notice | | Notices of Suspensions of Duty to File Reports | 15 | | 15-15D | 16,582 | 219 | |
Registration: | Certification | | Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers | 15F | | 15F-12B | 259 | 13 | |
Registration: | Certification | | Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers | 15F | | 15F-12G | 242 | 12 | |
Update: | Notice | | Notices of Suspensions of Duty to File Reports by Foreign Issuers | 15F | | 15F-15D | 150 | 4 | |
Update: | Report – Annual | | Annual Reports by Central Matching Service Providers | 17Ad-27 | | 17AD-27° | 1 | – | |
Registration: | Statement | | Registration Statements by Foreign Governments and Political Subdivisions | 18 | | 18-12B | 4 | – | |
Update: | Report – Annual | | Annual Reports by Foreign Governments and Political Subdivisions | 18-K | | 18-K° | 873 | 2,870 | |
Trading: | Information | | Proposed Rule Changes by Self-Regulatory Organizations (SROs) | 19b-4 | | 19B-4 | 11 | 2 | |
Trading: | Information | | Info from Self-Regulatory Organizations (SROs) Listing and Trading New Derivative Securities Products | 19b-4(e) | | 19B-4E | 31,468 | | |
Update: | Report – Annual | | Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers | 20-F | | 20-F° | 20,009 | 4,010 | |
Registration: | Statement | | Registration Statements by Foreign Non-Canadian Issuers | 20-F | | 20FR12B | 216 | 215 | |
Registration: | Statement | | Registration Statements by Foreign Non-Canadian Issuers | 20-F | | 20FR12G° | 398 | 623 | |
Update: | Notice – Annual | | Annual Notices of Securities Sold by Investment Companies | 24F-2 | | 24F-2NT° | 202,517 | 3,262 | |
Trading: | Notice | | Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities | 25 | | 25 | 4,558 | 45 | |
Trading: | Notice | | Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities | 25 | | 25-NSE× | 15,019 | 283 | |
Update: | Application | | Applications for Exemptions and from Filing Certain Reports | §12(g) / 13(a) | | 34-12H | 7 | – | |
Registration: | Application | | Applications for Exemption Orders by Employees’ Investment Companies | O-2 | | 40-6B | 75 | 200 | |
Update: | Application | | Applications for Extensions of Time to File Reports by Investment Companies | 8b-25(a) | | 40-8B25 | 129 | – | |
Registration: | Withdrawal – Application | | Applications for SEC Deregistration Orders by Investment Companies | O-2 | | 40-8F-2 | 22 | 40 | |
Update: | Accounting – Certificate | | Certificates of Accounting of Securities of Investment Companies in the Custody of Members of National Securities Exchanges | N-17f-1 | | 40-17F1 | 811 | 18 | |
Update: | Accounting – Certificate | | Certificates of Accounting of Securities in the Custody of Investment Companies | N-17f-2 | | 40-17F2 | 20,586 | 151 | |
Update: | Bond | | Fidelity Bonds for Investment Companies | 17g-1(g) | | 40-17G | 30,031 | 2,420 | |
Update: | Bond – Claim | | Fidelity Bonds for Investment Companies – Claims and Settlements | 17g-1(g) | | 40-17GCS | 22 | – | |
Update: | Sales Media – Literature | | Sales Literature from Investment Companies | 24b-2 | | 40-24B2 | 3,468 | 86 | |
Update: | Document – Claim | | Stockholder Derivative Actions Against Investment Companies and Affiliates | ICA §33 | | 40-33 | 1,094 | 8 | |
Registration: | Application | | Applications to Designate the Applicant a Person Not Within the Intent of the Investment Advisers Act | IAA §202 | | 40-202A | 33 | 36 | |
Registration: | Application | | Applications for Exemptions by Investment Advisors | IAA §206(3) | | 40-206A | 48 | 39 | |
Registration: | Application | | Applications for Exemption Orders and Other Relief by Investment Companies | O-2 | | 40-APP | 2,470 | 3,630 | |
Update: | Report – Annual | | Annual Reports by Canadian Issuers | 40-F | | 40-F° | 3,388 | 586 | |
Registration: | Statement | | Registration Statements by Certain Canadian Issuers | 40-F | | 40FR12B | 184 | 108 | |
Registration: | Statement | | Registration Statements by Certain Canadian Issuers | 40-F | | 40FR12G | 33 | 10 | |
Registration: | Application | | Applications for SEC Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment Companies | O-2 | | 40-OIP | 82 | 156 | |
Ownership: | Notice | | Notices of Proposed Sales of Securities by Insiders | 144 | | 144° | 80,178 | 1,233 | |
Registration: | Statement | | Offering Statements – Info Previously Omitted | 1-A | | 253G1 | 204 | – | |
Registration: | Statement | | Offering Statements – Info Substantively Changed or Added | 1-A | | 253G2 | 4,562 | – | |
Registration: | Statement | | Offering Statements – Info Previously Omitted & Info Substantively Changed or Added | 1-A | | 253G3 | 60 | – | |
Registration: | Statement | | Offering Statements – Info Previously Omitted & Info Substantively Changed or Added (Late Filings) | 1-A | | 253G4 | 5 | – | |
Registration: | Statement | | Statements of Eligibility to Act as a Trustee by Corporations | T-1 | | 305B2 | 2,289 | 22 | |
Registration: | Prospectus | | Prospectuses – Info Substantively Changed or Added | 424(a) | | 424A | 1,559 | | |
Registration: | Prospectus | | Prospectuses – Info Previously Omitted | 424(b)(1) | | 424B1 | 6,252 | | |
Registration: | Prospectus | | Prospectuses – Primary Offerings and Shelf Securities | 424(b)(2) | | 424B2 | 568,706 | | |
Registration: | Prospectus | | Prospectuses – New Facts or Events | 424(b)(3) | | 424B3° | 195,711 | | |
Registration: | Prospectus | | Prospectuses – Info Previously Omitted & New Facts or Events | 424(b)(4) | | 424B4° | 13,243 | | |
Registration: | Prospectus | | Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events | 424(b)(5) | | 424B5° | 72,090 | | |
Registration: | Prospectus | | Prospectuses – Selling Security Holders – Info Previously Omitted | 424(b)(7) | | 424B7 | 4,631 | | |
Registration: | Prospectus | | Prospectuses (Late Filings) | 424(b)(8) | | 424B8 | 2,064 | | |
ABS: | Prospectus | | Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed | 424(h) | | 424H | 1,284 | 76 | |
Registration: | Prospectus – Annual | | Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements | 424(i)(1) | | 424I | 172 | | |
Registration: | Prospectus | | Prospectuses and Communications – Mergers | 425 | | 425° | 90,054 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Form N-1 and N-1A Registrations | 485(a) | | 485APOS° | 44,640 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Form N-1 and N-1A Registrations | 485(b) | | 485BPOS° | 204,844 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates | 485(b)(1)(iii) | | 485BXT | 30,205 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Form N-2 Registrations | 486(a) | | 486APOS | 317 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Form N-2 Registrations | 486(b) | | 486BPOS | 1,541 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates | 486(b) | | 486BXT | 131 | | |
Registration: | Amendment | /A | Pre-Effective Pricing Amendments of Registration Statements | 487 | | 487 | 22,926 | | |
Registration: | Material | | Definitive Materials by Certain Investment Companies | 497 | | 497° | 415,073 | – | |
Update: | Sales Media – Advertising | | Advertising by Certain Investment Companies | 497 & 482(c) | | 497AD | 5,183 | – | |
Registration: | Prospectus | | Prospectuses – Certain Closed-End Investment Companies | 497(h)(2) | | 497H2 | 83 | | |
Registration: | Certification | | Certifications of No Changes in Definitive Materials by Certain Investment Companies | 497(j) | | 497J | 139,135 | – | |
Registration: | Prospectus | | Prospectuses – Certain Open-End Investment Companies – Summary | 497(k) | | 497K | 301,437 | | |
Registration: | Prospectus | | Prospectuses – Variable Annuity/Life Contracts – Initial Summary | 497(k) | | 497VPI | 4,024 | | |
Registration: | Prospectus | | Prospectuses – Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence | 497(k) | | 497VPSUB | 470 | | |
Registration: | Prospectus | | Prospectuses – Variable Annuity/Life Contracts – Updating Summary | 497(k) | | 497VPU | 7,559 | | |
ABS: | Report – Periodic | | Asset-Backed Securities Securitizer Reports | ABS-15G | | ABS-15G | 21,237 | 6,558 | |
ABS: | Exhibit | | Asset-Backed Securities [XML] Exhibits | ABS-EE | | ABS-EE° | 34,986 | 308 | |
Registration: | Material | | Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed | – | | ADN-MTL | 50 | – | |
Update: | Accounting – Certificate | | Certificates of Accounting of Client Securities and Funds in the Possession or Custody of Investment Advisors | ADV-E | | ADV-E | 2,451 | – | |
Update: | Application | | Applications for Continuing Hardship Exemptions by Investment Advisors | ADV-H | | ADV-H-C | 8 | – | |
Update: | Application | | Applications for Temporary Hardship Exemptions by Investment Advisors | ADV-H | | ADV-H-T | 77 | – | |
Registration: | Individual – Appointment | | Appointments of U.S. Agents for Service of Process by Non-Resident General Partners and Managing Agents of Investment Advisors | ADV-NR | | ADV-NR | 690 | – | |
Update: | Report – Annual | | Annual Reports by International Development Banks | – | | ANNLRPT° | 140 | 5 | |
SEC: | Application – Notice | | Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices | ICA | | APP NTC | 1,182 | | |
SEC: | Application – Order | | Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders | ICA | | APP ORDR | 1,121 | | |
Registration: | Withdrawal | | Withdrawals of Applications for Exemption Orders and Other Relief | ICA | | APP WD | 558 | 21 | |
SEC: | Withdrawal – Grant | | Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants | ICA | | APP WDG | 171 | | |
Update: | Report – Annual | | Annual Reports to Security Holders | – | | ARS° | 44,736 | 84 | |
Trading: | Information | | Alternative Trading Systems (NMS Stock) – Initial Info | ATS-N | | ATS-N× | 5 | | |
Trading: | Amendment | /A | Alternative Trading Systems (NMS Stock) – Correcting Amendments | ATS-N | | ATS-N/CA× | 105 | | |
Trading: | Amendment | /A | Alternative Trading Systems (NMS Stock) – Material Amendments | ATS-N | | ATS-N/MA× | 237 | | |
Trading: | Amendment | /A | Alternative Trading Systems (NMS Stock) – Order Display and Fair Access Amendments | ATS-N | | ATS-N/OFA× | 15 | | |
Trading: | Amendment | /A | Alternative Trading Systems (NMS Stock) – Updating Amendments | ATS-N | | ATS-N/UA× | 523 | | |
Trading: | Notice | | Alternative Trading Systems (NMS Stock) – Notices of Cessation | ATS-N | | ATS-N-C× | 18 | | |
Trading: | Withdrawal | | Alternative Trading Systems (NMS Stock) – Withdrawals of Form ATS-N | – | | ATS-N-W× | 9 | | |
Registration: | Withdrawal | | Amendment Withdrawal Requests | † | | AW | 4,302 | – | |
Registration: | Withdrawal | | Amendment Withdrawal Requests – Withdraw Duplicates | † | | AW WD | 118 | – | |
Registration: | Statement | | Crowdfunding – Offering Statements | C | | C× | 9,822 | 10,506 | |
Registration: | Withdrawal | | Crowdfunding – Offering Statement Amendment Withdrawals | C/A-W | | C/A-W× | 30 | – | |
Registration: | Withdrawal | | Crowdfunding – Offering Statement Withdrawals | C-W | | C-W× | 1,009 | – | |
Update: | Report – Annual | | Crowdfunding – Annual Reports | C-AR | | C-AR× | 4,161 | 253 | |
Update: | Withdrawal | | Crowdfunding – Annual Report Withdrawals | C-AR-W | | C-AR-W× | 10 | – | |
Registration: | Report | | Crowdfunding – Terminations of Reporting | C-TR | | C-TR× | 785 | – | |
Registration: | Withdrawal | | Crowdfunding – Termination of Reporting Withdrawals | C-TR-W | | C-TR-W× | 20 | – | |
Registration: | Update | | Crowdfunding – Progress Updates | C-U | | C-U× | 4,858 | – | |
Registration: | Withdrawal | | Crowdfunding – Progress Update Withdrawals | C-U-W | | C-U-W× | 23 | – | |
Registration: | Application | | Applications for Registration, or an Exemption therefrom, as a Clearing Agency | CA-1 | | CA-1 | 2 | – | |
SEC: | Cancellation – Order | | Cancellations of Certain Municipal Advisor Registrations by SEC Orders | SEA §15B(c)(3) | | CANCEL-MA | 36 | | |
Ownership: | Notice | | Tender-Offer, Exchange-Offer, Rights-Offering and Response Notices | CB | | CB | 1,866 | 1,676 | |
Trading: | Certification | | Certifications by Securities Exchanges Approving Listings | CERT | | CERT | 8,611 | | |
Registration: | Application | | Applications for Registration by Crowdfunding Portals | Funding Portal | | CFPORTAL× | 135 | 587 | |
Registration: | Withdrawal – Notice | | Notices of Withdrawals from Registration by Crowdfunding Portals | Funding Portal | | CFPORTAL-W× | 39 | – | |
Comment: | Letter | | Comment-Response and Other Letters to the SEC [ a.k.a. Document COVER ] (Delayed Release) | – | | CORRESP | 210,006 | | |
SEC: | SEC – Order | | SEC Confidential Treatment Orders | – | | CT ORDER | 16,264 | | |
Registration: | Notice | | Notices of Exempt Offerings of Securities | D | | D× | 423,022 | 268,944 | |
Proxy: | Statement | | Definitive Proxy Statements | 14A | | DEF 14A° | 190,617 | | |
Proxy: | Statement – Information | | Definitive Proxy Info Statements | 14C | | DEF 14C | 13,723 | | |
Proxy: | Material | | Definitive Additional Proxy Soliciting Materials | 14A | | DEFA14A° | 117,601 | | |
Proxy: | Statement – Information | | Definitive Additional Proxy Info Statements | 14C | | DEFA14C | 421 | | |
Proxy: | Statement | | Definitive Proxy Statements – Contested Solicitations | 14A | | DEFC14A | 2,321 | | |
Proxy: | Statement – Information | | Definitive Proxy Info Statements – Contested Solicitations | 14C | | DEFC14C | 26 | | |
Proxy: | Statement | | Definitive Proxy Statements – Mergers & Acquisitions | 14A | | DEFM14A | 6,549 | | |
Proxy: | Statement – Information | | Definitive Proxy Info Statements – Mergers & Acquisitions | 14C | | DEFM14C | 487 | | |
Proxy: | Statement | | Definitive Non-Management Proxy Statements | 14A | | DEFN14A | 312 | | |
Proxy: | Material | | Definitive Additional Non-Management Proxy Soliciting Materials | 14A | | DFAN14A | 15,170 | | |
Proxy: | Statement | | Definitive Revised Non-Management Proxy Statements | 14A | | DFRN14A | 554 | | |
Proxy: | Material | | Definitive Revised Proxy Soliciting Materials | 14A | | DEFR14A | 6,372 | | |
Proxy: | Statement – Information | | Definitive Revised Proxy Info Statements | 14C | | DEFR14C | 456 | | |
Registration: | Amendment | /A | Registration Effectiveness-Delaying Amendments | † | | DEL AM | 1,509 | | |
Registration: | Statement | | Draft Offering Statements | 1-A | | DOS× | 242 | 265 | |
Comment: | Letter | | Comment-Response and Draft-Offering-Statement Letters to the SEC (Delayed Release) | – | | DOSLTR | 232 | | |
Registration: | Statement | | Draft Registration Statements by Emerging Growth Companies and Foreign Issuers | DRS | | DRS° | 5,424 | 6,456 | |
Comment: | Letter | | Comment-Response and Draft-Registration-Statement Letters to the SEC (Delayed Release) | – | | DRSLTR | 5,213 | | |
Update: | Report – Transactional | | Distribution of Primary Obligations Reports by International Development Banks | – | | DSTRBRPT | 1,113 | 25 | |
SEC: | Notice | | SEC Notices of Effectiveness | † | | EFFECT× | 71,508 | | |
Registration: | Statement | | Registration Statements by Certain Foreign Issuers | F-1 | | F-1° | 2,664 | 7,328 | |
Registration: | Statement | | Registration Statements to Add Securities to Prior Form F-1 Registrations | 462(b) | | F-1MEF | 261 | – | |
Registration: | Statement | | Registration Statements by Certain Foreign Issuers – Securities for Transactions | F-3 | | F-3° | 2,272 | 1,767 | |
Registration: | Statement | | Automatic Shelf Registration Statements by Well-Known Foreign Issuers | F-3 | | F-3ASR° | 831 | – | |
Registration: | Statement | | Registration Statements by Certain Foreign Issuers – Securities for Dividend and Interest Reinvestment Plans | F-3 | | F-3D | 69 | – | |
Registration: | Amendment | /A | Post-Effective Amendments of ‘F-3D’ Registrations | F-3 | | F-3DPOS | 50 | | |
Registration: | Statement | | Registration Statements to Add Securities to Prior Form F-3 Registrations | 462(b) | | F-3MEF | 48 | – | |
Registration: | Statement | | Registration Statements by Certain Foreign Issuers – Securities for Mergers | F-4 | | F-4° | 1,014 | 2,220 | |
Registration: | Statement | | Registration Statements by Certain Foreign Issuers – Securities for Mergers (Immediately Effective) | F-4 | | F-4EF | 1 | – | |
Registration: | Statement | | Registration Statements to Add Securities to Prior Form F-4 Registrations | 462(b) | | F-4MEF | 15 | – | |
Registration: | Amendment | /A | Post-Effective Amendments of Form F-4 Registrations | – | | F-4 POS | 22 | | |
Registration: | Statement | | Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) | F-6 | | F-6 | 2,006 | 210 | |
Registration: | Statement | | Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective) | F-6 | | F-6EF | 7,484 | – | |
Registration: | Amendment | /A | Post-Effective Amendments of ‘F-6EF’ Registrations | F-6 | | F-6 POS | 2,934 | | |
Registration: | Statement | | Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of Rights | F-7 | | F-7 | 55 | 11 | |
Registration: | Amendment | /A | Post-Effective Amendments of Form F-7 Registrations | – | | F-7 POS | 6 | | |
Registration: | Statement | | Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers | F-8 | | F-8 | 32 | 51 | |
Registration: | Amendment | /A | Post-Effective Amendments of Form F-8 Registrations | – | | F-8 POS | 13 | | |
Registration: | Statement | | Registration Statements by Certain Canadian Issuers – Debt and Preferred Securities | F-9 | | F-9 | 101 | 90 | |
Registration: | Amendment | /A | Post-Effective Amendments of ‘F-9EF’ Registrations | F-9 | | F-9 POS | 5 | | |
Registration: | Statement | | Registration Statements by Certain Canadian Issuers | F-10 | | F-10 | 1,063 | 1,027 | |
Registration: | Statement | | Registration Statements by Certain Canadian Issuers (Immediately Effective) | F-10 | | F-10EF | 20 | – | |
Registration: | Amendment | /A | Post-Effective Amendments of ‘F-10EF’ Registrations | F-10 | | F-10POS | 88 | | |
Registration: | Statement | | Registration Statements by Certain Canadian Issuers – Securities for Mergers and Exchange Offers | F-80 | | F-80 | 27 | 22 | |
Registration: | Amendment | /A | Post-Effective Amendments of Form F-80 Registrations | – | | F-80POS | 19 | | |
Registration: | Individual – Appointment | | Appointments of U.S. Agents for Service of Process by Foreign Banks and Insurance Companies | F-N | | F-N | 472 | 34 | |
Update: | Report – Accounting | | Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers | – | | FOCUSN | 33,582 | 1,091 | |
Registration: | Prospectus | | Prospectuses – Free Writing | 163 / 433 | | FWP | 254,219 | | |
Registration: | Individual – Appointment | | Appointments of U.S. Agents for Service of Process by Foreign Non-Financial Entities | F-X | | F-X | 3,264 | 347 | |
Update: | Report – Annual | | Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers | G-405 | | G-405 | 65 | 3 | |
Update: | Report – Accounting | | Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers | G-405N | | G-405N | 51 | 1 | |
Registration: | Notice | | Notices of Activity as a Government Securities Broker or Dealer by Financial Institutions | G-FIN | | G-FIN | 25 | 279 | |
Registration: | Withdrawal – Notice | | Notices of Withdrawals from Registration as a Government Securities Broker or Dealer by Financial Institutions | G-FINW | | G-FINW | 16 | – | |
Update: | Notice | | Notices of Iran/Syria Disclosures in Quarterly and Annual Reports | ITRASHRA | | IRANNOTICE | 4,196 | – | |
Registration: | Application | | Applications for Registrations by Municipal Advisors | MA | | MA× | 941 | 2,563 | |
Registration: | Update – Annual | | Annual Updates of Registrations by Municipal Advisors | MA | | MA-A× | 4,362 | – | |
Registration: | Information | | Info re: Natural Persons Who Engage in Municipal Advisory Activity | MA-I | | MA-I× | 9,459 | 13,818 | |
Registration: | Withdrawal – Notice | | Notices of Withdrawals from Registration by Municipal Advisors | MA-W | | MA-W× | 461 | – | |
Registration: | Application | | Applications for Registrations by Municipal Securities Dealers | MSD | | MSD | 46 | 468 | |
SEC: | Cancellation – Order | | Cancellations of Municipal Securities Dealer Registrations by SEC Orders | – | | MSDCO | 30 | | |
Registration: | Withdrawal – Notice | | Notices of Withdrawals from Registration by Municipal Securities Dealers | MSDW | | MSDW | 85 | – | |
Registration: | Statement | | Registration Statements by Open-End Investment Companies | N-1A | | N-1A° | 2,007 | 3,081 | |
Registration: | Statement | | Registration Statements by Closed-End Investment Companies | N-2 | | N-2 | 4,468 | 6,656 | |
Registration: | Statement | | Automatic Shelf Registration Statements by Well-Known Closed-End Investment Companies | N-2 | | N-2ASR | 95 | – | |
Registration: | Statement | | Registration Statements to Add Securities to Prior Form N-2 Registrations | 462(b) | | N-2MEF | 267 | – | |
Registration: | Amendment | /A | Post-Effective Amendments of Form N-2 Automatic Shelf Registrations | ICA | | N-2 POSASR | 7 | | |
Registration: | Statement | | Registration Statements by Open-End Investment Companies for Separate Accounts | N-3 | | N-3 | 41 | 22 | |
Registration: | Statement | | Registration Statements by Variable Annuity Unit Investment Trusts for Separate Accounts | N-4 | | N-4 | 2,465 | 2,114 | |
Registration: | Statement | | Registration Statements by Small Business Investment Companies (SBICs) | N-5 | | N-5 | 9 | 10 | |
Registration: | Statement | | Registration Statements by Variable Life Unit Investment Trusts for Separate Accounts | N-6 | | N-6 | 774 | 584 | |
Update: | Notice | | Notices of Intentions to Elect Business Development Company (BDC) Status | N-6F | | N-6F | 170 | 74 | |
Registration: | Notice | | Notices of Registrations by Investment Companies | N-8A | | N-8A | 4,716 | 637 | |
Registration: | Statement | | Registration Statements by Unit Investment Trusts | N-8B-2 | | N-8B-2 | 186 | 182 | |
Registration: | Statement | | Registration Statements by Face-Amount Certificate Companies | N-8B-4 | | N-8B-4 | 7 | 1 | |
Registration: | Withdrawal – Application | | Applications for SEC Deregistration Orders by Certain Investment Companies | N-8F | | N-8F | 3,495 | 1,578 | |
SEC: | Withdrawal – Notice | | Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices | ICA | | N-8F NTC | 2,089 | | |
SEC: | Withdrawal – Order | | Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders | ICA | | N-8F ORDR | 2,231 | | |
Registration: | Statement | | Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for Mergers | N-14 | | N-14 | 4,043 | 2,619 | |
Registration: | Statement | | Registration Statements by Closed-End Investment Companies – Securities for Mergers | N-14 | | N-14 8C | 345 | 414 | |
Registration: | Statement | | Registration Statements to Add Securities to Prior Form N-14 Registrations | 462(b) | | N-14MEF | 8 | – | |
Update: | Notice | | Notices of Elections by Open-End Investment Companies | N-18f-1 | | N-18F1 | 1,295 | 31 | |
Ownership: | Notice | | Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies | 23c-2 | | N-23C-2 | 2,075 | 64 | |
Ownership: | Notice | | Notices of Periodic Repurchase Offers by Closed-End Investment Companies | N-23c-3 | | N-23C3A | 3,679 | 39 | |
Ownership: | Notice | | Notices of Discretionary Repurchase Offers by Closed-End Investment Companies | N-23c-3 | | N-23C3B | 408 | 3 | |
Ownership: | Notice | | Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment Companies | N-23c-3 | | N-23C3C | 52 | 48 | |
Update: | Report – Periodic | | Periodic and Interim Reports Mailed to Shareholders by Investment Companies | 30b-2 | | N-30B-2 | 13,539 | – | |
Update: | Report – Periodic | | Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies | 30d-1 | | N-30D | 71,931 | 1,056 | |
Update: | Notice | | Notices of Elections by Business Development Companies (BDCs) | N-54A | | N-54A | 393 | 9 | |
Registration: | Withdrawal – Notice | | Notices of Withdrawals from Registration by Business Development Companies (BDCs) | N-54C | | N-54C | 226 | 4 | |
Update: | Report – Annual | | Annual Reports by Investment Companies | N-CEN | | N-CEN× | 22,475 | 2,100 | |
Update: | Report – Annual | | Annual Reports by Investment Companies (Late Filings) | N-CEN | | NT N-CEN° | 241 | – | |
Update: | Report – Current | | Current Reports of Material Events by Money-Market Funds | N-CR | | N-CR | 72 | 13 | |
Update: | Report – Annual | | Annual Certified Shareholder Reports by Investment Companies | N-CSR | | N-CSR° | 75,967 | 3,809 | |
Update: | Report – Semi-Annual | | Semi-Annual Certified Shareholder Reports by Investment Companies | N-CSR | | N-CSRS° | 67,938 | 1,184 | |
Update: | Schedule – Monthly | | Monthly Portfolio Holdings Schedules by Money-Market Funds | N-MFP | | N-MFP2× | 35,836 | 1,655 | |
Update: | Schedule – Monthly | | Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) | N-MFP | | NT N-MFP2° | 300 | – | |
Update: | Schedule – Monthly | | Monthly Portfolio Holdings Schedules by Money-Market Funds | N-MFP | | N-MFP3× | 3,123 | 457 | |
SEC: | Letter | | SEC No-Action Letters re: Shareholder Proposals [ a.k.a. Document 14A-8 ] | 14a-8 | | NO ACT | 9,085 | | |
Update: | Report – Monthly | | Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies [ with Document NPORT-EX ] | N-PORT | | NPORT-P× | 269,033 | 4,625 | |
Update: | Report – Monthly | | Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings) [ with Document NPORT-EX ] | N-PORT | | NT NPORT-P× | 504 | – | |
Proxy: | Report – Annual | | Annual Proxy Voting Reports by Investment Companies | N-PX | | N-PX° | 69,723 | 2,182 | |
Update: | Schedule – Quarterly | | Quarterly Portfolio Holdings Schedules by Investment Companies | N-Q | | N-Q° | 94,931 | 1,010 | |
Registration: | Certification – Annual | | Annual Certifications by Nationally Recognized Statistical Rating Organizations | NRSRO | | NRSRO-CE | 99 | 37 | |
Registration: | Update | | Registration Updates by Nationally Recognized Statistical Rating Organizations | NRSRO | | NRSRO-UPD | 281 | – | |
Update: | Notice | | Notices of Late Filings of Form 10-D Distribution Reports | 12b-25 | | NT 10-D | 10 | 1 | |
Update: | Notice | | Notices of Late Filings of Form 10-D Distribution Reports (Late Notices) | 12b-25 | | NTN 10D | 5 | – | |
Update: | Notice | | Notices of Late Filings of Form 10-K Annual Reports | 12b-25 | | NT 10-K | 47,335 | 753 | |
Update: | Notice | | Notices of Late Filings of Form 10-K Annual Reports (Late Notices) | 12b-25 | | NTN 10K | 1,580 | – | |
Update: | Notice | | Notices of Late Filings of Form 10-Q Quarterly Reports | 12b-25 | | NT 10-Q° | 78,180 | 674 | |
Update: | Notice | | Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices) | 12b-25 | | NTN 10Q | 2,302 | – | |
Update: | Notice | | Notices of Late Filings of Form 11-K Annual Reports | 12b-25 | | NT 11-K | 1,713 | 17 | |
Update: | Notice | | Notices of Late Filings of Form 11-K Annual Reports (Late Notices) | 12b-25 | | NTN 11K | 18 | – | |
Update: | Notice | | Notices of Late Filings of Form 20-F Annual Reports | 12b-25 | | NT 20-F | 2,234 | 36 | |
Update: | Notice | | Notices of Late Filings of Form 20-F Annual Reports (Late Notices) | 12b-25 | | NTN 20F | 37 | – | |
Update: | Notice | | Notices of Late Filings of Form N-CEN Annual Reports | 12b-25 | | NT-NCEN | 95 | 4 | |
Update: | Notice | | Notices of Late Filings of Form N-CEN Annual Reports (Late Notices) | 12b-25 | | NTFNCEN | 22 | – | |
Update: | Notice | | Notices of Late Filings of Form N-CSR Shareholder Reports | 12b-25 | | NT-NCSR | 405 | 45 | |
Update: | Notice | | Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices) | 12b-25 | | NTFNCSR | 85 | – | |
Update: | Notice | | Notices of Late Filings of ‘SP 15D2’ Special Financial Reports | 12b-25 | | NT 15D2 | 9 | 7 | |
Update: | Notice | | Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices) | 12b-25 | | NTN15D2 | 3 | – | |
Update: | Notice | | Notices by Certain Variable Annuity/Life Contracts | N-VP | | N-VP | 946 | 904 | |
Update: | Statement | | Financial Statements of Certain Variable Annuity/Life Contracts | N-VPFS | | N-VPFS | 2,990 | 137 | |
SEC: | Application – Notice | | Applications for SEC Exemption Orders – ‘40-OIP’ SEC Notices | ICA | | OIP NTC | 67 | | |
SEC: | Application – Order | | Applications for SEC Exemption Orders – ‘40-OIP’ SEC Orders | ICA | | OIP ORDR | 61 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements by Certain Investment Companies | ICA §8(c) | | POS 8C | 2,260 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements – Rule 462(b) | † | | POS462B | 228 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements – Rule 462(c) | † | | POS462C | 88 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements | † | | POS AM° | 35,122 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements by Investment Companies | † | | POS AMI | 7,076 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Automatic Shelf Registration Statements | S-3/F-3ASR | | POSASR° | 2,456 | | |
Registration: | Amendment | /A | Post-Effective Amendments of Registration Statements – Additional Exhibits | 462(d) | | POS EX° | 5,999 | | |
Proxy: | Statement | | Preliminary Proxy Statements | 14A | | PRE 14A° | 44,384 | | |
Proxy: | Statement – Information | | Preliminary Proxy Info Statements | 14C | | PRE 14C | 10,326 | | |
Proxy: | Statement | | Preliminary Proxy Statements – Contested Solicitations | 14A | | PREC14A | 3,115 | | |
Proxy: | Statement – Information | | Preliminary Proxy Info Statements – Contested Solicitations | 14C | | PREC14C | 65 | | |
Proxy: | Statement | | Preliminary Proxy Statements – Mergers & Acquisitions | 14A | | PREM14A | 5,446 | | |
Proxy: | Statement – Information | | Preliminary Proxy Info Statements – Mergers & Acquisitions | 14C | | PREM14C | 737 | | |
Proxy: | Statement | | Preliminary Non-Management Proxy Statements | 14A | | PREN14A | 384 | | |
Proxy: | Material | | Preliminary Revised Non-Management Proxy Soliciting Materials – Contested Solicitations and Other Situations | 14A | | PRRN14A | 2,274 | | |
Proxy: | Material | | Preliminary Revised Proxy Soliciting Materials | 14A | | PRER14A | 12,133 | | |
Proxy: | Statement – Information | | Preliminary Revised Proxy Info Statements | 14C | | PRER14C | 2,576 | | |
Proxy: | Notice | | Notices of Exempt Non-Management Proxy Solicitations | 14a-6(g) | | PX14A6G | 3,218 | | |
Proxy: | Notice | | Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications | 14a-6(n) | | PX14A6N | 59 | | |
Update: | Report – Quarterly | | Quarterly Reports by International Development Banks | – | | QRTLYRPT | 222 | 9 | |
SEC: | Notice | | SEC Notices of Qualification | A/A+ | | QUALIF× | 2,769 | | |
Registration: | Report – Initial | | Initial Undertakings to File Reports by Non-Resident Brokers, Dealers and Investment Advisors | – | | REG-NR | 69 | 2 | |
SEC: | Cancellation – Order | | SEC Orders Revoking Registrations | SEA §12(j) | | REVOKED | 6,464 | | |
SEC: | Cancellation – Order | | SEC Orders Revoking Registrations of Municipal Advisors | SEA §15B(c)(2) | | REVOKED-MA | 1 | | |
Registration: | Withdrawal | | Registration Withdrawal Requests | † | | RW | 13,433 | – | |
Registration: | Withdrawal | | Withdrawals of Registration Withdrawal Requests | † | | RW WD | 466 | – | |
Registration: | Statement | | Registration Statements (General Form) | S-1 | | S-1° | 24,727 | 61,098 | |
Registration: | Statement | | Registration Statements to Add Securities to Prior Form S-1 Registrations | 462(b) | | S-1MEF | 2,249 | – | |
Registration: | Statement | | Registration Statements – Securities for Transactions | S-3 | | S-3° | 39,409 | 30,150 | |
Registration: | Statement | | Automatic Shelf Registration Statements by Well-Known Issuers | S-3 | | S-3ASR° | 9,997 | – | |
Registration: | Statement | | Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective) | S-3 | | S-3D | 976 | 5 | |
Registration: | Amendment | /A | Post-Effective Amendments of ‘S-3D’ Registrations | S-3 | | S-3DPOS | 749 | | |
Registration: | Statement | | Registration Statements to Add Securities to Prior Form S-3 Registrations | 462(b) | | S-3MEF | 1,366 | – | |
Registration: | Statement | | Registration Statements – Securities for Mergers | S-4 | | S-4° | 15,665 | 22,070 | |
Registration: | Statement | | Registration Statements – Securities for the Formation of Bank and Savings & Loan Holding Companies | S-4 | | S-4EF | 77 | 31 | |
Registration: | Statement | | Registration Statements to Add Securities to Prior Form S-4 Registrations | 462(b) | | S-4MEF | 186 | – | |
Registration: | Amendment | /A | Post-Effective Amendments of ‘S-4EF’ Registrations | S-4 | | S-4 POS | 317 | | |
Registration: | Statement | | Registration Statements by Unit Investment Trusts | S-6 | | S-6 | 25,380 | 9,114 | |
Registration: | Statement | | Registration Statements – Securities for Certain Employee Benefit Plans | S-8 | | S-8 | 95,166 | 18 | |
Registration: | Amendment | /A | Post-Effective Amendments of Form S-8 Registrations | – | | S-8 POS | 42,054 | | |
Registration: | Statement | | Registration Statements by Certain Real Estate Companies | S-11 | | S-11° | 1,209 | 3,575 | |
Registration: | Statement | | Registration Statements to Add Securities to Prior Form S-11 Registrations | 462(b) | | S-11MEF | 92 | – | |
Registration: | Statement | | Registration Statements – Standardized Options | S-20 | | S-20 | 6 | 5 | |
Registration: | Statement | | Registration Statements by Foreign Governments and Political Subdivisions | B | | S-B | 389 | 241 | |
Registration: | Statement | | Registration Statements to Add Securities to Prior Schedule B Registrations | 462(b) | | S-BMEF | 15 | – | |
Registration: | Application | | Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants | SBSE | | SBSE× | 7 | 33 | |
Registration: | Application | | Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered or Registering with the CFTC as such | SBSE-A | | SBSE-A× | 40 | 401 | |
Registration: | Application | | Applications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants that are Registered Broker-Dealers | SBSE-BD | | SBSE-BD× | 8 | 7 | |
Registration: | Certification | | Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants | SBSE-C | | SBSE-C× | 55 | – | |
Registration: | Withdrawal | | Requests for Withdrawals from Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants | SBSE-W | | SBSE-W× | 1 | – | |
Registration: | Application | | Applications for Registration by Security-Based Swap Execution Facilities | SBSEF | | SBSEF× | 9 | 15 | |
Registration: | Withdrawal | | Requests for Withdrawals of Pending Applications for Registration by Security-Based Swap Execution Facilities | SBSEF-W | | SBSEF-W× | 1 | – | |
Ownership: | Statement | | Statements of Acquisitions of Beneficial Ownership by “Active” Investors | 13D | | SC 13D | 62,392 | 139,581 | |
Ownership: | Statement | | Statements of Acquisitions of Beneficial Ownership by “Active” Investors | 13D | | SCH 13D× | 417 | 1,766 | |
Ownership: | Statement | | Statements of Acquisitions of Beneficial Ownership by “Passive” Investors | 13G | | SC 13G | 231,785 | 435,499 | |
Ownership: | Statement | | Statements of Acquisitions of Beneficial Ownership by “Passive” Investors | 13G | | SCH 13G× | 3,056 | 6,038 | |
Ownership: | Statement | | Tender-Offer Statements by Issuers | 13E-1 | | SC 13E1 | 23 | 13 | |
Ownership: | Statement | | Tender-Offer Statements by Certain Issuers – Going-Private Transactions | 13E-3 | | SC 13E3 | 2,635 | 8,848 | |
Ownership: | Statement | | Tender-Offer Statements by Canadian Issuers | 13E-4F | | SC13E4F | 23 | 36 | |
Ownership: | Statement | | Tender-Offer Statements by Canadian Third Parties | 14D-1F | | SC14D1F | 45 | 148 | |
Ownership: | Statement | | Tender-Offer Solicitation/Recommendation Statements | 14D-9 | | SC 14D9 | 4,505 | 10,137 | |
Ownership: | Communication | | Tender-Offer Communications by Issuers re: Third-Party Offers | 14D-9C | | SC14D9C | 2,706 | – | |
Ownership: | Statement | | Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers | 14D-9F | | SC14D9F | 40 | 40 | |
Ownership: | Statement | | Statements re: Changes in the Majority of Directors | 14F-1 | | SC 14F1 | 2,353 | 240 | |
Proxy: | Information | | Info from Certain Nominating Shareholders | 14N | | SC 14N | 18 | 7 | |
Ownership: | Communication | | Tender-Offer Communications by Issuers and Third Parties | TO | | SC TO-C | 6,007 | – | |
Ownership: | Statement | | Tender-Offer Statements by Issuers | TO | | SC TO-I | 11,190 | 17,757 | |
Ownership: | Statement | | Tender-Offer Statements by Third Parties | TO | | SC TO-T | 2,841 | 13,011 | |
Update: | Report – Special | | Specialized Disclosure Reports re: Conflict Minerals and Resource Extraction Payments | SD | | SD | 12,451 | 38 | |
Registration: | Application | | Applications for Registration by Security-Based Swap Data Repositories | SDR | | SDR× | 2 | 4 | |
Update: | Exhibit | | Separate Exhibits – Scanned Paper-Format Exhibits of Other Electronic Filings | SE | | SE | 3,594 | – | |
SEC: | SEC – Order | | SEC Staff Actions [ a.k.a. Documents ORDER (SEC Order) & STAFF ACTION ] | – | | SEC ACTION | 1,018 | | |
SEC: | Letter | | SEC Staff Letters [ a.k.a. Documents LETTER, 14A-8 (No-Action Letter), REDACTED EXHIBIT, SERIOUS DEFICIENCIES & STAFF LETTER ] (Delayed Release) | – | | SEC LETTER | 1,777 | | |
ABS: | Statement | | Registration Statements (General Form) by Issuers of Asset-Backed Securities | SF-1 | | SF-1 | 33 | 68 | |
ABS: | Statement | | Registration Statements to Add Securities to Prior Form SF-1 Registrations | 462(b) | | SF-1MEF | 2 | – | |
ABS: | Statement | | Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities | SF-3 | | SF-3 | 230 | 291 | |
Registration: | Sales Media – Literature | | Sales Literature | – | | SL | 9 | – | |
Update: | Report – Special | | Special Financial Reports | 15d-2 | | SP 15D2 | 65 | 2 | |
Update: | Document – Special | | Specialized Disclosures re: the Holding Foreign Companies Accountable Act | SPDSCL | | SPDSCL | 15 | – | |
SEC: | SEC – Order | | SEC Stop Orders | – | | STOP ORDER | 62 | | |
Registration: | Material | | Supplemental Materials by Foreign Issuers | SA §11(a) | | SUPPL | 56,272 | – | |
Registration: | Application | | Applications for Qualifications of Trust Indentures | T-3 | | T-3 | 661 | 652 | |
Registration: | Application | | Applications for Determinations of Eligibility to Act as a Trustee by Foreign Entities | T-6 | | T-6 | 3 | – | |
Registration: | Application | | Applications for Registrations by Transfer Agents | TA-1 | | TA-1° | 508 | 5,039 | |
Update: | Report – Annual | | Annual Reports of Activity by Transfer Agents | TA-2 | | TA-2° | 9,863 | 873 | |
SEC: | Cancellation – Order | | Cancellations of Transfer Agent Registrations by SEC Orders | – | | TACO | 182 | | |
Registration: | Withdrawal – Notice | | Notices of Withdrawals from Registration by Transfer Agents | TA-W | | TA-W° | 567 | – | |
Update: | Notice | | Notices of Reliance on a Temporary Hardship Exemption | TH | | TH | 135 | – | |
Registration: | Material | | Test-the-Waters Materials | A/A+ | | TTW | 28 | 8 | |
Comment: | Letter | | Comment and Other Letters from the SEC [ a.k.a. Document LETTER ] (Delayed Release) | – | | UPLOAD | 194,312 | | |
Registration: | Withdrawal | | Withdrawal Requests for Materials Previously Filed | A/A+ | | WDL-REQ | 62 | – | |
Update: | Report – Annual | | Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers | X-17A-5 | | X-17A-5° | 102,613 | 6,366 | |
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See Filing/Form Type Totals by Time Periods Σ | Totals: | 15,238,788 | 1,552,709 |
____________ | † | This Filing/Form Type pertains to multiple Forms , Schedules , Rules or Regulations of the Acts’ Sections §. | ° | May contain, or be, an XMLª, XBRLª or iXBRLª File. (Most XMLª Files are rendered by us using the SEC’s XSLTª Stylesheets — | × | Must be, or contain, an XMLª, XBRLª or iXBRLª File. Most XBRLª Files are SEC-created as IDEAª “R#” Financial Report Info.) | ª | Acronyms: | | IDEA: Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data via “R#” Financial Reports – since 2009. | | 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. | | XBRL: eXtensible Business Reporting Language — A financial-data-interchange standard based on XML – since 2005-08 (EX-100 & -101). | | iXBRL: Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard – since 2016. i |
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