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Form, Sch.,
Rule or Reg.
Filing /
Form Type
Filings     Totals   
CategoryDescriptionOriginal  Amended
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 • Registrations  Applications for Registration or Exemption from Registration as a National Securities Exchange 1891,195 
 • Registrations 1-A Offering Statements — Reg. A/A+ 1-A9472,329 
 • Registrations 1-A Post-Qualification Amendments to Offering Statements — Reg. A/A+ 1-A POS504– 
 • Registrations 1-A Withdrawals of Offering Statements — Reg. A/A+ 1-A-W11015 
 • Reports E Notifications by Small Business Investment Companies and Business Development Companies 1-E15278 
 • Registrations E Sales Materials 1-E AD2– 
 • Reports 1-K Annual Reports — Reg. A 1-K23918 
 • Reports 1-SA Semi-Annual Reports — Reg. A 1-SA22616 
 • Reports 1-U Current Reports — Reg. A 1-U8339 
 • Reports 1-Z Exit Reports — Reg. A 1-Z744 
 • Reports 1-Z Withdrawals of Exit Reports — Reg. A 1-Z-W2– 
 • Reports 2-A Reports of Sales of Securities — Reg. A/A+ 2-A5281 
 • Reports 2-A Final Reports of Sales of Securities — Reg. A/A+ 2-AF36– 
 • Reports E Reports of Sales of Securities 2-E8711 
 • Ownership 3 Initial Statements of Beneficial Ownership of Securities 3294,88516,850 
 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities 43,361,932106,501 
 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities 5102,6033,969 
 • Registrations ICA Applications for SEC Exemption Orders – ’40-6B’ SEC Notices 6B NTC24– 
 • Registrations ICA Applications for SEC Exemption Orders – ’40-6B’ SEC Orders 6B ORDR23– 
 • Reports 6-K Current Reports by Foreign Private Issuers 6-K382,3664,965 
 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12B18,5134,353 
 • Registrations 8-A Registrations of Certain Classes of Securities 8A12BEF95– 
 • Registrations 8-A Registrations of Certain Classes of Securities 8A12BT288 
 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12G9,9172,345 
 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 8-B12B9429 
 • Registrations 8-B Registrations of Securities of Certain Successor Issuers 8-B12G6113 
 • Registrations ICA Applications for SEC Deregistration Orders – ’40-8F-2’ SEC Notices 8F-2 NTC3– 
 • Registrations ICA Applications for SEC Deregistration Orders – ’40-8F-2’ SEC Orders 8F-2 ORDR2– 
 • Reports 8-K Current Reports 8-K1,531,08872,771 
 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12B20620 
 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12G3621115 
 • Reports 8-K Notices of Assumptions of Duty to Report by Successor Issuers 8-K15D5702 
 • Filings  Consents to Service of Process by Notice (Non-Resident Broker-Dealer Corporations) 8-M61– 
 • Filings  Consents to Service of Process by Notice (Non-Resident Broker-Dealer Partnerships) 9-M13– 
 • Registrations 10 Registrations of Securities (General Form) 10-12B7401,541 
 • Registrations 10 Registrations of Securities (General Form) 10-12G2,4554,262 
 • Reports 10-C Reports by Issuers of Securities Quoted on NASDAQ 10-C1,30525 
 • Reports 10-D Distribution Reports by Asset-Backed Issuers 10-D57,7412,140 
 • Reports 10-K Annual Reports 10-K182,18440,557 
 • Reports 10-K Annual Reports — Reg. S-K – Item 405 10-K40520,2383,227 
 • Reports 10-KSB Annual Reports by Small Businesses 10KSB37,06211,939 
 • Reports 10-KSB Annual Reports by Small Businesses — Reg. S-B – Item 405 10KSB403,460629 
 • Reports 10-K Annual-Transition Reports 10-KT486114 
 • Reports 10-K Annual-Transition Reports — Reg. S-K – Item 405 10KT4058217 
 • Reports 10-Q Quarterly Reports 10-Q563,41642,917 
 • Reports 10-QSB Quarterly Reports by Small Businesses 10QSB120,30817,154 
 • Reports 10-Q Quarterly-Transition Reports 10-QT20436 
 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 10SB12B245134 
 • Registrations 10-SB Registrations of Securities of Small-Business Issuers 10SB12G4,1475,545 
 • Reports 11-K Annual Reports by Employee Stock Purchase, Savings and Similar Plans 11-K38,911947 
 • Reports 11-K Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans 11-KT942 
 • Filings  Exemptions for American Depository Receipts and Certain Foreign Securities 12G3-2B613– 
 • Filings  Exemptions for American Depository Receipts and Certain Foreign Securities 12G32BR178– 
 • Ownership 13F Quarterly Holdings and Combination Reports by Institutional Money Managers – Confidential Treatment Requested 13FCONP1,27090 
 • Ownership 13F Quarterly Reports by Institutional Money Managers 13F-E1,188120 
 • Ownership 13F Quarterly Holdings and Combination Reports by Institutional Money Managers 13F-HR249,04023,645 
 • Ownership 13F Quarterly Notices by Institutional Money Managers 13F-NT83,0311,670 
 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12B5,100104 
 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12G12,896396 
 • Reports 15 Notices of Suspensions of Duty to File Reports 15-15D15,709210 
 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 15F-12B17813 
 • Registrations 15F Certifications of Foreign Private Issuers’ Terminations of Registration of Classes of Securities 15F-12G22812 
 • Reports 15F Notices of Foreign Private Issuers’ Suspensions of Duty to File Reports 15F-15D1202 
 • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 18-12B4– 
 • Reports 18-K Annual Reports by Foreign Governments and Political Subdivisions 18-K6542,021 
 • Filings 19b-4 Proposed Rule Changes by SROs 19B-4101 
 • Filings 19b-4(e) Information Required of SROs Listing and Trading in New Derivative Securities Products 19B-4E26,014– 
 • Reports 20-F Annual Reports by Foreign Private Issuers 20-F14,9273,301 
 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12B150148 
 • Registrations 20-F Registrations of Securities of Foreign Private Issuers 20FR12G374589 
 • Registrations 24f-1 Notices of Elections to Register Securities 24F-16– 
 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 24F-2EL292 
 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 24F-2NT169,7873,137 
 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 24F-2TM603– 
 • Reports 25 Notices to Voluntarily Withdraw Classes of Securities from Listings and Registrations on National Exchanges 253,86535 
 • Reports 25 Notices by National Exchanges of the Removal from Listings and Registrations of Matured, Redeemed or Retired Securities 25-NSE9,425225 
 • Reports 26 Notices of the Admission to Trading of a Substituted or Additional Class of Securities 262– 
 • Filings SEA §12(g)/13(a) Applications for Exemption or from Filing Certain Reports 34-12H7– 
 • Reports 20(e) Statements Concerning Proposed Transactions 35-APP62 
 • Reports 24 Certificates Concerning Terms and Conditions of Transactions 35-CERT5,13998 
 • Filings TIA Applications to Exempt any Person, Registration Statement, Indenture Security or Transaction (or any Class or Classes of such) from One or More Provisions of the Trust Indenture Act 39-304D91 
 • Filings TIA Applications Regarding a Conflict of Interest under the Trust Indenture Act 39-310B2– 
 • Registrations ICA Applications for SEC Exemption Orders by Employees’ Investment Companies 40-6B47159 
 • Registrations ICA §6(c) Applications for Exemption and Other Relief 40-6C433529 
 • Reports 8b-25(a) Applications Requesting Extensions of Time for Filing Certain Information, Documents or Reports 40-8B25101– 
 • Registrations O-2 Applications for SEC Deregistration Orders by Certain Investment Companies 40-8F-21724 
 • Registrations N-8F Applications for SEC Deregistration Orders by Certain Investment Companies – Abandonments of Registration 40-8F-A12465 
 • Registrations N-8F Applications for SEC Deregistration Orders by Certain Investment Companies – Business Development Companies 40-8F-B41 
 • Registrations ICA Investment Company Registrations Withdrawn by SEC Order 40-8FC31 
 • Registrations N-8F Applications for SEC Deregistration Orders by Certain Investment Companies – Liquidations 40-8F-L455180 
 • Registrations N-8F Applications for SEC Deregistration Orders by Certain Investment Companies – Mergers 40-8F-M542174 
 • Reports 17f-1 Certificates of Accounting of Securities in the Custody of Management Investment Companies 40-17F141017 
 • Reports 17f-2 Certificates of Accounting of Securities in the Custody of Management Investment Companies 40-17F217,443129 
 • Reports 17g-1(g) Fidelity Bonds of Management Investment Companies 40-17G24,4472,105 
 • Reports 17g-1 Claims and Settlements re: Management Investment Companies 40-17GCS15– 
 • Reports 24b-2 Sales Literature of Management Investment Companies 40-24B22,78886 
 • Reports ICA §33 Stockholder Derivative Actions re: Management Investment Companies 40-331,0298 
 • Registrations IAA §202 Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act 40-202A3030 
 • Registrations IAA §203 Exemptions from the Prohibition on Registration 40-203A22 
 • Registrations IAA §205 Applications for Performance Fees Exemption 40-205E32 
 • Registrations IAA §206(3) Applications for Exemption 40-206A4436 
 • Registrations ICA Applications for SEC Exemption Orders and Other Relief 40-APP1,7432,660 
 • Registrations 40-F Registration Statements and Annual Reports by Canadian Issuers 40-F2,516467 
 • Registrations 40-F Registrations of Securities of Canadian Issuers — SEA’34 §12(b) 40FR12B11457 
 • Registrations 40-F Registrations of Securities of Canadian Issuers — SEA’34 §12(g) 40FR12G258 
 • Registrations ICA Applications for SEC Exemption Orders from the SEC Office of Insurance Products (OIP) 40-OIP79145 
 • Reports ICA Reports Required from Certain Applicants for Exemptions from the Investment Company Act 40-RPT2– 
 • Ownership 144 Notices of Proposed Sales of Securities 1446,937271 
 • Registrations 1-A Offering Statements – Information Previously Omitted — Reg. A/A+ 253G131– 
 • Registrations 1-A Offering Statements – Information Substantively Changed or Added — Reg. A/A+ 253G2876– 
 • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed — Reg. A/A+ 253G34– 
 • Registrations 1-A Offering Statements – Information Previously Omitted or Substantively Changed – Not Timely Filed — Reg. A/A+ 253G41– 
 • Registrations T-1 Statements of Eligibility by Corporations Designated to Act as Trustees 305B21,74120 
 • Registrations 424(a) Prospectuses 424A1,545– 
 • Registrations 424(b)(1) Prospectuses 424B15,949– 
 • Registrations 424(b)(2) Prospectuses 424B2198,936– 
 • Registrations 424(b)(3) Prospectuses 424B3153,255– 
 • Registrations 424(b)(4) Prospectuses 424B49,478– 
 • Registrations 424(b)(5) Prospectuses 424B555,132– 
 • Registrations 424(b)(7) Prospectuses 424B73,523– 
 • Registrations 424(b)(8) Prospectuses 424B8831– 
 • Registrations 424(h) Preliminary Prospectuses 424H56848 
 • Reports 425 Business-Combination Transaction Communications 42563,411– 
 • Registrations  Post-Effective Amendments 485A24E88– 
 • Registrations  Post-Effective Amendments 485A24F25– 
 • Registrations  Post-Effective Amendments 485APOS38,601– 
 • Registrations  Post-Effective Amendments 485B24E1,669– 
 • Registrations  Post-Effective Amendments 485B24F64– 
 • Registrations  Post-Effective Amendments 485BPOS174,425– 
 • Registrations  Post-Effective Amendments to Designate New Effective Dates 485BXT19,989– 
 • Registrations  Post-Effective Amendments to Designate New Effective Dates 485BXTF1– 
 • Registrations N-2 Post-Effective Amendments to N-2s 486A24E1– 
 • Registrations N-2 Post-Effective Amendments to N-2s 486APOS179– 
 • Registrations N-2 Post-Effective Amendments to N-2s 486B24E2– 
 • Registrations N-2 Post-Effective Amendments to N-2s 486BPOS687– 
 • Registrations  Post-Effective Amendments to Designate New Effective Dates 486BXT22– 
 • Registrations  Pre-Effective Pricing Amendments 48717,916– 
 • Registrations 497 Definitive Materials 497343,145– 
 • Reports 482 Advertising by Certain Investment Companies 497AD3,383– 
 • Registrations 497(h)(2) Prospectuses 497H283– 
 • Registrations 497(j) Certifications of No Changes in Definitive Materials 497J112,810– 
 • Registrations 497(k) Summary Prospectuses of Open-End Management Investment Companies 497K180,882– 
 • Reports 497(k)(1)(i) Profiles of Open-End Management Investment Companies 497K1317– 
 • Reports 497(k)(1)(ii) Profiles of Open-End Management Investment Companies 497K2164– 
 • Reports 497(k)(1)(iii)(A) Profiles of Open-End Management Investment Companies 497K3A52– 
 • Reports 497(k)(1)(iii)(B) Profiles of Open-End Management Investment Companies 497K3B2,294– 
 • Reports SEA §15G Asset-Backed Securitizer Reports ABS-15G9,0532,687 
 • Registrations  Asset-Backed Securities Offerings’ [XML] Exhibits ABS-EE3,75982 
 • Reports  Reports by the Asian Development Bank ADB18– 
 • Registrations  Additional or Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed ADN-MTL50– 
 • Registrations IAA Registrations of Investment Advisors ADV1 
 • Orders  Cancellations of Registered Advisers by SEC Order ADVCO53– 
 • Reports IAA Certificates of Accounting of Client Securities and Funds in Possession or Custody of an Investment Advisor ADV-E2,451– 
 • Reports IAA Applications for Continuing Hardship Exemption ADV-H-C7– 
 • Reports IAA Applications for Temporary Hardship Exemption ADV-H-T70– 
 • Registrations IAA Appointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment Advisors ADV-NR638– 
 • Registrations IAA Notices of Withdrawal from Registration as an Investment Advisor ADVW9– 
 • Reports  Reports by the African Development Bank AFDB91 
 • Reports  Annual Reports by International Development Banks ANNLRPT981 
 • Registrations ICA Applications for SEC Exemption Orders – ’40-APP’ SEC Notices APP NTC833– 
 • Registrations ICA Applications for SEC Exemption Orders – ’40-APP’ SEC Orders APP ORDR807– 
 • Registrations APP WD Withdrawals of Applications for Exemptive or Other Relief from the Federal Securities Laws APP WD44212 
 • Registrations ICA Applications for SEC Exemption Orders – ’40-APP’ Withdrawals Granted APP WDG50– 
 • Reports  Annual Reports to Security Holders ARS36,68137 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Initial Information ATS-N1– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Updating Amendments ATS-N/UA1– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Notices of Cessation ATS-N-C3– 
 • Registrations  Amendment Withdrawal Requests AW3,507– 
 • Registrations  Amendment Withdrawal Requests (Withdraw Duplicate) AW WD101– 
 • Orders  Cancellations of Registered Brokers and Dealers by SEC Order BDCO430– 
 • Reports BW – 2 Quarterly Reports by the International Bank for Reconstruction and Development (World Bank) BW-227– 
 • Reports BW – 3 Distribution of Primary Obligations Reports by the International Bank for Reconstruction and Development (World Bank) BW-393– 
 • Registrations C Crowdfunding Offering Statements C1,7331,705 
 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals C/A-W8– 
 • Registrations C-W Crowdfunding Offering Statement Withdrawals C-W137– 
 • Reports C-AR Crowdfunding Annual Reports C-AR57833 
 • Reports C-AR-W Crowdfunding Annual Report Withdrawals C-AR-W4– 
 • Reports C-TR Crowdfunding Terminations of Reporting C-TR47– 
 • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals C-TR-W1– 
 • Registrations C-U Crowdfunding Progress Updates C-U764– 
 • Registrations C-U-W Crowdfunding Progress Update Withdrawals C-U-W3– 
 • Filings  CA-1 Filings CA-12– 
 • Ownership CB Rights/Exchange/Tender Offer Notifications/Responses CB1,5641,382 
 • Registrations CERT Certifications by Exchanges Approving Securities for Listing CERT1,173– 
 • Registrations CERT Certifications by the American Stock Exchange Approving Securities for Listing CERTAMX1,585– 
 • Registrations CERT Certifications by the New York Stock Exchange Archipelago Approving Securities for Listing CERTARCA362– 
 • Registrations CERT Certifications by the Bats Global Markets Approving Securities for Listing CERTBATS69– 
 • Registrations CERT Certifications by the Boston Stock Exchange Approving Securities for Listing CERTBSE13– 
 • Registrations CERT Certifications by the Chicago Board Options Exchange Approving Securities for Listing CERTCBO27– 
 • Registrations CERT Certifications by the Chicago Stock Exchange Approving Securities for Listing CERTCSE2– 
 • Registrations CERT Certifications by the NASDAQ Stock Market Approving Securities for Listing CERTNAS2,772– 
 • Registrations CERT Certifications by the New York Stock Exchange Approving Securities for Listing CERTNYS5,651– 
 • Registrations CERT Certifications by the Pacific Coast Stock Exchange Approving Securities for Listing CERTPAC542– 
 • Registrations CERT Certifications by the Philadelphia Stock Exchange Approving Securities for Listing CERTPBS3– 
 • Registrations Funding Portal Applications for Registration as a Crowdfunding Portal CFPORTAL54176 
 • Registrations Funding Portal Applications for Withdrawal from Registration as a Crowdfunding Portal CFPORTAL-W6– 
 • Letters  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ] CORRESP152,521– 
 • Orders  SEC Confidential Treatment Orders CT ORDER15,449– 
 • Registrations D Notices of Exempt Offerings of Securities D219,199150,996 
 • Proxies 13E-3 Definitive Proxy Solicitation Materials – Going-Private Transaction Statements DEF13E37787 
 • Proxies 14A Definitive Proxy Solicitation Materials DEF 14A160,114– 
 • Proxies 14C Definitive Proxy Information Statements DEF 14C11,498– 
 • Proxies 14A Additional Definitive Proxy Solicitation Materials DEFA14A78,326– 
 • Proxies 14C Additional Definitive Proxy Information Statements DEFA14C340– 
 • Proxies 14A Definitive Proxy Solicitation Materials – Contested Solicitations DEFC14A1,803– 
 • Proxies 14C Definitive Proxy Information Statements – Contested Solicitations DEFC14C25– 
 • Proxies 14A Definitive Proxy Solicitation Materials – Mergers and Acquisitions DEFM14A5,133– 
 • Proxies 14C Definitive Proxy Information Statements – Mergers and Acquisitions DEFM14C414– 
 • Proxies 14A Definitive Non-Management Proxy Solicitation Materials – Non-Contested Solicitations DEFN14A299– 
 • Registrations  Definitive Offering Circulars — Reg. A DEF-OC2– 
 • Proxies 14A Revised Definitive Proxy Solicitation Materials DEFR14A5,221– 
 • Proxies 14C Revised Definitive Proxy Information Statements DEFR14C395– 
 • Proxies 14A Definitive Proxy Solicitation Materials – Special Meetings DEFS14A3,996– 
 • Proxies 14C Definitive Proxy Information Statements – Special Meetings DEFS14C88– 
 • Registrations  Registration Effectiveness-Delaying Amendments DEL AM1,028– 
 • Proxies 14A Additional Definitive Non-Management Proxy Solicitation Materials DFAN14A11,435– 
 • Proxies 14A Revised Definitive Non-Management Proxy Solicitation Materials DFRN14A300– 
 • Registrations 1-A Draft Offering Statements — Reg. A/A+ DOS118125 
 • Letters  Comment-Response and Draft-Offering-Statement Letters to the SEC DOSLTR97– 
 • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Private Issuers DRS1,8402,447 
 • Letters  Comment-Response and Draft-Registration-Statement Letters to the SEC DRSLTR1,932– 
 • Reports  Distribution of Primary Obligations Reports by International Development Banks DSTRBRPT37119 
 • Reports  Reports by the European Bank for Reconstruction and Development EBRD161 
 • Registrations  Notices of Effectiveness EFFECT48,616– 
 • Registrations F-1 Registration Statements by Foreign Private Issuers F-11,2393,583 
 • Registrations F-1 Registrations of Additional Securities F-1MEF136– 
 • Registrations F-2 Registration Statements by Foreign Private Issuers F-21636 
 • Registrations F-2 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-2D1– 
 • Registrations F-3 Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to Transactions F-31,2831,186 
 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Private Issuers F-3ASR526– 
 • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-3D54– 
 • Registrations F-3 Post-Effective Amendments to F-3Ds F-3DPOS28– 
 • Registrations F-3 Registrations of Additional Securities F-3MEF29– 
 • Registrations F-4 Registration Statements by Foreign Private Issuers for Securities Issued in Business-Combination Transactions F-47051,329 
 • Registrations F-4 Registrations of Additional Securities F-4MEF8– 
 • Registrations F-4 Post-Effective Amendments to F-4s F-4 POS21– 
 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Not Effective Immediately) F-61,643150 
 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts (Effective Immediately) F-6EF6,025– 
 • Registrations F-6 Post-Effective Amendments to F-6s F-6 POS2,161– 
 • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights F-74110 
 • Registrations F-7 Post-Effective Amendments to F-7s F-7 POS5– 
 • Registrations F-8 Registration Statements by Foreign Private Issuers for Securities Offered Pursuant to Transactions F-83251 
 • Registrations F-8 Post-Effective Amendments to F-8s F-8 POS13– 
 • Registrations F-9 Registration Statements by Foreign Private Issuers (Not Effective Immediately) F-910190 
 • Registrations F-9 Registration Statements by Foreign Private Issuers (Effective Immediately) F-9EF3– 
 • Registrations F-9 Post-Effective Amendments to F-9s F-9 POS5– 
 • Registrations F-10 Registration Statements by Foreign Private Issuers (Not Effective Immediately) F-10691762 
 • Registrations F-10 Registration Statements by Foreign Private Issuers (Effective Immediately) F-10EF7– 
 • Registrations F-10 Post-Effective Amendments to F-10s F-10POS55– 
 • Registrations F-80 Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers or Business Combinations F-802622 
 • Registrations F-80 Post-Effective Amendments to F-80s F-80POS19– 
 • Registrations F-N Appointments of Agents for Service of Process by Foreign Financial Entities F-N34223 
 • Reports  Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers FOCUSN28,8621,045 
 • Registrations 163/433 Free-Writing Prospectuses FWP126,036– 
 • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities F-X2,451247 
 • Filings  Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers G-405623 
 • Reports  Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers G-405N491 
 • Registrations  Notices of Status as a Government Securities Broker or Dealer by Financial Institutions G-FIN22250 
 • Registrations  Notices of Withdrawal as a Government Securities Broker or Dealer by Financial Institutions G-FINW16– 
 • Reports  Reports by the Inter-American Development Bank IADB13– 
 • Registrations ID Applications for a New SEC Central Index Key (CIK) ID-NEWCIK1– 
 • Reports  Reports by the International Finance Corporation IFC6– 
 • Reports §13(r) Notices of Disclosures in Quarterly and Annual Reports — ITRASHRA’12 IRANNOTICE2,828– 
 • Registrations MA Applications for Municipal Advisor Registration MA8471,171 
 • Registrations MA Annual Updates of a Municipal Advisor’s Registration MA-A1,534– 
 • Registrations MA-I Information Regarding Natural Persons Who Engage in Municipal Advisory Activities MA-I7,2986,922 
 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor MA-W270– 
 • Filings  Registrations of Municipal Securities Dealers MSD44414 
 • Orders  Cancellations of Registered Municipal Securities Dealers by SEC Order MSDCO22– 
 • Registrations 15Bc3-1 Notices of Withdrawal from Registration as a Municipal Securities Dealer MSDW81– 
 • Registrations N-1 Registration Statements by Open-End Management Investment Companies N-12189 
 • Registrations N-1A Registration Statements by Open-End Management Investment Companies N-1A1,8282,711 
 • Registrations N-1A Registration Statements by Open-End Management Investment Companies N-1A EL361466 
 • Registrations N-2 Registration Statements by Closed-End Investment Companies N-23,5035,356 
 • Registrations N-2 Registrations of Additional Securities N-2MEF228– 
 • Registrations N-3 Registration Statements for Separate Accounts (Management Investment Companies) N-34019 
 • Registrations N-3 Registration Statements for Separate Accounts (Management Investment Companies) N-3 EL66 
 • Registrations N-4 Registration Statements for Separate Accounts (Unit Investment Trusts) N-42,1731,936 
 • Registrations N-4 Registration Statements for Separate Accounts (Unit Investment Trusts) N-4 EL151141 
 • Registrations N-5 Registration Statements by Small-Business Investment Companies N-5910 
 • Registrations N-6 Registration Statements for Separate Accounts (Unit Investment Trusts) N-6621448 
 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status N-6F13362 
 • Registrations N-8A Notices of Registrations N-8A4,084575 
 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts N-8B-2182172 
 • Registrations N-8B-4 Registration Statements by Face-Amount Certificate Companies N-8B-41– 
 • Registrations N-8F Applications for SEC Deregistration Orders by Certain Investment Companies N-8F2,7951,294 
 • Registrations ICA Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices N-8F NTC1,469– 
 • Registrations ICA Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders N-8F ORDR1,615– 
 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) N-143,2142,135 
 • Registrations N-14 Registration Statements by Closed-End Investment Companies (Business Combinations) N-14 8C227267 
 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) with Automatic Effectiveness N-14AE891185 
 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) N14AE2423058 
 • Registrations N-14 Registration Statements by Open-End Investment Companies (Business Combinations) N14EL2415889 
 • Registrations N-14 Registrations of Additional Securities N-14MEF4– 
 • Reports N-18F-1 Notices of Elections N-18F11,24430 
 • Ownership N-23C-1 Reports by Closed-End Investment Companies of Purchases of their own Securities N-23C-192016 
 • Ownership 23c-2(b) Notices by Closed-End Investment Companies of Intentions to Call or Redeem their own Securities N-23C-21,53151 
 • Ownership 23c-3(b) Only Notices of Periodic Repurchase Offers N-23C3A1,75025 
 • Ownership 23c-3(c) Only Notices of Periodic Repurchase Offers N-23C3B3973 
 • Ownership 23c-3(b) & (c) Notices of Periodic Repurchase Offers N-23C3C4547 
 • Reports N-27D-1 Accountings for Segregated Trust Accounts N-27D-112– 
 • Reports 30b-2 Periodic and Interim Reports Mailed to Shareholders N-30B-210,838– 
 • Reports 30d-1 Annual and Semi-Annual Reports Mailed to Shareholders N-30D70,9631,056 
 • Reports N-54A Notices of Elections by Business Development Companies N-54A2678 
 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies N-54C1804 
 • Reports N-CEN Annual Reports by Registered Investment Companies N-CEN2,863417 
 • Reports N-CEN Annual Reports by Registered Investment Companies (Late Filings) NT N-CEN95– 
 • Reports N-CR Current Reports of Money Market Funds’ Material Events N-CR506 
 • Reports N-CSR Certified Annual Shareholder Reports by Management Investment Companies N-CSR57,3152,866 
 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Management Investment Companies N-CSRS49,313896 
 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds N-MFP41,4142,242 
 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings) NT N-MFP238– 
 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds N-MFP13,040553 
 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings) NT N-MFP135– 
 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds N-MFP213,646801 
 • Reports N-MFP Monthly Schedules of Portfolio Holdings of Money Market Funds (Late Filings) NT N-MFP2199– 
 • Letters 14a-8 SEC No-Action Letters  [ a.k.a. 14A-8 ] NO ACT9,085– 
 • Reports N-PORT Portfolio Holdings Exhibits NPORT-EX392– 
 • Reports N-PX Proxy Voting Record Annual Reports by Management Investment Companies N-PX46,1311,728 
 • Reports N-Q Quarterly Schedules of Portfolio Holdings of Management Investment Companies N-Q93,643998 
 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations NRSRO-CE4223 
 • Registrations NRSRO Updates of Registration by Nationally Recognized Statistical Rating Organizations NRSRO-UPD122– 
 • Reports N-SAR Semi-Annual Reports by Money-Management Companies NSAR-A73,4064,004 
 • Reports N-SAR Semi-Annual-Transition Reports by Money-Management Companies NSAR-AT20216 
 • Reports N-SAR Annual Reports by Money-Management Companies NSAR-B73,5426,356 
 • Reports N-SAR Annual-Transition Reports by Money-Management Companies NSAR-BT68954 
 • Reports N-SAR Annual Reports by Unit Investment Trusts NSAR-U16,570351 
 • Reports 12b-25 Notices of Late Filings of Form 10-D NT 10-D91 
 • Reports 12b-25 Notices of Late Filings of Form 10-D (Late Notices) NTN 10D5– 
 • Reports 12b-25 Notices of Late Filings of Form 10-K NT 10-K42,189663 
 • Reports 12b-25 Notices of Late Filings of Form 10-K (Late Notices) NTN 10K1,580– 
 • Reports 12b-25 Notices of Late Filings of Form 10-Q NT 10-Q68,959584 
 • Reports 12b-25 Notices of Late Filings of Form 10-Q (Late Notices) NTN 10Q2,302– 
 • Reports 12b-25 Notices of Late Filings of Form 11-K NT 11-K1,64516 
 • Reports 12b-25 Notices of Late Filings of Form 11-K (Late Notices) NTN 11K18– 
 • Reports 12b-25 Notices of Late Filings of ‘SP 15D2’ Special Financial Reports NT 15D287 
 • Reports 12b-25 Notices of Late Filings of ‘SP 15D2’ Special Financial Reports (Late Notices) NTN15D23– 
 • Reports 12b-25 Notices of Late Filings of Form 20-F NT 20-F1,53726 
 • Reports 12b-25 Notices of Late Filings of Form 20-F (Late Notices) NTN 20F37– 
 • Reports 12b-25 Notices of Late Filings of Form N-CEN NT-NCEN50– 
 • Reports 12b-25 Notices of Late Filings of Form N-CEN (Late Notices) NTFNCEN10– 
 • Reports 12b-25 Notices of Late Filings of Form N-CSR NT-NCSR33322 
 • Reports 12b-25 Notices of Late Filings of Form N-CSR (Late Notices) NTFNCSR75– 
 • Reports 12b-25 Notices of Late Filings of Form N-SAR NT-NSAR2,590116 
 • Reports 12b-25 Notices of Late Filings of Form N-SAR (Late Notices) NTFNSAR190– 
 • Registrations ICA Applications for SEC Exemption Orders – ’40-OIP’ SEC Notices OIP NTC62– 
 • Registrations ICA Applications for SEC Exemption Orders – ’40-OIP’ SEC Orders OIP ORDR57– 
 • Registrations SA §8(c) Post-Effective Amendments POS 8C2,077– 
 • Registrations 462(b) Post-Effective Amendments POS462B218– 
 • Registrations 462(c) Post-Effective Amendments POS462C83– 
 • Registrations  Post-Effective Amendments POS AM29,154– 
 • Registrations U-1 Post-Effective Amendments to U-1s POS AMC1,182– 
 • Registrations  Post-Effective Amendments POS AMI6,012– 
 • Registrations  Post-Effective Amendments to S-3ASRs and F-3ASRs POSASR1,697– 
 • Registrations  Post-Effective Amendments to Add Exhibits POS EX3,616– 
 • Proxies 13E-3 Preliminary Proxy Solicitation Materials – Going-Private Transaction Statements PRE13E3173290 
 • Proxies 14A Preliminary Proxy Solicitation Materials PRE 14A36,427– 
 • Proxies 14C Preliminary Proxy Information Statements PRE 14C9,007– 
 • Proxies 14A Additional Preliminary Proxy Solicitation Materials PREA14A16– 
 • Proxies 14C Additional Preliminary Proxy Information Statements PREA14C1– 
 • Proxies 14A Preliminary Proxy Solicitation Materials – Contested Solicitations PREC14A2,474– 
 • Proxies 14C Preliminary Proxy Information Statements – Contested Solicitations PREC14C63– 
 • Proxies 14A Preliminary Proxy Solicitation Materials – Mergers and Acquisitions PREM14A4,595– 
 • Proxies 14C Preliminary Proxy Information Statements – Mergers and Acquisitions PREM14C666– 
 • Proxies 14A Preliminary Non-Management Proxy Solicitation Materials – Non-Contested Solicitations PREN14A369– 
 • Proxies 14A Revised Preliminary Proxy Solicitation Materials PRER14A10,720– 
 • Proxies 14C Revised Preliminary Proxy Information Statements PRER14C2,413– 
 • Proxies 14A Preliminary Proxy Solicitation Materials – Special Meetings PRES14A3,944– 
 • Proxies 14C Preliminary Proxy Information Statements – Special Meetings PRES14C129– 
 • Proxies 14A Revised Preliminary Non-Management Proxy Solicitation Materials – Contested Solicitations and Other Situations PRRN14A2,003– 
 • Proxies 14a-6(g) Notices of Exempt Proxy Solicitations PX14A6G1,444– 
 • Proxies 14a-6(n) Notices of Exempt Preliminary Proxy Roll-Up Communications PX14A6N37– 
 • Reports  Quarterly Reports by International Development Banks QRTLYRPT1132 
 • Registrations  Notices of Qualification — Reg. A/A+ QUALIF668– 
 • Registrations D Notices of Exempt Offerings of Securities REGDEX128,23142,440 
 • Registrations  Initial Undertakings to File Reports for Non-Resident Brokers, Dealers and Investment Advisers REG-NR642 
 • Orders §12(j) SEC Orders Revoking Securities Exchange Act Registration REVOKED5,375– 
 • Registrations  Registration Withdrawal Requests RW11,486– 
 • Registrations  Registration Withdrawal (Withdraw Duplicate) Requests RW WD389– 
 • Registrations S-1 Registration Statements (General Form) S-118,18449,291 
 • Registrations S-1 Registrations of Additional Securities S-1MEF1,404– 
 • Registrations S-2 Registrations of Securities S-29781,457 
 • Registrations S-2 Registrations of Additional Securities S-2MEF73– 
 • Registrations S-3 Registration Statements for Securities Offered Pursuant to Transactions S-334,27028,393 
 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers S-3ASR6,694– 
 • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans S-3D9315 
 • Registrations S-3 Post-Effective Amendments to S-3Ds S-3DPOS638– 
 • Registrations S-3 Registrations of Additional Securities S-3MEF1,240– 
 • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions S-414,10319,011 
 • Registrations S-4 Registrations of Securities Issued in Business-Combination Transactions Forming Banks, Savings & Loans and Holding Companies S-4EF7631 
 • Registrations S-4 Registrations of Additional Securities S-4MEF148– 
 • Registrations S-4 Post-Effective Amendments to S-4s S-4 POS296– 
 • Registrations S-6 Registration Statements by Unit Investment Trusts S-619,4377,930 
 • Registrations S-6 Registration Statements by Unit Investment Trusts S-6EL241,398359 
 • Registrations S-8 Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit Plans S-880,54918 
 • Registrations S-8 Post-Effective Amendments to S-8s S-8 POS31,662– 
 • Registrations S-11 Registration Statements by Real Estate Companies S-111,0833,375 
 • Registrations S-11 Registrations of Additional Securities S-11MEF82– 
 • Registrations S-20 Registration Statements for Standardized Options S-2065 
 • Registrations B Registration Statements by Foreign Governments and Political Subdivisions S-B313193 
 • Registrations SB-1 Registrations of Securities of Small-Business Issuers SB-1151359 
 • Registrations SB-1 Registrations of Additional Securities SB-1MEF1– 
 • Registrations SB-2 Registrations of Securities of Small-Business Issuers SB-27,81216,585 
 • Registrations SB-2 Registrations of Additional Securities SB-2MEF104– 
 • Registrations B Registrations of Additional Securities S-BMEF13– 
 • Ownership 13D General Statements of Beneficial Ownership SC 13D55,645116,083 
 • Ownership 13E-1 Tender-Offer Transaction Statements SC 13E12313 
 • Ownership 13E-3 Tender-Offer Statements – Going-Private Transactions SC 13E32,3777,944 
 • Ownership 13E-4 Tender-Offer Statements – Issuer Tender Offers SC 13E47341,250 
 • Ownership 13E-4F Tender-Offer Statements – Issuer Tender Offers SC13E4F1624 
 • Ownership 13G Statements of Beneficial Ownership SC 13G192,731343,299 
 • Ownership 14D-1 Tender-Offer Statements – Third-Party Tender Offers SC 14D11,2715,205 
 • Ownership 14D-1F Tender-Offer Statements – Third-Party Tender Offers SC14D1F44147 
 • Ownership 14D-9 Tender-Offer Solicitation/Recommendation Statements SC 14D94,1599,120 
 • Ownership 14D-9C Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications SC14D9C2,291– 
 • Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements – Preliminary Communications – Foreign SC14D9F4040 
 • Ownership 14F-1 Statements re: Changes in Majority of Directors SC 14F12,203226 
 • Proxies 14N Information from Certain Nominating Shareholders SC 14N75 
 • Ownership TO Tender-Offer Statements – Preliminary Communications SC TO-C5,137– 
 • Ownership TO Tender-Offer Statements – Issuer Tender Offers SC TO-I8,52914,147 
 • Ownership TO Tender-Offer Statements – Third-Party Tender Offers SC TO-T2,53111,813 
 • Reports 13p-1 Specialized Disclosure Reports Relating to the Use of Conflict Minerals SD6,33823 
 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository SDR24 
 • Reports SE Scanned Exhibits of Paper Submissions SE3,560– 
 • Orders  SEC Staff Actions  [ a.k.a. ORDER ] SEC ACTION67– 
 • Letters  SEC Staff Letters  [ a.k.a. 14A-8 & SERIOUS DEFICIENCIES ] SEC LETTER2– 
 • Registrations SF-1 Registration Statements (General Form) by Issuers of Asset-Backed Securities SF-129 
 • Registrations SF-3 Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities SF-3117189 
 • Registrations  Sales Literature SL9– 
 • Reports 15d-2 Special Financial Reports SP 15D2562 
 • Orders  SEC Stop Orders STOP ORDER59– 
 • Registrations  Voluntary Supplemental Materials Filed by Foreign Issuers SUPPL55,599– 
 • Registrations T-3 Applications for Qualification of a Trust Indenture T-3611598 
 • Registrations TA-1 Applications for Registration as a Transfer Agent TA-13683,978 
 • Reports TA-2 Annual Reports of Transfer Agents’ Activities TA-28,255712 
 • Orders  Cancellations of Registered Transfer Agents by SEC Order TACO128– 
 • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent TA-W479– 
 • Reports  Notices of Reliance on Temporary Hardship Exemption TH135– 
 • Registrations  Testing-the-Waters Filings — Reg. A/A+ TTW288 
 • Registrations U-1 Applications and Declarations U-19692,309 
 • Registrations U-3A-2 Statements by Utility Holding Companies Claiming Exemption U-3A-2985163 
 • Registrations U-3A3-1 Twelve-Month Statements by Banks Claiming Exemption U-3A3-121– 
 • Registrations U5A Notices of Registrations U5A404 
 • Registrations U5B Registration Statements U5B3210 
 • Reports U5S Annual Reports by Utility Holding Companies U5S24268 
 • Reports U-6B-2 Certificates of Notices of Security Issues, Renewals and Guarantees U-6B-21,2849 
 • Reports U-7D Certificates Concerning Leases of Utility Facilities U-7D3139 
 • Reports U-9C-3 Quarterly Reports by Energy or Gas-Related Companies U-9C-363616 
 • Ownership U-12(I)-A Ownership Statements by Persons Employed or Retained by Registered Utility Holding Companies U-12-IA291 
 • Ownership U-12(I)-B Three-Year Ownership Statements by Persons Employed or Retained by Registered Utility Holding Companies U-12-IB1,5373 
 • Reports U-13-60 Annual Reports by Mutual and Subsidiary Service Companies U-13-6036617 
 • Ownership U-13E-1 Transaction Statements by Affiliate and Independent Service Companies U-13E-14– 
 • Reports U-33-S Annual Reports by Foreign Utility Companies U-33-S481 
 • Reports U-57 Notices of Foreign Utility Company Status U-57614237 
 • Registrations S-6 Initial Undertakings to File Reports UNDER411 
 • Letters  Comment and Other Letters from the SEC  [ a.k.a. LETTER ] UPLOAD152,063– 
 • Registrations  Withdrawal Requests for Materials Previously Filed — Reg. A/A+ WDL-REQ62– 
 • Reports X-17A-5 Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers X-17A-583,2265,653 
 
____________  Totals           11,571,672   1,300,237 
 T   This Filing/Form Type is obsolete or no longer made public.
  This Filing/Form Type pertains to multiple Forms, Schedules, Rules or Regulations of Acts’ Sections.


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