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            Show 128 obsolete Types             SEC:  Forms List


        

				Form, Sch., Rule or Reg.	Filing/Form Type		Filings   (→Latest)
Category			Description				Original  Amended
Trading:	Application		Applications for Registration, or an Exemption from Registration, as a National Securities Exchange	1		1	97	2,811
Registration:	Statement		Offering Statements	1-A		1-A°	2,432	5,017
Registration:	Amendment	/A	Post-Qualification Amendments of Form 1-A Offering Statements	A/A+		1-A POS×	2,176
Registration:	Withdrawal		Withdrawals of Form 1-A Offering Statements	A/A+		1-A-W	413	40
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×	1,951	101
Update:	Report – Semi-Annual		Semi-Annual Reports and Special Financial Reports	1-SA		1-SA	1,789	74
Update:	Report – Current		Current Reports	1-U		1-U	7,870	67
Registration:	Report		Exit Reports	1-Z		1-Z×	299	8
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°	377,740	19,787
Ownership:	Statement		Statements of Changes in Beneficial Ownership of Securities by Insiders	4		4°	4,324,694	124,568
Ownership:	Statement – Annual		Annual Statements of Changes in Beneficial Ownership of Securities by Insiders	5		5°	113,677	4,245
SEC:	Application – Notice		Applications for SEC Exemption Orders – ‘40-6B’ SEC Notices	ICA		6B NTC	31
SEC:	Application – Order		Applications for SEC Exemption Orders – ‘40-6B’ SEC Orders	ICA		6B ORDR	31
Update:	Report – Periodic		Current, Quarterly and Other Reports by Foreign Issuers	6-K		6-K°	514,800	6,467
Registration:	Statement		Registration Statements for Certain Classes of Securities	8-A		8-A12B	24,760	4,877
Registration:	Statement		Registration Statements for Certain Classes of Securities	8-A		8-A12G	10,224	2,385
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°	1,898,714	82,062
Registration:	Notice		Notices of Securities Deemed to be Registered by Successor Issuers	8-K		8-K12B°	334	36
Registration:	Notice		Notices of Securities Deemed to be Registered by Successor Issuers	8-K		8-K12G3	648	115
Update:	Notice		Notices of Assumptions of Duty to File Reports by Successor Issuers	8-K		8-K15D5	71	2
Registration:	Individual – Appointment		Appointments of U.S. Agents for Service of Process by Non-Resident Broker-Dealer Corporations	8-M		8-M	67	–
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°	852	1,731
Registration:	Statement		Registration Statements	10		10-12G°	2,994	5,185
ABS:	Report – Periodic		Distribution Reports by Issuers of Asset-Backed Securities	10-D		10-D°	104,159	2,839
Update:	Report – Annual		Annual Reports	10-K		10-K°	217,555	45,469
Update:	Report – Annual		Annual-Transition Reports	10-K		10-KT°	572	133
Update:	Report – Quarterly		Quarterly Reports	10-Q		10-Q°	663,072	45,884
Update:	Report – Quarterly		Quarterly-Transition Reports	10-Q		10-QT°	229	37
Update:	Report – Annual		Annual Reports by Employee Stock Purchase, Savings and Similar Plans	11-K		11-K	44,655	1,031
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°	384,198	30,193
Ownership:	Notice – Quarterly		Quarterly Holdings Notices by Money Managers	13F		13F-NT°	117,826	2,040
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	14,622	436
Update:	Notice		Notices of Suspensions of Duty to File Reports	15		15-15D	16,504	218
Registration:	Certification		Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers	15F		15F-12B	251	13
Registration:	Certification		Certifications of Terminations of Registration of Classes of Securities by Foreign Issuers	15F		15F-12G	240	12
Update:	Notice		Notices of Suspensions of Duty to File Reports by Foreign Issuers	15F		15F-15D	149	4
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°	852	2,788
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	30,688
Update:	Report – Annual		Annual and Annual-Transition Reports by Foreign Non-Canadian Issuers	20-F		20-F°	19,429	3,941
Registration:	Statement		Registration Statements by Foreign Non-Canadian Issuers	20-F		20FR12B	210	205
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°	198,882	3,242
Trading:	Notice		Notices by Issuers of the Removals from Listing and Registration on Securities Exchanges of Matured, Redeemed and Retired Securities	25		25	4,469	45
Trading:	Notice		Notices by Securities Exchanges of the Removals from Listing and Registration of Matured, Redeemed and Retired Securities	25		25-NSE×	14,538	278
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	71	196
Update:	Application		Applications for Extensions of Time to File Reports by Investment Companies	8b-25(a)		40-8B25	120	–
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	782	18
Update:	Accounting – Certificate		Certificates of Accounting of Securities in the Custody of Investment Companies	N-17f-2		40-17F2	20,220	151
Update:	Bond		Fidelity Bonds for Investment Companies	17g-1(g)		40-17G	29,379	2,397
Update:	Bond – Claim		Fidelity Bonds for Investment Companies – Claims and Settlements	17g-1(g)		40-17GCS	21	–
Update:	Sales Media – Literature		Sales Literature from Investment Companies	24b-2		40-24B2	3,433	86
Update:	Document – Claim		Stockholder Derivative Actions Against Investment Companies and Affiliates	ICA §33		40-33	1,091	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	2,336	3,479
Update:	Report – Annual		Annual Reports by Canadian Issuers	40-F		40-F°	3,259	572
Registration:	Statement		Registration Statements by Certain Canadian Issuers	40-F		40FR12B	181	105
Registration:	Statement		Registration Statements by Certain Canadian Issuers	40-F		40FR12G	32	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°	58,773	1,017
Registration:	Statement		Offering Statements – Info Previously Omitted	1-A		253G1	190	–
Registration:	Statement		Offering Statements – Info Substantively Changed or Added	1-A		253G2	4,312	–
Registration:	Statement		Offering Statements – Info Previously Omitted & Info Substantively Changed or Added	1-A		253G3	55	–
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	2,241	21
Registration:	Prospectus		Prospectuses – Info Substantively Changed or Added	424(a)		424A	1,558
Registration:	Prospectus		Prospectuses – Info Previously Omitted	424(b)(1)		424B1	6,224
Registration:	Prospectus		Prospectuses – Primary Offerings and Shelf Securities	424(b)(2)		424B2	512,917
Registration:	Prospectus		Prospectuses – New Facts or Events	424(b)(3)		424B3°	190,801
Registration:	Prospectus		Prospectuses – Info Previously Omitted & New Facts or Events	424(b)(4)		424B4°	12,907
Registration:	Prospectus		Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events	424(b)(5)		424B5°	70,284
Registration:	Prospectus		Prospectuses – Selling Security Holders – Info Previously Omitted	424(b)(7)		424B7	4,529
Registration:	Prospectus		Prospectuses (Late Filings)	424(b)(8)		424B8	1,956
ABS:	Prospectus		Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed	424(h)		424H	1,208	74
Registration:	Prospectus – Annual		Prospectuses – Exchange-Traded Vehicle Securities – Annual Supplements	424(i)(1)		424I	106
Registration:	Prospectus		Prospectuses and Communications – Mergers	425		425°	88,497
Registration:	Amendment	/A	Post-Effective Amendments of Form N-1 and N-1A Registrations	485(a)		485APOS°	43,898
Registration:	Amendment	/A	Post-Effective Amendments of Form N-1 and N-1A Registrations	485(b)		485BPOS°	202,038
Registration:	Amendment	/A	Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates	485(b)(1)(iii)		485BXT	28,982
Registration:	Amendment	/A	Post-Effective Amendments of Form N-2 Registrations	486(a)		486APOS	298
Registration:	Amendment	/A	Post-Effective Amendments of Form N-2 Registrations	486(b)		486BPOS	1,477
Registration:	Amendment	/A	Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates	486(b)		486BXT	118
Registration:	Amendment	/A	Pre-Effective Pricing Amendments of Registration Statements	487		487	22,399
Registration:	Material		Definitive Materials by Certain Investment Companies	497		497°	408,946	–
Update:	Sales Media – Advertising		Advertising by Certain Investment Companies	497 & 482(c)		497AD	4,976	–
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	136,817	–
Registration:	Prospectus		Prospectuses – Certain Open-End Investment Companies – Summary	497(k)		497K	288,905
Registration:	Prospectus		Prospectuses – Variable Annuity/Life Contracts – Initial Summary	497(k)		497VPI	3,526
Registration:	Prospectus		Prospectuses – Variable Annuity/Life Contracts – Substitution-Related Supplements and Correspondence	497(k)		497VPSUB	275
Registration:	Prospectus		Prospectuses – Variable Annuity/Life Contracts – Updating Summary	497(k)		497VPU	6,545
ABS:	Report – Periodic		Asset-Backed Securities Securitizer Reports	ABS-15G		ABS-15G	19,434	6,149
ABS:	Exhibit		Asset-Backed Securities [XML] Exhibits	ABS-EE		ABS-EE°	30,915	295
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°	137	5
SEC:	Application – Notice		Applications for SEC Exemption Orders – ‘40-APP’ SEC Notices	ICA		APP NTC	1,105
SEC:	Application – Order		Applications for SEC Exemption Orders – ‘40-APP’ SEC Orders	ICA		APP ORDR	1,049
Registration:	Withdrawal		Withdrawals of Applications for Exemption Orders and Other Relief	ICA		APP WD	544	21
SEC:	Withdrawal – Grant		Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grants	ICA		APP WDG	143
Update:	Report – Annual		Annual Reports to Security Holders	–		ARS°	42,730	74
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×	84
Trading:	Amendment	/A	Alternative Trading Systems (NMS Stock) – Material Amendments	ATS-N		ATS-N/MA×	218
Trading:	Amendment	/A	Alternative Trading Systems (NMS Stock) – Order Display and Fair Access Amendments	ATS-N		ATS-N/OFA×	8
Trading:	Amendment	/A	Alternative Trading Systems (NMS Stock) – Updating Amendments	ATS-N		ATS-N/UA×	457
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×	8
Registration:	Withdrawal		Amendment Withdrawal Requests	†		AW	4,220	–
Registration:	Withdrawal		Amendment Withdrawal Requests – Withdraw Duplicates	†		AW WD	116	–
Registration:	Statement		Crowdfunding – Offering Statements	C		C×	9,043	9,648
Registration:	Withdrawal		Crowdfunding – Offering Statement Amendment Withdrawals	C/A-W		C/A-W×	27	–
Registration:	Withdrawal		Crowdfunding – Offering Statement Withdrawals	C-W		C-W×	961	–
Update:	Report – Annual		Crowdfunding – Annual Reports	C-AR		C-AR×	3,864	245
Update:	Withdrawal		Crowdfunding – Annual Report Withdrawals	C-AR-W		C-AR-W×	10	–
Registration:	Report		Crowdfunding – Terminations of Reporting	C-TR		C-TR×	726	–
Registration:	Withdrawal		Crowdfunding – Termination of Reporting Withdrawals	C-TR-W		C-TR-W×	17	–
Registration:	Update		Crowdfunding – Progress Updates	C-U		C-U×	4,392	–
Registration:	Withdrawal		Crowdfunding – Progress Update Withdrawals	C-U-W		C-U-W×	21	–
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	35
Ownership:	Notice		Tender-Offer, Exchange-Offer, Rights-Offering and Response Notices	CB		CB	1,842	1,651
Trading:	Certification		Certifications by Securities Exchanges Approving Listings	CERT		CERT	7,743
Registration:	Application		Applications for Registration by Crowdfunding Portals	Funding Portal		CFPORTAL×	133	556
Registration:	Withdrawal – Notice		Notices of Withdrawals from Registration by Crowdfunding Portals	Funding Portal		CFPORTAL-W×	29	–
Comment:	Letter		Comment-Response and Other Letters to the SEC   [ a.k.a. Document COVER ]  (Delayed Release)	–		CORRESP	203,325
SEC:	SEC – Order		SEC Confidential Treatment Orders	–		CT ORDER	16,250
Registration:	Notice		Notices of Exempt Offerings of Securities	D		D×	402,828	255,566
Proxy:	Statement		Definitive Proxy Statements	14A		DEF 14A°	187,301
Proxy:	Statement – Information		Definitive Proxy Info Statements	14C		DEF 14C	13,528
Proxy:	Material		Definitive Additional Proxy Soliciting Materials	14A		DEFA14A°	114,093
Proxy:	Statement – Information		Definitive Additional Proxy Info Statements	14C		DEFA14C	413
Proxy:	Statement		Definitive Proxy Statements – Contested Solicitations	14A		DEFC14A	2,257
Proxy:	Statement – Information		Definitive Proxy Info Statements – Contested Solicitations	14C		DEFC14C	26
Proxy:	Statement		Definitive Proxy Statements – Mergers & Acquisitions	14A		DEFM14A	6,407
Proxy:	Statement – Information		Definitive Proxy Info Statements – Mergers & Acquisitions	14C		DEFM14C	473
Proxy:	Statement		Definitive Non-Management Proxy Statements	14A		DEFN14A	312
Proxy:	Material		Definitive Additional Non-Management Proxy Soliciting Materials	14A		DFAN14A	14,865
Proxy:	Statement		Definitive Revised Non-Management Proxy Statements	14A		DFRN14A	519
Proxy:	Material		Definitive Revised Proxy Soliciting Materials	14A		DEFR14A	6,262
Proxy:	Statement – Information		Definitive Revised Proxy Info Statements	14C		DEFR14C	453
Registration:	Amendment	/A	Registration Effectiveness-Delaying Amendments	†		DEL AM	1,469
Registration:	Statement		Draft Offering Statements	1-A		DOS×	237	249
Comment:	Letter		Comment-Response and Draft-Offering-Statement Letters to the SEC   (Delayed Release)	–		DOSLTR	208
Registration:	Statement		Draft Registration Statements by Emerging Growth Companies and Foreign Issuers	DRS		DRS°	5,117	5,880
Comment:	Letter		Comment-Response and Draft-Registration-Statement Letters to the SEC   (Delayed Release)	–		DRSLTR	4,784
Update:	Report – Transactional		Distribution of Primary Obligations Reports by International Development Banks	–		DSTRBRPT	1,026	23
SEC:	Notice		SEC Notices of Effectiveness	†		EFFECT×	69,205
Registration:	Statement		Registration Statements by Certain Foreign Issuers	F-1		F-1°	2,444	6,693
Registration:	Statement		Registration Statements to Add Securities to Prior Form F-1 Registrations	462(b)		F-1MEF	249	–
Registration:	Statement		Registration Statements by Certain Foreign Issuers – Securities for Transactions	F-3		F-3°	2,142	1,703
Registration:	Statement		Automatic Shelf Registration Statements by Well-Known Foreign Issuers	F-3		F-3ASR°	796	–
Registration:	Statement		Registration Statements by Certain Foreign Issuers – Securities for Dividend and Interest Reinvestment Plans	F-3		F-3D	68	–
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	46	–
Registration:	Statement		Registration Statements by Certain Foreign Issuers – Securities for Mergers	F-4		F-4°	980	2,091
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	14	–
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	1,971	204
Registration:	Statement		Registration Statements – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective)	F-6		F-6EF	7,349	–
Registration:	Amendment	/A	Post-Effective Amendments of ‘F-6EF’ Registrations	F-6		F-6 POS	2,837
Registration:	Statement		Registration Statements by Certain Canadian Issuers – Securities Offered for Cash Upon the Exercise of Rights	F-7		F-7	54	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	1,033	1,014
Registration:	Statement		Registration Statements by Certain Canadian Issuers (Immediately Effective)	F-10		F-10EF	18	–
Registration:	Amendment	/A	Post-Effective Amendments of ‘F-10EF’ Registrations	F-10		F-10POS	86
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	459	34
Update:	Report – Accounting		Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers	–		FOCUSN	33,230	1,088
Registration:	Prospectus		Prospectuses – Free Writing	163 / 433		FWP	240,615
Registration:	Individual – Appointment		Appointments of U.S. Agents for Service of Process by Foreign Non-Financial Entities	F-X		F-X	3,198	343
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	4,035	–
Registration:	Application		Applications for Registrations by Municipal Advisors	MA		MA×	934	2,426
Registration:	Update – Annual		Annual Updates of Registrations by Municipal Advisors	MA		MA-A×	3,999	–
Registration:	Information		Info re: Natural Persons Who Engage in Municipal Advisory Activity	MA-I		MA-I×	9,209	13,080
Registration:	Withdrawal – Notice		Notices of Withdrawals from Registration by Municipal Advisors	MA-W		MA-W×	445	–
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°	1,989	3,039
Registration:	Statement		Registration Statements by Closed-End Investment Companies	N-2		N-2	4,356	6,468
Registration:	Statement		Automatic Shelf Registration Statements by Well-Known Closed-End Investment Companies	N-2		N-2ASR	72	–
Registration:	Statement		Registration Statements to Add Securities to Prior Form N-2 Registrations	462(b)		N-2MEF	266	–
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	2,394	2,104
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	767	575
Update:	Notice		Notices of Intentions to Elect Business Development Company (BDC) Status	N-6F		N-6F	168	69
Registration:	Notice		Notices of Registrations by Investment Companies	N-8A		N-8A	4,639	629
Registration:	Statement		Registration Statements by Unit Investment Trusts	N-8B-2		N-8B-2	184	181
Registration:	Statement		Registration Statements by Face-Amount Certificate Companies	N-8B-4		N-8B-4	7	–
Registration:	Withdrawal – Application		Applications for SEC Deregistration Orders by Certain Investment Companies	N-8F		N-8F	3,465	1,563
SEC:	Withdrawal – Notice		Applications for SEC Deregistration Orders – ‘N-8F’ SEC Notices	ICA		N-8F NTC	2,063
SEC:	Withdrawal – Order		Applications for SEC Deregistration Orders – ‘N-8F’ SEC Orders	ICA		N-8F ORDR	2,203
Registration:	Statement		Registration Statements by Open-End Investment Companies and Business Development Companies (BDCs) – Securities for Mergers	N-14		N-14	3,956	2,587
Registration:	Statement		Registration Statements by Closed-End Investment Companies – Securities for Mergers	N-14		N-14 8C	325	387
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	1,290	31
Ownership:	Notice		Notices of Intentions to Call or Redeem Their Own Securities by Closed-End Investment Companies	23c-2		N-23C-2	2,016	64
Ownership:	Notice		Notices of Periodic Repurchase Offers by Closed-End Investment Companies	N-23c-3		N-23C3A	3,405	37
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	13,303	–
Update:	Report – Periodic		Annual and Semi-Annual Reports Mailed to Shareholders by Investment Companies	30d-1		N-30D	71,876	1,056
Update:	Notice		Notices of Elections by Business Development Companies (BDCs)	N-54A		N-54A	378	9
Registration:	Withdrawal – Notice		Notices of Withdrawals from Registration by Business Development Companies (BDCs)	N-54C		N-54C	220	4
Update:	Report – Annual		Annual Reports by Investment Companies	N-CEN		N-CEN×	19,981	1,981
Update:	Report – Annual		Annual Reports by Investment Companies (Late Filings)	N-CEN		NT N-CEN°	224	–
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°	73,640	3,684
Update:	Report – Semi-Annual		Semi-Annual Certified Shareholder Reports by Investment Companies	N-CSR		N-CSRS°	66,665	1,155
Update:	Schedule – Monthly		Monthly Portfolio Holdings Schedules by Money-Market Funds	N-MFP		N-MFP2×	35,836	1,631
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×	965	134
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×	239,359	4,353
Update:	Report – Monthly		Monthly Portfolio Investments Reports (Released Quarterly) by Investment Companies (Late Filings)  [ with Document NPORT-EX ]	N-PORT		NT NPORT-P×	439	–
Proxy:	Report – Annual		Annual Proxy Voting Reports by Investment Companies	N-PX		N-PX°	69,261	2,138
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	89	36
Registration:	Update		Registration Updates by Nationally Recognized Statistical Rating Organizations	NRSRO		NRSRO-UPD	257	–
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	46,656	747
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°	77,613	668
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	2,197	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	89	2
Update:	Notice		Notices of Late Filings of Form N-CEN Annual Reports (Late Notices)	12b-25		NTFNCEN	17	–
Update:	Notice		Notices of Late Filings of Form N-CSR Shareholder Reports	12b-25		NT-NCSR	389	44
Update:	Notice		Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices)	12b-25		NTFNCSR	83	–
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	825	786
Update:	Statement		Financial Statements of Certain Variable Annuity/Life Contracts	N-VPFS		N-VPFS	2,531	132
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	2,257
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°	34,508
Registration:	Amendment	/A	Post-Effective Amendments of Registration Statements by Investment Companies	†		POS AMI	6,986
Registration:	Amendment	/A	Post-Effective Amendments of Automatic Shelf Registration Statements	S-3/F-3ASR		POSASR°	2,367
Registration:	Amendment	/A	Post-Effective Amendments of Registration Statements – Additional Exhibits	462(d)		POS EX°	5,727
Proxy:	Statement		Preliminary Proxy Statements	14A		PRE 14A°	43,303
Proxy:	Statement – Information		Preliminary Proxy Info Statements	14C		PRE 14C	10,215
Proxy:	Statement		Preliminary Proxy Statements – Contested Solicitations	14A		PREC14A	3,033
Proxy:	Statement – Information		Preliminary Proxy Info Statements – Contested Solicitations	14C		PREC14C	65
Proxy:	Statement		Preliminary Proxy Statements – Mergers & Acquisitions	14A		PREM14A	5,367
Proxy:	Statement – Information		Preliminary Proxy Info Statements – Mergers & Acquisitions	14C		PREM14C	725
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	2,253
Proxy:	Material		Preliminary Revised Proxy Soliciting Materials	14A		PRER14A	11,984
Proxy:	Statement – Information		Preliminary Revised Proxy Info Statements	14C		PRER14C	2,557
Proxy:	Notice		Notices of Exempt Non-Management Proxy Solicitations	14a-6(g)		PX14A6G	3,073
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	211	9
SEC:	Notice		SEC Notices of Qualification	A/A+		QUALIF×	2,619
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	6,387
SEC:	Cancellation – Order		SEC Orders Revoking Registrations of Municipal Advisors	SEA §15B(c)(2)		REVOKED-MA	1
Registration:	Withdrawal		Registration Withdrawal Requests	†		RW	13,207	–
Registration:	Withdrawal		Withdrawals of Registration Withdrawal Requests	†		RW WD	454	–
Registration:	Statement		Registration Statements (General Form)	S-1		S-1°	24,156	60,140
Registration:	Statement		Registration Statements to Add Securities to Prior Form S-1 Registrations	462(b)		S-1MEF	2,216	–
Registration:	Statement		Registration Statements – Securities for Transactions	S-3		S-3°	38,863	29,981
Registration:	Statement		Automatic Shelf Registration Statements by Well-Known Issuers	S-3		S-3ASR°	9,705	–
Registration:	Statement		Registration Statements – Securities for Dividend and Interest Reinvestment Plans (Immediately Effective)	S-3		S-3D	975	5
Registration:	Amendment	/A	Post-Effective Amendments of ‘S-3D’ Registrations	S-3		S-3DPOS	743
Registration:	Statement		Registration Statements to Add Securities to Prior Form S-3 Registrations	462(b)		S-3MEF	1,356	–
Registration:	Statement		Registration Statements – Securities for Mergers	S-4		S-4°	15,562	21,849
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	184	–
Registration:	Amendment	/A	Post-Effective Amendments of ‘S-4EF’ Registrations	S-4		S-4 POS	315
Registration:	Statement		Registration Statements by Unit Investment Trusts	S-6		S-6	24,742	8,992
Registration:	Statement		Registration Statements – Securities for Certain Employee Benefit Plans	S-8		S-8	93,830	18
Registration:	Amendment	/A	Post-Effective Amendments of Form S-8 Registrations	–		S-8 POS	41,072
Registration:	Statement		Registration Statements by Certain Real Estate Companies	S-11		S-11°	1,199	3,559
Registration:	Statement		Registration Statements to Add Securities to Prior Form S-11 Registrations	462(b)		S-11MEF	91	–
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	383	238
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×	6	27
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	328
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×	7	4
Registration:	Certification		Certifications for Registration by Security-Based Swap Dealers and Major Security-Based Swap Participants	SBSE-C		SBSE-C×	53	–
Registration:	Application		Applications for Registration by Security-Based Swap Execution Facilities	SBSEF		SBSEF×	8	2
Ownership:	Statement		Statements of Acquisitions of Beneficial Ownership by “Active” Investors	13D		SC 13D	62,129	138,263
Ownership:	Statement		Statements of Acquisitions of Beneficial Ownership by “Active” Investors	13D		SCH 13D×	19	19
Ownership:	Statement		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors	13G		SC 13G	228,848	428,957
Ownership:	Statement		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors	13G		SCH 13G×	104	97
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	2,610	8,734
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	4,471	10,054
Ownership:	Communication		Tender-Offer Communications by Issuers re: Third-Party Offers	14D-9C		SC14D9C	2,663	–
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	2,341	239
Proxy:	Information		Info from Certain Nominating Shareholders	14N		SC 14N	17	7
Ownership:	Communication		Tender-Offer Communications by Issuers and Third Parties	TO		SC TO-C	5,924	–
Ownership:	Statement		Tender-Offer Statements by Issuers	TO		SC TO-I	10,851	17,326
Ownership:	Statement		Tender-Offer Statements by Third Parties	TO		SC TO-T	2,809	12,889
Update:	Report – Special		Specialized Disclosure Reports re: Conflict Minerals and Resource Extraction Payments	SD		SD	12,305	37
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	872
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	1,682
ABS:	Statement		Registration Statements (General Form) by Issuers of Asset-Backed Securities	SF-1		SF-1	27	58
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	203	267
Registration:	Sales Media – Literature		Sales Literature	–		SL	9	–
Update:	Report – Special		Special Financial Reports	15d-2		SP 15D2	64	2
Update:	Document – Special		Specialized Disclosures re: the Holding Foreign Companies Accountable Act	SPDSCL		SPDSCL	14	–
SEC:	SEC – Order		SEC Stop Orders	–		STOP ORDER	62
Registration:	Material		Supplemental Materials by Foreign Issuers	SA §11(a)		SUPPL	56,205	–
Registration:	Application		Applications for Qualifications of Trust Indentures	T-3		T-3	652	646
Registration:	Application		Applications for Determinations of Eligibility to Act as a Trustee by Foreign Entities	T-6		T-6	2	–
Registration:	Application		Applications for Registrations by Transfer Agents	TA-1		TA-1°	496	4,913
Update:	Report – Annual		Annual Reports of Activity by Transfer Agents	TA-2		TA-2°	9,613	846
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°	558	–
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	189,342
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°	100,156	6,283
See Filing/Form Type Totals by Time Periods Σ						Totals:	14,776,368	1,510,290
____________  †   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.  (See our XBRL page.)         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 & EX-101).         iXBRL:  Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard – since 2016.  i

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