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

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

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

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

Magnifying glass tilted right emoji
            Show obsolete Types
Eyes emoji


 Form, Sch.,
Rule or Reg.
Filing /
Form Type
Filings 
CategoryDescriptionOriginal  Amended 
In ascending orderSort in ascending orderSort in ascending orderSort in ascending order(click for most-recent) 
 
 • Letters  Comment-Response and Other Letters to the SEC 
Speech balloon emoji
  [ a.k.a. Document COVER ]  (Delayed Release)
 CORRESP169,775– 
 • Letters  Comment-Response and Draft-Offering-Statement Letters to the SEC 
Speech balloon emoji
  (Delayed Release)
 DOSLTR169– 
 • Letters  Comment-Response and Draft-Registration-Statement Letters to the SEC 
Speech balloon emoji
  (Delayed Release)
 DRSLTR3,027– 
 • Letters 14a-8 SEC No-Action Letters 
SEC emoji
 NO ACT9,085– 
 • Letters  SEC Staff Actions 
SEC emoji
  [ a.k.a. Document ORDER ]
 SEC ACTION283– 
 • Letters  SEC Staff Letters 
SEC emoji
  [ a.k.a. Documents STAFF LETTER, STAFF COMMENT LETTER, REDACTED EXHIBIT, SERIOUS DEFICIENCIES & 14A-8 ]
 SEC LETTER1,051– 
 • Letters  Comment and Other Letters from the SEC 
Left speech bubble emoji
  [ a.k.a. Document LETTER ]  (Delayed Release)
 UPLOAD163,965– 
 • Orders  SEC Confidential Treatment Orders 
SEC emoji
 CT ORDER16,010– 
 • Orders  SEC Stop Orders 
SEC emoji
 STOP ORDER59– 
 • Ownership 3 Initial Statements of Beneficial Ownership of Securities by Insiders 3°327,12917,966 
 • Ownership 4 Statements of Changes in Beneficial Ownership of Securities by Insiders 4°3,710,171113,462 
 • Ownership 5 Annual Statements of Changes in Beneficial Ownership of Securities by Insiders 5°107,4924,062 
 • Ownership 13F Quarterly Holdings and Combination Reports by Money Managers – Confidential Treatment Requested 13FCONP1,27190 
 • Ownership 13F Quarterly Holdings and Combination Reports by Money Managers 13F-HR°289,10425,569 
 • Ownership 13F Quarterly Holdings Notices by Money Managers 13F-NT°94,0501,834 
 • Ownership 144 Notices of Proposed Sales of Securities by Insiders 1447,357288 
 • Ownership CB Tender-Offer, Exchange-Offer and Rights-Offering Notices re: Foreign Issuers CB1,6601,554 
 • Ownership 23c-2 Notices of Intentions to Call or Redeem their own Securities by Closed-End Investment Companies N-23C-21,67058 
 • Ownership N-23c-3 Notices of Periodic Repurchase Offers by Closed-End Investment Companies N-23C3A2,25928 
 • Ownership N-23c-3 Notices of Discretionary Repurchase Offers by Closed-End Investment Companies N-23C3B4043 
 • Ownership N-23c-3 Notices of Periodic and Discretionary Repurchase Offers by Closed-End Investment Companies N-23C3C4847 
 • Ownership 13D Statements of Acquisitions of Beneficial Ownership by Non-Passive Investors SC 13D57,893124,011 
 • Ownership 13E-1 Tender-Offer Statements by Issuers SC 13E12313 
 • Ownership 13E-3 Tender-Offer Statements by Issuers for Going-Private Transactions SC 13E32,4598,222 
 • Ownership 13E-4F Tender-Offer Statements by Canadian Issuers SC13E4F1726 
 • Ownership 13G Statements of Acquisitions of Beneficial Ownership by Passive Investors SC 13G206,405374,686 
 • Ownership 14D-1F Tender-Offer Statements by Canadian Third Parties SC14D1F45148 
 • Ownership 14D-9 Tender-Offer Solicitation/Recommendation Statements SC 14D94,2769,485 
 • Ownership 14D-9C Tender-Offer Communications by Issuers re: Third-Party Offers SC14D9C2,421– 
 • Ownership 14D-9F Tender-Offer Solicitation/Recommendation Statements by Canadian Issuers SC14D9F4040 
 • Ownership 14F-1 Statements re: Changes in the Majority of Directors SC 14F12,260233 
 • Ownership TO Tender-Offer Communications re: Issuer and Third-Party Offers SC TO-C5,453– 
 • Ownership TO Tender-Offer Statements by Issuers SC TO-I9,34115,323 
 • Ownership TO Tender-Offer Statements by Third Parties SC TO-T2,63312,225 
 • Proxies 14A Definitive Proxy Statements DEF 14A°169,785– 
 • Proxies 14C Definitive Proxy Info Statements DEF 14C12,362– 
 • Proxies 14A Additional Definitive Proxy Soliciting Materials DEFA14A°91,443– 
 • Proxies 14C Additional Definitive Proxy Info Statements DEFA14C363– 
 • Proxies 14A Definitive Proxy Statements for Contested Solicitations DEFC14A1,948– 
 • Proxies 14C Definitive Proxy Info Statements for Contested Solicitations DEFC14C25– 
 • Proxies 14A Definitive Proxy Statements for Mergers and Acquisitions DEFM14A5,547– 
 • Proxies 14C Definitive Proxy Info Statements for Mergers and Acquisitions DEFM14C431– 
 • Proxies 14A Definitive Non-Management Proxy Statements DEFN14A305– 
 • Proxies 14A Revised Definitive Proxy Soliciting Materials DEFR14A5,474– 
 • Proxies 14C Revised Definitive Proxy Info Statements DEFR14C418– 
 • Proxies 14A Additional Definitive Non-Management Proxy Soliciting Materials DFAN14A12,345– 
 • Proxies 14A Revised Definitive Non-Management Proxy Statements DFRN14A329– 
 • Proxies N-PX Proxy Voting Records – Annual Reports by Investment Companies N-PX51,3571,860 
 • Proxies 14A Preliminary Proxy Statements PRE 14A°38,409– 
 • Proxies 14C Preliminary Proxy Info Statements PRE 14C9,506– 
 • Proxies 14A Preliminary Proxy Statements for Contested Solicitations PREC14A2,662– 
 • Proxies 14C Preliminary Proxy Info Statements for Contested Solicitations PREC14C63– 
 • Proxies 14A Preliminary Proxy Statements for Mergers and Acquisitions PREM14A4,854– 
 • Proxies 14C Preliminary Proxy Info Statements for Mergers and Acquisitions PREM14C684– 
 • Proxies 14A Preliminary Non-Management Proxy Statements PREN14A374– 
 • Proxies 14A Revised Preliminary Proxy Soliciting Materials PRER14A11,103– 
 • Proxies 14C Revised Preliminary Proxy Info Statements PRER14C2,486– 
 • Proxies 14A Revised Preliminary Non-Management Proxy Soliciting Materials for Contested Solicitations and Other Situations PRRN14A2,096– 
 • Proxies 14a-6(g) Notices of Exempt Non-Management Proxy Solicitations PX14A6G1,868– 
 • Proxies 14a-6(n) Notices of Exempt Non-Management Proxy Solicitations – Preliminary Roll-Up Communications PX14A6N41– 
 • Proxies 14N Info from Certain Nominating Shareholders SC 14N127 
 • Registrations  Applications for Registration or Exemption from Registration as a Securities Exchange 1901,843 
 • Registrations 1-A Offering Statements — Reg. A/A+ 1-A°1,4483,476 
 • Registrations  Post-Qualification Amendments of Form 1-A Offering Statements — Reg. A/A+ 1-A POS×1,032– 
 • Registrations  Withdrawals of Form 1-A Offering Statements — Reg. A/A+ 1-A-W19924 
 • Registrations E Ads by Small Business Investment and Business Development Companies 1-E AD2– 
 • Registrations ICA Applications for Exemption Orders – ’40-6B’ SEC Notices 
SEC emoji
 6B NTC26– 
 • Registrations ICA Applications for Exemption Orders – ’40-6B’ SEC Orders 
SEC emoji
 6B ORDR26– 
 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12B20,8934,540 
 • Registrations 8-A Registrations of Certain Classes of Securities 8-A12G10,0212,362 
 • Registrations ICA Applications for Deregistration Orders – ’40-8F-2’ SEC Notices 
SEC emoji
 8F-2 NTC4– 
 • Registrations ICA Applications for Deregistration Orders – ’40-8F-2’ SEC Orders 
SEC emoji
 8F-2 ORDR3– 
 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12B°26429 
 • Registrations 8-K Notices of Securities of Successor Issuers Deemed to be Registered 8-K12G3629115 
 • Registrations  Consents to Service of Process by Notice – Non-Resident Broker-Dealer Corporations 8-M66– 
 • Registrations  Consents to Service of Process by Notice – Non-Resident Broker-Dealer Partnerships 9-M13– 
 • Registrations 10 Registrations of Securities (General Form) 10-12B°7851,586 
 • Registrations 10 Registrations of Securities (General Form) 10-12G°2,6454,538 
 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12B5,603110 
 • Registrations 15 Certifications of Terminations of Registration of Classes of Securities 15-12G13,203411 
 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 15F-12B19913 
 • Registrations 15F Certifications of Foreign Issuers’ Terminations of Registration of Classes of Securities 15F-12G23412 
 • Registrations 18 Registrations of Securities of Foreign Governments and Political Subdivisions 18-12B4– 
 • Registrations 20-F Registrations of Securities of Foreign Non-Canadian Issuers 20FR12B171160 
 • Registrations 20-F Registrations of Securities of Foreign Non-Canadian Issuers 20FR12G°381597 
 • Registrations 24f-2 Annual Notices of Securities Sold by Investment Companies 24F-2NT182,1933,172 
 • Registrations 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 
 • Registrations TIA Applications Regarding a Conflict of Interest under the Trust Indenture Act 39-310B2– 
 • Registrations ICA Applications for Exemption Orders by Employees’ Investment Companies 40-6B50171 
 • Registrations ICA §6(c) Applications for Exemptions and Other Relief by Investment Companies 40-6C433529 
 • Registrations O-2 Applications for Deregistration Orders by Investment Companies 40-8F-22233 
 • Registrations ICA Investment Company Registrations Withdrawn by SEC Order 
SEC emoji
 40-8FC31 
 • Registrations IAA §202 Applications to Designate Applicant a Person not within the Intent of the Investment Advisers Act 40-202A3336 
 • Registrations IAA §203 Exemptions from the Prohibition on Registration as an Investment Adviser 40-203A22 
 • Registrations IAA §205 Applications for Performance Fee Exemptions by Investment Advisers 40-205E32 
 • Registrations IAA §206(3) Applications for Exemptions by Investment Advisers 40-206A4739 
 • Registrations ICA Applications for Exemption Orders and Other Relief by Investment Companies 40-APP1,9292,957 
 • Registrations 40-F Registration Statements and Annual Reports by Canadian Issuers 40-F°2,782508 
 • Registrations 40-F Registrations of Securities of Canadian Issuers 40FR12B13969 
 • Registrations 40-F Registrations of Securities of Canadian Issuers 40FR12G3110 
 • Registrations ICA Applications for Exemption Orders from the SEC Office of Insurance Products (OIP) by Investment Companies 40-OIP82156 
 • Registrations 1-A Offering Statements – Info Previously Omitted — Reg. A/A+ 253G177– 
 • Registrations 1-A Offering Statements – Info Substantively Changed or Added — Reg. A/A+ 253G22,116– 
 • Registrations 1-A Offering Statements – Info Previously Omitted – Info Substantively Changed or Added — Reg. A/A+ 253G39– 
 • Registrations 1-A Offering Statements – Info Previously Omitted – Info Substantively Changed or Added (Late Filings) — Reg. A/A+ 253G44– 
 • Registrations T-1 Statements of Eligibility by Corporations Designated to Act as Trustees 305B21,92020 
 • Registrations 424(a) Prospectuses – Info Substantively Changed or Added 424A1,556– 
 • Registrations 424(b)(1) Prospectuses – Info Previously Omitted 424B16,055– 
 • Registrations 424(b)(2) Prospectuses – Primary Offerings or Shelf Securities 424B2286,718– 
 • Registrations 424(b)(3) Prospectuses – New Facts or Events 424B3°164,000– 
 • Registrations 424(b)(4) Prospectuses – Info Previously Omitted – New Facts or Events 424B4°11,054– 
 • Registrations 424(b)(5) Prospectuses – Primary Offerings or Shelf Securities – New Facts or Events 424B5°61,656– 
 • Registrations 424(b)(7) Prospectuses – Selling Security Holders – Info Previously Omitted 424B73,823– 
 • Registrations 424(b)(8) Prospectuses (Late Filings) 424B81,263– 
 • Registrations 424(h) Prospectuses – Asset-Backed Securities – Info Previously Omitted or Changed 424H78661 
 • Registrations 485(a) Post-Effective Amendments of Form N-1 and N-1A Registrations 485APOS°40,611– 
 • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations 485BPOS°187,202– 
 • Registrations 485(b) Post-Effective Amendments of Form N-1 and N-1A Registrations to Designate New Effective Dates 485BXT22,862– 
 • Registrations 486(a) Post-Effective Amendments of Form N-2 Registrations 486APOS229– 
 • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations 486BPOS936– 
 • Registrations 486(b) Post-Effective Amendments of Form N-2 Registrations to Designate New Effective Dates 486BXT62– 
 • Registrations 487 Pre-Effective Pricing Amendments of Registration Statements 48719,614– 
 • Registrations 497 Definitive Materials 497°372,497– 
 • Registrations 497(h)(2) Prospectuses of Certain Closed-End Investment Companies 497H283– 
 • Registrations 497(j) Certifications of No Change in Definitive Materials 497J122,078– 
 • Registrations 497(k) Summary Prospectuses of Certain Open-End Investment Companies 497K224,528– 
 • Registrations 497(k) Summary Prospectuses of Certain Variable Annuity/Life Contracts – Initial 497VPI156– 
 • Registrations 497(k) Summary Prospectuses of Certain Variable Annuity/Life Contracts – Updating 497VPU325– 
 • Registrations  Asset-Backed Securities [XML] Exhibits ABS-EE°11,981174 
 • Registrations  Additional and Detached Materials for which No Rule or Regulation Applies or No Specific Form is Prescribed ADN-MTL50– 
 • Registrations IAA Appointments of an Agent for Service of Process by Non-Resident General Partners and Non-Resident Managing Agents of Investment Advisers ADV-NR684– 
 • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Notices 
SEC emoji
 APP NTC890– 
 • Registrations ICA Applications for Exemption Orders – ’40-APP’ SEC Orders 
SEC emoji
 APP ORDR862– 
 • Registrations ICA Withdrawals of Applications for Exemption Orders and Other Relief APP WD48512 
 • Registrations ICA Withdrawals of Applications for Exemption Orders – ‘APP WD’ SEC Grant 
SEC emoji
 APP WDG74– 
 • Registrations  Amendment Withdrawal Requests AW3,751– 
 • Registrations  Amendment Withdrawal Requests – Withdraw Duplicate AW WD105– 
 • Registrations C Crowdfunding Offering Statements C×3,8384,473 
 • Registrations C/A-W Crowdfunding Offering Statement Amendment Withdrawals C/A-W×13– 
 • Registrations C-W Crowdfunding Offering Statement Withdrawals C-W×381– 
 • Registrations C-U Crowdfunding Progress Updates C-U×1,613– 
 • Registrations C-U-W Crowdfunding Progress Update Withdrawals C-U-W×7– 
 • Registrations CERT Certifications by Securities Exchanges Approving Listings CERT3,629– 
 • Registrations CERT Certifications by the Cboe Global Markets Approving Listings  [ now as CERT ] CERTCBO74– 
 • Registrations CERT Certifications by the Nasdaq Stock Market Approving Listings  [ now as CERT ] CERTNAS2,776– 
 • Registrations CERT Certifications by the NYSE Approving Listings  [ now as CERT ] CERTNYS5,655– 
 • Registrations Funding Portal Applications for Registration as a Crowdfunding Portal CFPORTAL×84312 
 • Registrations Funding Portal Applications for Withdrawal from Registration as a Crowdfunding Portal CFPORTAL-W×10– 
 • Registrations D Notices of Exempt Offerings of Securities — Reg. D D×277,177186,303 
 • Registrations  Registration Effectiveness-Delaying Amendments DEL AM1,139– 
 • Registrations 1-A Draft Offering Statements — Reg. A/A+ DOS×171197 
 • Registrations DRS Draft Registration Statements by Emerging Growth Companies and Foreign Issuers DRS°3,3243,562 
 • Registrations  SEC Notices of Effectiveness 
SEC emoji
 EFFECT×55,823– 
 • Registrations F-1 Registration Statements by Foreign Issuers F-1°1,5964,321 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-1 Registration F-1MEF198– 
 • Registrations F-3 Registration Statements by Foreign Issuers for Securities Offered Pursuant to Transactions F-3°1,5481,277 
 • Registrations F-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Foreign Issuers F-3ASR°631– 
 • Registrations F-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans F-3D58– 
 • Registrations  Post-Effective Amendments of ‘F-3D’ Registrations F-3DPOS38– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-3 Registration F-3MEF43– 
 • Registrations F-4 Registration Statements by Foreign Issuers for Securities Issued in Mergers – Not Effective Immediately F-4°7621,429 
 • Registrations F-4 Registration Statements by Foreign Issuers for Securities Issued in Mergers – Effective Immediately F-4EF1– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form F-4 Registration F-4MEF8– 
 • Registrations  Post-Effective Amendments of Form F-4 Registrations F-4 POS22– 
 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Not Effective Immediately F-61,799179 
 • Registrations F-6 Registrations of Depositary Shares Evidenced by American Depositary Receipts – Effective Immediately F-6EF6,791– 
 • Registrations  Post-Effective Amendments of ‘F-6EF’ Registrations F-6 POS2,422– 
 • Registrations F-7 Registration Statements by Canadian Issuers for Securities Offered for Cash Upon the Exercise of Rights F-74410 
 • Registrations  Post-Effective Amendments of Form F-7 Registrations F-7 POS5– 
 • Registrations F-8 Registration Statements by Canadian Issuers for Securities to be Issued in Exchange Offers and Mergers F-83251 
 • Registrations  Post-Effective Amendments of Form F-8 Registrations F-8 POS13– 
 • Registrations F-10 Registration Statements by Canadian Issuers – Not Effective Immediately F-10839889 
 • Registrations F-10 Registration Statements by Canadian Issuers – Effective Immediately F-10EF7– 
 • Registrations  Post-Effective Amendments of ‘F-10EF’ Registrations F-10POS58– 
 • Registrations F-80 Registrations of Securities of Canadian Issuers for Securities to be Issued in Exchange Offers and Mergers F-802622 
 • Registrations  Post-Effective Amendments of Form F-80 Registrations F-80POS19– 
 • Registrations F-N Appointments of Agents for Service of Process by Foreign Financial Entities F-N39427 
 • Registrations 163 / 433 Free-Writing Prospectuses FWP161,576– 
 • Registrations F-X Appointments of Agents for Service of Process by Foreign Non-Financial Entities F-X2,766287 
 • Registrations G-FIN Notices of Activities as a Government Securities Broker or Dealer by Financial Institutions G-FIN23254 
 • Registrations G-FINW Notices of Withdrawal as a Government Securities Broker or Dealer by Financial Institutions G-FINW16– 
 • Registrations ID Applications for EDGAR Access – New Central Index Key (CIK) ID-NEWCIK1– 
 • Registrations MA Applications for Municipal Advisor Registration MA×8911,630 
 • Registrations MA Annual Updates of a Municipal Advisor’s Registration MA-A×2,347– 
 • Registrations MA-I Info Regarding Natural Persons Who Engage in Municipal Advisory Activities MA-I×8,0409,258 
 • Registrations MA-W Notices of Withdrawal from Registration as a Municipal Advisor MA-W×343– 
 • Registrations MSD Registrations of Municipal Securities Dealers MSD44427 
 • Registrations MSDW Notices of Withdrawal from Registration as a Municipal Securities Dealer MSDW82– 
 • Registrations N-1 Registration Statements by Open-End Investment Companies N-12189 
 • Registrations N-1A Registration Statements by Open-End Investment Companies N-1A°1,8882,813 
 • Registrations N-2 Registration Statements by Closed-End Investment Companies N-23,8225,748 
 • Registrations N-2 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Closed-End Investment Companies N-2ASR11– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-2 Registration N-2MEF252– 
 • Registrations  Post-Effective Amendments of Form N-2 Automatic Shelf Registrations N-2 POSASR1– 
 • Registrations N-4 Registration Statements for Separate Accounts by Variable Annuity Unit Investment Trusts N-42,2912,027 
 • Registrations N-5 Registration Statements by Small-Business Investment Companies N-5910 
 • Registrations N-6 Registration Statements for Separate Accounts by Variable Life Unit Investment Trusts N-6710524 
 • Registrations N-8A Notices of Registrations by Investment Companies N-8A4,300612 
 • Registrations N-8B-2 Registration Statements by Unit Investment Trusts N-8B-2184172 
 • Registrations N-8B-4 Registration Statements by Face-Amount Certificate Companies N-8B-45– 
 • Registrations N-8F Applications for Deregistration Orders by Certain Investment Companies N-8F3,1121,453 
 • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Notices 
SEC emoji
 N-8F NTC1,747– 
 • Registrations ICA Applications for Deregistration Orders – ‘N-8F’ SEC Orders 
SEC emoji
 N-8F ORDR1,907– 
 • Registrations N-14 Registration Statements by Open-End Investment Companies – Mergers N-143,5412,341 
 • Registrations N-14 Registration Statements by Closed-End Investment Companies – Mergers N-14 8C266314 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form N-14 Registration N-14MEF5– 
 • Registrations NRSRO Annual Certifications by Nationally Recognized Statistical Rating Organizations NRSRO-CE6029 
 • Registrations NRSRO Updates of Registrations by Nationally Recognized Statistical Rating Organizations NRSRO-UPD176– 
 • Registrations ICA Applications for Exemption Orders – ’40-OIP’ SEC Notices 
SEC emoji
 OIP NTC66– 
 • Registrations ICA Applications for Exemption Orders – ’40-OIP’ SEC Orders 
SEC emoji
 OIP ORDR60– 
 • Registrations SA §8(c) Post-Effective Amendments of Certain Investment Company Registration Statements POS 8C2,213– 
 • Registrations  Post-Effective Amendments of Rule 462(b) Registration Statements POS462B221– 
 • Registrations  Post-Effective Amendments of Rule 462(c) Registration Statements POS462C84– 
 • Registrations  Post-Effective Amendments of Registration Statements POS AM°30,594– 
 • Registrations ICA Post-Effective Amendments of Investment Company Registration Statements POS AMI6,388– 
 • Registrations S-3ASR / F-3ASR Post-Effective Amendments of Automatic Shelf Registration Statements POSASR°1,918– 
 • Registrations 462(d) Post-Effective Amendments of Registration Statements to Add Exhibits POS EX°4,295– 
 • Registrations  SEC Notices of Qualification — Reg. A/A+ 
SEC emoji
 QUALIF×1,255– 
 • Registrations  Initial Undertakings to File Reports for Non-Resident Brokers, Dealers and Investment Advisers REG-NR672 
 • Registrations SEA §12(j) SEC Orders Revoking Registrations 
SEC emoji
 REVOKED5,887– 
 • Registrations  Registration Withdrawal Requests RW11,985– 
 • Registrations  Withdrawals of Registration Withdrawal Requests RW WD410– 
 • Registrations S-1 Registration Statements (General Form) S-1°20,67153,049 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-1 Registration S-1MEF1,923– 
 • Registrations S-3 Registration Statements for Securities Offered Pursuant to Transactions S-3°35,86128,936 
 • Registrations S-3 Automatic Shelf Registration Statements for Securities of Well-Known Seasoned Issuers S-3ASR°7,860– 
 • Registrations S-3 Registrations of Securities Pursuant to Dividend and Interest Reinvestment Plans S-3D9555 
 • Registrations  Post-Effective Amendments of ‘S-3D’ Registrations S-3DPOS675– 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-3 Registration S-3MEF1,318– 
 • Registrations S-4 Registrations of Securities Issued in Mergers S-4°14,65919,742 
 • Registrations S-4 Registrations of Securities Issued in Mergers Forming Bank and Savings & Loan Holding Companies S-4EF7731 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-4 Registration S-4MEF157– 
 • Registrations  Post-Effective Amendments of ‘S-4EF’ Registrations S-4 POS307– 
 • Registrations S-6 Registration Statements by Unit Investment Trusts S-621,4058,330 
 • Registrations S-8 Registrations of Securities to be Offered to Employees Pursuant to Employee Benefit Plans S-884,82318 
 • Registrations  Post-Effective Amendments of Form S-8 Registrations S-8 POS35,196– 
 • Registrations S-11 Registration Statements by Real Estate Companies S-11°1,1313,452 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Form S-11 Registration S-11MEF85– 
 • Registrations S-20 Registration Statements for Standardized Options S-2065 
 • Registrations B Registration Statements by Foreign Governments and Political Subdivisions S-B345212 
 • Registrations 462(b) Registration Statements to Add Securities to a Prior Schedule B Registration S-BMEF14– 
 • Registrations SDR Applications for Registration as a Security-Based Swap Data Repository SDR×24 
 • Registrations SF-1 Registration Statements (General Form) by Issuers of Asset-Backed Securities SF-1518 
 • Registrations SF-3 Shelf Registration Statements for Qualified Offerings of Asset-Backed Securities SF-3136205 
 • Registrations  Sales Literature SL9– 
 • Registrations SA §11(a) Supplemental Materials by Foreign Issuers {Voluntary} SUPPL55,881– 
 • Registrations T-3 Applications for Qualification of a Trust Indenture T-3629624 
 • Registrations T-6 Applications for Determination of Eligibility of a Foreign Person to Act as an Institutional Trustee T-61– 
 • Registrations TA-1 Applications for Registration as a Transfer Agent TA-1°4344,299 
 • Registrations TA-W Notices of Withdrawal from Registration as a Transfer Agent TA-W°513– 
 • Registrations  Test-the-Waters Materials — Reg. A/A+ TTW288 
 • Registrations  Withdrawal Requests for Materials Previously Filed — Reg. A/A+ WDL-REQ62– 
 • Reports E Notices by Small Business Investment and Business Development Companies 1-E15278 
 • Reports 1-K Annual Reports — Reg. A 1-K×60736 
 • Reports 1-SA Semi-Annual Reports — Reg. A 1-SA52530 
 • Reports 1-U Current Reports — Reg. A 1-U2,17219 
 • Reports 1-Z Exit Reports — Reg. A 1-Z×1195 
 • 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 
 • Reports 6-K Reports by Foreign Issuers 6-K°426,2465,452 
 • Reports 8-K Current Reports 8-K°1,663,32576,101 
 • Reports 8-K Notices of Assumptions of Duty to Report by Successor Issuers 8-K15D5712 
 • Reports 10-D Distribution Reports by Asset-Backed Issuers 10-D°74,0812,388 
 • Reports 10-K Annual Reports 10-K°195,51742,414 
 • Reports 10-K Annual-Transition Reports 10-KT°514121 
 • Reports 10-Q Quarterly Reports 10-Q°595,08143,854 
 • Reports 10-Q Quarterly-Transition Reports 10-QT°20936 
 • Reports 11-K Annual Reports by Employee Stock Purchase, Savings and Similar Plans 11-K41,013974 
 • Reports 11-K Annual-Transition Reports by Employee Stock Purchase, Savings and Similar Plans 11-KT962 
 • Reports 15 Notices of Suspensions of Duty to File Reports 15-15D16,026217 
 • Reports 15F Notices of Foreign Issuers’ Suspensions of Duty to File Reports 15F-15D1293 
 • Reports 18-K Annual Reports by Foreign Governments and Political Subdivisions 18-K°7252,338 
 • Reports 19b-4(e) Info from SROs Listing and Trading New Derivative Securities Products 19B-4E27,565– 
 • Reports 20-F Annual Reports by Foreign Non-Canadian Issuers 20-F°16,4093,505 
 • Reports 25 Notices by Issuers of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities 254,06943 
 • Reports 25 Notices by Securities Exchanges of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities 25-NSE×11,141246 
 • Reports 8b-25(a) Applications for Extensions of Time to File Reports by Investment Companies 40-8B25112– 
 • Reports 17f-1 Certificates of Accounting of Securities in the Custody of Investment Companies 40-17F155917 
 • Reports 17f-2 Certificates of Accounting of Securities in the Custody of Investment Companies 40-17F218,558131 
 • Reports 17g-1(g) Fidelity Bonds for Investment Companies 40-17G26,2052,214 
 • Reports 17g-1 Claims and Settlements re: Investment Companies 40-17GCS18– 
 • Reports 24b-2 Sales Literature from Investment Companies 40-24B23,01486 
 • Reports ICA §33 Stockholder Derivative Actions re: Investment Companies 40-331,0468 
 • Reports ICA Reports Required from Certain Applicants for Exemptions from the Investment Company Act 40-RPT2– 
 • Reports 425 Prospectuses and Communications – Mergers 425°71,212– 
 • Reports 497 & 482(c) Advertising by Certain Investment Companies 497AD3,983– 
 • Reports SEA §15G Asset-Backed Securitizer Reports ABS-15G12,7023,653 
 • Reports IAA Certificates of Accounting of Client Securities and Funds in Possession or Custody of Investment Advisers ADV-E2,451– 
 • Reports IAA Applications for Continuing Hardship Exemptions by Investment Advisers ADV-H-C8– 
 • Reports IAA Applications for Temporary Hardship Exemptions by Investment Advisers ADV-H-T74– 
 • Reports  Annual Reports by International Development Banks ANNLRPT°1101 
 • Reports  Annual Reports to Security Holders ARS°36,72338 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Initial Info ATS-N×4– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Correcting Amendments ATS-N/CA×25– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Material Amendments ATS-N/MA×82– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Updating Amendments ATS-N/UA×197– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Notices of Cessation ATS-N-C×6– 
 • Reports ATS-N Alternative Trading Systems (NMS Stock) – Withdrawals ATS-N-W×1– 
 • Reports C-AR Crowdfunding Annual Reports C-AR×1,45655 
 • Reports C-AR-W Crowdfunding Annual Report Withdrawals C-AR-W×6– 
 • Reports C-TR Crowdfunding Terminations of Reporting C-TR×231– 
 • Reports C-TR-W Crowdfunding Termination of Reporting Withdrawals C-TR-W×3– 
 • Reports  Distribution Reports of Primary Obligations by International Development Banks DSTRBRPT58819 
 • Reports  Annual Audit Reports on Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers FOCUSN30,5191,063 
 • Reports G-405 Annual Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers G-405643 
 • Reports G-405N Annual Audit Reports on Financial Reports [ a.k.a. FOGS Reports ] by Government Securities Brokers and Dealers G-405N501 
 • Reports ITRASHRA Notices of Iran/Syria Disclosures in Quarterly and Annual Reports IRANNOTICE3,273– 
 • Reports N-6F Notices of Intentions to Elect Business-Development-Company Status N-6F14463 
 • Reports 18f-1 Notices of Elections by Open-End Investment Companies N-18F11,25831 
 • Reports 30b-2 Periodic and Interim Reports Mailed to Shareholders of Investment Companies N-30B-211,663– 
 • Reports 30d-1 Annual and Semi-Annual Reports Mailed to Shareholders of Investment Companies N-30D71,3671,057 
 • Reports N-54A Notices of Elections by Business Development Companies N-54A2899 
 • Reports N-54C Notices of Withdrawal from Registration by Business Development Companies N-54C1974 
 • Reports N-CEN Annual Reports by Investment Companies N-CEN×9,4461,131 
 • Reports N-CEN Annual Reports by Investment Companies (Late Filings) NT N-CEN°145– 
 • Reports N-CR Current Reports of Material Events by Money-Market Funds N-CR6913 
 • Reports N-CSR Certified Annual Shareholder Reports by Investment Companies N-CSR°63,4513,028 
 • Reports N-CSR Certified Semi-Annual Shareholder Reports by Investment Companies N-CSRS°55,425971 
 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds N-MFP2×22,9331,029 
 • Reports N-MFP Monthly Portfolio Holdings Schedules by Money-Market Funds (Late Filings) NT N-MFP2°300– 
 • Reports N-PORT Monthly Portfolio Investments Reports (made Public Quarterly) by Investment Companies  [ with Exhibit NPORT-EX ] NPORT-P×70,9141,250 
 • Reports N-PORT Monthly Portfolio Investments Reports (made Public Quarterly) by Investment Companies (Late Filings)  [ with Exhibit NPORT-EX ] NT NPORT-P×875– 
 • Reports N-Q Quarterly Portfolio Holdings Schedules by Investment Companies N-Q°94,9311,010 
 • Reports 12b-25 Notices of Late Filings of Form 10-D Distribution Reports NT 10-D91 
 • Reports 12b-25 Notices of Late Filings of Form 10-D Distribution Reports (Late Notices) NTN 10D5– 
 • Reports 12b-25 Notices of Late Filings of Form 10-K Annual Reports NT 10-K43,638694 
 • Reports 12b-25 Notices of Late Filings of Form 10-K Annual Reports (Late Notices) NTN 10K1,580– 
 • Reports 12b-25 Notices of Late Filings of Form 10-Q Quarterly Reports NT 10-Q°71,104605 
 • Reports 12b-25 Notices of Late Filings of Form 10-Q Quarterly Reports (Late Notices) NTN 10Q2,302– 
 • Reports 12b-25 Notices of Late Filings of Form 11-K Annual Reports NT 11-K1,65516 
 • Reports 12b-25 Notices of Late Filings of Form 11-K Annual Reports (Late Notices) NTN 11K18– 
 • Reports 12b-25 Notices of Late Filings of Form 20-F Annual Reports NT 20-F1,71027 
 • Reports 12b-25 Notices of Late Filings of Form 20-F Annual Reports (Late Notices) NTN 20F37– 
 • Reports 12b-25 Notices of Late Filings of Form N-CEN Annual Reports NT-NCEN592 
 • Reports 12b-25 Notices of Late Filings of Form N-CEN Annual Reports (Late Notices) NTFNCEN16– 
 • Reports 12b-25 Notices of Late Filings of Form N-CSR Shareholder Reports NT-NCSR34926 
 • Reports 12b-25 Notices of Late Filings of Form N-CSR Shareholder Reports (Late Notices) NTFNCSR78– 
 • 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 N-VP Notices of Certain Variable Annuity/Life Contracts N-VP59– 
 • Reports N-VPFS Financial Statements of Certain Variable Annuity/Life Contracts N-VPFS5956 
 • Reports  Quarterly Reports by International Development Banks QRTLYRPT1483 
 • Reports 13p-1 Specialized Disclosure Reports Relating to the Use of Conflict Minerals SD8,23626 
 • Reports SE Separate Exhibits of Scanned Paper-Format Exhibits of Filings SE3,582– 
 • Reports 15d-2 Special Financial Reports SP 15D2582 
 • Reports TA-2 Annual Reports of Transfer Agents’ Activities TA-2°8,788761 
 • Reports TH Notices of Reliance on Temporary Hardship Exemption TH135– 
 • Reports X-17A-5 Annual Financial Reports [ a.k.a. FOCUS Reports ] by Brokers and Dealers X-17A-5°89,0055,864 
 
  Totals       12,272,330   1,291,970 
____________
 This Filing/Form Type pertains to multiple Forms
Page facing up emoji
, Schedules
Page facing up emoji
, Rules
Registered emoji
or Regulations
Registered emoji
of the Acts’ Sections.
° May contain, or be, an XMLª or XBRLª File.         (Most XMLª Files are rendered by using the SEC’s XSLTª Stylesheets –
× Must be, or contain, an XMLª or XBRLª File.         XBRLª Files are rendered by the SEC as IDEAª ‘R#’ Financial Reports.)
ª Acronyms: 
Input latin uppercase emoji
      XML:  eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard.  ?xml?
      XBRL:  eXtensible Business Reporting Language — A financial-data-interchange standard, based on XML.  
xBRL emoji
      XSLT:  eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML.  
W3C emoji
      IDEA:  Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data.  (See our XBRL page info.)  
SEC emoji

Magnifying glass tilted right emoji
            Show obsolete Types
Eyes emoji

Top

Copyright © 2021 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Thu., May 6, 1:12:55.2am ET