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Period Totals for Filing/Form Types
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Filing/Form Types
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Document/Exhibit Types
Date:
Filed “On” — When the submitted Filing was accepted by the SEC (Acceptance Date)
Filed “As Of” — Date the SEC considers the Filing to have been legally filed (Filing Date)
Period End — End of the time period that the Filing pertains to (if stated, else Filing Date)
Type:
All 486 Filing/Form Types
Filing/Form Types:
‘1’ — Application for Registration, or an Exemption from Registration, as a National ...
‘1-A’ — Offering Statement
‘1-A POS’ — Post-Qualification Amendment of a Form 1-A Offering Statement
‘1-A-W’ — Withdrawal of a Form 1-A Offering Statement
‘1-E’ — Notice of an Exempt Offering of Securities by a Small Business Investment or ...
‘1-E AD’ — Advertising by a Small Business Investment or Business Development Company ...
‘1-K’ — Annual Report or Special Financial Report
‘1-SA’ — Semi-Annual Report or Special Financial Report
‘1-U’ — Current Report
‘1-Z’ — Exit Report
‘1-Z-W’ — Withdrawal of an Exit Report
‘2-A’ — Report of Sales of Securities
‘2-AF’ — Final Report of Sales of Securities
‘2-E’ — Report of Sales of Securities by an Investment Company (SBIC or BDC)
‘3’ — Initial Statement of Beneficial Ownership of Securities by an Insider
‘4’ — Statement of Changes in Beneficial Ownership of Securities by an Insider
‘5’ — Annual Statement of Changes in Beneficial Ownership of Securities by an Insider
‘6B NTC’ — Application for an SEC Exemption Order – ‘40-6B’ SEC Notice
‘6B ORDR’ — Application for an SEC Exemption Order – ‘40-6B’ SEC Order
‘6-K’ — Current, Quarterly or Annual Report by a Foreign Issuer
‘8-A12B’ — Registration Statement for a Class of Securities
‘8A12BEF’ — Registration Statement for a Class of Securities [obsolete]
‘8A12BT’ — Registration Statement for a Class of Securities [obsolete]
‘8-A12G’ — Registration Statement for a Class of Securities
‘8-B12B’ — Registration Statement by a Successor Issuer [obsolete]
‘8-B12G’ — Registration Statement by a Successor Issuer [obsolete]
‘8F-2 NTC’ — Application for an SEC Deregistration Order – ‘40-8F-2’ SEC Notice
‘8F-2 ORDR’ — Application for an SEC Deregistration Order – ‘40-8F-2’ SEC Order
‘8-K’ — Current Report
‘8-K12B’ — Notice of Securities Deemed to be Registered by a Successor Issuer
‘8-K12G3’ — Notice of Securities Deemed to be Registered by a Successor Issuer
‘8-K15D5’ — Notice of an Assumption of Duty to File Reports by a Successor Issuer
‘8-M’ — Appointment of a U.S. Agent for Service of Process by a Non-Resident ...
‘9-M’ — Appointment of a U.S. Agent for Service of Process by a Non-Resident ...
‘10-M’ — Appointment of a U.S. Agent for Service of Process by a Non-Resident ...
‘10-12B’ — Registration Statement
‘10-12G’ — Registration Statement
‘10-C’ — Report of a Change in the Number of Shares Outstanding or an Issuer Name Change ...
‘10-D’ — Distribution Report by an Issuer of Asset-Backed Securities
‘10-K’ — Annual Report
‘10-K405’ — Annual Report — Reg. S-K – Item 405 [obsolete]
‘10KSB’ — Annual or Annual-Transition Report by a Small Business [obsolete]
‘10KSB40’ — Annual or Annual-Transition Report by a Small Business — Reg. S-B – Item 405 ...
‘10-KT’ — Annual-Transition Report
‘10KT405’ — Annual-Transition Report — Reg. S-K – Item 405 [obsolete]
‘10-Q’ — Quarterly Report
‘10QSB’ — Quarterly or Quarterly-Transition Report by a Small Business [obsolete]
‘10-QT’ — Quarterly-Transition Report
‘10SB12B’ — Registration Statement by a Small-Business Issuer [obsolete]
‘10SB12G’ — Registration Statement by a Small-Business Issuer [obsolete]
‘11-K’ — Annual Report by an Employee Stock Purchase, Savings or Similar Plan
‘11-KT’ — Annual-Transition Report by an Employee Stock Purchase, Savings or Similar Plan
‘12G3-2B’ — Exemption for American Depository Receipts (ADRs) or Foreign Securities ...
‘12G32BR’ — Exemption for American Depository Receipts (ADRs) or Foreign Securities ...
‘13FCONP’ — Quarterly Holdings and Combination Report by a Money Manager – Confidential ...
‘13F-E’ — Quarterly Holdings Report by a Money Manager [obsolete]
‘13F-HR’ — Quarterly Holdings and Combination Report by a Money Manager
‘13F-NT’ — Quarterly Holdings Notice by a Money Manager
‘15-12B’ — Certification of a Termination of Registration of a Class of Securities
‘15-12G’ — Certification of a Termination of Registration of a Class of Securities
‘15-15D’ — Notice of a Suspension of Duty to File Reports
‘15F-12B’ — Certification of a Termination of Registration of a Class of Securities by a ...
‘15F-12G’ — Certification of a Termination of Registration of a Class of Securities by a ...
‘15F-15D’ — Notice of a Suspension of Duty to File Reports by a Foreign Issuer
‘18-12B’ — Registration Statement by a Foreign Government or Political Subdivision
‘18-K’ — Annual Report by a Foreign Government or Political Subdivision
‘19B-4’ — Proposed Rule Change by a Self-Regulatory Organization (SRO)
‘19B-4E’ — Info from a Self-Regulatory Organization (SRO) Listing and Trading a New ...
‘20-F’ — Annual or Annual-Transition Report by a Foreign Non-Canadian Issuer
‘20FR12B’ — Registration Statement by a Foreign Non-Canadian Issuer
‘20FR12G’ — Registration Statement by a Foreign Non-Canadian Issuer
‘24F-1’ — Registration Statement by an Investment Company – Notice of Election [obsolete]
‘24F-2EL’ — Registration Statement by an Investment Company – Declaration of Election ...
‘24F-2NT’ — Annual Notice of Securities Sold by an Investment Company
‘24F-2TM’ — Registration Statement by an Investment Company – Termination of Declaration ...
’25’ — Notice by an Issuer of the Removal from Listing and Registration on a Securities ...
‘25-NSE’ — Notice by a Securities Exchange of the Removal from Listing and Registration ...
’26’ — Notice of an Admission to Trading of a Substituted or Additional Class of ...
‘34-12H’ — Application for an Exemption or from Filing Certain Reports
‘35-APP’ — Statement re: a Proposed Transaction where No Application is Prescribed ...
‘35-CERT’ — Certificate re: the Terms and Conditions of a Transaction [obsolete]
‘39-304D’ — Application to Exempt a Person, Registration Statement, Indenture Security or ...
‘39-310B’ — Application re: a Conflict of Interest Under the Trust Indenture Act [obsolete]
‘40-6B’ — Application for an Exemption Order by an Employees’ Investment Company
‘40-6C’ — Application for an Exemption or Other Relief by an Investment Company [obsolete]
‘40-8B25’ — Application for an Extension of Time to File Reports by an Investment Company
‘40-8F-2’ — Application for an SEC Deregistration Order by an Investment Company
‘40-8F-A’ — Application for an SEC Deregistration Order by an Investment Company – ...
‘40-8F-B’ — Application for an SEC Deregistration Order by an Investment Company – ...
‘40-8FC’ — Investment Company Registration Withdrawn by an SEC Order [obsolete]
‘40-8F-L’ — Application for an SEC Deregistration Order by an Investment Company – ...
‘40-8F-M’ — Application for an SEC Deregistration Order by an Investment Company – Merger ...
‘40-17F1’ — Certificate of Accounting of Securities of an Investment Company in the ...
‘40-17F2’ — Certificate of Accounting of Securities in the Custody of an Investment Company
‘40-17G’ — Fidelity Bond for an Investment Company
‘40-17GCS’ — Fidelity Bond for an Investment Company – Claim or Settlement
‘40-24B2’ — Sales Literature from an Investment Company
‘40-33’ — Stockholder Derivative Action Against an Investment Company or an Affiliate
‘40-202A’ — Application to Designate the Applicant a Person Not Within the Intent of the ...
‘40-203A’ — Exemption from the Prohibition on Registration as an Investment Advisor ...
‘40-205E’ — Application for a Performance Fee Exemption by an Investment Advisor [obsolete]
‘40-206A’ — Application for an Exemption by an Investment Advisor
‘40-APP’ — Application for an Exemption Order or Other Relief by an Investment Company
‘40-F’ — Annual Report by a Canadian Issuer
‘40FR12B’ — Registration Statement by a Canadian Issuer
‘40FR12G’ — Registration Statement by a Canadian Issuer
‘40-OIP’ — Application for an SEC Exemption Order from the SEC Office of Insurance ...
‘40-RPT’ — Report Required for an Exemption from the Investment Company Act [obsolete]
‘144’ — Notice of a Proposed Sale of Securities by an Insider
‘253G1’ — Offering Statement – Info Previously Omitted
‘253G2’ — Offering Statement – Info Substantively Changed or Added
‘253G3’ — Offering Statement – Info Previously Omitted & Info Substantively Changed or Added
‘253G4’ — Offering Statement – Info Previously Omitted & Info Substantively Changed or ...
‘305B2’ — Statement of Eligibility to Act as a Trustee by a Corporation
‘424A’ — Prospectus – Info Substantively Changed or Added
‘424B1’ — Prospectus – Info Previously Omitted
‘424B2’ — Prospectus – Primary Offering or Shelf Securities
‘424B3’ — Prospectus – New Facts or Events
‘424B4’ — Prospectus – Info Previously Omitted & New Facts or Events
‘424B5’ — Prospectus – Primary Offering or Shelf Securities – New Facts or Events
‘424B7’ — Prospectus – Selling Security Holders – Info Previously Omitted
‘424B8’ — Prospectus (Late Filing)
‘424H’ — Prospectus – Asset-Backed Securities – Info Previously Omitted or Changed
‘424I’ — Prospectus – Exchange-Traded Vehicle Securities – Annual Supplement
‘425’ — Prospectus or Communication – Merger
‘485A24E’ — Post-Effective Amendment of a Form N-1 or N-1A Registration [obsolete]
‘485A24F’ — Post-Effective Amendment of a Form N-1 or N-1A Registration [obsolete]
‘485APOS’ — Post-Effective Amendment of a Form N-1 or N-1A Registration
‘485B24E’ — Post-Effective Amendment of a Form N-1 or N-1A Registration [obsolete]
‘485B24F’ — Post-Effective Amendment of a Form N-1 or N-1A Registration [obsolete]
‘485BPOS’ — Post-Effective Amendment of a Form N-1 or N-1A Registration
‘485BXT’ — Post-Effective Amendment of a Form N-1 or N-1A Registration to Designate a New ...
‘485BXTF’ — Post-Effective Amendment of a Form N-1 or N-1A Registration to Designate a ...
‘486A24E’ — Post-Effective Amendment of a Form N-2 Registration [obsolete]
‘486APOS’ — Post-Effective Amendment of a Form N-2 Registration
‘486B24E’ — Post-Effective Amendment of a Form N-2 Registration [obsolete]
‘486BPOS’ — Post-Effective Amendment of a Form N-2 Registration
‘486BXT’ — Post-Effective Amendment of a Form N-2 Registration to Designate a New ...
‘487’ — Pre-Effective Pricing Amendment of a Registration Statement
‘497’ — Definitive Material
‘497AD’ — Advertising by an Investment Company
‘497H2’ — Prospectus – Closed-End Investment Company
‘497J’ — Certification of No Change in Definitive Material
‘497K’ — Prospectus – Open-End Investment Company – Summary
‘497K1’ — Profile of an Open-End Investment Company [obsolete]
‘497K2’ — Profile of an Open-End Investment Company [obsolete]
‘497K3A’ — Profile of an Open-End Investment Company [obsolete]
‘497K3B’ — Profile of an Open-End Investment Company [obsolete]
‘497VPI’ — Prospectus – Variable Annuity/Life Contract – Initial Summary
‘497VPSUB’ — Prospectus – Variable Annuity/Life Contract – Substitution-Related ...
‘497VPU’ — Prospectus – Variable Annuity/Life Contract – Updating Summary
‘ABS-15G’ — Asset-Backed Securities Securitizer Report
‘ABS-EE’ — Asset-Backed Securities [XML] Exhibit
‘ADB’ — Report by the Asian Development Bank [obsolete]
‘ADN-MTL’ — Additional or Detached Material for which No Rule or Regulation Applies or No ...
‘ADV’ — Application for Registration by an Investment Advisor [obsolete]
‘ADVCO’ — Cancellation of an Investment Advisor Registration by an SEC Order [obsolete]
‘ADV-E’ — Certificate of Accounting of Client Securities and Funds in the Possession or ...
‘ADV-H-C’ — Application for a Continuing Hardship Exemption by an Investment Advisor
‘ADV-H-T’ — Application for a Temporary Hardship Exemption by an Investment Advisor
‘ADV-NR’ — Appointment of a U.S. Agent for Service of Process by a Non-Resident General ...
‘ADVW’ — Notice of a Withdrawal from Registration by an Investment Advisor [obsolete]
‘AFDB’ — Report by the African Development Bank [obsolete]
‘ANNLRPT’ — Annual Report by an International Development Bank
‘APP NTC’ — Application for an SEC Exemption Order – ‘40-APP’ SEC Notice
‘APP ORDR’ — Application for an SEC Exemption Order – ‘40-APP’ SEC Order
‘APP WD’ — Withdrawal of an Application for an Exemption Order or Other Relief
‘APP WDG’ — Withdrawal of an Application for an Exemption Order – ‘APP WD’ SEC Grant
‘ARS’ — Annual Report to Security Holders
‘ATS-N’ — Initial Info
‘ATS-N/CA’ — Correcting Amendment
‘ATS-N/MA’ — Material Amendment
‘ATS-N/OFA’ — Order Display or Fair Access Amendment
‘ATS-N/UA’ — Updating Amendment
‘ATS-N-C’ — Notice of Cessation
‘ATS-N-W’ — Withdrawal of a Form ATS-N
‘AW’ — Amendment Withdrawal Request
‘AW WD’ — Amendment Withdrawal Request – Withdraw Duplicate
‘BDCO’ — Cancellation of a Broker or Dealer Registration by an SEC Order [obsolete]
‘BW-2’ — Quarterly Report by the International Bank for Reconstruction and Development ...
‘BW-3’ — Distribution of Primary Obligations Report by the International Bank for ...
‘C’ — Offering Statement
‘C/A-W’ — Offering Statement Amendment Withdrawal
‘C-W’ — Offering Statement Withdrawal
‘C-AR’ — Annual Report
‘C-AR-W’ — Annual Report Withdrawal
‘C-TR’ — Termination of Reporting
‘C-TR-W’ — Termination of Reporting Withdrawal
‘C-U’ — Progress Update
‘C-U-W’ — Progress Update Withdrawal
‘CA-1’ — Application for Registration, or an Exemption therefrom, as a Clearing Agency
‘CANCEL-MA’ — Cancellation of a Municipal Advisor Registration by an SEC Order
‘CB’ — Tender-Offer, Exchange-Offer, Rights-Offering or Response Notice
‘CERT’ — Certification by a Securities Exchange Approving a Listing
‘CERTAMX’ — Certification by the American Stock Exchange Approving a Listing [obsolete]
‘CERTARCA’ — Certification by the NYSE Archipelago Approving a Listing [obsolete]
‘CERTBATS’ — Certification by the Cboe Bats Exchanges Approving a Listing [obsolete]
‘CERTBSE’ — Certification by the Boston Stock Exchange Approving a Listing [obsolete]
‘CERTCBO’ — Certification by the Cboe Global Markets Approving a Listing [obsolete]
‘CERTCSE’ — Certification by the Chicago Stock Exchange Approving a Listing [obsolete]
‘CERTNAS’ — Certification by the Nasdaq Stock Market Approving a Listing [obsolete]
‘CERTNYS’ — Certification by the NYSE Approving a Listing [obsolete]
‘CERTPAC’ — Certification by the Pacific Coast Stock Exchange Approving a Listing [obsolete]
‘CERTPBS’ — Certification by the Philadelphia Stock Exchange Approving a Listing [obsolete]
‘CFPORTAL’ — Application for Registration by a Crowdfunding Portal
‘CFPORTAL-W’ — Notice of a Withdrawal from Registration by a Crowdfunding Portal
‘CORRESP’ — Comment-Response or Other Letter to the SEC
‘CT ORDER’ — SEC Confidential Treatment Order
‘D’ — Notice of an Exempt Offering of Securities
‘DEF13E3’ — Definitive Proxy Statement – Going-Private Transaction [obsolete]
‘DEF 14A’ — Definitive Proxy Statement
‘DEF 14C’ — Definitive Proxy Info Statement
‘DEFA14A’ — Definitive Additional Proxy Soliciting Material
‘DEFA14C’ — Definitive Additional Proxy Info Statement
‘DEFC14A’ — Definitive Proxy Statement – Contested Solicitation
‘DEFC14C’ — Definitive Proxy Info Statement – Contested Solicitation
‘DEFM14A’ — Definitive Proxy Statement – Merger or Acquisition
‘DEFM14C’ — Definitive Proxy Info Statement – Merger or Acquisition
‘DEFN14A’ — Definitive Non-Management Proxy Statement
‘DFAN14A’ — Definitive Additional Non-Management Proxy Soliciting Material
‘DFRN14A’ — Definitive Revised Non-Management Proxy Statement
‘DEF-OC’ — Definitive Offering Circular [obsolete]
‘DEFR14A’ — Definitive Revised Proxy Soliciting Material
‘DEFR14C’ — Definitive Revised Proxy Info Statement
‘DEFS14A’ — Definitive Proxy Statement – Special Meeting [obsolete]
‘DEFS14C’ — Definitive Proxy Info Statement – Special Meeting [obsolete]
‘DEL AM’ — Registration Effectiveness-Delaying Amendment
‘DOS’ — Draft Offering Statement
‘DOSLTR’ — Comment-Response or Draft-Offering-Statement Letter to the SEC
‘DRS’ — Draft Registration Statement by an Emerging Growth Company or Foreign Issuer
‘DRSLTR’ — Comment-Response or Draft-Registration-Statement Letter to the SEC
‘DSTRBRPT’ — Distribution of Primary Obligations Report by an International Development Bank
‘EBRD’ — Report by the European Bank for Reconstruction and Development [obsolete]
‘EFFECT’ — SEC Notice of Effectiveness
‘F-1’ — Registration Statement by a Foreign Issuer
‘F-1MEF’ — Registration Statement to Add Securities to a Prior Form F-1 Registration
‘F-2’ — Registration Statement by a Foreign Issuer [obsolete]
‘F-2D’ — Registration Statement by a Foreign Issuer [obsolete]
‘F-3’ — Registration Statement by a Foreign Issuer – Securities for a Transaction
‘F-3ASR’ — Automatic Shelf Registration Statement by a Well-Known Foreign Issuer
‘F-3D’ — Registration Statement by a Foreign Issuer – Securities for a Dividend or ...
‘F-3DPOS’ — Post-Effective Amendment of an ‘F-3D’ Registration
‘F-3MEF’ — Registration Statement to Add Securities to a Prior Form F-3 Registration
‘F-4’ — Registration Statement by a Foreign Issuer – Securities for a Merger
‘F-4EF’ — Registration Statement by a Foreign Issuer – Securities for a Merger ...
‘F-4MEF’ — Registration Statement to Add Securities to a Prior Form F-4 Registration
‘F-4 POS’ — Post-Effective Amendment of a Form F-4 Registration
‘F-6’ — Registration Statement – Depositary Shares Evidenced by American Depositary ...
‘F-6EF’ — Registration Statement – Depositary Shares Evidenced by American Depositary ...
‘F-6 POS’ — Post-Effective Amendment of an ‘F-6EF’ Registration
‘F-7’ — Registration Statement by a Canadian Issuer – Securities Offered for Cash Upon ...
‘F-7 POS’ — Post-Effective Amendment of a Form F-7 Registration
‘F-8’ — Registration Statement by a Canadian Issuer – Securities for a Merger or Exchange ...
‘F-8 POS’ — Post-Effective Amendment of a Form F-8 Registration
‘F-9’ — Registration Statement by a Canadian Issuer – Debt or Preferred Securities
‘F-9EF’ — Registration Statement by a Canadian Issuer – Debt or Preferred Securities ...
‘F-9 POS’ — Post-Effective Amendment of an ‘F-9EF’ Registration
‘F-10’ — Registration Statement by a Canadian Issuer
‘F-10EF’ — Registration Statement by a Canadian Issuer (Immediately Effective)
‘F-10POS’ — Post-Effective Amendment of an ‘F-10EF’ Registration
‘F-80’ — Registration Statement by a Canadian Issuer – Securities for a Merger or ...
‘F-80POS’ — Post-Effective Amendment of a Form F-80 Registration
‘F-N’ — Appointment of a U.S. Agent for Service of Process by a Foreign Bank or Insurance ...
‘FOCUSN’ — Annual Audit Report on a Financial Report [ a.k.a. FOCUS Report ] by a Broker ...
‘FWP’ — Prospectus – Free Writing
‘F-X’ — Appointment of a U.S. Agent for Service of Process by a Foreign Non-Financial Entity
‘G-405’ — Annual Financial Report [ a.k.a. FOGS Report ] by a Government Securities ...
‘G-405N’ — Annual Audit Report on a Financial Report [ a.k.a. FOGS Report ] by a ...
‘G-FIN’ — Notice of Activity as a Government Securities Broker or Dealer by a Financial ...
‘G-FINW’ — Notice of a Withdrawal from Registration as a Government Securities Broker or ...
‘IADB’ — Report by the Inter-American Development Bank [obsolete]
‘ID-NEWCIK’ — Application for EDGAR Access and a New SEC Central Index Key (CIK) [obsolete]
‘IFC’ — Report by the International Finance Corporation [obsolete]
‘IRANNOTICE’ — Notice of an Iran/Syria Disclosure in a Quarterly or Annual Report
‘MA’ — Application for Registration by a Municipal Advisor
‘MA-A’ — Annual Update of Registration by a Municipal Advisor
‘MA-I’ — Info re: a Natural Person Who Engages in Municipal Advisory Activity
‘MA-W’ — Notice of a Withdrawal from Registration by a Municipal Advisor
‘MSD’ — Application for Registration by a Municipal Securities Dealer
‘MSDCO’ — Cancellation of a Municipal Securities Dealer Registration by an SEC Order
‘MSDW’ — Notice of a Withdrawal from Registration by a Municipal Securities Dealer
‘N-1’ — Registration Statement by an Open-End Investment Company [obsolete]
‘N-1A’ — Registration Statement by an Open-End Investment Company
‘N-1A EL’ — Registration Statement by an Open-End Investment Company [obsolete]
‘N-2’ — Registration Statement by a Closed-End Investment Company
‘N-2ASR’ — Automatic Shelf Registration Statement by a Well-Known Closed-End Investment ...
‘N-2MEF’ — Registration Statement to Add Securities to a Prior Form N-2 Registration
‘N-2 POSASR’ — Post-Effective Amendment of a Form N-2 Automatic Shelf Registration
‘N-3’ — Registration Statement by an Open-End Investment Company for a Separate Account
‘N-3 EL’ — Registration Statement by an Open-End Investment Company for a Separate ...
‘N-4’ — Registration Statement by a Variable Annuity Unit Investment Trust for a Separate ...
‘N-4 EL’ — Registration Statement by a Variable Annuity Unit Investment Trust for a ...
‘N-5’ — Registration Statement by a Small Business Investment Company (SBIC)
‘N-6’ — Registration Statement by a Variable Life Unit Investment Trust for a Separate ...
‘N-6F’ — Notice of an Intention to Elect Business Development Company (BDC) Status
‘N-8A’ — Notice of Registration by an Investment Company
‘N-8B-2’ — Registration Statement by a Unit Investment Trust
‘N-8B-4’ — Registration Statement by a Face-Amount Certificate Company
‘N-8F’ — Application for an SEC Deregistration Order by an Investment Company
‘N-8F NTC’ — Application for an SEC Deregistration Order – ‘N-8F’ SEC Notice
‘N-8F ORDR’ — Application for an SEC Deregistration Order – ‘N-8F’ SEC Order
‘N-14’ — Registration Statement by an Open-End Investment Company or Business Development ...
‘N-14 8C’ — Registration Statement by a Closed-End Investment Company – Securities for a ...
‘N-14AE’ — Registration Statement by an Open-End Investment Company – Securities for a ...
‘N14AE24’ — Registration Statement by an Open-End Investment Company – Securities for a ...
‘N14EL24’ — Registration Statement by an Open-End Investment Company – Securities for a ...
‘N-14MEF’ — Registration Statement to Add Securities to a Prior Form N-14 Registration
‘N-18F1’ — Notice of Election by an Open-End Investment Company
‘N-23C-1’ — Report of Purchases of Its Own Securities by a Closed-End Investment Company ...
‘N-23C-2’ — Notice of an Intention to Call or Redeem Its Own Securities by a Closed-End ...
‘N-23C3A’ — Notice of a Periodic Repurchase Offer by a Closed-End Investment Company
‘N-23C3B’ — Notice of a Discretionary Repurchase Offer by a Closed-End Investment Company
‘N-23C3C’ — Notice of a Periodic or Discretionary Repurchase Offer by a Closed-End ...
‘N-27D-1’ — Accounting for a Segregated Trust Account [obsolete]
‘N-30B-2’ — Periodic or Interim Report Mailed to Shareholders by an Investment Company
‘N-30D’ — Annual or Semi-Annual Report Mailed to Shareholders by an Investment Company
‘N-54A’ — Notice of Election by a Business Development Company (BDC)
‘N-54C’ — Notice of a Withdrawal from Registration by a Business Development Company (BDC)
‘N-CEN’ — Annual Report by an Investment Company
‘NT N-CEN’ — Annual Report by an Investment Company (Late Filing)
‘N-CR’ — Current Report of a Material Event by a Money-Market Fund
‘N-CSR’ — Annual Certified Shareholder Report by an Investment Company
‘N-CSRS’ — Semi-Annual Certified Shareholder Report by an Investment Company
‘N-MFP’ — Monthly Portfolio Holdings Schedule by a Money-Market Fund [obsolete]
‘NT N-MFP’ — Monthly Portfolio Holdings Schedule by a Money-Market Fund (Late Filing) ...
‘N-MFP1’ — Monthly Portfolio Holdings Schedule by a Money-Market Fund [obsolete]
‘NT N-MFP1’ — Monthly Portfolio Holdings Schedule by a Money-Market Fund (Late Filing) ...
‘N-MFP2’ — Monthly Portfolio Holdings Schedule by a Money-Market Fund
‘NT N-MFP2’ — Monthly Portfolio Holdings Schedule by a Money-Market Fund (Late Filing)
‘NO ACT’ — SEC No-Action Letter re: a Shareholder Proposal
‘NPORT-EX’ — Portfolio Holdings Schedule by an Investment Company [obsolete]
‘NT NPORTEX’ — Portfolio Holdings Schedule by an Investment Company (Late Filing) [obsolete]
‘NPORT-P’ — Monthly Portfolio Investments Report (Quarterly Release) by an Investment Company
‘NT NPORT-P’ — Monthly Portfolio Investments Report (Quarterly Release) by an Investment ...
‘N-PX’ — Annual Proxy Voting Report by an Investment Company
‘N-Q’ — Quarterly Portfolio Holdings Schedule by an Investment Company
‘NRSRO-CE’ — Annual Certification by a Nationally Recognized Statistical Rating Organization
‘NRSRO-UPD’ — Registration Update by a Nationally Recognized Statistical Rating Organization
‘NSAR-A’ — Semi-Annual Report by an Investment Company [obsolete]
‘NSAR-AT’ — Semi-Annual-Transition Report by an Investment Company [obsolete]
‘NSAR-B’ — Annual Report by an Investment Company [obsolete]
‘NSAR-BT’ — Annual-Transition Report by an Investment Company [obsolete]
‘NSAR-U’ — Annual Report by a Unit Investment Trust [obsolete]
‘NT 10-D’ — Notice of a Late Filing of a Form 10-D Distribution Report
‘NTN 10D’ — Notice of a Late Filing of a Form 10-D Distribution Report (Late Notice)
‘NT 10-K’ — Notice of a Late Filing of a Form 10-K Annual Report
‘NTN 10K’ — Notice of a Late Filing of a Form 10-K Annual Report (Late Notice)
‘NT 10-Q’ — Notice of a Late Filing of a Form 10-Q Quarterly Report
‘NTN 10Q’ — Notice of a Late Filing of a Form 10-Q Quarterly Report (Late Notice)
‘NT 11-K’ — Notice of a Late Filing of a Form 11-K Annual Report
‘NTN 11K’ — Notice of a Late Filing of a Form 11-K Annual Report (Late Notice)
‘NT 20-F’ — Notice of a Late Filing of a Form 20-F Annual Report
‘NTN 20F’ — Notice of a Late Filing of a Form 20-F Annual Report (Late Notice)
‘NT-NCEN’ — Notice of a Late Filing of a Form N-CEN Annual Report
‘NTFNCEN’ — Notice of a Late Filing of a Form N-CEN Annual Report (Late Notice)
‘NT-NCSR’ — Notice of a Late Filing of a Form N-CSR Shareholder Report
‘NTFNCSR’ — Notice of a Late Filing of a Form N-CSR Shareholder Report (Late Notice)
‘NT-NSAR’ — Notice of a Late Filing of a Form N-SAR Semi-Annual Report [obsolete]
‘NTFNSAR’ — Notice of a Late Filing of a Form N-SAR Semi-Annual Report (Late Notice) ...
‘NT 15D2’ — Notice of a Late Filing of an ‘SP 15D2’ Special Financial Report
‘NTN15D2’ — Notice of a Late Filing of an ‘SP 15D2’ Special Financial Report (Late Notice)
‘N-VP’ — Notice by a Variable Annuity/Life Contract
‘N-VPFS’ — Financial Statements of a Variable Annuity/Life Contract
‘OIP NTC’ — Application for an SEC Exemption Order – ‘40-OIP’ SEC Notice
‘OIP ORDR’ — Application for an SEC Exemption Order – ‘40-OIP’ SEC Order
‘POS 8C’ — Post-Effective Amendment of a Registration Statement by an Investment Company
‘POS462B’ — Post-Effective Amendment of a Registration Statement – Rule 462(b)
‘POS462C’ — Post-Effective Amendment of a Registration Statement – Rule 462(c)
‘POS AM’ — Post-Effective Amendment of a Registration Statement
‘POS AMC’ — Post-Effective Amendment of a Form U-1 Registration [obsolete]
‘POS AMI’ — Post-Effective Amendment of a Registration Statement by an Investment Company
‘POSASR’ — Post-Effective Amendment of an Automatic Shelf Registration Statement
‘POS EX’ — Post-Effective Amendment of a Registration Statement – Additional Exhibits
‘PRE13E3’ — Preliminary Proxy Statement – Going-Private Transaction [obsolete]
‘PRE 14A’ — Preliminary Proxy Statement
‘PRE 14C’ — Preliminary Proxy Info Statement
‘PREA14A’ — Preliminary Additional Proxy Soliciting Material [obsolete]
‘PREA14C’ — Preliminary Additional Proxy Info Statement [obsolete]
‘PREC14A’ — Preliminary Proxy Statement – Contested Solicitation
‘PREC14C’ — Preliminary Proxy Info Statement – Contested Solicitation
‘PREM14A’ — Preliminary Proxy Statement – Merger or Acquisition
‘PREM14C’ — Preliminary Proxy Info Statement – Merger or Acquisition
‘PREN14A’ — Preliminary Non-Management Proxy Statement
‘PRRN14A’ — Preliminary Revised Non-Management Proxy Soliciting Material – Contested ...
‘PRER14A’ — Preliminary Revised Proxy Soliciting Material
‘PRER14C’ — Preliminary Revised Proxy Info Statement
‘PRES14A’ — Preliminary Proxy Statement – Special Meeting [obsolete]
‘PRES14C’ — Preliminary Proxy Info Statement – Special Meeting [obsolete]
‘PX14A6G’ — Notice of an Exempt Non-Management Proxy Solicitation
‘PX14A6N’ — Notice of an Exempt Non-Management Proxy Solicitation – Preliminary Roll-Up ...
‘QRTLYRPT’ — Quarterly Report by an International Development Bank
‘QUALIF’ — SEC Notice of Qualification
‘REGDEX’ — Notice of an Exempt Offering of Securities [obsolete]
‘REG-NR’ — Initial Undertaking to File Reports by a Non-Resident Broker, Dealer or ...
‘REVOKED’ — SEC Order Revoking a Registration
‘REVOKED-MA’ — SEC Order Revoking a Registration of a Municipal Advisor
‘RW’ — Registration Withdrawal Request
‘RW WD’ — Withdrawal of a Registration Withdrawal Request
‘S-1’ — Registration Statement (General Form)
‘S-1MEF’ — Registration Statement to Add Securities to a Prior Form S-1 Registration
‘S-2’ — Registration Statement [obsolete]
‘S-2MEF’ — Registration Statement to Add Securities to a Prior Form S-2 Registration ...
‘S-3’ — Registration Statement – Securities for a Transaction
‘S-3ASR’ — Automatic Shelf Registration Statement by a Well-Known Issuer
‘S-3D’ — Registration Statement – Securities for a Dividend or Interest Reinvestment Plan ...
‘S-3DPOS’ — Post-Effective Amendment of an ‘S-3D’ Registration
‘S-3MEF’ — Registration Statement to Add Securities to a Prior Form S-3 Registration
‘S-4’ — Registration Statement – Securities for a Merger
‘S-4EF’ — Registration Statement – Securities for the Formation of a Bank or Savings & ...
‘S-4MEF’ — Registration Statement to Add Securities to a Prior Form S-4 Registration
‘S-4 POS’ — Post-Effective Amendment of an ‘S-4EF’ Registration
‘S-6’ — Registration Statement by a Unit Investment Trust
‘S-6EL24’ — Registration Statement by a Unit Investment Trust [obsolete]
‘S-8’ — Registration Statement – Securities for an Employee Benefit Plan
‘S-8 POS’ — Post-Effective Amendment of a Form S-8 Registration
‘S-11’ — Registration Statement by a Real Estate Company
‘S-11MEF’ — Registration Statement to Add Securities to a Prior Form S-11 Registration
‘S-20’ — Registration Statement – Standardized Options
‘S-B’ — Registration Statement by a Foreign Government or Political Subdivision
‘S-BMEF’ — Registration Statement to Add Securities to a Prior Schedule B Registration
‘SB-1’ — Registration Statement by a Small-Business Issuer [obsolete]
‘SB-1MEF’ — Registration Statement to Add Securities to a Prior Form SB-1 Registration ...
‘SB-2’ — Registration Statement by a Small-Business Issuer [obsolete]
‘SB-2MEF’ — Registration Statement to Add Securities to a Prior Form SB-2 Registration ...
‘SBSE’ — Application for Registration by a Security-Based Swap Dealer or Major ...
‘SBSE-A’ — Application for Registration by a Security-Based Swap Dealer or Major ...
‘SBSE-BD’ — Application for Registration by a Security-Based Swap Dealer or Major ...
‘SBSE-C’ — Certification for Registration by a Security-Based Swap Dealer or Major ...
‘SC 13D’ — Statement of Acquisition of Beneficial Ownership by an "Active" Investor
‘SCH 13D’ — Statement of Acquisition of Beneficial Ownership by an "Active" Investor
‘SC 13G’ — Statement of Acquisition of Beneficial Ownership by a "Passive" Investor
‘SCH 13G’ — Statement of Acquisition of Beneficial Ownership by a "Passive" Investor
‘SC 13E1’ — Tender-Offer Statement by an Issuer
‘SC 13E3’ — Tender-Offer Statement by an Issuer – Going-Private Transaction
‘SC 13E4’ — Tender-Offer Statement by an Issuer [obsolete]
‘SC13E4F’ — Tender-Offer Statement by a Canadian Issuer
‘SC 14D1’ — Tender-Offer Statement by a Third Party [obsolete]
‘SC14D1F’ — Tender-Offer Statement by a Canadian Third Party
‘SC 14D9’ — Tender-Offer Solicitation/Recommendation Statement
‘SC14D9C’ — Tender-Offer Communication by an Issuer re: a Third-Party Offer
‘SC14D9F’ — Tender-Offer Solicitation/Recommendation Statement by a Canadian Issuer
‘SC 14F1’ — Statement re: a Change in the Majority of Directors
‘SC 14N’ — Info from a Nominating Shareholder
‘SC TO-C’ — Tender-Offer Communication by an Issuer or Third Party
‘SC TO-I’ — Tender-Offer Statement by an Issuer
‘SC TO-T’ — Tender-Offer Statement by a Third Party
‘SD’ — Specialized Disclosure Report re: the Use of Conflict Minerals
‘SDR’ — Application for Registration by a Security-Based Swap Data Repository
‘SE’ — Separate Exhibits – Scanned Paper-Format Exhibits of Another Electronic Filing
‘SEC ACTION’ — SEC Staff Action
‘SEC LETTER’ — SEC Staff Letter
‘SF-1’ — Registration Statement (General Form) by an Issuer of Asset-Backed Securities
‘SF-1MEF’ — Registration Statement to Add Securities to a Prior Form SF-1 Registration
‘SF-3’ — Shelf Registration Statement for a Qualified Offering of Asset-Backed Securities
‘SL’ — Sales Literature
‘SP 15D2’ — Special Financial Report
‘SPDSCL’ — Specialized Disclosure re: the Holding Foreign Companies Accountable Act
‘STOP ORDER’ — SEC Stop Order
‘SUPPL’ — Supplemental Material by a Foreign Issuer
‘T-3’ — Application for a Qualification of a Trust Indenture
‘T-6’ — Application for a Determination of Eligibility to Act as a Trustee by a Foreign ...
‘TA-1’ — Application for Registration by a Transfer Agent
‘TA-2’ — Annual Report of Activity by a Transfer Agent
‘TACO’ — Cancellation of a Transfer Agent Registration by an SEC Order
‘TA-W’ — Notice of a Withdrawal from Registration by a Transfer Agent
‘TH’ — Notice of Reliance on a Temporary Hardship Exemption
‘TTW’ — Test-the-Waters Material
‘U-1’ — Application or Declaration [obsolete]
‘U-3A-2’ — Statement by a Utility Holding Company Claiming an Exemption [obsolete]
‘U-3A3-1’ — Annual Statement by a Bank Claiming an Exemption [obsolete]
‘U5A’ — Notice of Registration by a Utility Holding Company [obsolete]
‘U5B’ — Registration Statement by a Utility Holding Company [obsolete]
‘U5S’ — Annual Report by a Utility Holding Company [obsolete]
‘U-6B-2’ — Certificate of Notice of Security Issue, Renewal or Guaranty [obsolete]
‘U-7D’ — Certificate re: the Lease of a Utility Facility [obsolete]
‘U-9C-3’ — Quarterly Report by an Energy or Gas-Related Company [obsolete]
‘U-12-IA’ — Ownership by a Person Employed or Retained by a Utility Holding Company – ...
‘U-12-IB’ — Ownership by a Person Employed or Retained by a Utility Holding Company – ...
‘U-13-60’ — Annual Report by a Mutual or Subsidiary Service Company [obsolete]
‘U-13E-1’ — Transaction Statement by an Affiliate or Independent Service Company [obsolete]
‘U-33-S’ — Annual Report by a Foreign Utility Company [obsolete]
‘U-57’ — Notice of Status by a Foreign Utility Company [obsolete]
‘UNDER’ — Initial Undertaking to File Reports [obsolete]
‘UPLOAD’ — Comment or Other Letter from the SEC
‘WDL-REQ’ — Withdrawal Request for Material Previously Filed
‘X-17A-5’ — Annual Financial Report [ a.k.a. FOCUS Report ] by a Broker or Dealer
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