| 10-12B |
Initial general form for registration of a class of securities pursuant to Section 12(b) |
248 |
| 10-12B/A |
Amendment to initial general form for registration of a class of securities pursuant to Section 12(b) |
706 |
| 10-12G |
Initial general form for registration of a class of securities pursuant to Section 12(g) |
681 |
| 10-12G/A |
Amendment to initial general form for registration of a class of securities pursuant to Section 12(g) |
1390 |
| 10-D |
Periodic distribution reports by asset-backed issuers pursuant to Rule 13a-17 or 15d-17 |
14299 |
| 10-D/A |
Amendment to periodic distribution reports by asset-backed issuers pursuant to Rule 13a-17 or 15d-18 |
126 |
| 10-K |
Annual report pursuant to Section 13 and 15(d) |
71994 |
| 10-K/A |
Amendment to annual report pursuant to Section 13 and 15(d) |
11144 |
| 10-KT |
Transition report pursuant to Rule 13a-10 or 15d-10 |
216 |
| 10-KT/A |
Amendment to Transition report pursuant to Rule 13a-10 or 15d-11 |
38 |
| 10-Q |
Quarterly report pursuant to Section 13 or 15(d) |
216087 |
| 10-Q/A |
Amendment to quarterly report pursuant to Section 13 or 15(d) |
10483 |
| 10-QT |
Transition report pursuant to Rule 13a-10 or 15d-10 |
63 |
| 10-QT/A |
Amendment to Transition report pursuant to Rule 13a-10 or 15d-11 |
2 |
| 11-K |
Annual report of employee stock purchase, savings and similar plans |
13065 |
| 11-K/A |
Amendment to Annual report of employee stock purchase, savings and similar plans |
222 |
| 11-KT |
Transition report pursuant to rule 13a-10 or 15d-10 |
15 |
| 11-KT/A |
Amendment to Transition report pursuant to rule 13a-10 or 15d-10 |
0 |
| 13F-HR |
Initial Quarterly Form 13F Holdings Report filed by institutional managers |
43263 |
| 13F-HR/A |
Amendment to Initial Quarterly Form 13F Holdings Report filed by institutional managers |
2577 |
| 13F-NT |
Initial Quarterly Form 13F Notice Report filed by institutional managers |
9727 |
| 13F-NT/A |
Amendment to Initial Quarterly Form 13F Notice Report filed by institutional managers |
72 |
| 13H |
Initial filing of Form 13H. Large Trader Registration Information Required of Large Traders Pursuant to the Securities Exchange Act of 1934 and Rule 13h-1 Thereunder. |
0 |
| 13H-A |
Annual Filing (13H-A) |
0 |
| 13H-I |
Inactive Status (13H-I) |
0 |
| 13H-Q |
Amended Filing (13H-Q) |
0 |
| 13H-R |
Reactivated Status (13H-R) |
0 |
| 13H-T |
Termination Filing (13H-T) |
0 |
| 144 |
Filing for proposed sale of securities under Rule 144 |
77627 |
| 144/A |
Amendment to Filing for proposed sale of securities under Rule 144 |
1217 |
| 15-12B |
Notice of termination of registration of a class of securities under Section 12(b) |
402 |
| 15-12B/A |
Amendment to Notice of termination of registration of a class of securities under Section 12(b) |
16 |
| 15-12G |
Notice of termination of registration of a class of securities under Section 12(g) |
1501 |
| 15-12G/A |
Amendment to Notice of termination of registration of a class of securities under Section 12(g) |
45 |
| 15-15D |
Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
514 |
| 15-15D/A |
Amendment to Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
17 |
| 15F-12B |
Notice of termination by a Foreign Private Issuer of a class of equity securities under Section 12(b) |
58 |
| 15F-12G |
Notice of termination of a foreign private issuers registration of a class of securities under Section 12(g). |
30 |
| 15F-15D |
Notice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
15 |
| 17HACON |
Confidential broker dealer annual 17-H report |
0 |
| 17HQCON |
Confidential broker dealer quarterly 17-H report |
0 |
| 18-12B |
Form for initial registration of securities of foreign governments or political subdivisions pursuant to Section 12(b) |
0 |
| 18-12B/A |
Amendment to Form for initial registration of securities of foreign governments or political subdivisions pursuant to Section 12(b) |
0 |
| 18-12G |
Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to Section 12(g) |
0 |
| 18-12G/A |
Amendment to Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to Section 12(g) |
0 |
| 18-K |
Annual report for foreign governments and political subdivisions |
77 |
| 18-K/A |
Amendment to Annual report for foreign governments and political subdivisions |
274 |
| 1-A |
Offering statement under Regulation A |
752 |
| 1-A POS |
Post-qualification amendment to a 1-A offering statement |
991 |
| 1-A/A |
Amendment to Offering statement under Regulation A |
1572 |
| 1-A-W |
Withdrawal of offering statement under Regulation A |
162 |
| 1-A-W/A |
Amendment to Withdrawal of offering statement under Regulation A |
6 |
| 1-E |
Notification under Regulation E by small business investment companies and business development companies. |
29 |
| 1-E AD |
Sales material filed pursuant to Rule 607 under Regulation E. |
0 |
| 1-E AD/A |
Amendment to Sales material filed pursuant to Rule 607 under Regulation E. |
0 |
| 1-E/A |
Amendment to Notification under Regulation E by small business investment companies and business development companies. |
9 |
| 1-K |
Annual Report Pursuant to Regulation A |
502 |
| 1-K/A |
Amendment to Annual Report Pursuant to Regulation A |
39 |
| 1-SA |
Semiannual Report Pursuant to Regulation A |
614 |
| 1-SA/A |
Amendment to Semiannual Report Pursuant to Regulation A |
38 |
| 1-U |
Current Report pursuant to Regulation A |
3957 |
| 1-U/A |
Amendment to Current Report pursuant to Regulation A |
34 |
| 1-Z |
Exit Report under Regulation A |
126 |
| 1-Z/A |
Amendment to Exit Report under Regulation A |
5 |
| 1-Z-W |
Withdrawal of Exit Report under Regulation A |
4 |
| 1-Z-W/A |
Amendment to Withdrawal of Exit Report under Regulation A |
0 |
| 20-F |
Annual and transition report of foreign private issuers pursuant to Section 13 or 15(d) |
10435 |
| 20FR12B |
Form for initial registration of a class of securities of foreign private issuers pursuant to Section 12(b) |
97 |
| 20FR12G |
Form for initial registration of a class of securities of foreign private issuers pursuant to Section 12(g) |
87 |
| 24F-2NT |
Rule 24F-2 notice filed on Form 24F-2 |
9760 |
| 25 |
Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange |
987 |
| 25/A |
Amendment to Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange |
9 |
| 253G1 |
Reflects information previously omitted from the offering circular in reliance on Rule 253(b) |
116 |
| 253G2 |
Reflects information that constitutes a substantive change from or addition to the information set forth in the last offering circular |
1378 |
| 253G3 |
Reflects information covered in both 253G1 and 253G2 |
21 |
| 253G4 |
Reflects information covered in 253G1, 253G2 or 253G3 that is not being timely filed |
3 |
| 25-NSE |
Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities |
16271 |
| 25-NSE/A |
Amendment to Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities |
211 |
| 2-E |
Report of sales of securities pursuant to Rule 609 under Regulation E. |
17 |
| 2-E/A |
Amendment to Report of sales of securities pursuant to Rule 609 under Regulation E. |
5 |
| 3 |
Initial statement of beneficial ownership of securities |
192485 |
| 3/A |
Amendment to Initial statement of beneficial ownership of securities |
8561 |
| 305B2 |
Application for designation of a new trustee under the Trust Indenture Act |
573 |
| 305B2/A |
Amendment to Application for designation of a new trustee under the Trust Indenture Act |
2 |
| 4 |
Statement of changes in beneficial ownership of securities |
2230975 |
| 4/A |
Amendment to Statement of changes in beneficial ownership of securities |
51133 |
| 40-17F1 |
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1 |
154 |
| 40-17F2 |
Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2 |
2232 |
| 40-17G |
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940 |
13481 |
| 40-17G/A |
Amendment to Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940 |
2408 |
| 40-17GCS |
Filings of claim or settlement pursuant to rule 17g- 1(g)(1)(2) or (3) of the Investment Company Act of 1940 |
14 |
| 40-24B2 |
Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940 |
861 |
| 40-33 |
Copies of all stockholder derivative actions filed with a court against an investment company or an affiliate thereof pursuant to Section 33 of the Investment Company Act of 1940 |
117 |
| 40-33/A |
Amendment to Copies of all stockholder derivative actions filed with a court against an investment company or an affiliate thereof pursuant to Section 33 of the Investment Company Act of 1940 |
0 |
| 40-6B |
Application under the Investment Company Act by an employees securities company |
94 |
| 40-6B/A |
Amendment to Application under the Investment Company Act by an employees securities company |
32 |
| 40-8B25 |
Document or report |
11 |
| 40-8F-2 |
Initial application for de-registration pursuant to Investment Company Act Rule 0-2 |
5 |
| 40-8F-2/A |
Amendment to Initial application for de-registration pursuant to Investment Company Act Rule 0-2 |
19 |
| 40-APP |
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products |
2305 |
| 40-APP/A |
Amendment to Applications under the Investment Company Act other than those reviewed by Office of Insurance Products |
5384 |
| 40-F |
Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4 |
1868 |
| 40-F/A |
Amendment to Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4 |
299 |
| 40FR12B |
Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act |
115 |
| 40FR12G |
Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act |
14 |
| 40-OIP |
Applications under the Investment Company Act reviewed by Office of Insurance Products |
5 |
| 40-OIP/A |
Amendment to Applications under the Investment Company Act reviewed by Office of Insurance Products |
22 |
| 424A |
Prospectus filed pursuant to Rule 424(a) |
76 |
| 424B1 |
Prospectus filed pursuant to Rule 424(b)(1) |
945 |
| 424B2 |
Prospectus filed pursuant to Rule 424(b)(2) |
662378 |
| 424B3 |
Prospectus filed pursuant to Rule 424(b)(3) |
61728 |
| 424B4 |
Prospectus filed pursuant to Rule 424(b)(4) |
5721 |
| 424B5 |
Prospectus filed pursuant to Rule 424(b)(5) |
27721 |
| 424B7 |
Prospectus filed pursuant to Rule 424(b)(7) |
2146 |
| 424B8 |
Prospectus filed pursuant to Rule 424(b)(8) |
2013 |
| 424H |
Preliminary Prospectus filed pursuant to Rule 424(h) |
319 |
| 424H/A |
Amendment to Preliminary Prospectus filed pursuant to Rule 424(h) |
12 |
| 425 |
Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions |
38619 |
| 485APOS |
Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) |
4111 |
| 485BPOS |
Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing) |
12528 |
| 485BXT |
Post-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) |
6480 |
| 486APOS |
Post-effective amendment to filing filed pursuant to Securities Act Rule 486(a) (this filing cannot be submitted as a 1940 Act only filing) |
157 |
| 486BPOS |
Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b) (this filing cannot be submitted as a 1940 Act only filing) |
740 |
| 486BXT |
Post-effective amendment filed pursuant to Securities Act Rule 486(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 486(a) (this filing cannot be submitted as a 1940 Act only filing) |
95 |
| 487 |
Pre-effective pricing amendment filed pursuant to Securities Act Rule 487 |
1076 |
| 497 |
Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497 |
39016 |
| 497AD |
Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 |
2256 |
| 497H2 |
Filings made pursuant to Rule 497(h)(2) |
47 |
| 497J |
Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497 |
10304 |
| 497K |
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k) |
59062 |
| 497VPI |
Initial summary prospectus for variable contracts filed pursuant to Securities Act Rule 497(k) |
1563 |
| 497VPU |
Updating summary prospectus for variable contracts filed pursuant to Securities Act Rule 497(k) |
2453 |
| 5 |
Annual statement of changes in beneficial ownership of securities |
38770 |
| 5/A |
Amendment to Annual statement of changes in beneficial ownership of securities |
1022 |
| 6-K |
Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments |
293237 |
| 6-K/A |
Amendment to Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments |
3191 |
| 8-A12B |
Form for the registration / listing of a class of securities on a national securities exchange pursuant to Section 12(b) |
10229 |
| 8-A12B/A |
Amendment to Form for the registration / listing of a class of securities on a national securities exchange pursuant to Section 12(b) |
1091 |
| 8-A12G |
Form for registration of a class of securities pursuant to Section 12(g) |
1256 |
| 8-A12G/A |
Amendment to Form for registration of a class of securities pursuant to Section 12(g) |
259 |
| 8-K |
Current report filing |
741608 |
| 8-K/A |
Amendment to Current report filing |
22954 |
| 8-K12B |
Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b) |
212 |
| 8-K12B/A |
Amendment to Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b) |
22 |
| 8-K12G3 |
Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(g) |
123 |
| 8-K15D5 |
Notification of assumption of duty to report by successor issue under Section 15(d) |
2 |
| ABS-15G |
Asset-backed securities report pursuant to Section 15G |
2843 |
| ABS-15G/A |
Amendment to Asset-backed securities report pursuant to Section 15G |
2781 |
| ABS-EE |
Form for Submission of Electronic Exhibits in asset- backed securities offerings |
9474 |
| ABS-EE/A |
Amendment to Form for Submission of Electronic Exhibits in asset- backed securities offerings |
28 |
| ANNLRPT |
Periodic Development Bank filing, submitted annually |
29 |
| ANNLRPT/A |
Amendment to Periodic Development Bank filing, submitted annually |
3 |
| APP WD |
Withdrawal of an application for exemptive or other relief from the federal securities laws |
192 |
| APP WD/A |
Amendment to Withdrawal of an application for exemptive or other relief from the federal securities laws |
153 |
| ARS |
Annual report to security holders |
12852 |
| ARS/A |
Amendment to Annual report to security holders |
35 |
| ATS-N |
Initial Form ATS-N (Rule 304(a)(1)(i)) |
0 |
| ATS-N/CA |
Correcting Amendment (Rule 304(a)(2)(i)(C)) |
23 |
| ATS-N/MA |
Material Amendment (Rule 304(a)(2)(i)(A)) |
65 |
| ATS-N/OFA |
Order Display and Fair Access Amendment (Rule 304(a)(2)(i)(D)) |
5 |
| ATS-N/UA |
Updating Amendment (Rule 304(a)(2)(i)(B)) |
78 |
| ATS-N-C |
Notice of Cessation (Rule 304(a)(3)) |
2 |
| ATS-N-W |
Withdrawal of Form ATS-N filing |
0 |
| AW |
Withdrawal of amendment to a registration statement filed under the Securities Act |
883 |
| AW WD |
Withdrawal of a request for withdrawal of an amendment to a registration statement |
25 |
| BULK |
Bulk Submission |
0 |
| C |
Offering Statement |
1556 |
| C/A |
Amendment to Offering Statement |
1696 |
| C/A-W |
Amendment to Offering Statement Withdrawal |
1 |
| C-AR |
Annual Report Pursuant to Regulation CF |
367 |
| C-AR/A |
Amendment to Annual Report Pursuant to Regulation CF |
29 |
| C-AR/A-W |
Amendment to Annual Report Withdrawal |
0 |
| C-AR-W |
Annual Report Withdrawal |
1 |
| CB |
Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons |
217 |
| CB/A |
Amendment to Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons |
250 |
| CERT |
Certification by an exchange approving securities for listing |
6289 |
| CFPORTAL |
Application for registration of funding portal |
1 |
| CFPORTAL/A |
Amendment to Application for registration of funding portal |
65 |
| CFPORTAL-W |
Withdrawal of the funding portals registration |
0 |
| CORRESP |
A correspondence can be sent as a document with another submission type or can be sent as a separate submission. |
83744 |
| C-TR |
Termination of Reporting |
101 |
| C-TR-W |
Termination of Reporting Withdrawal |
4 |
| C-U |
Progress Update |
930 |
| C-U-W |
Progress Update Withdrawal |
3 |
| C-W |
Offering Statement Withdrawal |
165 |
| D |
Official notice of an offering of securities that is made without registration under the Securities Act in reliance on an exemption provided by Regulation D and Section 4(a)(5) under the Act. |
50874 |
| D/A |
Amendment to Official notice of an offering of securities that is made without registration under the Securities Act in reliance on an exemption provided by Regulation D and Section 4(a)(5) under the Act. |
27252 |
| DEF 14A |
Definitive proxy statements |
67495 |
| DEF 14C |
Definitive information statements |
3462 |
| DEFA14A |
Definitive additional proxy soliciting materials including Rule 14(a)(12) material. Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms. |
54935 |
| DEFA14C |
Definitive additional information statement materials including Rule 14(a)(12) material |
135 |
| DEFC14A |
Definitive proxy statement in connection with contested solicitations |
903 |
| DEFC14C |
Definitive information statement - contested solicitations |
3 |
| DEFM14A |
Definitive proxy statement relating to a merger, acquisition, or disposition |
980 |
| DEFM14C |
Definitive information statement relating to merger or acquisition |
71 |
| DEFN14A |
Definitive proxy statement filed by non-management |
60 |
| DEFR14A |
Definitive revised proxy soliciting materials |
2003 |
| DEFR14C |
Definitive revised information statement materials |
127 |
| DEL AM |
Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement |
485 |
| DFAN14A |
Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material |
6998 |
| DFRN14A |
Revised definitive proxy statement filed by non- management |
244 |
| DOS |
Non-public draft offering statement under Regulation A |
46 |
| DOS/A |
Amendment to Non-public draft offering statement under Regulation A |
46 |
| DOSLTR |
Draft Offering Statement Letter |
53 |
| DRS |
Draft registration statement submitted by Emerging Growth Company under Securities Act Section 6(e) or by Foreign Private Issuer under Division of Corporation Finance policy |
3657 |
| DRS/A |
Amendment to Draft registration statement submitted by Emerging Growth Company under Securities Act Section 6(e) or by Foreign Private Issuer under Division of Corporation Finance policy |
3740 |
| DRSLTR |
Correspondence Related to Draft Registration Statement |
3577 |
| DSTRBRPT |
Distribution of primary obligations Development Bank report |
297 |
| DSTRBRPT/A |
Amendment to Distribution of primary obligations Development Bank report |
0 |
| F-1 |
Registration statement for securities of certain foreign private issuers |
1481 |
| F-1/A |
Amendment to Registration statement for securities of certain foreign private issuers |
4042 |
| F-10 |
Registration statement for securities of certain Canadian issuers under the Securities Act of 1933 |
675 |
| F-10/A |
Amendment to Registration statement for securities of certain Canadian issuers under the Securities Act of 1933 |
670 |
| F-10EF |
Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933 |
9 |
| F-10POS |
Post-effective amendment to a F-10EF registration |
41 |
| F-1MEF |
A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1 |
181 |
| F-3 |
Registration statement for specified transactions by certain foreign private issuers |
1459 |
| F-3/A |
Amendment to Registration statement for specified transactions by certain foreign private issuers |
992 |
| F-3ASR |
Automatic shelf registration statement of securities of well-known seasoned issuers |
627 |
| F-3D |
Registration statement for dividend or interest reinvestment plan securities of foreign private issuers |
45 |
| F-3DPOS |
Post-Effective amendment to a F-3D registration |
21 |
| F-3MEF |
A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 3 |
30 |
| F-4 |
Registration statement for securities issued by foreign private issuers in certain business combination transactions |
467 |
| F-4 POS |
Post-effective amendment to a F-4EF registration |
3 |
| F-4/A |
Amendment to Registration statement for securities issued by foreign private issuers in certain business combination transactions |
1082 |
| F-4EF |
Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions |
1 |
| F-4MEF |
A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 4 |
9 |
| F-6 |
Registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
653 |
| F-6 POS |
Post-effective amendment to a F-6EF registration |
1088 |
| F-6/A |
Amendment to Registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
102 |
| F-6EF |
Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
1983 |
| F-7 |
Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933 |
13 |
| F-7 POS |
Post-effective amendment to a F-7 registration |
0 |
| F-7/A |
Amendment to Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933 |
1 |
| F-8 |
Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 |
11 |
| F-8 POS |
Post-effective amendment to a F-8 registration |
5 |
| F-8/A |
Amendment to Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 |
22 |
| F-80 |
Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 |
7 |
| F-80/A |
Amendment to Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 |
2 |
| F-80POS |
Post-effective amendment to a F-80 registration |
7 |
| F-N |
Notification of the appointment of an agent for service by certain foreign institutions |
214 |
| F-N/A |
Amendment to Notification of the appointment of an agent for service by certain foreign institutions |
15 |
| FWP |
Filing under Securities Act Rules 163/433 of free writing prospectuses |
113991 |
| F-X |
For appointment of agent for service of process by issuers registering securities |
1279 |
| F-X/A |
Amendment to For appointment of agent for service of process by issuers registering securities |
179 |
| IRANNOTICE |
Notice of disclosure filed in Exchange Act quarterly and annual reports pursuant to Section 219 of the Iran Threat Reduction and Syria Human Rights Act of 2012 and Section 13(r) of the Exchange Act |
2589 |
| MA |
Municipal Advisor registration required pursuant to Section 15B(a)(2) of the Securities Exchange Act of 1934 and the Rules Thereunder. Application for Municipal Advisor Registration (MA) |
17 |
| MA/A |
Amendment of a Prior Application for Registration (MA/A) |
316 |
| MA-A |
Annual Update of Municipal Advisor Registration (MA-A) |
605 |
| MA-I |
Information Regarding Natural Persons Who Engage in Municipal Advisory Activities |
488 |
| MA-I/A |
Amendment of a Previously Submitted Form MA-I |
1630 |
| MA-W |
Notice of Withdrawal from Registration as a Municipal Advisor |
29 |
| MODULE |
Module Submission |
0 |
| N-14 |
Initial registration statement filed on Form N14 for open-end investment company, including those filed with automatic effectiveness under Rule 488 (business combinations) |
389 |
| N-14 8C |
Initial registration statement filed on Form N14 by closed-end investment company (business combinations) |
238 |
| N-14 8C/A |
Amendment to Initial registration statement filed on Form N14 by closed-end investment company (business combinations) |
294 |
| N-14/A |
Amendment to Initial registration statement filed on Form N14 for open-end investment company, including those filed with automatic effectiveness under Rule 488 (business combinations) |
269 |
| N-14MEF |
A new registration statement filed on Form N14 by closed end investment companies filed under Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-14 |
6 |
| N-18F1 |
Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 |
25 |
| N-18F1/A |
Amendment to Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 |
0 |
| N-1A |
Initial registration statement filed on Form N1A for open-end management investment companies |
71 |
| N-1A/A |
Amendment to Initial registration statement filed on Form N1A for open-end management investment companies |
187 |
| N-2 |
Initial filing of a registration statement on Form N-2 for closed-end investment companies |
1792 |
| N-2 POSASR |
Post-effective amendment to an automatic shelf registration statement on Form N-2 for well-known seasoned issuers |
7 |
| N-2/A |
Amendment to Initial filing of a registration statement on Form N-2 for closed-end investment companies |
3203 |
| N-23C-2 |
Notice by closed-end investment companies of intention to call or redeem their own securities under Investment Company Act Rule 23c-2 |
1038 |
| N-23C-2/A |
Amendment to Notice by closed-end investment companies of intention to call or redeem their own securities under Investment Company Act Rule 23c-2 |
28 |
| N-23C3A |
Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only |
2180 |
| N23C3A/A |
Amendment to Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only |
0 |
| N-23C3B |
Filing pursuant to Rule 23c-3(c) only on Form N-23C-3 |
1 |
| N23C3B/A |
Amendment to Filing pursuant to Rule 23c-3(c) only on Form N-23C-3 |
0 |
| N-23C3C |
Filing pursuant to Rule 23c-3(b) and (c) on Form N-23C-3 |
5 |
| N23C3C/A |
Amendment to Filing pursuant to Rule 23c-3(b) and (c) on Form N-23C-3 |
0 |
| N-27D-1 |
Accounting for segregated trust accounts on Form N- 27D-1 |
0 |
| N-27D-1/A |
Amendment to Accounting for segregated trust accounts on Form N- 27D-1 |
0 |
| N-2ASR |
Automatic shelf registration statement on Form N-2 for well-known seasoned issuers |
66 |
| N-2MEF |
A new registration statement on Form N-2 filed under Securities Act Rule 462(b) by closed-end investment companies of up to an additional 20% of securities for an offering that was registered on Form N-2 |
146 |
| N-3 |
Initial registration statement on Form N-3 for separate accounts (management investment companies) |
5 |
| N-3/A |
Amendment to Initial registration statement on Form N-3 for separate accounts (management investment companies) |
0 |
| N-30B-2 |
Periodic and interim reports mailed to investment company shareholders (other than annual and semi- annual reports mailed to shareholders pursuant to Rule 30e-1) |
1908 |
| N-30D |
Initial annual and semi-annual reports mailed to investment company shareholders pursuant to Rule 30e-1 (other than those required to be submitted as part of Form NCSR.) |
3491 |
| N-30D/A |
Amendment to Initial annual and semi-annual reports mailed to investment company shareholders pursuant to Rule 30e-1 (other than those required to be submitted as part of Form NCSR.) |
32 |
| N-4 |
Initial registration statement on Form N-4 for separate accounts (unit investment trusts) |
96 |
| N-4/A |
Amendment to Initial registration statement on Form N-4 for separate accounts (unit investment trusts) |
43 |
| N-5 |
Registration statement for small business investment companies |
2 |
| N-5/A |
Amendment to Registration statement for small business investment companies |
5 |
| N-54A |
Notification of election by business development companies filed on Form N-54A |
100 |
| N-54A/A |
Amendment to Notification of election by business development companies filed on Form N-54A |
1 |
| N-54C |
Notification of withdrawal by business development companies filed on Form N-54C |
25 |
| N-54C/A |
Amendment to Notification of withdrawal by business development companies filed on Form N-54C |
1 |
| N-6 |
Registration statement for separate accounts (unit investment trusts) |
29 |
| N-6/A |
Amendment to Registration statement for separate accounts (unit investment trusts) |
22 |
| N-6F |
Notice of intent by business development companies to elect to be subject to Sections 55 through 65 of the 1940 Act filed on Form N-6F |
40 |
| N-6F/A |
Amendment to Notice of intent by business development companies to elect to be subject to Sections 55 through 65 of the 1940 Act filed on Form N-6F |
26 |
| N-8A |
Initial notification of registration under Section 8(a) filed on Form N-8A |
527 |
| N-8A/A |
Amendment to Initial notification of registration under Section 8(a) filed on Form N-8A |
80 |
| N-8B-2 |
Initial registration statement for unit investment trusts filed on Form N-8B-2 |
4 |
| N-8B-2/A |
Amendment to Initial registration statement for unit investment trusts filed on Form N-8B-2 |
5 |
| N-8B-3 |
Initial registration statement for periodic payment plans filed on Form N-8B-3 |
0 |
| N-8B-3/A |
Amendment to Initial registration statement for periodic payment plans filed on Form N-8B-3 |
0 |
| N-8B-4 |
Initial registration statement for face-amount certificate companies filed on Form N-8B-4 |
1 |
| N-8B-4/A |
Amendment to Initial registration statement for face-amount certificate companies filed on Form N-8B-4 |
0 |
| N-8F |
Application for deregistration made on Form N-8F |
180 |
| N-8F/A |
Amendment to Application for deregistration made on Form N-8F |
44 |
| N-CEN |
Annual Report for Registered Investment Companies |
8310 |
| N-CEN/A |
Amendment to Annual Report for Registered Investment Companies |
883 |
| N-CR |
Current Report of Money Market Fund Material Events |
0 |
| N-CR/A |
Amendment to Current Report of Money Market Fund Material Events |
0 |
| N-CSR |
Certified annual shareholder report of registered management investment companies filed on Form N- CSR |
15663 |
| N-CSR/A |
Amendment to Certified annual shareholder report of registered management investment companies filed on Form N- CSR |
795 |
| N-CSRS |
Certified semi-annual shareholder report of registered management investment companies filed on Form N-CSR |
14444 |
| N-CSRS/A |
Amendment to Certified semi-annual shareholder report of registered management investment companies filed on Form N-CSR |
209 |
| N-LIQUID |
Current Report Open-End Management Investment Company Liquidity |
0 |
| N-LIQUID/A |
Amendment to Current Report Open-End Management Investment Company Liquidity |
0 |
| N-MFP2 |
Monthly Schedule of Portfolio Holdings of Money Market Funds on Form N-MFP |
10335 |
| N-MFP2/A |
Amendment to Monthly Schedule of Portfolio Holdings of Money Market Funds on Form N-MFP |
633 |
| NPORT-EX |
Portfolio Holdings Exhibit to Form N-PORT |
931 |
| NPORT-EX/A |
Amendment to Portfolio Holdings Exhibit to Form N-PORT |
7 |
| NPORT-NP |
Monthly Portfolio Investments Report on Form N- PORT (Non-Public) |
0 |
| NPORT-NP/A |
Amendment to Monthly Portfolio Investments Report on Form N- PORT (Non-Public) |
0 |
| NPORT-P |
Monthly Portfolio Investments Report on Form N- PORT (Public) |
125480 |
| NPORT-P/A |
Amendment to Monthly Portfolio Investments Report on Form N- PORT (Public) |
2284 |
| N-PX |
Annual Report of Proxy Voting Record of Registered Management Investment Companies filed on Form N-PX |
12463 |
| N-PX/A |
Amendment to Annual Report of Proxy Voting Record of Registered Management Investment Companies filed on Form N-PX |
279 |
| N-PX-CR |
Annual Form N-PX Combination Report filed by institutional managers |
0 |
| N-PX-CR/A |
Amendment to Annual Form N-PX Combination Report filed by institutional managers |
0 |
| N-PX-FM |
Annual Report of Proxy Voting Record of Registered Management Investment Companies that includes proxy votes institutional managers |
0 |
| N-PX-FM/A |
Amendment to Annual Report of Proxy Voting Record of Registered Management Investment Companies that includes proxy votes institutional managers |
0 |
| N-PX-NT |
Annual Form N-PX Notice filed by institutional managers |
0 |
| N-PX-NT/A |
Amendment to Annual Form N-PX Notice filed by institutional managers |
0 |
| N-PX-VR |
Annual Form N-PX Voting Report filed by institutional managers |
0 |
| N-PX-VR/A |
Amendment to Annual Form N-PX Voting Report filed by institutional managers |
0 |
| N-Q |
Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company filed on Form N-Q |
12400 |
| N-Q/A |
Amendment to Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company filed on Form N-Q |
100 |
| NRSRO-CE |
Form NRSRO Annual Certification for Nationally Recognized Statistical Rating Organizations |
11 |
| NRSRO-CE/A |
Amendment to Form NRSRO Annual Certification for Nationally Recognized Statistical Rating Organizations |
3 |
| NRSRO-FR |
Annual Financial/Other Reports for Nationally Recognized Statistical Rating Organizations, as required by Rule 17g-3 (Non-Public) |
0 |
| NRSRO-FR/A |
Amendment to Annual Financial/Other Reports for Nationally Recognized Statistical Rating Organizations, as required by Rule 17g-3 (Non-Public) |
0 |
| NRSRO-UPD |
Form NRSRO Update of Registration for Nationally Recognized Statistical Rating Organizations |
26 |
| NRSRO-WCLS |
Form NRSRO Withdrawal from Credit Rating Class for Nationally Recognized Statistical Rating Organizations |
0 |
| NRSRO-WREG |
Form NRSRO Withdrawal from Registration as Nationally Recognized Statistical Rating Organization |
0 |
| NT 10-D |
Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D |
1 |
| NT 10-D/A |
Amendment to Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D |
0 |
| NT 10-K |
Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10-KT |
11362 |
| NT 10-K/A |
Amendment to Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10-KT |
169 |
| NT 10-Q |
Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB |
19783 |
| NT 10-Q/A |
Amendment to Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB |
167 |
| NT 11-K |
Notice under Rule 12b25 of inability to timely file all or part of a form 11-K |
255 |
| NT 11-K/A |
Amendment to Notice under Rule 12b25 of inability to timely file all or part of a form 11-K |
5 |
| NT 15D2 |
Notice under Rule 12b25 of inability to timely file a special report pursuant to Section 15d-2 |
1 |
| NT 15D2/A |
Amendment to Notice under Rule 12b25 of inability to timely file a special report pursuant to Section 15d-2 |
0 |
| NT 20-F |
Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F |
1047 |
| NT 20-F/A |
Amendment to Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F |
21 |
| NT-NCEN |
Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CEN |
13 |
| NT-NCEN/A |
Amendment to Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CEN |
0 |
| NT-NCSR |
Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) |
96 |
| NTNCSR/A |
Amendment to Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) |
0 |
| N-VP |
Notice Document for Certain Variable Contracts |
241 |
| N-VP/A |
Amendment to Notice Document for Certain Variable Contracts |
545 |
| N-VPFS |
Financial Statements for Certain Variable Contracts |
617 |
| N-VPFS/A |
Amendment to Financial Statements for Certain Variable Contracts |
117 |
| POS 8C |
Post-effective amendment filed under the 1933 Act only or under both the 1933 and 1940 Acts pursuant to Section 8(c) of the 1933 Act by closed-end investment companies (this filing cannot be submitted as a 1940 Act only filing) |
768 |
| POS AM |
Post-effective amendment to a registration statement that is not immediately effective upon filing |
8338 |
| POS AMI |
Post-effective amendment (for filings made under the 1940 Act only) |
728 |
| POS EX |
Post-effective amendment filed solely to add exhibits to a registration statement |
2690 |
| POS462B |
Post-effective amendment to Securities Act Rule 462(b) registration statement |
32 |
| POS462C |
Post-effective amendment to a registration statement filed under Rule 462(c) |
16 |
| POSASR |
Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F- 3ASR |
1423 |
| PRE 14A |
Preliminary proxy statement not related to a contested matter or merger/acquisition |
13873 |
| PRE 14C |
Preliminary information statement not related to a contested matter or merger/acquisition |
2778 |
| PREC14A |
Preliminary proxy statement in connection with contested solicitations |
1148 |
| PREC14C |
Preliminary information statements - contested solicitations |
9 |
| PREM14A |
Preliminary proxy statement relating to a merger, acquisition, or disposition |
790 |
| PREM14C |
Preliminary information statements relating to merger or acquisition |
102 |
| PREN14A |
Preliminary proxy statement filed by non-management |
81 |
| PRER14A |
Preliminary revised proxy soliciting materials |
2593 |
| PRER14C |
Preliminary revised information statements |
597 |
| PRRN14A |
Revised preliminary proxy statement filed by non- management |
726 |
| PX14A6G |
Notice of exempt solicitation |
2748 |
| PX14A6N |
Notice of exempt solicitation for the purpose of determining whether to solicit proxies, consents, or authorizations in opposition to a proposed roll-up transaction filed pursuant to Rule 14a6(g) of the Securities Exchange Act of 1934 |
36 |
| QRTLYRPT |
Periodic Development Bank filing, submitted quarterly |
37 |
| QRTLYRPT/A |
Amendment to Periodic Development Bank filing, submitted quarterly |
2 |
| RW |
Registration Withdrawal Request |
2463 |
| RW WD |
Withdrawal of a Registration Withdrawal Request |
96 |
| S-1 |
General form of registration statement for all companies including face-amount certificate companies |
9522 |
| S-11 |
Registration statement for securities to be issued by real estate companies |
317 |
| S-11MEF |
A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-11 |
37 |
| S-1MEF |
A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-1 |
1245 |
| S-20 |
Registration statement for standardized options |
0 |
| S-20/A |
Amendment to Registration statement for standardized options |
0 |
| S-3 |
Registration statement for specified transactions by certain issuers |
9837 |
| S-3/A |
Amendment to Registration statement for specified transactions by certain issuers |
4942 |
| S-3ASR |
Automatic shelf registration statement of securities of well-known seasoned issuers |
6270 |
| S-3D |
Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans |
203 |
| S-3DPOS |
Post-effective amendment to a S-3D registration statement |
121 |
| S-3MEF |
A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-3 |
278 |
| S-4 |
Registration of securities issued in business combination transactions |
3350 |
| S-4 POS |
Post-effective amendment to a S-4EF registration statement |
29 |
| S-4/A |
Amendment to Registration of securities issued in business combination transactions |
5294 |
| S-4EF |
Auto effective registration statement for securities issued in connection with the formation of a bank or savings and loan holding company in compliance with General Instruction G |
9 |
| S-4MEF |
A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4 |
62 |
| S-6 |
Initial registration statement filed on Form S-6 for unit investment trusts |
1284 |
| S-6/A |
Amendment to Initial registration statement filed on Form S-6 for unit investment trusts |
203 |
| S-8 |
Initial registration statement for securities to be offered to employees pursuant to employee benefit plans |
27191 |
| S-8 POS |
Post-effective amendment to a S-8 registration statement |
8777 |
| S-B |
Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B) |
25 |
| S-B/A |
Amendment to Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B) |
19 |
| S-BMEF |
A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-B |
1 |
| SBSE |
Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants |
2 |
| SBSE/A |
Amendment to Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants |
17 |
| SBSE-A |
Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant |
10 |
| SBSE-A/A |
Amendment to Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered or Registering with the Commodity Futures Trading Commission as a Swap Dealer or Major Swap Participant |
198 |
| SBSE-BD |
Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers |
0 |
| SBSE-BD/A |
Amendment to Application for Registration of Security-based Swap Dealers and Major Security-based Swap Participants that are Registered Broker-dealers |
4 |
| SBSE-C |
Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants |
12 |
| SBSE-W |
Request for Withdrawal from Registration as a Security-based Swap Dealer or Major Security-based Swap Participant |
0 |
| SC 13D |
Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities |
18635 |
| SC 13D/A |
Amendment to Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities |
54421 |
| SC 13E1 |
Schedule 13-E1 statement of issuer required by Rule 13e-1 |
2 |
| SC 13E1/A |
Amendment to Schedule 13-E1 statement of issuer required by Rule 13e-1 |
0 |
| SC 13E3 |
Schedule filed to report going private transactions |
253 |
| SC 13E3/A |
Amendment to Schedule filed to report going private transactions |
892 |
| SC 13G |
Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions |
87109 |
| SC 13G/A |
Amendment to Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions |
203037 |
| SC 14D9 |
Tender offer solicitation/recommendation statements filed under Rule 14d-9 |
331 |
| SC 14D9/A |
Amendment to Tender offer solicitation/recommendation statements filed under Rule 14d-9 |
705 |
| SC 14F1 |
Statement regarding change in majority of directors pursuant to Rule 14f-1 |
520 |
| SC 14F1/A |
Amendment to Statement regarding change in majority of directors pursuant to Rule 14f-1 |
37 |
| SC 14N |
Information filed by certain nominating shareholders (pursuant to Section 240 14n-1) |
10 |
| SC 14N/A |
Amendment to Information filed by certain nominating shareholders (pursuant to Section 240 14n-1) |
3 |
| SC 14N-S |
Solicitation in connection with the formation or attempted formation of a Rule 14a-11 nominating shareholder group or solicitation in connection with a Rule 14a-11 nomination |
0 |
| SC 14N-S/A |
Amendment to Solicitation in connection with the formation or attempted formation of a Rule 14a-11 nominating shareholder group or solicitation in connection with a Rule 14a-11 nomination |
0 |
| SC TO-C |
Written communication relating to an issuer or third party tender offer |
1880 |
| SC TO-I |
Issuer tender offer statement |
2100 |
| SC TO-I/A |
Amendment to Issuer tender offer statement |
4048 |
| SC TO-T |
Third party tender offer statement |
652 |
| SC TO-T/A |
Amendment to Third party tender offer statement |
3266 |
| SC13E4F |
Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers |
12 |
| SC13E4F/A |
Amendment to Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers |
17 |
| SC14D1F |
Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers |
8 |
| SC14D1F/A |
Amendment to Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers |
36 |
| SC14D9C |
Written communication by the subject company relating to a third party tender offer |
288 |
| SC14D9F |
Solicitation/recommendation statement pursuant to Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) by foreign issuers |
1 |
| SC14D9F/A |
Amendment to Solicitation/recommendation statement pursuant to Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) by foreign issuers |
2 |
| SD |
Specialized Disclosure Report filed pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the use of conflict minerals (Rule 13p-1) |
9553 |
| SD/A |
Amendment to Specialized Disclosure Report filed pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the use of conflict minerals (Rule 13p-1) |
27 |
| SDR |
Security-based swap data repository registration pursuant to the Securities Exchange Act of 1934. Application for Registration as Security-based Swap Data Repository (SDR) |
0 |
| SDR/A |
Interim Amendment to Application for Registration as Security-based Swap Data Repository (SDR/A) |
0 |
| SDR-A |
Annual Amendment to Application for Registration as Security-based Swap Data Repository (SDR-A) |
0 |
| SDR-CCO |
Annual Compliance Report and Financial Report for a Security-based Swap Data Repository |
0 |
| SDR-CCO/A |
Amendment to Annual Compliance Report and Financial Report for a Security-based Swap Data Repository |
0 |
| SDR-W |
Application for Withdrawal from Registration as Security-based Swap Data Repository |
0 |
| SF-1 |
General form of registration statement for all issuers of asset-backed securities |
22 |
| SF-1/A |
Amendment to General form of registration statement for all issuers of asset-backed securities |
53 |
| SF-1MEF |
A new registration statement filed under Securities Act Rule 462(b) to add securities to a prior related effective registration statement filed on Form SF-1 |
0 |
| SF-3 |
Shelf registration statement for qualified offerings of asset-backed securities |
19 |
| SF-3/A |
Amendment to Shelf registration statement for qualified offerings of asset-backed securities |
15 |
| SF-3MEF |
A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form SF-3 |
0 |
| SH-ER |
Weekly Form SH Entries Report Filed by Institutional Investment Managers |
0 |
| SH-ER/A |
Amendment to Weekly Form SH Entries Report Filed by Institutional Investment Managers |
0 |
| SH-NT |
Weekly Form SH Notice Report Filed by Institutional Investment Managers |
0 |
| SH-NT/A |
Amendment to Weekly Form SH Notice Report Filed by Institutional Investment Managers |
0 |
| SP 15D2 |
Special Financial Report filed under Rule 15d-2 |
13 |
| SP 15D2/A |
Amendment to Special Financial Report filed under Rule 15d-2 |
1 |
| SUPPL |
Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers |
3600 |
| T-1 |
Note - Forms T-1 are not filed as stand- alone submission types on the EDGAR system. They are filed as EX-25 (or EX-25/A when amended) to registration statements. |
0 |
| T-2 |
Note - Forms T-2 are not filed as stand- alone submission types on the EDGAR system. They are filed as EX-25 (or EX-25/A when amended) to registration statements. |
0 |
| T-3 |
Initial application for qualification of trust indentures |
153 |
| T-3/A |
Amendment to Initial application for qualification of trust indentures |
307 |
| T-6 |
Application for determination of eligibility of a foreign person to act as institutional trustee filed pursuant to Section 310(a)(1) of the Trust Indenture Act of 1939 |
0 |
| T-6/A |
Amendment to Application for determination of eligibility of a foreign person to act as institutional trustee filed pursuant to Section 310(a)(1) of the Trust Indenture Act of 1939 |
0 |
| TA-1 |
Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 |
20 |
| TA-1/A |
Amendment to Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 |
255 |
| TA-2 |
Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 |
229 |
| TA-2/A |
Amendment to Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 |
30 |
| TA-W |
Notice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934 |
16 |
| UNDER |
Initial undertaking to file reports |
4 |
| UNDER/A |
Amendment to Initial undertaking to file reports |
0 |
| X-17A-5 |
Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder |
2736 |
| X-17A-5/A |
Amendment to Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rules 17a-5 and 17a-12 thereunder |
124 |
| EFFECT |
Effectiveness refer to a Registration Statement that has been declared effective by the SEC and is available for the resale of the Registrable Securities required to be covered thereby. SEC Effective Date means the date the Registration Statement is declared effective by the Commission. |
137765 |
| QUALIF |
A filing with the form type “QUALIF” indicates a notice of qualification has been issued with respect to the related Regulation A offering statement. Crowdfunding. Early-stage ventures may use Regulation Crowdfunding to offer and sell securities through an online platform that is a funding portal or broker-dealer. |
1735 |
| Revoked |
Revocation is the act of recall or annulment. It is the cancelling of an act, the recalling of a grant or privilege, or the making void of some deed previously existing. A temporary revocation of a grant or privilege is called a suspension. |
6148 |
| UPLOAD |
UPLOAD Filing |
191354 |
SEC Filing Data