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10-K
Annual Report
8-K
Current Report
10-Q
Quarterly Report
4
Insider Trading Report
DEF 14A
Definitive Proxy Statement
S-1
Registration Statement
20-F
Annual Report for Foreign Private Issuers
6-K
Current Report for Foreign Private Issuers
F-1
Registration Statement for Foreign Private Issuers
40-F
Annual Report for Canadian Companies
PRE 14A
Preliminary Proxy Statement
25-NSE
Notification of Removal from Listing
SC 13D
Beneficial Ownership Report
ARS
Annual Report to Security Holders
3
Initial Statement of Beneficial Ownership
5
Annual Statement of Beneficial Ownership
11-K
Annual Report of Employee Stock Purchase, Savings and Similar Plans
13F
Quarterly Report of Institutional Investment Managers
144
Notice of Proposed Sale of Securities
CB
Notification of Foreign Issuer
D
Notice of Exempt Offering of Securities
F-3
Registration Statement for Foreign Private Issuers
F-4
Registration Statement for Foreign Private Issuers
F-6
Registration Statement for Depositary Shares
F-8
Registration Statement for Canadian Issuers
F-10
Registration Statement for Canadian Issuers
F-80
Registration Statement for Canadian Issuers
FWP
Filing of Certain Prospectuses and Communications
N-1A
Registration Statement for Open-End Management Investment Companies
N-2
Registration Statement for Closed-End Management Investment Companies
N-3
Registration Statement for Separate Accounts
N-4
Registration Statement for Variable Annuity Contracts
N-5
Registration Statement for Small Business Investment Companies
N-6
Registration Statement for Variable Life Insurance Contracts
N-14
Registration Statement for Closed-End Investment Companies
N-Q
Quarterly Schedule of Portfolio Holdings
N-SAR
Semi-Annual Report for Registered Investment Companies
NT 10-K
Notice of Late Filing for 10-K
NT 10-Q
Notice of Late Filing for 10-Q
POSASR
Post-Effective Amendment to Registration Statement
PX14A6G
Notice of Exempt Solicitation
QRTLYRPT
Quarterly Report of Bank Holding Companies
RW
Registration Withdrawal Request
S-3
Registration Statement for Specified Transactions
S-4
Registration Statement for Business Combinations
S-8
Registration Statement for Employee Benefit Plans
SB-1
Registration Statement for Small Business Issuers
SB-2
Registration Statement for Small Business Issuers
SC 14D9
Tender Offer Solicitation/Recommendation Statement
SD
Specialized Disclosure Report
SE
Annual Report for Public Utility Holding Companies
SF-1
Registration Statement for Asset-Backed Securities
SF-3
Registration Statement for Asset-Backed Securities
TA-1
Application for Registration as a Transfer Agent
TA-2
Annual Report of Transfer Agent Activities
X-17A-5
Annual Report of Brokers and Dealers
10-K/A
Amended Annual Report
8-K/A
Amended Current Report
10-Q/A
Amended Quarterly Report
4/A
Amended Insider Trading Report
S-1/A
Amended Registration Statement
MSD
Application for Registration of Municipal Securities Dealers
MSDW
Notice of Withdrawal from Registration as Municipal Securities Dealer
X-17A-5/17A
Focus Report (Financial and Operational Combined Uniform Single Report)
BDW
Uniform Request for Broker-Dealer Withdrawal
U5S
Annual Report for Public Utility Holding Companies
U-1A
Declaration for Public-Utility Holding Company
N-8A
Registration Statement of Investment Companies
N-8B-2
Registration Statement of Unit Investment Trusts
N-8F
Application for Deregistration of Investment Companies
N-CSR
Certified Shareholder Report of Registered Management Investment Companies
N-PORT
Monthly Portfolio Investments Report
1-A
Regulation A Offering Statement
1-K
Annual Report Pursuant to Regulation A
1-SA
Semiannual Report Pursuant to Regulation A
1-U
Current Report Pursuant to Regulation A
1-Z
Exit Report Pursuant to Regulation A
2-E
Report of Sales of Securities and Use of Proceeds
6-B
Application for Registration as an Exchange
8-B
Registration Statement for Certain Successor Issuers
15
Certification and Notice of Termination of Registration
18
Application for Registration of Foreign Government Securities
18-K
Annual Report for Foreign Governments and Political Subdivisions
19b-4
Proposed Rule Changes by Self-Regulatory Organizations
24F-2
Annual Notice of Securities Sold Pursuant to Rule 24f-2
25
Notification of Removal from Listing and/or Registration
305B2
Application for Designation of Securities as NMS Securities
ADV
Uniform Application for Investment Adviser Registration
ADV-W
Notice of Withdrawal from Registration as Investment Adviser
ANN
Annual Report for Non-Resident Brokers or Dealers
APP-F
Announcement of Filing under the Fair Disclosure Rule
ARC
Annual Report of Canadian Issuers
ATS-R
Quarterly Report of Alternative Trading System Activities
C
Registration Statement for Securities of Foreign Governments
CFPORTAL
Registration of Funding Portal
DEF 14C
Definitive Information Statement
DFRN 14A
Definitive Revised Proxy Statement
F-1/A
Amendment to Registration Statement for Foreign Private Issuers
F-2
Registration Statement for Foreign Private Issuers
F-7
Registration Statement for Rights Offerings by Canadian Issuers
F-9
Registration Statement for Certain Investment Grade Debt or Investment Grade Preferred Securities of Certain Canadian Issuers
F-10EF
Auto Effective Registration Statement for Certain Canadian Issuers
FN
Financial Statements of Natural Persons
FOCUS
Financial and Operational Combined Uniform Single Report
FT-1
Notice of Initial Form ATS-N Filing
G-405
Report by Institutional Investment Managers
I
Registration Statement by Foreign Governments or Political Subdivisions
N-14AE
Registration Statement for Open-End Investment Companies
N-18F-1
Initial Notice of Election of Rule 18f-1
N-23C-3
Notice of Intent to Repurchase Shares
N-27D-1
Accounting of Segregated Trust Account
NRSRO
Application for Registration as a Nationally Recognized Statistical Rating Organization
NTSE
Notification of Suspension of Trading
PF
Periodic Report for Registered Investment Advisers
PILOT
Initial Operation Report for Pilot Trading Systems
PX14A6
Notice of Exempt Preliminary Proxy Statement
QRTLYREPORT
Quarterly Report Filed by Registered Management Investment Companies
S-11
Registration Statement for Real Estate Investment Trusts
S-20
Registration Statement for Standardized Options
SB-1/A
Amendment to Registration Statement for Small Business Issuers
SC 13G/A
Amendment to Schedule 13G
SC 14F-1
Statement Regarding Change in Majority of Directors
SDR
Application or Amendment to Application for Registration as Security-Based Swap Data Repository
SEA
Annual Report for Public Utility Holding Companies
SF-1/A
Amendment to Registration Statement for Asset-Backed Securities
ST-10
Report by Registered Clearing Agencies
T-AC
Request to Terminate Application for Confidential Treatment
T-ACA
Request to Terminate Application for Confidential Treatment - Amendment
U3A-S1
Annual Report for Public Utility Holding Companies
X-17A-19
Report by National Securities Exchanges and Registered National Securities Associations
1-A-W
Withdrawal of Regulation A Offering Statement
1-SA
Semiannual Report Pursuant to Regulation A
1-U
Current Report Pursuant to Regulation A
1-Z-W
Withdrawal of Exit Report Under Regulation A
10-D
Asset-Backed Issuer Distribution Report
10-KT
Transition Annual Report
10-QT
Transition Quarterly Report
11-KT
Transition Annual Report of Employee Stock Purchase, Savings and Similar Plans
13F-CTR
Confidential Treatment Request for Form 13F
15F-12B
Certification of Termination of Registration of a Class of Security Under Section 12(b)
15F-12G
Certification of Termination of Registration of a Class of Security Under Section 12(g)
15F-15D
Certification of Termination of Registration of a Class of Security Under Section 15(d)
17AD-27
Annual Audited Report for Transfer Agents
18
Application for Registration of Foreign Government Securities
18-12B
Application for Registration of Securities
20FR12B
Form for Initial Registration of a Class of Securities for Foreign Private Issuers
20FR12G
Form for Initial Registration of a Class of Securities for Foreign Private Issuers Pursuant to Section 12(g)
24F-2NT
Rule 24f-2 Notice
40-APP
Application under the Investment Company Act
40-17F1
Initial Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies
40-17F2
Initial Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies
40-17G
Fidelity Bond
40-24B2
Filing of Certain Prospectuses
40-33
Application for an Order under Section 6(c) of the Investment Company Act
40-6B
Application Under the Investment Company Act by an Employees Securities Company
40-8B25
Filing by Investment Companies of Applications
40-8F-2
Deregistration of Certain Registered Investment Companies
40FR12B
Registration of a Class of Securities of Certain Canadian Issuers
40FR12G
Registration of a Class of Securities of Certain Canadian Issuers Pursuant to Section 12(g)
40-OIP
Notice of Intent to File an Application
424H
Rule 424(h) Preliminary Prospectus
485APOS
Post-Effective Amendment Filed Pursuant to Rule 485(a)
485BPOS
Post-Effective Amendment Filed Pursuant to Rule 485(b)
485BXT
Post-Effective Amendment Filed Pursuant to Rule 485(b)(1)(iii)
486APOS
Post-Effective Amendment Filed Pursuant to Rule 486(a)
486BPOS
Post-Effective Amendment Filed Pursuant to Rule 486(b)
486BXT
Post-Effective Amendment Filed Pursuant to Rule 486(b)(1)(iii)
497
Definitive Materials
497AD
Filing by Certain Investment Companies of Rule 482 Advertising
497H2
Filing by Certain Investment Companies of Rule 482 Advertising
497J
Certification of No Change in Definitive Materials
497K
Summary Prospectus for Certain Open-End Management Investment Companies
497VPI
Voluntary Filing of Initial Summary Prospectus
497VPSUB
Voluntary Filing of Subsequent Summary Prospectus
497VPU
Voluntary Filing of Updated Summary Prospectus
8-K12B
Form 8-K Combined with Form 12b-25
8-K12G3
Form 8-K Combined with Form 12g-3
8-K15D5
Form 8-K Combined with Form 15D
ABS-15G
Asset-Backed Securitizer Report
ABS-EE
Form ABS-EE
ANNLRPT
Annual Report for Non-Resident Issuers
APP WD
Withdrawal of Application for Exemptive Order
AW WD
Withdrawal of Amendment to a Registration Statement Filed Pursuant to Rule 477
DEFC14A
Definitive Contested Proxy Statement
DEFC14C
Definitive Contested Information Statement
DEFM14A
Definitive Proxy Statement Relating to Merger or Acquisition
DEFM14C
Definitive Information Statement Relating to Merger or Acquisition
DEFN14A
Definitive Proxy Statement (Non-Management)
DEFR14A
Definitive Revised Proxy Statement
DEFR14C
Definitive Revised Information Statement
DEL AM
Separately Filed Delaying Amendment
DFAN14A
Definitive Additional Proxy Soliciting Materials Filed by Non-Management
DFRN14A
Definitive Revised Proxy Statement (Non-Management)
DOSLTR
Division of Corporation Finance Conversation Letter
DRS
Draft Registration Statement
DRSLTR
Division of Corporation Finance Response Letter
DSTRBRPT
Distribution of Primary Obligations
F-10EF
Auto-effective Registration Statement for Securities of Certain Canadian Issuers
F-10POS
Post-Effective Amendment to Form F-10
F-3D
Registration Statement for Dividend or Interest Reinvestment Plan Securities of Foreign Private Issuers
F-3DPOS
Post-Effective Amendment to a F-3D Registration Statement
F-3MEF
Registration Statement for Additional Securities (for Form F-3)
F-4MEF
Registration Statement for Additional Securities (for Form F-4)
F-6 POS
Post-Effective Amendment to a F-6EF Registration Statement
F-7 POS
Post-Effective Amendment to a F-7 Registration Statement
F-8 POS
Post-Effective Amendment to a F-8 Registration Statement
FWP
Filing under Securities Act Rules 163/433 of Free Writing Prospectuses
IRANNOTICE
Notice of Disclosure Filed in Exchange Act Quarterly and Annual Reports
N-14AE
Automatic Shelf Registration Statement for Securities of Certain Investment Cos
N-18F1
Notification of Election to Rule 18f-1
N-23C-2
Notice by Closed-End Investment Companies of Intention to Call or Redeem Securities
N-23C3A
Notification of Periodic Repurchase Offer
N-23C3B
Notification of Receipt of Insufficient Securities
N-23C3C
Notification of Periodic Repurchase Offer
N-2MEF
Registration Statement for Additional Securities
N-30B-2
Periodic and Interim Reports for Unit Investment Trusts
N-30D
Annual and Semi-Annual Reports for Unit Investment Trusts
N-54A
Notification of Election to be Subject to Sections 55 through 65 of the Investment Company Act Filed Pursuant to Section 54(a) of the Act
N-54C
Notification of Withdrawal of Election to be Subject to Sections 55 through 65 of the Investment Company Act Filed Pursuant to Section 54(c) of the Act
N-6F
Notice of Intent to be Subject to Sections 55 through 65 of the Investment Company Act of 1940
N-8B-2
Initial Registration Statement for Unit Investment Trusts
N-8B-3
Initial Registration Statement for Separate Accounts
N-8B-4
Initial Registration Statement for Face-Amount Certificate Companies
N-8F
Application for Deregistration of Certain Registered Investment Companies
N-CR
Current Report of Money Market Fund Material Events
N-CSRS
Certified Semi-Annual Shareholder Report of Registered Management Investment Companies
N-PX
Annual Report of Proxy Voting Record
N-PX CTR
Confidential Treatment Request on Form N-PX
N-RN
Annual Report for Registered Management Investment Companies
N-VP
Registration Statement for Variable Life Insurance Policies
N-VPFS
Registration Statement for Variable Life Insurance Policies Filed on Form N-VP
NT 10-D
Notice under Rule 12b25 of inability to timely file Form 10-D
NT-NCSR
Notice of Non-Compliance for Annual or Semi-Annual Report Required by Rules 30a-1 or 30b1-1
POS462B
Post-Effective Amendment to Securities Act Rule 462(b) Registration Statement
POS462C
Post-Effective Amendment to Securities Act Rule 462(c) Registration Statement
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