SEC Forms

List of all SEC Forms

Form Description
43528056 Statement of changes in beneficial ownership of securities
8-K1581548 Events or Changes Between Quarterly Reports
10-Q548952 Quarterly report pursuant to section 13 and 15(d)
6-K403932 Current report of foreign issuer
SC 13G/A350618 [Amend] Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions
497340292 Definitive materials
3307687 Initial statement of beneficial ownership of securities
13F-HR269833 Initial Quarterly Form 13F Holdings report filed by institutional managers
D245839 Filing D
424B2234317 Prospectus
497K203483 Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)
SC 13G193364 Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions
10-K182371 Annual report pursuant to section 13 and 15(d)
485BPOS169192 Post-effective amendment
D/A168474 [Amend] Filing D
24F-2NT167806 Rule 24F-2 notice filed on Form 24F-2
CORRESP159536 Correspondence
UPLOAD157163 UPLOAD Filing
DEF 14A156288 Definitive proxy statements
424B3149589 Prospectus
FWP142480 Filing under Securities Act Rules 163/433 of free writing prospectuses
REGDEX128152 Regulation D Exemption Filing
10QSB116093 Quarterly report pursuant to section 13 and 15(d) for small business issuers
SC 13D/A113283 [Amend] Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities
497J113027 Certification of no change in definitive materials
4/A109751 [Amend] Statement of changes in beneficial ownership of securities
5104990 Insider Trading (Form 5)
N-Q94923 Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company
13F-NT89075 Initial Quarterly Form 13F Notice Report filed by institutional managers
X-17A-585987 X-17A-5 Filing
DEFA14A82890 Definitive additional proxy soliciting materials including Rule 14(a)(12) materia
S-877399 Initial registration statement for securities to be offered to employees pursuant to employee benefit plans
8-K/A72282 [Amend] Events or Changes Between Quarterly Reports
NT 10-Q69162 Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB
NSAR-B69078 Annual report for management companies
NSAR-A66974 Semi-annual report for management companies
42566332 Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions
10-D65578 Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17
N-30D62779 Initial annual and semi-annual reports mailed to investment company shareholders
N-CSR60402 Certified annual shareholder report of registered management investment companies
424B556068 Prospectus
SUPPL55688 Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers
SC 13D54250 Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities
N-CSRS52373 Certified semi-annual shareholder report of registered management investment companies
EFFECT51523 Filing EFFECT
N-PX48785 Annual Report of Proxy Voting Record of Registered Management Investment Companies
S-1/A48627 [Amend] IPO Registration
REGDEX/A42423 [Amend] Regulation D Exemption Filing
NT 10-K41822 Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT
N-MFP41411 Monthly Schedule Of Portfolio Holdings Of Money Market Funds
10-Q/A40356 [Amend] Quarterly report pursuant to section 13 and 15(d)
10-K/A39114 [Amend] Annual report pursuant to section 13 and 15(d)
11-K38006 Annual report of employee stock purchase, savings and similar plans
485APOS37954 Post-effective amendment
ARS36542 Annual Report to Security Holders
10KSB36105 Annual report pursuant to section 13 and 15(d) for small business issuers
PRE 14A35154 Preliminary proxy statement not related to a contested matter or merger/acquisition
S-8 POS32493 Post-effective amendment to a S-8 registration statement
S-332054 Registration statement for specified transactions by certain issuers
FOCUSN29640 FOCUSN Filing
POS AM28596 Post-effective amendment to a registration statement that is not immediately effective upon filing
19B-4E26566
S-3/A26079 [Amend] Registration statement for specified transactions by certain issuers
40-17G25312 Fidelity bond
13F-HR/A24626 [Amend] Initial Quarterly Form 13F Holdings report filed by institutional managers
NPORT-P22436
485BXT21215 Post-effective amendment
S-620225 Initial registration statement filed on Form S-6 for unit investment trusts
N-MFP218578
S-118472 IPO Registration
10-K40518333 Annual report pursuant to section 13 and 15(d)
8-A12B18255 Registration of a class of securities on a national securities exchange
S-4/A18135 [Amend] Registration of securities issued in business combination transactions
40-17F218040 Initial certificate of accounting of securities and similar investments in the custody of management investment companies
48717999 Pre-effective pricing amendment
3/A17302 [Amend] Initial statement of beneficial ownership of securities
NSAR-U16564 Annual report for unit investment trusts
10QSB/A16535 [Amend] Quarterly report pursuant to section 13 and 15(d) for small business issuers
SB-2/A16105 [Amend]
CT ORDER15868 Confidential Treatment Order.
15-15D15730 Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
20-F15560 Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d)
SC TO-I/A14780 [Amend] Issuer tender offer statement
S-413333 Registration of securities issued in business combination transactions
15-12G12630 Notice of termination of registration of a class of securities under Section 12(g)
SC TO-T/A11991 [Amend] Third party tender offer statement
DEF 14C11814 Definitive information statements
DFAN14A11671 Definitive additional proxy soliciting materials filed by non-management
10KSB/A11600 [Amend] Annual report pursuant to section 13 and 15(d) for small business issuers
RW11540 Registration Withdrawal Request
ABS-15G10937 Asset-backed securities report pursuant to Section 15G
PRER14A10393 Preliminary revised proxy soliciting materials
25-NSE10223 Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities
N-30B-210157 Periodic and interim reports mailed to investment company shareholders
424B49355 Prospectus
8-A12G9299 Notification that a class of securities of successor issuer is deemed to be registered
PRE 14C9189 Preliminary information statement not related to a contested matter or merger/acquisition
SC TO-I9098 Issuer tender offer statement
NO ACT9070 NO ACT Filing
SC 14D9/A8833 [Amend] Tender offer solicitation/recommendation statements filed under Rule 14d-9
TA-28523 Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934
S-6/A8110 [Amend] Initial registration statement filed on Form S-6 for unit investment trusts
MA-I/A8005
MA-I7739
SB-27599
ABS-EE7387
SD7238
NPORT-EX7210
S-3ASR7167 Automatic shelf registration statement of securities of well-known seasoned issuers
1447138 Filing for proposed sale of securities under Rule 144
F-6EF6586 Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers
SC 13E3/A6492 [Amend] Schedule filed to report going private transactions
N-CEN6274
NSAR-B/A6010 [Amend] Annual report for management companies
POS AMI5849 Post-effective amendment
X-17A-5/A5772 [Amend] X-17A-5 Filing
REVOKED5660
CERTNYS5645 Filing CERTNYS
N-2/A5448 [Amend] Initial filing of a registration statement on Form N-2 for closed-end investment companies
10SB12G/A5441
15-12B5318 Notice of termination of registration of a class of securities under Section 12(b)
424B15314 Prospectus
SC TO-C5276 Written communication relating to an issuer or third party tender offer
6-K/A5219 [Amend] Current report of foreign issuer
DEFM14A5192 Definitive proxy statement relating to merger or acquisition
DEFR14A5115 Definitive revised proxy soliciting materials
PREM14A4506 Preliminary proxy statements relating to merger or acquisition
10-12G/A4280 [Amend] Initial general form for registration of a class of securities pursuant to section 12(g)
SC 14D1/A4221
TA-1/A4140 [Amend] Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934
35-CERT4120
8-A12B/A4059 [Amend] Registration of a class of securities on a national securities exchange
5/A4036 [Amend] Insider Trading (Form 5)
10SB12G4027
253974 Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange
N-8A3967 Initial notification of registration under section 8(a) filed on Form N-8A
POS EX3953 Post-effective amendment filed solely to add exhibits to a registration statement
SC 14D93911 Tender offer solicitation/recommendation statements filed under Rule 14d-9
F-1/A3877 [Amend] Registration statement for securities of certain foreign private issuers
497AD3662 Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497
NSAR-A/A3659 [Amend] Semi-annual report for management companies
424B73627 Prospectus
N-23620 Initial filing of a registration statement on Form N-2 for closed-end investment companies
SE3574 SE Filing
DEFS14A3551 Definitive proxy statement for special meeting
AW3533 Withdrawal of amendment to a registration statement filed under the Securities Act
PRES14A3416
20-F/A3400 [Amend] Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d)
S-11/A3326 [Amend] Registration statement for securities to be issued by real estate companies
N-143311 Initial registration statement for open-end investment company
10KSB403237
ABS-15G/A3208 [Amend] Asset-backed securities report pursuant to Section 15G
24F-2NT/A3111 [Amend] Rule 24F-2 notice filed on Form 24F-2
IRANNOTICE3075
N-MFP13040
N-8F2992 Application for deregistration made on Form N-8F
N-CSR/A2954 [Amend] Certified annual shareholder report of registered management investment companies
40-24B22901 Filing of sales literature
DRS/A2847
10-K405/A2834 [Amend] Annual report pursuant to section 13 and 15(d)
1-A/A2806
40-APP/A2799 [Amend] Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
CERTNAS2774 Filing CERTNAS
N-1A/A2673 [Amend] Initial registration statement for open-end management investment companies
C/A2663
40-F2639 Annual reports filed by certain Canadian issuers
F-X2574 For appointment of agent for service of process by issuers registering securities
SC TO-T2560 Third party tender offer statement
NT-NSAR2544 Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR
C2526
PREC14A2462 Preliminary proxy statement in connection with contested solicitations
10-12G2440 Initial general form for registration of a class of securities pursuant to section 12(g)
PRER14C2439 Preliminary revised information statements
ADV-E2428 ADV-E Filing
DRSLTR2358
SC14D9C2335 Written communication by the subject company relating to a third party tender offer
F-6 POS2302 Post-effective amendment to a F-6EF registration
497K3B2292 Profiles for certain open-end management investment companies
10-D/A2263 [Amend] Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17
N-MFP/A2243 [Amend] Monthly Schedule Of Portfolio Holdings Of Money Market Funds
N-14/A2214 [Amend] Initial registration statement for open-end investment company
N-42206 Initial registration statement on Form N-4 for separate accounts (unit investment trusts)
SC 14F12206 Statement regarding change in majority of directors pursuant to Rule 14f-1
POS 8C2202 Post-effective amendment by closed-end investment companies
18-K/A2184 [Amend] Annual report for foreign governments
DRS2179
NTN 10Q2173 Filing NTN 10Q
8-A12G/A2156 [Amend] Notification that a class of securities of successor issuer is deemed to be registered
40-17G/A2154 [Amend] Fidelity bond
SC 13E32036 Schedule filed to report going private transactions
N-23C3A1999 Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only
PRRN14A1996 Revised preliminary proxy statement filed by non-management
CERT1988
N-4/A1963 [Amend] Initial registration statement on Form N-4 for separate accounts (unit investment trusts)
MA-A1918
40-APP1834 Applications under the Investment Company Act other than those reviewed by Office of Insurance Products
305B21832 Application for designation of a new trustee under the Trust Indenture Act
POSASR1813 Post-effective amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR
N-PX/A1810 [Amend] Annual Report of Proxy Voting Record of Registered Management Investment Companies
13F-NT/A1786 [Amend] Initial Quarterly Form 13F Notice Report filed by institutional managers
U-1/A1784
N-8F ORDR1757
N-1A1752 Initial registration statement for open-end management investment companies
DEFC14A1746 Definitive proxy statement in connection with contested solicitations
F-61716 Registration statement for American Depositary Receipts representing securities of certain foreign private issuers
PX14A6G1615 Notice of exempt solicitation
N-8F NTC1614
CB1607 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
N-23C-21606 Notice by closed-end investment companies of intention to call or redeem their own securities
CERTAMX1585 Filing CERTAMX
NT 20-F1581 Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F
NT 11-K1566 Notice under Rule 12b25 of inability to timely file all or part of a form 11-K
10-12B/A1518 [Amend] Initial general form for registration of a class of securities pursuant to section 12(b)
NTN 10K1516 Filing NTN 10K
CB/A1497 [Amend] 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
S-1MEF1496 A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 1
1/A1493
U-12-IB1479
253G21440
1-U1414
424A1411 Prospectus
MA/A1399
F-11396 Registration statement for securities of certain foreign private issuers
F-31395 Registration statement for specified transactions by certain foreign private issuers
F-4/A1357 [Amend] Registration statement for securities issued by foreign private issuers in certain business combination transactions
N-8F/A1350 [Amend] Application for deregistration made on Form N-8F
13FCONP1272
F-3/A1232 [Amend] Registration statement for specified transactions by certain foreign private issuers
S-2/A1221
U-6B-21194
S-3MEF1188 A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 3
1-A1159
N-18F11154 Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1
C-U1091
S-111068 Registration statement for securities to be issued by real estate companies
DEL AM1065 Separately filed delaying amendment
FOCUSN/A1062 [Amend] FOCUSN Filing
40-331040 All stockholder derivative actions filed with a court against an investment company or an affiliate
SC 14D11036
424B81033 Prospectus
497K11022 Profiles for certain open-end management investment companies
N-Q/A1008 [Amend] Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company
N-30D/A941 [Amend] Initial annual and semi-annual reports mailed to investment company shareholders
SC 13E4/A941
11-K/A921 [Amend] Annual report of employee stock purchase, savings and similar plans
N-CSRS/A916 [Amend] Certified semi-annual shareholder report of registered management investment companies
QUALIF906
N-MFP2/A905
N-14AE885 Filing N-14AE
N-CEN/A874
MA873
APP NTC870
U-3A-2869
U-1863
N-23C-1860
POS AMC860
S-2857
APP ORDR839
C-AR828
F-10/A822 [Amend] Registration statement for securities of certain Canadian issuers
13F-E821
S-3D777 Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans
485B24E770
F-10756 Registration statement for securities of certain Canadian issuers
486BPOS741 Post-effective amendment
TA-2/A736 [Amend] Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934
F-4718 Registration statement for securities issued by foreign private issuers in certain business combination transactions
1-A POS702
18-K698 Annual report for foreign governments
10-12B697 Initial general form for registration of a class of securities pursuant to section 12(b)
424H695
N-6678 Registration statement for separate accounts
ADV-NR677 ADV-NR Filing
NT 10-K/A657 [Amend] Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT
U-9C-3647
PREM14C641 Preliminary information statements relating to merger or acquisition
T-3638 Initial application for qualification of trust indentures
10-C626 Report by issuer of securities quoted on The Nasdaq Stock Market (SM), filed pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 and Rule 13a-17 or 15d-17 thereunder.
S-6EL24624
T-3/A618 [Amend] Initial application for qualification of trust indentures
12G3-2B614
NSAR-BT606 Transitional annual report filed on Form NSAR
8-K12G3604 Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(g)
U-57592
20FR12G/A588 [Amend] Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g)
10KSB40/A586
SEC STAFF LETTER581
S-3DPOS569 Post-effective amendment to a S-3D registration statement
NT 10-Q/A568 [Amend] Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB
F-3ASR557 Automatic shelf registration statement of securities of well-known seasoned issuers
N-MFP1/A553
N-8A/A548 [Amend] Initial notification of registration under section 8(a) filed on Form N-8A
SC 13E4545
CERTPAC543 Filing CERTPAC
40-8F-M538
40-6C/A530
40-17F1503
N-6/A501 [Amend] Registration statement for separate accounts
TA-W495 Notice of withdrawal from registration as transfer agent filed
40-F/A491 [Amend] Annual reports filed by certain Canadian issuers
10-KT490 Transition report pursuant to Rule 13a-10 or 15d-10
APP WD472 APP WD Filing
DSTRBRPT465 Distribution of primary obligations Development Bank report
40-8F-L448
40-6C436
BDCO431
MSD/A426 [Amend]
DEFM14C417 Definitive information statement relating to merger or acquisition
DEFR14C417 Definitive revised information statement materials
N-23C3B405 Filing N-23C3B
TA-1405 Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934
RW WD398 Withdrawal of a Registration Withdrawal Request
15-12G/A390 [Amend] Notice of termination of registration of a class of securities under Section 12(g)
20FR12G377 Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g)
F-N363 Notification of the appointment of an agent for service by certain foreign institutions
CERTARCA362
NSAR-U/A355 [Amend] Annual report for unit investment trusts
PREN14A353 Preliminary proxy statement filed by non-management
1-K352
DEFA14C349 Definitive additional information statement materials including Rule 14(a)(12) material
SB-1/A347 [Amend]
1-SA346
NT-NCSR344 Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report)
S-B329 Registration statement for securities of foreign governments and subdivisions
DFRN14A318 Revised definitive proxy statement filed by non-management
NPORT-P/A311
MA-W310
U-13-60309
N-2MEF300
N-1A EL/A293
N-14 8C/A289 [Amend] Initial registration statement filed on Form N14 by closed-end investment company (business combinations)
144/A287 [Amend] Filing for proposed sale of securities under Rule 144
24F-2TM280
F-X/A278 [Amend] For appointment of agent for service of process by issuers registering securities
N-54A274 Notification of election by business development companies
DEFN14A273 Definitive proxy statement filed by non management
G-FIN/A253 [Amend] G-FIN Filing
N-14 8C248 Initial registration statement filed on Form N14 by closed-end investment company (business combinations)
CFPORTAL/A243
NT N-MFP238
SC 14F1/A237 [Amend] Statement regarding change in majority of directors pursuant to Rule 14f-1
U-57/A237
25-NSE/A236 [Amend] Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities
S-4 POS236 Post-effective amendment to a S-4EF registration statement
15F-12G233 Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(g)
C-W233
8-K12B232 Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b)
N-1A EL231
15-15D/A215 [Amend] Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
S-6EL24/A212
PRE13E3/A210
U5S208
S-B/A202 [Amend] Registration statement for securities of foreign governments and subdivisions
486APOS197 Post-effective amendment
SF-3/A197
10-QT196 Transition report pursuant to Rule 13a-10 or 15d-10
SEC STAFF ACTION193
N-54C192 Notification of election by business development companies
POS462B188 Post-effective amendment to Securities Act Rule 462(b) registration statement
15F-12B187
F-1MEF186 A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1
N-14AE/A183 [Amend] Filing N-14AE
NTFNSAR181
40-8F-L/A180
12G32BR179
40-8F-M/A175
F-6/A173 [Amend] Registration statement for American Depositary Receipts representing securities of certain foreign private issuers
N-8B-2171 Initial registration statement for unit investment trusts
40-6B/A167 [Amend] Application under the Investment Company Act by an employees‟ securities company
NSAR-AT164
N-8B-2/A163 [Amend] Initial registration statement for unit investment trusts
DOS/A162
497K2161 Profiles for certain open-end management investment companies
S-4MEF160 A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4
20FR12B155 Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b)
20FR12B/A154 [Amend] Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b)
1-E153 Notification under Regulation E by small business investment companies and business development companies
10SB12B152
1-A-W151
SB-1151
40-OIP/A147 [Amend] Applications under the Investment Company Act reviewed by Office of Insurance Products
SC14D1F/A147 [Amend] Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers
NRSRO-UPD145
DOSLTR144
N-1/A144
N-6F143 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
DOS142
U-3A-2/A140
ABS-EE/A137
40-17F2/A136 [Amend] Initial certificate of accounting of securities and similar investments in the custody of management investment companies
QRTLYRPT132 Periodic Development Bank filing, submitted quarterly
C-TR131
TACO129
15F-15D128 Notice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
10SB12B/A126
40-8F-A126
SF-3126
PRE13E3125
NT N-MFP2123
40FR12B120 Registration of a class of securities of certain Canadian issuers
NT N-CEN119
8-K12G3/A116 [Amend] Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(g)
10-KT/A114 [Amend] Transition report pursuant to Rule 13a-10 or 15d-10
ATS-N/UA113
N14AE24113
PRES14C112
15-12B/A111 [Amend] Notice of termination of registration of a class of securities under Section 12(b)
40-8B25109 Document or Report
NT-NSAR/A107 [Amend] Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR
AW WD104 Withdrawal of a request for withdrawal of an amendment to a registration statement
ANNLRPT103 Periodic Development Bank filing, submitted annually
F-9103 Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers
13F-E/A102
SB-2MEF100
N-4 EL/A96
497H295 Filings made pursuant to Rule 497(h)(2)
1-Z94
193
F-3MEF93
13FCONP/A91
BW-390
F-9/A90 [Amend] Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers
N-4 EL90
11-KT89 Transition report pursuant to Rule 13a-10 or 15d-10
2-E88 Sales material filed pursuant to Rule 609 under Regulation E.
40-24B2/A87 [Amend] Filing of sales literature
S-11MEF85 A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 11
MSDW83 MSDW Filing
DEFS14C82
POS462C82 Post-effective amendment to a registration statement filed under Rule 462(c)
2-A/A81
40-OIP80 Applications under the Investment Company Act reviewed by Office of Insurance Products
1-E/A78 [Amend] Notification under Regulation E by small business investment companies and business development companies
35-CERT/A78
CERTBATS75
CERTCBO74
F-4MEF74
N14EL2474
ADV-H-T73
DEF13E3/A72
8-K15D570 Notification of assumption of duty to report by successor
10KT40569
40-8F-A/A68
S-2MEF68
F-9MEF67
REG-NR67 REG-NR Filing
U-7D67
8-M66 8-M Filing
8A12BEF66
CFPORTAL66
NTFNCSR66
U5S/A66
APP WDG65
N-6F/A65 [Amend] 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
OIP NTC65
S-4EF65
G-40564 G-405 Filing
N-CR64
NT NPORT-EX64
WDL-REQ63 WDL-REQ Filing
NSAR-BT/A62 [Amend] Transitional annual report filed on Form NSAR
PREC14C62 Preliminary information statements - contested solicitations
40FR12B/A61 [Amend] Registration of a class of securities of certain Canadian issuers
N-23C-2/A60 [Amend] Notice by closed-end investment companies of intention to call or redeem their own securities
DEF13E359
F-3DPOS59 Post-Effective amendment to a F-3D registration
OIP ORDR59
STOP ORDER59
F-3D58 Registration statement for dividend or interest reinvestment plan securities of foreign private issuers
F-10POS57 Post-effective amendment to a F-10EF registration
424H/A56
SP 15D256
N-355 Initial registration statement on Form N-3 for separate accounts (management investment companies)
ADVCO54
NT-NCEN54
N-23C3C53
2-A52
497K3A52 Profiles for certain open-end management investment companies
N-23C3C/A52 [Amend]
U-33-S52
40-6B51 Application under the Investment Company Act by an employees‟ securities company
485A24E51
485B24F51
8-B12B51
ADN-MTL51 ADN-MTL Filing
F-8/A51 [Amend] Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination
G-405N51
NRSRO-CE51
40-206A48
253G147
8-B12G47
MSD46
NTN 20F46 Filing NTN 20F
UNDER46
486BXT45
25/A44 [Amend] Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange
C-AR/A44
F-744 Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders
SC14D1F44 Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers
U-7D/A44
U5A44
S-4EF/A43 [Amend]
N14EL24/A42
PX14A6N42
SC14D9F/A41 [Amend]
U-12-IA41
ATS-N/MA40
SC14D9F40
ARS/A38 [Amend] Annual Report to Security Holders
N14AE24/A38
40-206A/A37
10-QT/A36 [Amend] Transition report pursuant to Rule 13a-10 or 15d-10
2-AF36
40-202A/A35
F-2/A35
NT N-MFP135
40-202A34
F-834 Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination
U5B34
N-18F1/A33 [Amend] Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1
SC 13E133
10-C/A31 [Amend] Report by issuer of securities quoted on The Nasdaq Stock Market (SM), filed pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 and Rule 13a-17 or 15d-17 thereunder.
40-8F-2/A31 [Amend] Initial application for de-registration pursuant to Investment Company Act Rule 0-2
F-2D31
N-23C3A/A31 [Amend] Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only
305B2/A30 [Amend] Application for designation of a new trustee under the Trust Indenture Act
U-3A3-130
NT 20-F/A29 [Amend] Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F
TTW29 TTW Filing
40FR12G28 Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act
F-10MEF28
F-2MEF28
F-8028 Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
BW-227
24F-2EL26
NRSRO-CE/A26
NT-NCSR/A26 [Amend] Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report)
SC13E4F/A26 [Amend] Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers
6B NTC25
6B ORDR25
DEFC14C25 Definitive information statement - contested solicitations
F-2DPOS25
F-N/A25 [Amend] Notification of the appointment of an agent for service by certain foreign institutions
N-125
NSAR-AT/A25 [Amend]
1-K/A24
35-APP24
F-4 POS24 Post-effective amendment to a F-4EF registration
G-FIN24 G-FIN Filing
SD/A24
8-K12B/A23 [Amend] Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b)
MSDCO23
N-3/A23 [Amend] Initial registration statement on Form N-3 for separate accounts (management investment companies)
40-17F1/A22
45B-322
F-80/A22 [Amend] Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-80POS22
U-13-60/A22
1-A-W/A20
1-SA/A20
40-8F-220 Initial application for de-registration pursuant to Investment Company Act Rule 0-2
F-220
U-9C-3/A20
ADB19
DSTRBRPT/A19 [Amend] Distribution of primary obligations Development Bank report
SC 13E1/A19
N-23C-1/A18
8A12BT17
EBRD17
NT 11-K/A17 [Amend] Notice under Rule 12b25 of inability to timely file all or part of a form 11-K
SC13E4F17 Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers
40-17GCS16
485A24F16
G-FINW16
N-27D-116
N-5/A16
NTFNCEN16
F-8 POS15
NT 15D215
U-R-115
1-U/A14
9-M14 9-M Filing
CERTBSE14
IADB14
S-BMEF14 A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form SB-1
U-6B-2/A14
10KT405/A13
15F-12B/A13
APP WD/A13 [Amend] APP WD Filing
ATS-N/CA13
N-CR/A13
NTN15D213
U-13E-113
15F-12G/A12 [Amend] Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(g)
N-512
N-54A/A12 [Amend] Notification of election by business development companies
U-13-112
19B-411
2-E/A11 [Amend] Sales material filed pursuant to Rule 609 under Regulation E.
8-B12B/A11
NT NPORT-P11
SF-1/A11
U5B/A11
39-304D10
ADVW10
AFDB10
F-7/A10 [Amend] Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders
NPORT-EX/A10
S-2010
18-12B9
40-33/A9 [Amend] All stockholder derivative actions filed with a court against an investment company or an affiliate
ADV-H-C9
C/A-W9
CFPORTAL-W9
NT 10-D9
NT 15D2/A9 [Amend]
SL9
34-12H8
40FR12G/A8 [Amend] Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act
8-B12G/A8
F-10EF8 Auto effective registration statement for securities of certain Canadian issuer under the Securities Act of 1933
N-14MEF8
N-23C3B/A8 [Amend] Filing N-23C3B
SC 14N8
TTW/A8 [Amend] TTW Filing
U-12-IB/A8
253G37
IFC7
40-8F-B6
ATS-N-C6
C-AR-W6
F-7 POS6 Post-effective amendment to a F-7 registration
F-9 POS6
N-54C/A6 [Amend] Notification of election by business development companies
N-8B-46
SB-1MEF6
SC 14N/A6
U-12-IA/A6
U-3A3-1/A6
U5A/A6
11-KT/A5 [Amend] Transition report pursuant to Rule 13a-10 or 15d-10
45B-3/A5
485BXTF5
8A12BT/A5
C-U-W5
F-4EF5
F-9EF5
N-6C95
NTN 10D5
SEC ACTION5
1-Z/A4
18-12G4
24F-14
35-APP/A4
39-310B4
40-205E4
40-8FC4
8-K15D5/A4 [Amend] Notification of assumption of duty to report by successor
CERTPBS4
G-405/A4 [Amend] G-405 Filing
N-27D-1/A4
N-3 EL/A4
N-6C9/A4
S-20/A4
SDR/A4
SP 15D2/A4 [Amend]
U-33-S/A4
10-QSB3
15F-15D/A3 [Amend] Notice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
18-12B/A3
24F-2EL/A3
263
40-203A3
40-8F-B/A3
485BXTE3
8F-2 NTC3
CA-13
CERTCSE3
N-3 EL3
N-8B-33
PREA14A3
QRTLYRPT/A3 [Amend] Periodic Development Bank filing, submitted quarterly
SF-13
U-13E-1/A3
1-E AD2 Sales material filed pursuant to Rule 607 under Regulation E.
1-Z-W2
18-12G/A2
19B-4/A2
24F-2TM/A2
24F-3NT2
24F-3NT/A2
253G42
35-11/A2
40-203A/A2
40-205E/A2
40-8FC/A2
40-RPT2
8F-2 ORDR2
ADV2
ADV/A2
AFDB/A2
ATS-N2
DEF-OC2
EBRD/A2
G-405N/A2 [Amend]
N-8B-3/A2
N-8B-4/A2
REG-NR/A2 [Amend] REG-NR Filing
SDR2
U-13-1/A2
U-R-1/A2
UNDER/A2 [Amend]
10-KSB1
10-KSB/A1
10-M1
10-QSB/A1
12G-21
12G3-2A1
26/A1
271
27/A1
281
28/A1
34-36CF1
34-36MR1
35-111
35-21
35-31
35-7B1
39-10B21
39-304C1
39-304D/A1
486A24F1
486B24E1
486B24F1
7-A1
7-A/A1
ADB/A1
ANNLRPT/A1 [Amend] Periodic Development Bank filing, submitted annually
C-TR-W1
CERTCIN1
CERTISE1
HISTORY1
IADB/A1
IBRD1
IBRD/A1
ID-NEWCIK1
IFC/A1
NT 10-D/A1
NT-NCEN/A1
OC1
OC/A1
PREA14C1
PWR-ATT1
PWR-ATT/A1
T-61