|
|
|
| Form Type |
SEC Description |
| 10-12B |
Initial general form for registration of a class of securities pursuant to section 12(b) |
| 10-12B/A |
Amendment to Initial general form for registration of a class of securities pursuant to section 12(b) |
| 10-12G |
Initial general form for registration of a class of securities pursuant to section 12(g) |
| 10-12G/A |
Amendment to Initial general form for registration of a class of securities pursuant to section 12(g) |
| 10-D |
Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 |
| 10-D/A |
Amendment to Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 |
| 10-K |
Annual report pursuant to section 13 and 15(d) |
| 10-K/A |
Amendment to Annual report pursuant to section 13 and 15(d) |
| 10-KT |
Transition report pursuant to Rule 13a-10 or 15d-10 |
| 10-KT/A |
Amendment to Transition report pursuant to Rule 13a-10 or 15d-10 |
| 10-Q |
Quarterly report pursuant to sections 13 or 15(d) |
| 10-Q PF |
Pro forma version of Quarterly report pursuant to sections 13 or 15(d) |
| 10-Q/A |
Amendment to Quarterly report pursuant to sections 13 or 15(d) |
| 10-QT |
Transition report pursuant to Rule 13a-10 or 15d-10 |
| 10-QT/A |
Amendment to Transition report pursuant to Rule 13a-10 or 15d-10 |
| 11-K |
Annual report of employee stock purchase, savings and similar plans |
| 11-K/A |
Amendment to Annual report of employee stock purchase, savings and similar plans |
| 11-KT |
Transition report pursuant to rule 13a-10 or 15d10 |
| 11-KT/A |
Amendment to Transition report pursuant to rule 13a-10 or 15d10 |
| 13F-HR |
Initial Quarterly Form 13F Holdings report filed by institutional managers |
| 13F-HR/A |
Amendment to Initial Quarterly Form 13F Holdings report filed by institutional managers |
| 13F-NT |
Initial Quarterly Form 13F Notice Report filed by institutional managers |
| 13F-NT/A |
Amendment to Initial Quarterly Form 13F Notice Report filed by institutional managers |
| 144 |
Filing for proposed sale of securities under Rule 144 |
| 144/A |
Amendment to Filing for proposed sale of securities under Rule 144 |
| 15-12B |
Notice of termination of registration of a class of securities under Section 12(b) |
| 15-12B/A |
Amendment to Notice of termination of registration of a class of securities under Section 12(b) |
| 15-12G |
Notice of termination of registration of a class of securities under Section 12(g) |
| 15-12G/A |
Amendment to Notice of termination of registration of a class of securities under Section 12(g) |
| 15-15D |
Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
| 15-15D/A |
Amendment to Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
| 15F-12B |
Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b) |
| 15F-12B/A |
Amendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b) |
| 15F-12G |
Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g) |
| 15F-12G/A |
Amendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g) |
| 15F-15D |
Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
| 15F-15D/A |
Amendment to Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
| 18-12B |
Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b) |
| 18-12B/A |
Amendment to Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b) |
| 18-12G |
Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g) |
| 18-12G/A |
Amendment to Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g) |
| 18-K |
Annual report for foreign governments and political subdivisions |
| 18-K/A |
Amendment to Annual report for foreign governments and political subdivisions |
| 1-E |
Notification by Small Business Investment Companies and Business Development Companies |
| 1-E/A |
Amendment to Notification by Small Business Investment Companies and Business Development Companies |
| 20-F |
Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) |
| 20-F/A |
Amendment to Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) |
| 20FR12B |
Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) |
| 20FR12B/A |
Amendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) |
| 20FR12G |
Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) |
| 20FR12G/A |
Amendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) |
| 24F-2NT |
Rule 24F-2 notice filed on Form 24F-2 |
| 24F-2NT/A |
Amendment to Rule 24F-2 notice filed on Form 24F-2 |
| 25 |
Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange |
| 25/A |
Amendment to Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange |
| 2-E |
Report of Sales of Securities |
| 2-E/A |
Amendment to Report of Sales of Securities |
| 3 |
Initial statement of beneficial ownership of securities |
| 3/A |
Amendment to Initial statement of beneficial ownership of securities |
| 305B2 |
Application for designation of a new trustee under the Trust Indenture Act |
| 305B2/A |
Amendment to Application for designation of a new trustee under the Trust Indenture Act |
| 4 |
Statement of changes in beneficial ownership of securities |
| 4/A |
Amendment to Statement of changes in beneficial ownership of securities |
| 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 |
| 40-17F1/A |
Amendment to 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 |
| 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 |
| 40-17F2/A |
Amendment to 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 |
| 40-17G |
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940 |
| 40-17G/A |
Amendment to Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940 |
| 40-17GCS |
Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940 |
| 40-17GCS/A |
Amendment to Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940 |
| 40-24B2 |
Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940 |
| 40-24B2/A |
Amendment to Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940 |
| 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 |
| 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 |
| 40-6B |
Application under the Investment Company Act by an employees’ securities company |
| 40-6B/A |
Amendment to Application under the Investment Company Act by an employees’ securities company |
| 40-8B25 |
Application Requesting Extension of Time for Filing Certain Information, Documents or Reports |
| 40-8F-2 |
Initial application for deregistration pursuant to Investment Company Act Rule 0-2 |
| 40-8F-2/A |
Amendment to Initial application for deregistration pursuant to Investment Company Act Rule 0-2 |
| 40-APP |
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products |
| 40-APP/A |
Amendment to Applications under the Investment Company Act other than those reviewed by Office of Insurance Products |
| 40-F |
Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4 |
| 40-F/A |
Amendment to Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4 |
| 40FR12B |
Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act |
| 40FR12B/A |
Amendment to Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act |
| 40FR12G |
Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act |
| 40FR12G/A |
Amendment to Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act |
| 40-OIP |
Applications under the Investment Company Act reviewed by Office of Insurance Products |
| 40-OIP/A |
Amendment to Applications under the Investment Company Act reviewed by Office of Insurance Products |
| 424A |
Prospectus filed pursuant to Rule 424(a) |
| 424B1 |
Prospectus filed pursuant to Rule 424(b)(1) |
| 424B2 |
Prospectus filed pursuant to Rule 424(b)(2) |
| 424B3 |
Prospectus filed pursuant to Rule 424(b)(3) |
| 424B4 |
Prospectus filed pursuant to Rule 424(b)(4) |
| 424B5 |
Prospectus filed pursuant to Rule 424(b)(5) |
| 424B7 |
Prospectus filed pursuant to Rule 424(b)(7) |
| 424B8 |
Prospectus filed pursuant to Rule 424(b)(8) |
| 425 |
Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions |
| 485APOS |
Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) |
| 485BPOS |
Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing) |
| 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) |
| 486APOS |
Post-effective amendment to filing filed pursuant to Securities Act Rule 486(a) |
| 486BPOS |
Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b) |
| 487 |
Pre-effective pricing amendment filed pursuant to Securities Act Rule 487 |
| 497 |
Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497 |
| 497AD |
Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 and the Note to Rule 482(c) |
| 497H2 |
Filings made pursuant to Rule 497(h)(2) |
| 497J |
Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497 |
| 497K |
Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k) Cannot be used until March 31, 2009. |
| 5 |
Annual statement of changes in beneficial ownership of securities |
| 5/A |
Amendment to Annual statement of changes in beneficial ownership of securities |
| 6-K |
Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments |
| 6-K/A |
Amendment to Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments |
| 8-A12B |
Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b) |
| 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) |
| 8-A12G |
Form for registration of a class of securities pursuant to section 12(g) |
| 8-A12G/A |
Amendment to Form for registration of a class of securities pursuant to section 12(g) |
| 8-K |
Current report filing |
| 8-K/A |
Amendment to Current report filing |
| 8-K12B |
Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b) |
| 8-K12B/A |
Amendment to Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b) |
| 8-K12G3 |
Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g) |
| 8-K12G3/A |
Amendment to Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g) |
| 8-K15D5 |
Notification of assumption of duty to report by successor issue under section 15(d) |
| 8-K15D5/A |
Amendment to Notification of assumption of duty to report by successor issue under section 15(d) |
| ANNLRPT |
Periodic Development Bank filing, submitted annually |
| ANNLRPT/A |
Amendment to Periodic Development Bank filing, submitted annually |
| APP WD |
Withdrawal of an application for exemptive or other relief from the federal securities laws |
| APP WD/A |
Amendment to Withdrawal of an application for exemptive or other relief from the federal securities laws |
| ARS |
Annual report to security holders |
| ARS/A |
Amendment to Annual report to security holders |
| AW |
Withdrawal of amendment to a registration statement filed under the Securities Act |
| AW WD |
Withdrawal of a request for withdrawal of an amendment to a registration statement |
| 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 |
| 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 |
| CORRESP |
A correspondence can be sent as a document with another submission type or can be sent as a separate submission. |
| COVER |
A cover letter must be sent as a document with another submission type. |
| DEF 14A |
Definitive proxy statements |
| DEF 14C |
Definitive information statements |
| DEFA14A |
Additional definitive proxy solicitation materials |
| DEFA14C |
Definitive additional information statement materials including Rule 14(a)(12) material |
| DEFC14A |
Definitive proxy statement in connection with contested solicitations |
| DEFC14C |
Definitive information statement – contested solicitations |
| DEFM14A |
Definitive proxy statement relating to a merger,acquisition, or disposition |
| DEFM14C |
Definitive information statement relating to merger or acquisition |
| DEFN14A |
Definitive proxy statement filed by non management |
| DEFR14A |
Definitive revised proxy soliciting materials |
| DEFR14C |
Definitive revised information statement materials |
| DEL AM |
Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement |
| DFAN14A |
Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material |
| DFRN14A |
Revised definitive proxy statement filed by non-management |
| DSTRBRPT |
Distribution of primary obligations Development Bank report |
| DSTRBRPT/A |
Amendment to Distribution of primary obligations Development Bank report |
| F-1 |
Registration statement for securities of certain foreign private issuers |
| F-1/A |
Amendment to Registration statement for securities of certain foreign private issuers |
| F-10 |
Registration statement for securities of certain Canadian issuers under the Securities Act of 1933 |
| F-10/A |
Amendment to Registration statement for securities of certain Canadian issuers under the Securities Act of 1933 |
| F-10EF |
Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933 |
| F-10POS |
Post-effective amendment to a F-10EF registration |
| 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 |
| F-3 |
Registration statement for specified transactions by certain foreign private issuers |
| F-3/A |
Amendment to Registration statement for specified transactions by certain foreign private issuers |
| F-3ASR |
Automatic shelf registration statement of securities of well-known seasoned issuers |
| 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 |
| 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 |
| F-4 |
Registration statement for securities issued by foreign private issuers in certain business combination transactions |
| F-4 POS |
Post-effective amendment to a F-4EF registration |
| F-4/A |
Amendment to Registration statement for securities issued by foreign private issuers in certain business combination transactions |
| F-4EF |
Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions |
| 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 |
| F-6 |
Registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
| F-6 POS |
Post-effective amendment to a F-6EF registration |
| F-6/A |
Amendment to Registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
| F-6EF |
Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
| 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 |
| F-7 POS |
Post-effective amendment to a F-7 registration |
| 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 |
| 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 |
| F-8 POS |
Post-effective amendment to a F-8 registration |
| 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 |
| 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 |
| 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 |
| F-80POS |
Post-effective amendment to a F-80 registration |
| F-9 |
Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933 |
| F-9 POS |
Post-effective amendment to a F-9EF registration |
| F-9/A |
Amendment to Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933 |
| F-9EF |
Auto effective registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933 |
| F-N |
Notification of the appointment of an agent for service by certain foreign institutions |
| F-N/A |
Amendment to Notification of the appointment of an agent for service by certain foreign institutions |
| FWP |
Filing under Securities Act Rules 163/433 of free writing prospectuses |
| F-X |
For appointment of agent for service of process by issuers registering securities |
| F-X/A |
Amendment to For appointment of agent for service of process by issuers registering securities |
| MODULE |
|
| N-1 |
Initial registration statement filed on Form N-1 for open-end management investment companies. |
| N-1/A |
Amendment to Initial registration statement filed on Form N-1 for open-end management investment companies. |
| 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) |
| 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) |
| N-14 8C |
Initial registration statement filed on Form N14 by closed-end investment company (business combinations) |
| N-14 8C/A |
Amendment to Initial registration statement filed on Form N14 by closed-end investment company (business combinations) |
| 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 |
| N-18F1 |
Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 |
| N-18F1/A |
Amendment to Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 |
| N-1A |
Initial registration statement filed on Form N1A for open-end management investment companies |
| N-1A/A |
Amendment to Initial registration statement filed on Form N1A for open-end management investment companies |
| N-2 |
Initial filing of a registration statement on Form N-2 for closed-end investment companies |
| N-2/A |
Amendment to Initial filing of a registration statement on Form N-2 for closed-end investment companies |
| 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 |
| 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 |
| N-23C3A |
Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only |
| N-23C3A/A |
Amendment to Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only |
| N-23C3B |
Filing pursuant to Rule 23c-3(c) only on Form N23C-3 |
| N-23C3B/A |
Amendment to Filing pursuant to Rule 23c-3(c) only on Form N23C-3 |
| N-23C3C |
Filing pursuant to Rule 23c-3(b) and (c) on Form N-23C-3 |
| N-23C3C/A |
Amendment to Filing pursuant to Rule 23c-3(b) and (c) on Form N-23C-3 |
| N-27D-1 |
Accounting for segregated trust accounts on Form N-27D-1 |
| N-27D-1/A |
Amendment to Accounting for segregated trust accounts on Form N-27D-1 |
| 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 |
| N-3 |
Initial registration statement on Form N-3 for separate accounts (management investment companies) |
| N-3/A |
Amendment to Initial registration statement on Form N-3 for separate accounts (management investment companies) |
| 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) |
| 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) |
| 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) |
| N-4 |
Initial registration statement on Form N-4 for separate accounts (unit investment trusts) |
| N-4/A |
Amendment to Initial registration statement on Form N-4 for separate accounts (unit investment trusts) |
| N-5 |
Registration statement for small business investment companies |
| N-5/A |
Amendment to Registration statement for small business investment companies |
| N-54A |
Notification of election by business development companies filed on Form N-54A |
| N-54A/A |
Amendment to Notification of election by business development companies filed on Form N-54A |
| N-54C |
Notification of withdrawal by business development companies filed on Form N-54C |
| N-54C/A |
Amendment to Notification of withdrawal by business development companies filed on Form N-54C |
| N-6 |
Registration statement for separate accounts (unit investment trusts) |
| N-6/A |
Amendment to Registration statement for separate accounts (unit investment trusts) |
| 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 |
| 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 |
| N-8A |
Initial notification of registration under section 8(a) filed on Form N-8A |
| N-8A/A |
Amendment to Initial notification of registration under section 8(a) filed on Form N-8A |
| N-8B-2 |
Initial registration statement for unit investment trusts filed on Form N-8B-2 |
| N-8B-2/A |
Amendment to Initial registration statement for unit investment trusts filed on Form N-8B-2 |
| N-8B-3 |
Initial registration statement for periodic payment plans filed on Form N-8B-3 |
| N-8B-3/A |
Amendment to Initial registration statement for periodic payment plans filed on Form N-8B-3 |
| N-8B-4 |
Initial registration statement for face-amount certificate companies filed on Form N-8B-4 |
| N-8B-4/A |
Amendment to Initial registration statement for face-amount certificate companies filed on Form N-8B-4 |
| N-8F |
Application for deregistration made on Form N8F |
| N-8F/A |
Amendment to Application for deregistration made on Form N8F |
| N-CSR |
Certified annual shareholder report of registered management investment companies filed on Form N-CSR |
| N-CSR/A |
Amendment to Certified annual shareholder report of registered management investment companies filed on Form N-CSR |
| N-CSRS |
Certified semi-annual shareholder report of registered management investment companies filed on Form N-CSR |
| N-CSRS/A |
Amendment to Certified semi-annual shareholder report of registered management investment companies filed on Form N-CSR |
| N-PX |
Annual Report of Proxy Voting Record of Registered Management Investment Companies filed on Form N-PX |
| N-PX/A |
Amendment to Annual Report of Proxy Voting Record of Registered Management Investment Companies filed on Form N-PX |
| N-Q |
Annual Report of Proxy Voting Record of Registered Management Investment Companies filed on Form N-PX |
| N-Q/A |
Amendment to Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company filed on Form N-Q |
| NSAR-A |
Semi-annual report for management companies filed on Form N-SAR |
| NSAR-A/A |
Amendment to Semi-annual report for management companies filed on Form N-SAR |
| NSAR-AT |
Transitional semi-annual report filed on Form NSAR |
| NSAR-AT/A |
Amendment to Transitional semi-annual report filed on Form NSAR |
| NSAR-B |
Annual report for management companies filed on Form N-SAR |
| NSAR-B/A |
Amendment to Annual report for management companies filed on Form N-SAR |
| NSAR-BT |
Transitional annual report filed on Form NSAR |
| NSAR-BT/A |
Amendment to Transitional annual report filed on Form NSAR |
| NSAR-U |
Annual report for unit investment trusts filed on Form N-SAR |
| NSAR-U/A |
Amendment to Annual report for unit investment trusts filed on Form N-SAR |
| NT 10-D |
Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D |
| NT 10-D/A |
Amendment to Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D |
| NT 10-K |
Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT |
| 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 10KT |
| NT 10-Q |
Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB |
| 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 |
| NT 11-K |
Notice under Rule 12b25 of inability to timely file all or part of a form 11-K |
| NT 11-K/A |
Amendment to Notice under Rule 12b25 of inability to timely file all or part of a form 11-K |
| NT 15D2 |
Notice under Rule 12b25 of inability to timely file a special report pursuant to section 15d-2 |
| NT 15D2/A |
Amendment to Notice under Rule 12b25 of inability to timely file a special report pursuant to section 15d-2 |
| NT 20-F |
Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F |
| 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 |
| NT-NCSR |
Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) |
| NT-NCSR/A |
Amendment to Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) |
| NT-NSAR |
Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR |
| NT-NSAR/A |
Amendment to Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR |
| 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) |
| POS AM |
Post-effective amendment to a registration statement that is not immediately effective upon filing |
| POS AMI |
Post-effective amendment (for filings made under the 1940 Act only) |
| POS EX |
Post-effective amendment filed solely to add exhibits to a registration statement |
| POS462B |
Post-effective amendment to Securities Act Rule 462(b) registration statement |
| POS462C |
Post-effective amendment to a registration statement filed under Rule 462(c) |
| POSASR |
Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR |
| PRE 14A |
Preliminary proxy statement not related to a contested matter or merger/acquisition |
| PRE 14C |
Preliminary information statement not related to a contested matter or merger/acquisition |
| PREC14A |
Preliminary proxy statement in connection with contested solicitations |
| PREC14C |
Preliminary information statements – contested solicitations |
| PREM14A |
Preliminary proxy statement relating to a merger, acquisition, or disposition |
| PREM14C |
Preliminary information statements relating to merger or acquisition |
| PREN14A |
Preliminary proxy statement filed by non-management |
| PRER14A |
Preliminary revised proxy soliciting materials |
| PRER14C |
Preliminary revised information statements |
| PRRN14A |
Revised preliminary proxy statement filed by non-management |
| PX14A6G |
Notice of exempt solicitation |
| 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 |
| QRTLYRPT |
Periodic Development Bank filing, submitted quarterly |
| QRTLYRPT/A |
Amendment to Periodic Development Bank filing, submitted quarterly |
| RW |
Registration Withdrawal Request |
| RW WD |
Withdrawal of a Registration Withdrawal Request |
| S-1 |
General form of registration statement for all companies including face-amount certificate companies |
| S-1/A |
Amendment to General form of registration statement for all companies including face-amount certificate companies |
| S-11 |
Registration statement for securities to be issued by real estate companies |
| S-11/A |
Amendment to Registration statement for securities to be issued by real estate companies |
| 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 |
| 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 |
| S-20 |
Registration statement for standardized options |
| S-20/A |
Amendment to Registration statement for standardized options |
| S-3 |
Registration statement for specified transactions by certain issuers |
| S-3/A |
Amendment to Registration statement for specified transactions by certain issuers |
| S-3ASR |
Automatic shelf registration statement of securities of well-known seasoned issuers |
| S-3D |
Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans |
| S-3DPOS |
Post-effective amendment to a S-3D registration statement |
| 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 |
| S-4 |
Registration of securities issued in business combination transactions |
| S-4 POS |
Post-effective amendment to a S-4EF registration statement |
| S-4/A |
Amendment to Registration of securities issued in business combination transactions |
| 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 |
| 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 |
| S-6 |
Initial registration statement filed on Form S-6 for unit investment trusts |
| S-6/A |
Amendment to Initial registration statement filed on Form S-6 for unit investment trusts |
| S-8 |
Initial registration statement for securities to be offered to employees pursuant to employee benefit plans |
| S-8 POS |
Post-effective amendment to a S-8 registration statement |
| S-B |
Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B) |
| S-B/A |
Amendment to Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B) |
| 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 |
| SC 13D |
Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities |
| SC 13D/A |
Amendment to Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities |
| SC 13E1 |
Schedule 13-E1 statement of issuer required by Rule 13e-1 |
| SC 13E1/A |
Amendment to Schedule 13-E1 statement of issuer required by Rule 13e-1 |
| SC 13E3 |
Schedule filed to report going private transactions |
| SC 13E3/A |
Amendment to Schedule filed to report going private transactions |
| 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 |
| 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 |
| SC 14D9 |
Tender offer solicitation / recommendation statements filed under Rule 14d-9 |
| SC 14D9/A |
Amendment to Tender offer solicitation / recommendation statements filed under Rule 14d-9 |
| SC 14F1 |
Statement regarding change in majority of directors pursuant to Rule 14f-1 |
| SC 14F1/A |
Amendment to Statement regarding change in majority of directors pursuant to Rule 14f-1 |
| SC TO-C |
Written communication relating to an issuer or third party tender offer |
| SC TO-I |
Issuer tender offer statement |
| SC TO-I/A |
Amendment to Issuer tender offer statement |
| SC TO-T |
Third party tender offer statement |
| SC TO-T/A |
Amendment to Third party tender offer statement |
| SC13E4F |
Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers |
| SC13E4F/A |
Amendment to Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers |
| SC14D1F |
Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers |
| SC14D1F/A |
Amendment to Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers |
| SC14D9C |
Written communication by the subject company relating to a third party tender offer |
| 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 |
| 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 |
| SEGMENT |
|
| SH-ER |
Weekly Form SH Entries Report Filed by Institutional Investment Managers |
| SH-ER/A |
Amendment to Weekly Form SH Entries Report Filed by Institutional Investment Managers |
| SH-NT |
Weekly Form SH Notice Report Filed by Institutional Investment Managers |
| SH-NT/A |
Amendment to Weekly Form SH Notice Report Filed by Institutional Investment Managers |
| SP 15D2 |
Special Financial Report filed under Rule 15d-2 |
| SP 15D2/A |
Amendment to Special Financial Report filed under Rule 15d-2 |
| SUPPL |
Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers |
| T-3 |
Initial application for qualification of trust indentures |
| T-3/A |
Amendment to Initial application for qualification of trust indentures |
| 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 |
| 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 |
| TA-2 |
Form for reporting activities of transfer agents registered pursuant to Section 17a of the Securities Exchange Act of 1934 |
| UNDER |
Initial undertaking to file reports |
| UNDER/A |
Amendment to Initial undertaking to file reports |
