13:05 ET Dow -154.48 at 10309.92, Nasdaq -37.61 at 2138.44, S&P -19.130 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 0 1 100001 0 1 0 1 1 0 1 0 00 0 1 1 1 0 1 100001 0 1 1 100001 13:05 ET Dow -154.48 at 10309.92, Nasdaq -37.61 at 2138.44, S&P -19.1313:05 ET Dow -154.48 at 10309.92, Nasdaq -37.61 at 2138.44, S&P -19.13

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Saturday, September 24, 2011

U.S. Securities and Exchange Commission Filings Abbreviations & Their Meanings - Source: Wikipedia

Source: http://en.wikipedia.org/wiki/SEC_filing


SEC filing

From Wikipedia, the free encyclopedia
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An SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies, certain insiders, and broker-dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Many, but not all SEC filings are available online through the SEC's EDGAR database.

Contents

 [hide]

[edit]Common filing types

Form NameDescription
F-1Registration statement for certain foreign private issuers.
Form Dan exempt offering of securities under Regulation D
3Initial statement of beneficial ownership (Insider transactions)
4Statement of changes in beneficial ownership (Insider transactions)
5Annual statement of changes in beneficial ownership (Insider transactions)
S-1General form of registration statement.
POS AMPost-effective amendments to provide updated prospectus information.
13DNotification of a holding of more than 5% of any class of a company's shares by a single investor or group working together
144Report of proposed sale of securities.
20-FRegistration of securities of foreign private issuers pursuant to section 12(b) or (g).
ARSAnnual Report to Security Holders.
6-KReport of foreign issuer pursuant to Rules 13a-16 and 15d-16.
10-QQuarterly report filed pursuant to sections 13 or 15(d).
10-KAnnual report pursuant to section 13 and 15(d).
8-KInterim report which announces any material events or corporate changes that occur between 10-Q quarterly reports.
11-KAn annual report of employee stock purchase, savings and similar plans.
DEF 14-AProxy Statement. Notification of shareholder votes, information about the Board of Directors, Board compensation, and Executive compensation.
Other filings are required with respect to offerings by private companies.

[edit]All filing types

Form NameDescription
1
1-A1-A Filing
1-A-W
1-A/A1-A/A Filing
1-ENotification under Regulation E
1-E/ANotification under Regulation E (Amendment)
10-12BRegistration of a class of securities
10-12B/ARegistration of a class of securities (Amendment)
10-12GRegistration of a class of securities
10-12G/ARegistration of a class of securities (Amendment)
10-DDistribution reports by Asset-Backed issuers
10-D/ADistribution reports by Asset-Backed issuers (Amendment)
10-KAnnual Reports
10-K/AAnnual Report (Amendment)
10-KTTransition report
10-KT/ATransition report (Amendment)
10-QQuarterly Reports
10-Q/AQuarterly Report (Amendment)
10-QTTransition report
10-QT/ATransition report (Amendment)
10KSBAnnual Report - Small Business
10KSB/AAnnual Report - Small Business (Amendment)
10QSBQuarterly Report - Small Business
10QSB/AQuarterly Report - Small Business (Amendment)
10SB12B
10SB12B/A
10SB12G
10SB12G/A
11-KAnnual Report of Employee Stock Purchase
11-K/AAnnual Report of Employee Stock Purchase (Amendment)
11-KTTransition report
12G3-2B12G3-2B Filing
12G32BR12G32BR Filing
13F-HRInitial Quarterly Form 13F Holdings report filed by institutional managers
13F-HR/AInitial Quarterly Form 13F Holdings report filed by institutional managers (Amendment)
13F-NTInitial Quarterly Form 13F Notice Report filed by institutional managers
13F-NT/AInitial Quarterly Form 13F Notice Report filed by institutional managers (Amendment)
13FCONP13FCONP Filing
144Proposed Sale of Securities
144/AProposed Sale of Securities (Amendment)
15-12BTermination of registration of a class of securities
15-12B/ATermination of registration of a class of securities (Amendment)
15-12GTermination of registration of a class of securities
15-12G/ATermination of registration of a class of securities (Amendment)
15-15DNotice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
15-15D/ANotice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act (Amendment)
15F-12BNotice of termination of a foreign private issuer's registration of a class of securities under Section 12(b)
15F-12B/ANotice of termination of a foreign private issuer's registration of a class of securities under Section 12(b) (Amendment)
15F-12GNotice of termination of a foreign private issuer's registration of a class of securities under Section 12(g)
15F-12G/A
15F-15DNotice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act
18-KAnnual report for foreign governments
18-K/AAnnual report for foreign governments (Amendment)
19B-4
19B-4E19B-4E Filing
2-A
2-A/A2-A/A Filing
2-AF2-AF Filing
2-E2-E Filing
2-E/A2-E/A Filing
20-FAnnual and transition report of foreign private issuers
20-F/AAnnual and transition report of foreign private issuers (Amendment)
20FR12BInitial registration of a class of securities of foreign private issuers
20FR12B/AInitial registration of a class of securities of foreign private issuers (Amendment)
20FR12GInitial registration of a class of securities of foreign private issuers
20FR12G/AInitial registration of a class of securities of foreign private issuers (Amendment)
24F-2NTFiling 24F-2NT
24F-2NT/AFiling 24F-2NT (Amendment)
25Voluntarily withdraw securities from national security exchange (filed by issuer)
25-NSENational security exchange removing securities
25-NSE/ANational security exchange removing securities (Amendment)
25/AVoluntarily withdraw securities from national security exchange (filed by issuer) Amendment
3Insider Trading (Form 3)
3/AInsider Trading (Form 3) Amendment
305B2Application for designation of a new trustee under the Trust Indenture Act
39-304D
4Insider Trading
4/AInsider Trading (Form 4) Amendment
40-17F1Initial certificate of accounting of securities and similar investments in the custody of management investment companies
40-17F2Initial certificate of accounting of securities and similar investments in the custody of management investment companies
40-17F2/A
40-17GFidelity bond
40-17G/AFidelity bond (Amendment)
40-202A/AFiling 40-202A/A
40-206A/A
40-24B2Filing of sales literature
40-24B2/AFiling of sales literature (Amendment)
40-33All stockholder derivative actions filed with a court against an investment company or an affiliate
40-6BFiling 40-6B
40-6B/AFiling 40-6B (Amendment)
40-6C
40-6C/A
40-8B25
40-8F-2
40-APPApplications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP/AApplications under the Investment Company Act other than those reviewed by Office of Insurance Products (Amendment)
40-FAnnual reports filed by certain Canadian issuers
40-F/AAnnual reports filed by certain Canadian issuers (Amendment)
40-OIP
40-OIP/A
40FR12BRegistration of a class of securities of certain Canadian issuers
40FR12B/ARegistration of a class of securities of certain Canadian issuers (Amendment)
40FR12G
40FR12G/A
424AProspectus
424B1Prospectus
424B2Prospectus
424B3Prospectus
424B4Prospectus
424B5Prospectus
424B7Prospectus
424B8Prospectus
425Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions
485APOSPost-effective amendment
485BPOSPost-effective amendment
485BXTPost-effective amendment
486APOSPost-effective amendment
486BPOSPost-effective amendment
487Pre-effective pricing amendment
497Definitive materials
497ADFiling by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497
497H2
497JCertification of no change in definitive materials
497K1Profiles for certain open-end management investment companies
497K2Profiles for certain open-end management investment companies
497K3AProfiles for certain open-end management investment companies
497K3BProfiles for certain open-end management investment companies
5Insider Trading (Form 5)
5/AInsider Trading (Form 5) Amendment
6-KCurrent report of foreign issuer
6-K/ACurrent report of foreign issuer (Amendment)
8-A12BRegistration of a class of securities on a national securities exchange
8-A12B/ARegistration of a class of securities on a national securities exchange (Amendment)
8-A12GNotification that a class of securities of successor issuer is deemed to be registered
8-A12G/ANotification that a class of securities of successor issuer is deemed to be registered (Amendment)
8-KEvents or Changes Between Quarterly Reports
8-K/A
8-K12B
8-K12B/ARegistration of a class of securities on a national securities exchange (Amendment)
8-K12G3Notification that a class of securities of successor issuer is deemed to be registered
8-K12G3/A
8-K15D5Notification of assumption of duty to report by successor
8-M8-M Filing
9-M9-M Filing
ADN-MTLADN-MTL Filing
ADV-EADV-E Filing
ADV-H-C
ADV-H-T
ADV-NRADV-NR Filing
ANNLRPTPeriodic Development Bank filing, submitted annually
APP WDAPP WD Filing
ARSAnnual Report to Security Holders
ARS/AAnnual Report to Security Holders (Amendment)
AWWithdrawal of amendment to a registration statement filed under the Securities Act
AW WDWithdrawal of a request for withdrawal of an amendment to a registration statement
CBCertain 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/ACertain 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 (Amendment)
CERTAMXFiling CERTAMX
CERTNASFiling CERTNAS
CERTNYSFiling CERTNYS
CERTPACFiling CERTPAC
CORRESPCorrespondence
CT ORDERCT ORDER Filing
DFiling D
D/AFiling D (Amendment)
DEF 14ADefinitive proxy statements
DEF 14CDefinitive information statements
DEFA14CDefinitive additional information statement materials including Rule 14(a)(12) material
DEFC14ADefinitive proxy statement in connection with contested solicitations
DEFC14CDefinitive information statement - contested solicitations
DEFM14ADefinitive proxy statement relating to merger or acquisition
DEFM14CDefinitive information statement relating to merger or acquisition
DEFN14ADefinitive proxy statement filed by non management
DEFR14ADefinitive revised proxy soliciting materials
DEFR14CDefinitive revised information statement materials
DEL AMSeparately filed delaying amendment
DFAN14ADefinitive additional proxy soliciting materials filed by non-management
DFRN14ARevised definitive proxy statement filed by non-management
DSTRBRPTDistribution of primary obligations Development Bank report
EFFECTFiling EFFECT
F-1Registration statement for securities of certain foreign private issuers
F-1/ARegistration statement for securities of certain foreign private issuers (Amendment)
F-10Registration statement for securities of certain Canadian issuers
F-10/ARegistration statement for securities of certain Canadian issuers (Amendment)
F-10EF
F-10POS
F-1MEF
F-3Registration statement for specified transactions by certain foreign private issuers
F-3/ARegistration statement for specified transactions by certain foreign private issuers (Amendment)
F-3ASRAutomatic shelf registration statement of securities of well-known seasoned issuers
F-3DRegistration statement for dividend or interest reinvestment plan securities of foreign private issuers
F-3DPOS
F-4Registration statement for securities issued by foreign private issuers in certain business combination transactions
F-4 POS
F-4/ARegistration statement for securities issued by foreign private issuers in certain business combination transactions (Amendment)
F-6Registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-6 POSPost-effective amendment to a F-6EF registration
F-6/ARegistration statement for American Depositary Receipts representing securities of certain foreign private issuers (Amendment)
F-6EFAuto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-7Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders
F-7 POS
F-7/A
F-8Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination
F-8/ARegistration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (Amendment)
F-80
F-9Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers
F-9/ARegistration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers (Amendment)
F-NNotification of the appointment of an agent for service by certain foreign institutions
F-XFor appointment of agent for service of process by issuers registering securities
F-X/AFor appointment of agent for service of process by issuers registering securities (Amendment)
FOCUSNFOCUSN Filing
FOCUSN/AFOCUSN Filing (Amendment)
FWPFiling under Securities Act Rules 163/433 of free writing prospectuses
G-405G-405 Filing
G-405N
G-FING-FIN Filing
G-FIN/AG-FIN/A Filing (Amendment)
MSD
MSD/AMSD/A Filing (Amendment)
MSDWMSDW Filing
N-14Initial registration statement for open-end investment company
N-14 8CInitial registration statement filed on Form N14 by closed-end investment company (business combinations)
N-14 8C/AInitial registration statement filed on Form N14 by closed-end investment company (business combinations) Amendment
N-14/AInitial registration statement for open-end investment company (Amendment)
N-14AEFiling N-14AE
N-14AE/AN-14AE (Amendment)
N-18F1Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1
N-18F1/AInitial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 (Amendment)
N-1AInitial registration statement for open-end management investment companies
N-1A/AInitial registration statement for open-end management investment companies
N-2Initial filing of a registration statement on Form N-2 for closed-end investment companies
N-2/AInitial filing of a registration statement on Form N-2 for closed-end investment companies (Amendment)
N-23C-2Notice by closed-end investment companies of intention to call or redeem their own securities
N-23C-2/ANotice by closed-end investment companies of intention to call or redeem their own securities (Amendment)
N-23C3ANotification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only
N-23C3A/ANotification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only (Amendment)
N-23C3BFiling N-23C3B
N-23C3C
N-23C3C/AFiling N-23C3C/A
N-2MEF
N-3
N-30B-2Periodic and interim reports mailed to investment company shareholders
N-30DInitial annual and semi-annual reports mailed to investment company shareholders
N-30D/A
N-4Initial registration statement on Form N-4 for separate accounts (unit investment trusts)
N-4/AInitial registration statement on Form N-4 for separate accounts (unit investment trusts) Amendment
N-54ANotification of election by business development companies
N-54CNotification of election by business development companies
N-54C/ANotification of election by business development companies (Amendment)
N-6Registration statement for separate accounts
N-6/ARegistration statement for separate accounts (Amendment)
N-6FNotice 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-8AInitial notification of registration under section 8(a) filed on Form N-8A
N-8A/AInitial notification of registration under section 8(a) filed on Form N-8A (Amendment)
N-8B-2Initial registration statement for unit investment trusts
N-8B-2/AInitial registration statement for unit investment trusts
N-8FApplication for deregistration made on Form N-8F
N-8F/AApplication for deregistration made on Form N-8F (Amendment)
N-CSRCertified annual shareholder report of registered management investment companies
N-CSR/ACertified annual shareholder report of registered management investment companies (Amendment)
N-CSRSCertified semi-annual shareholder report of registered management investment companies
N-CSRS/ACertified semi-annual shareholder report of registered management investment companies (Amendment)
N-PXAnnual Report of Proxy Voting Record of Registered Management Investment Companies
N-PX/AAnnual Report of Proxy Voting Record of Registered Management Investment Companies
N-QQuarterly Schedule of Portfolio Holdings of Registered Management Investment Company
N-Q/AQuarterly Schedule of Portfolio Holdings of Registered Management Investment Company
NO ACTNO ACT Filing
NSAR-ASemi-annual report for management companies
NSAR-A/ASemi-annual report for management companies (Amendment)
NSAR-AT
NSAR-BAnnual report for management companies
NSAR-B/AAnnual report for management companies (Amendment)
NSAR-BTTransitional annual report filed on Form NSAR
NSAR-BT/A
NSAR-UAnnual report for unit investment trusts
NSAR-U/AAnnual report for unit investment trusts (Amendment)
NT 10-KNotice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT
NT 10-K/ANotice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT (Amendment)
NT 10-QNotice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB
NT 10-Q/ANotice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB (Amendment)
NT 11-KNotice under Rule 12b25 of inability to timely file all or part of a form 11-K
NT 15D2
NT 20-FNotice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F
NT 20-F/A
NT-NCSRNotice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report)
NT-NCSR/ANotice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) Amendment
NT-NSARNotice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR
NT-NSAR/A
NTFNCSR
NTFNSAR
NTN 10KFiling NTN 10K
NTN 10QFiling NTN 10Q
NTN 20FFiling NTN 20F
POS 8CPost-effective amendment by closed-end investment companies
POS AMPost-effective amendment to a registration statement that is not immediately effective upon filing
POS AMIPost-effective amendment
POS EXPost-effective amendment filed solely to add exhibits to a registration statement
POS462BPost-effective amendment to Securities Act Rule 462(b) registration statement
POS462CPost-effective amendment to a registration statement filed under Rule 462(c)
POSASRPost-effective amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR
PRE 14APreliminary proxy statement not related to a contested matter or merger/acquisition
PRE 14CPreliminary information statement not related to a contested matter or merger/acquisition
PREC14APreliminary proxy statement in connection with contested solicitations
PREC14CPreliminary information statements - contested solicitations
PREM14APreliminary proxy statements relating to merger or acquisition
PREM14CPreliminary information statements relating to merger or acquisition
PREN14APreliminary proxy statement filed by non-management
PRER14APreliminary revised proxy soliciting materials
PRER14CPreliminary revised information statements
PRRN14ARevised preliminary proxy statement filed by non-management
PX14A6GNotice of exempt solicitation
PX14A6N
QRTLYRPTPeriodic Development Bank filing, submitted quarterly
REG-NRREG-NR Filing
REGDEXRegulation D Exemption Filing [1]
REGDEX/AREGDEX Filing (Amendment)
RWRegistration Withdrawal Request
RW WDWithdrawal of a Registration Withdrawal Request
S-1IPO Registration
S-1/AIPO Registration (Amendment)
S-11Registration statement for securities to be issued by real estate companies
S-11/ARegistration statement for securities to be issued by real estate companies (Amendment)
S-11MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 11
S-1MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 1
S-3Registration statement for specified transactions by certain issuers
S-3/ARegistration statement for specified transactions by certain issuers (Amendment)
S-3ASRAutomatic shelf registration statement of securities of well-known seasoned issuers
S-3DAutomatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans
S-3DPOSPost-effective amendment to a S-3D registration statement
S-3MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 3
S-4Registration of securities issued in business combination transactions
S-4 POSPost-effective amendment to a S-4EF registration statement
S-4/ARegistration of securities issued in business combination transactions (Amendment)
S-4EF
S-4EF/A
S-4MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4
S-6Initial registration statement filed on Form S-6 for unit investment trusts
S-6/AInitial registration statement filed on Form S-6 for unit investment trusts (Amendment)
S-8Initial registration statement for securities to be offered to employees pursuant to employee benefit plans
S-8 POSPost-effective amendment to a S-8 registration statement
S-BRegistration statement for securities of foreign governments and subdivisions
S-B/ARegistration statement for securities of foreign governments and subdivisions (Amendment)
S-BMEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form SB-1
SB-1
SB-1/A
SB-2
SB-2/A
SB-2MEF
SC 13DSchedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities
SC 13D/ASchedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities (Amendment)
SC 13E3Schedule filed to report going private transactions
SC 13E3/ASchedule filed to report going private transactions (Amendment)
SC 13GSchedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions
SC 13G/ASchedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions (Amendment)
SC 14D9Tender offer solicitation/recommendation statements filed under Rule 14d-9
SC 14D9/ATender offer solicitation/recommendation statements filed under Rule 14d-9 (Amendment)
SC 14F1Statement regarding change in majority of directors pursuant to Rule 14f-1
SC 14F1/AStatement regarding change in majority of directors pursuant to Rule 14f-1 (Amendment)
SC TO-CWritten communication relating to an issuer or third party tender offer
SC TO-IIssuer tender offer statement
SC TO-I/AIssuer tender offer statement (Amendment)
SC TO-TThird party tender offer statement
SC TO-T/AThird party tender offer statement (Amendment)
SC13E4FIssuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers
SC13E4F/AIssuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers (Amendment)
SC14D1FThird party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers
SC14D1F/AThird party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers (Amendment)
SC14D9CWritten communication by the subject company relating to a third party tender offer
SC14D9F
SC14D9F/A
SESE Filing
SP 15D2
SUPPLVoluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers
T-3Initial application for qualification of trust indentures
T-3/AInitial application for qualification of trust indentures (Amendment)
TA-1Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934
TA-1/AApplication for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 (Amendment)
TA-2Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934
TA-2/AAnnual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 (Amendment)
TA-WNotice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934
TTWTTW Filing
UNDER
UPLOADUPLOAD Filing
WDL-REQWDL-REQ Filing
X-17A-5X-17A-5 Filing
X-17A-5/AX-17A-5/A Filing

[edit]See also

[edit]Form Suffixes

SuffixDescription
SBSmall Business Filing (i.e. a Form 10K becomes a Form 10K/SB)
AAmendment to a Previous Filing (i.e. Schedule 13D becomes Schedule 13D/A)
TTransitional - when changing fiscal year (i.e. 10K becomes 10KT)

[edit]Finding Forms

All forms are filed with the SEC, and can be found for free in the SEC's EDGAR database.[1] There are also several other portals that specialize in sorting information found in individual forms.

[edit]References