Form Name | Description |
1 | |
1-A | 1-A Filing |
1-A-W | |
1-A/A | 1-A/A Filing |
1-E | Notification under Regulation E |
1-E/A | Notification under Regulation E (Amendment) |
10-12B | Registration of a class of securities |
10-12B/A | Registration of a class of securities (Amendment) |
10-12G | Registration of a class of securities |
10-12G/A | Registration of a class of securities (Amendment) |
10-D | Distribution reports by Asset-Backed issuers |
10-D/A | Distribution reports by Asset-Backed issuers (Amendment) |
10-K | Annual Reports |
10-K/A | Annual Report (Amendment) |
10-KT | Transition report |
10-KT/A | Transition report (Amendment) |
10-Q | Quarterly Reports |
10-Q/A | Quarterly Report (Amendment) |
10-QT | Transition report |
10-QT/A | Transition report (Amendment) |
10KSB | Annual Report - Small Business |
10KSB/A | Annual Report - Small Business (Amendment) |
10QSB | Quarterly Report - Small Business |
10QSB/A | Quarterly Report - Small Business (Amendment) |
10SB12B | |
10SB12B/A | |
10SB12G | |
10SB12G/A | |
11-K | Annual Report of Employee Stock Purchase |
11-K/A | Annual Report of Employee Stock Purchase (Amendment) |
11-KT | Transition report |
12G3-2B | 12G3-2B Filing |
12G32BR | 12G32BR Filing |
13F-HR | Initial Quarterly Form 13F Holdings report filed by institutional managers |
13F-HR/A | Initial Quarterly Form 13F Holdings report filed by institutional managers (Amendment) |
13F-NT | Initial Quarterly Form 13F Notice Report filed by institutional managers |
13F-NT/A | Initial Quarterly Form 13F Notice Report filed by institutional managers (Amendment) |
13FCONP | 13FCONP Filing |
144 | Proposed Sale of Securities |
144/A | Proposed Sale of Securities (Amendment) |
15-12B | Termination of registration of a class of securities |
15-12B/A | Termination of registration of a class of securities (Amendment) |
15-12G | Termination of registration of a class of securities |
15-12G/A | Termination of registration of a class of securities (Amendment) |
15-15D | Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
15-15D/A | Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act (Amendment) |
15F-12B | Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(b) |
15F-12B/A | Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(b) (Amendment) |
15F-12G | Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(g) |
15F-12G/A | |
15F-15D | Notice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
18-K | Annual report for foreign governments |
18-K/A | Annual report for foreign governments (Amendment) |
19B-4 | |
19B-4E | 19B-4E Filing |
2-A | |
2-A/A | 2-A/A Filing |
2-AF | 2-AF Filing |
2-E | 2-E Filing |
2-E/A | 2-E/A Filing |
20-F | Annual and transition report of foreign private issuers |
20-F/A | Annual and transition report of foreign private issuers (Amendment) |
20FR12B | Initial registration of a class of securities of foreign private issuers |
20FR12B/A | Initial registration of a class of securities of foreign private issuers (Amendment) |
20FR12G | Initial registration of a class of securities of foreign private issuers |
20FR12G/A | Initial registration of a class of securities of foreign private issuers (Amendment) |
24F-2NT | Filing 24F-2NT |
24F-2NT/A | Filing 24F-2NT (Amendment) |
25 | Voluntarily withdraw securities from national security exchange (filed by issuer) |
25-NSE | National security exchange removing securities |
25-NSE/A | National security exchange removing securities (Amendment) |
25/A | Voluntarily withdraw securities from national security exchange (filed by issuer) Amendment |
3 | Insider Trading (Form 3) |
3/A | Insider Trading (Form 3) Amendment |
305B2 | Application for designation of a new trustee under the Trust Indenture Act |
39-304D | |
4 | Insider Trading |
4/A | Insider Trading (Form 4) Amendment |
40-17F1 | Initial certificate of accounting of securities and similar investments in the custody of management investment companies |
40-17F2 | Initial certificate of accounting of securities and similar investments in the custody of management investment companies |
40-17F2/A | |
40-17G | Fidelity bond |
40-17G/A | Fidelity bond (Amendment) |
40-202A/A | Filing 40-202A/A |
40-206A/A | |
40-24B2 | Filing of sales literature |
40-24B2/A | Filing of sales literature (Amendment) |
40-33 | All stockholder derivative actions filed with a court against an investment company or an affiliate |
40-6B | Filing 40-6B |
40-6B/A | Filing 40-6B (Amendment) |
40-6C | |
40-6C/A | |
40-8B25 | |
40-8F-2 | |
40-APP | Applications under the Investment Company Act other than those reviewed by Office of Insurance Products |
40-APP/A | Applications under the Investment Company Act other than those reviewed by Office of Insurance Products (Amendment) |
40-F | Annual reports filed by certain Canadian issuers |
40-F/A | Annual reports filed by certain Canadian issuers (Amendment) |
40-OIP | |
40-OIP/A | |
40FR12B | Registration of a class of securities of certain Canadian issuers |
40FR12B/A | Registration of a class of securities of certain Canadian issuers (Amendment) |
40FR12G | |
40FR12G/A | |
424A | Prospectus |
424B1 | Prospectus |
424B2 | Prospectus |
424B3 | Prospectus |
424B4 | Prospectus |
424B5 | Prospectus |
424B7 | Prospectus |
424B8 | Prospectus |
425 | Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions |
485APOS | Post-effective amendment |
485BPOS | Post-effective amendment |
485BXT | Post-effective amendment |
486APOS | Post-effective amendment |
486BPOS | Post-effective amendment |
487 | Pre-effective pricing amendment |
497 | Definitive materials |
497AD | Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 |
497H2 | |
497J | Certification of no change in definitive materials |
497K1 | Profiles for certain open-end management investment companies |
497K2 | Profiles for certain open-end management investment companies |
497K3A | Profiles for certain open-end management investment companies |
497K3B | Profiles for certain open-end management investment companies |
5 | Insider Trading (Form 5) |
5/A | Insider Trading (Form 5) Amendment |
6-K | Current report of foreign issuer |
6-K/A | Current report of foreign issuer (Amendment) |
8-A12B | Registration of a class of securities on a national securities exchange |
8-A12B/A | Registration of a class of securities on a national securities exchange (Amendment) |
8-A12G | Notification that a class of securities of successor issuer is deemed to be registered |
8-A12G/A | Notification that a class of securities of successor issuer is deemed to be registered (Amendment) |
8-K | Events or Changes Between Quarterly Reports |
8-K/A | |
8-K12B | |
8-K12B/A | Registration of a class of securities on a national securities exchange (Amendment) |
8-K12G3 | Notification that a class of securities of successor issuer is deemed to be registered |
8-K12G3/A | |
8-K15D5 | Notification of assumption of duty to report by successor |
8-M | 8-M Filing |
9-M | 9-M Filing |
ADN-MTL | ADN-MTL Filing |
ADV-E | ADV-E Filing |
ADV-H-C | |
ADV-H-T | |
ADV-NR | ADV-NR Filing |
ANNLRPT | Periodic Development Bank filing, submitted annually |
APP WD | APP WD Filing |
ARS | Annual Report to Security Holders |
ARS/A | Annual Report to Security Holders (Amendment) |
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 | 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 | 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 (Amendment) |
CERTAMX | Filing CERTAMX |
CERTNAS | Filing CERTNAS |
CERTNYS | Filing CERTNYS |
CERTPAC | Filing CERTPAC |
CORRESP | Correspondence |
CT ORDER | CT ORDER Filing |
D | Filing D |
D/A | Filing D (Amendment) |
DEF 14A | Definitive proxy statements |
DEF 14C | Definitive information statements |
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 merger or acquisition |
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 |
DFAN14A | Definitive additional proxy soliciting materials filed by non-management |
DFRN14A | Revised definitive proxy statement filed by non-management |
DSTRBRPT | Distribution of primary obligations Development Bank report |
EFFECT | Filing EFFECT |
F-1 | Registration statement for securities of certain foreign private issuers |
F-1/A | Registration statement for securities of certain foreign private issuers (Amendment) |
F-10 | Registration statement for securities of certain Canadian issuers |
F-10/A | Registration statement for securities of certain Canadian issuers (Amendment) |
F-10EF | |
F-10POS | |
F-1MEF | |
F-3 | Registration statement for specified transactions by certain foreign private issuers |
F-3/A | Registration statement for specified transactions by certain foreign private issuers (Amendment) |
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 | |
F-4 | Registration statement for securities issued by foreign private issuers in certain business combination transactions |
F-4 POS | |
F-4/A | Registration statement for securities issued by foreign private issuers in certain business combination transactions (Amendment) |
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 | Registration statement for American Depositary Receipts representing securities of certain foreign private issuers (Amendment) |
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 |
F-7 POS | |
F-7/A | |
F-8 | Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination |
F-8/A | Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (Amendment) |
F-80 | |
F-9 | Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers |
F-9/A | Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers (Amendment) |
F-N | Notification of the appointment of an agent for service by certain foreign institutions |
F-X | For appointment of agent for service of process by issuers registering securities |
F-X/A | For appointment of agent for service of process by issuers registering securities (Amendment) |
FOCUSN | FOCUSN Filing |
FOCUSN/A | FOCUSN Filing (Amendment) |
FWP | Filing under Securities Act Rules 163/433 of free writing prospectuses |
G-405 | G-405 Filing |
G-405N | |
G-FIN | G-FIN Filing |
G-FIN/A | G-FIN/A Filing (Amendment) |
MSD | |
MSD/A | MSD/A Filing (Amendment) |
MSDW | MSDW Filing |
N-14 | Initial registration statement for open-end investment company |
N-14 8C | Initial registration statement filed on Form N14 by closed-end investment company (business combinations) |
N-14 8C/A | Initial registration statement filed on Form N14 by closed-end investment company (business combinations) Amendment |
N-14/A | Initial registration statement for open-end investment company (Amendment) |
N-14AE | Filing N-14AE |
N-14AE/A | N-14AE (Amendment) |
N-18F1 | Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 |
N-18F1/A | Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 (Amendment) |
N-1A | Initial registration statement for open-end management investment companies |
N-1A/A | Initial registration statement 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 | Initial filing of a registration statement on Form N-2 for closed-end investment companies (Amendment) |
N-23C-2 | Notice by closed-end investment companies of intention to call or redeem their own securities |
N-23C-2/A | Notice by closed-end investment companies of intention to call or redeem their own securities (Amendment) |
N-23C3A | Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only |
N-23C3A/A | Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only (Amendment) |
N-23C3B | Filing N-23C3B |
N-23C3C | |
N-23C3C/A | Filing N-23C3C/A |
N-2MEF | |
N-3 | |
N-30B-2 | Periodic and interim reports mailed to investment company shareholders |
N-30D | Initial annual and semi-annual reports mailed to investment company shareholders |
N-30D/A | |
N-4 | Initial registration statement on Form N-4 for separate accounts (unit investment trusts) |
N-4/A | Initial registration statement on Form N-4 for separate accounts (unit investment trusts) Amendment |
N-54A | Notification of election by business development companies |
N-54C | Notification of election by business development companies |
N-54C/A | Notification of election by business development companies (Amendment) |
N-6 | Registration statement for separate accounts |
N-6/A | Registration statement for separate accounts (Amendment) |
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-8A | Initial notification of registration under section 8(a) filed on Form N-8A |
N-8A/A | Initial notification of registration under section 8(a) filed on Form N-8A (Amendment) |
N-8B-2 | Initial registration statement for unit investment trusts |
N-8B-2/A | Initial registration statement for unit investment trusts |
N-8F | Application for deregistration made on Form N-8F |
N-8F/A | Application for deregistration made on Form N-8F (Amendment) |
N-CSR | Certified annual shareholder report of registered management investment companies |
N-CSR/A | Certified annual shareholder report of registered management investment companies (Amendment) |
N-CSRS | Certified semi-annual shareholder report of registered management investment companies |
N-CSRS/A | Certified semi-annual shareholder report of registered management investment companies (Amendment) |
N-PX | Annual Report of Proxy Voting Record of Registered Management Investment Companies |
N-PX/A | Annual Report of Proxy Voting Record of Registered Management Investment Companies |
N-Q | Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company |
N-Q/A | Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company |
NO ACT | NO ACT Filing |
NSAR-A | Semi-annual report for management companies |
NSAR-A/A | Semi-annual report for management companies (Amendment) |
NSAR-AT | |
NSAR-B | Annual report for management companies |
NSAR-B/A | Annual report for management companies (Amendment) |
NSAR-BT | Transitional annual report filed on Form NSAR |
NSAR-BT/A | |
NSAR-U | Annual report for unit investment trusts |
NSAR-U/A | Annual report for unit investment trusts (Amendment) |
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 | Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT (Amendment) |
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 | Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB (Amendment) |
NT 11-K | Notice under Rule 12b25 of inability to timely file all or part of a form 11-K |
NT 15D2 | |
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 | |
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 | Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) Amendment |
NT-NSAR | Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR |
NT-NSAR/A | |
NTFNCSR | |
NTFNSAR | |
NTN 10K | Filing NTN 10K |
NTN 10Q | Filing NTN 10Q |
NTN 20F | Filing NTN 20F |
POS 8C | Post-effective amendment by closed-end investment companies |
POS AM | Post-effective amendment to a registration statement that is not immediately effective upon filing |
POS AMI | Post-effective amendment |
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 statements relating to merger or acquisition |
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 | |
QRTLYRPT | Periodic Development Bank filing, submitted quarterly |
REG-NR | REG-NR Filing |
REGDEX | Regulation D Exemption Filing [1] |
REGDEX/A | REGDEX Filing (Amendment) |
RW | Registration Withdrawal Request |
RW WD | Withdrawal of a Registration Withdrawal Request |
S-1 | IPO Registration |
S-1/A | IPO Registration (Amendment) |
S-11 | Registration statement for securities to be issued by real estate companies |
S-11/A | Registration statement for securities to be issued by real estate companies (Amendment) |
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-3 | Registration statement for specified transactions by certain issuers |
S-3/A | Registration statement for specified transactions by certain issuers (Amendment) |
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 | Registration of securities issued in business combination transactions (Amendment) |
S-4EF | |
S-4EF/A | |
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 | Initial registration statement filed on Form S-6 for unit investment trusts (Amendment) |
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 |
S-B/A | Registration statement for securities of foreign governments and subdivisions (Amendment) |
S-BMEF | A 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 13D | Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities |
SC 13D/A | Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities (Amendment) |
SC 13E3 | Schedule filed to report going private transactions |
SC 13E3/A | Schedule filed to report going private transactions (Amendment) |
SC 13G | Schedule 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/A | Schedule 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 14D9 | Tender offer solicitation/recommendation statements filed under Rule 14d-9 |
SC 14D9/A | Tender offer solicitation/recommendation statements filed under Rule 14d-9 (Amendment) |
SC 14F1 | Statement regarding change in majority of directors pursuant to Rule 14f-1 |
SC 14F1/A | Statement regarding change in majority of directors pursuant to Rule 14f-1 (Amendment) |
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 | Issuer tender offer statement (Amendment) |
SC TO-T | Third party tender offer statement |
SC TO-T/A | Third party tender offer statement (Amendment) |
SC13E4F | Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers |
SC13E4F/A | Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers (Amendment) |
SC14D1F | Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers |
SC14D1F/A | Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers (Amendment) |
SC14D9C | Written communication by the subject company relating to a third party tender offer |
SC14D9F | |
SC14D9F/A | |
SE | SE Filing |
SP 15D2 | |
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 | Initial application for qualification of trust indentures (Amendment) |
TA-1 | Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 |
TA-1/A | Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 (Amendment) |
TA-2 | Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 |
TA-2/A | Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 (Amendment) |
TA-W | Notice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934 |
TTW | TTW Filing |
UNDER | |
UPLOAD | UPLOAD Filing |
WDL-REQ | WDL-REQ Filing |
X-17A-5 | X-17A-5 Filing |
X-17A-5/A | X-17A-5/A Filing |