Form,Description
1-A POS,Reg A Offering Amendment
1-A-W,Reg A Offering Withdrawal
1-E,Notification filing for small business investment companies
1-E AD,Sales material for small business investment companies
1-K,Annual report for Regulation A issuers
1-SA,Semiannual report for Regulation A issuers
1-U,Current report for Regulation A issuers
1-Z,Exit report for terminated Regulation A offerings
1-Z-W,Withdrawal of Regulation A exit report
2-E,Report of securities sales
10-12B,Registration of a class of securities)
10-12G,Registration of a class of securities
10-D,Periodic distribution reports for asset-backed securities
10-K,Annual report for public companies
10-KT,Transition report with change in fiscal year
10-Q,Quarterly report for public companies
10-QT,Quarterly transition report with change in fiscal year
11-K,Annual report for employee stock plans
11-KT,Transition report for employee stock plans
13F-CTR,Confidential treatment request by institutional managers
13F-HR,Initial quarterly holdings report by institutional managers
13F-NT,Initial quarterly notice by institutional managers
13H,Registration for large traders
144,Notice of proposed sale
15-12G,Securities registration termination
15-15D,Suspension of reporting obligations
15F-12B,Foreign private issuer equity securities termination
15F-12G,Securities registration termination by foreign private issuer
15F-15D,Foreign private issuer reporting suspension
17HACON,Confidential annual broker-dealer report
17HQCON,Confidential quarterly broker-dealer report
18-12B,Securities registration by foreign governments
18-12G,Securities registration by foreign governments
18-K,Annual report for foreign governments
20-F,Annual report for foreign companies
20FR12B,Foreign private issuer securities registration
20FR12G,Foreign private issuer securities registration
24F-2NT,Rule 24F-2 notice for investment companies
25,Securities delisting
25-NSE,Notice of matured/redeemed/retired securities by exchanges
3,Initial statement of beneficial ownership
305B2,Application for new trustee
4,Statement of changes in beneficial ownership
40-6B,Application by employees' securities company
40-17F1,Custody report for management investment companies
40-17F2,Custody report for management investment companies
40-17G,Fidelity bond filing for investment companies
40-17GCS,Claims and settlements under investment company fidelity bond
40-24B2,Sales literature filing for investment companies
40-33,Investment company shareholder derivative actions
40-8B25,Investment company report or document
40-8F-2,Application for deregistration by investment companies
40-APP,Applications under Investment Company/Advisers Acts
40-F,Annual report (Canadian)
40FR12B,Securities registration by certain Canadian issuers
40FR12G,Securities registration by certain Canadian issuers
40-OIP,Applications under Investment Company/Advisers Acts reviewed by insurance office
424A,Prospectus outlining the details of securities offered by a company
424B1,Initial primary offering
424B2,Primary offering prospectus
424B3,Prospectus supplement
424B4,Prospectus supplement with pricing
424B5,Supplement to primary offering
424B7,Prospectus with material changes
424B8,Final prospectus changes
424H,Preliminary prospectus
425,Prospectus in business combination transactions
424I,Prospectus filed under Rule 424(i)(1)
485APOS,Post effective amendment
485BPOS,Post effective amendment
485BXT,Amendment to designate new effective date
486APOS,Post-effective amendment
486BPOS,Post-effective amendment
486BXT,Amendment to designate new effective date
487,Pre-effective pricing amendment under Rule 487
497,Fund prospectus
497AD,Rule 482 ads filed under Rule 497
497H2,Filings under Rule 497(h)(2)
497J,Certification of no changes to prospectus
497K,Summary fund prospectus
497VPI,Variable contracts summary prospectus
497VPSUB,Substitution-related supplement for variable contracts
497VPU,Updated summary prospectus for variable contracts
5,Annual statement of beneficial ownership changes
6-K,Foreign issuer current report
8-A12B,Registration of securities
8-A12G,Registration of securities
8-K,Current report
8-K12B,Successor issuer registration
8-K12G3,Successor issuer registration
8-K15D5,Successor issuer reporting
ABS-15G,Asset-backed securities report
ABS-EE,Electronic exhibits for asset-backed securities offerings
ANNLRPT,Annual development bank report
APP WD,Withdrawal of exemptive relief application
ARS,Annual report to security holders
ATS-N,Initial Alternative Trading System (ATS) notice
ATS-N/CA,Correcting amendment to ATS notice
ATS-N/MA,Material amendment to ATS notice
ATS-N/OFA,Order display and fair access amendment to ATS notice
ATS-N/UA,Updating amendment to ATS notice
ATS-N-C,Notice of ATS cessation
ATS-N-W,Withdrawal of ATS notice
AW,Withdrawal of Securities Act registration amendment
AW WD,Withdrawal request for registration amendment withdrawal
BULK,Bulk submission
C,Offering statement
C-W,Withdrawal of offering statement
C/A-W,Withdrawal of offering statement amendment
C-U,Progress update
C-U-W,Withdrawal of progress update
C-AR,Annual report
C-AR-W,Withdrawal of annual report
C-AR/A-W,Withdrawal of annual report amendment
C-TR,Termination of reporting
C-TR-W,Withdrawal of termination of reporting
CB,Notice for certain foreign issuer transactions
CERT,Exchange certification of listing approval
CFPORTAL,Funding portal registration application
CFPORTAL-W,Withdrawal of funding portal registration
CORRESP,Correspondence with the SEC
D,Notice of exempt Regulation D offering
DEF 14A,Definitive proxy statement
DEF 14C,Definitive information statement
DEFA14A,Additional definitive proxy materials
DEFA14C,Additional definitive information statement materials
DEFC14A,Definitive proxy statement - contested solicitation
DEFC14C,Definitive information statement - contested solicitation
DEFM14A,Definitive proxy statement for merger/acquisition
DEFM14C,Definitive information statement for merger/acquisition
DEFN14A,Definitive proxy statement by non-management
DEFR14A,Revised definitive proxy materials
DEFR14C,Revised definitive information statement materials
DEL AM,Delaying amendment for registration statement
DFAN14A,Additional proxy materials by non-management
DFRN14A,Revised proxy statement by non-management
DOS,Draft offering statement under Regulation A
DOSLTR,Draft offering statement letter
DRS,Draft registration statement
DRSLTR,Draft registration statement letter
DSTRBRPT,Distribution report for development bank
F-1,Securities registration by foreign private issuers
F-10,Securities registration by certain Canadian issuers
F-10EF,Auto-effective registration by certain Canadian issuers
F-10POS,Amendment to F-10EF registration
F-1MEF,Additional securities registered to prior F-1
F-3,Foreign private securities registration
F-3ASR,Foreign private securities registration
F-3D,Foreign private securities registration
F-3DPOS,Amendment to F-3D registration
F-3MEF,Additional securities registered to prior F-3
F-4,Business combination for foreign issuers
F-4MEF,Additional securities registered to prior F-4
F-6 POS,Amendment to F-6EF registration
F-6,Depositary receipts by foreign private issuers
F-6EF,Depositary receipts by foreign private issuers
F-7 POS,Amended F-7 registration
F-7,Canadian rights offerings
F-8 POS,Amendment to F-8 registration
F-8,Canadian business combination
F-80,Canadian business combination
F-80POS,Amendment to F-80 registration
F-N,Appointment of agent for service by foreign institutions
FWP,Filing of free writing prospectuses
F-X,Appointment of agent for service by foreign issuers
IRANNOTICE,Notice of Iran/Syria disclosures in periodic reports
MA,Municipal advisor registration
MA-I,Natural persons engaged in municipal advisory activities
MA-W,Withdrawal from municipal advisor registration
MODULE,Module submission
N-14 8C,Initial registration statement by closed-end funds for business combinations
N-14,Initial registration statement by open-end funds for business combinations
N-14MEF,Additional securities registered by closed-end funds
N-18F1,Election of terms for future filings
N-1A,Initial registration statement for open-end funds
N-2,Closed-end fund registration
N-2ASR,Closed-end fund automatic registration
N-2 POSASR,Amendment to N-2ASR registration
N-23C-2,Notice of closed-end fund's intention to call or redeem securities
N-23C3A,Closed-end fund periodic repurchase offer notice
N-23C3B,Filing under by closed-end funds
N-23C3C,Filings under and (c) by closed-end funds
N-27D-1,Accounting report for segregated trust accounts
N-2MEF,Additional securities registered to prior N-2
N-3,Initial registration for separate accounts of management companies
N-30B-2,Periodic reports (other than annual/semi-annual) by management companies
N-30D,Annual and semi-annual reports by management companies
N-4,Initial registration for separate accounts of unit trusts
N-5,Registration statement for small business investment companies
N-54A,Election filing by business development companies
N-54C,Withdrawal filing by business development companies
N-6,Registration statement for separate accounts of unit trusts
N-6F,Notice by business development companies electing to be subject to Sections 55-65
N-8A,Initial notification of registration
N-8B-2,Initial registration statement for unit investment trusts
N-8B-3,Initial registration statement for periodic payment plans
N-8B-4,Initial registration statement for face-amount certificate companies
N-8F,Application for deregistration
N-CEN,Annual report for registered investment companies
N-CR,Current report for money market funds
N-CSR,Certified annual shareholder report
N-CSRS,Certified semi-annual shareholder report
N-MFP2/A,Monthly portfolio holdings for money market funds
N-MFP3,Monthly portfolio holdings for money market funds
NPORT-EX,Portfolio holdings exhibit to Form N-PORT
NPORT-NP,Non-public monthly portfolio investments report
NPORT-P,Public monthly portfolio investments report
N-PX,Annual proxy voting record report
N-PX CTR,Confidential treatment request for Form N-PX
N-RN,Current report for registered funds and BDCs
NRSRO-UPD,Registration update by credit rating agencies
NRSRO-CE,Annual certification by credit rating agencies
NRSRO-FR,Annual reports for statistical rating organizations
NRSRO-WCLS,Withdrawal from credit rating class for nationally recognized statistical rating organizations
NRSRO-WREG,Withdrawal from registration as a nationally recognized statistical rating organization
NT 10-K,Late filing of 10-K
NT 10-D,Late filing of 10-D
NT 10-Q,Late filing of 10-Q
NT 11-K,Late filing of 11-K
NT 15D2,Late filing of special report
NT 20-F,Late filing of Form 20-F
NT-NCEN,Late filing of Form N-CEN
NT-NCSR,Late filing of Form N-CSR
N-VP,Notice document for certain variable contracts
N-VPFS,Financial statements for certain variable contracts
POS 8C,Post-effective amendment for closed-end funds
POS AM,Post-effective amendment to a registration statement
POS AMI,Post-effective amendment for investment company filings
POSASR,Post-effective amendment to automatic shelf registration
POS EX,Post-effective amendment adding exhibits
POS462B,Post-effective amendment filed
POS462C,Post-effective amendment filed
PRE 14A,Preliminary proxy statement
PRE 14C,Preliminary information statement
PREC14A,Preliminary proxy statement for contested solicitations
PREC14C,Preliminary information statement for contested solicitations
PREM14A,Preliminary merger proxy statement
PREM14C,Preliminary merger information statement
PREN14A,Preliminary proxy statement filed by non-management
PRER14A,Preliminary revised proxy materials
PRER14C,Preliminary revised information statements
PRRN14A,Revised preliminary proxy statement non-management
PX14A6G,Exempt solicitation
PX14A6N,Exempt solicitation for roll-up transaction
QRTLYRPT,Development banks quarterly report
RW,Registration withdrawal
RW WD,Withdrawal of registration withdrawal
S-1,Securities registration
S-11,Real estate securities registration
S-11MEF,Registration statement for prior Form S-11
S-1MEF,Registration statement for prior Form S-1
S-20,Standardized options registration
S-3,Simplified securities registration
S-3ASR,Automatic shelf registration
S-3D,Dividend reinvestment plans automatic securities registration
S-3DPOS,Post-effective amendment to Form S-3D
S-3MEF,Registration statement filed relating to prior Form S-3
S-4 POS,Post-effective amendment to Form S-4
S-4,Business acquisitions registration
S-4EF,Bank/S&L loan registration
S-4MEF,Registration statement filed relating to prior Form S-4
S-6,Initial registration statement for unit investment trusts
S-8,Employee securities registration
S-8 POS,Post-effective amendment to Form S-8
S-B,Foreign governments securities registration
S-BMEF,Registration statement filed relating to prior Form S-B
SBSE,Security-based swap dealer registration
SBSE-A,Abbreviated application for SEC-registered swap entities also registered with CFTC
SBSE-BD,Application for broker-dealer security-based swap dealers/major participants
SBSE-C,Certifications for security-based swap dealer/major participant registration
SBSE-W,Request to withdraw registration as security-based swap dealer/major participant
SBSE-DISPUTE NOTICE,Notice of valuation dispute by a security-based swap entity
SBSE-CCO-RPT,Annual compliance report for security-based swap dealers
SC 13D,Ownership for control disclosure
SCHEDULE 13D,Disclosure of beneficial ownership over 5% (XML)
SC 13E1,Issuer statement for going private transactions
SC 13E3,Schedule for going private transactions
SC 13G,Beneficial ownership
SCHEDULE 13G,Beneficial ownership by passive investors/institutions
SC 14D9,Solicitation/recommendation statement for third-party tender offers
SC 14F1,Statement for changes to majority of directors
SC 14N,Information by nominating shareholders
SC 14N-S,Solicitation relating to Rule 14a-11 nominating groups
SC TO-C,Written communication relating to tender offers
SC TO-I,Tender offer by issuer
SC TO-T,Tender offer by third party
SC13E4F,Foreign issuer tender
SC14D1F,3rd party tender offer by foreign issuer
SC14D9C,Subject company communication relating to third-party tender offer
SC14D9F,Solicitation/recommendation statement by foreign issuers for third-party tender offers
SD,Specialized disclosure report on conflict minerals or resource extraction payments
SDR,Registration for security-based swap data repositories
SDR-CCO,Compliance and financial reports for security-based swap data repositories
SDR-W,Withdrawal from registration as security-based swap data repository
SF-1,Asset-backed securities registration
SF-1MEF,Registration statement filed relating to prior Form SF-1
SF-3,Asset-backed securities shelf offerings
SF-3MEF,Registration statement filed relating to prior Form SF-3
SH-ER,Weekly entries report by institutional investment managers
SH-NT,Weekly notice report by institutional investment managers
SP 15D2,Special financial report
SPDSCL,Specialized disclosure filing
SUPPL,Supplemental material filed by foreign private issuers
T-3,Initial application for trust indenture qualification
T-6,Application for foreign entity to act as institutional trustee
TA-1,Initial application for transfer agent registration
TA-2,Annual report by registered transfer agents
TA-W,Notice of withdrawal from transfer agent registration
UPLOAD,Submission of documents
UNDER,Initial undertaking to file reports
X-17A-5,Reports required of brokers and dealers