"form","count","description","example_filing_url","example_primary_doc_url"
"4","8942271","Statement of changes in beneficial ownership of securities. Filed by individuals or entities who own more than 10% of a company's shares.","https://www.sec.gov/Archives/edgar/data/1873893/000106299324015930/0001062993-24-015930-index.html","https://www.sec.gov/Archives/edgar/data/1201792/000106299324015930/xslF345X05/form4.xml"
"8-K","1950655","Current report for major events. Companies file this to disclose material events or information that is important to investors.","https://www.sec.gov/Archives/edgar/data/1555279/000110465924095714/0001104659-24-095714-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1555279/000110465924095714/tm2423132d1_8k.htm"
"SC 13G/A","849470","Amendment to beneficial ownership report. Filed when there are material changes to the information in a previously filed Schedule 13G.","https://www.sec.gov/Archives/edgar/data/1472322/000110465924095654/0001104659-24-095654-index.html","https://www.sec.gov/Archives/edgar/data/1472322/000110465924095654/tm2423053d1_sc13ga.htm"
"3","805089","Initial statement of beneficial ownership of securities. Filed by individuals or entities when they acquire more than 10% ownership in a company's shares.","https://www.sec.gov/Archives/edgar/data/933972/000165495424011336/0001654954-24-011336-index.html","https://www.sec.gov/Archives/edgar/data/933972/000165495424011336/xslF345X02/section16.xml"
"424B2","746374","Prospectus. Provides details about a company and its securities offering, including financial information, risks, and management discussion.","https://www.sec.gov/Archives/edgar/data/70858/000121390024074558/0001213900-24-074558-index.html","https://www.sec.gov/Archives/edgar/data/70858/000121390024074558/ea0212948-01_424b2.htm"
"10-Q","680605","Quarterly report. Public companies file this to disclose their financial and operational performance for the quarter.","https://www.sec.gov/Archives/edgar/data/1090872/000109087224000033/0001090872-24-000033-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1090872/000109087224000033/a-20240731.htm"
"6-K","521837","Report of foreign issuer. Filed by foreign private issuers to provide updates on their business and financial condition.","https://www.sec.gov/Archives/edgar/data/1572621/000121390024074128/0001213900-24-074128-index.html","https://www.sec.gov/Archives/edgar/data/1572621/000121390024074128/ea0213008-6k_aenza.htm"
"497","506883","Definitive proxy statement. Sent to shareholders before a meeting to provide information about matters to be voted on.","https://www.sec.gov/Archives/edgar/data/862021/000091957424005200/0000919574-24-005200-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/862021/000091957424005200/abfis-20240830.htm"
"SC 13G","447604","Statement of beneficial ownership of securities. Filed by institutional investors who acquire more than 5% of a company's voting stock.","https://www.sec.gov/Archives/edgar/data/1694297/000092189524002040/0000921895-24-002040-index.html","https://www.sec.gov/Archives/edgar/data/1393883/000092189524002040/sc13g10680006_08302024.htm"
"D","408190","Notice of sale of securities. Filed to register securities offerings, particularly for exempt offerings under Regulation D.","https://www.sec.gov/Archives/edgar/data/2033967/000203396724000001/0002033967-24-000001-index.html","https://www.sec.gov/Archives/edgar/data/2033967/000203396724000001/xslFormDX01/primary_doc.xml"
"13F-HR","384063","Report of institutional investment managers. Requires institutional investors to disclose their equity holdings.","https://www.sec.gov/Archives/edgar/data/2035548/000203554824000001/0002035548-24-000001-index.html","https://www.sec.gov/Archives/edgar/data/2035548/000203554824000001/xslForm13F_X02/primary_doc.xml"
"424B3","328196","Prospectus. A supplement to the basic prospectus, including additional information about the securities offering.","https://www.sec.gov/Archives/edgar/data/1918712/000191871224000117/0001918712-24-000117-index.html","https://www.sec.gov/Archives/edgar/data/1918712/000191871224000117/asif424b3-supplementxsocge.htm"
"497K","288538","Summary prospectus for variable insurance products. Provides key information about variable insurance contracts in a concise format.","https://www.sec.gov/Archives/edgar/data/862021/000119312524210731/0001193125-24-210731-index.html","https://www.sec.gov/Archives/edgar/data/862021/000119312524210731/d795289d497k.htm"
"SC 13D/A","269091","Amendment to beneficial ownership report. Filed to report changes to a previously filed Schedule 13D, often due to changes in ownership.","https://www.sec.gov/Archives/edgar/data/1653986/000095014224002302/0000950142-24-002302-index.html","https://www.sec.gov/Archives/edgar/data/1618756/000095014224002302/eh240525521_13da21-qsr.htm"
"4/A","259704","Amendment to a statement of changes in beneficial ownership of securities. Filed to update or correct information from a previously filed Form 4.","https://www.sec.gov/Archives/edgar/data/1741639/000089706924001784/0000897069-24-001784-index.html","https://www.sec.gov/Archives/edgar/data/1512499/000089706924001784/xslF345X05/form4.xml"
"D/A","258500","Amendment to Notice of sale of securities. Filed to make changes or corrections to a previously filed Form D.","https://www.sec.gov/Archives/edgar/data/1991006/000090266424005361/0000902664-24-005361-index.html","https://www.sec.gov/Archives/edgar/data/1991006/000090266424005361/xslFormDX01/primary_doc.xml"
"FWP","251724","Filed when a company becomes subject to the reporting requirements of the Exchange Act.  This is often due to an IPO or other event.","https://www.sec.gov/Archives/edgar/data/70858/000191870424000367/0001918704-24-000367-index.html","https://www.sec.gov/Archives/edgar/data/70858/000191870424000367/formfwp-33668_bac.htm"
"CORRESP","246996","Correspondence. Includes letters, emails, or other communications filed with the SEC, typically related to other filings.","https://www.sec.gov/Archives/edgar/data/1399520/000110465924087567/0001104659-24-087567-index.html","https://www.sec.gov/Archives/edgar/data/1399520/000110465924087567/filename1.htm"
"NPORT-P","239349","Monthly portfolio report of registered investment companies. Provides a snapshot of a fund's holdings and their values.","https://www.sec.gov/Archives/edgar/data/814679/000175272424199742/0001752724-24-199742-index.html","https://www.sec.gov/Archives/edgar/data/814679/000175272424199742/xslFormNPORT-P_X01/primary_doc.xml"
"UPLOAD","227758","Uploaded document.  Refers to supplemental materials submitted electronically alongside other filings.","https://www.sec.gov/Archives/edgar/data/1399520/000000000024008967/0000000000-24-008967-index.html","https://www.sec.gov/Archives/edgar/data/1399520/000000000024008967/filename1.pdf"
"5","227114","Report of unscheduled events.  It is used to report transactions by insiders.","https://www.sec.gov/Archives/edgar/data/1893956/000189395624000005/0001893956-24-000005-index.html","https://www.sec.gov/Archives/edgar/data/1893956/000189395624000005/xslF345X05/primary_doc.xml"
"10-K","223886","Annual report.  It provides a comprehensive overview of the company's business and financial performance.","https://www.sec.gov/Archives/edgar/data/1603345/000147793224005401/0001477932-24-005401-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1603345/000147793224005401/agtx_10k.htm"
"485BPOS","201714","Post-effective amendment for management investment companies. Used to make changes to a registration statement after it has become effective.","https://www.sec.gov/Archives/edgar/data/1579881/000110465924095310/0001104659-24-095310-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1579881/000110465924095310/tm2419349d4_485bpos.htm"
"24F-2NT","196224","Annual notice of securities sold pursuant to Rule 24f-2. Filed by certain investment companies that qualify for an exemption from registration fees.","https://www.sec.gov/Archives/edgar/data/1540305/000089418924005192/0000894189-24-005192-index.html","https://www.sec.gov/Archives/edgar/data/1540305/000089418924005192/xsl24F-2NT/primary_doc.xml"
"DEF 14A","195883","Definitive proxy statement. Provides shareholders with information necessary to vote on matters presented at a shareholder meeting.","https://www.sec.gov/Archives/edgar/data/842717/000119312524210375/0001193125-24-210375-index.html","https://www.sec.gov/Archives/edgar/data/842717/000119312524210375/d530217ddef14a.htm"
"424B5","143473","Prospectus. A type of prospectus filed as part of a registration statement or to update existing information.","https://www.sec.gov/Archives/edgar/data/1760001/000110465924095516/0001104659-24-095516-index.html","https://www.sec.gov/Archives/edgar/data/353184/000110465924095516/tm2423095d1_424b5.htm"
"497J","142218","Prospectus for an open-end management investment company. This prospectus is filed when these companies offer their shares to the public.","https://www.sec.gov/Archives/edgar/data/1027596/000089418924005363/0000894189-24-005363-index.html","https://www.sec.gov/Archives/edgar/data/1027596/000089418924005363/loganetf497j8-2024.htm"
"EFFECT","136789","Indicates the date on which a filing with the SEC becomes effective.","https://www.sec.gov/Archives/edgar/data/1842566/999999999524002686/9999999995-24-002686-index.html","https://www.sec.gov/Archives/edgar/data/1842566/999999999524002686/xslEFFECTX01/primary_doc.xml"
"425","130236","Filing under Securities Act Rules 16b-3(b), 14d-2(b) or 14e-2(d). Used for communications related to tender offers and going-private transactions.","https://www.sec.gov/Archives/edgar/data/1210677/000095017024102060/0000950170-24-102060-index.html","https://www.sec.gov/Archives/edgar/data/1210677/000095017024102060/equity_election_overview.htm"
"DEFA14A","127874","Additional definitive proxy statement. May be used to provide supplemental information or correct errors in a previously filed DEF 14A.","https://www.sec.gov/Archives/edgar/data/707800/000158064224005049/0001580642-24-005049-index.html","https://www.sec.gov/Archives/edgar/data/707800/000158064224005049/aquilafundstrust_n-14a.htm"
"REGDEX","126756","Regulation D. This regulation provides exemptions from registration for certain securities offerings.","https://www.sec.gov/Archives/edgar/data/1460791/999999999709015276/9999999997-09-015276-index.html","https://www.sec.gov/Archives/edgar/data/1460791/999999999709015276/9999999997-09-015276.paper"
"SC 13D","120196","Beneficial ownership report.  Investors use this to report when they acquire more than 5% of a company's voting stock..","https://www.sec.gov/Archives/edgar/data/1918767/000091957424005287/0000919574-24-005287-index.html","https://www.sec.gov/Archives/edgar/data/1523591/000091957424005287/d11455506_13d.htm"
"10QSB","120116","Quarterly report for smaller reporting companies. Smaller companies have reduced reporting requirements compared to larger companies.","https://www.sec.gov/Archives/edgar/data/42050/000114090508000177/0001140905-08-000177-index.html","https://www.sec.gov/Archives/edgar/data/42050/000114090508000177/wsrm0907q.htm"
"10-D","119356","General form for filing reports.  Used by asset-backed issuers.","https://www.sec.gov/Archives/edgar/data/1781089/000162829724000586/0001628297-24-000586-index.html","https://www.sec.gov/Archives/edgar/data/1781089/000162829724000586/Form10DCCMT19BB12.htm"
"13F-NT","117672","Notice of inability to file Form 13F on time.  Institutional investment managers file this.","https://www.sec.gov/Archives/edgar/data/2035675/000203567524000001/0002035675-24-000001-index.html","https://www.sec.gov/Archives/edgar/data/2035675/000203567524000001/xslForm13F_X02/primary_doc.xml"
"144","114127","Notice of proposed sale of securities. Filed by affiliates of a company or holders of restricted securities.","https://www.sec.gov/Archives/edgar/data/1991075/000195004724006650/0001950047-24-006650-index.html","https://www.sec.gov/Archives/edgar/data/1835856/000195004724006650/xsl144X01/primary_doc.xml"
"S-4/A","106573","Amendment to a registration statement for securities issued in a business combination transaction. Filed to make changes to a previously filed Form S-4.","https://www.sec.gov/Archives/edgar/data/1862463/000121390024074596/0001213900-24-074596-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1862463/000121390024074596/ea0207469-06.htm"
"X-17A-5","98586","Report for brokers and dealers.  It covers the broker-dealer's financial condition.","https://www.sec.gov/Archives/edgar/data/1482025/000148202524000003/0001482025-24-000003-index.html","https://www.sec.gov/Archives/edgar/data/1482025/000148202524000003/xslX-17A-5_X01/primary_doc.xml"
"N-Q","95003","Quarterly report for investment companies. This report provides information about the fund's performance, holdings, and expenses.","https://www.sec.gov/Archives/edgar/data/792394/000079239421000009/0000792394-21-000009-index.html","https://www.sec.gov/Archives/edgar/data/792394/000079239421000009/edgarfirstq2021.htm"
"S-8","93299","Registration statement for securities offered to employees. Used for employee stock purchase plans and other employee benefit plans.","https://www.sec.gov/Archives/edgar/data/1577437/000119312524211143/0001193125-24-211143-index.html","https://www.sec.gov/Archives/edgar/data/1577437/000119312524211143/d889836ds8.htm"
"S-4","90666","Registration of securities issued in business combination transactions. Used for mergers, acquisitions, consolidations, and similar transactions.","https://www.sec.gov/Archives/edgar/data/715072/000119312524210469/0001193125-24-210469-index.html","https://www.sec.gov/Archives/edgar/data/715072/000119312524210469/d877450ds4.htm"
"8-K/A","83229","Amendment to a current report. Filed to correct or update information from a previously filed Form 8-K.","https://www.sec.gov/Archives/edgar/data/1828805/000121390024074054/0001213900-24-074054-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1828805/000121390024074054/ea021294101-8ka_aeluma.htm"
"NT 10-Q","77998","Notice of late filing of a quarterly report. Filed when a company is unable to file its Form 10-Q on time.","https://www.sec.gov/Archives/edgar/data/1859807/000121390024071932/0001213900-24-071932-index.html","https://www.sec.gov/Archives/edgar/data/1859807/000121390024071932/ea0212188-nt10q_northview.htm"
"N-30D","76294","Annual shareholder report. Provided by mutual funds to their shareholders.","https://www.sec.gov/Archives/edgar/data/24924/000120677424000835/0001206774-24-000835-index.html","https://www.sec.gov/Archives/edgar/data/24924/000120677424000835/lexcx4370971-n30d.htm"
"N-CSR","73644","Certified shareholder report of registered management investment companies. This report provides information about the fund's operations and performance.","https://www.sec.gov/Archives/edgar/data/1479599/000199937124011096/0001999371-24-011096-index.html","https://www.sec.gov/Archives/edgar/data/1479599/000199937124011096/agfetf-ncsr_063024.htm"
"NSAR-B","72651","Filed by registered management investment companies that are smaller reporting companies to file reports of proxy voting records.  ","https://www.sec.gov/Archives/edgar/data/1358656/000149315219002785/0001493152-19-002785-index.html","https://www.sec.gov/Archives/edgar/data/1358656/000149315219002785/part.fil"
"NSAR-A","72547","Filed by registered management investment companies, other than a smaller reporting company, to file reports of proxy voting records.","https://www.sec.gov/Archives/edgar/data/316762/000114036118045903/0001140361-18-045903-index.html","https://www.sec.gov/Archives/edgar/data/316762/000114036118045903/answer.fil"
"N-PX","68542","Annual report of proxy voting records for registered management investment companies. This report discloses how the fund voted on behalf of its shareholders.","https://www.sec.gov/Archives/edgar/data/1600133/000092189524002043/0000921895-24-002043-index.html","https://www.sec.gov/Archives/edgar/data/1600133/000092189524002043/xslN-PX_X01/primary_doc.xml"
"S-1/A","67195","Amendment to a registration statement.  Used to update or correct information provided in a previously filed Form S-1.","https://www.sec.gov/Archives/edgar/data/1920406/000121390024074537/0001213900-24-074537-index.html","https://www.sec.gov/Archives/edgar/data/1920406/000121390024074537/ea0212605-s1a1_asset.htm"
"N-CSRS","66311","Filed by registered management investment companies that are smaller reporting companies to file certified shareholder reports. ","https://www.sec.gov/Archives/edgar/data/814679/000119312524210956/0001193125-24-210956-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/814679/000119312524210956/d821227dncsrs.htm"
"40-17G","62982","Application for registration as a nationally recognized statistical rating organization (NRSRO).  ","https://www.sec.gov/Archives/edgar/data/1081400/000108140024000527/0001081400-24-000527-index.html","https://www.sec.gov/Archives/edgar/data/1081400/000108140024000527/fidelitybond.htm"
"S-3","56304","Registration statement for specified transactions by certain issuers. A simplified registration form that can be used by companies that meet certain requirements.","https://www.sec.gov/Archives/edgar/data/1860657/000121390024074515/0001213900-24-074515-index.html","https://www.sec.gov/Archives/edgar/data/1860657/000121390024074515/ea0212604-s3_allarity.htm"
"SUPPL","56246","Supplemental materials.  ","https://www.sec.gov/Archives/edgar/data/1711570/000149315224034390/0001493152-24-034390-index.html","https://www.sec.gov/Archives/edgar/data/1711570/000149315224034390/formsuppl.htm"
"S-3/A","48694","Amendment to a registration statement on Form S-3.  Used to update previously filed information.","https://www.sec.gov/Archives/edgar/data/1039828/000110465924093499/0001104659-24-093499-index.html","https://www.sec.gov/Archives/edgar/data/1039828/000110465924093499/tm2422482-1_s3a.htm"
"NT 10-K","46944","Notice of late filing of an annual report.  Companies will file this if they cannot file their 10-K on time.","https://www.sec.gov/Archives/edgar/data/1144879/000114487924000213/0001144879-24-000213-index.html","https://www.sec.gov/Archives/edgar/data/1144879/000114487924000213/apld-form10xkx12bx25ntdraf.htm"
"10-Q/A","46577","Amendment to a quarterly report.  Filed to correct errors in previously filed information.","https://www.sec.gov/Archives/edgar/data/1677576/000110465924095725/0001104659-24-095725-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1677576/000110465924095725/tm2422990d2_10qa.htm"
"10-K/A","46258","Amendment to an annual report.  Used to correct errors or provide updated information related to a company's Form 10-K filing.","https://www.sec.gov/Archives/edgar/data/1677576/000110465924095719/0001104659-24-095719-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1677576/000110465924095719/tm2422990d1_10ka.htm"
"PRE 14A","46145","Preliminary proxy statement. This must be filed with the SEC for their review before a company can send a definitive proxy statement to shareholders.","https://www.sec.gov/Archives/edgar/data/1704287/000121390024074624/0001213900-24-074624-index.html","https://www.sec.gov/Archives/edgar/data/1704287/000121390024074624/ea0212810-01.htm"
"POS AM","45971","Post-effective amendment. This is a common filing for various forms and registrations, making updates or corrections after effectiveness.","https://www.sec.gov/Archives/edgar/data/1536196/000121390024074542/0001213900-24-074542-index.html","https://www.sec.gov/Archives/edgar/data/1536196/000121390024074542/ea0212361-posam_canfite.htm"
"3/A","44765","Amendment to initial statement of beneficial ownership of securities. This amends a previously filed Form 3.","https://www.sec.gov/Archives/edgar/data/924805/000092963824003042/0000929638-24-003042-index.html","https://www.sec.gov/Archives/edgar/data/924805/000092963824003042/xslF345X02/form3.xml"
"11-K","44056","Annual report of employee stock purchase, savings and similar plans. Filed by companies that offer these types of plans to their employees.","https://www.sec.gov/Archives/edgar/data/31667/000118518524000849/0001185185-24-000849-index.html","https://www.sec.gov/Archives/edgar/data/31667/000118518524000849/edc20240229_11k.htm"
"485APOS","43748","Post-effective amendment for unit investment trusts.  Filed after the initial registration statement is declared effective.","https://www.sec.gov/Archives/edgar/data/1771146/000199937124011114/0001999371-24-011114-index.html","https://www.sec.gov/Archives/edgar/data/1771146/000199937124011114/tuttle-485apos_082824.htm"
"ARS","42590","Annual report for employee benefit plans.  Filed for plans that hold assets for the benefit of employees, like 401(k) plans.","https://www.sec.gov/Archives/edgar/data/56701/000005670124000033/0000056701-24-000033-index.html","https://www.sec.gov/Archives/edgar/data/56701/000005670124000033/KossFY24FormARS10-KWrapFin.pdf"
"40-APP/A","42200","Amendment to an application for an order under the Investment Company Act.  ","https://www.sec.gov/Archives/edgar/data/1643958/000110465924095268/0001104659-24-095268-index.html","https://www.sec.gov/Archives/edgar/data/1064487/000110465924095268/tm2421882d1_40appa.htm"
"REGDEX/A","41947","Amendment to a Regulation D notice.  ","https://www.sec.gov/Archives/edgar/data/1043539/999999999709015265/9999999997-09-015265-index.html","https://www.sec.gov/Archives/edgar/data/1043539/999999999709015265/9999999997-09-015265.paper"
"N-MFP","41414","Monthly Schedule of Portfolio Holdings of Money Market Funds.   ","https://www.sec.gov/Archives/edgar/data/3794/000114554916012444/0001145549-16-012444-index.html","https://www.sec.gov/Archives/edgar/data/3794/000114554916012444/xslFormN-MFP_X01/primary_doc.xml"
"S-3ASR","41116","Automatic shelf registration statement of securities. Allows companies to offer and sell securities on a delayed or continuous basis.","https://www.sec.gov/Archives/edgar/data/37808/000119312524211101/0001193125-24-211101-index.html","https://www.sec.gov/Archives/edgar/data/37808/000119312524211101/d799989ds3asr.htm"
"S-8 POS","41054","Post-effective amendment for S-8. Relates to employee benefit plans and their securities offerings, often for stock options or similar.","https://www.sec.gov/Archives/edgar/data/814549/000119312524210849/0001193125-24-210849-index.html","https://www.sec.gov/Archives/edgar/data/814549/000119312524210849/d835887ds8pos.htm"
"ABS-EE","39903","Asset-Backed Securities.  Filed for offerings of asset-backed securities.","https://www.sec.gov/Archives/edgar/data/1781089/000162829724000587/0001628297-24-000587-index.html","https://www.sec.gov/Archives/edgar/data/1781089/000162829724000587/FormABSEECCMT19BB12.htm"
"10KSB","36911","Annual report for smaller reporting companies.  This version has a streamlined reporting process.","https://www.sec.gov/Archives/edgar/data/731727/000106299309000823/0001062993-09-000823-index.html","https://www.sec.gov/Archives/edgar/data/731727/000106299309000823/form10ksb.htm"
"N-MFP2","35836","Monthly Schedule of Portfolio Holdings of Money Market Funds.  ","https://www.sec.gov/Archives/edgar/data/862021/000114554924036128/0001145549-24-036128-index.html","https://www.sec.gov/Archives/edgar/data/862021/000114554924036128/xslN-MFP2_X01/primary_doc.xml"
"FOCUSN","32850","Report of Temporary Withdrawal of Registration Statement. Filed by companies that are withdrawing their registration statements.","https://www.sec.gov/Archives/edgar/data/1876509/999999999724003621/9999999997-24-003621-index.html","https://www.sec.gov/Archives/edgar/data/1876509/999999999724003621/9999999997-24-003621.paper"
"19B-4E","30223","Filing of a Derivative Pricing Model or Model Risk Management Compliance Plan or Amendment.  ","https://www.sec.gov/Archives/edgar/data/1143362/999999999724003605/9999999997-24-003605-index.html","https://www.sec.gov/Archives/edgar/data/1143362/999999999724003605/9999999997-24-003605.paper"
"13F-HR/A","30135","Amendment to a 13F-HR filing.  ","https://www.sec.gov/Archives/edgar/data/1824821/000142050624001962/0001420506-24-001962-index.html","https://www.sec.gov/Archives/edgar/data/1824821/000142050624001962/xslForm13F_X02/primary_doc.xml"
"DFAN14A","29488","Additional Definitive Proxy Statement.  May be used to correct errors in a DEF 14A filing.","https://www.sec.gov/Archives/edgar/data/937556/000110465924095645/0001104659-24-095645-index.html","https://www.sec.gov/Archives/edgar/data/937556/000110465924095645/tm2423143-1_dfan14a.htm"
"25-NSE","28968","Current report by national securities exchanges.  ","https://www.sec.gov/Archives/edgar/data/1837429/000087666124000808/0000876661-24-000808-index.html","https://www.sec.gov/Archives/edgar/data/876661/000087666124000808/xslF25X02/primary_doc.xml"
"485BXT","28901","Post-effective amendment to a registration statement filed on Form N-1A relating to certain open-ended management investment companies that operate as business development companies.  ","https://www.sec.gov/Archives/edgar/data/1879238/000182912624005986/0001829126-24-005986-index.html","https://www.sec.gov/Archives/edgar/data/1879238/000182912624005986/bondbloxxetf_485bxt.htm"
"S-1","28613","Registration statement for securities offerings.  ","https://www.sec.gov/Archives/edgar/data/1671584/000095017024102458/0000950170-24-102458-index.html","https://www.sec.gov/Archives/edgar/data/1671584/000095017024102458/apvo-2024-s1_-_sept_offe.htm"
"POSASR","27823","Post-Effective Amendment to an Automatic Shelf Registration Statement. Used for updating or making changes to a previously filed automatic shelf registration.","https://www.sec.gov/Archives/edgar/data/844551/000119312524211048/0001193125-24-211048-index.html","https://www.sec.gov/Archives/edgar/data/844551/000119312524211048/d888692dposasr.htm"
"8-A12B","27429","Registration of securities under Section 12(b) of the Exchange Act.   ","https://www.sec.gov/Archives/edgar/data/1579881/000110465924095347/0001104659-24-095347-index.html","https://www.sec.gov/Archives/edgar/data/1579881/000110465924095347/tm2419349d8_8a12b.htm"
"SC TO-T/A","25609","Issuer Tender Offer Statement on Schedule TO. An amendment to a Schedule TO filing, which is related to tender offers by the issuer of the securities.","https://www.sec.gov/Archives/edgar/data/1952901/000110465924093918/0001104659-24-093918-index.html","https://www.sec.gov/Archives/edgar/data/912958/000110465924093918/tm2422816d1_sctota.htm"
"S-6","24683","Registration statement for unit investment trusts. Filed to register securities issued by unit investment trusts.","https://www.sec.gov/Archives/edgar/data/2030710/000144554624006061/0001445546-24-006061-index.html","https://www.sec.gov/Archives/edgar/data/2030710/000144554624006061/s-6.htm"
"487","22709","Prospectus Filed Pursuant to Rule 430B.  ","https://www.sec.gov/Archives/edgar/data/2024500/000144554624006057/0001445546-24-006057-index.html","https://www.sec.gov/Archives/edgar/data/2024500/000144554624006057/s487.htm"
"40-17F2","22314","Notice of Intention by or on Behalf of a Credit Rating Agency To Register with the Commission as a Nationally Recognized Statistical Rating Organization or to File a Registration Statement.   ","https://www.sec.gov/Archives/edgar/data/1885551/000143510924000346/0001435109-24-000346-index.html","https://www.sec.gov/Archives/edgar/data/1885551/000143510924000346/d17f2incomerealestate0724.htm"
"10-K405","21272","Annual Report for Companies Subject to Regulation A.  ","https://www.sec.gov/Archives/edgar/data/1078420/000095016802000788/0000950168-02-000788-index.html","https://www.sec.gov/Archives/edgar/data/1078392/000095016802000788/d10k405.txt"
"15-15D","21156","Securities Ownership and Trading by the Issuer. This relates to companies repurchasing their own shares.","https://www.sec.gov/Archives/edgar/data/1896511/000121390024072039/0001213900-24-072039-index.html","https://www.sec.gov/Archives/edgar/data/1896511/000121390024072039/ea0212239-1515d_zkgcnew.htm"
"ABS-15G","20779","Filed for offerings of asset-backed securities.  ","https://www.sec.gov/Archives/edgar/data/807641/000092963824003029/0000929638-24-003029-index.html","https://www.sec.gov/Archives/edgar/data/807641/000092963824003029/abs15g.htm"
"20-F","19836","Registration or annual report for foreign private issuers.  Foreign companies whose securities trade on US exchanges file this.","https://www.sec.gov/Archives/edgar/data/811809/000119312524210297/0001193125-24-210297-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/811809/000119312524210297/d812514d20f.htm"
"N-CEN","19826","Ceasing of registration as investment company. Filed by investment companies that are no longer eligible or choose to deregister.","https://www.sec.gov/Archives/edgar/data/311101/000114554924056424/0001145549-24-056424-index.html","https://www.sec.gov/Archives/edgar/data/311101/000114554924056424/xslFormN-CEN_X01/primary_doc.xml"
"40-APP","19792","Application for an Order under the Investment Company Act of 1940. Filed by investment companies seeking orders or approvals from the SEC.","https://www.sec.gov/Archives/edgar/data/2035332/000119312524210927/0001193125-24-210927-index.html","https://www.sec.gov/Archives/edgar/data/1393825/000119312524210927/d854196d40app.htm"
"SC TO-I/A","17558","Amendment of Third-Party Tender Offer Statement (Schedule TO). Used by third parties (not the issuer) for changes in tender offer details.","https://www.sec.gov/Archives/edgar/data/1911321/000114036124039419/0001140361-24-039419-index.html","https://www.sec.gov/Archives/edgar/data/1911321/000114036124039419/ny20034883x2_sctoia.htm"
"10QSB/A","17117","Amendment to Quarterly Report of Smaller Reporting Companies.  Used to correct errors in 10-QSB filings.","https://www.sec.gov/Archives/edgar/data/351809/000101629508000200/0001016295-08-000200-index.html","https://www.sec.gov/Archives/edgar/data/351809/000101629508000200/frm10qsba-31dec07_wea.htm"
"NSAR-U","16609","Filed by a Registered Management Investment Company for Which Form N-1A Is a Model Form or a Closed-End Management Investment Company to File Reports of Proxy Voting Records.  ","https://www.sec.gov/Archives/edgar/data/1636919/000089109219002297/0000891092-19-002297-index.html","https://www.sec.gov/Archives/edgar/data/1636919/000089109219002297/e4162nsaru.htm"
"SB-2/A","16540","Amendment No. 1 to Registration of Securities to be Offered and Sold in Reliance upon Exemption from Registration under Regulation Crowdfunding.  Relates to crowdfunding.","https://www.sec.gov/Archives/edgar/data/1353972/000114420408006101/0001144204-08-006101-index.html","https://www.sec.gov/Archives/edgar/data/1353972/000114420408006101/v101960_sb2a.htm"
"CT ORDER","16236","Court order.  ","https://www.sec.gov/Archives/edgar/data/1835681/999999999724003663/9999999997-24-003663-index.html","https://www.sec.gov/Archives/edgar/data/1835681/999999999724003663/filename1.pdf"
"RW","14711","Withdrawal request. This is for withdrawing a registration statement or other filing with the SEC, often before it becomes effective.","https://www.sec.gov/Archives/edgar/data/1948292/000121390024074325/0001213900-24-074325-index.html","https://www.sec.gov/Archives/edgar/data/1948292/000121390024074325/ea0213076-rw_delta.htm"
"424B4","14605","Prospectus. This prospectus is filed as part of a registration statement or to provide additional information about the securities offering.","https://www.sec.gov/Archives/edgar/data/925741/000143774924028164/0001437749-24-028164-index.html","https://www.sec.gov/Archives/edgar/data/925741/000143774924028164/bcda20240830e_424b4.htm"
"15-12G","14543","Certification of Termination of Registration. This is filed by a company that is no longer required to file reports under Section 13 or 15(d) of the Exchange Act.","https://www.sec.gov/Archives/edgar/data/814549/000119312524211243/0001193125-24-211243-index.html","https://www.sec.gov/Archives/edgar/data/814549/000119312524211243/d882868d1512g.htm"
"DEF 14C","13529","Definitive Information Statement.  This is sent to shareholders when a vote is not required. ","https://www.sec.gov/Archives/edgar/data/1022804/000102280424000005/0001022804-24-000005-index.html","https://www.sec.gov/Archives/edgar/data/1022804/000102280424000005/def14c-globalalloc.htm"
"N-30B-2","13329","Notification of Termination of Reporting Obligation Filed Pursuant to Rule 12h-6 under the Investment Company Act of 1940.  ","https://www.sec.gov/Archives/edgar/data/726352/000119312524210552/0001193125-24-210552-index.html","https://www.sec.gov/Archives/edgar/data/726352/000119312524210552/d835875dn30b2.htm"
"MA-I/A","13035","Amendment to Merger or Acquisition Statement. Filed to correct or update information from a previously filed MA-I, which relates to mergers and acquisitions.","https://www.sec.gov/Archives/edgar/data/1123374/000112337424000005/0001123374-24-000005-index.html","https://www.sec.gov/Archives/edgar/data/1123374/000112337424000005/xslFormMA-I_X01/primary_doc.xml"
"F-6EF","12439","For registration of depositary shares. Used when a foreign issuer wants to list its shares in the US through a depositary bank.","https://www.sec.gov/Archives/edgar/data/1472033/000119380524001075/0001193805-24-001075-index.html","https://www.sec.gov/Archives/edgar/data/1472033/000119380524001075/e663862_f6ef-dksh.htm"
"SD","12382","Specialized Disclosure Report. Used to report information required by specific SEC rules or regulations.","https://www.sec.gov/Archives/edgar/data/1377789/000137778924000031/0001377789-24-000031-index.html","https://www.sec.gov/Archives/edgar/data/1377789/000137778924000031/formsd2023.htm"
"PRER14A","12028","Preliminary Proxy Statement (Regulation 14A). An early version of the proxy statement filed with the SEC for review before being sent to shareholders.","https://www.sec.gov/Archives/edgar/data/1912461/000121390024073304/0001213900-24-073304-index.html","https://www.sec.gov/Archives/edgar/data/1912461/000121390024073304/ea0210653-02.htm"
"10KSB/A","11909","Amendment to Annual Report of Small Business Issuers (Form 10-KSB).  ","https://www.sec.gov/Archives/edgar/data/799268/000115752309002106/0001157523-09-002106-index.html","https://www.sec.gov/Archives/edgar/data/799268/000115752309002106/a5917242.txt"
"40-17G/A","11044","Amendment to an application filed by credit rating agencies. Used for making changes or providing updates to their initial applications or registrations.","https://www.sec.gov/Archives/edgar/data/1955010/000113322824008323/0001133228-24-008323-index.html","https://www.sec.gov/Archives/edgar/data/1955010/000113322824008323/trposplf-efp9700_4017ga.htm"
"SC TO-I","10900","Third Party Tender Offer/Rights Acquisition Statement. Filed by a person or group making a tender offer or acquiring a substantial amount of a company's securities.","https://www.sec.gov/Archives/edgar/data/1634452/000119312524210329/0001193125-24-210329-index.html","https://www.sec.gov/Archives/edgar/data/1634452/000119312524210329/d848558dsctoi.htm"
"8-A12G","10375","Registration of a Class of Securities Under Section 12(g). Used by companies to register a class of securities when they meet certain criteria.","https://www.sec.gov/Archives/edgar/data/1902700/000118518524000861/0001185185-24-000861-index.html","https://www.sec.gov/Archives/edgar/data/1902700/000118518524000861/pgf20240829_8a12g.htm"
"PRE 14C","10187","Preliminary Information Statement. This is a non-voting version of a proxy statement, providing information to shareholders but not requiring a vote.","https://www.sec.gov/Archives/edgar/data/1816937/000149315224034577/0001493152-24-034577-index.html","https://www.sec.gov/Archives/edgar/data/1816937/000149315224034577/formpre14c.htm"
"SC 14D9/A","10167","Amendment to Tender Offer/Rights Acquisition Solicitation Statement. Filed to make changes to a previously filed Schedule 14D-9, which is related to tender offers.","https://www.sec.gov/Archives/edgar/data/912958/000095010324012602/0000950103-24-012602-index.html","https://www.sec.gov/Archives/edgar/data/912958/000095010324012602/dp217074_sc14d9a-4.htm"
"SC 14D1/A","10108","Amendment to Tender Offer Statement. Used to update a Schedule 14D-1, which is filed by bidders in a tender offer situation.","https://www.sec.gov/Archives/edgar/data/1165167/000116516702500007/0001165167-02-500007-index.html","https://www.sec.gov/Archives/edgar/data/1165167/000116516702500007/formaltxt.txt"
"C/A","9612","Amendment to Common Stock. Filed to reflect changes in the company's common stock, such as stock splits or reverse stock splits.","https://www.sec.gov/Archives/edgar/data/1818274/000181827424000018/0001818274-24-000018-index.html","https://www.sec.gov/Archives/edgar/data/1818274/000181827424000018/xslC_X01/primary_doc.xml"
"TA-2","9591","Takedown. Filed to report the sale of securities from a previously registered shelf offering.","https://www.sec.gov/Archives/edgar/data/1963417/000196341724000002/0001963417-24-000002-index.html","https://www.sec.gov/Archives/edgar/data/1963417/000196341724000002/xslFTA2X01/primary_doc.xml"
"SC 13E3/A","9583","Amendment to Going Private Statement. Used when there are changes to a previously filed Schedule 13E-3, which relates to going-private transactions.","https://www.sec.gov/Archives/edgar/data/1496963/000114036124039422/0001140361-24-039422-index.html","https://www.sec.gov/Archives/edgar/data/1496963/000114036124039422/ny20030653x11_sc13e3a.htm"
"MA-I","9145","Merger or Acquisition Statement.  Provides details about a merger or acquisition transaction.","https://www.sec.gov/Archives/edgar/data/1623047/000162304724000005/0001623047-24-000005-index.html","https://www.sec.gov/Archives/edgar/data/1623047/000162304724000005/xslFormMA-I_X01/primary_doc.xml"
"SC TO-C","9093","Tender Offer/Rights Acquisition Commencement Statement. Filed when a tender offer or rights acquisition is commenced.","https://www.sec.gov/Archives/edgar/data/1199004/000089843224000759/0000898432-24-000759-index.html","https://www.sec.gov/Archives/edgar/data/1199004/000089843224000759/sctoc.htm"
"C","8982","Common Stock. This designation typically refers to filings related to a company's common stock, such as prospectuses or registration statements.","https://www.sec.gov/Archives/edgar/data/2022829/000167025424000893/0001670254-24-000893-index.html","https://www.sec.gov/Archives/edgar/data/2022829/000167025424000893/xslC_X01/primary_doc.xml"
"S-6/A","8982","Amendment to Registration Statement for Unit Investment Trusts.  Updates previously filed information.","https://www.sec.gov/Archives/edgar/data/2025084/000144554624006032/0001445546-24-006032-index.html","https://www.sec.gov/Archives/edgar/data/2025084/000144554624006032/s6a.htm"
"NO ACT","8851","No Action Letter. A request made to the SEC for clarification or guidance on a specific securities law matter.","https://www.sec.gov/Archives/edgar/data/38777/999999999717009663/9999999997-17-009663-index.html","https://www.sec.gov/Archives/edgar/data/38777/999999999717009663/9999999997-17-009663.paper"
"5/A","8509","Amendment to Report of Unscheduled Events.  Used to correct errors in a Form 5.","https://www.sec.gov/Archives/edgar/data/1404655/000095017024098603/0000950170-24-098603-index.html","https://www.sec.gov/Archives/edgar/data/1188898/000095017024098603/xslF345X05/ownership.xml"
"424B1","8465","Prospectus. Filed as part of a registration statement or to provide additional information about securities.","https://www.sec.gov/Archives/edgar/data/1960262/000190359624000558/0001903596-24-000558-index.html","https://www.sec.gov/Archives/edgar/data/1960262/000190359624000558/ludg_424b1.htm"
"1-U","7852","Notification Updating Statement.  Filed by Canadian issuers.","https://www.sec.gov/Archives/edgar/data/1410708/000141070824000004/0001410708-24-000004-index.html","https://www.sec.gov/Archives/edgar/data/1410708/000141070824000004/emocap_1u.htm"
"SB-2","7777","Registration Statement under the Securities Act. A simplified registration form used by ""small business issuers"" to register offerings of securities.","https://www.sec.gov/Archives/edgar/data/1424864/000117625608000123/0001176256-08-000123-index.html","https://www.sec.gov/Archives/edgar/data/1424864/000117625608000123/atlanticsb2feb4.htm"
"CERT","7684","Certification.  Confirms the authenticity or accuracy of information submitted.","https://www.sec.gov/Archives/edgar/data/1797318/000141783524000126/0001417835-24-000126-index.html","https://www.sec.gov/Archives/edgar/data/1797318/000141783524000126/8A_Cert_SEPU.pdf"
"424B7","7546","Prospectus.  Provides investors with essential information about the securities and the issuer.","https://www.sec.gov/Archives/edgar/data/106040/000119312524207258/0001193125-24-207258-index.html","https://www.sec.gov/Archives/edgar/data/106040/000119312524207258/d866041d424b7.htm"
"40-24B2","7428","Notice of Election to Compute Rule 24f-2 Fee on an Actual Basis.   Filed by certain investment companies.","https://www.sec.gov/Archives/edgar/data/225030/000199937124009929/0001999371-24-009929-index.html","https://www.sec.gov/Archives/edgar/data/225030/000199937124009929/hitkmtstl2q24_4024b2-080924.htm"
"F-4/A","7354","Amendment to Registration Statement.  Used when there are material changes to the information in the initial registration statement.","https://www.sec.gov/Archives/edgar/data/2021938/000119312524211246/0001193125-24-211246-index.html","https://www.sec.gov/Archives/edgar/data/2021938/000119312524211246/d805815df4a.htm"
"NPORT-EX","7210","Notice of Exemption from Filing Form N-PORT.  Filed by certain registered investment companies.","https://www.sec.gov/Archives/edgar/data/1027596/000119312519278752/0001193125-19-278752-index.html","https://www.sec.gov/Archives/edgar/data/1027596/000119312519278752/d777458dnportex.htm"
"DEFR14A","6960","Definitive Proxy Statement Furnished Pursuant to Regulation 14A. This signifies a definitive proxy statement provided to shareholders.","https://www.sec.gov/Archives/edgar/data/1437925/000147793224005402/0001477932-24-005402-index.html","https://www.sec.gov/Archives/edgar/data/1437925/000147793224005402/gmgi_def14a.htm"
"POS AMI","6945","Post-Effective Amendment (Amendment No. 1).  Used for various registration statements and other filings.","https://www.sec.gov/Archives/edgar/data/896162/000113743924001333/0001137439-24-001333-index.html","https://www.sec.gov/Archives/edgar/data/896162/000113743924001333/posami.htm"
"F-1/A","6739","Amendment to a Registration Statement Filed by Certain Foreign Private Issuers. Filed by foreign companies to update information from a previous Form F-1.","https://www.sec.gov/Archives/edgar/data/1938534/000149315224034538/0001493152-24-034538-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1938534/000149315224034538/formf-1a.htm"
"POS EX","6610","Post-Effective Amendment to a Registration Statement Filed on Form S-1. This type of amendment is specific to Form S-1 filings.","https://www.sec.gov/Archives/edgar/data/1918712/000191871224000119/0001918712-24-000119-index.html","https://www.sec.gov/Archives/edgar/data/1918712/000191871224000119/posexamendmentno15.htm"
"6-K/A","6545","Amendment to a Report of Foreign Issuer. Used to make corrections or provide updates to information from a previous 6-K filing.","https://www.sec.gov/Archives/edgar/data/1865408/000186540824000057/0001865408-24-000057-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1865408/000186540824000057/exai-20240630.htm"
"497VPU","6539","Prospectus for a Variable Insurance Product - Unit Investment Trust. This is a specific type of prospectus for variable insurance products.","https://www.sec.gov/Archives/edgar/data/1074486/000110465924095494/0001104659-24-095494-index.html","https://www.sec.gov/Archives/edgar/data/1074486/000110465924095494/tm2422751d1_497vpu.htm"
"N-2/A","6432","Amendment to a Registration Statement Filed on Form N-2 by a Closed-End Management Investment Company. Used for updates to N-2 filings.","https://www.sec.gov/Archives/edgar/data/1219120/000182126824000261/0001821268-24-000261-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1219120/000182126824000261/gug87916avk-n2a.htm"
"DEFM14A","6413","Definitive Proxy Statement. Filed by a company that is soliciting shareholder votes.","https://www.sec.gov/Archives/edgar/data/1769804/000119312524209372/0001193125-24-209372-index.html","https://www.sec.gov/Archives/edgar/data/1769804/000119312524209372/d882127ddefm14a.htm"
"REVOKED","6384","Revoked Filing. Indicates that a previously submitted filing to the SEC has been withdrawn or canceled.","https://www.sec.gov/Archives/edgar/data/1063239/999999999724003357/9999999997-24-003357-index.html","https://www.sec.gov/Archives/edgar/data/1063239/999999999724003357/filename1.pdf"
"NSAR-B/A","6279","Amendment to Filing of Report of Proxy Voting Records by Smaller Reporting Management Investment Companies.  ","https://www.sec.gov/Archives/edgar/data/722885/000114420419029656/0001144204-19-029656-index.html","https://www.sec.gov/Archives/edgar/data/722885/000114420419029656/tv523060_nsar-ba.fil"
"ABS-15G/A","6178","Amendment to a Form ABS-15G. Used for providing updates or corrections to information initially reported in a Form ABS-15G.","https://www.sec.gov/Archives/edgar/data/1026214/000102621424000071/0001026214-24-000071-index.html","https://www.sec.gov/Archives/edgar/data/1026214/000102621424000071/sec_abs_report02_20240630.htm"
"X-17A-5/A","6068","Amendment to Form X-17A-5, which is a financial report required to be filed by broker-dealers with the SEC. ","https://www.sec.gov/Archives/edgar/data/1789420/000178942024000004/0001789420-24-000004-index.html","https://www.sec.gov/Archives/edgar/data/1789420/000178942024000004/xslX-17A-5_X01/primary_doc.xml"
"PX14A6G","6052","Notice of Exempt Solicitation. Filed when a person or entity is soliciting shareholder votes but is exempt from certain proxy rules.","https://www.sec.gov/Archives/edgar/data/1699865/000121465924015663/0001214659-24-015663-index.html","https://www.sec.gov/Archives/edgar/data/69891/000121465924015663/y829248px14a6g.htm"
"15-12B","5966","Certification by Registrant When No Securities Are Outstanding or When There Has Been a Termination Under Section 13(a) or 15(d).  ","https://www.sec.gov/Archives/edgar/data/1368514/000114036122023154/0001140361-22-023154-index.html","https://www.sec.gov/Archives/edgar/data/1368514/000114036122023154/brhc10038739_15-12b.htm"
"DRS/A","5850","Amendment to Disclosure Reporting Page. Used to correct or update information from a previously filed Disclosure Reporting Page.","https://www.sec.gov/Archives/edgar/data/2021938/000095012324007690/0000950123-24-007690-index.html","https://www.sec.gov/Archives/edgar/data/2021938/000095012324007690/filename1.htm"
"CERTNYS","5588","Certifications.  Confirms the accuracy or completeness of information provided.","https://www.sec.gov/Archives/edgar/data/1668428/999999999717010260/9999999997-17-010260-index.html","https://www.sec.gov/Archives/edgar/data/1668428/999999999717010260/9999999997-17-010260.paper"
"10SB12G/A","5523","Amendment to General Form for Registration under Section 12(b) or (g). Used to amend a 10-SB12G filing, which is related to registering securities under the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1376742/000114420408006021/0001144204-08-006021-index.html","https://www.sec.gov/Archives/edgar/data/1376742/000114420408006021/v101688_10sb12ga.htm"
"SC TO-T","5437","Issuer Tender Offer Statement. Filed by an issuer (the company whose shares are subject to the offer) in a tender offer situation.","https://www.sec.gov/Archives/edgar/data/1560241/000119312524203606/0001193125-24-203606-index.html","https://www.sec.gov/Archives/edgar/data/1560241/000119312524203606/d886396dsctot.htm"
"497AD","5357","Information to be included in advertisements. This likely relates to advertisements for securities offerings, particularly mutual funds or ETFs.","https://www.sec.gov/Archives/edgar/data/1228509/000119312524209953/0001193125-24-209953-index.html","https://www.sec.gov/Archives/edgar/data/1228509/000119312524209953/d844464d497ad.htm"
"PREM14A","5272","Preliminary Proxy Statement (Merger). An early version of a proxy statement specifically related to a merger transaction.","https://www.sec.gov/Archives/edgar/data/1747079/000121390024073414/0001213900-24-073414-index.html","https://www.sec.gov/Archives/edgar/data/1747079/000121390024073414/ea0212364-01.htm"
"F-6 POS","5184","Post-Effective Amendment to a Registration Statement Filed on Form F-6. This amendment relates specifically to Form F-6 filings.","https://www.sec.gov/Archives/edgar/data/1471515/000091957424004780/0000919574-24-004780-index.html","https://www.sec.gov/Archives/edgar/data/1023514/000091957424004780/d11401569_f6-a.htm"
"10-12G/A","5164","Amendment to a Certification of Termination of Registration Under Section 13 or 15(d).  Used when a company terminates its registration under specific sections of the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1821534/000114036124038633/0001140361-24-038633-index.html","https://www.sec.gov/Archives/edgar/data/1821534/000114036124038633/ny20031698x3_1012ga.htm"
"DRS","5095","Disclosure Reporting Page. Contains specific disclosures required by SEC rules, often related to executive compensation or beneficial ownership.","https://www.sec.gov/Archives/edgar/data/1922335/000149315224029315/0001493152-24-029315-index.html","https://www.sec.gov/Archives/edgar/data/1922335/000149315224029315/filename1.htm"
"8-A12B/A","5058","Amendment to a Registration of a Class of Securities Under Section 12(b). This amendment is specific to Form 8-A12B filings.","https://www.sec.gov/Archives/edgar/data/1426439/000183988224027775/0001839882-24-027775-index.html","https://www.sec.gov/Archives/edgar/data/1426439/000183988224027775/nyliactive-8a12ba_082924.htm"
"35-CERT","5006","Certification.   Confirms compliance with relevant rules or regulations.","https://www.sec.gov/Archives/edgar/data/3673/000000367306000035/0000003673-06-000035-index.html","https://www.sec.gov/Archives/edgar/data/3673/000000367306000035/apcoal_35cert.htm"
"1-A/A","4975","Amendment to a registration statement filed on Form 1-A.  Relates to Regulation A offerings.","https://www.sec.gov/Archives/edgar/data/1968039/000196803924000046/0001968039-24-000046-index.html","https://www.sec.gov/Archives/edgar/data/1968039/000196803924000046/xsl1-A_X01/primary_doc.xml"
"T-3/A","4895","Amendment to Registration Statement for American Depositary Receipts. Used to update information previously filed on Form T-3.","https://www.sec.gov/Archives/edgar/data/1312442/000110465924095291/0001104659-24-095291-index.html","https://www.sec.gov/Archives/edgar/data/31364/000110465924095291/tm2421979d6_t3a.htm"
"TA-1/A","4890","Amendment to Takedown. Used to make changes to a previously filed Form TA-1, which relates to the takedown of securities from a shelf registration.","https://www.sec.gov/Archives/edgar/data/350751/000114036124037658/0001140361-24-037658-index.html","https://www.sec.gov/Archives/edgar/data/350751/000114036124037658/xslFTA1X01/primary_doc.xml"
"PREC14A","4827","Preliminary Proxy (Schedule 14A) (Communication).   Provides information relevant to a specific proposal or matter being voted on.","https://www.sec.gov/Archives/edgar/data/1847283/000121390024074634/0001213900-24-074634-index.html","https://www.sec.gov/Archives/edgar/data/1847283/000121390024074634/ea0212912-01_prec14a.htm"
"DRSLTR","4782","Letter to the Director of Corporation Finance. Filed in response to comments or requests from the SEC's Division of Corporation Finance.","https://www.sec.gov/Archives/edgar/data/1756655/000095012324006271/0000950123-24-006271-index.html","https://www.sec.gov/Archives/edgar/data/1756655/000095012324006271/filename1.htm"
"DEFS14A","4718","Definitive Additional Proxy Statement. This indicates a supplemental definitive proxy statement, often used for updates or corrections.","https://www.sec.gov/Archives/edgar/data/11390/000092701602001907/0000927016-02-001907-index.html","https://www.sec.gov/Archives/edgar/data/11390/000092701602001907/ddefs14a.txt"
"AW","4579","Additional Withdrawal Request.  Filed by a company after an initial withdrawal request has been submitted.","https://www.sec.gov/Archives/edgar/data/1938046/000149315224034644/0001493152-24-034644-index.html","https://www.sec.gov/Archives/edgar/data/1938046/000149315224034644/formaw.htm"
"N-8A","4566","Notification of Registration Filed Pursuant to Section 8(a) of the Investment Company Act.   ","https://www.sec.gov/Archives/edgar/data/2035827/000110465924095348/0001104659-24-095348-index.html","https://www.sec.gov/Archives/edgar/data/2035827/000110465924095348/tm2422492d1_n8a.htm"
"25","4562","Notification of Removal from Listing and/or Registration.  Filed by an issuer to notify the SEC of the removal of its securities from a national securities exchange.","https://www.sec.gov/Archives/edgar/data/1862935/000149315224034503/0001493152-24-034503-index.html","https://www.sec.gov/Archives/edgar/data/1862935/000149315224034503/form25.htm"
"SC 14D9","4552","Tender Offer/Rights Acquisition Solicitation Statement.  This form is used to disclose information about the offer and the bidder.","https://www.sec.gov/Archives/edgar/data/1560241/000119312524203615/0001193125-24-203615-index.html","https://www.sec.gov/Archives/edgar/data/1560241/000119312524203615/d856692dsc14d9.htm"
"F-3/A","4536","Amendment to Registration Statement Filed on Form F-3.   This is a simplified form that companies can use if they meet certain requirements.","https://www.sec.gov/Archives/edgar/data/1962738/000110465924094541/0001104659-24-094541-index.html","https://www.sec.gov/Archives/edgar/data/1962738/000110465924094541/tm2422908d1_f3.htm"
"PRES14A","4517","Preliminary Proxy Statement - Staff Review. This likely indicates a preliminary proxy statement that is under review by the SEC staff.","https://www.sec.gov/Archives/edgar/data/892538/000093041302001169/0000930413-02-001169-index.html","https://www.sec.gov/Archives/edgar/data/892538/000093041302001169/c23898_pres14a.txt"
"PRRN14A","4468","Preliminary Proxy Statement (Non-Management).  This is filed with the SEC before sending a definitive proxy statement to shareholders.","https://www.sec.gov/Archives/edgar/data/1855066/000090266424004803/0000902664-24-004803-index.html","https://www.sec.gov/Archives/edgar/data/1510281/000090266424004803/p24-2414prrn14a.htm"
"C-U","4371","Certification and Updating Statement. Filed by Canadian companies that have securities listed on U.S. exchanges.","https://www.sec.gov/Archives/edgar/data/1965106/000166516024001246/0001665160-24-001246-index.html","https://www.sec.gov/Archives/edgar/data/1965106/000166516024001246/xslC_X01/primary_doc.xml"
"NPORT-P/A","4346","Amendment to a Monthly Portfolio Report. Used by investment companies to correct or update information from a previous NPORT-P filing.","https://www.sec.gov/Archives/edgar/data/701039/000175272424199327/0001752724-24-199327-index.html","https://www.sec.gov/Archives/edgar/data/701039/000175272424199327/xslFormNPORT-P_X01/primary_doc.xml"
"N-2","4340","Registration Statement. This form is used by closed-end funds to register securities they intend to offer and sell.","https://www.sec.gov/Archives/edgar/data/1633336/000119312524211128/0001193125-24-211128-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1633336/000119312524211128/d886240dn2.htm"
"253G2","4296","Election/Certification by Schedule 13G Filer. Filed by certain institutional investors who own more than 5% of a company's voting stock.","https://www.sec.gov/Archives/edgar/data/1671941/000110465924095711/0001104659-24-095711-index.html","https://www.sec.gov/Archives/edgar/data/1671941/000110465924095711/tm2421240d4_253g2.htm"
"F-3","4184","Registration Statement for Specified Transactions by Certain Issuers.  Used for registering securities offered in specific types of transactions.","https://www.sec.gov/Archives/edgar/data/1577437/000119312524211100/0001193125-24-211100-index.html","https://www.sec.gov/Archives/edgar/data/1577437/000119312524211100/d889007df3.htm"
"10SB12G","4105","General Form for Registration of Securities Pursuant to Section 12(b) or (g).  ","https://www.sec.gov/Archives/edgar/data/1420031/000139843208000047/0001398432-08-000047-index.html","https://www.sec.gov/Archives/edgar/data/1420031/000139843208000047/afh4_10sb.htm"
"IRANNOTICE","4022","Notice of Securities Activities Relating to Iran.  Related to sanctions and disclosure requirements.","https://www.sec.gov/Archives/edgar/data/1613103/000161310324000148/0001613103-24-000148-index.html","https://www.sec.gov/Archives/edgar/data/1613103/000161310324000148/irannoticeq1fy25.htm"
"MA-A","3997","Filed for any material amendment to a merger agreement. Companies involved in a merger transaction will file this form.","https://www.sec.gov/Archives/edgar/data/1838493/000183849324000007/0001838493-24-000007-index.html","https://www.sec.gov/Archives/edgar/data/1838493/000183849324000007/xslFormMA_X01/primary_doc.xml"
"20-F/A","3978","Amendment to Registration or Annual Report for Foreign Private Issuers. Filed to correct or update information from a previous 20-F filing.","https://www.sec.gov/Archives/edgar/data/1865697/000121390024073287/0001213900-24-073287-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1865697/000121390024073287/ea0212445-20fa1_neuromind.htm"
"305B2","3954","Report of Beneficial Ownership.   Filed by certain individuals who acquire beneficial ownership of securities.","https://www.sec.gov/Archives/edgar/data/1899123/000114036124037581/0001140361-24-037581-index.html","https://www.sec.gov/Archives/edgar/data/1899123/000114036124037581/ny20033944x2_305b2.htm"
"NSAR-A/A","3948","Amendment to Filing of Report of Proxy Voting Records by Management Investment Companies.  ","https://www.sec.gov/Archives/edgar/data/1558303/000104106218000169/0001041062-18-000169-index.html","https://www.sec.gov/Archives/edgar/data/1558303/000104106218000169/answer.fil"
"N-14","3946","Registration Statement.  Used in connection with the issuance of securities in exchange offer transactions.","https://www.sec.gov/Archives/edgar/data/923184/000119312524210871/0001193125-24-210871-index.html","https://www.sec.gov/Archives/edgar/data/923184/000119312524210871/d580344dn14.htm"
"C-AR","3860","Certification of a Foreign Private Issuer.  Filed by foreign companies that have securities listed on U.S. exchanges.","https://www.sec.gov/Archives/edgar/data/1851491/000166516024001249/0001665160-24-001249-index.html","https://www.sec.gov/Archives/edgar/data/1851491/000166516024001249/xslC_X01/primary_doc.xml"
"F-X","3823","Appointment of Agent for Service of Process.  Filed by foreign issuers to designate an agent in the US for legal matters.","https://www.sec.gov/Archives/edgar/data/1962622/000175392624001509/0001753926-24-001509-index.html","https://www.sec.gov/Archives/edgar/data/1962622/000175392624001509/g084411_fx.htm"
"F-4","3691","Registration Statement.   Filed by foreign companies that are merging with or acquiring a US company.","https://www.sec.gov/Archives/edgar/data/2021938/000119312524206325/0001193125-24-206325-index.html","https://www.sec.gov/Archives/edgar/data/2021938/000119312524206325/d805815df4.htm"
"N-CSR/A","3688","Amendment to a Certified Shareholder Report.  Filed to correct or update information.","https://www.sec.gov/Archives/edgar/data/737520/000174177324003787/0001741773-24-003787-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/737520/000174177324003787/ncsra.htm"
"S-11/A","3671","Amendment to Registration Statement for Real Estate Companies. Used to make changes to a previously filed Form S-11.","https://www.sec.gov/Archives/edgar/data/1868159/000119312524181920/0001193125-24-181920-index.html","https://www.sec.gov/Archives/edgar/data/1868159/000119312524181920/d577649ds11a.htm"
"SE","3565","Form SE - Short Form for Registration of Securities Offered Pursuant to Regulation A, Rule 903(b)(1)(i).  ","https://www.sec.gov/Archives/edgar/data/77694/999999999723003042/9999999997-23-003042-index.html","https://www.sec.gov/Archives/edgar/data/77694/999999999723003042/peruse.pdf"
"497VPI","3523","Prospectus for a Variable Insurance Product - Separate Account. This prospectus is specific to variable insurance products offered through separate accounts.","https://www.sec.gov/Archives/edgar/data/1074486/000110465924095491/0001104659-24-095491-index.html","https://www.sec.gov/Archives/edgar/data/1074486/000110465924095491/tm2422751d1_497vpi.htm"
"DEFC14A","3518","Definitive Additional Proxy Statement. A supplemental proxy statement, often used to provide additional information or corrections.","https://www.sec.gov/Archives/edgar/data/1258943/000182126824000213/0001821268-24-000213-index.html","https://www.sec.gov/Archives/edgar/data/1258943/000182126824000213/pio87867mav.htm"
"N-8F","3458","Registration Statement. This form is used to register securities issued by a management investment company that will operate as a business development company.","https://www.sec.gov/Archives/edgar/data/1710523/000119312524199820/0001193125-24-199820-index.html","https://www.sec.gov/Archives/edgar/data/1710523/000119312524199820/d747030dn8f.htm"
"10KSB40","3441","Annual Report for Smaller Reporting Companies.   Used by smaller reporting companies that also file as investment companies.","https://www.sec.gov/Archives/edgar/data/1096781/000095013402003330/0000950134-02-003330-index.html","https://www.sec.gov/Archives/edgar/data/1096781/000095013402003330/d95290e10ksb40.txt"
"N-23C3A","3390","Initial notification filed by a national securities association. This notification typically relates to rule changes or other regulatory matters.","https://www.sec.gov/Archives/edgar/data/1716885/000089418924005244/0000894189-24-005244-index.html","https://www.sec.gov/Archives/edgar/data/1716885/000089418924005244/ascix-n23c3a.htm"
"10-K405/A","3349","Amendment to an annual report filed on Form 10-K405.  Companies subject to Regulation A file this.","https://www.sec.gov/Archives/edgar/data/351834/000100547702001546/0001005477-02-001546-index.html","https://www.sec.gov/Archives/edgar/data/351834/000100547702001546/d02-37066.txt"
"40-F","3288","Transition report.  Filed by Canadian companies transitioning to US GAAP.","https://www.sec.gov/Archives/edgar/data/1711570/000095017024086056/0000950170-24-086056-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1711570/000095017024086056/uroy-20240430.htm"
"F-6","3260","Registration Statement for American Depositary Shares.  Filed by foreign companies that want to list their shares on US stock exchanges.","https://www.sec.gov/Archives/edgar/data/1471515/000095012724000046/0000950127-24-000046-index.html","https://www.sec.gov/Archives/edgar/data/1471515/000095012724000046/f-6.htm"
"24F-2NT/A","3220","Amendment to Annual Notice of Securities Sold Pursuant to Rule 24f-2.   Filed by investment companies.","https://www.sec.gov/Archives/edgar/data/825316/000175272424194422/0001752724-24-194422-index.html","https://www.sec.gov/Archives/edgar/data/825316/000175272424194422/xsl24F-2NT/primary_doc.xml"
"T-3","3157","Registration Statement for American Depositary Receipts. This form is used by depositary banks to register ADRs backed by securities of foreign issuers.","https://www.sec.gov/Archives/edgar/data/1312442/000110465924090909/0001104659-24-090909-index.html","https://www.sec.gov/Archives/edgar/data/31364/000110465924090909/tm2421979d1_t3.htm"
"10-D/A","3121","Amendment to a general form used for various reporting purposes.  Often for asset-backed securities.","https://www.sec.gov/Archives/edgar/data/1587981/000188852424013016/0001888524-24-013016-index.html","https://www.sec.gov/Archives/edgar/data/1587981/000188852424013016/ccc13c12_10da-202405.htm"
"N-MFP1","3040","Monthly Schedule of Portfolio Holdings of Money Market Funds.  Filed by money market funds.","https://www.sec.gov/Archives/edgar/data/3794/000114554916018335/0001145549-16-018335-index.html","https://www.sec.gov/Archives/edgar/data/3794/000114554916018335/xslN-MFP1_X01/primary_doc.xml"
"424B8","3040","Prospectus. Filed as part of a registration statement or to provide additional information about a securities offering.","https://www.sec.gov/Archives/edgar/data/831001/000095010324012944/0000950103-24-012944-index.html","https://www.sec.gov/Archives/edgar/data/200245/000095010324012944/dp217294_424b8-us2404761d.htm"
"SC 13E3","3005","Schedule 13E-3 - Transaction Statement.  Relates to going-private transactions, where a company is taken private.","https://www.sec.gov/Archives/edgar/data/1747079/000121390024073431/0001213900-24-073431-index.html","https://www.sec.gov/Archives/edgar/data/1747079/000121390024073431/ea0212365-sc13e3_ballys.htm"
"N-1A/A","3002","Amendment to a registration statement for open-end management investment companies. This amendment pertains to Form N-1A filings.","https://www.sec.gov/Archives/edgar/data/2014487/000121390024073434/0001213900-24-073434-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/2014487/000121390024073434/ea0211612-01_n1aa.htm"
"10-12G","2897","General Form for Certifications. Used by companies to certify compliance with certain reporting requirements or exemptions.","https://www.sec.gov/Archives/edgar/data/2032020/000119312524210947/0001193125-24-210947-index.html","https://www.sec.gov/Archives/edgar/data/2032020/000119312524210947/d860358d1012g.htm"
"18-K/A","2872","Amendment to an application for registration as a clearing agency.  Filed with the SEC.","https://www.sec.gov/Archives/edgar/data/1733112/000119312524208885/0001193125-24-208885-index.html","https://www.sec.gov/Archives/edgar/data/1733112/000119312524208885/d852586d18ka.htm"
"40-6C/A","2766","Amendment to a certification filed by registered investment companies. Relates to various compliance matters.","https://www.sec.gov/Archives/edgar/data/1141051/999999999707051230/9999999997-07-051230-index.html","https://www.sec.gov/Archives/edgar/data/1062592/999999999707051230/9999999997-07-051230.paper"
"CERTNAS","2745","Certification.  Asserts the truthfulness of provided information.","https://www.sec.gov/Archives/edgar/data/1670310/999999999718005843/9999999997-18-005843-index.html","https://www.sec.gov/Archives/edgar/data/1670310/999999999718005843/9999999997-18-005843.paper"
"1/A","2719","Amendment to a Form 1.   This form is used to register securities offerings.","https://www.sec.gov/Archives/edgar/data/876661/999999999724003650/9999999997-24-003650-index.html","https://www.sec.gov/Archives/edgar/data/876661/999999999724003650/9999999997-24-003650.paper"
"SC14D9C","2697","Confidentiality Request.  Filed by a person or entity making a tender offer to request confidential treatment for certain information.","https://www.sec.gov/Archives/edgar/data/59440/000119312524205835/0001193125-24-205835-index.html","https://www.sec.gov/Archives/edgar/data/59440/000119312524205835/d870097dsc14d9c.htm"
"497K3B","2666","Prospectus Supplement (Rule 497(k)). Filed as a supplement to a prospectus for a variable insurance product.","https://www.sec.gov/Archives/edgar/data/926678/000089418909000385/0000894189-09-000385-index.html","https://www.sec.gov/Archives/edgar/data/926678/000089418909000385/brandes_497k3b.htm"
"CB","2593","Currency Backup.  Relates to foreign exchange or currency matters.","https://www.sec.gov/Archives/edgar/data/1962622/000175392624001506/0001753926-24-001506-index.html","https://www.sec.gov/Archives/edgar/data/1962622/000175392624001506/g084410_cb.htm"
"NT-NSAR","2591","Notice of Late Filing of Form N-SAR. Filed by registered investment companies that are unable to file their Form N-SAR (semi-annual report) on time.","https://www.sec.gov/Archives/edgar/data/1603261/000139834418008166/0001398344-18-008166-index.html","https://www.sec.gov/Archives/edgar/data/1603261/000139834418008166/fp0033714_ntnsar.htm"
"QUALIF","2587","Qualification.   This could be related to legal or regulatory qualifications.","https://www.sec.gov/Archives/edgar/data/1671941/999999999424000138/9999999994-24-000138-index.html","https://www.sec.gov/Archives/edgar/data/1671941/999999999424000138/xslQUALIFX01/primary_doc.xml"
"N-14/A","2582","Amendment to a registration statement filed on Form N-14, which is used for registering securities issued in exchange offer transactions. ","https://www.sec.gov/Archives/edgar/data/1396092/000199937124010603/0001999371-24-010603-index.html","https://www.sec.gov/Archives/edgar/data/1396092/000199937124010603/wft_n14a-082324.htm"
"N-VPFS","2568","Notice of Eligibility for Sales of Securities. Filed by certain investment companies to establish their eligibility to sell securities.","https://www.sec.gov/Archives/edgar/data/1052863/000119312524151997/0001193125-24-151997-index.html","https://www.sec.gov/Archives/edgar/data/1052863/000119312524151997/d824109dnvpfs.htm"
"PRER14C","2550","Preliminary Information Statement (Regulation 14C). This is an early version of the information statement, similar to a preliminary proxy statement.","https://www.sec.gov/Archives/edgar/data/1835681/000119312524207833/0001193125-24-207833-index.html","https://www.sec.gov/Archives/edgar/data/1835681/000119312524207833/d836904dprer14c.htm"
"SEC STAFF","2536","Documents or communications originating from the SEC staff. These could be comment letters, guidance, or other official correspondence.","https://www.sec.gov/Archives/edgar/data/84129/999999999724003676/9999999997-24-003676-index.html","https://www.sec.gov/Archives/edgar/data/84129/999999999724003676/filename1.pdf"
"424H","2529","Prospectus.   Provides detailed information about a securities offering.","https://www.sec.gov/Archives/edgar/data/2032772/000153949724001702/0001539497-24-001702-index.html","https://www.sec.gov/Archives/edgar/data/1013611/000153949724001702/n4440_x10-424h.htm"
"U-12-IB","2508","Registration Statement.   Used for registering securities of a foreign government or political subdivision.","https://www.sec.gov/Archives/edgar/data/3153/000009212206000030/0000092122-06-000030-index.html","https://www.sec.gov/Archives/edgar/data/3153/000009212206000030/akridge.txt"
"F-1","2473","Registration Statement for Certain Foreign Private Issuers.  Foreign companies use this to offer securities in the US.","https://www.sec.gov/Archives/edgar/data/1595353/000149315224034598/0001493152-24-034598-index.html","https://www.sec.gov/Archives/edgar/data/1595353/000149315224034598/formf-1.htm"
"SC 14F1","2431","Statement of Ownership - Schedule 14F1. Filed by certain institutional investment managers who own more than $100 million in securities.","https://www.sec.gov/Archives/edgar/data/1485029/000109690624001391/0001096906-24-001391-index.html","https://www.sec.gov/Archives/edgar/data/1485029/000109690624001391/nahd_sc14f1.htm"
"ADV-E","2417","Certification for wrapping products. Filed by investment advisers who offer or manage wrap fee programs.","https://www.sec.gov/Archives/edgar/data/947663/999999999712011771/9999999997-12-011771-index.html","https://www.sec.gov/Archives/edgar/data/947663/999999999712011771/9999999997-12-011771.paper"
"MA/A","2416","Amendment to a Merger Agreement. Filed to reflect any changes or amendments made to the initial merger agreement between companies.","https://www.sec.gov/Archives/edgar/data/724683/000072468324000030/0000724683-24-000030-index.html","https://www.sec.gov/Archives/edgar/data/724683/000072468324000030/xslFormMA_X01/primary_doc.xml"
"1-A","2401","Regulation A Offering Statement. Used by smaller companies to raise capital from the public under a simplified registration process.","https://www.sec.gov/Archives/edgar/data/2016678/000121390024074502/0001213900-24-074502-index.html","https://www.sec.gov/Archives/edgar/data/2016678/000121390024074502/xsl1-A_X01/primary_doc.xml"
"8-A12G/A","2376","Amendment to a Registration of a Class of Securities Under Section 12(g). Filed to correct or update information from a previous 8-A12G filing.","https://www.sec.gov/Archives/edgar/data/1340476/000095017024090112/0000950170-24-090112-index.html","https://www.sec.gov/Archives/edgar/data/1340476/000095017024090112/drtt-8aa-08022024-arrigh.htm"
"N-4","2368","Registration Statement.  Used by investment companies to register securities they plan to offer.","https://www.sec.gov/Archives/edgar/data/845775/000084577523000040/0000845775-23-000040-index.html","https://www.sec.gov/Archives/edgar/data/845775/000084577523000040/indexadvnplusnydec2023.htm"
"CB/A","2366","Amendment to Currency Backup Filing.   Used to update or correct information.","https://www.sec.gov/Archives/edgar/data/2022329/000110465924085686/0001104659-24-085686-index.html","https://www.sec.gov/Archives/edgar/data/2021603/000110465924085686/tm2420831d1_cba.htm"
"SC 14D1","2361","Tender Offer Statement. Filed by any person or group making a tender offer to purchase a substantial percentage of a company's securities.","https://www.sec.gov/Archives/edgar/data/4672/000106880000000013/0001068800-00-000013-index.html","https://www.sec.gov/Archives/edgar/data/4672/000106880000000013/"
"S-1MEF","2291","Registration Statement.  Used by companies that are considered “emerging growth companies” (EGCs).","https://www.sec.gov/Archives/edgar/data/1716621/000165495424011293/0001654954-24-011293-index.html","https://www.sec.gov/Archives/edgar/data/1716621/000165495424011293/rmed_s1mef.htm"
"POS 8C","2251","Post-Effective Amendment.  Updates a registration statement or other filing.","https://www.sec.gov/Archives/edgar/data/1896036/000110465924081549/0001104659-24-081549-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1896036/000110465924081549/tm2418668d1_pos8c.htm"
"N-MFP/A","2243","Amendment to Monthly Schedule of Portfolio Holdings of Money Market Funds.  ","https://www.sec.gov/Archives/edgar/data/1107414/000114554916016111/0001145549-16-016111-index.html","https://www.sec.gov/Archives/edgar/data/1107414/000114554916016111/xslFormN-MFP_X01/primary_doc.xml"
"NTN 10Q","2232","Notice of Late Filing of Form 10-Q. This form is used by companies that are unable to file their Form 10-Q (quarterly report) by the required deadline.","https://www.sec.gov/Archives/edgar/data/1413891/000151116416001091/0001511164-16-001091-index.html","https://www.sec.gov/Archives/edgar/data/1413891/000151116416001091/mvtg12b25083116.htm"
"N-8F ORDR","2199","Order under Section 8(f).   Relates to investment company regulations.","https://www.sec.gov/Archives/edgar/data/1914404/999999999724003624/9999999997-24-003624-index.html","https://www.sec.gov/Archives/edgar/data/1914404/999999999724003624/filename1.pdf"
"NT 20-F","2195","Notice of Late Filing of Form 20-F. Filed by foreign private issuers that are unable to file their Form 20-F (annual report) on time.","https://www.sec.gov/Archives/edgar/data/1467808/000092963824002758/0000929638-24-002758-index.html","https://www.sec.gov/Archives/edgar/data/1467808/000092963824002758/global12b.htm"
"U-1/A","2171","Amendment to Notification Updating Statement. Filed by Canadian companies listed on U.S. exchanges.","https://www.sec.gov/Archives/edgar/data/1109357/000095013406001685/0000950134-06-001685-index.html","https://www.sec.gov/Archives/edgar/data/1109357/000095013406001685/h32600a5uv1za.htm"
"1-A POS","2166","Post-Effective Amendment to a Form 1-A. Used for offerings under Regulation A, a simplified registration process for smaller companies.","https://www.sec.gov/Archives/edgar/data/2025051/000202505124000006/0002025051-24-000006-index.html","https://www.sec.gov/Archives/edgar/data/2025051/000202505124000006/xsl1-A_X01/primary_doc.xml"
"40-6C","2116","Certification of Investment Company Reporting Adviser That a Filer or Its Control Persons Are Not Subject to Disqualification under Section 9 of the Investment Company Act and Rule 9h-1 Thereunder.  Filed by investment company reporting advisers.","https://www.sec.gov/Archives/edgar/data/1376113/999999999707042835/9999999997-07-042835-index.html","https://www.sec.gov/Archives/edgar/data/1141051/999999999707042835/9999999997-07-042835.paper"
"N-4/A","2092","Amendment to registration statement for investment companies. Filed by investment companies, typically mutual funds or ETFs, to update or correct information in a previously filed Form N-4.","https://www.sec.gov/Archives/edgar/data/9713/000110465924059778/0001104659-24-059778-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/9713/000110465924059778/tm2330801-8_n4a.htm"
"N-PX/A","2088","Amendment to a report of proxy voting records.  Filed to correct or add information from a previously filed N-PX.","https://www.sec.gov/Archives/edgar/data/1564835/000175496024000463/0001754960-24-000463-index.html","https://www.sec.gov/Archives/edgar/data/1564835/000175496024000463/xslN-PX_X01/primary_doc.xml"
"APP WD","2078","Application Withdrawn.  Refers to the withdrawal of an application or request that was previously filed with the SEC.","https://www.sec.gov/Archives/edgar/data/80255/000094562124000681/0000945621-24-000681-index.html","https://www.sec.gov/Archives/edgar/data/80255/000094562124000681/trowepriceetf40appwd.htm"
"N-8F NTC","2053","Notice of Election to Be Regulated as a Business Development Company.  Filed by investment companies that intend to operate as Business Development Companies (BDCs).","https://www.sec.gov/Archives/edgar/data/1914404/999999999724003395/9999999997-24-003395-index.html","https://www.sec.gov/Archives/edgar/data/1914404/999999999724003395/filename1.pdf"
"F-3ASR","2044","Automatic Shelf Registration Statement on Form F-3. This allows companies to offer and sell securities on a delayed or continuous basis under a simplified registration process.","https://www.sec.gov/Archives/edgar/data/1004315/000119312524208364/0001193125-24-208364-index.html","https://www.sec.gov/Archives/edgar/data/1004315/000119312524208364/d876047df3asr.htm"
"S-3MEF","2037","Registration statement.  Filed by companies that are considered “emerging growth companies” (EGCs)","https://www.sec.gov/Archives/edgar/data/1625101/000119312524178803/0001193125-24-178803-index.html","https://www.sec.gov/Archives/edgar/data/1625101/000119312524178803/d857900ds3mef.htm"
"13F-NT/A","2025","Amendment to a Notice of Inability to File Form 13F on Time. Filed by institutional investment managers who were previously unable to file their Form 13F.","https://www.sec.gov/Archives/edgar/data/1652115/000142050624001814/0001420506-24-001814-index.html","https://www.sec.gov/Archives/edgar/data/1652115/000142050624001814/xslForm13F_X02/primary_doc.xml"
"N-23C-2","1988","Initial notification and filing of proposed rule change by a national securities association related to corporate governance.  This involves updates to rules and regulations governing the association's members.","https://www.sec.gov/Archives/edgar/data/1232860/000119312524208840/0001193125-24-208840-index.html","https://www.sec.gov/Archives/edgar/data/1232860/000119312524208840/d856237dn23c2.htm"
"N-CEN/A","1979","Amendment to notification of ceasing registration as an investment company. Filed when there are changes or corrections to information in the initial notification.","https://www.sec.gov/Archives/edgar/data/768609/000175272424174183/0001752724-24-174183-index.html","https://www.sec.gov/Archives/edgar/data/768609/000175272424174183/xslFormN-CEN_X01/primary_doc.xml"
"1-K","1952","Annual Report for Employee Stock Purchase, Savings, and Similar Plans.  Filed by companies that offer these types of plans to their employees.","https://www.sec.gov/Archives/edgar/data/1916324/000149315224034168/0001493152-24-034168-index.html","https://www.sec.gov/Archives/edgar/data/1916324/000149315224034168/xsl1-K_X01/primary_doc.xml"
"144/A","1921","Amendment to a notice of proposed sale of securities. Filed to correct or update information from a previously filed Form 144, which relates to the sale of restricted securities.","https://www.sec.gov/Archives/edgar/data/7789/000002050224000009/0000020502-24-000009-index.html","https://www.sec.gov/Archives/edgar/data/7789/000002050224000009/xsl144X01/primary_doc.xml"
"N-1A","1897","Registration Statement for Open-End Management Investment Companies.   This is the primary registration form for mutual funds.","https://www.sec.gov/Archives/edgar/data/2035827/000110465924095593/0001104659-24-095593-index.html","https://www.sec.gov/Archives/edgar/data/2035827/000110465924095593/tm2422492d2_n1a.htm"
"DEL AM","1841","Delayed Amendment. This indicates that an amendment to a previously filed document will be filed later.","https://www.sec.gov/Archives/edgar/data/1775734/000149315224033528/0001493152-24-033528-index.html","https://www.sec.gov/Archives/edgar/data/1775734/000149315224033528/formdelam.htm"
"1-SA","1772","Simplified Short Form Annual Statement for Reporting Companies.  ","https://www.sec.gov/Archives/edgar/data/1741220/000149315224033711/0001493152-24-033711-index.html","https://www.sec.gov/Archives/edgar/data/1741220/000149315224033711/form1-sa.htm"
"NT 11-K","1714","Notice of Late Filing of Form 11-K. Filed by companies that are unable to file their Form 11-K, which relates to employee stock purchase plans, on time.","https://www.sec.gov/Archives/edgar/data/923796/000119312524173300/0001193125-24-173300-index.html","https://www.sec.gov/Archives/edgar/data/923796/000119312524173300/d26497dnt11k.htm"
"10-12B/A","1711","Amendment to General Form for Certification of Termination of Registration under Section 13 or 15(d) of the Securities Exchange Act of 1934.  ","https://www.sec.gov/Archives/edgar/data/2011286/000119312524207090/0001193125-24-207090-index.html","https://www.sec.gov/Archives/edgar/data/2011286/000119312524207090/d774986d1012ba.htm"
"N-MFP2/A","1630","Amendment to Monthly Schedule of Portfolio Holdings of Money Market Funds.","https://www.sec.gov/Archives/edgar/data/787441/000183989924000019/0001839899-24-000019-index.html","https://www.sec.gov/Archives/edgar/data/787441/000183989924000019/xslN-MFP2_X01/primary_doc.xml"
"424A","1623","Prospectus. Filed as part of a registration statement for a securities offering, providing details about the offering to investors.","https://www.sec.gov/Archives/edgar/data/1854480/000114036121035310/0001140361-21-035310-index.html","https://www.sec.gov/Archives/edgar/data/1854480/000114036121035310/nt10022907x6_424a.htm"
"S-2/A","1603","Amendment to a Registration Statement Filed on Form S-2.  Used to update information previously filed.","https://www.sec.gov/Archives/edgar/data/38723/000003872305000070/0000038723-05-000070-index.html","https://www.sec.gov/Archives/edgar/data/38723/000003872305000070/s2amendmentno4edgar.htm"
"N-8F/A","1563","Amendment to a registration statement filed on Form N-8F.   Used by investment companies operating as Business Development Companies (BDCs)","https://www.sec.gov/Archives/edgar/data/1551040/000119312524182028/0001193125-24-182028-index.html","https://www.sec.gov/Archives/edgar/data/1551040/000119312524182028/d744825dn8fa.htm"
"485B24E","1553","Post-effective amendment for business development companies. This type of amendment relates to changes in a BDC's registration statement.","https://www.sec.gov/Archives/edgar/data/827094/000087249697000001/0000872496-97-000001-index.html","https://www.sec.gov/Archives/edgar/data/827094/"
"CERTAMX","1545","Certification.   Confirms the authenticity and accuracy of information.","https://www.sec.gov/Archives/edgar/data/1362718/999999999708041190/9999999997-08-041190-index.html","https://www.sec.gov/Archives/edgar/data/1362718/999999999708041190/9999999997-08-041190.paper"
"NTN 10K","1505","Notice of Late Filing of Form 10-K. This is filed by companies that are unable to submit their Form 10-K (annual report) by the SEC's deadline.","https://www.sec.gov/Archives/edgar/data/1643721/000164372116000009/0001643721-16-000009-index.html","https://www.sec.gov/Archives/edgar/data/1643721/000164372116000009/nt10k.htm"
"486BPOS","1431","Post-Effective Amendment to a Registration Statement Filed on Form N-1A Relating to Certain Open-Ended Management Investment Companies.  Filed after a registration statement has been declared effective.","https://www.sec.gov/Archives/edgar/data/1649363/000139834424016118/0001398344-24-016118-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1649363/000139834424016118/fp0089909-1_486bposixbrl.htm"
"APP NTC","1396","Application Notice.   This usually signifies the submission of a formal application to the SEC, often for regulatory approval.","https://www.sec.gov/Archives/edgar/data/1997906/999999999724003675/9999999997-24-003675-index.html","https://www.sec.gov/Archives/edgar/data/1997906/999999999724003675/filename1.pdf"
"SC 13E4/A","1342","Amendment to a Tender Offer Statement. Filed to change information in a previously submitted Schedule 13E-4, which is related to issuer tender offers.","https://www.sec.gov/Archives/edgar/data/1066026/000103221001501504/0001032210-01-501504-index.html","https://www.sec.gov/Archives/edgar/data/1066026/000103221001501504/dsc13e4a.txt"
"F-10/A","1340","Amendment to a Registration Statement Filed on Form F-10, which is used by certain Canadian issuers to register securities for offerings in the U.S.  ","https://www.sec.gov/Archives/edgar/data/915191/000110465924092893/0001104659-24-092893-index.html","https://www.sec.gov/Archives/edgar/data/915191/000110465924092893/tm2421642-5_f10a.htm"
"N-18F1","1318","Notification of Election to be Subject to Sections 55 through 65 of the Investment Company Act of 1940.  Filed by certain investment companies.","https://www.sec.gov/Archives/edgar/data/1700933/000170093324000005/0001700933-24-000005-index.html","https://www.sec.gov/Archives/edgar/data/1700933/000170093324000005/n-18f1.htm"
"F-10","1308","Registration Statement for Certain Canadian Issuers. Filed by Canadian companies that meet specific criteria to register securities offerings in the United States.","https://www.sec.gov/Archives/edgar/data/915191/000110465924090593/0001104659-24-090593-index.html","https://www.sec.gov/Archives/edgar/data/915191/000110465924090593/tm2421642-1_f10.htm"
"APP ORDR","1303","Application Order.  Refers to an order issued by the SEC in response to an application, often granting or denying a request.","https://www.sec.gov/Archives/edgar/data/1633336/999999999724003674/9999999997-24-003674-index.html","https://www.sec.gov/Archives/edgar/data/1633336/999999999724003674/filename1.pdf"
"U-6B-2","1266","Application for Exemption. Filed by unit investment trusts to request an exemption from specific regulatory requirements under the Investment Company Act.","https://www.sec.gov/Archives/edgar/data/1045513/000119312506020210/0001193125-06-020210-index.html","https://www.sec.gov/Archives/edgar/data/1045513/000119312506020210/du6b2.htm"
"S-6EL24","1255","Post-Effective Amendment to Registration Statement. This amendment is specific to Form S-6 filings, which relate to unit investment trusts.","https://www.sec.gov/Archives/edgar/data/1047506/000092838997000216/0000928389-97-000216-index.html","https://www.sec.gov/Archives/edgar/data/1047506/"
"10-C","1254","General Form for Registration of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934.  Filed by companies registering securities under these sections of the Exchange Act.","https://www.sec.gov/Archives/edgar/data/858764/000090914397000140/0000909143-97-000140-index.html","https://www.sec.gov/Archives/edgar/data/858764/"
"13FCONP","1248","Confidential Treatment Request.  Filed by institutional investment managers.","https://www.sec.gov/Archives/edgar/data/1687444/999999999719006488/9999999997-19-006488-index.html","https://www.sec.gov/Archives/edgar/data/1687444/999999999719006488/9999999997-19-006488.paper"
"S-11","1234","Registration Statement for Real Estate Companies. This form is used by companies primarily engaged in real estate activities to register securities offerings.","https://www.sec.gov/Archives/edgar/data/1527541/000121390024057945/0001213900-24-057945-index.html","https://www.sec.gov/Archives/edgar/data/1527541/000121390024057945/ea0208762-s11_wheeler.htm"
"N-CSRS/A","1160","Amendment to certified shareholder report for smaller reporting companies.  ","https://www.sec.gov/Archives/edgar/data/353560/000174177324003780/0001741773-24-003780-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/353560/000174177324003780/ncsrsa.htm"
"40-33","1122","Certification of Reporting Issuer.   Filed by investment companies that are also considered reporting companies.","https://www.sec.gov/Archives/edgar/data/1580345/000121390024068305/0001213900-24-068305-index.html","https://www.sec.gov/Archives/edgar/data/1580345/000121390024068305/ea021126040-33_triplepoint.pdf"
"N-30D/A","1116","Amendment to an annual shareholder report. Filed to correct or update information from a previously filed N-30D.","https://www.sec.gov/Archives/edgar/data/771440/000073015019000017/0000730150-19-000017-index.html","https://www.sec.gov/Archives/edgar/data/771440/000073015019000017/2018_slic_vul.htm"
"POS AMC","1116","Post-Effective Amendment (Amendment No. 2).  ","https://www.sec.gov/Archives/edgar/data/1130310/000095012906001083/0000950129-06-001083-index.html","https://www.sec.gov/Archives/edgar/data/1130310/000095012906001083/h32786posamc.txt"
"13F-E","1091","Report of Transferred Securities. Filed by institutional investment managers who have transferred securities to another manager.","https://www.sec.gov/Archives/edgar/data/933429/000093342999000001/0000933429-99-000001-index.html","https://www.sec.gov/Archives/edgar/data/933429/"
"S-2","1047","Registration Statement.  Used by US-based companies to register their securities offerings.","https://www.sec.gov/Archives/edgar/data/823277/000095013405022326/0000950134-05-022326-index.html","https://www.sec.gov/Archives/edgar/data/823277/000095013405022326/c00227sv2.htm"
"DFRN14A","1029","Definitive Proxy Statement Furnished Pursuant to Regulation 14A. This is a definitive proxy statement that is not being filed with the SEC, but is being furnished to shareholders for informational purposes.","https://www.sec.gov/Archives/edgar/data/937556/000110465924086030/0001104659-24-086030-index.html","https://www.sec.gov/Archives/edgar/data/937556/000110465924086030/tm2420840d1_dfrn14a.htm"
"DSTRBRPT","1019","Distribution Report. This typically refers to reports related to the distribution of securities, often associated with dividends or stock splits.","https://www.sec.gov/Archives/edgar/data/311669/000114036124039147/0001140361-24-039147-index.html","https://www.sec.gov/Archives/edgar/data/311669/000114036124039147/ef20035125_dstrbrpt.htm"
"N-Q/A","1019","Amendment to Quarterly Report for Investment Companies. Used to make changes or correct errors in a previously filed Form N-Q.","https://www.sec.gov/Archives/edgar/data/1415726/000089418920004888/0000894189-20-004888-index.html","https://www.sec.gov/Archives/edgar/data/1415726/000089418920004888/innovator_n-qa.htm"
"11-K/A","1017","Amendment to Annual Report of Employee Stock Purchase, Savings and Similar Plans.  Used for correcting previously filed information.","https://www.sec.gov/Archives/edgar/data/21344/000002134424000031/0000021344-24-000031-index.html","https://www.sec.gov/Archives/edgar/data/21344/000002134424000031/a20221231criamendthrifplan.htm"
"FOCUSN/A","1006","Amendment to Report of Temporary Withdrawal of Registration Statement. This indicates an amendment to a Form FOCUSN, which is filed when a company temporarily withdraws a registration statement.","https://www.sec.gov/Archives/edgar/data/25142/999999999724000329/9999999997-24-000329-index.html","https://www.sec.gov/Archives/edgar/data/25142/999999999724000329/9999999997-24-000329.paper"
"N-VP/A","1000","Amendment to a voting instruction form.  Filed by investment companies.","https://www.sec.gov/Archives/edgar/data/73981/000139834424013797/0001398344-24-013797-index.html","https://www.sec.gov/Archives/edgar/data/73981/000139834424013797/fp0089522-1_nvpa.htm"
"C-W","961","Withdrawal of Certification and Updating Statement. Filed by a Canadian company to withdraw a previously submitted certification.","https://www.sec.gov/Archives/edgar/data/1998817/000199881724000004/0001998817-24-000004-index.html","https://www.sec.gov/Archives/edgar/data/1998817/000199881724000004/primary_doc.xml"
"U-3A-2","960","Annual Report to be Filed by Trust Indenture Trustee.  Filed by a trustee for a trust indenture, which is a legal agreement related to bonds.","https://www.sec.gov/Archives/edgar/data/1340324/000095017205003182/0000950172-05-003182-index.html","https://www.sec.gov/Archives/edgar/data/1340324/000095017205003182/was5284.txt"
"S-3D","955","Registration statement for dividend reinvestment plans. This type of registration statement is specifically for securities offered through a dividend reinvestment plan (DRIP).","https://www.sec.gov/Archives/edgar/data/712770/000114036124029652/0001140361-24-029652-index.html","https://www.sec.gov/Archives/edgar/data/712770/000114036124029652/ny20030674x1_s3d.htm"
"MA","929","Merger Agreement. This document outlines the terms and conditions of a merger between two or more companies.","https://www.sec.gov/Archives/edgar/data/2026816/000104216724000050/0001042167-24-000050-index.html","https://www.sec.gov/Archives/edgar/data/2026816/000104216724000050/xslFormMA_X01/primary_doc.xml"
"N-23C-1","920","Notification filed by a national securities association relating to a proposed rule change, typically under Section 19(b) of the Securities Exchange Act.   ","https://www.sec.gov/Archives/edgar/data/1000209/000119312505017405/0001193125-05-017405-index.html","https://www.sec.gov/Archives/edgar/data/1000209/000119312505017405/dn23c1.htm"
"U-1","916","Notification Filing. Used by Canadian issuers to provide notice of certain corporate actions or events to the SEC.","https://www.sec.gov/Archives/edgar/data/54502/000005450205000093/0000054502-05-000093-index.html","https://www.sec.gov/Archives/edgar/data/54502/000005450205000093/kmiformu1.htm"
"40-OIP/A","899","Amendment to an application for an order to permit certain investment company activities. ","https://www.sec.gov/Archives/edgar/data/733076/000119312521067052/0001193125-21-067052-index.html","https://www.sec.gov/Archives/edgar/data/356475/000119312521067052/d115726d40oipa.htm"
"N-14AE","889","Notification of Withdrawal. Filed by an investment company to withdraw a previously submitted application or filing.","https://www.sec.gov/Archives/edgar/data/880366/000119312508084591/0001193125-08-084591-index.html","https://www.sec.gov/Archives/edgar/data/880366/000119312508084591/dn14ae.htm"
"18-K","877","Application for Registration as a Clearing Agency or Exemption from Registration. This form is for entities seeking to register as clearing agencies, which play a role in settling securities transactions.","https://www.sec.gov/Archives/edgar/data/53078/000119312524196890/0001193125-24-196890-index.html","https://www.sec.gov/Archives/edgar/data/53078/000119312524196890/d833659d18k.htm"
"TA-2/A","843","Amendment to a Takedown Notice. Used to correct or update information in a previously filed TA-2 form, which relates to selling securities from a shelf registration.","https://www.sec.gov/Archives/edgar/data/1866046/000186604624000003/0001866046-24-000003-index.html","https://www.sec.gov/Archives/edgar/data/1866046/000186604624000003/xslFTA2X01/primary_doc.xml"
"N-VP","825","Voting Instruction Form.  Allows shareholders to provide instructions on how their shares should be voted at a meeting.","https://www.sec.gov/Archives/edgar/data/1090128/000119312524125754/0001193125-24-125754-index.html","https://www.sec.gov/Archives/edgar/data/1090128/000119312524125754/d492626dnvp.htm"
"40-17F1","782","Notice of Registration.  Filed by a credit rating agency to notify the SEC of its intent to register as a Nationally Recognized Statistical Rating Organization (NRSRO). ","https://www.sec.gov/Archives/edgar/data/1314414/000158064224004410/0001580642-24-004410-index.html","https://www.sec.gov/Archives/edgar/data/1314414/000158064224004410/fidelityamequity_4017f1.htm"
"N-6","","Registration Statement for Unit Investment Trusts.   Filed to register a Unit Investment Trust (UIT), which is a type of investment company.","https://www.sec.gov/Archives/edgar/data/1051932/000072686524000587/0000726865-24-000587-index.html","https://www.sec.gov/Archives/edgar/data/1051932/000072686524000587/initialn6.htm"
"NT 10-K/A","750","Amendment to Notice of Late Filing of Annual Report. Filed when a company needs to make changes or corrections to its previously filed NT 10-K.","https://www.sec.gov/Archives/edgar/data/1117228/000149315224029638/0001493152-24-029638-index.html","https://www.sec.gov/Archives/edgar/data/1117228/000149315224029638/formnt10-ka.htm"
"10-12B","","General Form for Certification of Termination of Registration Under Section 13 or 15(d).   Used when a company wants to terminate its reporting obligations under the Exchange Act.","https://www.sec.gov/Archives/edgar/data/2000640/000101376224000861/0001013762-24-000861-index.html","https://www.sec.gov/Archives/edgar/data/2000640/000101376224000861/ea0204545-1012b_grafiti.htm"
"PREN14A","745","Preliminary Proxy Statement (Non-Management and Third Party). This type of proxy statement is used by parties other than the company's management, such as shareholders proposing actions.","https://www.sec.gov/Archives/edgar/data/1048703/000107261324000538/0001072613-24-000538-index.html","https://www.sec.gov/Archives/edgar/data/1048703/000107261324000538/karpus-pre14a.htm"
"SC 13E4","736","Tender Offer Statement.  Filed by a company repurchasing its own shares.","https://www.sec.gov/Archives/edgar/data/945384/000094538401000024/0000945384-01-000024-index.html","https://www.sec.gov/Archives/edgar/data/945384/000094538401000024/0000945384-01-000024-0001.txt"
"C-TR","725","Change of Transfer Agent.  Used by companies to inform the SEC about changes in their transfer agent, which is responsible for handling stock transfers.","https://www.sec.gov/Archives/edgar/data/1784785/000178478524000004/0001784785-24-000004-index.html","https://www.sec.gov/Archives/edgar/data/1784785/000178478524000004/xslC_X01/primary_doc.xml"
"S-3DPOS","706","Post-Effective Amendment to a Registration Statement on Form S-3 for a Dividend Reinvestment Plan.  Used to update previously filed information.","https://www.sec.gov/Archives/edgar/data/1625941/000162594124000079/0001625941-24-000079-index.html","https://www.sec.gov/Archives/edgar/data/1625941/000162594124000079/tmb-20240815xs3dpos.htm"
"PREM14C","701","Preliminary Information Statement (Merger or Acquisition). A preliminary information statement specifically for mergers or acquisitions, similar to a proxy statement but not requiring a vote.","https://www.sec.gov/Archives/edgar/data/1841804/000119312524207161/0001193125-24-207161-index.html","https://www.sec.gov/Archives/edgar/data/1841804/000119312524207161/d886442dprem14c.htm"
"40-6B/A","697","Amendment to a Certification Filed Pursuant to Rule 6b-1 Under the Investment Company Act of 1940.  This involves updates or corrections related to investment company regulations.","https://www.sec.gov/Archives/edgar/data/1539408/000110465924080268/0001104659-24-080268-index.html","https://www.sec.gov/Archives/edgar/data/1539408/000110465924080268/tm2419560d1_406ba.htm"
"ADV-NR","685","Filed by investment advisers. Relates to compliance with non-resident requirements, likely for advisers who operate outside the U.S.","https://www.sec.gov/Archives/edgar/data/1760398/999999999723004749/9999999997-23-004749-index.html","https://www.sec.gov/Archives/edgar/data/1760398/999999999723004749/9999999997-23-004749.paper"
"NSAR-BT","678","Semi-Annual Report of Proxy Voting Record.  Filed by certain investment companies.","https://www.sec.gov/Archives/edgar/data/1551895/000155189518000013/0001551895-18-000013-index.html","https://www.sec.gov/Archives/edgar/data/1551895/000155189518000013/answer.fil"
"NT 10-Q/A","665","Amendment to a Notice of Late Filing for a Form 10-Q. Filed when a company needs to update or correct information in a previous NT 10-Q filing.","https://www.sec.gov/Archives/edgar/data/835662/000149315224033959/0001493152-24-033959-index.html","https://www.sec.gov/Archives/edgar/data/835662/000149315224033959/formnt10-qa.htm"
"N-MFP3","647","Monthly Schedule of Portfolio Holdings of Money Market Funds.  ","https://www.sec.gov/Archives/edgar/data/862021/000114554924047748/0001145549-24-047748-index.html","https://www.sec.gov/Archives/edgar/data/862021/000114554924047748/xslN-MFP3_X01/primary_doc.xml"
"8-K12G3","637","Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934.  Filed to disclose specific events related to securities registration under Section 12(g) of the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1996210/000147793224000196/0001477932-24-000196-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1996210/000147793224000196/blum_8k12g3.htm"
"U-9C-3","636","Consolidated Report of Condition and Income for Bank Holding Companies.  Filed by bank holding companies, which are companies that control one or more banks.","https://www.sec.gov/Archives/edgar/data/70145/000007014505000138/0000070145-05-000138-index.html","https://www.sec.gov/Archives/edgar/data/70145/000007014505000138/formu9c3_4q05.htm"
"10KSB40/A","625","Amendment to Annual Report for Smaller Reporting Companies. This form combines reporting requirements for smaller companies with those for investment companies.","https://www.sec.gov/Archives/edgar/data/1100356/000095014402003379/0000950144-02-003379-index.html","https://www.sec.gov/Archives/edgar/data/1100356/000095014402003379/g75077a1e10ksb40a.txt"
"N-8A/A","","Amendment to Notification of Registration Filed Pursuant to Section 8(a) of the Investment Company Act of 1940.  ","https://www.sec.gov/Archives/edgar/data/2014045/000201404524000002/0002014045-24-000002-index.html","https://www.sec.gov/Archives/edgar/data/2014045/000201404524000002/formeight.htm"
"20FR12G/A","622","Amendment to a registration statement or report filed by a foreign private issuer. Relates to registration under Section 12(g) of the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1723464/000139390524000304/0001393905-24-000304-index.html","https://www.sec.gov/Archives/edgar/data/1723464/000139390524000304/bhsc_20fr12ga.htm"
"U-57","617","Notice Pursuant to Rule 0-7 of the Investment Company Act of 1940.  ","https://www.sec.gov/Archives/edgar/data/99070/000095012006000073/0000950120-06-000073-index.html","https://www.sec.gov/Archives/edgar/data/99070/000095012006000073/transu57bp_0207.htm"
"12G3-2B","609","Certification of Foreign Private Issuer.  Filed by foreign issuers to certify compliance with certain requirements of the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1448007/999999999708042575/9999999997-08-042575-index.html","https://www.sec.gov/Archives/edgar/data/1448007/999999999708042575/9999999997-08-042575.paper"
"24F-2TM","600","Notice of Election to Compute Rule 24f-2 Fee on a T+3 Basis.  Filed by investment companies.","https://www.sec.gov/Archives/edgar/data/318480/000093485097001725/0000934850-97-001725-index.html","https://www.sec.gov/Archives/edgar/data/318480/"
"10-KT","582","Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. Filed when companies transition to a different reporting regime under the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1489300/000149315224033791/0001493152-24-033791-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1489300/000149315224033791/form10-kt.htm"
"40-F/A","581","Amendment to a transition report.  ","https://www.sec.gov/Archives/edgar/data/1904501/000106299324013889/0001062993-24-013889-index.html","https://www.sec.gov/Archives/edgar/data/1904501/000106299324013889/form40fa.htm"
"DEFN14A","581","Definitive Proxy Statement. Sent to shareholders before a meeting to provide information about matters to be voted on.","https://www.sec.gov/Archives/edgar/data/2001389/000110465924049934/0001104659-24-049934-index.html","https://www.sec.gov/Archives/edgar/data/1051470/000110465924049934/tm247470-17_defn14a.htm"
"N-6/A","574","Amendment to a registration statement filed on Form N-6. This amendment relates to Form N-6 filings, which are used for registering unit investment trusts.","https://www.sec.gov/Archives/edgar/data/832908/000110465924076231/0001104659-24-076231-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/832908/000110465924076231/tm2410280d1_n6a.htm"
"CFPORTAL/A","554","Amendment to a Cover Page Filing. This is a general amendment used to update information on a cover page previously filed with the SEC.","https://www.sec.gov/Archives/edgar/data/1690300/000169030024000003/0001690300-24-000003-index.html","https://www.sec.gov/Archives/edgar/data/1690300/000169030024000003/xslCFPORTAL_X01/primary_doc.xml"
"N-MFP1/A","","Amendment to a report filed by money market funds. Used to correct or update information previously reported on Form N-MFP1, related to portfolio holdings.","https://www.sec.gov/Archives/edgar/data/1140869/000114554917000915/0001145549-17-000915-index.html","https://www.sec.gov/Archives/edgar/data/1140869/000114554917000915/xslN-MFP1_X01/primary_doc.xml"
"TA-W","551","Takedown Withdrawal.  This involves withdrawing a previously filed takedown notice.","https://www.sec.gov/Archives/edgar/data/1798677/000179867724000001/0001798677-24-000001-index.html","https://www.sec.gov/Archives/edgar/data/1798677/000179867724000001/xslFTAWX01/primary_doc.xml"
"25-NSE/A","550","Amendment to a current report filed by national securities exchanges. Used to make corrections or provide updates to information previously reported.","https://www.sec.gov/Archives/edgar/data/1143313/000114331324000042/0001143313-24-000042-index.html","https://www.sec.gov/Archives/edgar/data/1143313/000114331324000042/xslF25X02/primary_doc.xml"
"CERTPAC","539","Certification of Principal Amount. This certification typically relates to securities, like bonds, that have a specified principal amount.","https://www.sec.gov/Archives/edgar/data/1378872/999999999713009799/9999999997-13-009799-index.html","https://www.sec.gov/Archives/edgar/data/1378872/999999999713009799/9999999997-13-009799.paper"
"40-8F-M","536","Notice of Proposed Change in Investment Policy of Registered Open-End Investment Company. Filed by mutual funds to notify shareholders of changes to their investment policies or strategies.","https://www.sec.gov/Archives/edgar/data/889420/000119312504130113/0001193125-04-130113-index.html","https://www.sec.gov/Archives/edgar/data/889420/000119312504130113/d408fm.txt"
"F-N","478","Notification of Filing of Securities Registration Statement by Certain Canadian Issuers. Filed by Canadian companies that are registering securities offerings in the U.S.","https://www.sec.gov/Archives/edgar/data/1794338/000121390024067127/0001213900-24-067127-index.html","https://www.sec.gov/Archives/edgar/data/1794338/000121390024067127/ea0209646-fn_international.htm"
"DEFA14C","469","Additional Definitive Information Statement. Similar to a proxy statement, but used for situations where a shareholder vote is not required.","https://www.sec.gov/Archives/edgar/data/1651958/000157587224000873/0001575872-24-000873-index.html","https://www.sec.gov/Archives/edgar/data/1651958/000157587224000873/pl031_defa14c.htm"
"DEFM14C","466","Definitive Information Statement.   This is similar to a definitive proxy statement.","https://www.sec.gov/Archives/edgar/data/821130/000110465924083063/0001104659-24-083063-index.html","https://www.sec.gov/Archives/edgar/data/821130/000110465924083063/tm2419247-4_defm14c.htm"
"RW WD","461","Withdrawal Request (Withdrawn). This indicates that a previously submitted withdrawal request has itself been withdrawn.","https://www.sec.gov/Archives/edgar/data/1624517/000182912624005485/0001829126-24-005485-index.html","https://www.sec.gov/Archives/edgar/data/1624517/000182912624005485/yuenglingsice_rwwd.htm"
"SCHEDULE 1","460","This usually refers to a specific schedule within a larger form or agreement.","https://www.sec.gov/Archives/edgar/data/1860657/000203578224000002/0002035782-24-000002-index.html","https://www.sec.gov/Archives/edgar/data/1860657/000203578224000002/xslSCHEDULE_13G_X01/primary_doc.xml"
"TA-1","458","Notification of Reliance on Rule 424(b)(1). This rule allows issuers to incorporate information by reference into a prospectus, streamlining the registration process.","https://www.sec.gov/Archives/edgar/data/2029410/000202941024000006/0002029410-24-000006-index.html","https://www.sec.gov/Archives/edgar/data/2029410/000202941024000006/xslFTA1X01/primary_doc.xml"
"40-8F-L","","Notice of Intent to Make a Public Offering of Securities by a Closed-End Management Investment Company.  Filed before a public offering by a closed-end fund.","https://www.sec.gov/Archives/edgar/data/1170207/000091957404002471/0000919574-04-002471-index.html","https://www.sec.gov/Archives/edgar/data/1170207/000091957404002471/d489560_8-nf.txt"
"MSD/A","455","Amendment to a Material Definitive Agreement. Filed to reflect changes or updates made to a material definitive agreement that was previously disclosed.","https://www.sec.gov/Archives/edgar/data/766261/999999999724003191/9999999997-24-003191-index.html","https://www.sec.gov/Archives/edgar/data/766261/999999999724003191/9999999997-24-003191.paper"
"497K1","454","Prospectus Supplement (Rule 497(k)).  Provides supplementary information for variable insurance products.","https://www.sec.gov/Archives/edgar/data/278001/000027800108000010/0000278001-08-000010-index.html","https://www.sec.gov/Archives/edgar/data/278001/000027800108000010/main.htm"
"ATS-N/UA","453","Alternative Trading System (ATS) Notification and Unlisted Trading Privileges (UTP) Application. Filed by entities seeking to operate an ATS or obtain UTP for securities.","https://www.sec.gov/Archives/edgar/data/782124/000095010324012612/0000950103-24-012612-index.html","https://www.sec.gov/Archives/edgar/data/782124/000095010324012612/xslATS-N_X01/primary_doc.xml"
"DEFR14C","452","Definitive Information Statement Furnished Pursuant to Regulation 14C. This signifies a definitive information statement provided to shareholders, similar to a proxy statement but not requiring a vote.","https://www.sec.gov/Archives/edgar/data/1823652/000155485524000634/0001554855-24-000634-index.html","https://www.sec.gov/Archives/edgar/data/1823652/000155485524000634/MainDocument.htm"
"40-OIP","","Application for Order Permitting Certain Investment Company Activities.  Filed by investment companies to request approval for specific actions.","https://www.sec.gov/Archives/edgar/data/836982/000094430521000014/0000944305-21-000014-index.html","https://www.sec.gov/Archives/edgar/data/836687/000094430521000014/substitutionapp3-1-2021.htm"
"MA-W","442","Merger Withdrawal.  This signals the withdrawal of a previously announced or proposed merger between companies.","https://www.sec.gov/Archives/edgar/data/1620652/000162065224000002/0001620652-24-000002-index.html","https://www.sec.gov/Archives/edgar/data/1620652/000162065224000002/xslFormMA-W_X01/primary_doc.xml"
"NT NPORT-P","438","Notice of Late Filing of Form NPORT-P. This indicates that a registered investment company is unable to file its Form NPORT-P (monthly portfolio report) on time.","https://www.sec.gov/Archives/edgar/data/1054816/000116204424000971/0001162044-24-000971-index.html","https://www.sec.gov/Archives/edgar/data/1054816/000116204424000971/xslFormNPORT-P_X01/primary_doc.xml"
"N-1A EL/A","434","Amendment to a Notice of Eligibility. This type of amendment relates to investment companies and their eligibility to sell securities.","https://www.sec.gov/Archives/edgar/data/1045688/000090724497000263/0000907244-97-000263-index.html","https://www.sec.gov/Archives/edgar/data/1045688/"
"15-12G/A","432","Amendment to Certification of Termination of Registration Under Section 13 or 15(d) of the Securities Exchange Act of 1934.  Used to update or correct information.","https://www.sec.gov/Archives/edgar/data/1823593/000119312524210303/0001193125-24-210303-index.html","https://www.sec.gov/Archives/edgar/data/1823593/000119312524210303/d80982d1512ga.htm"
"BDCO","423","Bond Debt Component. Relates to the debt component of a bond offering or issuance.","https://www.sec.gov/Archives/edgar/data/930306/999999999703038213/9999999997-03-038213-index.html","https://www.sec.gov/Archives/edgar/data/930306/999999999703038213/9999999997-03-038213.paper"
"S-B","416","Registration Statement Under the Securities Act of 1933. This is a simplified registration form used by smaller companies, often referred to as ""small business issuers.""","https://www.sec.gov/Archives/edgar/data/947438/000119312524186746/0001193125-24-186746-index.html","https://www.sec.gov/Archives/edgar/data/947438/000119312524186746/d810919dsb.htm"
"NT-NCSR","414","Notice of Late Filing of Form N-CSR. Filed by registered management investment companies that are unable to file their Form N-CSR (certified shareholder report) on time.","https://www.sec.gov/Archives/edgar/data/1217286/000119312524177315/0001193125-24-177315-index.html","https://www.sec.gov/Archives/edgar/data/1217286/000119312524177315/d827423dntncsr.htm"
"1-A-W","","Withdrawal of an offering statement filed on Form 1-A, which is used for Regulation A offerings.   ","https://www.sec.gov/Archives/edgar/data/1977010/000149315224033147/0001493152-24-033147-index.html","https://www.sec.gov/Archives/edgar/data/1977010/000149315224033147/form1aw.htm"
"N-23C3B","408","Filing and Amendment to Withdrawal of Proposed Rule Change by a Self-Regulatory Organization.  ","https://www.sec.gov/Archives/edgar/data/1076322/000107632222000001/0001076322-22-000001-index.html","https://www.sec.gov/Archives/edgar/data/1076322/000107632222000001/formn23c-3.txt"
"ABS-EE/A","391","Amendment to a filing for asset-backed securities. Used to make changes to information that was originally reported on Form ABS-EE.","https://www.sec.gov/Archives/edgar/data/1854012/000095013124003169/0000950131-24-003169-index.html","https://www.sec.gov/Archives/edgar/data/1383094/000095013124003169/drive211abseea_0805-2251.htm"
"APP WD/A","390","Amendment to an Application Withdrawn Notice. Filed when a company wants to update or change information in a previously submitted withdrawal notice.","https://www.sec.gov/Archives/edgar/data/826606/000092349523000090/0000923495-23-000090-index.html","https://www.sec.gov/Archives/edgar/data/826606/000092349523000090/amendedappwithdrawal.htm"
"20FR12G","389","Registration of a Class of Securities by a Foreign Private Issuer.  This form is used by foreign private issuers to register securities under Section 12(g) of the Exchange Act.  ","https://www.sec.gov/Archives/edgar/data/1723464/000139390524000225/0001393905-24-000225-index.html","https://www.sec.gov/Archives/edgar/data/1723464/000139390524000225/bhsc_20fr12g.htm"
"N-14 8C/A","389","Amendment to a Section 8(c) Notice. This amendment is related to Form N-14, which is used for registering securities in exchange offer transactions.","https://www.sec.gov/Archives/edgar/data/1843162/000114036124039655/0001140361-24-039655-index.html","https://www.sec.gov/Archives/edgar/data/1843162/000114036124039655/ny20031201x5_n148ca.htm"
"N-54A","377","Notification of Withdrawal of Registration Under Section 8(a) of the Investment Company Act of 1940.  Filed by investment companies that are withdrawing their registrations.","https://www.sec.gov/Archives/edgar/data/1998387/000093041324002684/0000930413-24-002684-index.html","https://www.sec.gov/Archives/edgar/data/1998387/000093041324002684/c109866_n54a.htm"
"SF-3/A","372","Amendment to a registration statement or report, typically filed by foreign private issuers. Relates to specialized financial information.","https://www.sec.gov/Archives/edgar/data/1013611/000153949724001819/0001539497-24-001819-index.html","https://www.sec.gov/Archives/edgar/data/1013611/000153949724001819/n4348_x4-sf3a2.htm"
"CERTARCA","362","Certification.  Confirms the accuracy of information.","https://www.sec.gov/Archives/edgar/data/1053092/999999999717008704/9999999997-17-008704-index.html","https://www.sec.gov/Archives/edgar/data/1053092/999999999717008704/9999999997-17-008704.paper"
"F-X/A","361","Amendment to an Appointment of Agent for Service of Process.  This involves making changes to a previously designated agent for legal matters.","https://www.sec.gov/Archives/edgar/data/1564538/000119312524186231/0001193125-24-186231-index.html","https://www.sec.gov/Archives/edgar/data/1564538/000119312524186231/d757955dfxa.htm"
"PRE13E3/A","357","Amendment to a Preliminary Schedule 13E-3 - Going Private Transaction Statement.  Filed when changes need to be made to a preliminary Schedule 13E-3.","https://www.sec.gov/Archives/edgar/data/883237/000095013100006515/0000950131-00-006515-index.html","https://www.sec.gov/Archives/edgar/data/883237/000095013100006515/0000950131-00-006515-0001.txt"
"SB-1/A","354","Amendment to a Registration Statement Filed on Form SB-1.  This is a simplified registration form used by small business issuers. ","https://www.sec.gov/Archives/edgar/data/1393356/000112178107000398/0001121781-07-000398-index.html","https://www.sec.gov/Archives/edgar/data/1393356/000112178107000398/surfacesb1a1121107.htm"
"NSAR-U/A","","Amendment to a report filed by registered management investment companies for proxy voting records.   ","https://www.sec.gov/Archives/edgar/data/740858/000119312518202109/0001193125-18-202109-index.html","https://www.sec.gov/Archives/edgar/data/740858/000119312518202109/d610755dnsarua.htm"
"U-13-60","346","Annual Report to be Filed by a Trustee of a Qualified Trust. Filed by trustees of qualified trusts, often related to employee benefit plans.","https://www.sec.gov/Archives/edgar/data/71339/000007129705000037/0000071297-05-000037-index.html","https://www.sec.gov/Archives/edgar/data/71339/000007129705000037/fy2005.htm"
"S-6EL24/A","344","Amendment to Post-Effective Amendment to Registration Statement. Used to make changes to a previously filed post-effective amendment for a Form S-6, related to unit investment trusts.","https://www.sec.gov/Archives/edgar/data/1040646/000087562697001023/0000875626-97-001023-index.html","https://www.sec.gov/Archives/edgar/data/1040646/"
"S-4 POS","336","Post-Effective Amendment to a Registration Statement on Form S-4.  Used for updating information after the registration statement has become effective.","https://www.sec.gov/Archives/edgar/data/1311370/000119312524022926/0001193125-24-022926-index.html","https://www.sec.gov/Archives/edgar/data/1311370/000119312524022926/d734900ds4pos.htm"
"N-14 8C","336","Section 8(c) Notice.  Filed in connection with exchange offer transactions where securities are being exchanged for other securities.","https://www.sec.gov/Archives/edgar/data/1918712/000110465924091641/0001104659-24-091641-index.html","https://www.sec.gov/Archives/edgar/data/1918712/000110465924091641/tm2421535d1_n148c.htm"
"15-15D/A","336","Amendment to Securities Ownership and Trading by the Issuer. Filed to update or correct information previously reported on Form 15-15D, related to issuer stock repurchases.","https://www.sec.gov/Archives/edgar/data/1730430/000110465924081920/0001104659-24-081920-index.html","https://www.sec.gov/Archives/edgar/data/1730430/000110465924081920/tm2419915d2_1515da.htm"
"F-6/A","335","Amendment to a registration statement for American Depositary Receipts. Filed to update or correct information previously submitted on Form F-6.","https://www.sec.gov/Archives/edgar/data/1474274/000119380524000739/0001193805-24-000739-index.html","https://www.sec.gov/Archives/edgar/data/1474274/000119380524000739/e663671_f6a-jiayin.htm"
"N-1A EL","334","Notice of Eligibility for Sales of Securities by Open-End Management Investment Companies.  Filed by open-end investment companies.","https://www.sec.gov/Archives/edgar/data/1047167/000104746997000479/0001047469-97-000479-index.html","https://www.sec.gov/Archives/edgar/data/1047167/"
"8-K12B","333","Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. Filed by companies to disclose certain events, often related to securities registered under Section 12(b) of the Exchange Act.","https://www.sec.gov/Archives/edgar/data/2011641/000119312524190512/0001193125-24-190512-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/2011641/000119312524190512/d866383d8k12b.htm"
"SBSE-A/A","320","Amendment to a Filing by Small Business Issuer (Form SBSE). This form is a catch-all for various filings by small business issuers, and this amendment likely relates to updates or corrections.","https://www.sec.gov/Archives/edgar/data/1102113/000110211324000021/0001102113-24-000021-index.html","https://www.sec.gov/Archives/edgar/data/1102113/000110211324000021/xslSBSE-A_X01/primary_doc.xml"
"1-Z","302","Exit Report for Companies Under Regulation A.  Filed by companies that have completed their Regulation A offerings.","https://www.sec.gov/Archives/edgar/data/841533/000119983524000391/0001199835-24-000391-index.html","https://www.sec.gov/Archives/edgar/data/841533/000119983524000391/xsl1-Z_X01/primary_doc.xml"
"497VPSUB","290","Prospectus Supplement for Variable Insurance Products.  Filed as part of a registration statement or to provide additional information.","https://www.sec.gov/Archives/edgar/data/1048606/000072686524000177/0000726865-24-000177-index.html","https://www.sec.gov/Archives/edgar/data/1048606/000072686524000177/productsupp.htm"
"SC14D1F/A","290","Amendment to a filing by a third party making a tender offer.  ","https://www.sec.gov/Archives/edgar/data/1336762/000089968120000036/0000899681-20-000036-index.html","https://www.sec.gov/Archives/edgar/data/1336762/000089968120000036/p20-0049_sch14d1fa.htm"
"SF-3","289","Registration Statement.  Filed by foreign private issuers.","https://www.sec.gov/Archives/edgar/data/1131131/000092963824002875/0000929638-24-002875-index.html","https://www.sec.gov/Archives/edgar/data/1131131/000092963824002875/tafr_sf3.htm"
"G-FIN/A","279","Amendment to a Financial Report. This amendment is typically used to make corrections or updates to financial information previously filed with the SEC.","https://www.sec.gov/Archives/edgar/data/830671/999999999724002662/9999999997-24-002662-index.html","https://www.sec.gov/Archives/edgar/data/830671/999999999724002662/9999999997-24-002662.paper"
"15F-12B","279","Termination of Registration of a Class of Securities Under Section 12(b) of the Securities Exchange Act of 1934.  ","https://www.sec.gov/Archives/edgar/data/1835539/000110465924081559/0001104659-24-081559-index.html","https://www.sec.gov/Archives/edgar/data/1835539/000110465924081559/tm2419014d9_15f12b.htm"
"486APOS","271","Post-Effective Amendment to a Registration Statement on Form N-1A Relating to Certain Unit Investment Trusts.  Used to make changes after the initial registration is effective.","https://www.sec.gov/Archives/edgar/data/1984165/000158064224004782/0001580642-24-004782-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1984165/000158064224004782/caz-sof486a.htm"
"N-2MEF","266","Registration statement.  Filed by emerging growth companies (EGCs).","https://www.sec.gov/Archives/edgar/data/1998043/000121465924012584/0001214659-24-012584-index.html","https://www.sec.gov/Archives/edgar/data/1998043/000121465924012584/p716245n2mef.htm"
"NRSRO-UPD","256","Update to Form NRSRO. This update is related to credit rating agencies and their compliance with NRSRO (Nationally Recognized Statistical Rating Organization) regulations.","https://www.sec.gov/Archives/edgar/data/1651331/000165133124000009/0001651331-24-000009-index.html","https://www.sec.gov/Archives/edgar/data/1651331/000165133124000009/Form_NRSRO.pdf"
"F-1MEF","255","Registration Statement.  Filed by foreign private issuers that qualify as emerging growth companies (EGCs).","https://www.sec.gov/Archives/edgar/data/1872812/000149315224034233/0001493152-24-034233-index.html","https://www.sec.gov/Archives/edgar/data/1872812/000149315224034233/formf-1mef.htm"
"S-B/A","250","Amendment to a Registration Statement Filed on Form S-B.  Used by smaller companies to update information.","https://www.sec.gov/Archives/edgar/data/873463/000119312524206776/0001193125-24-206776-index.html","https://www.sec.gov/Archives/edgar/data/873463/000119312524206776/d795970dsba.htm"
"DOS/A","246","Amendment to a Document Output Sheet (DOS).  Used to correct or update information.","https://www.sec.gov/Archives/edgar/data/1947016/000106299324014019/0001062993-24-014019-index.html","https://www.sec.gov/Archives/edgar/data/1947016/000106299324014019/filename1.xml"
"SC 14F1/A","245","Amendment to a Statement of Ownership - Schedule 14F1.  Filed to change information previously reported.","https://www.sec.gov/Archives/edgar/data/1765826/000159991624000182/0001599916-24-000182-index.html","https://www.sec.gov/Archives/edgar/data/1765826/000159991624000182/bzrd_14f1a1.htm"
"C-AR/A","245","Amendment to Certification of a Foreign Private Issuer. Used to update or correct information in a previously filed certification.","https://www.sec.gov/Archives/edgar/data/1943499/000166516024001215/0001665160-24-001215-index.html","https://www.sec.gov/Archives/edgar/data/1943499/000166516024001215/xslC_X01/primary_doc.xml"
"10-QT","244","Transition Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. Filed by companies transitioning to a different reporting regime.","https://www.sec.gov/Archives/edgar/data/764630/000149315224028360/0001493152-24-028360-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/764630/000149315224028360/form10-qt.htm"
"U-57/A","240","Amendment to Notice Pursuant to Rule 0-7 of the Investment Company Act of 1940.  Used by investment companies.","https://www.sec.gov/Archives/edgar/data/788784/000089109205001913/0000891092-05-001913-index.html","https://www.sec.gov/Archives/edgar/data/788784/000089109205001913/e22560u57a.txt"
"15F-12G","239","Termination of Registration of a Class of Securities Under Section 12(g) of the Securities Exchange Act of 1934.  ","https://www.sec.gov/Archives/edgar/data/1000229/000119312523143477/0001193125-23-143477-index.html","https://www.sec.gov/Archives/edgar/data/1000229/000119312523143477/d494794d15f12g.htm"
"U5S","238","Annual Updating Amendment to Form U5.   Filed by individuals associated with broker-dealers.","https://www.sec.gov/Archives/edgar/data/1045513/000119312505152469/0001193125-05-152469-index.html","https://www.sec.gov/Archives/edgar/data/1045513/000119312505152469/du5s.htm"
"DOS","237","Document Output Sheet.   Used to provide a summary of information submitted electronically.","https://www.sec.gov/Archives/edgar/data/1947016/000106299324009265/0001062993-24-009265-index.html","https://www.sec.gov/Archives/edgar/data/1947016/000106299324009265/filename1.xml"
"NT N-MFP","235","Notice of Late Filing of Form N-MFP.  Filed by money market funds that are unable to file on time.","https://www.sec.gov/Archives/edgar/data/55189/000114554916011507/0001145549-16-011507-index.html","https://www.sec.gov/Archives/edgar/data/55189/000114554916011507/xslFormN-MFP_X01/primary_doc.xml"
"POS462B","233","Post-Effective Amendment to Registration Statement.  This is specific to amendments filed pursuant to Rule 462(b), which provides for immediate effectiveness of certain registration statements.","https://www.sec.gov/Archives/edgar/data/1063344/000114036123055014/0001140361-23-055014-index.html","https://www.sec.gov/Archives/edgar/data/1063344/000114036123055014/ef20015440_pos462b.htm"
"40-6B","226","Certification Filed Pursuant to Rule 6b-1 Under the Investment Company Act of 1940. Filed by investment companies to certify compliance with regulatory requirements.","https://www.sec.gov/Archives/edgar/data/2025737/000089706924001314/0000897069-24-001314-index.html","https://www.sec.gov/Archives/edgar/data/2025737/000089706924001314/hs2406b.htm"
"N14AE24","223","Notice of Effectiveness. This notice signifies when a registration statement or other filing with the SEC becomes effective.","https://www.sec.gov/Archives/edgar/data/1046026/000090873797000391/0000908737-97-000391-index.html","https://www.sec.gov/Archives/edgar/data/1046026/"
"PRE13E3","222","Preliminary Schedule 13E-3 - Going Private Transaction Statement. Filed by a company planning a going-private transaction to provide preliminary details to the SEC.","https://www.sec.gov/Archives/edgar/data/914791/000091479100500018/0000914791-00-500018-index.html","https://www.sec.gov/Archives/edgar/data/914791/000091479100500018/r13e3_102400.txt"
"NT N-CEN","222","Notice of Late Filing for Form N-CEN. Filed by investment companies when they are unable to timely file Form N-CEN, which notifies the SEC of their intent to cease registration.","https://www.sec.gov/Archives/edgar/data/909758/000114554924019973/0001145549-24-019973-index.html","https://www.sec.gov/Archives/edgar/data/909758/000114554924019973/xslFormN-CEN_X01/primary_doc.xml"
"N-54C","220","Notification of Withdrawal of Election to be Subject to Sections 55 through 65 of the Investment Company Act of 1940. Filed by investment companies that previously elected to be subject to these sections.","https://www.sec.gov/Archives/edgar/data/1825590/000110465924079901/0001104659-24-079901-index.html","https://www.sec.gov/Archives/edgar/data/1825590/000110465924079901/tm2419148d1_n54c.htm"
"ATS-N/MA","210","Alternative Trading System (ATS) Notification and Market Access Application. Filed by entities that operate an ATS and seek market access.","https://www.sec.gov/Archives/edgar/data/753835/000075383524000010/0000753835-24-000010-index.html","https://www.sec.gov/Archives/edgar/data/753835/000075383524000010/xslATSN_COVER_X01/coverpage.xml"
"QRTLYRPT","209","Quarterly Report.  Filed by asset-backed issuers. ","https://www.sec.gov/Archives/edgar/data/311670/000119312524195771/0001193125-24-195771-index.html","https://www.sec.gov/Archives/edgar/data/311670/000119312524195771/d796861dqrtlyrpt.htm"
"DOSLTR","207","Letter to the Division of Investment Management.  Filed in response to comments or requests from the SEC's Division of Investment Management.","https://www.sec.gov/Archives/edgar/data/1988874/000121390023088000/0001213900-23-088000-index.html","https://www.sec.gov/Archives/edgar/data/1988874/000121390023088000/filename1.htm"
"20FR12B/A","200","Amendment to Registration of a Class of Securities by a Foreign Private Issuer.  Filed to update or correct information from a previous 20FR12B filing.","https://www.sec.gov/Archives/edgar/data/1949257/000101376224000897/0001013762-24-000897-index.html","https://www.sec.gov/Archives/edgar/data/1949257/000101376224000897/ea0208865-20fr12ba3_radio.htm"
"20FR12B","199","Registration of a Class of Securities by a Foreign Private Issuer. Used by foreign private issuers to register a class of securities under the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1865697/000121390024069336/0001213900-24-069336-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1865697/000121390024069336/ea0211461-20fr12b_neuro.htm"
"S-4MEF","196","Registration Statement for Emerging Growth Companies.  Filed by companies merging with or acquiring a US company.","https://www.sec.gov/Archives/edgar/data/1964333/000196433324000124/0001964333-24-000124-index.html","https://www.sec.gov/Archives/edgar/data/1964333/000196433324000124/s-4mef512024.htm"
"253G1","189","Filed by certain passive investors who own more than 5% of a company's voting stock. ","https://www.sec.gov/Archives/edgar/data/1160420/000168316824004436/0001683168-24-004436-index.html","https://www.sec.gov/Archives/edgar/data/1160420/000168316824004436/adia_253g1.htm"
"497K2","186","Prospectus Supplement (Rule 497(k)).  Provides supplemental information for variable insurance products.","https://www.sec.gov/Archives/edgar/data/898745/000089874508000144/0000898745-08-000144-index.html","https://www.sec.gov/Archives/edgar/data/898745/000089874508000144/pfinewprofiles09-2008.htm"
"NSAR-AT","184","Annual Report of Proxy Voting Record. Filed by certain investment companies to disclose how they voted proxies on behalf of their shareholders.","https://www.sec.gov/Archives/edgar/data/812090/000094040017000477/0000940400-17-000477-index.html","https://www.sec.gov/Archives/edgar/data/812090/000094040017000477/vTotalRetINC.fil"
"N-14AE/A","182","Amendment to Notice of Withdrawal. This indicates changes or corrections to a previously filed N-14AE, which is related to withdrawing an application or filing.","https://www.sec.gov/Archives/edgar/data/917124/000139834408000127/0001398344-08-000127-index.html","https://www.sec.gov/Archives/edgar/data/917124/000139834408000127/firsthand_n14aea2-0408.htm"
"N-8B-2","182","Notification of Election to Be Subject to Sections 55 through 65 of the Investment Company Act of 1940. This form is filed by certain investment companies choosing to be regulated under those sections.","https://www.sec.gov/Archives/edgar/data/1825052/000121465920007906/0001214659-20-007906-index.html","https://www.sec.gov/Archives/edgar/data/1825052/000121465920007906/st910200n8b2.htm"
"15F-15D","182","Six-Month Periodic Report.  Filed by foreign private issuers that have a class of securities registered under Section 12 of the Exchange Act","https://www.sec.gov/Archives/edgar/data/1548132/000110465924069983/0001104659-24-069983-index.html","https://www.sec.gov/Archives/edgar/data/1548132/000110465924069983/tm2416823d1_1512g.htm"
"40FR12B","181","Registration of a Class of Securities by a Foreign Private Issuer. Used by foreign private issuers to register securities under the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1953575/000121390024060528/0001213900-24-060528-index.html","https://www.sec.gov/Archives/edgar/data/1953575/000121390024060528/ea020474801-40fr12b_collect.htm"
"40-8F-L/A","180","Amendment to Notice of Intent to Make a Public Offering of Securities by a Closed-End Management Investment Company.  This involves making changes to information in the initial notice.","https://www.sec.gov/Archives/edgar/data/24906/000095016204000943/0000950162-04-000943-index.html","https://www.sec.gov/Archives/edgar/data/24906/000095016204000943/formn8fderegcitf072004.txt"
"TACO","179","Tender offer Agreement Cover.   Filed in connection with tender offer agreements.","https://www.sec.gov/Archives/edgar/data/735382/999999999723000341/9999999997-23-000341-index.html","https://www.sec.gov/Archives/edgar/data/735382/999999999723000341/9999999997-23-000341.paper"
"NTFNSAR","178","Notification of Late Filing of Form N-SAR.  Filed when an investment company can't file N-SAR (Semi-Annual Report) on time.","https://www.sec.gov/Archives/edgar/data/812015/000141036817001651/0001410368-17-001651-index.html","https://www.sec.gov/Archives/edgar/data/812015/000141036817001651/form12b_25.txt"
"12G32BR","178","Certification of Foreign Private Issuer Filing 20-F.  Filed by foreign issuers to confirm compliance with requirements when filing their Form 20-F.","https://www.sec.gov/Archives/edgar/data/1305126/999999999708027729/9999999997-08-027729-index.html","https://www.sec.gov/Archives/edgar/data/1305126/999999999708027729/9999999997-08-027729.paper"
"NT N-MFP2","178","Notice of Late Filing of Form N-MFP2.   Filed by money market funds.","https://www.sec.gov/Archives/edgar/data/1039803/000100472624000045/0001004726-24-000045-index.html","https://www.sec.gov/Archives/edgar/data/1039803/000100472624000045/xslN-MFP2_X01/primary_doc.xml"
"N-VPFS/A","177","Amendment to a Notice of Eligibility for Sales of Securities by Closed-End Management Investment Companies.   Filed when updates or corrections to the initial notice are necessary.","https://www.sec.gov/Archives/edgar/data/1054819/000110465924067311/0001104659-24-067311-index.html","https://www.sec.gov/Archives/edgar/data/1054819/000110465924067311/tm2411168d3_nvpfs.htm"
"N-8B-2/A","176","Amendment to a previously filed N-8B-2. This indicates changes or updates to a company's decision to be regulated as a Business Development Company (BDC).","https://www.sec.gov/Archives/edgar/data/1169057/000183988224027444/0001839882-24-027444-index.html","https://www.sec.gov/Archives/edgar/data/1169057/000183988224027444/adt_n8b2a.htm"
"40-8F-M/A","172","Amendment to a notice filed by a registered open-end investment company.   Filed when changes to the initial notice need to be made.","https://www.sec.gov/Archives/edgar/data/718824/000100329704000338/0001003297-04-000338-index.html","https://www.sec.gov/Archives/edgar/data/718824/000100329704000338/n8f1.htm"
"N-6F","168","Registration Statement for Closed-End Management Investment Companies That Offer Variable Life Insurance Policies. This registration statement is specific to closed-end funds offering variable life insurance.","https://www.sec.gov/Archives/edgar/data/1982701/000119312524164530/0001193125-24-164530-index.html","https://www.sec.gov/Archives/edgar/data/1982701/000119312524164530/d823783dn6f.htm"
"OIP NTC","167","Order Instituting Proceedings Notice.   Typically the first document filed by the SEC when initiating an enforcement action.","https://www.sec.gov/Archives/edgar/data/1126087/999999999721003834/9999999997-21-003834-index.html","https://www.sec.gov/Archives/edgar/data/1126087/999999999721003834/filename1.pdf"
"OIP ORDR","163","Order Instituting Proceedings Order. This refers to an order issued by the SEC, often as part of an enforcement action or investigation.","https://www.sec.gov/Archives/edgar/data/1126087/999999999721003967/9999999997-21-003967-index.html","https://www.sec.gov/Archives/edgar/data/1126087/999999999721003967/filename1.pdf"
"40-17F2/A","157","Amendment to Notice of Intention to Register as a Credit Rating Agency. Used for correcting or updating information in a previously submitted notice.","https://www.sec.gov/Archives/edgar/data/856119/000085611923000003/0000856119-23-000003-index.html","https://www.sec.gov/Archives/edgar/data/856119/000085611923000003/fvit17f2-ape073120.htm"
"424H/A","153","Amendment to a prospectus.  This amendment is used to update information about a securities offering.","https://www.sec.gov/Archives/edgar/data/2023106/000153949724001184/0001539497-24-001184-index.html","https://www.sec.gov/Archives/edgar/data/850779/000153949724001184/n4265_x11-424ha.htm"
"SB-1","150","Registration Statement under the Securities Act of 1933.  Used by smaller companies known as ""small business issuers.""","https://www.sec.gov/Archives/edgar/data/1409624/000094935307000706/0000949353-07-000706-index.html","https://www.sec.gov/Archives/edgar/data/1409624/000094935307000706/sb1-reg_homeland.htm"
"APP WDG","149","Application Withdrawn. Indicates that a previously submitted application or request to the SEC has been withdrawn.","https://www.sec.gov/Archives/edgar/data/1497778/999999999724003644/9999999997-24-003644-index.html","https://www.sec.gov/Archives/edgar/data/1497778/999999999724003644/filename1.pdf"
"N14EL24","146","Notice of Effectiveness for Registration Statement on Form N-14. This notice signals when a registration statement for an exchange offer becomes effective.","https://www.sec.gov/Archives/edgar/data/225635/000090514897001405/0000905148-97-001405-index.html","https://www.sec.gov/Archives/edgar/data/225635/"
"N-4 EL","144","Notice of Eligibility for Sales of Securities by Registered Investment Companies.   This form is used by investment companies.","https://www.sec.gov/Archives/edgar/data/1045032/000095012497005063/0000950124-97-005063-index.html","https://www.sec.gov/Archives/edgar/data/1045032/"
"N-1/A","142","Amendment to a registration statement filed on Form N-1.  Used for registered open-end management investment companies.","https://www.sec.gov/Archives/edgar/data/1341289/000119312505245840/0001193125-05-245840-index.html","https://www.sec.gov/Archives/edgar/data/1341289/000119312505245840/dn1a.htm"
"U-3A-2/A","141","Amendment to an annual report filed by a trust indenture trustee.  Trust indentures are legal agreements associated with debt securities.","https://www.sec.gov/Archives/edgar/data/1089819/000095012905006628/0000950129-05-006628-index.html","https://www.sec.gov/Archives/edgar/data/1089819/000095012905006628/h26611uv3av2za.htm"
"1-E","138","Notification of Termination of Reporting Obligation Pursuant to Rule 12g3-2(b)(1)(iii).  Filed by foreign private issuers terminating reporting obligations under certain conditions.","https://www.sec.gov/Archives/edgar/data/1846702/000143774923035190/0001437749-23-035190-index.html","https://www.sec.gov/Archives/edgar/data/1846702/000143774923035190/figp20231222_1e.htm"
"N-4 EL/A","138","Amendment to Notice of Eligibility for Sales of Securities by Registered Investment Companies. Filed to make changes or updates to a previously submitted notice.","https://www.sec.gov/Archives/edgar/data/1029446/000092838997000217/0000928389-97-000217-index.html","https://www.sec.gov/Archives/edgar/data/1029446/"
"10-KT/A","137","Amendment to a transition report.  Companies transitioning to a different reporting regime will file this.","https://www.sec.gov/Archives/edgar/data/1883835/000152013824000290/0001520138-24-000290-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1883835/000152013824000290/esgh-20240813_10ka.htm"
"8A12BT","136","Notification of Termination of Registration Under Section 12(b) of the Securities Exchange Act of 1934.  Filed by companies that are terminating their registration under Section 12(b) of the Exchange Act, often due to delisting or going private.","https://www.sec.gov/Archives/edgar/data/1024176/000095017297000721/0000950172-97-000721-index.html","https://www.sec.gov/Archives/edgar/data/1024176/"
"ANNLRPT","135","Annual Report. This is a general term for annual reports filed by various entities with the SEC, covering their financial and operational performance.","https://www.sec.gov/Archives/edgar/data/51120/000162828024035527/0001628280-24-035527-index.html","https://www.sec.gov/Archives/edgar/data/51120/000162828024035527/ibrdfsmdafy24-q4.htm"
"424I","133","Prospectus. This is a broad category for prospectuses, which are documents providing information about securities offerings to potential investors.","https://www.sec.gov/Archives/edgar/data/1992870/000168035924000160/0001680359-24-000160-index.html","https://www.sec.gov/Archives/edgar/data/1992870/000168035924000160/ftdht424i062024.htm"
"CFPORTAL","132","Cover Page.  Used for submitting cover pages for various filings.","https://www.sec.gov/Archives/edgar/data/1886148/000188614824000006/0001886148-24-000006-index.html","https://www.sec.gov/Archives/edgar/data/1886148/000188614824000006/xslCFPORTAL_X01/primary_doc.xml"
"F-9","125","Registration Statement for Certain Investment Grade Debt Securities.   Filed for registering offerings of investment-grade debt securities by Canadian issuers.","https://www.sec.gov/Archives/edgar/data/1045520/000119312512302010/0001193125-12-302010-index.html","https://www.sec.gov/Archives/edgar/data/1045520/000119312512302010/d359344df9.htm"
"10SB12B/A","124","Amendment to a registration statement. Filed by smaller companies to update or correct information in a previously filed Form 10-SB12B, related to registering securities under the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1354030/000089109207004186/0000891092-07-004186-index.html","https://www.sec.gov/Archives/edgar/data/1354030/000089109207004186/e28673_10sb12b.txt"
"40-8F-A","123","Application for an Order under the Investment Company Act of 1940.   Filed by investment companies seeking approval or exemptions.","https://www.sec.gov/Archives/edgar/data/1293487/000089109204004156/0000891092-04-004156-index.html","https://www.sec.gov/Archives/edgar/data/1293487/000089109204004156/e18896_408fa.txt"
"PRES14C","121","Preliminary Information Statement (Regulation 14C). A preliminary version of the information statement filed with the SEC for review before sending the final version to shareholders.","https://www.sec.gov/Archives/edgar/data/898745/000087078602000071/0000870786-02-000071-index.html","https://www.sec.gov/Archives/edgar/data/898745/000087078602000071/schedule14cinfo.txt"
"40-8B25","120","Application for Order Pursuant to Section 8(b)(25) of the Investment Company Act of 1940.  Filed by investment companies seeking an order from the SEC.","https://www.sec.gov/Archives/edgar/data/1217286/000119312524183883/0001193125-24-183883-index.html","https://www.sec.gov/Archives/edgar/data/1217286/000119312524183883/d864691d408b25.htm"
"10SB12B","119","General Form for Registration of Securities Pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934.   Used by smaller companies.","https://www.sec.gov/Archives/edgar/data/1419559/000101629508000003/0001016295-08-000003-index.html","https://www.sec.gov/Archives/edgar/data/1419559/000101629508000003/frm10sb-1jan08.htm"
"13F-E/A","118","Amendment to Report of Transferred Securities.  Filed to update a previously filed 13F-E, which is used to report the transfer of securities by institutional investment managers.","https://www.sec.gov/Archives/edgar/data/820027/000082002799000224/0000820027-99-000224-index.html","https://www.sec.gov/Archives/edgar/data/820027/"
"N-MFP3/A","118","Amendment to Monthly Schedule of Portfolio Holdings of Money Market Funds.","https://www.sec.gov/Archives/edgar/data/857156/000114554924056633/0001145549-24-056633-index.html","https://www.sec.gov/Archives/edgar/data/857156/000114554924056633/xslN-MFP3_X01/primary_doc.xml"
"486BXT","116","Post-effective amendment for business development companies. This amendment relates to a company that has elected to be regulated as a Business Development Company (BDC).","https://www.sec.gov/Archives/edgar/data/1897540/000158064224004555/0001580642-24-004555-index.html","https://www.sec.gov/Archives/edgar/data/1897540/000158064224004555/aocinstitfund_486bxt.htm"
"PX14A6N","116","Notice of Exempt Solicitation.  Filed when certain solicitations of shareholder votes are exempt from full proxy statement requirements.","https://www.sec.gov/Archives/edgar/data/63908/000137773923000050/0001377739-23-000050-index.html","https://www.sec.gov/Archives/edgar/data/63908/000137773923000050/mcdshletter.htm"
"AW WD","115","Additional Withdrawal (Withdrawn).   Indicates that a previously submitted request for additional withdrawal has been withdrawn.","https://www.sec.gov/Archives/edgar/data/878092/000087809223000016/0000878092-23-000016-index.html","https://www.sec.gov/Archives/edgar/data/878092/000087809223000016/awwdltr.htm"
"8-K12G3/A","115","Amendment to a current report.   This involves correcting or updating information in a previous 8-K12G3 filing, which is related to events concerning a company's registration under Section 12(g) of the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1400891/000119312519139876/0001193125-19-139876-index.html","https://www.sec.gov/Archives/edgar/data/1400891/000119312519139876/d741536d8k12g3a.htm"
"SF-1/A","113","Amendment to a registration statement or report, typically filed by foreign private issuers. This amendment likely relates to specialized financial information required by the SEC.","https://www.sec.gov/Archives/edgar/data/75488/000119312524175494/0001193125-24-175494-index.html","https://www.sec.gov/Archives/edgar/data/75488/000119312524175494/d809705dsf1a.htm"
"NT-NSAR/A","112","Amendment to a notice of late filing.  Filed by investment companies to update or correct information in a previously submitted notice regarding their Form N-SAR (semi-annual report).","https://www.sec.gov/Archives/edgar/data/1414039/000158064218000088/0001580642-18-000088-index.html","https://www.sec.gov/Archives/edgar/data/1414039/000158064218000088/ntnsarrevised.txt"
"DEF13E3/A","112","Amendment to a definitive Schedule 13E-3. This amendment relates to going-private transactions, where a company is taken private from public markets.","https://www.sec.gov/Archives/edgar/data/879022/000095012400003988/0000950124-00-003988-index.html","https://www.sec.gov/Archives/edgar/data/879022/000095012400003988/def13e3a.txt"
"15-12B/A","111","Amendment to Certification by Registrant When No Securities Are Outstanding or When There Has Been a Termination Under Section 13(a) or 15(d).  Used to update or correct the initial certification.","https://www.sec.gov/Archives/edgar/data/103872/000110465922058193/0001104659-22-058193-index.html","https://www.sec.gov/Archives/edgar/data/103872/000110465922058193/tm2211751d7_1512ba.htm"
"F-9/A","110","Amendment to a registration statement filed by certain Canadian issuers. Used for updating or correcting information in a previously filed Form F-9, which is related to investment-grade debt securities.","https://www.sec.gov/Archives/edgar/data/311337/000104746912006354/0001047469-12-006354-index.html","https://www.sec.gov/Archives/edgar/data/311337/000104746912006354/a2209731zf-9a.htm"
"40FR12B/A","105","Amendment to Registration of a Class of Securities by a Foreign Private Issuer.  This is for making changes to a previously filed 40FR12B.","https://www.sec.gov/Archives/edgar/data/1953575/000121390024060533/0001213900-24-060533-index.html","https://www.sec.gov/Archives/edgar/data/1953575/000121390024060533/ea020474802-40fr12ba1_collec.htm"
"SB-2MEF","104","Registration Statement.   Filed by small business issuers (SBIs) that are also considered emerging growth companies (EGCs).","https://www.sec.gov/Archives/edgar/data/1310982/000106299307004794/0001062993-07-004794-index.html","https://www.sec.gov/Archives/edgar/data/1310982/000106299307004794/formsb2mef.htm"
"1-K/A","101","Amendment to an annual report for employee stock purchase plans.  This form is filed to correct or update previously submitted information.","https://www.sec.gov/Archives/edgar/data/1832987/000183298724000005/0001832987-24-000005-index.html","https://www.sec.gov/Archives/edgar/data/1832987/000183298724000005/xsl1-K_X01/primary_doc.xml"
"DEF13E3","99","Definitive Schedule 13E-3 - Going Private Transaction Statement. This form is the final version of Schedule 13E-3, providing details about a company's plan to go private.","https://www.sec.gov/Archives/edgar/data/727621/000091205700044313/0000912057-00-044313-index.html","https://www.sec.gov/Archives/edgar/data/727621/000091205700044313/a2027434zdef13e3.txt"
"40-24B2/A","98","Amendment to a Notice of Election to Compute Rule 24f-2 Fee on an Actual Basis.  Filed by certain investment companies.","https://www.sec.gov/Archives/edgar/data/746601/000087788019000002/0000877880-19-000002-index.html","https://www.sec.gov/Archives/edgar/data/746601/000087788019000002/InvPresDivGUSGMunis03052019a.pdf"
"8A12BEF","97","Notification of Effectiveness for a registration statement. This indicates when a registration statement, typically for securities offerings, becomes effective with the SEC.","https://www.sec.gov/Archives/edgar/data/1041479/000095014797000556/0000950147-97-000556-index.html","https://www.sec.gov/Archives/edgar/data/1041479/"
"35-CERT/A","95","Amendment to a Certification.  Used to make changes to a previously submitted certification.","https://www.sec.gov/Archives/edgar/data/7323/000006598406000081/0000065984-06-000081-index.html","https://www.sec.gov/Archives/edgar/data/7323/000006598406000081/a01906.htm"
"11-KT","93","Transition Report for Employee Stock Purchase, Savings and Similar Plans.  Filed by companies transitioning to a new reporting regime for their employee benefit plans.","https://www.sec.gov/Archives/edgar/data/1606757/000160675724000018/0001606757-24-000018-index.html","https://www.sec.gov/Archives/edgar/data/1606757/000160675724000018/ke12312023form11-kt.htm"
"BW-3","93","Request for Withdrawal. Filed by issuers to request the withdrawal of a previously submitted filing, such as a registration statement or an application.","https://www.sec.gov/Archives/edgar/data/51120/000104746902006328/0001047469-02-006328-index.html","https://www.sec.gov/Archives/edgar/data/51120/000104746902006328/a2095898zbw-3.txt"
"S-11MEF","92","Registration Statement for Certain Real Estate Companies.  Filed by emerging growth companies (EGCs) engaged in real estate activities.","https://www.sec.gov/Archives/edgar/data/1868159/000119312524184003/0001193125-24-184003-index.html","https://www.sec.gov/Archives/edgar/data/1868159/000119312524184003/d875104ds11mef.htm"
"13FCONP/A","89","Amendment to a confidential treatment request. Filed by institutional investment managers seeking confidential treatment for certain information in their Form 13F filings.","https://www.sec.gov/Archives/edgar/data/886982/999999999705004075/9999999997-05-004075-index.html","https://www.sec.gov/Archives/edgar/data/886982/999999999705004075/9999999997-05-004075.paper"
"NT-NCEN","89","Notice of Late Filing for Form N-CEN. This indicates that an investment company is unable to file its Form N-CEN (notification of ceasing registration) on time.","https://www.sec.gov/Archives/edgar/data/1310192/000139834424011744/0001398344-24-011744-index.html","https://www.sec.gov/Archives/edgar/data/1310192/000139834424011744/fp0088738-1_ntncen.htm"
"NRSRO-CE","89","Certification of a Credit Rating Agency.   Filed to certify compliance with applicable regulations.","https://www.sec.gov/Archives/edgar/data/1652282/000110465924040878/0001104659-24-040878-index.html","https://www.sec.gov/Archives/edgar/data/1652282/000110465924040878/tm249924d1_nrsro-ce.pdf"
"F-10POS","88","Post-Effective Amendment to a Registration Statement on Form F-10. This amendment relates to offerings by certain Canadian issuers in the United States.","https://www.sec.gov/Archives/edgar/data/1126874/000119312524159588/0001193125-24-159588-index.html","https://www.sec.gov/Archives/edgar/data/1126874/000119312524159588/d852013df10pos.htm"
"DEFS14C","86","Definitive Supplemental Information Statement. Similar to a proxy statement but for matters where shareholder approval is not required.","https://www.sec.gov/Archives/edgar/data/934395/000093439502000014/0000934395-02-000014-index.html","https://www.sec.gov/Archives/edgar/data/934395/000093439502000014/careerworthdefs14c.txt"
"SC14D1F","86","Tender Offer Statement. This statement is filed by a person or group making a tender offer for the securities of a company, often a hostile takeover attempt.","https://www.sec.gov/Archives/edgar/data/1336762/000114036120020099/0001140361-20-020099-index.html","https://www.sec.gov/Archives/edgar/data/1336762/000114036120020099/nt10015002x1_sc14d1f.htm"
"10KT405","86","Annual Report for Companies Subject to Regulation A.   Filed by companies that have conducted a Regulation A offering.","https://www.sec.gov/Archives/edgar/data/1095315/000095013402003217/0000950134-02-003217-index.html","https://www.sec.gov/Archives/edgar/data/1095315/000095013402003217/d95477e10kt405.txt"
"2-E","86","Registration Statement for Unit Investment Trusts.   Filed for registering Unit Investment Trusts (UITs).","https://www.sec.gov/Archives/edgar/data/1649971/000089710117001507/0000897101-17-001507-index.html","https://www.sec.gov/Archives/edgar/data/1649971/000089710117001507/hcc173106_2e.htm"
"NT NPORT-E","85","Notice of Late Filing of Form NPORT-E. This notice is for investment companies that are unable to file their Form NPORT-E, which is a non-public report on their holdings and transactions, on time.","https://www.sec.gov/Archives/edgar/data/1111565/000177569720001006/0001775697-20-001006-index.html","https://www.sec.gov/Archives/edgar/data/1111565/000177569720001006/c10238bnymelloninco-may20191.htm"
"MSDW","","Material Definitive Agreement Withdrawal.   Filed to indicate that a previously announced material agreement is no longer in effect.","https://www.sec.gov/Archives/edgar/data/797575/999999999724002691/9999999997-24-002691-index.html","https://www.sec.gov/Archives/edgar/data/797575/999999999724002691/9999999997-24-002691.paper"
"497H2","83","Prospectus for a Variable Insurance Product - Separate Account.  Provides key information to investors about variable insurance products offered through separate accounts, typically associated with variable annuities.","https://www.sec.gov/Archives/edgar/data/1627854/000120677417003006/0001206774-17-003006-index.html","https://www.sec.gov/Archives/edgar/data/1627854/000120677417003006/alcentra3319181-497h2.htm"
"ATS-N/CA","82","Alternative Trading System (ATS) Notification and Conditional Access Application. Filed by entities seeking to operate an ATS with conditional access to the market.","https://www.sec.gov/Archives/edgar/data/1368727/000110465924082905/0001104659-24-082905-index.html","https://www.sec.gov/Archives/edgar/data/1368727/000110465924082905/xslATS-N_X01/primary_doc.xml"
"8-B12B","","Registration of Securities of a Successor Issuer Pursuant to Section 12(b) of the Exchange Act.  Filed when a successor issuer assumes the registration of securities previously registered under Section 12(b) of the Exchange Act, often after a merger or acquisition.","https://www.sec.gov/Archives/edgar/data/48732/000089924397001682/0000899243-97-001682-index.html","https://www.sec.gov/Archives/edgar/data/48732/"
"S-2MEF","80","Registration statement for certain US companies.  Filed by emerging growth companies (EGCs) to register their securities for public offerings.","https://www.sec.gov/Archives/edgar/data/891417/000116796605001485/0001167966-05-001485-index.html","https://www.sec.gov/Archives/edgar/data/891417/000116796605001485/t8064_s2mef.htm"
"2-A/A","80","Amendment to a registration statement for unit investment trusts. This amendment pertains to Form 2-A filings, which are used for registering UITs.","https://www.sec.gov/Archives/edgar/data/860676/999999999715009252/9999999997-15-009252-index.html","https://www.sec.gov/Archives/edgar/data/860676/999999999715009252/9999999997-15-009252.paper"
"POS462C","80","Post-Effective Amendment to Registration Statement Filed on Form S-3 or F-3. This type of amendment relates to offerings registered using Form S-3 or F-3, which are simplified registration forms for certain eligible issuers.","https://www.sec.gov/Archives/edgar/data/1682149/000110465923109202/0001104659-23-109202-index.html","https://www.sec.gov/Archives/edgar/data/1682149/000110465923109202/tm2327138d5_pos462c.htm"
"PREC14C","80","Preliminary Information Statement (Regulation 14C). An early version of the information statement, similar to a proxy statement, but used when a shareholder vote is not required.","https://www.sec.gov/Archives/edgar/data/1844971/000162828023011479/0001628280-23-011479-index.html","https://www.sec.gov/Archives/edgar/data/1844971/000162828023011479/greenidge-pre14c.htm"
"485A24E","79","Post-Effective Amendment to a Registration Statement on Form N-1A Relating to Certain Unit Investment Trusts. This amendment relates to unit investment trusts that are registered on Form N-1A, which is the primary form for registering mutual funds and other investment companies.","https://www.sec.gov/Archives/edgar/data/896647/000095015297006939/0000950152-97-006939-index.html","https://www.sec.gov/Archives/edgar/data/896647/"
"8-K15D5","77","Report of Termination of Registration under Section 12(g) of the Securities Exchange Act of 1934. Filed by a company when it terminates its registration under Section 12(g), which often occurs after a company goes private or its securities are no longer publicly traded.","https://www.sec.gov/Archives/edgar/data/1816901/000094787121000402/0000947871-21-000402-index.html","https://www.sec.gov/Archives/edgar/data/1816901/000094787121000402/ss195580_8k15d5.htm"
"ADV-H-T","76","Temporary Hardship Exemption Application. This application is for investment advisers seeking a temporary exemption from certain regulatory requirements due to a hardship situation.","https://www.sec.gov/Archives/edgar/data/1975536/999999999723002177/9999999997-23-002177-index.html","https://www.sec.gov/Archives/edgar/data/1975536/999999999723002177/9999999997-23-002177.paper"
"N14EL24/A","76","Amendment to Notice of Effectiveness for Registration Statement on Form N-14.   Filed to update or correct information.","https://www.sec.gov/Archives/edgar/data/775370/000009115597000443/0000091155-97-000443-index.html","https://www.sec.gov/Archives/edgar/data/775370/"
"CERTBATS","75","Certification.   Likely confirms the accuracy of information, specifically related to the BATS Exchange.","https://www.sec.gov/Archives/edgar/data/1506213/999999999719007450/9999999997-19-007450-index.html","https://www.sec.gov/Archives/edgar/data/1506213/999999999719007450/9999999997-19-007450.paper"
"S-4EF","74","Post-Effective Amendment to Registration Statement on Form S-4 Filed Solely to Add Exhibits to a Post-Effective Amendment Previously Filed.  Used to add exhibits to a registration statement.","https://www.sec.gov/Archives/edgar/data/1913971/000119312522066198/0001193125-22-066198-index.html","https://www.sec.gov/Archives/edgar/data/1913971/000119312522066198/d298493ds4ef.htm"
"CERTCBO","74","Certification.  Asserts that the information provided is accurate.","https://www.sec.gov/Archives/edgar/data/1667919/999999999720004946/9999999997-20-004946-index.html","https://www.sec.gov/Archives/edgar/data/1667919/999999999720004946/9999999997-20-004946.paper"
"ARS/A","73","Amendment to Annual Report for Employee Benefit Plans. Used to make corrections or updates to a previously filed ARS, which provides information about employee benefit plans.","https://www.sec.gov/Archives/edgar/data/1828673/000095017024062457/0000950170-24-062457-index.html","https://www.sec.gov/Archives/edgar/data/1828673/000095017024062457/ars_20240512_amended_v2.pdf"
"N-CR","72","Registration Statement for Closed-End Management Investment Companies.   Filed for closed-end funds.","https://www.sec.gov/Archives/edgar/data/703642/000008805322000869/0000088053-22-000869-index.html","https://www.sec.gov/Archives/edgar/data/703642/000008805322000869/ncr_082922mmt-gcmf.htm"
"1-SA/A","72","Amendment to Simplified Short Form Annual Statement for Reporting Companies.   ","https://www.sec.gov/Archives/edgar/data/1660918/000110465924056557/0001104659-24-056557-index.html","https://www.sec.gov/Archives/edgar/data/1660918/000110465924056557/tm2413352d1_1saa.htm"
"1-E/A","72","Amendment to Notification of Termination of Reporting Obligation. Used by foreign private issuers to update or correct information from a previous 1-E filing.","https://www.sec.gov/Archives/edgar/data/1649971/000089710117000284/0000897101-17-000284-index.html","https://www.sec.gov/Archives/edgar/data/1649971/000089710117000284/hcc170567_1ea.htm"
"NTFNCSR","71","Notification of Late Filing of Form N-CSR.  Filed when investment companies are unable to file their Form N-CSR (certified shareholder report) by the deadline.","https://www.sec.gov/Archives/edgar/data/1319067/000199937124008898/0001999371-24-008898-index.html","https://www.sec.gov/Archives/edgar/data/1319067/000199937124008898/q360funds_ntncsr-072224.htm"
"N-2ASR","70","Automatic shelf registration statement.  Filed by closed-end management investment companies.","https://www.sec.gov/Archives/edgar/data/1260729/000199937124010306/0001999371-24-010306-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1260729/000199937124010306/gdv-n2asr_081924.htm"
"N-6F/A","69","Amendment to a registration statement for closed-end funds offering variable life insurance.   ","https://www.sec.gov/Archives/edgar/data/2025369/000110465924082555/0001104659-24-082555-index.html","https://www.sec.gov/Archives/edgar/data/2025369/000110465924082555/tm2420022d2_n6fa.htm"
"305B2/A","68","Amendment to Report of Beneficial Ownership. Filed when changes or corrections need to be made to information reported in a previously filed 305B2.","https://www.sec.gov/Archives/edgar/data/1061219/000119312521266264/0001193125-21-266264-index.html","https://www.sec.gov/Archives/edgar/data/1061219/000119312521266264/d226895d305b2a.htm"
"F-3D","68","Automatic Shelf Registration Statement of Securities of Well-Known Seasoned Issuers Offered Pursuant to Dividend Reinvestment Plans.   Filed for dividend reinvestment plans (DRIPs).","https://www.sec.gov/Archives/edgar/data/2809/000110465924071293/0001104659-24-071293-index.html","https://www.sec.gov/Archives/edgar/data/2809/000110465924071293/tm2417082d1_f3d.htm"
"REG-NR","68","Filed by foreign private issuers when they are making offerings of securities in the United States.","https://www.sec.gov/Archives/edgar/data/217448/999999999723002965/9999999997-23-002965-index.html","https://www.sec.gov/Archives/edgar/data/217448/999999999723002965/9999999997-23-002965.paper"
"8-M","67","Report of a Registrant's Failure to File a Required Report. Filed by a company when it fails to file a required report with the SEC on time.","https://www.sec.gov/Archives/edgar/data/1883826/999999999722000304/9999999997-22-000304-index.html","https://www.sec.gov/Archives/edgar/data/1883826/999999999722000304/9999999997-22-000304.paper"
"1-U/A","67","Amendment to Notification Updating Statement. Filed by Canadian issuers to update information from a previous 1-U filing, typically related to changes in their securities or business operations.","https://www.sec.gov/Archives/edgar/data/1144392/000147793224004550/0001477932-24-004550-index.html","https://www.sec.gov/Archives/edgar/data/1144392/000147793224004550/mgon_1ua.htm"
"U-7D/A","66","Amendment to an application for registration as a transfer agent. This amendment relates to Form U-7D, which is filed by entities seeking to register as transfer agents, who handle the transfer of securities ownership.","https://www.sec.gov/Archives/edgar/data/107815/000104746905004840/0001047469-05-004840-index.html","https://www.sec.gov/Archives/edgar/data/107815/000104746905004840/a2152577zu-7da.htm"
"U5S/A","66","Amendment to an annual updating amendment for Form U5.  Filed by individuals associated with broker-dealers. ","https://www.sec.gov/Archives/edgar/data/1136808/000104746905025909/0001047469-05-025909-index.html","https://www.sec.gov/Archives/edgar/data/1136808/000104746905025909/a2164571zu5sa.htm"
"40-8F-A/A","65","Amendment to an application for an order under the Investment Company Act.  Filed by investment companies.","https://www.sec.gov/Archives/edgar/data/1218126/000095012304009509/0000950123-04-009509-index.html","https://www.sec.gov/Archives/edgar/data/1218126/000095012304009509/y00130e40v8fvaza.txt"
"SP 15D2","65","Certification of Issuer Pursuant to Section 13(e) and Rule 13e-4(c). Filed by issuers who are repurchasing their own shares (stock buybacks) in accordance with SEC rules.","https://www.sec.gov/Archives/edgar/data/1989305/000110465924068385/0001104659-24-068385-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1989305/000110465924068385/tmb-20231231x20f.htm"
"G-405","65","Certification of a Currency Backstop.   This certification confirms the existence and adequacy of arrangements to backstop currency risks.","https://www.sec.gov/Archives/edgar/data/814494/999999999722000819/9999999997-22-000819-index.html","https://www.sec.gov/Archives/edgar/data/814494/999999999722000819/9999999997-22-000819.paper"
"N-23C-2/A","64","Amendment to an initial notification about a proposed rule change. This amendment provides updates or corrections to information in the initial notification, often related to governance or self-regulation.","https://www.sec.gov/Archives/edgar/data/1232860/000119312522087667/0001193125-22-087667-index.html","https://www.sec.gov/Archives/edgar/data/1232860/000119312522087667/d316919dn23c2a.htm"
"497K3A","63","Prospectus Supplement.  Filed as part of a registration statement or to provide additional information, often for variable insurance products.","https://www.sec.gov/Archives/edgar/data/810893/000089180409000532/0000891804-09-000532-index.html","https://www.sec.gov/Archives/edgar/data/810893/000089180409000532/pimco45520-497.txt"
"STOP ORDER","62","Issued by the SEC to halt a securities offering or trading activity. This is a serious regulatory action, often taken due to concerns about fraud or non-compliance.","https://www.sec.gov/Archives/edgar/data/1723157/999999999724002767/9999999997-24-002767-index.html","https://www.sec.gov/Archives/edgar/data/1723157/999999999724002767/filename1.pdf"
"485B24F","60","Post-effective amendment to a registration statement for business development companies. This type of amendment often relates to changes in a BDC's investment strategy or portfolio.","https://www.sec.gov/Archives/edgar/data/1027624/000089180497000327/0000891804-97-000327-index.html","https://www.sec.gov/Archives/edgar/data/1027624/"
"8-B12G","58","Registration of Securities of a Successor Issuer Pursuant to Section 12(g) of the Exchange Act.   Filed when a successor company takes over a previously registered company.","https://www.sec.gov/Archives/edgar/data/1038217/000095013497006349/0000950134-97-006349-index.html","https://www.sec.gov/Archives/edgar/data/1038217/"
"N14AE24/A","57","Amendment to a Notice of Effectiveness. Filed to update or correct information from a previously filed N14AE24, which signifies when a registration statement becomes effective.","https://www.sec.gov/Archives/edgar/data/706366/000089322097001537/0000893220-97-001537-index.html","https://www.sec.gov/Archives/edgar/data/706366/"
"WDL-REQ","55","Withdrawal Request.   Filed to formally withdraw a registration statement or other filing with the SEC.","https://www.sec.gov/Archives/edgar/data/1605931/999999999715000434/9999999997-15-000434-index.html","https://www.sec.gov/Archives/edgar/data/1605931/999999999715000434/9999999997-15-000434.paper"
"253G3","55","Election/Certification by Schedule 13G Filer. Filed by institutional investors who own more than 5% of a company's stock and are passively investing.","https://www.sec.gov/Archives/edgar/data/1347858/000110465924090575/0001104659-24-090575-index.html","https://www.sec.gov/Archives/edgar/data/1347858/000110465924090575/tm2420509d4_253g3.htm"
"F-7","54","Registration Statement for Securities of Certain Canadian Issuers Offered for Cash upon the Exercise of Rights Granted to Existing Securityholders.  Filed by Canadian companies offering securities to their existing shareholders.","https://www.sec.gov/Archives/edgar/data/1761640/000149315224010880/0001493152-24-010880-index.html","https://www.sec.gov/Archives/edgar/data/1761640/000149315224010880/formf-7.htm"
"NSAR-BT/A","54","Amendment to a Semi-Annual Report of Proxy Voting Record. Filed to correct or update information previously reported on Form NSAR-BT, which is related to how an investment company voted proxies on behalf of its shareholders.","https://www.sec.gov/Archives/edgar/data/1438390/000143839015000094/0001438390-15-000094-index.html","https://www.sec.gov/Archives/edgar/data/1438390/000143839015000094/answer.fil"
"SBSE-C","53","Certification of a Small Business Issuer. This certification confirms the accuracy of information provided by a small business issuer in its filings.","https://www.sec.gov/Archives/edgar/data/1910878/000191087824000002/0001910878-24-000002-index.html","https://www.sec.gov/Archives/edgar/data/1910878/000191087824000002/xslSBSE-C_X01/primary_doc.xml"
"N-23C3C","52","Filing and Immediate Effectiveness of a Proposed Rule Change by a Self-Regulatory Organization.   Filed by a self-regulatory organization (SRO), such as a stock exchange, for rule changes.","https://www.sec.gov/Archives/edgar/data/1937073/000110465924085165/0001104659-24-085165-index.html","https://www.sec.gov/Archives/edgar/data/1937073/000110465924085165/tm2420381d1_n23c3c.htm"
"F-3MEF","52","Registration Statement for Specified Transactions by Certain Issuers.  Filed by foreign private issuers that qualify as emerging growth companies (EGCs) and meet certain criteria.","https://www.sec.gov/Archives/edgar/data/1685316/000119312522211297/0001193125-22-211297-index.html","https://www.sec.gov/Archives/edgar/data/1685316/000119312522211297/d370980df3mef.htm"
"SF-1","52","Registration Statement for Securities of Certain Foreign Private Issuers. Used by foreign companies to register securities offerings in the United States.","https://www.sec.gov/Archives/edgar/data/75488/000119312524096271/0001193125-24-096271-index.html","https://www.sec.gov/Archives/edgar/data/75488/000119312524096271/d809705dsf1.htm"
"ADVCO","50","Confidential Treatment Request for Investment Adviser Filings.   Filed by investment advisers seeking to keep certain information confidential.","https://www.sec.gov/Archives/edgar/data/1128557/999999999703014190/9999999997-03-014190-index.html","https://www.sec.gov/Archives/edgar/data/1128557/999999999703014190/9999999997-03-014190.paper"
"2-A","50","Registration Statement for Unit Investment Trusts.  Filed to register unit investment trusts (UITs) with the SEC.","https://www.sec.gov/Archives/edgar/data/1550615/999999999715011132/9999999997-15-011132-index.html","https://www.sec.gov/Archives/edgar/data/1550615/999999999715011132/9999999997-15-011132.paper"
"F-8/A","50","Amendment to a registration statement.  This amendment is related to Form F-8, which is used for registering securities issued by foreign companies to their employees.","https://www.sec.gov/Archives/edgar/data/1597659/000091957418008125/0000919574-18-008125-index.html","https://www.sec.gov/Archives/edgar/data/1597659/000091957418008125/d8116569_8-a.htm"
"F-3DPOS","49","Post-Effective Amendment to a Registration Statement on Form F-3 for a Dividend Reinvestment Plan.  This amendment pertains to dividend reinvestment plans (DRIPs) for foreign private issuers that have filed a Form F-3 registration statement.","https://www.sec.gov/Archives/edgar/data/1577437/000119312524211137/0001193125-24-211137-index.html","https://www.sec.gov/Archives/edgar/data/1577437/000119312524211137/d861500df3dpos.htm"
"G-405N","49","Filed by investment companies or other entities that have transactions involving foreign currencies or international investments.","https://www.sec.gov/Archives/edgar/data/814494/999999999722000820/9999999997-22-000820-index.html","https://www.sec.gov/Archives/edgar/data/814494/999999999722000820/9999999997-22-000820.paper"
"U-33-S","48","Filed by trust indenture trustees, who are responsible for overseeing the terms of a bond indenture, a legal agreement between a bond issuer and its bondholders.","https://www.sec.gov/Archives/edgar/data/1045513/000119312505152447/0001193125-05-152447-index.html","https://www.sec.gov/Archives/edgar/data/1045513/000119312505152447/du33s.htm"
"40-206A","","Application for an Order under the Investment Company Act of 1940.   This form is used for various requests or applications related to investment companies.","https://www.sec.gov/Archives/edgar/data/1950269/999999999722004678/9999999997-22-004678-index.html","https://www.sec.gov/Archives/edgar/data/1950269/999999999722004678/9999999997-22-004678.paper"
"N-23C3C/A","48","Amendment to a filing related to a proposed rule change by a self-regulatory organization (SRO).  ","https://www.sec.gov/Archives/edgar/data/1515001/000151500124000002/0001515001-24-000002-index.html","https://www.sec.gov/Archives/edgar/data/1515001/000151500124000002/vcmix_23c3_032824.htm"
"25/A","45","Amendment to a Notification of Removal from Listing and/or Registration. This amendment is filed to correct or update information in a previously filed Form 25, which relates to removing a company's securities from listing on an exchange.","https://www.sec.gov/Archives/edgar/data/1861233/000117184323005521/0001171843-23-005521-index.html","https://www.sec.gov/Archives/edgar/data/1861233/000117184323005521/f25a_090123.htm"
"NT-NCSR/A","44","Amendment to a notice of late filing for a certified shareholder report.  Filed by investment companies.","https://www.sec.gov/Archives/edgar/data/1310192/000139834424011778/0001398344-24-011778-index.html","https://www.sec.gov/Archives/edgar/data/1310192/000139834424011778/fp0088770-2_ntncsra.htm"
"6B NTC","43","Notice of Election to Be Subject to Sections 55 through 65 of the Investment Company Act of 1940. Filed by certain investment companies.","https://www.sec.gov/Archives/edgar/data/1836626/999999999724002363/9999999997-24-002363-index.html","https://www.sec.gov/Archives/edgar/data/1836626/999999999724002363/filename1.pdf"
"MSD","42","Material Definitive Agreement. A legally binding agreement that is significant to a company's business or operations, often related to mergers, acquisitions, or financing.","https://www.sec.gov/Archives/edgar/data/1971392/999999999723001644/9999999997-23-001644-index.html","https://www.sec.gov/Archives/edgar/data/1971392/999999999723001644/9999999997-23-001644.paper"
"U-12-IA","42","Registration Statement for Certain Governments and Political Subdivisions.  Filed by foreign governments or political subdivisions that issue securities in the US.","https://www.sec.gov/Archives/edgar/data/1111711/000095013705011857/0000950137-05-011857-index.html","https://www.sec.gov/Archives/edgar/data/1111711/000095013705011857/c98766uv12via.htm"
"1","42","Registration Statement. This form is used by companies to register their securities with the SEC before they can be offered to the public.","https://www.sec.gov/Archives/edgar/data/2025123/999999999724002756/9999999997-24-002756-index.html","https://www.sec.gov/Archives/edgar/data/2025123/999999999724002756/9999999997-24-002756.paper"
"UNDER","41","Securities offered in an underwritten public offering.   This means that the offering is being managed by investment banks (underwriters) who help the issuer sell the securities to investors.","https://www.sec.gov/Archives/edgar/data/845611/000095012311068510/0000950123-11-068510-index.html","https://www.sec.gov/Archives/edgar/data/845611/000095012311068510/y91890uunder.htm"
"SC14D9F","41","Filed by third-party bidders to request confidential treatment for certain information in their tender offer statements. Tender offers are often associated with hostile takeover attempts.","https://www.sec.gov/Archives/edgar/data/1733418/000127956919000213/0001279569-19-000213-index.html","https://www.sec.gov/Archives/edgar/data/1733418/000127956919000213/tv512356_sc14d9f.htm"
"SBSE-A","40","Filed by small business issuers (SBIs) to make various types of filings with the SEC, often related to their securities offerings or ongoing reporting obligations.","https://www.sec.gov/Archives/edgar/data/842180/000084218024000019/0000842180-24-000019-index.html","https://www.sec.gov/Archives/edgar/data/842180/000084218024000019/xslSBSE-A_X01/primary_doc.xml"
"1-A-W/A","40","Amendment to a withdrawal request for a Regulation A offering.  Filed by smaller companies.","https://www.sec.gov/Archives/edgar/data/1968039/000196803924000030/0001968039-24-000030-index.html","https://www.sec.gov/Archives/edgar/data/1968039/000196803924000030/corresp.htm"
"U5A","40","Amendment to Uniform Application for Securities Industry Registration or Transfer.  This form is used by individuals in the securities industry, like brokers, to update their registration information.","https://www.sec.gov/Archives/edgar/data/65984/000006598406000001/0000065984-06-000001-index.html","https://www.sec.gov/Archives/edgar/data/65984/000006598406000001/a00106.htm"
"40-8F-2/A","40","Amendment to a Notice of Election under the Investment Company Act. Filed by investment companies to update their election status or provide corrections.","https://www.sec.gov/Archives/edgar/data/1356115/000119312522155138/0001193125-22-155138-index.html","https://www.sec.gov/Archives/edgar/data/1356115/000119312522155138/d281758d408f2a.htm"
"SC 14N","40","Schedule 14N - Solicitation/Recommendation Statement.   Filed in connection with proxy contests.","https://www.sec.gov/Archives/edgar/data/1395585/000143774924006956/0001437749-24-006956-index.html","https://www.sec.gov/Archives/edgar/data/1395585/000143774924006956/zge20240306_sc14n.htm"
"SC14D9F/A","40","Amendment to a confidentiality request filed by a third party making a tender offer.  ","https://www.sec.gov/Archives/edgar/data/1353123/000095015714000219/0000950157-14-000219-index.html","https://www.sec.gov/Archives/edgar/data/1353123/000095015714000219/sc14d9fa.htm"
"N-3","40","Registration Statement for Separate Accounts Organized as Management Investment Companies.  Filed for registering variable annuities.","https://www.sec.gov/Archives/edgar/data/1864054/000182912621009211/0001829126-21-009211-index.html","https://www.sec.gov/Archives/edgar/data/1864054/000182912621009211/universallife-n3.htm"
"40-206A/A","39","Amendment to an Application for an Order under the Investment Company Act. Filed to make changes to a previously submitted application.","https://www.sec.gov/Archives/edgar/data/1557794/999999999720004203/9999999997-20-004203-index.html","https://www.sec.gov/Archives/edgar/data/1557794/999999999720004203/9999999997-20-004203.paper"
"6B ORDR","39","Order Issued under Section 6(b) of the Investment Company Act. This type of order is typically related to exemptions or approvals granted to investment companies.","https://www.sec.gov/Archives/edgar/data/1836626/999999999724002751/9999999997-24-002751-index.html","https://www.sec.gov/Archives/edgar/data/1836626/999999999724002751/filename1.pdf"
"ADN-MTL","","Additional Material.   Refers to supplementary information or documents that are not included in the main body of a filing.","https://www.sec.gov/Archives/edgar/data/1230869/999999999713012828/9999999997-13-012828-index.html","https://www.sec.gov/Archives/edgar/data/1230869/999999999713012828/9999999997-13-012828.paper"
"U-7D","38","Application for Registration as a Transfer Agent.  This form is used by entities that want to act as transfer agents for handling the transfer of securities ownership.","https://www.sec.gov/Archives/edgar/data/759224/000106823806000040/0001068238-06-000040-index.html","https://www.sec.gov/Archives/edgar/data/759224/000106823806000040/u-7d.htm"
"F-2/A","37","Amendment to a Registration Statement Filed on Form F-2, which is used by certain foreign private issuers to register securities offerings.  ","https://www.sec.gov/Archives/edgar/data/928876/000117891305001640/0001178913-05-001640-index.html","https://www.sec.gov/Archives/edgar/data/928876/000117891305001640/zk51997.htm"
"SD/A","37","Amendment to Specialized Disclosure Report.  Used to update or correct information in a previously filed Specialized Disclosure Report, which is required for specific types of disclosures under SEC regulations.","https://www.sec.gov/Archives/edgar/data/1596532/000159653224000270/0001596532-24-000270-index.html","https://www.sec.gov/Archives/edgar/data/1596532/000159653224000270/formsda2023-719.htm"
"N-23C3A/A","37","Amendment to an Initial Notification and Filing of Proposed Rule Change by a National Securities Association.  Used to update or correct the initial filing.","https://www.sec.gov/Archives/edgar/data/1663712/000119312524046111/0001193125-24-046111-index.html","https://www.sec.gov/Archives/edgar/data/1663712/000119312524046111/d769491dn23c3aa.htm"
"40-202A/A","","Amendment to an Application for Exemption under the Investment Company Act.  Filed to make changes to an application seeking exemption from certain regulatory requirements.","https://www.sec.gov/Archives/edgar/data/1743902/999999999720005782/9999999997-20-005782-index.html","https://www.sec.gov/Archives/edgar/data/1743902/999999999720005782/9999999997-20-005782.paper"
"8-K12B/A","36","Amendment to a current report filed by companies. Used to make corrections or updates to information previously reported on Form 8-K12B, related to securities registered under Section 12(b) of the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1977303/000095010324003023/0000950103-24-003023-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/1977303/000095010324003023/dp207330_8k12ba.htm"
"10-QT/A","36","Amendment to a transition report. This amendment is filed when a company needs to update or correct information from a previously filed Form 10-QT, which is related to a change in reporting status or requirements.","https://www.sec.gov/Archives/edgar/data/764630/000149315224029091/0001493152-24-029091-index.html","https://www.sec.gov/ix?doc=/Archives/edgar/data/764630/000149315224029091/form10-qta.htm"
"NTN 20F","36","Notice of Late Filing of Form 20-F. Filed by foreign private issuers that are unable to file their Form 20-F (annual report) on time with the SEC.","https://www.sec.gov/Archives/edgar/data/1429360/000114420410059772/0001144204-10-059772-index.html","https://www.sec.gov/Archives/edgar/data/1429360/000114420410059772/v202309_nt20-f.htm"
"SC13E4F/A","36","Amendment to a confidentiality request filed by an issuer in a tender offer situation.  ","https://www.sec.gov/Archives/edgar/data/1829959/000119312524001694/0001193125-24-001694-index.html","https://www.sec.gov/Archives/edgar/data/1829959/000119312524001694/d698342dsc13e4fa.htm"
"NRSRO-CE/A","36","Amendment to a certification filed by a credit rating agency. This amendment pertains to updates or corrections to information previously certified.","https://www.sec.gov/Archives/edgar/data/1651011/000110465924040692/0001104659-24-040692-index.html","https://www.sec.gov/Archives/edgar/data/1651011/000110465924040692/nrsrocea.pdf"
"2-AF","36","Filed by unit investment trusts to provide additional information or to update existing information about their securities offerings. Unit investment trusts are a type of investment company that holds a fixed portfolio of securities.","https://www.sec.gov/Archives/edgar/data/797255/999999999713015531/9999999997-13-015531-index.html","https://www.sec.gov/Archives/edgar/data/797255/999999999713015531/9999999997-13-015531.paper"
"NT 20-F/A","36","Amendment to Notice of Late Filing of Form 20-F. Filed by foreign private issuers to correct or update information in a previously submitted notice regarding a delayed Form 20-F filing.","https://www.sec.gov/Archives/edgar/data/1782309/000149315224031756/0001493152-24-031756-index.html","https://www.sec.gov/Archives/edgar/data/1782309/000149315224031756/formnt20-fa.htm"
"NT N-MFP1","35","Notice of Late Filing of Form N-MFP1.  Filed by money market funds when they are unable to file Form N-MFP1 on time.","https://www.sec.gov/Archives/edgar/data/864508/000100472616000906/0001004726-16-000906-index.html","https://www.sec.gov/Archives/edgar/data/864508/000100472616000906/xslN-MFP1_X01/primary_doc.xml"
"CANCELLATI","35","Cancellation.  Indicates the cancellation of a previously submitted filing or document.","https://www.sec.gov/Archives/edgar/data/1792699/999999999723004375/9999999997-23-004375-index.html","https://www.sec.gov/Archives/edgar/data/1792699/999999999723004375/filename1.pdf"
"F-N/A","35","Amendment to a notification of filing a securities registration statement.  Filed by certain Canadian issuers.","https://www.sec.gov/Archives/edgar/data/1089113/000119312524074527/0001193125-24-074527-index.html","https://www.sec.gov/Archives/edgar/data/1089113/000119312524074527/d788586dfna.htm"
"F-4 POS","33","Post-Effective Amendment to a Registration Statement on Form F-4.   This amendment relates to business combination transactions involving foreign companies.","https://www.sec.gov/Archives/edgar/data/1753648/000149315220010189/0001493152-20-010189-index.html","https://www.sec.gov/Archives/edgar/data/1753648/000149315220010189/formf-4pos.htm"
"DEFC14C","33","Definitive Additional Information Statement. This statement is similar to a proxy statement but is used in situations where shareholder approval is not required.","https://www.sec.gov/Archives/edgar/data/1832038/000119312522166247/0001193125-22-166247-index.html","https://www.sec.gov/Archives/edgar/data/1832038/000119312522166247/d301673ddefc14c.htm"
"40-202A","32","Application for Exemption under the Investment Company Act of 1940.  Filed by investment companies to request exemption from certain rules.","https://www.sec.gov/Archives/edgar/data/1770583/999999999719007755/9999999997-19-007755-index.html","https://www.sec.gov/Archives/edgar/data/1770583/999999999719007755/9999999997-19-007755.paper"
"U5B","32","Uniform Termination Notice for Securities Industry Registration. Filed to terminate registration with FINRA or a stock exchange.","https://www.sec.gov/Archives/edgar/data/741612/000074161205000013/0000741612-05-000013-index.html","https://www.sec.gov/Archives/edgar/data/741612/000074161205000013/u5b_tnp090605.htm"
"F-8","32","Registration Statement for Securities to Be Issued to Employees Pursuant to Employee Benefit Plans.   Filed by companies registering securities offered through employee benefit plans, such as stock options.","https://www.sec.gov/Archives/edgar/data/1718420/000119312517324666/0001193125-17-324666-index.html","https://www.sec.gov/Archives/edgar/data/1718420/000119312517324666/d461863df8.htm"
"40FR12G","32","Registration of a Class of Securities by a Foreign Private Issuer. This form is used by foreign private issuers to register securities under the Exchange Act.","https://www.sec.gov/Archives/edgar/data/1882607/000106299321009430/0001062993-21-009430-index.html","https://www.sec.gov/Archives/edgar/data/1882607/000106299321009430/form40fr12g.htm"
"N-18F1/A","31","Amendment to Notification of Election to Be Subject to Sections 55 through 65 of the Investment Company Act.  Filed by investment companies. ","https://www.sec.gov/Archives/edgar/data/1359057/000089418919003623/0000894189-19-003623-index.html","https://www.sec.gov/Archives/edgar/data/1359057/000089418919003623/formn-18fx1a.htm"
"MSDCO","30","Material Definitive Agreement - Confidential Treatment Requested. Filed when a company seeks to redact or keep certain information in a material agreement confidential.","https://www.sec.gov/Archives/edgar/data/1518629/999999999724001721/9999999997-24-001721-index.html","https://www.sec.gov/Archives/edgar/data/1518629/999999999724001721/9999999997-24-001721.paper"
"F-80","29","Registration Statement for Securities of Certain Canadian Issuers to Be Issued in Exchange Offers or a Business Combination. This form is used by Canadian companies involved in cross-border mergers, acquisitions, or exchange offers.","https://www.sec.gov/Archives/edgar/data/926171/000101376224001676/0001013762-24-001676-index.html","https://www.sec.gov/Archives/edgar/data/926171/000101376224001676/ea0209103-f80_national.htm"
"S-4EF/A","29","Amendment to a Post-Effective Amendment to a Registration Statement on Form S-4 Filed Solely to Add Exhibits. Filed to add exhibits to a registration statement, often related to business combination transactions.","https://www.sec.gov/Archives/edgar/data/1415022/000110465907082867/0001104659-07-082867-index.html","https://www.sec.gov/Archives/edgar/data/1415022/000110465907082867/a07-26845_1s4efa.htm"
"CFPORTAL-W","28","Withdrawal of a cover page filing. This indicates the withdrawal of a previously submitted cover page for a filing with the SEC.","https://www.sec.gov/Archives/edgar/data/1933347/000193334724000001/0001933347-24-000001-index.html","https://www.sec.gov/Archives/edgar/data/1933347/000193334724000001/xslCFPORTAL_X01/primary_doc.xml"
"8-B12B/A","28","Amendment to a Registration of Securities of a Successor Issuer.  This amendment is specific to Form 8-B12B filings.","https://www.sec.gov/Archives/edgar/data/1004858/000100485897000006/0001004858-97-000006-index.html","https://www.sec.gov/Archives/edgar/data/1004858/"
"TTW","28","Telegraphic Transfer Wire. This may relate to electronic fund transfers or other financial transactions, potentially involving international payments.","https://www.sec.gov/Archives/edgar/data/1543265/999999999714010291/9999999997-14-010291-index.html","https://www.sec.gov/Archives/edgar/data/1543265/999999999714010291/9999999997-14-010291.paper"
"C/A-W","27","Withdrawal of Amendment to Common Stock.  This signifies the withdrawal of a previously filed amendment to a company's common stock.","https://www.sec.gov/Archives/edgar/data/2019866/000201986624000003/0002019866-24-000003-index.html","https://www.sec.gov/Archives/edgar/data/2019866/000201986624000003/primary_doc.xml"
"SBSE/A","27","Amendment to a Filing by a Small Business Issuer. Filed by companies to correct or update information from a previous filing made on Form SBSE, which is a general form for various filings by small businesses.","https://www.sec.gov/Archives/edgar/data/1983408/000198340824000009/0001983408-24-000009-index.html","https://www.sec.gov/Archives/edgar/data/1983408/000198340824000009/xslSBSE_X01/primary_doc.xml"
"BW-2","27","Request for Withdrawal.  Used by issuers to request the withdrawal of a previously submitted filing, such as a registration statement or an application.","https://www.sec.gov/Archives/edgar/data/51120/000104746903005573/0001047469-03-005573-index.html","https://www.sec.gov/Archives/edgar/data/51120/000104746903005573/a2103063zbw-2.txt"
"N-27D-1","25","Accounting of Shares. Filed by investment companies to account for the issuance, repurchase, or other changes in the number of outstanding shares.","https://www.sec.gov/Archives/edgar/data/908496/000095012906000782/0000950129-06-000782-index.html","https://www.sec.gov/Archives/edgar/data/701747/000095012906000782/h32454anv27dv1.txt"
"TH","25","Trust Holdings. This typically relates to information about the assets held in a trust, often filed by trustees or other responsible parties.","https://www.sec.gov/Archives/edgar/data/1635282/999999999717006760/9999999997-17-006760-index.html","https://www.sec.gov/Archives/edgar/data/1635282/999999999717006760/9999999997-17-006760.paper"
"10-C/A","24","Amendment to a General Form for Registration of Securities. Filed to correct or update information in a previously filed Form 10-C, which is related to registering securities under the Exchange Act.","https://www.sec.gov/Archives/edgar/data/67625/000006762597000006/0000067625-97-000006-index.html","https://www.sec.gov/Archives/edgar/data/67625/"
"G-FIN","24","General Financial Report.  This is a broad category for financial reports submitted to the SEC, often used for special situations or by entities not required to file standard financial statements.","https://www.sec.gov/Archives/edgar/data/1330437/999999999724002689/9999999997-24-002689-index.html","https://www.sec.gov/Archives/edgar/data/1330437/999999999724002689/9999999997-24-002689.paper"
"DSTRBRPT/A","23","Amendment to Distribution Report. Filed to make changes or corrections to a previously submitted distribution report, which typically relates to the distribution of securities like dividends or stock splits.","https://www.sec.gov/Archives/edgar/data/895027/000199937124009216/0001999371-24-009216-index.html","https://www.sec.gov/Archives/edgar/data/895027/000199937124009216/ebrd-dstrbrpta_072924.htm"
"40-17GCS","23","Filed by Nationally Recognized Statistical Rating Organizations (NRSROs).   Relates to governance and compliance requirements.","https://www.sec.gov/Archives/edgar/data/747677/000008805324000425/0000088053-24-000425-index.html","https://www.sec.gov/Archives/edgar/data/747677/000008805324000425/r4017gcs_multi.htm"
"SC13E4F","23","Filed by an issuer (the company whose shares are being repurchased) when seeking confidential treatment for certain information in a tender offer statement.","https://www.sec.gov/Archives/edgar/data/1829959/000119312523282534/0001193125-23-282534-index.html","https://www.sec.gov/Archives/edgar/data/1829959/000119312523282534/d559699dsc13e4f.htm"
"F-80/A","22","Amendment to a registration statement filed on Form F-80. This form is used by Canadian companies involved in cross-border mergers or exchange offers.","https://www.sec.gov/Archives/edgar/data/1727776/000117625618000033/0001176256-18-000033-index.html","https://www.sec.gov/Archives/edgar/data/1727776/000117625618000033/mtyfoodgroupf80a.htm"
"40-8F-2","22","Notice of Election under the Investment Company Act of 1940.  Filed by investment companies to indicate their choice regarding certain regulatory requirements or exemptions.","https://www.sec.gov/Archives/edgar/data/1356115/000119312521102542/0001193125-21-102542-index.html","https://www.sec.gov/Archives/edgar/data/1356115/000119312521102542/d110008d408f2.htm"
"N-3/A","21","Amendment to a registration statement filed on Form N-3. This amendment pertains to Form N-3 filings, which are used for registering separate accounts organized as management investment companies, typically associated with variable annuities.","https://www.sec.gov/Archives/edgar/data/1864054/000182912621016965/0001829126-21-016965-index.html","https://www.sec.gov/Archives/edgar/data/1864054/000182912621016965/universallife_n3a.htm"
"SC 13E1","21","Schedule 13E-1 - Purchase of Securities by Issuer. Filed by a company that is repurchasing its own securities (stock buybacks).","https://www.sec.gov/Archives/edgar/data/1418121/000118518515000936/0001185185-15-000936-index.html","https://www.sec.gov/Archives/edgar/data/1418121/000118518515000936/ahr-sc13e1_041615.htm"
"C-U-W","21","Withdrawal of a Certification and Updating Statement. Filed by a Canadian issuer to withdraw a previously submitted certification, often related to their securities listed on U.S. exchanges.","https://www.sec.gov/Archives/edgar/data/1760855/000176085524000007/0001760855-24-000007-index.html","https://www.sec.gov/Archives/edgar/data/1760855/000176085524000007/primary_doc.xml"
"24F-2EL","20","Notice of Election to Compute Rule 24f-2 Fee on an Electronic Filing Basis. This notice is filed by certain investment companies to indicate their preferred method for calculating fees related to Rule 24f-2, which provides an exemption from registration fees for certain securities.","https://www.sec.gov/Archives/edgar/data/704178/000095016897001863/0000950168-97-001863-index.html","https://www.sec.gov/Archives/edgar/data/704178/"
"485A24F","20","Post-Effective Amendment to a Registration Statement on Form N-1A Relating to Certain Unit Investment Trusts.   Filed to make changes to a unit investment trust's registration after it becomes effective.","https://www.sec.gov/Archives/edgar/data/1027624/000089180497000328/0000891804-97-000328-index.html","https://www.sec.gov/Archives/edgar/data/1027624/"
"U-3A3-1","20","Annual Report to be Filed by a Trustee of a Statutory Trust. Filed by trustees of statutory trusts, which are trusts created by law or statute, often for specific purposes like holding assets.","https://www.sec.gov/Archives/edgar/data/93748/000009374805000114/0000093748-05-000114-index.html","https://www.sec.gov/Archives/edgar/data/93748/000009374805000114/formu343.txt"
"F-80POS","20","Post-Effective Amendment to a Registration Statement on Form F-80.  Used by Canadian issuers to update previously filed information for securities offerings in the US.","https://www.sec.gov/Archives/edgar/data/49279/000119312518353217/0001193125-18-353217-index.html","https://www.sec.gov/Archives/edgar/data/49279/000119312518353217/d661261df80pos.htm"
"40-17F1/A","18","Amendment to a notice filed by a credit rating agency.  This is for correcting or updating information about their intent to register as a Nationally Recognized Statistical Rating Organization (NRSRO).","https://www.sec.gov/Archives/edgar/data/1556505/000158064223004935/0001580642-23-004935-index.html","https://www.sec.gov/Archives/edgar/data/1556505/000158064223004935/spectrum_40-17f1a.htm"
"ADB","18","Asian Development Bank.   This likely refers to filings or documents related to the Asian Development Bank, a regional development bank.","https://www.sec.gov/Archives/edgar/data/311669/999999999703029924/9999999997-03-029924-index.html","https://www.sec.gov/Archives/edgar/data/311669/999999999703029924/9999999997-03-029924.paper"
"ATS-N-C","18","Alternative Trading System (ATS) - Change Notice. Filed by ATS operators to notify the SEC of changes to their operations, rules, or technology.","https://www.sec.gov/Archives/edgar/data/921107/000092110724000007/0000921107-24-000007-index.html","https://www.sec.gov/Archives/edgar/data/921107/000092110724000007/xslATS-N-C_X01/primary_doc.xml"
"F-10EF","18","Post-Effective Amendment to a Registration Statement on Form F-10 Filed Solely to Add Exhibits.  This amendment adds exhibits to a registration statement filed by certain Canadian issuers.","https://www.sec.gov/Archives/edgar/data/868675/000110465924085485/0001104659-24-085485-index.html","https://www.sec.gov/Archives/edgar/data/868675/000110465924085485/tm2420379d1_f10ef.htm"
"C-TR-W","17","Withdrawal of a Notice of Change of Transfer Agent.  This is for withdrawing a previously filed notice.","https://www.sec.gov/Archives/edgar/data/1964414/000196441424000007/0001964414-24-000007-index.html","https://www.sec.gov/Archives/edgar/data/1964414/000196441424000007/primary_doc.xml"
"10KT405/A","17","Amendment to an Annual Report.  Filed by companies subject to Regulation A, which provides a simplified registration process for smaller companies raising capital.","https://www.sec.gov/Archives/edgar/data/910492/000092627401000130/0000926274-01-000130-index.html","https://www.sec.gov/Archives/edgar/data/910492/000092627401000130/0000926274-01-000130-0001.txt"
"NTFNCEN","17","Notice of Late Filing for Form N-CEN. Filed when an investment company is unable to file its Form N-CEN on time, which is related to ceasing its registration.","https://www.sec.gov/Archives/edgar/data/826686/000119312521331313/0001193125-21-331313-index.html","https://www.sec.gov/Archives/edgar/data/826686/000119312521331313/d131550dntncen.htm"
"U-13-60/A","17","Amendment to an annual report filed by trustees of qualified trusts.  Often for employee benefit plans or retirement plans.","https://www.sec.gov/Archives/edgar/data/1130310/000095012905005295/0000950129-05-005295-index.html","https://www.sec.gov/Archives/edgar/data/1130310/000095012905005295/h24873auv13v60za.txt"
"F-2","16","Registration Statement for Certain Foreign Private Issuers.   Used by foreign companies that meet certain criteria to register securities in the US.","https://www.sec.gov/Archives/edgar/data/928876/000117891305001054/0001178913-05-001054-index.html","https://www.sec.gov/Archives/edgar/data/928876/000117891305001054/zk51701.htm"
"U-9C-3/A","16","Amendment to a report filed by bank holding companies. Used to correct or update financial and regulatory information previously submitted on Form U-9C-3.","https://www.sec.gov/Archives/edgar/data/72741/000007274105000165/0000072741-05-000165-index.html","https://www.sec.gov/Archives/edgar/data/72741/000007274105000165/u9c3aseptember04.htm"
"N-23C-1/A","16","Amendment to a notification filed by a national securities association.  This amendment provides updates or corrections to a previously filed notice regarding a proposed rule change.","https://www.sec.gov/Archives/edgar/data/826735/000091293804000523/0000912938-04-000523-index.html","https://www.sec.gov/Archives/edgar/data/826735/000091293804000523/min_05-04rev.htm"
"NPORT-EX/A","16","Amendment to a Notice of Exemption from Filing Form N-PORT.   Filed to correct information.","https://www.sec.gov/Archives/edgar/data/1306349/000175272422080882/0001752724-22-080882-index.html","https://www.sec.gov/Archives/edgar/data/1306349/000175272422080882/PioDiscValueFund.htm"
"EBRD","16","European Bank for Reconstruction and Development.  This refers to filings or documents associated with the European Bank for Reconstruction and Development, a multilateral development bank.","https://www.sec.gov/Archives/edgar/data/895027/999999999703029922/9999999997-03-029922-index.html","https://www.sec.gov/Archives/edgar/data/895027/999999999703029922/9999999997-03-029922.paper"
"NSAR-AT/A","15","Amendment to Annual Report of Proxy Voting Record. Filed to make changes or corrections to information previously reported on Form NSAR-AT, which is related to how an investment company voted proxies on behalf of its shareholders.","https://www.sec.gov/Archives/edgar/data/1261788/000132535815000924/0001325358-15-000924-index.html","https://www.sec.gov/Archives/edgar/data/1261788/000132535815000924/answer.fil"
"NT 11-K/A","15","Amendment to a notice of late filing for an annual report.  Filed by companies that offer employee stock purchase plans.","https://www.sec.gov/Archives/edgar/data/1315399/000131539923000057/0001315399-23-000057-index.html","https://www.sec.gov/Archives/edgar/data/1315399/000131539923000057/a12b-25form06x30x23amended.htm"
"S-BMEF","15","Registration Statement for Smaller Reporting Companies.   This is a streamlined registration form used by smaller companies that also qualify as emerging growth companies (EGCs).","https://www.sec.gov/Archives/edgar/data/1030717/000119312522257989/0001193125-22-257989-index.html","https://www.sec.gov/Archives/edgar/data/1030717/000119312522257989/d282959dsbmef.htm"
"G-FINW","15","Withdrawal of a general financial report. This signifies the withdrawal of a financial report that was previously submitted to the SEC.","https://www.sec.gov/Archives/edgar/data/1677246/999999999717000560/9999999997-17-000560-index.html","https://www.sec.gov/Archives/edgar/data/1677246/999999999717000560/9999999997-17-000560.paper"
"SC 14N/A","15","Amendment to Solicitation/Recommendation Statement.  Filed in connection with proxy contests, which are situations where shareholders are being asked to vote on competing proposals.","https://www.sec.gov/Archives/edgar/data/1099369/000166357720000406/0001663577-20-000406-index.html","https://www.sec.gov/Archives/edgar/data/1099369/000166357720000406/sch_14na.htm"
"SPDSCL","14","Special Disclosure. This generally refers to additional information or disclosures that are required by the SEC or are deemed necessary by the filing company for transparency.","https://www.sec.gov/Archives/edgar/data/1417664/000121465924008454/0001214659-24-008454-index.html","https://www.sec.gov/Archives/edgar/data/1417664/000121465924008454/filename1.htm"
"40-33/A","14","Amendment to Certification of Reporting Issuer. Filed by investment companies to update or correct information from a previously filed certification.","https://www.sec.gov/Archives/edgar/data/1287032/000110465917033459/0001104659-17-033459-index.html","https://www.sec.gov/Archives/edgar/data/1287032/000110465917033459/a17-13432_14033a.pdf"
"SC 13E1/A","14","Amendment to a Purchase of Securities by Issuer Statement.  Used to correct information previously filed.","https://www.sec.gov/Archives/edgar/data/19149/000001914916000040/0000019149-16-000040-index.html","https://www.sec.gov/Archives/edgar/data/19149/000001914916000040/sc13e3.htm"
"F-4MEF","14","Registration statement.  Filed by foreign private issuers that qualify as emerging growth companies (EGCs) and are involved in a business combination.","https://www.sec.gov/Archives/edgar/data/1985273/000121390024038287/0001213900-24-038287-index.html","https://www.sec.gov/Archives/edgar/data/1985273/000121390024038287/ea0200002-09.htm"
"IADB","13","Inter-American Development Bank. This refers to filings or documents related to the Inter-American Development Bank, a regional development bank.","https://www.sec.gov/Archives/edgar/data/311670/999999999703029923/9999999997-03-029923-index.html","https://www.sec.gov/Archives/edgar/data/311670/999999999703029923/9999999997-03-029923.paper"
"8-B12G/A","13","Amendment to a registration statement for a successor issuer.  Filed to update or correct information, often after a merger or acquisition.","https://www.sec.gov/Archives/edgar/data/1019375/000101937597000011/0001019375-97-000011-index.html","https://www.sec.gov/Archives/edgar/data/1019375/"
"15F-12B/A","13","Amendment to Termination of Registration of a Class of Securities under Section 12(b).   This is for making corrections or updates related to the termination of registration.","https://www.sec.gov/Archives/edgar/data/1483405/000117184319003191/0001171843-19-003191-index.html","https://www.sec.gov/Archives/edgar/data/1483405/000117184319003191/f15f12b_050819.htm"
"CERTBSE","13","Certification.  This relates to the Bombay Stock Exchange (BSE), confirming that information provided is accurate and complete.","https://www.sec.gov/Archives/edgar/data/1366340/999999999707006286/9999999997-07-006286-index.html","https://www.sec.gov/Archives/edgar/data/1366340/999999999707006286/9999999997-07-006286.paper"
"N-CR/A","13","Amendment to a registration statement filed on Form N-CR. Used to make changes or updates to information previously filed on this form, which is related to closed-end management investment companies.","https://www.sec.gov/Archives/edgar/data/831363/000083136320000054/0000831363-20-000054-index.html","https://www.sec.gov/Archives/edgar/data/831363/000083136320000054/formn-cr.htm"
"9-M","13","Large Trader Reporting Form.  Filed by traders who engage in significant trading activity in securities, often used for monitoring market activity and potential manipulation.","https://www.sec.gov/Archives/edgar/data/1554550/999999999718005380/9999999997-18-005380-index.html","https://www.sec.gov/Archives/edgar/data/1554550/999999999718005380/9999999997-18-005380.paper"
"F-8 POS","13","Post-Effective Amendment to a Registration Statement on Form F-8. This amendment pertains to Form F-8 filings, which are used for registering securities issued by foreign companies to their employees under employee benefit plans.","https://www.sec.gov/Archives/edgar/data/1718420/000119312518128879/0001193125-18-128879-index.html","https://www.sec.gov/Archives/edgar/data/1718420/000119312518128879/d545463df8pos.htm"
"15F-12G/A","12","Amendment to Termination of Registration of a Class of Securities under Section 12(g).  Used when corrections or updates are needed regarding the termination of a company's registration.","https://www.sec.gov/Archives/edgar/data/1400482/000140048217000092/0001400482-17-000092-index.html","https://www.sec.gov/Archives/edgar/data/1400482/000140048217000092/a15f12ga-.htm"
"2-E/A","11","Amendment to a registration statement filed on Form 2-E.  Used by unit investment trusts to update previously filed information.","https://www.sec.gov/Archives/edgar/data/1065598/000105652009000592/0001056520-09-000592-index.html","https://www.sec.gov/Archives/edgar/data/1065598/000105652009000592/form2eamended122009final.htm"
"F-7/A","11","Amendment to a registration statement filed on Form F-7, which is used by certain Canadian issuers offering securities in the United States.  ","https://www.sec.gov/Archives/edgar/data/1488469/000110465922045002/0001104659-22-045002-index.html","https://www.sec.gov/Archives/edgar/data/1488469/000110465922045002/tm2210199d3_f7.htm"
"40FR12G/A","10","Amendment to Registration of a Class of Securities by a Foreign Private Issuer.  Used for correcting or updating information in the initial registration.","https://www.sec.gov/Archives/edgar/data/1848731/000110465921043496/0001104659-21-043496-index.html","https://www.sec.gov/Archives/edgar/data/1848731/000110465921043496/tm218482d1_40fr12ga.htm"
"NT 10-D","10","Notice of Late Filing of Form 10-D.  Filed when a company is unable to submit its Form 10-D, which is used for certain asset-backed securities, by the required deadline.","https://www.sec.gov/Archives/edgar/data/1946375/000091412122004145/0000914121-22-004145-index.html","https://www.sec.gov/Archives/edgar/data/1946375/000091412122004145/gs20221208-12b25.htm"
"U5B/A","10","Amendment to Uniform Termination Notice for Securities Industry Registration. This is filed to make changes to information in a previously submitted Form U5B, which is used for terminating registrations in the securities industry.","https://www.sec.gov/Archives/edgar/data/1136808/000104746904014246/0001047469-04-014246-index.html","https://www.sec.gov/Archives/edgar/data/1136808/000104746904014246/a2135003zu5ba.htm"
"N-5","10","Registration Statement for Registered Investment Companies. Filed by investment companies to register their securities with the SEC, a requirement for offering securities to the public.","https://www.sec.gov/Archives/edgar/data/1221483/000119312513373454/0001193125-13-373454-index.html","https://www.sec.gov/Archives/edgar/data/1221483/000119312513373454/d505298dn5.htm"
"AFDB","9","African Development Bank.  This refers to filings related to the African Development Bank.","https://www.sec.gov/Archives/edgar/data/785677/999999999703027711/9999999997-03-027711-index.html","https://www.sec.gov/Archives/edgar/data/785677/999999999703027711/9999999997-03-027711.paper"
"C-AR-W","9","Withdrawal of a Certification by a Foreign Private Issuer.   Filed to withdraw a previously submitted certification, often related to compliance with US securities laws.","https://www.sec.gov/Archives/edgar/data/1800055/000164460023000132/0001644600-23-000132-index.html","https://www.sec.gov/Archives/edgar/data/1800055/000164460023000132/primary_doc.xml"
"U-6B-2/A","9","Amendment to an Application for Exemption. Filed by unit investment trusts to update or correct information from a previous application seeking an exemption from regulatory requirements.","https://www.sec.gov/Archives/edgar/data/1024401/000089808004000272/0000898080-04-000272-index.html","https://www.sec.gov/Archives/edgar/data/1024401/000089808004000272/formu6b2.txt"
"N-5/A","9","Amendment to a registration statement filed on Form N-5. This amendment relates to Form N-5 filings, which are used for registering certain types of investment companies.","https://www.sec.gov/Archives/edgar/data/1221483/000119312513376451/0001193125-13-376451-index.html","https://www.sec.gov/Archives/edgar/data/1221483/000119312513376451/d505298dn5a.htm"
"39-304D","9","Notice of Proposed Change in Fiscal Year End.  Filed by companies that are changing their fiscal year-end date.","https://www.sec.gov/Archives/edgar/data/923713/999999999707043987/9999999997-07-043987-index.html","https://www.sec.gov/Archives/edgar/data/923713/999999999707043987/9999999997-07-043987.paper"
"QRTLYRPT/A","9","Amendment to a Quarterly Report.  Filed to update previously filed information.","https://www.sec.gov/Archives/edgar/data/311669/000114036123032021/0001140361-23-032021-index.html","https://www.sec.gov/Archives/edgar/data/311669/000114036123032021/brhc20054704_qrtlyrpta.htm"
"SL","9","Sales Literature.  Refers to marketing materials or promotional documents used by companies to advertise or sell their products or services.","https://www.sec.gov/Archives/edgar/data/1550615/999999999713008928/9999999997-13-008928-index.html","https://www.sec.gov/Archives/edgar/data/1550615/999999999713008928/9999999997-13-008928.paper"
"N-54A/A","9","Amendment to a notification of withdrawal of registration.  Filed by investment companies. ","https://www.sec.gov/Archives/edgar/data/1633336/000119312520019656/0001193125-20-019656-index.html","https://www.sec.gov/Archives/edgar/data/1633336/000119312520019656/d874298dn54aa.htm"
"8A12BT/A","8","Amendment to a Notification of Termination of Registration.  Filed to correct or update information about the termination of registration under Section 12(b) of the Exchange Act.","https://www.sec.gov/Archives/edgar/data/798085/000079808597000006/0000798085-97-000006-index.html","https://www.sec.gov/Archives/edgar/data/798085/"
"TTW/A","8","Amendment to a Telegraphic Transfer Wire instruction.  Used to make changes to a previously sent instruction for an electronic funds transfer.","https://www.sec.gov/Archives/edgar/data/1614171/999999999714012007/9999999997-14-012007-index.html","https://www.sec.gov/Archives/edgar/data/1614171/999999999714012007/9999999997-14-012007.paper"
"NT 15D2","8","Notice of Late Filing of Schedule 13E-4 or 15D-2.  Filed by companies that are repurchasing their own shares (stock buybacks) when they are unable to file the required reports on time.","https://www.sec.gov/Archives/edgar/data/900475/000173112223000798/0001731122-23-000798-index.html","https://www.sec.gov/Archives/edgar/data/900475/000173112223000798/e4663_nt15d2.htm"
"ADV-H-C","8","Confidential Treatment Request for Investment Adviser Filings - Hardship Exemption. Filed by investment advisers seeking to keep certain information confidential, often related to hardship exemptions.","https://www.sec.gov/Archives/edgar/data/1710341/999999999719006239/9999999997-19-006239-index.html","https://www.sec.gov/Archives/edgar/data/1710341/999999999719006239/9999999997-19-006239.paper"
"ADVW","8","Withdrawal of Application for Registration as an Investment Adviser.   Filed by those withdrawing their registration.","https://www.sec.gov/Archives/edgar/data/1125799/999999999704037887/9999999997-04-037887-index.html","https://www.sec.gov/Archives/edgar/data/1125799/999999999704037887/9999999997-04-037887.paper"
"1-Z/A","8","Amendment to an Exit Report.  Filed by companies to update information they provided in their exit reports, which are submitted after completing a Regulation A offering.","https://www.sec.gov/Archives/edgar/data/1714919/000147793221009435/0001477932-21-009435-index.html","https://www.sec.gov/Archives/edgar/data/1714919/000147793221009435/xsl1-Z_X01/primary_doc.xml"
"N-14MEF","8","Registration statement for exchange offers. Filed for registering securities offered as part of an exchange offer, where one type of security is exchanged for another.","https://www.sec.gov/Archives/edgar/data/1803498/000119312522200674/0001193125-22-200674-index.html","https://www.sec.gov/Archives/edgar/data/1803498/000119312522200674/d790959dn14mef.htm"
"SBSEF","8","Small Business Issuer Financial Statement.  A condensed version of financial statements, tailored for smaller reporting companies.","https://www.sec.gov/Archives/edgar/data/872651/000087265124000007/0000872651-24-000007-index.html","https://www.sec.gov/Archives/edgar/data/872651/000087265124000007/xslSBSEF_X01/primary_doc.xml"
"ATS-N/OFA","8","Alternative Trading System (ATS) Notification and Order Flow Arrangement Application.   Filed by entities seeking to operate an ATS with specific order flow arrangements.","https://www.sec.gov/Archives/edgar/data/356628/000035662823000019/0000356628-23-000019-index.html","https://www.sec.gov/Archives/edgar/data/356628/000035662823000019/xslATS-N_X01/primary_doc.xml"
"ATS-N-W","8","Alternative Trading System (ATS) - Withdrawal of Notice.   This is for withdrawing a previous notice related to an ATS.","https://www.sec.gov/Archives/edgar/data/1795131/000179513124000015/0001795131-24-000015-index.html","https://www.sec.gov/Archives/edgar/data/1795131/000179513124000015/xslATS-N-W_X01/primary_doc.xml"
"N-8B-4","7","Notification of Deregistration as a Business Development Company.  Filed when a company decides to no longer operate as a Business Development Company (BDC).","https://www.sec.gov/Archives/edgar/data/1974395/000113743923001214/0001137439-23-001214-index.html","https://www.sec.gov/Archives/edgar/data/1974395/000113743923001214/fccn8b4102023.htm"
"NT 15D2/A","7","Amendment to a notice of late filing for Schedule 13E-4 or 15D-2.  Used to update or correct information in the previously submitted notice.","https://www.sec.gov/Archives/edgar/data/79282/000007928200000019/0000079282-00-000019-index.html","https://www.sec.gov/Archives/edgar/data/79282/000007928200000019/0000079282-00-000019-0001.txt"
"SBSE-BD","7","Filed by small business issuers (SBIs) to provide information about their business and operations, often as part of a registration statement or other filing with the SEC.","https://www.sec.gov/Archives/edgar/data/1688906/000168890622000005/0001688906-22-000005-index.html","https://www.sec.gov/Archives/edgar/data/1688906/000168890622000005/xslSBSE-BD_X01/primary_doc.xml"
"34-12H","7","Order Granting or Denying an Application under Section 12(h).  Issued by the SEC in response to an application to suspend a company's reporting obligations under the Exchange Act.","https://www.sec.gov/Archives/edgar/data/4342/999999999717007427/9999999997-17-007427-index.html","https://www.sec.gov/Archives/edgar/data/4342/999999999717007427/9999999997-17-007427.paper"
"N-2 POSASR","7","Post-Effective Amendment to an Automatic Shelf Registration Statement for a Closed-End Management Investment Company.   Filed after a registration statement becomes effective","https://www.sec.gov/Archives/edgar/data/1222719/000110465922029860/0001104659-22-029860-index.html","https://www.sec.gov/Archives/edgar/data/1222719/000110465922029860/tm227264d3_posex.htm"
"24F-1","6","This form is filed by an open-end management investment company or a unit investment trust that has sold securities pursuant to rule 24f-1 under the Investment Company Act of 1940 and wants to pay registration fees.","https://www.sec.gov/Archives/edgar/data/917323/000104746997000406/0001047469-97-000406-index.html","https://www.sec.gov/Archives/edgar/data/917323/"
"1-Z-W","6","Withdrawal of an Exit Report. Filed by a company to withdraw a previously submitted exit report, often related to completing a Regulation A offering.","https://www.sec.gov/Archives/edgar/data/1560823/000156082324000001/0001560823-24-000001-index.html","https://www.sec.gov/Archives/edgar/data/1560823/000156082324000001/1zw.htm"
"IFC","6","International Finance Corporation.   Refers to filings related to the International Finance Corporation, a member of the World Bank Group.","https://www.sec.gov/Archives/edgar/data/51244/999999999703027703/9999999997-03-027703-index.html","https://www.sec.gov/Archives/edgar/data/51244/999999999703027703/9999999997-03-027703.paper"
"8F-2 NTC","6","Notice of Application. This notice typically signals the beginning of a formal application process with a regulatory agency.","https://www.sec.gov/Archives/edgar/data/1356115/999999999722003110/9999999997-22-003110-index.html","https://www.sec.gov/Archives/edgar/data/1356115/999999999722003110/filename1.pdf"
"N-3 EL/A","6","Amendment to a notice of eligibility, typically for investment companies. Filed to update or correct information regarding their eligibility to sell securities.","https://www.sec.gov/Archives/edgar/data/1046201/000092838597001607/0000928385-97-001607-index.html","https://www.sec.gov/Archives/edgar/data/1046201/"
"SBSE","6","Small Business Issuer.   This designation is used for companies that qualify as smaller reporting companies under SEC rules, allowing them to use simplified reporting procedures.","https://www.sec.gov/Archives/edgar/data/1910878/000191087824000003/0001910878-24-000003-index.html","https://www.sec.gov/Archives/edgar/data/1910878/000191087824000003/xslSBSE_X01/primary_doc.xml"
"S-20","6","Simplified Registration Form.   Used by smaller companies to register securities offerings, providing a less complex process than traditional registration forms.","https://www.sec.gov/Archives/edgar/data/319643/000109991012000240/0001099910-12-000240-index.html","https://www.sec.gov/Archives/edgar/data/319643/000109991012000240/cdcc_s20.htm"
"F-7 POS","6","Post-Effective Amendment to a Registration Statement on Form F-7. Filed to update or correct information in a previously submitted Form F-7, which is used by certain Canadian issuers offering securities to their existing shareholders.","https://www.sec.gov/Archives/edgar/data/1113678/000119312523220289/0001193125-23-220289-index.html","https://www.sec.gov/Archives/edgar/data/1113678/000119312523220289/d543843df7pos.htm"
"35-APP","6","Application.  Filed by a company for various requests or approvals, often related to exemptions or specific transactions.","https://www.sec.gov/Archives/edgar/data/23426/000002342601500020/0000023426-01-500020-index.html","https://www.sec.gov/Archives/edgar/data/23426/000002342601500020/rule24102301.txt"
"18-12B","5","Termination of Registration of a Class of Securities of a Clearing Agency or National Securities Exchange.  Filed by clearing agencies or exchanges when terminating the registration of a class of securities.","https://www.sec.gov/Archives/edgar/data/1589829/000158982914000010/0001589829-14-000010-index.html","https://www.sec.gov/Archives/edgar/data/1589829/000158982914000010/form18.txt"
"NTN 10D","5","Notice of Late Filing for Form 10-D. This indicates that a company is unable to file its Form 10-D (a general form for various reporting purposes, often for asset-backed securities) on time.","https://www.sec.gov/Archives/edgar/data/1643293/000091412115000396/0000914121-15-000396-index.html","https://www.sec.gov/Archives/edgar/data/1643293/000091412115000396/de20150729-nt10d.htm"
"ATS-N","5","Alternative Trading System (ATS) Notification. Filed by entities seeking to operate an ATS, which is an electronic trading platform that operates outside of traditional stock exchanges.","https://www.sec.gov/Archives/edgar/data/1609177/000160917722000005/0001609177-22-000005-index.html","https://www.sec.gov/Archives/edgar/data/1609177/000160917722000005/xslATS-N_X01/primary_doc.xml"
"S-20/A","5","Amendment to a Simplified Registration Form. Filed by smaller companies to correct or update information from a previously filed Form S-20, related to securities offerings.","https://www.sec.gov/Archives/edgar/data/319643/000109991013000031/0001099910-13-000031-index.html","https://www.sec.gov/Archives/edgar/data/319643/000109991013000031/cdcc_s20a2.htm"
"ANNLRPT/A","5","Amendment to Annual Report.  Filed to correct or update previously submitted information.","https://www.sec.gov/Archives/edgar/data/311669/000114036124026119/0001140361-24-026119-index.html","https://www.sec.gov/Archives/edgar/data/311669/000114036124026119/ef20027837_annlrpta.htm"
"SEC ACTION","5","Refers to an action taken by the SEC, such as an enforcement action, a rulemaking initiative, or a comment letter to a company.","https://www.sec.gov/Archives/edgar/data/1753676/999999999720000417/9999999997-20-000417-index.html","https://www.sec.gov/Archives/edgar/data/1753676/999999999720000417/filename1.pdf"
"253G4","5","Filed by institutional investors who own more than 5% of a company's stock and choose to file a Schedule 13G, which is a simplified beneficial ownership report.","https://www.sec.gov/Archives/edgar/data/1815794/000181579424000002/0001815794-24-000002-index.html","https://www.sec.gov/Archives/edgar/data/1815794/000181579424000002/fire1_253g4_2024.htm"
"8F-2 ORDR","5","Order issued in response to an application, often related to regulatory matters.  ","https://www.sec.gov/Archives/edgar/data/1356115/999999999722003548/9999999997-22-003548-index.html","https://www.sec.gov/Archives/edgar/data/1356115/999999999722003548/filename1.pdf"
"F-9 POS","5","Post-Effective Amendment to a Registration Statement on Form F-9.  Filed to update information.","https://www.sec.gov/Archives/edgar/data/1127248/000119312512123567/0001193125-12-123567-index.html","https://www.sec.gov/Archives/edgar/data/1127248/000119312512123567/d318445df9pos.htm"
"N-3 EL","5","Notice of Eligibility.  This form is filed by an investment company.","https://www.sec.gov/Archives/edgar/data/1046201/000092838597001557/0000928385-97-001557-index.html","https://www.sec.gov/Archives/edgar/data/1046201/"
"SF-1MEF","4","Registration Statement.  Filed by a foreign private issuer that qualifies as a “smaller reporting company” (SRC) under US securities laws.","https://www.sec.gov/Archives/edgar/data/75488/000119312522192618/0001193125-22-192618-index.html","https://www.sec.gov/Archives/edgar/data/75488/000119312522192618/d351037dsf1mef.htm"
"N-54C/A","4","Amendment to a notification of withdrawal of election. This amendment is filed by investment companies to update or correct information in their previously submitted withdrawal notice.","https://www.sec.gov/Archives/edgar/data/1445175/000126246314000117/0001262463-14-000117-index.html","https://www.sec.gov/Archives/edgar/data/1445175/000126246314000117/hnet54ca.htm"
"SDR/A","4","Amendment to a Specialized Disclosure Report.  Used for correcting or updating a previously filed SDR.","https://www.sec.gov/Archives/edgar/data/1655167/000165516718000003/0001655167-18-000003-index.html","https://www.sec.gov/Archives/edgar/data/1655167/000165516718000003/xslSDR_X01/primary_doc.xml"
"SBSE-BD/A","4","Amendment to a filing by a small business issuer (SBI). This amendment is likely related to updates or corrections to information about the SBI's business and operations.","https://www.sec.gov/Archives/edgar/data/1891397/000089542124000392/0000895421-24-000392-index.html","https://www.sec.gov/Archives/edgar/data/1891397/000089542124000392/xslSBSE-BD_X01/primary_doc.xml"
"10-QSB","4","Quarterly Report for Smaller Reporting Companies. This form is a simplified version of the Form 10-Q, used by smaller companies to report their quarterly financial and operational performance.","https://www.sec.gov/Archives/edgar/data/1015715/000101571502000002/0001015715-02-000002-index.html","https://www.sec.gov/Archives/edgar/data/1015715/000101571502000002/tenq.txt"
"15F-15D/A","4","Amendment to a periodic report.  Filed by foreign private issuers, this amendment relates to changes in securities ownership and trading by the issuer, often associated with share buybacks or other corporate actions.","https://www.sec.gov/Archives/edgar/data/1177167/000143774921026148/0001437749-21-026148-index.html","https://www.sec.gov/Archives/edgar/data/1177167/000143774921026148/lmdcf20211110b_15f15da.htm"
"PREA14A","4","Preliminary Proxy Statement. This is an early draft of the proxy statement filed with the SEC for review before being sent to shareholders.","https://www.sec.gov/Archives/edgar/data/768532/000076853200000004/0000768532-00-000004-index.html","https://www.sec.gov/Archives/edgar/data/768532/000076853200000004/"
"U5A/A","4","Amendment to Amendment to Uniform Application for Securities Industry Registration or Transfer.  Used for updating information.","https://www.sec.gov/Archives/edgar/data/1130464/000113046405000233/0001130464-05-000233-index.html","https://www.sec.gov/Archives/edgar/data/1130464/000113046405000233/amended_u5-a.htm"
"U-12-IB/A","4","Amendment to Registration Statement for Certain Governments and Political Subdivisions.  Used to update or correct information.","https://www.sec.gov/Archives/edgar/data/898080/000089808005000316/0000898080-05-000316-index.html","https://www.sec.gov/Archives/edgar/data/898080/000089808005000316/llgm.htm"
"F-9EF","4","Post-Effective Amendment to a Registration Statement on Form F-9 Filed Solely to Add Exhibits.  Filed to add exhibits to a registration statement filed by certain Canadian issuers.","https://www.sec.gov/Archives/edgar/data/16873/000113031903000942/0001130319-03-000942-index.html","https://www.sec.gov/Archives/edgar/data/16873/000113031903000942/o11519afv9ef.htm"
"40-8F-B","4","Application for Order under the Investment Company Act.  Used for a variety of requests related to investment company regulations.","https://www.sec.gov/Archives/edgar/data/812301/000095013302002770/0000950133-02-002770-index.html","https://www.sec.gov/Archives/edgar/data/812301/000095013302002770/w62616e40v8fvb.txt"
"N-23C3B/A","3","Amendment to a Filing and Amendment to Withdrawal of Proposed Rule Change by a Self-Regulatory Organization.   Filed for correcting information.","https://www.sec.gov/Archives/edgar/data/1217951/000121795113000014/0001217951-13-000014-index.html","https://www.sec.gov/Archives/edgar/data/1217951/000121795113000014/formn23c0313.htm"
"S-8/A","3","Amendment to a registration statement filed on Form S-8.  Used to update or correct information about securities offerings made under employee benefit plans.","https://www.sec.gov/Archives/edgar/data/721669/000095016894000244/0000950168-94-000244-index.html","https://www.sec.gov/Archives/edgar/data/721669/"
"40-8FC","3","Notice of Proposed Change in Fiscal Year End of a Registered Closed-End Management Investment Company.  Filed by closed-end funds.","https://www.sec.gov/Archives/edgar/data/723240/999999999704032146/9999999997-04-032146-index.html","https://www.sec.gov/Archives/edgar/data/723240/999999999704032146/9999999997-04-032146.paper"
"40-205E","3","Application for an Order under the Investment Company Act of 1940.  Filed for investment companies seeking approval for certain actions.","https://www.sec.gov/Archives/edgar/data/1318686/999999999705006412/9999999997-05-006412-index.html","https://www.sec.gov/Archives/edgar/data/1318686/999999999705006412/9999999997-05-006412.paper"
"CERTPBS","3","Certification.  Asserts that the information is accurate, specifically related to the Philadelphia Stock Exchange (PHLX).","https://www.sec.gov/Archives/edgar/data/1172222/999999999702049443/9999999997-02-049443-index.html","https://www.sec.gov/Archives/edgar/data/1172222/999999999702049443/9999999997-02-049443.paper"
"U-13E-1","3","Notification of Termination of Reporting Obligations for a Closed-End Management Investment Company That No Longer Has a Class of Securities Registered Under the Securities Exchange Act of 1934.  Filed by closed-end funds.","https://www.sec.gov/Archives/edgar/data/1133387/000113338705000007/0001133387-05-000007-index.html","https://www.sec.gov/Archives/edgar/data/1133387/000113338705000007/atc0405u13e1.txt"
"SP 15D2/A","2","Amendment to a certification filed by issuers repurchasing their own shares. This relates to updating or correcting information in a previously filed SP 15D2.","https://www.sec.gov/Archives/edgar/data/1522690/000121390012002315/0001213900-12-002315-index.html","https://www.sec.gov/Archives/edgar/data/1522690/000121390012002315/sp15d20412a1_gwg.htm"
"40-203A/A","2","Amendment to an application for an order under the Investment Company Act. Filed to make changes to an application seeking approval for specific actions by an investment company.","https://www.sec.gov/Archives/edgar/data/1256873/999999999703044919/9999999997-03-044919-index.html","https://www.sec.gov/Archives/edgar/data/1256873/999999999703044919/9999999997-03-044919.paper"
"1-E AD","2","Additional Exhibit to a notification of termination of reporting obligations. Filed by foreign private issuers to supplement a previously filed Form 1-E.","https://www.sec.gov/Archives/edgar/data/1649971/000089710116002286/0000897101-16-002286-index.html","https://www.sec.gov/Archives/edgar/data/1649971/000089710116002286/hcc160362_1e-ad.htm"
"SDR","2","Specialized Disclosure Report. Filed to provide information required by specific SEC rules or regulations, often related to complex financial instruments or transactions.","https://www.sec.gov/Archives/edgar/data/1655167/000165516716000005/0001655167-16-000005-index.html","https://www.sec.gov/Archives/edgar/data/1655167/000165516716000005/xslSDR_X01/primary_doc.xml"
"8-K15D5/A","2","Amendment to a Report of Termination of Registration under Section 12(g).  Used to correct information related to terminating a company's registration.","https://www.sec.gov/Archives/edgar/data/1070524/000094337401500051/0000943374-01-500051-index.html","https://www.sec.gov/Archives/edgar/data/1070524/000094337401500051/form_8k-051501.txt"
"11-KT/A","2","Amendment to a transition report.  Filed by companies that offer employee stock purchase, savings, or similar plans.","https://www.sec.gov/Archives/edgar/data/1210227/000121022715000054/0001210227-15-000054-index.html","https://www.sec.gov/Archives/edgar/data/1210227/000121022715000054/a12312014form11-k.htm"
"F-4EF","2","Post-Effective Amendment to a Registration Statement on Form F-4 Filed Solely to Add Exhibits. Filed to add exhibits to a registration statement for a business combination transaction involving foreign companies.","https://www.sec.gov/Archives/edgar/data/1753648/000149315220013062/0001493152-20-013062-index.html","https://www.sec.gov/Archives/edgar/data/1753648/000149315220013062/formf-4ef.htm"
"DEF-OC","2","Filed by companies that are soliciting proxies from their shareholders, typically for matters to be voted on at an annual meeting or a special meeting.","https://www.sec.gov/Archives/edgar/data/1047586/999999999707001345/9999999997-07-001345-index.html","https://www.sec.gov/Archives/edgar/data/1047586/999999999707001345/9999999997-07-001345.paper"
"40-203A","","Application for an Order under the Investment Company Act of 1940.   Filed by investment companies seeking approval from the SEC.","https://www.sec.gov/Archives/edgar/data/1446050/999999999709025763/9999999997-09-025763-index.html","https://www.sec.gov/Archives/edgar/data/1446050/999999999709025763/9999999997-09-025763.paper"
"39-310B","2","This relates to the transfer of assets between registered investment companies, potentially during a merger or restructuring.","https://www.sec.gov/Archives/edgar/data/7431/999999999702041008/9999999997-02-041008-index.html","https://www.sec.gov/Archives/edgar/data/7431/999999999702041008/9999999997-02-041008.paper"
"10-KSB/A","2","Amendment to an annual report for smaller reporting companies.   Used to correct errors or update information previously filed.","https://www.sec.gov/Archives/edgar/data/700890/000100544402000098/0001005444-02-000098-index.html","https://www.sec.gov/Archives/edgar/data/700890/000100544402000098/main.txt"
"19B-4","2","Filing of Plan for Allocation of Regulatory Responsibilities.  Relates to self-regulatory organizations and how they allocate their regulatory duties.","https://www.sec.gov/Archives/edgar/data/876798/999999999707036066/9999999997-07-036066-index.html","https://www.sec.gov/Archives/edgar/data/876798/999999999707036066/9999999997-07-036066.paper"
"NT-NCEN/A","2","Amendment to a notice of late filing for Form N-CEN.  This involves updating information related to a delayed filing by an investment company that intends to cease its registration.","https://www.sec.gov/Archives/edgar/data/1539996/000116204420000950/0001162044-20-000950-index.html","https://www.sec.gov/Archives/edgar/data/1539996/000116204420000950/americantcena202009.htm"
"CERTCSE","2","Certification.  This typically confirms the accuracy of information submitted to the Calcutta Stock Exchange (CSE).","https://www.sec.gov/Archives/edgar/data/757011/999999999706005731/9999999997-06-005731-index.html","https://www.sec.gov/Archives/edgar/data/757011/999999999706005731/9999999997-06-005731.paper"
"SBSEF/A","2","Amendment to a Small Business Issuer Financial Statement.  Used for correcting errors in the financial statements.","https://www.sec.gov/Archives/edgar/data/2032335/000203233524000003/0002032335-24-000003-index.html","https://www.sec.gov/Archives/edgar/data/2032335/000203233524000003/xslSBSEF_X01/primary_doc.xml"
"S-3D/A","2","Amendment to Registration Statement for Securities Offered through Dividend Reinvestment Plans.  Filed to update or correct information.","https://www.sec.gov/Archives/edgar/data/790523/000091191694000096/0000911916-94-000096-index.html","https://www.sec.gov/Archives/edgar/data/790523/"
"24F-2EL/A","2","Amendment to a Notice of Election to Compute Rule 24f-2 Fee on an Electronic Filing Basis.  This relates to how certain investment companies calculate registration fees.","https://www.sec.gov/Archives/edgar/data/736978/000073697896000001/0000736978-96-000001-index.html","https://www.sec.gov/Archives/edgar/data/736978/"
"40-RPT","2","Report.  This is a general term and could refer to various types of reports filed with the SEC.","https://www.sec.gov/Archives/edgar/data/37081/999999999705015581/9999999997-05-015581-index.html","https://www.sec.gov/Archives/edgar/data/37081/999999999705015581/9999999997-05-015581.paper"
"N-1","2","Registration Statement for Open-End Management Investment Companies.  Filed by mutual funds.","https://www.sec.gov/Archives/edgar/data/1521373/000152137312000045/0001521373-12-000045-index.html","https://www.sec.gov/Archives/edgar/data/1521373/000152137312000045/n1a.txt"
"486B24E","2","Post-Effective Amendment to a Registration Statement on Form N-1A Relating to Certain Closed-End Management Investment Companies. Filed by closed-end management investment companies to amend their registration statements after they have become effective.","https://www.sec.gov/Archives/edgar/data/783194/000095013196001610/0000950131-96-001610-index.html","https://www.sec.gov/Archives/edgar/data/783194/"
"35-APP/A","2","Amendment to Application.  Filed by a company to make changes or additions to a previously submitted application.","https://www.sec.gov/Archives/edgar/data/23752/000091476000000244/0000914760-00-000244-index.html","https://www.sec.gov/Archives/edgar/data/23752/000091476000000244/0000914760-00-000244-0001.txt"
"T-6","2","Notification of Suspension of Duty to File Reports Pursuant to Section 13 and 15(d) of the Securities Exchange Act of 1934.  Filed by companies when they are suspending their reporting obligations.","https://www.sec.gov/Archives/edgar/data/2002342/000110465923121645/0001104659-23-121645-index.html","https://www.sec.gov/Archives/edgar/data/2002342/000110465923121645/tm2324183d7_t6.htm"
"40-205E/A","","Amendment to an Application for an Order under the Investment Company Act of 1940. Filed to make changes or provide updates to information in the initial application.","https://www.sec.gov/Archives/edgar/data/1318686/999999999705051006/9999999997-05-051006-index.html","https://www.sec.gov/Archives/edgar/data/1318686/999999999705051006/9999999997-05-051006.paper"
"G-405/A","2","Amendment to a Certification of a Currency Backstop. Filed to update or correct information from a previously submitted certification, confirming that arrangements are in place to mitigate currency-related risks.","https://www.sec.gov/Archives/edgar/data/814494/999999999710016758/9999999997-10-016758-index.html","https://www.sec.gov/Archives/edgar/data/814494/999999999710016758/9999999997-10-016758.paper"
"ID-NEWCIK","1","New Central Index Key (CIK) Assignment.   This means that a new company or entity has been assigned a unique CIK by the SEC.","https://www.sec.gov/Archives/edgar/data/1305631/999999999604016980/9999999996-04-016980-index.html","https://www.sec.gov/Archives/edgar/data/1305631/999999999604016980/filename2.txt"
"486A24E","1","Post-Effective Amendment to a Registration Statement on Form N-1A Relating to Certain Unit Investment Trusts.   Filed to update information in a unit investment trust's registration statement.","https://www.sec.gov/Archives/edgar/data/81247/000008124794000025/0000081247-94-000025-index.html","https://www.sec.gov/Archives/edgar/data/81247/"
"NTN 11K","1","Notice of Late Filing of Form 11-K. Filed by companies that are late in submitting their Form 11-K, which is an annual report for employee stock purchase, savings, and similar plans.","https://www.sec.gov/Archives/edgar/data/27904/000095010994002389/0000950109-94-002389-index.html","https://www.sec.gov/Archives/edgar/data/27904/"
"10-M","1","General Form for Reports.  This form is used for various purposes, such as submitting reports required by specific SEC rules or regulations.","https://www.sec.gov/Archives/edgar/data/1892040/999999999722003033/9999999997-22-003033-index.html","https://www.sec.gov/Archives/edgar/data/1892040/999999999722003033/9999999997-22-003033.paper"
"REVOCATION","1","Revocation. This typically means the cancellation or withdrawal of a previously granted permission, license, or approval.","https://www.sec.gov/Archives/edgar/data/1621881/999999999721004808/9999999997-21-004808-index.html","https://www.sec.gov/Archives/edgar/data/1621881/999999999721004808/filename1.pdf"
"485BXTF","1","Post-Effective Amendment for Business Development Companies. This form is an amendment to a registration statement for a company operating as a Business Development Company (BDC).","https://www.sec.gov/Archives/edgar/data/837389/000083738997000007/0000837389-97-000007-index.html","https://www.sec.gov/Archives/edgar/data/837389/"
"SB-1MEF","1","Registration Statement.   This is for smaller companies that are also emerging growth companies (EGCs).","https://www.sec.gov/Archives/edgar/data/1121076/000110313201500055/0001103132-01-500055-index.html","https://www.sec.gov/Archives/edgar/data/1121076/000110313201500055/rlbody22462b.htm"
"REG-NR/A","1","Amendment to a registration statement filed by a foreign private issuer. This relates to updating or correcting information from a previously filed registration statement under the Securities Act.","https://www.sec.gov/Archives/edgar/data/1003316/999999999707052532/9999999997-07-052532-index.html","https://www.sec.gov/Archives/edgar/data/1003316/999999999707052532/9999999997-07-052532.paper"
"26","1","Application by a Non-resident General Partner of a Registered Investment Company for Order Permitting Operation of Foreign Business.  Filed with the SEC.","https://www.sec.gov/Archives/edgar/data/1159297/999999999702030139/9999999997-02-030139-index.html","https://www.sec.gov/Archives/edgar/data/1159297/999999999702030139/9999999997-02-030139.paper"
"U-33-S/A","1","Amendment to a report filed by trust indenture trustees. Used for making changes or providing updates to a previously filed Form U-33-S, which relates to the trustee's activities and the status of the trust.","https://www.sec.gov/Archives/edgar/data/30371/000095016801500249/0000950168-01-500249-index.html","https://www.sec.gov/Archives/edgar/data/30371/000095016801500249/formu33s_83414.txt"
"G-405N/A","1","Amendment to a certification of a currency backstop.  Used for updating or correcting information.","https://www.sec.gov/Archives/edgar/data/814494/999999999712012291/9999999997-12-012291-index.html","https://www.sec.gov/Archives/edgar/data/814494/999999999712012291/9999999997-12-012291.paper"
"UNDER/A","1","Amendment to a filing related to an underwritten public offering.   This involves changes or updates to the initial offering documents.","https://www.sec.gov/Archives/edgar/data/768836/000082002701500054/0000820027-01-500054-index.html","https://www.sec.gov/Archives/edgar/data/768836/000082002701500054/wd01s6.txt"
"10-QSB/A","1","Amendment to Quarterly Report for Smaller Reporting Companies.  Used for making changes or corrections to information in the initial 10-QSB.","https://www.sec.gov/Archives/edgar/data/1142488/000114248801500010/0001142488-01-500010-index.html","https://www.sec.gov/Archives/edgar/data/1142488/000114248801500010/rp10q901.txt"
"40-8F-B/A","1","Amendment to an application for an order under the Investment Company Act.  Used for correcting or adding information.","https://www.sec.gov/Archives/edgar/data/1141299/000092838501502830/0000928385-01-502830-index.html","https://www.sec.gov/Archives/edgar/data/1141299/000092838501502830/d408fba.txt"
"ADV/A","1","Amendment to a Form ADV, which is the primary registration form for investment advisers. This amendment likely relates to updates to the adviser's business, operations, or clients.","https://www.sec.gov/Archives/edgar/data/917785/999999999702010219/9999999997-02-010219-index.html","https://www.sec.gov/Archives/edgar/data/917785/999999999702010219/9999999997-02-010219.paper"
"10-KSB","1","Annual Report for Small Business Issuers. This form is a simplified version of the Form 10-K, providing a streamlined reporting process for smaller companies.","https://www.sec.gov/Archives/edgar/data/1059366/000102589402000146/0001025894-02-000146-index.html","https://www.sec.gov/Archives/edgar/data/1059366/000102589402000146/n_k111.txt"
"39-304D/A","1","Amendment to a notice of proposed change in fiscal year-end. Filed by companies that are making a change to their fiscal year and need to update the information previously submitted.","https://www.sec.gov/Archives/edgar/data/1276676/999999999704032164/9999999997-04-032164-index.html","https://www.sec.gov/Archives/edgar/data/1276676/999999999704032164/9999999997-04-032164.paper"
"PREA14C","1","Preliminary Information Statement. A preliminary version of the information statement, which is similar to a proxy statement but used for non-voting matters.","https://www.sec.gov/Archives/edgar/data/1013170/000101287099004456/0001012870-99-004456-index.html","https://www.sec.gov/Archives/edgar/data/1013170/000101287099004456/"
"NTN15D2","1","Notice of Late Filing of Schedule 15D-2. This notice is filed by issuers (companies) that are repurchasing their own shares and are unable to file their Schedule 15D-2, which reports on the repurchase program, by the required deadline.","https://www.sec.gov/Archives/edgar/data/1030179/000091205702012120/0000912057-02-012120-index.html","https://www.sec.gov/Archives/edgar/data/1030179/000091205702012120/a2075193znt15d2.txt"
"40-8FC/A","1","Amendment to a notice of proposed change in fiscal year end.  Filed by closed-end investment companies.","https://www.sec.gov/Archives/edgar/data/1160943/999999999702054425/9999999997-02-054425-index.html","https://www.sec.gov/Archives/edgar/data/1160943/999999999702054425/9999999997-02-054425.paper"
"NT 10-D/A","1","Amendment to a Notice of Late Filing for Form 10-D.   Filed by companies that previously submitted a notice about being late in filing their Form 10-D.","https://www.sec.gov/Archives/edgar/data/1394660/000090342309000196/0000903423-09-000196-index.html","https://www.sec.gov/Archives/edgar/data/1394660/000090342309000196/holmes-nt10da_0304.htm"
"AFDB/A","1","Amendment to a filing related to the African Development Bank. This could be an amendment to a loan agreement, a project financing document, or any other relevant filing.","https://www.sec.gov/Archives/edgar/data/785677/999999999703032844/9999999997-03-032844-index.html","https://www.sec.gov/Archives/edgar/data/785677/999999999703032844/9999999997-03-032844.paper"
"EBRD/A","1","Amendment to a filing related to the European Bank for Reconstruction and Development (EBRD). This amendment could pertain to a loan agreement, project financing, or other relevant documents filed with the SEC.","https://www.sec.gov/Archives/edgar/data/895027/999999999703040566/9999999997-03-040566-index.html","https://www.sec.gov/Archives/edgar/data/895027/999999999703040566/9999999997-03-040566.paper"
"U-12-IA/A","1","Amendment to Registration Statement for Certain Governments and Political Subdivisions.  Filed to update or correct information about the securities offering.","https://www.sec.gov/Archives/edgar/data/1120424/000112042402000003/0001120424-02-000003-index.html","https://www.sec.gov/Archives/edgar/data/1120424/000112042402000003/secform.txt"
