| 10-12B | Initial general form for registration of a class of securities pursuant to section 12(b) |
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| 10-12B/A | Amendment to Initial general form for registration of a class of securities pursuant to section 12(b) |
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| 10-12G | Initial general form for registration of a class of securities pursuant to section 12(g) |
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| 10-12G/A | Amendment to Initial general form for registration of a class of securities pursuant to section 12(g) |
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| 10-D | Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 |
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| 10-D/A | Amendment to Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 |
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| 10-K | Annual report pursuant to section 13 and 15(d) |
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| 10-K/A | Amendment to Annual report pursuant to section 13 and 15(d) |
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| 10-KT | Transition report pursuant to Rule 13a-10 or 15d-10 |
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| 10-KT/A | Amendment to Transition report pursuant to Rule 13a-10 or 15d-10 |
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| 10-Q | Quarterly report pursuant to sections 13 or 15(d) |
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| 10-Q PF | Pro forma version of Quarterly report pursuant to sections 13 or 15(d) |
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| 10-Q/A | Amendment to Quarterly report pursuant to sections 13 or 15(d) |
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| 10-QT | Transition report pursuant to Rule 13a-10 or 15d-10 |
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| 10-QT/A | Amendment to Transition report pursuant to Rule 13a-10 or 15d-10 |
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| 11-K | Annual report of employee stock purchase, savings and similar plans |
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| 11-K/A | Amendment to Annual report of employee stock purchase, savings and similar plans |
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| 11-KT | Transition report pursuant to rule 13a-10 or 15d10 |
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| 11-KT/A | Amendment to Transition report pursuant to rule 13a-10 or 15d10 |
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| 13F-HR | Initial Quarterly Form 13F Holdings report filed by institutional managers |
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| 13F-HR/A | Amendment to Initial Quarterly Form 13F Holdings report filed by institutional managers |
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| 13F-NT | Initial Quarterly Form 13F Notice Report filed by institutional managers |
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| 13F-NT/A | Amendment to Initial Quarterly Form 13F Notice Report filed by institutional managers |
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| 144 | Filing for proposed sale of securities under Rule 144 |
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| 144/A | Amendment to Filing for proposed sale of securities under Rule 144 |
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| 15-12B | Notice of termination of registration of a class of securities under Section 12(b) |
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| 15-12B/A | Amendment to Notice of termination of registration of a class of securities under Section 12(b) |
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| 15-12G | Notice of termination of registration of a class of securities under Section 12(g) |
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| 15-12G/A | Amendment to Notice of termination of registration of a class of securities under Section 12(g) |
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| 15-15D | Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
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| 15-15D/A | Amendment to Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
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| 15F-12B | Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b) |
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| 15F-12B/A | Amendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b) |
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| 15F-12G | Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g) |
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| 15F-12G/A | Amendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g) |
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| 15F-15D | Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
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| 15F-15D/A | Amendment to Notice of a foreign private issuer’s suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
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| 18-12B | Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b) |
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| 18-12B/A | Amendment to Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b) |
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| 18-12G | Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g) |
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| 18-12G/A | Amendment to Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g) |
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| 18-K | Annual report for foreign governments and political subdivisions |
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| 18-K/A | Amendment to Annual report for foreign governments and political subdivisions |
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| 1-E | Notification by Small Business Investment Companies and Business Development Companies |
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| 1-E/A | Amendment to Notification by Small Business Investment Companies and Business Development Companies |
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| 20-F | Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) |
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| 20-F/A | Amendment to Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) |
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| 20FR12B | Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) |
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| 20FR12B/A | Amendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) |
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| 20FR12G | Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) |
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| 20FR12G/A | Amendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) |
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| 24F-2NT | Rule 24F-2 notice filed on Form 24F-2 |
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| 24F-2NT/A | Amendment to Rule 24F-2 notice filed on Form 24F-2 |
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| 25 | Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange |
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| 25/A | Amendment to Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange |
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| 2-E | Report of Sales of Securities |
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| 2-E/A | Amendment to Report of Sales of Securities |
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| 3 | Initial statement of beneficial ownership of securities |
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| 3/A | Amendment to Initial statement of beneficial ownership of securities |
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| 305B2 | Application for designation of a new trustee under the Trust Indenture Act |
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| 305B2/A | Amendment to Application for designation of a new trustee under the Trust Indenture Act |
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| 4 | Statement of changes in beneficial ownership of securities |
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| 4/A | Amendment to Statement of changes in beneficial ownership of securities |
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| 40-17F1 | Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1 |
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| 40-17F1/A | Amendment to Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1 |
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| 40-17F2 | Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2 |
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| 40-17F2/A | Amendment to Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2 |
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| 40-17G | Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940 |
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| 40-17G/A | Amendment to Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940 |
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| 40-17GCS | Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940 |
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| 40-17GCS/A | Amendment to Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940 |
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| 40-24B2 | Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940 |
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| 40-24B2/A | Amendment to Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940 |
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| 40-33 | Copies of all stockholder derivative actions filed with a court against an investment company or an affiliate thereof pursuant to Section 33 of the Investment Company Act of 1940 |
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| 40-33/A | Amendment to Copies of all stockholder derivative actions filed with a court against an investment company or an affiliate thereof pursuant to Section 33 of the Investment Company Act of 1940 |
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| 40-6B | Application under the Investment Company Act by an employees’ securities company |
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| 40-6B/A | Amendment to Application under the Investment Company Act by an employees’ securities company |
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| 40-8B25 | Application Requesting Extension of Time for Filing Certain Information, Documents or Reports |
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| 40-8F-2 | Initial application for deregistration pursuant to Investment Company Act Rule 0-2 |
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| 40-8F-2/A | Amendment to Initial application for deregistration pursuant to Investment Company Act Rule 0-2 |
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| 40-APP | Applications under the Investment Company Act other than those reviewed by Office of Insurance Products |
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| 40-APP/A | Amendment to Applications under the Investment Company Act other than those reviewed by Office of Insurance Products |
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| 40-F | Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4 |
|---|
| 40-F/A | Amendment to Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4 |
|---|
| 40FR12B | Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act |
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| 40FR12B/A | Amendment to Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act |
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| 40FR12G | Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act |
|---|
| 40FR12G/A | Amendment to Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act |
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| 40-OIP | Applications under the Investment Company Act reviewed by Office of Insurance Products |
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| 40-OIP/A | Amendment to Applications under the Investment Company Act reviewed by Office of Insurance Products |
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| 424A | Prospectus filed pursuant to Rule 424(a) |
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| 424B1 | Prospectus filed pursuant to Rule 424(b)(1) |
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| 424B2 | Prospectus filed pursuant to Rule 424(b)(2) |
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| 424B3 | Prospectus filed pursuant to Rule 424(b)(3) |
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| 424B4 | Prospectus filed pursuant to Rule 424(b)(4) |
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| 424B5 | Prospectus filed pursuant to Rule 424(b)(5) |
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| 424B7 | Prospectus filed pursuant to Rule 424(b)(7) |
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| 424B8 | Prospectus filed pursuant to Rule 424(b)(8) |
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| 425 | Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions |
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| 485APOS | Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) |
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| 485BPOS | Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing) |
|---|
| 485BXT | Post-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) |
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| 486APOS | Post-effective amendment to filing filed pursuant to Securities Act Rule 486(a) |
|---|
| 486BPOS | Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b) |
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| 487 | Pre-effective pricing amendment filed pursuant to Securities Act Rule 487 |
|---|
| 497 | Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497 |
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| 497AD | Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 and the Note to Rule 482(c) |
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| 497H2 | Filings made pursuant to Rule 497(h)(2) |
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| 497J | Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497 |
|---|
| 497K | Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k) Cannot be used until March 31, 2009. |
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| 5 | Annual statement of changes in beneficial ownership of securities |
|---|
| 5/A | Amendment to Annual statement of changes in beneficial ownership of securities |
|---|
| 6-K | Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments |
|---|
| 6-K/A | Amendment to Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments |
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| 8-A12B | Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b) |
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| 8-A12B/A | Amendment to Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b) |
|---|
| 8-A12G | Form for registration of a class of securities pursuant to section 12(g) |
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| 8-A12G/A | Amendment to Form for registration of a class of securities pursuant to section 12(g) |
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| 8-K | Current report filing |
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| 8-K/A | Amendment to Current report filing |
|---|
| 8-K12B | Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b) |
|---|
| 8-K12B/A | Amendment to Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b) |
|---|
| 8-K12G3 | Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g) |
|---|
| 8-K12G3/A | Amendment to Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g) |
|---|
| 8-K15D5 | Notification of assumption of duty to report by successor issue under section 15(d) |
|---|
| 8-K15D5/A | Amendment to Notification of assumption of duty to report by successor issue under section 15(d) |
|---|
| ANNLRPT | Periodic Development Bank filing, submitted annually |
|---|
| ANNLRPT/A | Amendment to Periodic Development Bank filing, submitted annually |
|---|
| APP WD | Withdrawal of an application for exemptive or other relief from the federal securities laws |
|---|
| APP WD/A | Amendment to Withdrawal of an application for exemptive or other relief from the federal securities laws |
|---|
| ARS | Annual report to security holders |
|---|
| ARS/A | Amendment to Annual report to security holders |
|---|
| AW | Withdrawal of amendment to a registration statement filed under the Securities Act |
|---|
| AW WD | Withdrawal of a request for withdrawal of an amendment to a registration statement |
|---|
| CB | Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons |
|---|
| CB/A | Amendment to Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons |
|---|
| CORRESP | A correspondence can be sent as a document with another submission type or can be sent as a separate submission. |
|---|
| COVER | A cover letter must be sent as a document with another submission type. |
|---|
| DEF 14A | Definitive proxy statements |
|---|
| DEF 14C | Definitive information statements |
|---|
| DEFA14A | Additional definitive proxy solicitation materials |
|---|
| DEFA14C | Definitive additional information statement materials including Rule 14(a)(12) material |
|---|
| DEFC14A | Definitive proxy statement in connection with contested solicitations |
|---|
| DEFC14C | Definitive information statement – contested solicitations |
|---|
| DEFM14A | Definitive proxy statement relating to a merger,acquisition, or disposition |
|---|
| DEFM14C | Definitive information statement relating to merger or acquisition |
|---|
| DEFN14A | Definitive proxy statement filed by non management |
|---|
| DEFR14A | Definitive revised proxy soliciting materials |
|---|
| DEFR14C | Definitive revised information statement materials |
|---|
| DEL AM | Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement |
|---|
| DFAN14A | Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material |
|---|
| DFRN14A | Revised definitive proxy statement filed by non-management |
|---|
| DSTRBRPT | Distribution of primary obligations Development Bank report |
|---|
| DSTRBRPT/A | Amendment to Distribution of primary obligations Development Bank report |
|---|
| F-1 | Registration statement for securities of certain foreign private issuers |
|---|
| F-1/A | Amendment to Registration statement for securities of certain foreign private issuers |
|---|
| F-10 | Registration statement for securities of certain Canadian issuers under the Securities Act of 1933 |
|---|
| F-10/A | Amendment to Registration statement for securities of certain Canadian issuers under the Securities Act of 1933 |
|---|
| F-10EF | Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933 |
|---|
| F-10POS | Post-effective amendment to a F-10EF registration |
|---|
| F-1MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1 |
|---|
| F-3 | Registration statement for specified transactions by certain foreign private issuers |
|---|
| F-3/A | Amendment to Registration statement for specified transactions by certain foreign private issuers |
|---|
| F-3ASR | Automatic shelf registration statement of securities of well-known seasoned issuers |
|---|
| F-3D | Registration statement for dividend or interest reinvestment plan securities of foreign private issuers |
|---|
| F-3DPOS | Post-Effective amendment to a F-3D registration |
|---|
| F-3MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 3 |
|---|
| F-4 | Registration statement for securities issued by foreign private issuers in certain business combination transactions |
|---|
| F-4 POS | Post-effective amendment to a F-4EF registration |
|---|
| F-4/A | Amendment to Registration statement for securities issued by foreign private issuers in certain business combination transactions |
|---|
| F-4EF | Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions |
|---|
| F-4MEF | A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 4 |
|---|
| F-6 | Registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
|---|
| F-6 POS | Post-effective amendment to a F-6EF registration |
|---|
| F-6/A | Amendment to Registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
|---|
| F-6EF | Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers |
|---|
| F-7 | Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933 |
|---|
| F-7 POS | Post-effective amendment to a F-7 registration |
|---|
| F-7/A | Amendment to Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933 |
|---|
| F-8 | Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 |
|---|
| F-8 POS | Post-effective amendment to a F-8 registration |
|---|
| F-8/A | Amendment to Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 |
|---|
| F-80 | Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 |
|---|
| F-80/A | Amendment to Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 |
|---|
| F-80POS | Post-effective amendment to a F-80 registration |
|---|
| F-9 | Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933 |
|---|
| F-9 POS | Post-effective amendment to a F-9EF registration |
|---|
| F-9/A | Amendment to Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933 |
|---|
| F-9EF | Auto effective registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933 |
|---|
| F-N | Notification of the appointment of an agent for service by certain foreign institutions |
|---|
| F-N/A | Amendment to Notification of the appointment of an agent for service by certain foreign institutions |
|---|
| FWP | Filing under Securities Act Rules 163/433 of free writing prospectuses |
|---|
| F-X | For appointment of agent for service of process by issuers registering securities |
|---|
| F-X/A | Amendment to For appointment of agent for service of process by issuers registering securities |
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