| 10-12B |
Initial general form for registration of a class of securities pursuant to section 12(b) |
| 10-12B/A |
Amendment to Initial general form for registration of a class of securities pursuant to section 12(b) |
| 10-12G |
Initial general form for registration of a class of securities pursuant to section 12(g) |
| 10-12G/A |
Amendment to Initial general form for registration of a class of securities pursuant to section 12(g) |
| 10-D |
Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 |
| 10-D/A |
Amendment to Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 |
| 10-K |
Annual report pursuant to section 13 and 15(d) |
| 10-K/A |
Amendment to Annual report pursuant to section 13 and 15(d) |
| 10-KT |
Transition report pursuant to Rule 13a-10 or 15d-10 |
| 10-KT/A |
Amendment to Transition report pursuant to Rule 13a-10 or 15d-10 |
| 10-Q |
Quarterly report pursuant to sections 13 or 15(d) |
| 10-Q PF |
Pro forma version of Quarterly report pursuant to sections 13 or 15(d) |
| 10-Q/A |
Amendment to Quarterly report pursuant to sections 13 or 15(d) |
| 10-QT |
Transition report pursuant to Rule 13a-10 or 15d-10 |
| 10-QT/A |
Amendment to Transition report pursuant to Rule 13a-10 or 15d-10 |
| 11-K |
Annual report of employee stock purchase, savings and similar plans |
| 11-K/A |
Amendment to Annual report of employee stock purchase, savings and similar plans |
| 11-KT |
Transition report pursuant to rule 13a-10 or 15d10 |
| 11-KT/A |
Amendment to Transition report pursuant to rule 13a-10 or 15d10 |
| 13F-HR |
Initial Quarterly Form 13F Holdings report filed by institutional managers |
| 13F-HR/A |
Amendment to Initial Quarterly Form 13F Holdings report filed by institutional managers |
| 13F-NT |
Initial Quarterly Form 13F Notice Report filed by institutional managers |
| 13F-NT/A |
Amendment to Initial Quarterly Form 13F Notice Report filed by institutional managers |
| 144 |
Filing for proposed sale of securities under Rule 144 |
| 144/A |
Amendment to Filing for proposed sale of securities under Rule 144 |
| 15-12B |
Notice of termination of registration of a class of securities under Section 12(b) |
| 15-12B/A |
Amendment to Notice of termination of registration of a class of securities under Section 12(b) |
| 15-12G |
Notice of termination of registration of a class of securities under Section 12(g) |
| 15-12G/A |
Amendment to Notice of termination of registration of a class of securities under Section 12(g) |
| 15-15D |
Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
| 15-15D/A |
Amendment to Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act |
| 15F-12B |
Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b) |
| 15F-12B/A |
Amendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(b) |
| 15F-12G |
Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g) |
| 15F-12G/A |
Amendment to Notice of termination of a foreign private issuer’s registration of a class of securities under Section 12(g) |
| 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 |
| 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 |
| 18-12B |
Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b) |
| 18-12B/A |
Amendment to Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b) |
| 18-12G |
Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g) |
| 18-12G/A |
Amendment to Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g) |
| 18-K |
Annual report for foreign governments and political subdivisions |
| 18-K/A |
Amendment to Annual report for foreign governments and political subdivisions |
| 1-E |
Notification by Small Business Investment Companies and Business Development Companies |
| 1-E/A |
Amendment to Notification by Small Business Investment Companies and Business Development Companies |
| 20-F |
Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) |
| 20-F/A |
Amendment to Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) |
| 20FR12B |
Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) |
| 20FR12B/A |
Amendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) |
| 20FR12G |
Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) |
| 20FR12G/A |
Amendment to Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) |
| 24F-2NT |
Rule 24F-2 notice filed on Form 24F-2 |
| 24F-2NT/A |
Amendment to Rule 24F-2 notice filed on Form 24F-2 |
| 25 |
Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange |
| 25/A |
Amendment to Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange |
| 2-E |
Report of Sales of Securities |
| 2-E/A |
Amendment to Report of Sales of Securities |
| 3 |
Initial statement of beneficial ownership of securities |
| 3/A |
Amendment to Initial statement of beneficial ownership of securities |
| 305B2 |
Application for designation of a new trustee under the Trust Indenture Act |
| 305B2/A |
Amendment to Application for designation of a new trustee under the Trust Indenture Act |
| 4 |
Statement of changes in beneficial ownership of securities |
| 4/A |
Amendment to Statement of changes in beneficial ownership of securities |
| 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 |
| 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 |
| 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 |
| 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 |
| 40-17G |
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940 |
| 40-17G/A |
Amendment to Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940 |
| 40-17GCS |
Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940 |
| 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 |
| 40-24B2 |
Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940 |
| 40-24B2/A |
Amendment to Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940 |
| 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 |
| 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 |
| 40-6B |
Application under the Investment Company Act by an employees’ securities company |
| 40-6B/A |
Amendment to Application under the Investment Company Act by an employees’ securities company |
| 40-8B25 |
Application Requesting Extension of Time for Filing Certain Information, Documents or Reports |
| 40-8F-2 |
Initial application for deregistration pursuant to Investment Company Act Rule 0-2 |
| 40-8F-2/A |
Amendment to Initial application for deregistration pursuant to Investment Company Act Rule 0-2 |
| 40-APP |
Applications under the Investment Company Act other than those reviewed by Office of Insurance Products |
| 40-APP/A |
Amendment to Applications under the Investment Company Act other than those reviewed by Office of Insurance Products |
| 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 |
| 40FR12B/A |
Amendment to Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act |
| 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 |
| 40-OIP |
Applications under the Investment Company Act reviewed by Office of Insurance Products |
| 40-OIP/A |
Amendment to Applications under the Investment Company Act reviewed by Office of Insurance Products |
| 424A |
Prospectus filed pursuant to Rule 424(a) |
| 424B1 |
Prospectus filed pursuant to Rule 424(b)(1) |
| 424B2 |
Prospectus filed pursuant to Rule 424(b)(2) |
| 424B3 |
Prospectus filed pursuant to Rule 424(b)(3) |
| 424B4 |
Prospectus filed pursuant to Rule 424(b)(4) |
| 424B5 |
Prospectus filed pursuant to Rule 424(b)(5) |
| 424B7 |
Prospectus filed pursuant to Rule 424(b)(7) |
| 424B8 |
Prospectus filed pursuant to Rule 424(b)(8) |
| 425 |
Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions |
| 485APOS |
Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) |
| 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) |
| 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) |
| 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 |
| 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) |
| 497H2 |
Filings made pursuant to Rule 497(h)(2) |
| 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. |
| 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 |
| 8-A12B |
Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b) |
| 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) |
| 8-A12G/A |
Amendment to Form for registration of a class of securities pursuant to section 12(g) |
| 8-K |
Current report filing |
| 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 |
