Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
F-1 Registration statement for certain
foreign private
issuers
F-1/A - Pre-effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
|
|
F-1MEF A new registration statement filed under
Rule
462(b) to add securities to a prior
related
effective registration statement
filed on Form
POS462B -Post-effective amendment to
Securities Act Rule
462(b) registration statement
|
|
F-2 Registration statement for certain
foreign private
issuers
F-2/A Pre-effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
F-2D -Registration statement of
securities of certain
foreign private issuers issued under
dividend or
interest re-investment plans
F-2DPOS Post-effective amendment to a F-2D
registration
|
|
F-2MEF A new registration statement filed
under Rule
462(b) to add securities to a prior
related
effective registration statement
filed on Form
F-2
F-2MEF
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
F-3 Registration statement for specified transactions
by certain foreign private issuers
F-3
F-3/A Pre-Effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
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
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
|
|
F-4 Registration statement for securities
issued by
foreign private issuers in certain
business
combination transactions
F-4/A Pre-effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
F-4EF Auto effective registration statement
for
securities by certain foreign private
issuers in
connection with certain business
combination
transactions
F-4EF/A Amendment
F-4 POS Post-effective amendment to a F-4
registration
|
|
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
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
|
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F-6 Registration statement for American
Depositary
Receipts representing securities of
certain
foreign private issuers
F-6/A Pre-effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
F-6EF Auto effective registration statement
for
American Depositary Receipts
representing
securities of certain foreign private
issuers
F-6 POS Post-effective amendment to a F-6EF
registration
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
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/A Pre-effective amendment
F-7 POS Post-effective amendment to a F-7
registration
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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/A Pre-effective amendment
F-8 POS Post-effective amendment to a F-8
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/A Pre-effective amendment
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-9 POS Post-effective amendment to a F-9EF
registration
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
F-10 Registration statement for
securities of certain
Canadian issuers under the Securities
Act of
1933
F-10/A Pre-effective amendment
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
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|
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 Pre-effective amendment
F-80POS Post-effective amendment to a F-80
registration
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S-1 General form of registration
statement for all
companies including face-amount
certificate
companies
S-1/A Pre-effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
|
|
S-1MEF A new registration statement filed
under Rule
462(b) to add securities to a prior
related
effective registration statement
filed on Form S-1
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
|
|
S-2 Registration of securities of certain
issuers
S-2/A Pre-effective amendment
POS AM Post-effective amendment to a registration
statement that is not automatically
effective
upon filing
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
S-2MEF A new registration statement filed
under Rule
462(b) to add securities to a prior
related
effective registration statement
filed on Form S-2
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
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|
S-3 Registration statement for specified
transactions
by certain issuers
S-3/A Pre-effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
S-3D Automatically effective registration
statement
for securities issued pursuant to
dividend or
interest reinvestment plans
S-3DPOS Post-effective amendment to a S-3D
registration
statement
|
|
S-3MEF A new registration statement filed
under Rule
462(b) to add securities to a prior
related
effective registration statement
filed on Form S-3
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
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|
S-4 Registration of securities issued in
business
combination transactions
S-4/A Pre-effective amendment
(joint proxy statement/prospectus)
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
S-4EF Auto effective registration statement
for
securities issued in connection with
the
formation of a bank or savings and
loan holding
company in compliance with General
Instruction G
S-4EF/A Amendment
S-4 POS Post-effective amendment to a S-4EF
registration statement
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
S-4MEF A new registration statement filed
under Rule
462(b) to add securities to a prior
related
effective registration statement
filed on Form S-4
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
|
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S-8 Initial registration statement for
securities to be
offered to employees pursuant to
employee
benefit plans
S-8 POS Post-effective amendment to a S-8
registration
statement
|
|
S-11 Registration statement for
securities to be issued
by real estate companies
S-11/A Pre-effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
|
|
S-11MEF A new registration statement filed
under Rule
462(b) to add securities to a prior
related
effective registration statement
filed on Form S-11
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
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|
S-20 Registration statement for
standardized options
S-20/A Pre-effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
|
|
S-B Registration statement for securities
of foreign
governments and subdivisions thereof
under the
Securities Act of 1933 (Schedule B)
S-B/A Pre-effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
S-BMEF A new registration statement filed
under Rule
462(b) to add securities to a prior
related
effective registration statement
filed on Form S-B
POS462B Post-effective amendment to Securities
Act Rule
462(b) registration statement
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SB-1 Optional form for the initial
registration of
securities to be sold to the public
by small
business issuers
SB-1/A Pre-effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
Small business
issuers offering up to $10 million worth of securities in a 12-month period
|
|
SB-1MEF A new registration statement filed
under Rule
462(b) to add securities to a prior
related
effective registration statement
filed on Form SB-1
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
|
|
SB-2 Optional form for the registration of
securities to
be sold to the public by small
business issuers
SB-2/A Pre-effective amendment
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
A small business
issuer may register an unlimited dollar amount of securities
|
|
SB-2MEF A new registration statement filed
under Rule
462(b) to add securities to a prior
related
effective registration statement
filed on Form SB-2
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
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Filing Type (Blue text)
Description
Submission
Type (red text)
Description
|
|
POS462C Post-effective amendment to a
registration
statement filed under Rule 462(c)
POS462C
|
|
POS EX Post-effective amendment filed
solely to add
exhibits to a registration statement
POS EX
|
|
POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
POS AM
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PROSPECTUSES FILED PURSUANT
TO RULE 424
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)
424B4Prospectus 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)
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FILINGS PURSUANT TO THE
TRUST INDENTURE ACT
305B2 Application for designation of a new
trustee
under the Trust Indenture Act
305B2/A Amendment
|
|
T-3 Initial application for qualification
of trust
Indentures
T-3/A Pre-effective amendment
|
|
T-6 Application for determination of
eligibility of a
foreign person to act as
institutional trustee filed
pursuant to Section 310(a)(1) of the
Trust
Indenture Act of 1939
T-6/A Pre-effective amendment
Note: "Submission types" T-1 and
T-2 are not used as stand-alone submission types on the
EDGAR system. They are filed as EX-25
to registration statements.
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
FILINGS PURSUANT TO RULE 144
144 Filing for proposed sale of
securities under Rule
144/A Amendment to Form 144
Note: Form 144 may be filed electronically
on a
voluntary basis if the issuer of the
securities is a public company.
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MISCELLANEOUS FILINGS
DEL AM Separately filed delaying amendment
under
Securities Act Rule 473 to delay
effectiveness of
a 1933 Act registration statement
UNDER Initial undertaking to file reports
UNDER/A Amendment
SUPPL Voluntary supplemental material
filed pursuant
to Section 11(a) of the Securities
Act of 1933 by
foreign issuers
RW Registration Withdrawal Request
RW WD Withdrawal of a Registration
Withdrawal
Request
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
425 Filing under Securities Act Rule 425
of certain
prospectuses and communications in
connection
with business combination
transactions
Note: Form 425 can be filed as part of Form
8-
K. For filers subject to 8-K filing
requirements,
we recommend the use of the 8-K
combined
form type as the easiest method for
fulfilling
your filing requirement for both
forms
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
F-X For appointment of agent for service
of process
by issuers registering securities (if
filed on Form
F-8, F-9, F-10 or F-80, or
registering securities
or filing periodic reports on Form 40-F,
or by
any person filing certain tender
offer documents,
or by any person acting as trustee
with respect to
securities registered on Form F-7,
F-8, F-9 or F-10
F-X/A Amendment
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F-N Notification of the appointment of an
agent for
service by certain foreign
institutions
F-N/A Amendment
TABLE 2. Securities Exchange Act
- Proxy Materials and Information Statements Filed
Pursuant to Section 14
Submission types Accepted by EDGAR
PRELIMINARY PROXY
SOLICITING MATERIALS
PREM14A Preliminary proxy statements relating
to merger
or acquisition
PREC14A Preliminary
proxy statement in connection with
contested solicitations
PREN14A
Preliminary proxy statement filed by nonmanagement
PRE 14A Preliminary
proxy statement not related to a
contested matter or merger /
acquisition
PRELIMINARY INFORMATION
STATEMENTS
PREM14C Preliminary information statements
relating to
merger or acquisition
PREC14C Preliminary information statements –
contested
solicitations
PRE 14C Preliminary information statement
not related to
a contested matter or
merger/acquisition
REVISED PRELIMINARY
MATERIALS
PRER14A Preliminary revised proxy soliciting
materials
PRRN14A Revised preliminary proxy statement
filed by
non-management
PRER14C Preliminary revised information
statements
DEFINITIVE MATERIALS
(PROXY MATERIALS)
DEFM14A Definitive proxy statement relating
to merger or
acquisition
DEFC14A Definitive proxy statement in
connection with
contested solicitations
DEFN14A Definitive proxy statement filed by
non-management
DFRN14A Revised definitive proxy statement
filed by nonmanagement
DEFR14A Definitive revised proxy soliciting
materials
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
DEFA14A Definitive additional proxy
soliciting materials
including Rule 14(a)(12) material
Note: Submission type DEFA14A can be filed
as part of Form 8-K. For filers subject
to 8-K
filing requirements, we recommend the
use of
the 8-K combined form type as the
easiest
method for fulfilling your filing
requirement for
both forms
DFAN14A Definitive additional proxy soliciting materials
filed by non-management including
Rule
14(a)(12) material
Note: Submission type DFAN14A can be filed
as part of Form 8-K. For filers subject
to 8-K
filing requirements, we recommend the
use of
the 8-K combined form type as the
easiest
method for fulfilling your filing
requirement for
both forms
DEF 14A Definitive proxy statements
PX14A6G Notice of exempt solicitation
PX14A6N Notice of exempt solicitation for
the purpose of
determining whether to solicit
proxies, consents,
or authorizations in opposition to a
proposed
roll-up transaction filed pursuant to
Rule 14a6(g)
of the Securities Exchange Act of
1934
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DEFINITIVE MATERIALS
(INFORMATION STATEMENTS)
DEFM14C Definitive information statement
relating to
merger or acquisition
DEFC14C Definitive information statement –
contested
solicitations
DEF 14C Definitive information statements
DEFA14C Definitive additional information
statement
materials including Rule 14(a)(12)
material
DEFR14C Definitive revised information
statement
materials
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Securities Exchange Act - Registration
and Report Submission types Accepted by EDGAR
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
REGISTRATION STATEMENTS
8-A Form for the registration / listing
of a class of
securities on a national securities
exchange
pursuant to section 12(b)
8-A12B
8-A12B/A Amendment
8-A12G Form for registration of a class of
securities
pursuant to section 12(g)
8-A12G/A Amendment
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|
10 Initial general form for registration
of a class of
securities pursuant to section 12(b)
10-12B
10-12B/A Amendment
10-12G Initial general form for registration
of a class of
securities pursuant to section 12(g)
10-12G/A Amendment
|
|
10-SB Form for initial registration of a
class of
securities for small business issuers
pursuant to
section 12(b)
10SB12B
10SB12B/A Amendment
10SB12G Form for initial registration of a
class of
securities for small business issuers
pursuant to
section 12(g)
10SB12G/A Amendment
|
|
20-F Form for initial registration of a
class of
securities of foreign private issuers
pursuant to
section 12(b)
20FR12B
20FR12B/A Amendment
20FR12G Form for initial registration of a class of
securities of foreign private issuers
pursuant to
section 12(g)
20FR12G/A Amendment
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
40-F Registration of a class of securities
of certain
Canadian issuers pursuant to Section
12(b) of the
1934 Act
40FR12B
40FR12B/A Amendment
40FR12G Registration of a class of
securities of certain
Canadian issuers pursuant to Section
12(g) of the
1934 Act
40FR12G/A Amendment
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|
18 Form for initial registration of
securities of
foreign governments or political
subdivisions
pursuant to section 12(b)
18-12B
18-12B/A Amendment
18-12G Form for initial registration of
securities of
foreign governments or political
subdivisions
thereof pursuant to 12(g)
18-12G/A Amendment
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ANNUAL, QUARTERLY, AND PERIODIC REPORTS
ARS Annual report to security holders
ARS/A Amendment
Note: Use this submission type when
furnishing
the annual report to security holders
for
the information of the Commission
pursuant to Rule 14a-3(c) or Rule 14c-
3(b). Portions of the annual report
to
security holders filed with the
Commission as part of a registration
statement or periodic report should
be
filed as Exhibit 13, as provided by
Item
601 of Regulation S-K and S-B.
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|
6-K Current report of foreign issuer
pursuant to
Rules 13a-16 and 15d-16
6-K/A Amendments
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
10-Q Quarterly report pursuant to sections
13 or 15(d)
10-Q/A Amendment
10-QT Transition report pursuant to Rule
13a-10 or
15d-10
10-QT/A Amendment
|
|
10-QSB Optional form for quarterly and
transition
reports of small business issuers
under section
13 or 15(d)
10QSB/A Amendment
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|
10-K Annual report pursuant to section 13
and 15(d)
10-K/A Amendment
10-KT Transition report pursuant to Rule
13a-10 or
15d-10
10-KT/A Amendment
Filing requirements:
· A company
having any class of securities listed on a national
securities exchange (Section 12(b)), as well as those with
securities traded on NASDAQ or OTCBB
· An unlisted company having over $10 million of assets and 500 or more holders of any class of equity
securities (Section 12(g))
· A company
whose equity or debt securities were publicly sold pursuant to a
registration statement under the 1933 Act (Section 15(d))
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10KSB Optional form for annual and
transition reports
of small business issuers under
section 13 or
15(d)
10KSB/A Amendment
|
|
10-D Periodic distribution reports by
Asset-Backed
issuers pursuant to Rule 13a-17 or
15d-17
10-D/A Amendment
|
|
8-K Current report filing
8-K/A Amendment
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
8-K15D5 Notification of assumption of duty to
report by
successor issue under section 15(d)
8-K15D5/A Amendment
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
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
11-K Annual report of employee stock
purchase,
savings and similar plans
11-K/A Amendment
11-KT Transition report pursuant to rule
13a-10 or 15d-
10
11-KT/A Amendment
|
|
18-K Annual report for foreign
governments and
political subdivisions
18-K/A Amendment
|
|
20-F Annual and transition report of
foreign private
issuers pursuant to sections 13 or
15(d)
20-F/A Amendment
|
|
40-F Annual reports filed by certain
Canadian issuers
pursuant to Section 15(d) and Rule
15d-4
40-F/A Amendment
|
|
12b-25 Notification of inability to timely
file
NT 10-Q Notice under Rule 12b25 of inability
to timely
file all or part of a Form 10-Q or
10-QSB
NT 10-Q/A Amendment
NT 10-K Notice under Rule 12b25 of inability
to timely
file all or part of a Form 10-K,
10-KSB, or 10-
KT
NT 10-K/A Amendment
NT 10-D Notice under Rule 12b25 of inability
to timely
file all or part of a Form 10-D
NT 10-D/A Amendment
NT 11-K Notice under Rule 12b25 of inability
to timely
file all or part of a Form 11-K
NT 11-K/A Amendment
NT 15D2 Notice under Rule 12b25 of inability
to timely
file a special report pursuant to
section 15d-2
NT 15D2/A Amendment
NT 20-F Notice under Rule 12b25 of inability
to timely
file all or part of an annual report
of Form 20-F
NT 20-F/A Amendment
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
15 Notice of termination of registration
of a class of
securities under Section 12(b)
15-12B
15-12B/A Amendment
15-12G Notice of termination of registration
of a class of
securities under Section 12(g)
15-12G/A Amendment
15-15D Notice of suspension of duty to file
reports
pursuant to Section 13 and 15(d) of
the Act
15-15D/A Amendment
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|
See Rule
15d-2 Special Financial Report filed under
Rule 15d-2
SP 15D2
SP 15D2/A Amendment
|
MISCELLANEOUS SUBMISSION TYPES/FILINGS
Form 13F Initial Quarterly Form 13F Holdings
report filed
by institutional managers
13F-HR
13F-HR/A Amendment
13F-NT Initial Quarterly Form 13F Notice
Report filed
by institutional managers
13F-NT/A Amendment
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|
Form RW Registration Withdrawal Request
RW WD Withdrawal of a registration
withdrawal
statement
|
|
Form AW Withdrawal of amendment to a
registration
statement filed under the Securities
Act
AW WD Withdrawal of an amendment
registration
withdrawal statement
|
|
Form 425 Filing under Securities Act Rule 425
of certain
prospectuses and communications in
connection
with business combination
transactions
Note: Form 425 can be filed as part
of Form 8-
K. For filers subject to 8-K filing
requirements,
we recommend the use of the 8-K
combined
form type as the easiest method for
fulfilling
your filing requirement for both forms.
|
|
Form 25 Notification filed by issuer to
voluntarily
withdraw a class of securities from
listing and
registration on a national securities
exchange
25/A Amendment
Note: Changes for Submission types 25
and
25/A are to be used only in the event
the SEC
adopts the rule on mandatory
electronic filing of
the forms by issuers. The implementation
date
will be provided within the adopting
release.
(See Release No. 34-49858 (June 15,
2004) [69
FR 34860])
|
|
Williams Act Filing Submission
Types Accepted by EDGAR
Filing
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
Schedule
13D
Schedule filed to report acquisition
of beneficial
ownership of 5% or more of a class of
equity
securities
SC 13D
SC 13D/A Amendment
|
|
n/a Schedule 13-E1 statement of issuer
required by
Rule 13e-1
SC 13E1
SC 13E1/A Amendment
|
|
Schedule
13E-3
Schedule filed to report going
private
transactions
SC 13E3
SC 13E3/A Amendment
|
|
Schedule
13E4F
SC13E4F Issuer tender offer statement filed
pursuant to
Rule 13(e)(4) by foreign issuers
SC13E4F/A Amendment
|
|
Schedule
13G
Schedule filed to report acquisition
of beneficial
ownership of 5% or more of a class of
equity
securities by passive investors and certain
institutions
SC 13G
SC 13G/A Amendment
|
|
Schedule
TO-I
Issuer tender offer statement
SC TO-I
SC TO-I/A Amendment
|
|
Schedule
TO-T
Third party tender offer statement
SC TO-T
SC TO-T/A Amendment
|
|
Schedule
TO-C Written communication relating to an
issuer or
third party tender offer
SC TO-C 2
Note: Form Schedule TO-C can be filed as
part
of Form 8-K. For filers subject to 8-K
filing
requirements, we recommend the use of
the 8-K
combined form type as the easiest method
for
fulfilling your filing requirement
for both forms
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
Schedule
14D1F Third party tender offer statement
filed pursuant
to Rule 14d-1(b) by foreign issuers
SC14D1F
SC14D1F/A Amendment
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Schedule
14D9-C Written communication by the subject
company
relating to a third party tender
offer
SC14D9C
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Schedule
14D9 Tender offer solicitation /
recommendation
statements filed under Rule 14-d9
SC 14D9
SC 14D9/A Amendment
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Schedule
14D9F Solicitation/recommendation statement
pursuant
to Section 14(d)(4) of the Securities
Exchange
Act of 1934 and Rules 14d-1(b) and
14e-2(c) by
foreign issuers
SC14D9F
SC14D9F/A Amendment
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n/a Statement regarding change in
majority of
directors pursuant to Rule 14f-1
SC 14F1
SC 14F1/A Amendment
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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
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Public Utility Holding Company
Act Submission Types Accepted by EDGAR
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
REGISTRATION AND ANNUAL SUPPLEMENTS
Form U5A Notification of registration filed
under section
5(a) of the act
U5A/A Amendment
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Form U5B Registration statement filed under
section 5 of
the act
U5B/A Amendment
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Form U5S Annual report for holding companies
registered
pursuant to section 5 of the act
U5S/A Amendment
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APPLICATION AND DECLARATIONS
Form U-1 Application or declaration under the
act
U-1/A Pre-effective amendment
POS AMC Post-effective amendment to an
application or
declaration under the Public Utility
Holding Act
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Form U-13-1Application for approval of mutual
service
company filed pursuant to Rule 88
U-13-1/A Amendment
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STATEMENTS AND REPORTS
Form U-6B-2 Certificate of notification of
security issue,
renewal or guaranty filed pursuant to
Rule 20(d)
U-6B-2/A Amendment
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Form U-9C-3 Quarterly report concerning energy
and gasrelated
companies pursuant to Rule 58 of the
Act
U-9C-3/A Amendment
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Form U-57 Notification of Foreign Utility
Company Status
under Section 33(a)(2) of the Act
U-57/A Amendment
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Form U-12-IA Statement pursuant to section 12(i)
of the Act by
person employed or retained by a
registered
holding company or a subsidiary
thereof
U-12-IA/A Amendment
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Form U-12-IB Three-year statement pursuant to
section 12(i) of
the Act by person regularly employed
or retained
by a registered holding company or a
subsidiary
there of.
U-12-IB/A Amendment
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
Form U-13E-l Report by affiliate service companies
or
independent service companies filed
pursuant to
Rule 95
U-13E-l/A Amendment
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Rule U-R-1 Declaration as to solicitations filed
pursuant to
Rule 62
U-R-1/A Amendment
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PERIODIC ACCOUNTING REPORTS
Rule U-13-60 Annual report for mutual and
subsidiary service
companies filed pursuant to Rule 94
U-13-60/A Amendment
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STATEMENTS AND REPORTS FROM NON-REGISTERED (EXEMPT)
COMPANIES
Form U-3A-2 Statement by holding company
claiming
exemption from provisions of the act
pursuant to
Rule 2
U-3A-2/A Amendment
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Form U-3A3-1 Twelve-month statement by bank
claiming
exemption from provisions of the act
pursuant to
Rule 3
U-3A3-1/A Amendment
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Form U-7D Certificate concerning lease of a
utility facility
filed pursuant to Rule 7(d)
U-7D/A Amendment
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Form U-33-S Annual report Concerning Foreign
Utility
Companies pursuant to Section 33(e)
of the Act
U-33-S/A Amendment
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MISCELLANEOUS
Rule 35-APP Statement concerning proposed
transaction for
which no form of application is
prescribed filed
pursuant to Rule 20(e)
35-APP/A Amendment
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
Rule 35-CERT Certificate concerning terms and
conditions filed
pursuant to Rule 24
35-CERT/A Amendment
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Rule 45B-3 Transitional statement concerning
extensions of
credit filed pursuant to Rule
45(b)(3)
45B-3/A Amendment
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Investment Company Submission
types Accepted by EDGAR
Forms S-1 & S-3 Registration statement for
face-amount
certificate companies
S-1 General form of registration
statement for all
companies including face-amount
certificate
companies
S-1/A Pre-effective amendment
S-3 Registration statement for specified
transactions
by certain issuers including
face-amount
certificate companies
S-3/A Pre-effective amendment
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POS AM Post-effective amendment to a
registration
statement that is not automatically
effective
upon filing
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497 Definitive materials filed under
paragraph (a),
(b), (c), (d), (e) or (f) of
Securities Act Rule 497
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497J Certification of no change in
definitive materials
under paragraph (j) of Securities Act
Rule 497
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
Forms N-1 & N-1A
Registration statement for open-end
management investment companies
N-1A Initial registration statement filed
on Form N-1A
for open-end management investment
companies
N-1A/A Pre-effective amendment to a
registration
statement filed on Form N-1A for
open-end
management investment companies (this
filing
cannot be submitted as a 1940 Act
only filing)
N-1Initial registration statement filed
on Form N-1
for open-end management investment
companies
N-1/A Pre-effective amendment to a
registration
statement filed on Form N-1 for
open-end
management investment companies (this
filing
cannot be submitted as a 1940 Act
only filing)
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)
POS AMI Amendment (for filings made under
the 1940
Act only)
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)
497 Definitive materials filed under
paragraph (a),
(b), (c), (d), (e) or (f) of
Securities Act Rule 497
497J Certification of no change in
definitive materials
under paragraph (j) of Securities Act
Rule 497
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
Rule 498 Profiles for certain open-end
management
investment companies filed pursuant
to
Securities Act Rule 497(k)(1)(i)
497K1
497K2 Profiles for certain open-end
management
investment companies filed pursuant
to
Securities Act Rule 497(k)(1)(ii)
497K3A Profiles for certain open-end
management
investment companies filed pursuant
to
Securities Act Rule 497(k)(1)(iii)(A)
497K3B Profiles for certain open-end
management
investment companies filed pursuant
to
Securities Act Rule 497(k)(1)(iii)(B)
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Form N-2 Initial filing of a registration statement on Form
N-2 for closed-end investment
companies
N-2/A Pre-effective amendment to a
registration
statement on Form N-2 for closed-end
investment companies (this filing
cannot be
submitted as a 1940 Act only filing)
POS AMI Amendment (for filings made under
the 1940
Act only)
POS 8C Post-effective amendment filed under
the 1933
Act only or under both the 1933 and
1940 Acts
pursuant to Section 8(c) of the 1933
Act by
closed-end investment companies (this
filing
cannot be submitted as a 1940 Act
only filing)
N-2 Filing of a registration statement on
Form N-2
for closed-end investment companies
filed
pursuant to Securities Act Rule
486(a)
486APOS Post-effective amendment to filing
filed pursuant
to Securities Act Rule 486(a)
N-2 Filing of a registration statement on
Form N-2
for closed-end investment companies
filed
pursuant to Securities Act Rule
486(b)
486BPOS Post-effective amendment to filing
filed pursuant
to Securities Act Rule 486(b)
497 Definitive materials filed under
paragraph (a),
(b), (c), (d), (e) or (f) of
Securities Act Rule 497
497J Certification of no change in
definitive materials
N-2MEF A new registration statement on Form
N-2 filed
under Securities Act Rule 462(b) by closed-end
investment companies of up to an
additional
20% of securities for an offering
that was
registered on Form N-2
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
POS462C Post-effective amendment to a
registration
statement filed under Securities Act
Rule 462(c)
POS EX Post-effective amendment filed
solely to add
exhibits to a registration statement
497 Definitive materials filed under
paragraph (a),
(b), (c), (d), (e) or (f) of
Securities Act Rule 497
497H2 Filings made pursuant to Rule
497(h)(2)
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
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TABLE 6. Investment Company
Submission types Accepted by EDGAR (Continued)
Form N-3 Initial registration statement on
Form N-3 for
separate accounts (management
investment
companies)
N-3/A Pre-effective amendment to a
registration
statement on Form N-3 for separate
accounts
(management investment
companies)(this filing
cannot be submitted as a 1940 Act
only filing)
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)
POS AMI Amendment (for filings made under
the1940 Act
only)
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)
497 Definitive materials filed under
paragraph (a),
(b), (c), (d), (e) or (f) of
Securities Act Rule 497
497J Certification of no change in
definitive materials
under paragraph (j) of Securities Act
Rule 497
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Form N-4 Initial registration statement on
Form N-4 for
separate accounts (unit investment
trusts)
N-4/A Pre-effective amendment to a
registration
statement on Form N-4 for separate
accounts
(unit investment trusts)(this filing
cannot be
submitted as a 1940 Act only filing)
487 Pre-effective pricing amendment
filed pursuant
to Securities Act Rule 487
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)
POS AMI Amendment (for filings made under
the1940 Act
only)
497 Definitive materials filed under
paragraph (a),
(b), (c), (d), (e) or (f) of
Securities Act Rule 497
497J Certification of no change in
definitive materials
under paragraph (j) of Securities Act
Rule 497
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
Form N-6 Registration statement for separate
accounts
(unit investment trusts)
N-6/A Pre-effective amendment to a
registration
statement filed on Form N-6 for
separate
accounts (unit investment trusts)
487 Pre-effective pricing amendment
filed pursuant
to Securities Act Rule 487
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)
POS AMI Amendment (for filings made under
the1940 Act
only)
497 Definitive materials filed under
paragraph (a),
(b), (c), (d), (e) or (f) of
Securities Act Rule 497
497J Certification of no change in
definitive materials
under paragraph (j) of Securities Act
Rule 497
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Form S-6 Initial registration statement filed
on Form S-6
for unit investment trusts
S-6/A Pre-effective amendment
487 Pre-effective pricing amendment
filed pursuant
to Securities Act Rule 487
UNDER Initial undertaking to file reports
UNDER/A Amendment
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)
497 Definitive materials filed under
paragraph (a),
(b), (c), (d), (e) or (f) of
Securities Act Rule 497
497J Certification of no change in
definitive materials
under paragraph (j) of Securities Act
Rule 497
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
Form N-5 Registration statement for small
business
investment companies
N-5/A Pre-effective amendment to a registration
statement on Form N-5 for small
business
investment companies (this filing
cannot be
submitted as a 1940 Act only filing)
POS AMI Amendment (for filings made under
the1940 Act
only)
POS 8C Post-effective amendment filed under
the 1933
Act only or under both the 1933 and
1940 Acts
pursuant to Section 8(c) of the 1933
Act by
closed-end investment companies (this
filing
cannot be submitted as a 1940 Act
only filing)
497 Definitive materials filed under
paragraph (a),
(b), (c), (d), (e) or (f) of
Securities Act Rule 497
497J Certification of no change in
definitive materials
under paragraph (j) of Securities Act
Rule 497
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Form N-14 Initial registration statement filed
on Form N-14
for open-end investment company (business
combinations)
N-14/A Pre-effective amendment
N-14AE Initial registration statement field
on Form N-14
by open-end investment company with
automatic effectiveness under Rule
488
(business combinations)
N-14AE/A Pre-effective amendment
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)
N-14 8C Initial registration statement filed
on Form N-14
by closed-end investment company
(business
combinations)
N-14 8C/A Pre-effective amendment
POS 8C Post-effective amendment filed under
the 1933
Act only or under both the 1933 and
1940 Acts
pursuant to Section 8(c) of the 1933
Act by
closed-end investment companies (this
filing
cannot be submitted as a 1940 Act
only filing)
497 Definitive materials filed under
paragraph (a),
(b), (c), (d), (e) or (f) of
Securities Act Rule 497
497J Certification of no change in
definitive materials
under paragraph (j) of Securities Act
Rule 497
N-14MEF A new registration statement filed
on Form N-14
by closed end investment companies
filed under
Securities Act Rule 462(b) of up to an
additional
20% of securities for an offering
that was
registered on Form N-14
POS462B Post-effective amendment to
Securities Act Rule
462(b) registration statement
POS462C Post-effective amendment to
Securities Act Rule
462(c) registration statement
497 Definitive materials filed under
paragraph (a),
(b), (c), (d), (e) or (f) of
Securities Act Rule 497
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
MISCELLANEOUS FILINGS UNDER THE SECURITIES ACT
Rule 425 Filing under Securities Act Rule 425
of certain
prospectuses and communications in
connection
with business combination
transactions
Note: Form 425 can be filed as part of Form
8-
K.
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|
Rule 473 Separately filed delaying amendment
under
Securities Act Rule 473 to delay
effectiveness of
a 1933 Act registration statement
DEL AM
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Rule 477 Registration Withdrawal Request
RW
RW WD Withdrawal of a request for
withdrawal of a
registration statement
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
|
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Rule 482 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)
497AD
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REGISTRATION OF SECURITIES BY CERTAIN
INVESTMENT COMPANIES
PURSUANT TO RULE 24F-2.
Rule 24f-2 notice filed on Form 24F-2
24F-2NT
24F-2NT /A Amendment
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OTHER COMPANY ACT REGISTRATION
STATEMENTS
Form N-8A Initial notification of registration
under section
8(a) filed on Form N-8A
N-8A/A Amendment
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Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
Form N-8B-2 Initial registration statement for
unit investment
trusts filed on Form N-8B-2
N-8B-2/A Amendment
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Form N-8B-3 Initial registration statement for
periodic
payment plans filed on Form N-8B-3
N-8B-3/A Amendment
|
|
Form N-8B-4 Initial registration statement for
face-amount
certificate companies filed on Form
N-8B-4
N-8B-4/A Amendment
|
SUBMISSION TYPES FOR BUSINESS DEVELOPMENT COMPANIES
Form N-6F Notice of intent by business
development
companies to elect to be subject to
Sections 55
through 65 of the 1940 Act filed on
Form N-6F
N-6F/A Amendment
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Form N-54A Notification of election by business
development
companies filed on Form N-54A
N-54A/A Amendment
|
|
Form N-54C Notification of withdrawal by business
development companies filed on Form
N-54C
N-54C/A Amendment
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
OTHER INVESTMENT COMPANY SUBMISSION TYPES
Rule 8b-25(a) Filing by investment company of
application
under Investment Company Act Rule
8b-25(a)
requesting extension of time for
filing certain
information, document or report
40-8B25
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Form 17F-1 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
40-17F1/A Amendment
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Form 17F-2 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
40-17F2/A Amendment
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Rule 17g-1(g)(1) Fidelity bond filed pursuant to Rule
17g-1(g)(1)
of the Investment Company Act of 1940
40-17G
40-17G/A Amendment
Note: May be filed electronically on a
voluntary
basis.
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Rule 17g-1(g)(2) or (3) Filings of claim or settlement
pursuant to rule
17g-1(g)(1)(2) or (3) of the
Investment
Company Act of 1940
40-17GCS
40-17GCS/A Amendment
Note: May be filed electronically on a
voluntary
basis.
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Rule 24b-2 Filing of sales literature pursuant
to Rule 24b-2
under the Investment Company Act of
1940
40-24B2
40-24B2/A Amendment
Note: May be filed electronically on a
voluntary
basis.
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
ICA Section 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
40-33/A Amendment
Note: May be filed electronically on a
voluntary
basis.
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Form N-18F-1 Initial notification of election
pursuant to Rule
18f-1 filed on Form N-18F-1
N-18F1/A Amendment
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Rule 23c-2(b) Notice by closed-end investment
companies of
intention to call or redeem their own
securities
under Investment Company Act Rule
23c-2
N-23C-2
N-23C-2/A Amendment
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Form N-23C-3 Notification of periodic repurchase
offer Filed
pursuant to Rule 23c-3(b) only
N-23C3A
N-23C3A/A Amendment
N-23C3B Filing pursuant to Rule 23c-3(c)
only on Form
N-23C-3
N-23C3B/A Amendment
N-23C3C Filing pursuant to Rule 23c-3(b) and
(c) on Form
N-23C-3
N-23C3C/A Amendment
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Form N-27D-1 Accounting for segregated trust
accounts on
Form N-27D-1
N-27D-1/A Amendment
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
PERIODIC REPORTS FOR REGISTERED INVESTMENT COMPANIES
Form NSAR Semi-annual report for management
companies
filed on Form N-SAR
NSAR-A
NSAR-A/A Amendment
NSAR-AT Transitional semi-annual report filed
on Form NSAR
NSAR-AT/A Amendment
NSAR-B Annual report for management
companies filed
on Form N-SAR
NSAR-B/A Amendment
NSAR-BT Transitional annual report filed on
Form N-SAR
NSAR-BT/A Amendment
NSAR-U Annual report for unit investment
trusts filed on
Form N-SAR
NSAR-U/A Amendment
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Form NCSR Certified annual shareholder report
of registered
management investment companies filed
on
Form N-CSR
N-CSR/A Amendment
N-CSRS Certified semi-annual shareholder
report of
registered management investment
companies
filed on Form N-CSR
N-CSRS/A Amendment
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Form NPX Annual Report of Proxy Voting Record
of
Registered Management Investment
Companies
filed on Form N-PX
N-PX
N-PX/A Amendment
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
Form N-Q Quarterly Schedule of Portfolio
Holdings of
Registered Management Investment
Company
filed on Form N-Q
N-Q/A Amendment
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|
Rule 12b-25 Notice under Exchange Act Rule 12b-25
of
inability to timely file Form N-SAR
NT-NSAR
NT-NSAR/A Amendment
NT-NCSR Notice under Exchange Act Rule 12b-25
of
inability to timely file Form N-CSR
(annual or
semi-annual report)
NT-NCSR/A Amendment
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Rule 30b2-1 Initial annual and semi-annual
reports mailed to
investment company shareholders
pursuant to
Rule 30e-1 (other than those required
to be
submitted as part of Form N-CSR)
N-30D
N-30D/A Amendment
N-30B-2 Periodic and interim reports mailed
to
investment company shareholders
(other than
annual and semi-annual reports mailed
to
shareholders pursuant to Rule 30e-1)
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APPLICATION FOR DEREGISTRATION OF INVESTMENT COMPANIES
Form N-8F Application for deregistration made
on Form N-
8F
N-8F/A Amendment
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|
Rule 0-2 Initial application for
deregistration pursuant to
Investment Company Act Rule 0-2
40-8F-2
40-8F-2/A Amendment
|
Filing Type (Blue text) submission type is the same as filing type
Description
Submission Type (red text)
Description
|
|
Development Bank Submission
Types Accepted by EDGAR
QRTLYRPT Periodic Development Bank filing,
submitted
quarterly
QRTLYRPT/A Amendment
ANNLRPT Periodic Development Bank filing,
submitted
annually
ANNLRPT/A Amendment
DSTRBRPT Distribution of primary obligations
Development Bank report
DSTRBRPT/A Amendment
Notes: (1) These submission types are to be filed
ONLY by the Development Banks.
(2) BW-2 and BW-3 submission types
have been rescinded;
Correspondence Submission Types
Correspondence A correspondence can
be sent as a
document with another submission type
or can be sent as a separate
submission.
Correspondence is not publicly
disseminated immediately. The SEC
staff may release all or portions of
these
documents electronically if they
relate to
the staff’s review process. See SEC
Press Release 2004-89, “SEC Staff to
Publicly Release Comment Letters and
Responses.”
CORRESP 4
Form REGDEX -- Registration of sale of securities
[Regulation D and Section 4(6) of the Securities Act of 1933]
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2008 Published by A. Andrew Harrison CPA P.C (A registered
New York State Corp).
