SEC Filings Accepted Types Description

3.
INDEX TO FORMS
As a filer, you will first need to determine whether you must meet your filing obligation via
EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for
Electronic Filings, outline which filings are mandated as electronic. This means that they must be
filed on EDGAR unless there is a case for Temporary or Continuing Hardship. (The rules for
each form and hardship exemptions may differ, so please see the regulation for specific
information.) Once you determine the form you need to file is electronic, then you need to
identify the submission type to use. For each submission type, there are specific tools that you
can use.
As the EDGAR system has evolved using new technologies, tools have been added, changed,
and sometimes updated. There is no longer a single tool for preparing an EDGAR submission.
Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic
submission types easily if all you know is the submission form type. Included in the last two
columns is detailed information about the tools that are used to create and/or assemble the filing.
The second index is easiest to use if you are more comfortable looking up your submission type
by Act.
Before using the indexes, it is important to understand the difference between the Code of
Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission
Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of
the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form
variations filers use on the electronic filing system to fulfill their filing obligation. For example,
the paper Form 15 is implemented on EDGAR as a number of different submission types
including: 15-12B, 15-12G, and 15-15D. The last three digits represent the section of the 34 Act
under which the filer is obligated to file periodic reports.
Using either Index, find the submission type, check that the description of the form matches your
understanding of the purpose of the form, and identify the tool that should be used to create the
form. The options in this column are EDGARLink Online, and Online Forms. There is a section
in this manual describing in detail each of these tools. Chapter 7, “Preparing and Transmitting
EDGARLink Online Submissions,” describes EDGARLink Online. Chapter 8, “Preparing and
Transmitting Online Submissions,” describes online submissions using the EDGAR Online
Forms Website and EDGAR Filing Website. The column entitled Filer-Constructed Technical
Specifications should only be used by filers who want to create their submissions without the use
of EDGAR tools. These Technical Specifications are available on the SEC’s Public Website. The
Technical Specifications are delivered separately and are not part of the Filer Manual.
Note: In Section 3.1, “Alpha/Numeric” for simplicity we include both the initial form and the
associated amendment in the Submission Type column.
December 2020 3-1 EDGAR Filer Manual (Volume II)

3.1 Alpha/Numeric
Tool/ Filer-
Submission Type Description Template Constructed
Number Form Spec.
1-A, 1-A/A Offering statement under Regulation A EDGAR EDGAR
Filing REG A XML
Website Technical
Specification
1-A POS Post-qualification amendment to a 1-A offering EDGAR EDGAR
statement Filing REG A XML
Website Technical
Specification
1-A-W, 1-A-W/A Withdrawal of offering statement under Regulation A EDGARLink EDGARLink
Online Online XML
Technical
Specification
1-E, 1-E/A Notification under Regulation E by small business EDGARLink EDGARLink
investment companies and business development Online Online XML
companies. Technical
Specification
1-E AD, 1-E AD/A Sales material filed pursuant to Rule 607 under EDGARLink EDGARLink
Regulation E. Online Online XML
Technical
Specification
1-K, 1-K/A Annual Report Pursuant to Regulation A EDGAR EDGAR
Filing REG A XML
Website Technical
Specification
1-SA, 1-SA/A Semiannual Report Pursuant to Regulation A EDGARLink EDGARLink
Online Online XML
Technical
Specification
1-U, 1-U/A Current Report pursuant to Regulation A EDGARLink EDGARLink
Online Online XML
Technical
Specification
1-Z, 1-Z/A Exit Report under Regulation A EDGAR EDGAR REG
Filing A XML
Website Technical
Specification
1-Z-W, 1-Z-W/A Withdrawal of Exit Report under Regulation A EDGARLink EDGARLink
Online Online XML
Technical
Specification
EDGAR Filer Manual (Volume II) 3-2 December 2020

Tool/ Filer-
Number Form Spec.
253G1 Reflects information previously omitted from the EDGARLink EDGARLink
offering circular in reliance on Rule 253(b) Online Online XML
Technical
Specification
253G2 Reflects information that constitutes a substantive EDGARLink EDGARLink
change from or addition to the information set forth in Online Online XML
the last offering circular Technical
Specification
253G3 Reflects information covered in both 253G1 and EDGARLink EDGARLink
253G2 Online Online XML
Technical
Specification
253G4 Reflects information covered in 253G1, 253G2 or EDGARLink EDGARLink
253G3 that is not being timely filed Online Online XML
Technical
Specification
2-E, 2-E/A Report of sales of securities pursuant to Rule 609 EDGARLink EDGARLink
under Regulation E. Online Online XML
Technical
Specification
10-12B, 10-12B/A Initial general form for registration of a class of EDGARLink EDGARLink
securities pursuant to Section 12(b) Online Online XML
Technical
Specification
10-12G, 10-12G/A Initial general form for registration of a class of EDGARLink EDGARLink
securities pursuant to Section 12(g) Online Online XML
Technical
Specification
10-D, 10-D/A Periodic distribution reports by asset-backed issuers EDGARLink EDGARLink
pursuant to Rule 13a-17 or 15d-17 Online Online XML
Technical
Specification
10-K, 10-K/A Annual report pursuant to Section 13 and 15(d) EDGARLink EDGARLink
Online Online XML
Technical
Specification
10-KT, 10-KT/A Transition report pursuant to Rule 13a-10 or 15d-10 EDGARLink EDGARLink
Online Online XML
Technical
Specification
10-Q, 10-Q/A Quarterly report pursuant to Section 13 or 15(d) EDGARLink EDGARLink
Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
10-QT, 10-QT/A Transition report pursuant to Rule 13a-10 or 15d-10 EDGARLink EDGARLink
Online Online XML
Technical
Specification
11-K, 11-K/A Annual report of employee stock purchase, savings EDGARLink EDGARLink
and similar plans Online Online XML
Technical
Specification
11-KT, 11-KT/A Transition report pursuant to rule 13a-10 or 15d-10 EDGARLink EDGARLink
Online Online XML
Technical
Specification
13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings Report filed by EDGAR EDGAR
institutional managers Filing Form 13F
Website XML
Online Forms Technical
Specification
13F-NT, 13F-NT/A Initial Quarterly Form 13F Notice Report filed by EDGAR EDGAR
institutional managers Filing Form 13F
Website XML
Specification
13H, 13H-Q, Large Trader Registration Information Required of EDGAR N/A
13H-A, 13H-I, Large Traders Pursuant to the Securities Exchange Filing
13H-R, 13H-T Act of 1934 and Rule 13h-1 Thereunder. Initial Filing Website
(13H), Amended Filing (13H-Q), Annual Filing (13H- Online Forms
A), Inactive Status (13H-I), Reactivated Status (13H-
R), and Termination Filing (13H-T)
144, 144/A Filing for proposed sale of securities under Rule 144 EDGARLink EDGARLink
Online Online XML
Technical
Specification
15-12B, 15-12B/A Notice of termination of registration of a class of EDGARLink EDGARLink
securities under Section 12(b) Online Online XML
Technical
Specification
15-12G, 15-12G/A Notice of termination of registration of a class of EDGARLink EDGARLink
securities under Section 12(g) Online Online XML
Technical
Specification
15-15D, 15-15D/A Notice of suspension of duty to file reports pursuant EDGARLink EDGARLink
to Section 13 and 15(d) of the Act Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
15F-12B, Notice of termination by a Foreign Private Issuer of a EDGARLink EDGARLink
15F-12B/A class of equity securities under Section 12(b) Online Online XML
Technical
Specification
15F-12G, Notice of termination of a foreign private issuer’s EDGARLink EDGARLink
15F-12G/A registration of a class of securities under Section Online Online XML
12(g). Technical
Specification
15F-15D, Notice of a foreign private issuer’s suspension of EDGARLink EDGARLink
15F-15D/A duty to file reports pursuant to Section 13 and 15(d) Online Online XML
of the Act Technical
Specification
17HACON, Confidential broker dealer annual 17-H report EDGAR EDGAR
17HACON/A Filing Form 17-H
Website XML
Specification
17HQCON, Confidential broker dealer quarterly 17-H report EDGAR EDGAR
17HQCON/A Filing Form 17-H
Website XML
Specification
18-12B, 18-12B/A Form for initial registration of securities of foreign EDGARLink EDGARLink
governments or political subdivisions pursuant to Online Online XML
Section 12(b) Technical
Specification
18-12G, 18-12G/A Form for initial registration of securities of foreign EDGARLink EDGARLink
governments or political subdivisions thereof Online Online XML
pursuant to Section 12(g) Technical
Specification
18-K, 18-K/A Annual report for foreign governments and political EDGARLink EDGARLink
subdivisions Online Online XML
Technical
Specification
20-F, 20-F/A Annual and transition report of foreign private issuers EDGARLink EDGARLink
pursuant to Section 13 or 15(d) Online Online XML
Technical
Specification
20FR12B, Form for initial registration of a class of securities of EDGARLink EDGARLink
20FR12B/A foreign private issuers pursuant to Section 12(b) Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
20FR12G, Form for initial registration of a class of securities of EDGARLink EDGARLink
20FR12G/A foreign private issuers pursuant to Section 12(g) Online Online XML
Technical
Specification
24F-2NT, Rule 24F-2 notice filed on Form 24F-2 EDGARLink EDGARLink
24F-2NT/A Online Online XML
Technical
Specification
25, 25/A Notification filed by issuer to voluntarily withdraw a EDGARLink EDGARLink
class of securities from listing and registration on a Online Online XML
national securities exchange Technical
Specification
25-NSE, 25-NSE/A Notification filed by national security exchange to Distributed to Distributed to
report the removal from listing and registration of National National
matured, redeemed or retired securities Securities Securities
Exchanges Exchanges
only only
3, 3/A Initial statement of beneficial ownership of securities Online Forms EDGAR
Ownership
XML
Technical
Specification
305B2, 305B2/A Application for designation of a new trustee under EDGARLink EDGARLink
the Trust Indenture Act Online Online XML
Technical
Specification
4, 4/A Statement of changes in beneficial ownership of Online Forms EDGAR
securities Ownership
XML
Technical
Specification
40-6B, 40-6B/A Application under the Investment Company Act by an EDGARLink EDGARLink
employees’ securities company Online Online XML
Technical
Specification
40-17F1, Initial certificate of accounting of securities and EDGARLink EDGARLink
40-17F1/A similar investments in the custody of management Online Online XML
investment companies filed pursuant to Rule 17f-1 of Technical
the Investment Company Act of 1940 filed on Form Specification
N-17F-1
40-17F2, Initial certificate of accounting of securities and EDGARLink EDGARLink
40-17F2/A similar investments in the custody of management Online Online XML
investment companies filed pursuant to Rule 17f-2 of Technical
the Investment Company Act of 1940 filed on Form Specification
N-17F-2

Tool/ Filer-
Number Form Spec.
40-17G, 40-17G/A Fidelity bond filed pursuant to Rule 17g1(g)(1) of the EDGARLink EDGARLink
Investment Company Act of 1940 Online Online XML
Technical
Specification
40-17GCS, Filings of claim or settlement pursuant to rule 17g- EDGARLink EDGARLink
4017GCS/A 1(g)(1)(2) or (3) of the Investment Company Act of Online Online XML
1940 Technical
Specification
40-24B2, Filing of sales literature pursuant to Rule 24b2 under EDGARLink EDGARLink
40-24B2/A the Investment Company Act of 1940 Online Online XML
Technical
Specification
40-33, 40-33/A Copies of all stockholder derivative actions filed with EDGARLink EDGARLink
a court against an investment company or an affiliate Online Online XML
thereof pursuant to Section 33 of the Investment Technical
Company Act of 1940 Specification
40-8B25 Document or report EDGARLink EDGARLink
Online Online XML
Technical
Specification
40-8F-2, 40-8F-2/A Initial application for de-registration pursuant to EDGARLink EDGARLink
Investment Company Act Rule 0-2 Online Online XML
Technical
Specification
40-APP, 40-APP/A Applications under the Investment Company Act EDGARLink EDGARLink
other than those reviewed by Office of Insurance Online Online XML
Products Technical
Specification
40-F, 40-F/A Annual reports filed by certain Canadian issuers EDGARLink EDGARLink
pursuant to Section 15(d) and Rule 15d-4 Online Online XML
Technical
Specification
40FR12B, Registration of a class of securities of certain EDGARLink EDGARLink
40FR12B/A Canadian issuers pursuant to Section 12(b) of the Online Online XML
1934 Act Technical
Specification
40FR12G, Registration of a class of securities of certain EDGARLink EDGARLink
40FR12G/A Canadian issuers pursuant to Section 12(g) of the Online Online XML
1934 Act Technical
Specification
40-OIP, 40-OIP/A Applications under the Investment Company Act EDGARLink EDGARLink
reviewed by Office of Insurance Products Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
424A Prospectus filed pursuant to Rule 424(a) EDGARLink EDGARLink
Online Online XML
Technical
Specification
424B1 Prospectus filed pursuant to Rule 424(b)(1) EDGARLink EDGARLink
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
424H, 424H/A Preliminary Prospectus filed pursuant to Rule 424(h) EDGARLink EDGARLink
Online Online XML
Technical
Specification
425 Filing under Securities Act Rule 425 of certain EDGARLink EDGARLink
prospectuses and communications in connection Online Online XML
with business combination transactions Technical
Specification
485APOS Post-effective amendment filed pursuant to EDGARLink EDGARLink
Securities Act Rule 485(a) (this filing cannot be Online Online XML
submitted as a 1940 Act only filing) Technical
Specification

Tool/ Filer-
Number Form Spec.
485BPOS Post-effective amendment filed pursuant to EDGARLink EDGARLink
Securities Act Rule 485(b) (this filing cannot be Online Online XML
Specification
485BXT Post-effective amendment filed pursuant to EDGARLink EDGARLink
Securities Act Rule 485(b)(1)(iii) to designate a new Online Online XML
effective date for a post-effective amendment Technical
previously filed pursuant to Securities Act Rule Specification
485(a) (this filing cannot be submitted as a 1940 Act
only filing)
486APOS Post-effective amendment to filing filed pursuant to EDGARLink EDGARLink
Securities Act Rule 486(a) (this filing cannot be Online Online XML
Specification
486BPOS Post-effective amendment to filing filed pursuant to EDGARLink EDGARLink
Securities Act Rule 486(b) (this filing cannot be Online Online XML
Specification
486BXT Post-effective amendment filed pursuant to EDGARLink EDGARLink
Securities Act Rule 486(b)(1)(iii) to designate a new Online Online XML
effective date for a post-effective amendment Technical
previously filed pursuant to Securities Act Rule Specification
486(a) (this filing cannot be submitted as a 1940 Act
only filing)
487 Pre-effective pricing amendment filed pursuant to EDGARLink EDGARLink
Securities Act Rule 487 Online Online XML
Technical
Specification
497 Definitive materials filed under paragraph (a), (b), (c), EDGARLink EDGARLink
(d), (e) or (f) of Securities Act Rule 497 Online Online XML
Technical
Specification
497AD Filing by certain investment companies of Securities EDGARLink EDGARLink
Act Rule 482 advertising in accordance with Online Online XML
Securities Act Rule 497 Technical
Specification
497H2 Filings made pursuant to Rule 497(h)(2) EDGARLink EDGARLink
Online Online XML
Technical
Specification
497J Certification of no change in definitive materials EDGARLink EDGARLink
under paragraph (j) of Securities Act Rule 497 Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
497K Summary Prospectus for certain open-end EDGARLink EDGARLink
management investment companies filed pursuant to Online Online XML
Securities Act Rule 497(k) Technical
Specification
497VPI Initial summary prospectus for variable contracts filed EDGARLink EDGARLink
pursuant to Securities Act Rule 497(k) Online Online XML
Technical
Specification
497VPU Updating summary prospectus for variable contracts EDGARLink EDGARLink
filed pursuant to Securities Act Rule 497(k) Online Online XML
Technical
Specification
5, 5/A Annual statement of changes in beneficial ownership Online Forms EDGAR
of securities Ownership
XML
Technical
Specification
6-K, 6-K/A Current report of foreign issuer pursuant to Rules EDGARLink EDGARLink
13a-16 and 15d-16 Amendments Online Online XML
Technical
Specification
8-A12B, 8-A12B/A Form for the registration / listing of a class of EDGARLink EDGARLink
securities on a national securities exchange pursuant Online Online XML
to Section 12(b) Technical
Specification
8-A12G, 8-A12G/A Form for registration of a class of securities pursuant EDGARLink EDGARLink
to Section 12(g) Online Online XML
Technical
Specification
8-K, 8-K/A Current report filing EDGARLink EDGARLink
Online Online XML
Technical
Specification
8-K12B, 8-K12B/A Notification that a class of securities of successor EDGARLink EDGARLink
issuer is deemed to be registered pursuant to Online Online XML
Section 12(b) Technical
Specification
8-K12G3, Notification that a class of securities of successor EDGARLink EDGARLink
8-K12G3/A issuer is deemed to be registered pursuant to Online Online XML
Section 12(g) Technical
Specification

Tool/ Filer-
Number Form Spec.
8-K15D5, Notification of assumption of duty to report by EDGARLink EDGARLink
8-K15D5/A successor issue under Section 15(d) Online Online XML
Technical
Specification
ABS-15G, Asset-backed securities report pursuant to Section EDGARLink EDGARLink
ABS-15G/A 15G Online Online XML
Technical
Specification
ABS-EE, Form for Submission of Electronic Exhibits in asset- EDGARLink EDGARLink
ABS-EE/A backed securities offerings Online Online XML
Technical
Specification,
EDGAR ABS
XML
Technical
Specification
ANNLRPT, Periodic Development Bank filing, submitted annually EDGARLink EDGARLink
ANNLRPT/A Online Online XML
Technical
Specification
APP WD, Withdrawal of an application for exemptive or other EDGARLink EDGARLink
APP WD/A relief from the federal securities laws Online Online XML
Technical
Specification
ARS, ARS/A Annual report to security holders EDGARLink EDGARLink
Online Online XML
Technical
Specification
ATS-N Initial Form ATS-N (Rule 304(a)(1)(i)) EDGAR EDGAR
Filing Form ATS-N
Website XML
Technical
Specification
ATS-N/CA Correcting Amendment (Rule 304(a)(2)(i)(C)) EDGAR EDGAR
Filing Form ATS-N
Website XML
Technical
Specification
ATS-N/MA Material Amendment (Rule 304(a)(2)(i)(A)) EDGAR EDGAR
Filing Form ATS-N
Website XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
ATS-N/OFA Order Display and Fair Access Amendment (Rule EDGAR EDGAR
304(a)(2)(i)(D)) Filing Form ATS-N
Website XML
Technical
Specification
ATS-N/UA Updating Amendment (Rule 304(a)(2)(i)(B)) EDGAR EDGAR
Filing Form ATS-N
Website XML
Technical
Specification
ATS-N-C Notice of Cessation (Rule 304(a)(3)) EDGAR EDGAR
Filing Form ATS-N
Website XML
Technical
Specification
ATS-N-W Withdrawal of Form ATS-N filing EDGAR EDGAR
Filing Form ATS-N
Website XML
Technical
Specification
AW Withdrawal of amendment to a registration statement EDGARLink EDGARLink
filed under the Securities Act Online Online XML
Technical
Specification
AW WD Withdrawal of a request for withdrawal of an EDGARLink EDGARLink
amendment to a registration statement Online Online XML
Technical
Specification
BULK Bulk Submission EDGARLink
Online
C, C/A Offering Statement EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C-W Offering Statement Withdrawal EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C/A-W Amendment to Offering Statement Withdrawal EDGAR EDGAR
Filing Form C XML
Website Technical
Specification

Tool/ Filer-
Number Form Spec.
C-U Progress Update EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C-U-W Progress Update Withdrawal EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C-AR, C-AR/A Annual Report EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C-AR-W Annual Report Withdrawal EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C-AR/A-W Amendment to Annual Report Withdrawal EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C-TR Termination of Reporting EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C-TR-W Termination of Reporting Withdrawal EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
CB, CB/A Notification form filed in connection with certain EDGARLink EDGARLink
tender offers, business combinations and rights Online Online XML
offerings, in which the subject company is a foreign Technical
private issuer of which less than 10% of its securities Specification
are held by U.S. persons
CERT Certification by an exchange approving securities for EDGARLink N/A
listing Online
CFPORTAL, Application for registration of funding portal EDGAR EDGAR
CFPORTAL/A Filing Form
Website CFPORTAL
XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
CFPORTAL-W Withdrawal of the funding portal’s registration EDGAR EDGAR
Filing Form
Website CFPORTAL
XML
Technical
Specification
CORRESP A correspondence can be sent as a document with EDGARLink EDGARLink
another submission type or can be sent as a Online Online XML
separate submission. Technical
Specification
D, D/A Official notice of an offering of securities that is made Online Forms EDGAR
without registration under the Securities Act in Form D XML
reliance on an exemption provided by Regulation D Technical
and Section 4(a)(5) under the Act. Specification
DEF 14A Definitive proxy statements EDGARLink EDGARLink
Online Online XML
Technical
Specification
DEF 14C Definitive information statements EDGARLink EDGARLink
Online Online XML
Technical
Specification
DEFA14A Definitive additional proxy soliciting materials EDGARLink EDGARLink
including Rule 14(a)(12) material. Note: Submission Online Online XML
type DEFA14A can be filed as part of Form 8-K. For Technical
filers subject to 8-K filing requirements, we Specification
recommend the use of the 8-K combined form type
as the easiest method for fulfilling your filing
requirement for both forms.
DEFA14C Definitive additional information statement materials EDGARLink EDGARLink
including Rule 14(a)(12) material Online Online XML
Technical
Specification
DEFC14A Definitive proxy statement in connection with EDGARLink EDGARLink
contested solicitations Online Online XML
Technical
Specification
DEFC14C Definitive information statement - contested EDGARLink EDGARLink
solicitations Online Online XML
Technical
Specification
DEFM14A Definitive proxy statement relating to a merger, EDGARLink EDGARLink
acquisition, or disposition Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
DEFM14C Definitive information statement relating to merger or EDGARLink EDGARLink
acquisition Online Online XML
Technical
Specification
DEFN14A Definitive proxy statement filed by non-management EDGARLink EDGARLink
Online Online XML
Technical
Specification
DEFR14A Definitive revised proxy soliciting materials EDGARLink EDGARLink
Online Online XML
Technical
Specification
DEFR14C Definitive revised information statement materials EDGARLink EDGARLink
Online Online XML
Technical
Specification
DEL AM Separately filed delaying amendment under EDGARLink EDGARLink
Securities Act Rule 473 to delay effectiveness of a Online Online XML
1933 Act registration statement Technical
Specification
DFAN14A Definitive additional proxy soliciting materials filed by EDGARLink EDGARLink
non-management including Rule 14(a)(12) material Online Online XML
Technical
Specification
DFRN14A Revised definitive proxy statement filed by non- EDGARLink EDGARLink
management Online Online XML
Technical
Specification
DOS, DOS/A Non-public draft offering statement under Regulation EDGAR N/A
A Filing
Website
DOSLTR Draft Offering Statement Letter EDGARLink N/A
Online
DRS, DRS/A Draft registration statement submitted by Emerging EDGARLink N/A
Growth Company under Securities Act Section 6(e) Online
or by Foreign Private Issuer under Division of
Corporation Finance policy
DRSLTR Correspondence Related to Draft Registration EDGARLink N/A
Statement Online
DSTRBRPT, Distribution of primary obligations Development Bank EDGARLink EDGARLink
DSTRBRPT/A report Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
F-1, F-1/A Registration statement for securities of certain EDGARLink EDGARLink
foreign private issuers Online Online XML
Technical
Specification
Canadian issuers under the Securities Act of 1933 Online Online XML
Technical
Specification
F-10EF Auto effective registration statement for securities of EDGARLink EDGARLink
certain Canadian issuers under the Securities Act of Online Online XML
1933 Technical
Specification
F-10POS Post-effective amendment to a F-10EF registration EDGARLink EDGARLink
Online Online XML
Technical
Specification
F-1MEF A new registration statement filed under Rule 462(b) EDGARLink EDGARLink
to add securities to a prior related effective Online Online XML
registration statement filed on Form F-1 Technical
Specification
F-3, F-3/A Registration statement for specified transactions by EDGARLink EDGARLink
certain foreign private issuers Online Online XML
Technical
Specification
F-3ASR Automatic shelf registration statement of securities of EDGARLink EDGARLink
well-known seasoned issuers Online Online XML
Technical
Specification
F-3D Registration statement for dividend or interest EDGARLink EDGARLink
reinvestment plan securities of foreign private issuers Online Online XML
Technical
Specification
F-3DPOS Post-Effective amendment to a F-3D registration EDGARLink EDGARLink
Online Online XML
Technical
Specification
registration statement filed on Form F 3 Technical
Specification
F-4 POS Post-effective amendment to a F-4EF registration EDGARLink EDGARLink
Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
F-4, F-4/A Registration statement for securities issued by EDGARLink EDGARLink
foreign private issuers in certain business Online Online XML
combination transactions Technical
Specification
F-4EF Auto effective registration statement for securities by EDGARLink EDGARLink
certain foreign private issuers in connection with Online Online XML
certain business combination transactions Technical
Specification
registration statement filed on Form F 4 Technical
Specification
F-6 POS Post-effective amendment to a F-6EF registration EDGARLink EDGARLink
Online Online XML
Technical
Specification
F-6, F-6/A Registration statement for American Depositary EDGARLink EDGARLink
Receipts representing securities of certain foreign Online Online XML
private issuers Technical
Specification
F-6EF Auto effective registration statement for American EDGARLink EDGARLink
Depositary Receipts representing securities of Online Online XML
certain foreign private issuers Technical
Specification
F-7 POS Post-effective amendment to a F-7 registration EDGARLink EDGARLink
Online Online XML
Technical
Specification
Canadian issuers offered for cash upon the exercise Online Online XML
of rights granted to existing security holders under Technical
the Securities Act of 1933 Specification
F-8 POS Post-effective amendment to a F-8 registration EDGARLink EDGARLink
Online Online XML
Technical
Specification
Canadian issuers to be issued in exchange offers or Online Online XML
a business combination under the Securities Act of Technical
1933 Specification
F-80, F-80/A Registration of securities of certain Canadian issuers EDGARLink EDGARLink
to be issued in exchange offers or a business Online Online XML
combination under the Securities Act of 1933 Technical
Specification

Tool/ Filer-
Number Form Spec.
F-80POS Post-effective amendment to a F-80 registration EDGARLink EDGARLink
Online Online XML
Technical
Specification
F-N, F-N/A Notification of the appointment of an agent for EDGARLink EDGARLink
service by certain foreign institutions Online Online XML
Technical
Specification
FWP Filing under Securities Act Rules 163/433 of free EDGARLink EDGARLink
writing prospectuses Online Online XML
Technical
Specification
F-X, F-X/A For appointment of agent for service of process by EDGARLink EDGARLink
issuers registering securities Online Online XML
Technical
Specification
IRANNOTICE Notice of disclosure filed in Exchange Act quarterly EDGARLink EDGARLink
and annual reports pursuant to Section 219 of the Online Online XML
Iran Threat Reduction and Syria Human Rights Act Technical
of 2012 and Section 13(r) of the Exchange Act Specification
MA, MA-A, MA/A Municipal Advisor registration required pursuant to EDGAR EDGAR
Section 15B(a)(2) of the Securities Exchange Act of Filing Form MA
1934 and the Rules Thereunder. Application for Website XML
Municipal Advisor Registration (MA), Annual Update Online Forms Technical
of Municipal Advisor Registration (MA-A), and Specification
Amendment of a Prior Application for Registration
(MA/A)
MA-I, MA-I/A Information Regarding Natural Persons Who Engage EDGAR EDGAR
in Municipal Advisory Activities, and Amendment of a Filing Form MA
Previously Submitted Form MA-I Website XML
Specification
MA-W Notice of Withdrawal from Registration as a EDGAR EDGAR
Municipal Advisor Filing Form MA
Website XML
Specification
MODULE Module Submission EDGARLINK EDGARLink
Online Online XML
Technical
Specification
N-14 8C, Initial registration statement filed on Form N14 by EDGARLink EDGARLink
N-14 8C/A closed-end investment company (business Online Online XML
combinations) Technical
Specification

Tool/ Filer-
Number Form Spec.
N-14, N-14/A Initial registration statement filed on Form N14 for EDGARLink EDGARLink
open-end investment company, including those filed Online Online XML
with automatic effectiveness under Rule 488 Technical
(business combinations) Specification
N-14MEF A new registration statement filed on Form N14 by EDGARLink EDGARLink
closed end investment companies filed under Online Online XML
Securities Act Rule 462(b) of up to an additional 20% Technical
of securities for an offering that was registered on Specification
Form N-14
N-18F1, N-18F1/A Initial notification of election pursuant to Rule 18f-1 EDGARLink EDGARLink
filed on Form N-18F-1 Online Online XML
Technical
Specification
N-1A, N-1A/A Initial registration statement filed on Form N1A for EDGARLink EDGARLink
open-end management investment companies Online Online XML
Technical
Specification
N-2, N-2/A Initial filing of a registration statement on Form N-2 EDGARLink EDGARLink
for closed-end investment companies Online Online XML
Technical
Specification
N-2ASR Automatic shelf registration statement on Form N-2 EDGARLink EDGARLink
for well-known seasoned issuers Online Online XML
Technical
Specification
N-2 POSASR Post-effective amendment to an automatic shelf EDGARLink EDGARLink
registration statement on Form N-2 for well-known Online Online XML
seasoned issuers Technical
Specification
N-23C-2, Notice by closed-end investment companies of EDGARLink EDGARLink
N-23C-2/A intention to call or redeem their own securities under Online Online XML
Investment Company Act Rule 23c-2 Technical
Specification
N-23C3A, Notification of periodic repurchase offer Filed EDGARLink EDGARLink
N23C3A/A pursuant to Rule 23c-3(b) only Online Online XML
Technical
Specification
N-23C3B, Filing pursuant to Rule 23c-3(c) only on Form EDGARLink EDGARLink
N23C3B/A N-23C-3 Online Online XML
Technical
Specification
N-23C3C, Filing pursuant to Rule 23c-3(b) and (c) on Form EDGARLink EDGARLink
N23C3C/A N-23C-3 Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
N-27D-1, Accounting for segregated trust accounts on Form N- EDGARLink EDGARLink
N-27D-1/A 27D-1 Online Online XML
Technical
Specification
N-2MEF A new registration statement on Form N-2 filed under EDGARLink EDGARLink
Securities Act Rule 462(b) by closed-end investment Online Online XML
companies of up to an additional 20% of securities Technical
for an offering that was registered on Form N-2 Specification
N-3, N-3/A Initial registration statement on Form N-3 for EDGARLink EDGARLink
separate accounts (management investment Online Online XML
companies) Technical
Specification
N-30B-2 Periodic and interim reports mailed to investment EDGARLink EDGARLink
company shareholders (other than annual and semi- Online Online XML
annual reports mailed to shareholders pursuant to Technical
Rule 30e-1) Specification
N-30D, N-30D/A Initial annual and semi-annual reports mailed to EDGARLink EDGARLink
investment company shareholders pursuant to Rule Online Online XML
30e-1 (other than those required to be submitted as Technical
part of Form NCSR.) Specification
N-4, N-4/A Initial registration statement on Form N-4 for EDGARLink EDGARLink
separate accounts (unit investment trusts) Online Online XML
Technical
Specification
N-5, N-5/A Registration statement for small business investment EDGARLink EDGARLink
companies Online Online XML
Technical
Specification
N-54A, N-54A/A Notification of election by business development EDGARLink EDGARLink
companies filed on Form N-54A Online Online XML
Technical
Specification
N-54C, N-54C/A Notification of withdrawal by business development EDGARLink EDGARLink
companies filed on Form N-54C Online Online XML
Technical
Specification
N-6, N-6/A Registration statement for separate accounts (unit EDGARLink EDGARLink
investment trusts) Online Online XML
Technical
Specification
N-6F, N-6F/A Notice of intent by business development companies EDGARLink EDGARLink
to elect to be subject to Sections 55 through 65 of Online Online XML
the 1940 Act filed on Form N-6F Technical
Specification

Tool/ Filer-
Number Form Spec.
N-8A, N-8A/A Initial notification of registration under Section 8(a) EDGARLink EDGARLink
filed on Form N-8A Online Online XML
Technical
Specification
N-8B-2, N-8B-2/A Initial registration statement for unit investment trusts EDGARLink EDGARLink
filed on Form N-8B-2 Online Online XML
Technical
Specification
N-8B-3, N-8B-3/A Initial registration statement for periodic payment EDGARLink EDGARLink
plans filed on Form N-8B-3 Online Online XML
Technical
Specification
N-8B-4, N-8B-4/A Initial registration statement for face-amount EDGARLink EDGARLink
certificate companies filed on Form N-8B-4 Online Online XML
Technical
Specification
N-8F, N-8F/A Application for deregistration made on Form N-8F EDGARLink EDGARLink
Online Online XML
Technical
Specification
N-CEN, N-CEN/A Annual Report for Registered Investment Companies EDGAR EDGAR
Filing Form N-CEN
Website XML
Specification
N-CR, N-CR/A Current Report of Money Market Fund Material EDGARLink EDGARLink
Events Online Online XML
Technical
Specification
N-CSR, N-CSR/A Certified annual shareholder report of registered EDGARLink EDGARLink
management investment companies filed on Form N- Online Online XML
CSR Technical
Specification
N-CSRS, Certified semi-annual shareholder report of EDGARLink EDGARLink
N-CSRS/A registered management investment companies filed Online Online XML
on Form N-CSR Technical
Specification
N-LIQUID, Current Report Open-End Management Investment EDGARLink EDGARLink
N-LIQUID/A Company Liquidity Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
N-MFP2, Monthly Schedule of Portfolio Holdings of Money N/A EDGAR
N-MFP2/A Market Funds on Form N-MFP Form N-
MFP2 XML
Technical
Specification
NPORT-EX, Portfolio Holdings Exhibit to Form N-PORT EDGARLink EDGARLink
NPORT-EX/A Online Online XML
Technical
Specification
NPORT-NP, Monthly Portfolio Investments Report on Form N- N/A EDGAR
NPORT-NP/A PORT (Non-Public) Form N-
PORT XML
Technical
Specification
NPORT-P, Monthly Portfolio Investments Report on Form N- N/A EDGAR
NPORT-P/A PORT (Public) Form N-
PORT XML
Technical
Specification
N-PX, N-PX/A Annual Report of Proxy Voting Record of Registered EDGARLink EDGARLink
Management Investment Companies filed on Form Online Online XML
N-PX Technical
Specification
N-PX-CR, Annual Form N-PX Combination Report filed by EDGARLink EDGARLink
N-PX-CR/A institutional managers Online Online XML
Technical
Specification
N-PX-FM, Annual Report of Proxy Voting Record of Registered EDGARLink EDGARLink
N-PX-FM/A Management Investment Companies that includes Online Online XML
proxy votes institutional managers Technical
Specification
N-PX-NT, Annual Form N-PX Notice filed by institutional EDGARLink EDGARLink
N-PX-NT/A managers Online Online XML
Technical
Specification
N-PX-VR, Annual Form N-PX Voting Report filed by institutional EDGARLink EDGARLink
N-PX-VR/A managers Online Online XML
Technical
Specification
N-Q, N-Q/A Quarterly Schedule of Portfolio Holdings of EDGARLink EDGARLink
Registered Management Investment Company filed Online Online XML
on Form N-Q Technical
Specification

Tool/ Filer-
Number Form Spec.
NRSRO-UPD Form NRSRO – Update of Registration for Nationally EDGARLink EDGARLink
Recognized Statistical Rating Organizations Online Online XML
Technical
Specification
NRSRO-CE, Form NRSRO – Annual Certification for Nationally EDGARLink EDGARLink
NRSRO-CE/A Recognized Statistical Rating Organizations Online Online XML
Technical
Specification
NRSRO-FR, Annual Financial/Other Reports for Nationally EDGARLink EDGARLink
NRSRO-FR/A Recognized Statistical Rating Organizations, as Online Online XML
required by Rule 17g-3 (Non-Public) Technical
Specification
NRSRO-WCLS Form NRSRO – Withdrawal from Credit Rating Class EDGARLink EDGARLink
for Nationally Recognized Statistical Rating Online Online XML
Organizations Technical
Specification
NRSRO-WREG Form NRSRO – Withdrawal from Registration as EDGARLink EDGARLink
Nationally Recognized Statistical Rating Online Online XML
Organization Technical
Specification
NT 10-K, Notice under Rule 12b25 of inability to timely file all EDGARLink EDGARLink
NT 10-K/A or part of a Form 10-K, 10-KSB, or 10-KT Online Online XML
Technical
Specification
NT 10-D, Notice under Rule 12b25 of inability to timely file all EDGARLink EDGARLink
NT 10-D/A or part of a Form 10-D Online Online XML
Technical
Specification
NT 10-Q, Notice under Rule 12b25 of inability to timely file all EDGARLink EDGARLink
NT 10-Q/A or part of a form 10-Q or 10-QSB Online Online XML
Technical
Specification
NT 11-K, Notice under Rule 12b25 of inability to timely file all EDGARLink EDGARLink
NT 11-K/A or part of a form 11-K Online Online XML
Technical
Specification
NT 15D2, Notice under Rule 12b25 of inability to timely file a EDGARLink EDGARLink
NT 15D2/A special report pursuant to Section 15d-2 Online Online XML
Technical
Specification
NT 20-F, Notice under Rule 12b25 of inability to timely file all EDGARLink EDGARLink
NT 20-F/A or part of an annual report of form 20-F Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
NT-NCEN, Notice under Exchange Act Rule 12b-25 of inability EDGARLink EDGARLink
NT-NCEN/A to timely file Form N-CEN Online Online XML
Technical
Specification
NT-NCSR, Notice under Exchange Act Rule 12b-25 of inability EDGARLink EDGARLink
NTNCSR/A to timely file Form N-CSR (annual or semi-annual Online Online XML
report) Technical
Specification
N-VP, Notice Document for Certain Variable Contracts EDGARLink EDGARLink
N-VP/A Online Online XML
Technical
Specification
N-VPFS, Financial Statements for Certain Variable Contracts EDGARLink EDGARLink
N-VPFS/A Online Online XML
Technical
Specification
POS 8C Post-effective amendment filed under the 1933 Act EDGARLink EDGARLink
only or under both the 1933 and 1940 Acts pursuant Online Online XML
to Section 8(c) of the 1933 Act by closed-end Technical
investment companies (this filing cannot be Specification
submitted as a 1940 Act only filing)
POS AM Post-effective amendment to a registration statement EDGARLink EDGARLink
that is not immediately effective upon filing Online Online XML
Technical
Specification
POS AMI Post-effective amendment (for filings made under the EDGARLink EDGARLink
1940 Act only) Online Online XML
Technical
Specification
POSASR Post-effective Amendment to an automatic shelf EDGARLink EDGARLink
registration statement on Form S-3ASR or Form F- Online Online XML
3ASR Technical
Specification
POS EX Post-effective amendment filed solely to add exhibits EDGARLink EDGARLink
to a registration statement Online Online XML
Technical
Specification
POS462B Post-effective amendment to Securities Act Rule EDGARLink EDGARLink
462(b) registration statement Online Online XML
Technical
Specification
POS462C Post-effective amendment to a registration statement EDGARLink EDGARLink
filed under Rule 462(c) Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
PRE 14A Preliminary proxy statement not related to a EDGARLink EDGARLink
contested matter or merger/acquisition Online Online XML
Technical
Specification
PRE 14C Preliminary information statement not related to a EDGARLink EDGARLink
contested matter or merger/acquisition Online Online XML
Technical
Specification
PREC14A Preliminary proxy statement in connection with EDGARLink EDGARLink
Technical
Specification
PREC14C Preliminary information statements - contested EDGARLink EDGARLink
solicitations Online Online XML
Technical
Specification
PREM14A Preliminary proxy statement relating to a merger, EDGARLink EDGARLink
acquisition, or disposition Online Online XML
Technical
Specification
PREM14C Preliminary information statements relating to merger EDGARLink EDGARLink
or acquisition Online Online XML
Technical
Specification
PREN14A Preliminary proxy statement filed by EDGARLink EDGARLink
non-management Online Online XML
Technical
Specification
PRER14A Preliminary revised proxy soliciting materials EDGARLink EDGARLink
Online Online XML
Technical
Specification
PRER14C Preliminary revised information statements EDGARLink EDGARLink
Online Online XML
Technical
Specification
PRRN14A Revised preliminary proxy statement filed by non- EDGARLink EDGARLink
management Online Online XML
Technical
Specification
PX14A6G Notice of exempt solicitation EDGARLink EDGARLink
Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
PX14A6N Notice of exempt solicitation for the purpose of EDGARLink EDGARLink
determining whether to solicit proxies, consents, or Online Online XML
authorizations in opposition to a proposed roll-up Technical
transaction filed pursuant to Rule 14a6(g) of the Specification
Securities Exchange Act of 1934
QRTLYRPT, Periodic Development Bank filing, submitted EDGARLink EDGARLink
QRTLYRPT/A quarterly Online Online XML
Technical
Specification
RW Registration Withdrawal Request EDGARLink EDGARLink
Online Online XML
Technical
Specification
RW WD Withdrawal of a Registration Withdrawal Request EDGARLink EDGARLink
Online Online XML
Technical
Specification
S-1, S-1/A General form of registration statement for all EDGARLink EDGARLink
companies including face-amount certificate Online Online XML
companies Technical
Specification
S-11, S-11/A Registration statement for securities to be issued by EDGARLink EDGARLink
real estate companies Online Online XML
Technical
Specification
S-11MEF A new registration statement filed under Rule 462(b) EDGARLink EDGARLink
registration statement filed on Form S-11 Technical
Specification
Specification
S-20, S-20/A Registration statement for standardized options EDGARLink EDGARLink
Online Online XML
Technical
Specification
S-3, S-3/A Registration statement for specified transactions by EDGARLink EDGARLink
certain issuers Online Online XML
Technical
Specification
S-3ASR Automatic shelf registration statement of securities of EDGARLink EDGARLink
well-known seasoned issuers Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
S-3D Automatically effective registration statement for EDGARLink EDGARLink
securities issued pursuant to dividend or interest Online Online XML
reinvestment plans Technical
Specification
S-3DPOS Post-effective amendment to a S-3D registration EDGARLink EDGARLink
statement Online Online XML
Technical
Specification
Specification
S-4 POS Post-effective amendment to a S-4EF registration EDGARLink EDGARLink
Technical
Specification
S-4, S-4/A Registration of securities issued in business EDGARLink EDGARLink
combination transactions Online Online XML
Technical
Specification
S-4EF Auto effective registration statement for securities EDGARLink EDGARLink
issued in connection with the formation of a bank or Online Online XML
savings and loan holding company in compliance Technical
with General Instruction G Specification
Specification
S-6, S-6/A Initial registration statement filed on Form S-6 for unit EDGARLink EDGARLink
investment trusts Online Online XML
Technical
Specification
S-8 Initial registration statement for securities to be EDGARLink EDGARLink
offered to employees pursuant to employee benefit Online Online XML
plans Technical
Specification
S-8 POS Post-effective amendment to a S-8 registration EDGARLink EDGARLink
Technical
Specification
S-B, S-B/A Registration statement for securities of foreign EDGARLink EDGARLink
governments and subdivisions thereof under the Online Online XML
Securities Act of 1933 (Schedule B) Technical
Specification

Tool/ Filer-
Number Form Spec.
S-BMEF A new registration statement filed under Rule 462(b) EDGARLink EDGARLink
registration statement filed on Form S-B Technical
Specification
SBSE, SBSE/A Application for Registration of Security-based Swap EDGAR EDGAR SBS
Dealers and Major Security-based Swap Participants Filing Entity Forms
Website XML
Specification
SBSE-A, Application for Registration of Security-based Swap EDGAR EDGAR SBS
SBSE-A/A Dealers and Major Security-based Swap Participants Filing Entity Forms
that are Registered or Registering with the Website XML
Commodity Futures Trading Commission as a Swap Online Forms Technical
Dealer or Major Swap Participant Specification
SBSE-BD, Application for Registration of Security-based Swap EDGAR EDGAR SBS
SBSE-BD/A Dealers and Major Security-based Swap Participants Filing Entity Forms
that are Registered Broker-dealers Website XML
Specification
SBSE-C Certifications for Registration of Security-based EDGAR EDGAR SBS
Swap Dealers and Major Security-based Swap Filing Entity Forms
Participants Website XML
Specification
SBSE-W Request for Withdrawal from Registration as a EDGAR EDGAR SBS
Security-based Swap Dealer or Major Security-based Filing Entity Forms
Swap Participant Website XML
Specification
SC 13D, SC 13D/A Schedule filed to report acquisition of beneficial EDGARLink EDGARLink
ownership of 5% or more of a class of equity Online Online XML
securities Technical
Specification
SC 13E1, Schedule 13-E1 statement of issuer required by Rule EDGARLink EDGARLink
SC 13E1/A 13e-1 Online Online XML
Technical
Specification
SC 13E3, Schedule filed to report going private transactions EDGARLink EDGARLink
SC 13E3/A Online Online XML
Technical
Specification
SC 13G, SC 13G/A Schedule filed to report acquisition of beneficial EDGARLink EDGARLink
ownership of 5% or more of a class of equity Online Online XML
securities by passive investors and certain Technical
institutions Specification

Tool/ Filer-
Number Form Spec.
SC 14D9, Tender offer solicitation/recommendation statements EDGARLink EDGARLink
SC 14D9/A filed under Rule 14d-9 Online Online XML
Technical
Specification
SC 14F1, Statement regarding change in majority of directors EDGARLink EDGARLink
SC 14F1/A pursuant to Rule 14f-1 Online Online XML
Technical
Specification
SC 14N, SC 14N/A Information filed by certain nominating shareholders EDGARLink EDGARLink
(pursuant to Section 240 14n-1) Online Online XML
Technical
Specification
SC 14N-S, Solicitation in connection with the formation or EDGARLink EDGARLink
SC 14N-S/A attempted formation of a Rule 14a-11 nominating Online Online XML
shareholder group or solicitation in connection with a Technical
Rule 14a-11 nomination Specification
SC TO-C Written communication relating to an issuer or third EDGARLink EDGARLink
party tender offer Online Online XML
Technical
Specification
SC TO-I, Issuer tender offer statement EDGARLink EDGARLink
SC TO-I/A Online Online XML
Technical
Specification
SC TO-T, Third party tender offer statement EDGARLink EDGARLink
SC TO-T/A Online Online XML
Technical
Specification
SC13E4F, Issuer tender offer statement filed pursuant to Rule EDGARLink EDGARLink
SC13E4F/A 13(e)(4) by foreign issuers Online Online XML
Technical
Specification
SC14D1F, Third party tender offer statement filed pursuant to EDGARLink EDGARLink
SC14D1F/A Rule 14d-1(b) by foreign issuers Online Online XML
Technical
Specification
SC14D9C Written communication by the subject company EDGARLink EDGARLink
relating to a third party tender offer Online Online XML
Technical
Specification
SC14D9F, Solicitation/recommendation statement pursuant to EDGARLink EDGARLink
SC14D9F/A Section 14(d)(4) of the Securities Exchange Act of Online Online XML
1934 and Rules 14d-1(b) and 14e-2(c) by foreign Technical
issuers Specification

Tool/ Filer-
Number Form Spec.
SD, SD/A Specialized Disclosure Report filed pursuant to EDGARLink EDGARLink
Section 1502 of the Dodd-Frank Wall Street Reform Online Online XML
and Consumer Protection Act relating to the use of Technical
conflict minerals (Rule 13p-1) Specification
SDR, SDR/A, Security-based swap data repository registration EDGAR EDGAR SDR
SDR-A pursuant to the Securities Exchange Act of 1934. Filing XML
Application for Registration as Security-based Swap Website Technical
Data Repository (SDR), Interim Amendment to Online Forms Specification
Application for Registration as Security-based Swap
Data Repository (SDR/A), and Annual Amendment to
Application for Registration as Security-based Swap
Data Repository (SDR-A)
SDR-CCO, Annual Compliance Report and Financial Report for EDGARLink EDGARLink
SDR-CCO/A a Security-based Swap Data Repository Online Online XML
Technical
Specification
SDR-W Application for Withdrawal from Registration as EDGAR EDGAR SDR
Security-based Swap Data Repository Filing XML
Website Technical
Online Forms Specification
SF-1, SF-1/A General form of registration statement for all issuers EDGARLink EDGARLink
of asset-backed securities Online Online XML
Technical
Specification
SF-1MEF A new registration statement filed under Securities EDGARLink EDGARLink
Act Rule 462(b) to add securities to a prior related Online Online XML
effective registration statement filed on Form SF-1 Technical
Specification
SF-3, SF-3/A Shelf registration statement for qualified offerings of EDGARLink EDGARLink
asset-backed securities Online Online XML
Technical
Specification
SF-3MEF A new registration statement filed under Rule 462(b) EDGARLink EDGARLink
registration statement filed on Form SF-3 Technical
Specification
SH-ER, SH-ER/A Weekly Form SH Entries Report Filed by Institutional EDGARLink SH-ER
Investment Managers Online Information
Table XML
Technical
Specification
SH-NT, SH-NT/A Weekly Form SH Notice Report Filed by Institutional EDGARLink EDGARLink
Investment Managers Online Online XML
Technical
Specification

Tool/ Filer-
Number Form Spec.
SP 15D2, Special Financial Report filed under Rule 15d-2 EDGARLink EDGARLink
SP 15D2/A Online Online XML
Technical
Specification
SUPPL Voluntary supplemental material filed pursuant to EDGARLink EDGARLink
Section 11(a) of the Securities Act of 1933 by foreign Online Online XML
issuers Technical
Specification
No info blank cell
T-1, T-2 Note - Forms T-1 and T-2 are not filed as stand- No info blank
alone submission types on the EDGAR system. They cell
are filed as EX-25 (or EX-25/A when amended) to
registration statements.
T-3, T-3/A Initial application for qualification of trust indentures EDGARLink EDGARLink
Online Online XML
Technical
Specification
T-6, T-6/A Application for determination of eligibility of a foreign EDGARLink EDGARLink
person to act as institutional trustee filed pursuant to Online Online XML
Section 310(a)(1) of the Trust Indenture Act of 1939 Technical
Specification
TA-1, TA-1/A Application for registration as a transfer agent filed EDGAR EDGAR
pursuant to the Securities Exchange Act of 1934 Filing Form TA-1
Website XML
Specification
TA-2, TA-2/A Annual report of transfer agent activities filed EDGAR EDGAR
pursuant to the Securities Exchange Act of 1934 Filing Form TA-2
Website XML
Specification
TA-W Notice of withdrawal from registration as transfer EDGAR EDGAR
agent filed pursuant to the Securities Exchange Act Filing Form TA-W
of 1934 Website XML
Specification
UNDER, UNDER/A Initial undertaking to file reports EDGARLink XFDL
Template 3 Technical
Specification
X-17A-5, Information Required of Brokers and Dealers EDGAR EDGAR
X-17A-5/A Pursuant to Section 17 of the Securities Exchange Filing Form X-17A-
Act of 1934 and Rules 17a-5 and 17a-12 thereunder Website 5 XML
Specification

3.2 Electronic Form Types by Act
This index will allow you to use the filing type to identify the EDGAR submission type and
finally the tool or template you can use to either create or assemble the filing. Each of the tools
and templates are covered in detail in separate sections of this document. The final column
should only be used by filers or software developers who construct filings outside of the SEC
supplied tools. Filer-Constructed Technical Specifications are available on the SEC’s Public
Website. Please refer to these sites to determine if your version of the tool, template, or
document is correct.
Note: Tools, templates, and documents will no longer be marked with a version number relating
to a software release. Some tools may be specific to submission types that remain the
same through several releases, instead of being updated with each new release. Therefore
each tool, template and manual will now be marked with its own version number, specific
to that particular item. You can find the most current versions on the website from which
the tools, templates, and manuals are downloaded. Be sure to verify that you have the
current version before filing.
Issuers are advised that filings with the submission types listed below will receive a “Filing
Date” identical to the EDGAR “Received Date” even if received after 5:30 P.M. Eastern time,
which is different than normal filings. In addition these filings will be disseminated until 10:00
P.M. Eastern time. Normally filings received after 5:30 P.M. Eastern time will receive a filing
date of the next business day and will not be disseminated until the next business day.
The following submission types will receive a filing date identical to the EDGAR “Received
Date” and will be disseminated until 10:00 P.M. Eastern time: 3, 3/A, 4, 4/A, 5, 5/A, F-1MEF,
F-3MEF, F-4MEF, N-14MEF, N-2MEF, POS 462B, S-11MEF, S-1MEF, S-3MEF, S-4MEF,
S-BMEF.
You should send any fee payment made for the above registration statements to the
Commission's lockbox. Additionally, you should submit any fee payment certification that you
are making for the above-listed submission types, pursuant to Rule 111(b), using the
“CORRESP” submission type.

Electronic Form Types by Act
List of Tables
Table 3-1: Securities Act Submission Types Accepted by EDGAR ......................................... 3-34
Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant
to Section 14 Submission Types Accepted by EDGAR ............................................................ 3-53
Table 3-3: Securities Exchange Act – Registration and Report Submission Types Accepted by
EDGAR ...................................................................................................................................... 3-58
Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR ................................ 3-78
Table 3-5: Investment Company Submission Types Accepted by EDGAR ............................. 3-82
Table 3-6: Development Bank Submission Types Accepted by EDGAR ............................... 3-106
Table 3-7: Correspondence Submission Types........................................................................ 3-107

Table 3-1: Securities Act Submission Types Accepted by EDGAR
CFR Form/ Tool/ Filer-
Submission
Schedule/ Description Template Constructed
Type
Rule Number Form Spec.
1-A Offering Statement under Regulation A 1-A EDGAR EDGAR REG
Filing A XML
Website Technical
Specification
1-A Pre-qualification amendment for offering 1-A/A EDGAR EDGAR REG
statement under Regulation A Filing A XML
Website Technical
Specification
1-A POS Post-qualification amendment to a 1-A 1-A POS EDGAR EDGAR REG
offering statement Filing A XML
Website Technical
Specification
1-A-W Withdrawal of offering statement under 1-A-W EDGARLink EDGARLink
Regulation A Online Online XML
Technical
Specification
1-A-W Amendment to a withdrawal of offering 1-A-W/A EDGARLink EDGARLink
statement under Regulation A Online Online XML
Technical
Specification
1-K Annual Report Pursuant to Regulation A 1-K EDGAR EDGAR REG
Filing A XML
Website Technical
Specification
1-K Amendment to Annual Report Pursuant to 1-K/A EDGAR EDGAR REG
Regulation A Filing A XML
Website Technical
Specification
1-SA Semiannual Report Pursuant to 1-SA EDGARLink EDGARLink
Technical
Specification
1-SA Amendment to Semiannual Report 1-SA/A EDGARLink EDGARLink
Pursuant to Regulation A Online Online XML
Technical
Specification
1-U Current Report pursuant to Regulation A 1-U EDGARLink EDGARLink
Online Online XML
Technical
Specification

Submission
Type
1-U Amendment to Current Report pursuant to 1-U/A EDGARLink EDGARLink
Technical
Specification
1-Z Exit Report under Regulation A 1-Z EDGAR EDGAR
Filing REG A XML
Website Technical
Specification
1-Z Amendment to Exit Report under 1-Z/A EDGAR EDGAR
Regulation A Filing REG A XML
Website Technical
Specification
1-Z-W Withdrawal of Exit Report under 1-Z-W EDGARLink EDGARLink
Technical
Specification
1-Z-W Amendment to a withdrawal of Exit Report 1-Z-W/A EDGARLink EDGARLink
under Regulation A Online Online XML
Technical
Specification
253G1 Reflects information previously omitted 253G1 EDGARLink EDGARLink
from the offering circular in reliance on Online Online XML
Rule 253(b) Technical
Specification
253G2 Reflects information that constitutes a 253G2 EDGARLink EDGARLink
substantive change from or addition to the Online Online XML
information set forth in the last offering Technical
circular Specification
253G3 Reflects information covered in both 253G3 EDGARLink EDGARLink
253G1 and 253G2 Online Online XML
Technical
Specification
253G4 Reflects information covered in 253G1, 253G4 EDGARLink EDGARLink
253G2, or 253G3 that is not being timely Online Online XML
filed Technical
Specification
C Offering Statement C EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C Offering Statement Withdrawal C-W EDGAR EDGAR
Filing Form C XML
Website Technical
Specification

Submission
Type
C Amendment to Offering Statement C/A EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C Amendment to Offering Statement C/A-W EDGAR EDGAR
Withdrawal Filing Form C XML
Website Technical
Specification
C Progress Update C-U EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C Progress Update Withdrawal C-U-W EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C Annual Report C-AR EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C Amendment to Annual Report C-AR/A EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C Annual Report Withdrawal C-AR-W EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C Amendment to Annual Report Withdrawal C-AR/A-W EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C Termination of Reporting C-TR EDGAR EDGAR
Filing Form C XML
Website Technical
Specification
C Termination of Reporting Withdrawal C-TR-W EDGAR EDGAR
Filing Form C XML
Website Technical
Specification

Submission
Type
CFPORTAL Initial application of funding portal CFPORTAL EDGAR EDGAR
Filing Form
Website CFPORTAL
XML
Technical
Specification
CFPORTAL Amendment to registration, including a CFPORTAL/A EDGAR EDGAR
successor registration Filing Form
Website CFPORTAL
XML
Technical
Specification
CFPORTAL Withdrawal of the funding portal’s CFPORTAL-W EDGAR EDGAR
registration Filing Form
Website CFPORTAL
XML
Technical
Specification
D Official notice of an offering of securities D Online Forms N/A
that is made without registration under the
Securities Act in reliance on an exemption
provided by Regulation D and Section
4a(5) under the Act
D Amendment D/A Online Forms N/A
DOS Non-public draft offering statement under DOS EDGAR N/A

Regulation A Filing
Website
DOS Non-public draft pre-qualification DOS/A EDGAR N/A
amendment for offering statement under Filing
Regulation A Website
DOS Draft Offering Statement Letter DOSLTR EDGARLink N/A
Online
DRS Draft registration statement submitted by DRS EDGARLink N/A
Emerging Growth Company under Online
Securities Act Section 6(e) or by Foreign
Private Issuer under Division of
Corporation Finance policy
DRS Amended Draft Registration Statement DRS/A EDGARLink N/A
Online
DRS Correspondence Related to Draft DRSLTR EDGARLink N/A
Registration Statement Online

Submission
Type
F-1 Registration statement for securities of F-1 EDGARLink EDGARLink
certain foreign private issuers Online Online XML
Technical
Specification
F-1 Pre-effective amendment F-1/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
F-1 Post-effective amendment to a POS AM EDGARLink EDGARLink
registration statement that is not Online Online XML
immediately effective upon filing Technical
Specification
F-1MEF A new registration statement filed under F-1MEF EDGARLink EDGARLink
Rule 462(b) to add securities to a prior Online Online XML
related effective registration statement Technical
filed on Form F-1 Specification
F-1MEF Post-effective amendment to Securities POS462B EDGARLink EDGARLink
Act Rule 462(b) registration statement Online Online XML
Technical
Specification
F-3 Registration statement for specified F-3 EDGARLink EDGARLink
transactions by certain foreign private Online Online XML
issuers Technical
Specification
F-3 Pre-Effective amendment F-3/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Specification
F-3 Automatic shelf registration statement of F-3ASR EDGARLink EDGARLink
securities of well-known seasoned issuers Online Online XML
Technical
Specification
F-3 Post-effective Amendment to an POSASR EDGARLink EDGARLink
automatic shelf registration statement on Online Online XML
Form S-3ASR or Form F-3ASR Technical
Specification
F-3 Registration statement for dividend or F-3D EDGARLink EDGARLink
interest reinvestment plan securities of Online Online XML
foreign private issuers Technical
Specification

Submission
Type
F-3 Post-Effective amendment to a F-3DPOS EDGARLink EDGARLink
F-3D registration Online Online XML
Technical
Specification
Technical
Specification
F-4 Registration statement for securities F-4 EDGARLink EDGARLink
issued by foreign private issuers in certain Online Online XML
business combination transactions Technical
Specification
Online Online XML
Technical
Specification
Specification
F-4 Auto effective registration statement for F-4EF EDGARLink EDGARLink
securities by certain foreign private Online Online XML
issuers in connection with certain Technical
business combination transactions Specification
F-4 Post-effective amendment to a F-4EF F-4 POS EDGARLink EDGARLink
registration Online Online XML
Technical
Specification
Technical
Specification
F-6 Registration statement for American F-6 EDGARLink EDGARLink
Depositary Receipts representing Online Online XML
securities of certain foreign private issuers Technical
Specification

Submission
Type
Online Online XML
Technical
Specification
Specification
F-6 Auto effective registration statement for F 6EF EDGARLink EDGARLink
American Depositary Receipts Online Online XML
representing securities of certain foreign Technical
private issuers Specification
F-6 Post-effective amendment to a F-6EF F-6 POS EDGARLink EDGARLink
Technical
Specification
certain Canadian issuers offered for cash Online Online XML
upon the exercise of rights granted to Technical
existing security holders under the Specification
Securities Act of 1933
Online Online XML
Technical
Specification
F-7 Post-effective amendment to a F-7 F-7 POS EDGARLink EDGARLink
Technical
Specification
certain Canadian issuers to be issued in Online Online XML
exchange offers or a business Technical
combination under the Securities Act of Specification
1933
Online Online XML
Technical
Specification
F-8 Post-effective amendment to a F-8 F-8 POS EDGARLink EDGARLink
Technical
Specification

Submission
Type
certain Canadian issuers under the Online Online XML
Securities Act of 1933 Technical
Specification
Online Online XML
Technical
Specification
F-10 Auto effective registration statement for F-10EF EDGARLink EDGARLink
securities of certain Canadian issuers Online Online XML
under the Securities Act of 1933 Technical
Specification
F-10 Post-effective amendment to a F-10POS EDGARLink EDGARLink
F10EF registration Online Online XML
Technical
Specification
F-80 Registration of securities of certain F-80 EDGARLink EDGARLink
Canadian issuers to be issued in Online Online XML
exchange offers or a business Technical
combination under the Securities Act of Specification
1933
Online Online XML
Technical
Specification
S-1 General form of registration statement for S-1 EDGARLink EDGARLink
all companies including face-amount Online Online XML
certificate companies Technical
Specification
S-1 Pre-effective amendment S-1/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
S-1 Post-effective amendment to a POS AM EDGARLink EDGARLink
Specification
S-1MEF A new registration statement filed under S-1MEF EDGARLink EDGARLink
filed on Form S-1 Specification

Submission
Type
S-1MEF Post-effective amendment to Securities POS462B EDGARLink EDGARLink
Technical
Specification
S-3 Registration statement for specified S-3 EDGARLink EDGARLink
transactions by certain issuers Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Specification
S-3 Automatic shelf registration statement of S-3ASR EDGARLink EDGARLink
securities of well-known seasoned issuers Online Online XML
Technical
Specification
S-3 Post-effective Amendment to an POSASR EDGARLink EDGARLink
automatic shelf registration statement on Online Online XML
Form S-3ASR or Form F-3ASR Technical
Specification
S-3 Automatically effective registration S-3D EDGARLink EDGARLink
statement for securities issued pursuant Online Online XML
to dividend or interest reinvestment plans Technical
Specification
S-3 Post-effective amendment to a S-3DPOS EDGARLink EDGARLink
S-3D registration statement Online Online XML
Technical
Specification
Technical
Specification
S-4 Registration of securities issued in S-4 EDGARLink EDGARLink
business combination transactions Online Online XML
Technical
Specification

Submission
Type
Online Online XML
Technical
Specification
Specification
S-4 Auto effective registration statement for S-4EF EDGARLink EDGARLink
securities issued in connection with the Online Online XML
formation of a bank or savings and loan Technical
holding company in compliance with Specification
General Instruction G
S-4 Post-effective amendment to a S-4EF S-4 POS EDGARLink EDGARLink
registration statement Online Online XML
Technical
Specification

Technical
Specification
S-8 Initial registration statement for securities S-8 EDGARLink EDGARLink
to be offered to employees pursuant to Online Online XML
employee benefit plans Technical
Specification
S-8 Post-effective amendment to a S-8 S-8 POS EDGARLink EDGARLink
Technical
Specification
S-11 Registration statement for securities to be S-11 EDGARLink EDGARLink
issued by real estate companies Online Online XML
Technical
Specification
Online Online XML
Technical
Specification

Submission
Type
Specification
Technical
Specification
S-20 Registration statement for standardized S-20 EDGARLink EDGARLink
options Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Specification
S-B Registration statement for securities of S-B EDGARLink EDGARLink
foreign governments and subdivisions Online Online XML
thereof under the Securities Act of 1933 Technical
(Schedule B) Specification
S-B Pre-effective amendment S-B/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
S-B Post-effective amendment to a POS AM EDGARLink EDGARLink
Specification
S-BMEF A new registration statement filed under S-BMEF EDGARLink EDGARLink
filed on Form S-B Specification

Submission
Type
S-BMEF Post-effective amendment to Securities POS462B EDGARLink EDGARLink
Technical
Specification
POS462B Post-effective amendment to Securities POS462B EDGARLink EDGARLink

Technical
Specification
POS462C Post-effective amendment to a POS462C EDGARLink EDGARLink
registration statement filed under Rule Online Online XML
462(c) Technical
Specification
POS AM Post-effective amendment to a POS AM EDGARLink EDGARLink
Specification
POS EX Post-effective amendment filed solely to POS EX EDGARLink EDGARLink
add exhibits to a registration statement Online Online XML
Technical
Specification
SF-1 General form of registration statement for SF-1 EDGARLink EDGARLink
all issuers of asset-backed securities Online Online XML
Technical
Specification
SF-1 Pre-effective amendment to an SF-1 SF-1/A EDGARLink EDGARLink
Technical
Specification
SF-1 Post-effective amendment to a POS AM EDGARLink EDGARLink
Specification
SF-1MEF A new registration statement filed under SF-1MEF EDGARLink EDGARLink
Securities Act Rule 462(b) to add Online Online XML
securities to a prior related effective Technical
registration statement filed on Form SF-1 Specification
SF-3 Shelf registration statement for qualified SF-3 EDGARLink EDGARLink
offerings of asset-backed securities Online Online XML
Technical
Specification

Submission
Type
SF-3 Pre-effective amendment to an SF-3 SF-3/A EDGARLink EDGARLink
Technical
Specification
SF-3 Post-effective amendment to a POS AM EDGARLink EDGARLink
Specification
SF-3MEF A new registration statement filed under SF-3MEF EDGARLink EDGARLink
filed on Form SF-3 Specification

Prospectus Filed Pursuant to Rule 424
Tool/ Filer-
Submission
Description Template Constructed
Type
Number Form Spec.
424A Prospectus filed pursuant to Rule 424(a) EDGARLink EDGARLink
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
Online Online XML
Technical
Specification
424H Preliminary Prospectus filed pursuant to Rule EDGARLink EDGARLink
424(h) Online Online XML
Technical
Specification
424H/A Amendment to Preliminary Prospectus filed EDGARLink EDGARLink
pursuant to Rule 424(h) Online Online XML
Technical
Specification

Free Writing Prospectus
Tool/ Filer-
Submission
Type
Number Form Spec.
FWP Filing under Securities Act Rules 163/433 of EDGARLink EDGARLink

free writing prospectuses Online Online XML
Technical
Specification

Certification by an exchange approving securities for listing
CFR Form/ Description Submission Tool/ Filer-
Schedule/ Type Template Constructed
CERT Certification by an exchange approving CERT EDGARLink N/A
securities for listing Online
Filings Pursuant to the Trust Indenture Act

Submission
Type
305B2 Application for designation of a new trustee 305B2 EDGARLink EDGARLink

under the Trust Indenture Act Online Online XML
Technical
Specification
305B2 Amendment 305B2/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
T-3 Initial application for qualification of trust T-3 EDGARLink EDGARLink
indentures Online Online XML
Technical
Specification
T-3 Pre-effective amendment T-3/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
T-6 Application for determination of eligibility of a T-6 EDGARLink EDGARLink
foreign person to act as institutional trustee Online Online XML
filed pursuant to Section 310(a)(1) of the Technical
Trust Indenture Act of 1939 Specification
T-6 Pre-effective amendment T-6/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Note: Forms T-1 and T-2 are not filed as stand-alone submission types on the EDGAR system.
They are filed as EX-25 (or EX-25/A when amended) to registration statements.

Filings Pursuant to Rule 144

Submission
Type
144 Filing for proposed sale of securities under 144 EDGARLink EDGARLink
Rule 144 Online Online XML
Technical
Specification
144 Amendment to Form 144 144/A EDGARLink EDGARLink
Note: Form 144 may be filed electronically on Online Online XML
a voluntary basis if the issuer of the Technical
securities is a public company. Specification

Miscellaneous Filings
Submission
Type
APP WD Withdrawal of an application for exemptive or APP WD EDGARLink EDGARLink

other relief from the federal securities laws Online Online XML
Technical
Specification
APP WD Amendment to Form APP WD APP WD/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
DEL AM Separately filed delaying amendment under DEL AM EDGARLink EDGARLink
Securities Act Rule 473 to delay Online Online XML
effectiveness of a 1933 Act registration Technical
statement Specification
UNDER Initial undertaking to file reports UNDER EDGARLink EDGARLink
Online Online XML
Technical
Specification
UNDER Amendment UNDER/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
SUPPL Voluntary supplemental material filed SUPPL EDGARLink EDGARLink
pursuant to Section 11(a) of the Securities Online Online XML
Act of 1933 by foreign issuers Technical
Specification
RW Registration Withdrawal Request RW EDGARLink EDGARLink
Online Online XML
Technical
Specification
RW WD Withdrawal of a Registration Withdrawal RW WD EDGARLink EDGARLink
Request Online Online XML
Technical
Specification
AW Withdrawal of amendment to a registration AW EDGARLink Specification
statement filed under the Securities Act Online EDGARLink
Online XML
Technical
Specification
AW WD Withdrawal of a request for withdrawal of an AW WD EDGARLink EDGARLink
amendment to a registration statement Online Online XML
Technical
Specification

Submission
Type
425 Filing under Securities Act Rule 425 of 425 EDGARLink EDGARLink
certain prospectuses and communications in Online Online XML
connection with business combination Technical
transactions Specification
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
F-X For appointment of agent for service of F-X EDGARLink EDGARLink
process by issuers registering securities (if Online Online XML
filed on Form F-8, F-9, F-10 or F-80, or Technical
registering securities or filing periodic reports Specification
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 Amendment F-X/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
F-N Notification of the appointment of an agent F-N EDGARLink EDGARLink
for service by certain foreign institutions Online Online XML
Technical
Specification
F-N Amendment F-N/A EDGARLink EDGARLink
Online Online XML
Technical
Specification

Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed
Pursuant to Section 14 Submission Types Accepted by EDGAR
Preliminary Proxy Soliciting Materials
Tool/ Filer-
Submission
Type
Number Form Spec.
PREM14A Preliminary proxy statement relating to a EDGARLink EDGARLink

merger, acquisition, or disposition Online Online XML
Technical
Specification
PREC14A Preliminary proxy statement in connection EDGARLink EDGARLink

with contested solicitations Online Online XML
Technical
Specification
PREN14A Preliminary proxy statement filed by EDGARLink EDGARLink

Technical
Specification
PRE 14A Preliminary proxy statement not related to EDGARLink EDGARLink

a contested matter or merger/acquisition Online Online XML
Technical
Specification
Preliminary Information Statements

Tool/ Filer-
Submission
Type
Number Form Spec.
PREM14C Preliminary information statements EDGARLink EDGARLink

relating to merger or acquisition Online Online XML
Technical
Specification
PREC14C Preliminary information statements – EDGARLink EDGARLink
Technical
Specification
PRE 14C Preliminary information statement not EDGARLink EDGARLink
related to a contested matter or Online Online XML
merger/acquisition Technical
Specification

Revised Preliminary Materials
Tool/ Filer-
Submission
Type
Number Form Spec.
PRER14A Preliminary revised proxy soliciting EDGARLink EDGARLink

materials Online Online XML
Technical
Specification
PRRN14A Revised preliminary proxy statement filed EDGARLink EDGARLink

by non-management Online Online XML
Technical
Specification
PRER14C Preliminary revised information statements EDGARLink EDGARLink
Online Online XML
Technical
Specification

Definitive Materials (Proxy Materials)
Tool/ Filer-
Submission
Type
Number Form Spec.
DEFM14A Definitive proxy statement relating to a EDGARLink EDGARLink

merger, acquisition, or disposition Online Online XML
Technical
Specification
DEFC14A Definitive proxy statement in connection EDGARLink EDGARLink
with contested solicitations Online Online XML
Technical
Specification
DEFN14A Definitive proxy statement filed by EDGARLink EDGARLink
Technical
Specification
DFRN14A Revised definitive proxy statement filed by EDGARLink EDGARLink
Technical
Specification
DEFR14A Definitive revised proxy soliciting materials EDGARLink EDGARLink
Online Online XML
Technical
Specification
DEFA14A Definitive additional proxy soliciting EDGARLink EDGARLink
materials including Rule 14(a)(12) material Online Online XML
Note: Submission type DEFA14A can be Technical
filed as part of Form 8-K. For filers subject Specification
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 EDGARLink EDGARLink

materials filed by non-management Online Online XML
including Rule 14(a)(12) material Technical
Note: Submission type DFAN14A can be Specification
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
DEF 14A Definitive proxy statements EDGARLink EDGARLink
Online Online XML
Technical
Specification

Tool/ Filer-
Submission
Type
Number Form Spec.
PX14A6G Notice of exempt solicitation EDGARLink EDGARLink

Online Online XML
Technical
Specification
PX14A6N Notice of exempt solicitation for the EDGARLink EDGARLink
purpose of determining whether to solicit Online Online XML
proxies, consents, or authorizations in Technical
opposition to a proposed roll-up Specification
transaction filed pursuant to Rule 14a6(g)
of the Securities Exchange Act of 1934

Definitive Materials (Information Statements)
Tool/ Filer-
Submission
Type
Number Form Spec.
DEFM14C Definitive information statement relating to EDGARLink EDGARLink

merger or acquisition Online Online XML
Technical
Specification
DEFC14C Definitive information statement – EDGARLink EDGARLink

Technical
Specification
DEF 14C Definitive information statements EDGARLink EDGARLink
Online Online XML
Technical
Specification
DEFA14C Definitive additional information statement EDGARLink EDGARLink
materials including Rule 14(a)(12) Online Online XML
material Technical
Specification
DEFR14C Definitive revised information statement EDGARLink EDGARLink
materials Online Online XML
Technical
Specification

Table 3-3: Securities Exchange Act – Registration and
Report Submission Types Accepted by EDGAR
Registration Statements
8-A Form for the registration / listing of a class of 8-A12B EDGARLink EDGARLink
securities on a national securities exchange Online Online XML
pursuant to Section 12(b) Technical
Specification
8-A Amendment 8-A12B/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
8-A Form for registration of a class of securities 8-A12G EDGARLink EDGARLink

pursuant to Section 12(g) Online Online XML
Technical
Specification
8-A Amendment 8-A12G/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
10 Initial general form for registration of a class 10-12B EDGARLink EDGARLink

of securities pursuant to Section 12(b) Online Online XML
Technical
Specification
10 Amendment 10-12B/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
10 Initial general form for registration of a class 10-12G EDGARLink EDGARLink

of securities pursuant to Section 12(g) Online Online XML
Technical
Specification
10 Amendment 10-12G/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
13H Large Trader Registration Information 13H EDGAR N/A

Required of Large Traders Pursuant to the Filing
Securities Exchange Act of 1934 and Rule Website
13h-1 Thereunder Online Forms

13H Amended Filing 13H-Q EDGAR N/A

Filing
Website
Online Forms
13H Annual Filing 13H-A EDGAR N/A

Filing
Website
Online Forms
13H Inactive Status 13H-I EDGAR N/A

Filing
Website
Online Forms
13H Reactivated Status 13H-R EDGAR N/A

Filing
Website
Online Forms
13H Termination Filing 13H-T EDGAR N/A

Filing
Website
Online Forms
20-F Form for initial registration of a class of 20FR12B EDGARLink EDGARLink

securities of foreign private issuers pursuant Online Online XML
to Section 12(b) Technical
Specification
20-F Amendment
20FR12B/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
20-F Form for initial registration of a class of 20FR12G EDGARLink EDGARLink

securities of foreign private issuers pursuant Online Online XML
to Section 12(g) Technical
Specification
20-F Amendment 20FR12G/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
40-F Registration of a class of securities of certain 40FR12B EDGARLink EDGARLink

Canadian issuers pursuant to Section 12(b) Online Online XML
of the 1934 Act Technical
Specification

40-F Amendment 40FR12B/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
40-F Registration of a class of securities of certain 40FR12G EDGARLink EDGARLink

Canadian issuers pursuant to Section 12(g) Online Online XML
of the 1934 Act Technical
Specification
40-F Amendment 40FR12G/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
18 Form for initial registration of securities of 18-12B EDGARLink EDGARLink

foreign governments or political subdivisions Online Online XML
pursuant to Section 12(b) Technical
Specification

Online Online XML
Technical
Specification
18 Form for initial registration of securities of 18-12G EDGARLink EDGARLink

foreign governments or political subdivisions Online Online XML
thereof pursuant to Section 12(g) Technical
Specification
18 Amendment 18- 12G/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
MA Application for Municipal Advisor MA EDGAR EDGAR

Registration Filing Form MA
Website XML
Specification
MA Annual Update of Municipal Advisor MA-A EDGAR EDGAR

Website XML
Specification

MA Amendment of a Prior Application for MA/A EDGAR EDGAR

Website XML
Specification
MA-I Information Regarding Natural Persons Who MA-I EDGAR EDGAR

Engage in Municipal Advisory Activities Filing Form MA
Website XML
Specification
MA-I Amendment of a previously submitted Form MA-I/A EDGAR EDGAR

MA-I Filing Form MA
Website XML
Specification
MA-W Notice of Withdrawal from Registration as a MA-W EDGAR EDGAR

Municipal Advisor Filing Form MA
Website XML
Specification
See Rules Application for Registration of Security- SBSE EDGAR EDGAR SBS
15Fb1-1 based Swap Dealers and Major Security- Filing Entity Forms
through based Swap Participants Website XML
15Fb6-2 Online Forms Technical
Specification
See Rules Amendment to an Application for SBSE/A EDGAR EDGAR SBS

15Fb1-1 Registration of Security-based Swap Dealers Filing Entity Forms
through and Major Security-based Swap Participants Website XML
Specification
See Rules Application for Registration of Security- SBSE-A EDGAR EDGAR SBS
through based Swap Participants that are Registered Website XML
15Fb6-2 or Registering with the Commodity Futures Online Forms Technical
Trading Commission as a Swap Dealer or Specification
Major Swap Participant
See Rules Amendment to an Application for SBSE-A/A EDGAR EDGAR SBS

15Fb6-2 that are Registered or Registering with the Online Forms Technical
Commodity Futures Trading Commission as Specification
a Swap Dealer or Major Swap Participant

See Rules Application for Registration of Security- SBSE-BD EDGAR EDGAR SBS
through based Swap Participants that are Registered Website XML
15Fb6-2 Broker-dealers Online Forms Technical
Specification
See Rules Amendment to an Application for SBSE-BD/A EDGAR EDGAR SBS

15Fb6-2 that are Registered Broker-dealers Online Forms Technical
Specification
See Rules Certifications for Registration of Security- SBSE-C EDGAR EDGAR SBS
through based Swap Participants Website XML
Specification
See Rules Request for Withdrawal from Registration as SBSE-W EDGAR EDGAR SBS
15Fb1-1 a Security-based Swap Dealer or Major Filing Entity Forms
through Security-based Swap Participant Website XML
Specification
SDR Application for Registration as Security- SDR EDGAR EDGAR SDR

based Swap Data Repository Filing XML
Website Technical
SDR Interim Amendment to Application for SDR/A EDGAR EDGAR SDR

Registration as Security-based Swap Data Filing XML
Repository Website Technical
SDR Annual Amendment to Application for SDR-A EDGAR EDGAR SDR

Registration as Security-based Swap Data Filing XML
Repository Website Technical
SDR-W Application for Withdrawal from Registration SDR-W EDGAR EDGAR SDR
as Security-based Swap Data Repository Filing XML
Website Technical

Annual, Quarterly, and Periodic Reports
Submission
Type
ABS-EE Form for Submission of Electronic Exhibits ABS-EE EDGARLink EDGARLink

in asset-backed securities offerings Online Online XML
Technical
Specification,
EDGAR ABS
XML
Technical
Specification
ABS-EE Amendment to Form for Submission of ABS-EE/A EDGARLink EDGARLink

Electronic Exhibits in asset-backed Online Online XML
securities offerings Technical
Specification,
EDGAR ABS
XML
Technical
Specification
ARS Annual report to security holders ARS EDGARLink EDGARLink

Online Online XML
Technical
Specification
ARS Amendment ARS/A EDGARLink EDGARLink

Online Online XML
Technical
Note: Use this submission type when
Specification
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.
IRANNOTICE Notice of disclosure filed in Exchange Act IRANNOTICE EDGARLink EDGARLink

quarterly and annual reports pursuant to Online Online XML
Section 219 of the Iran Threat Reduction Technical
and Syria Human Rights Act of 2012 and Specification
Section 13(r) of the Exchange Act
SD Specialized Disclosure Report filed SD EDGARLink EDGARLink

pursuant to Section 1502 of the Dodd-Frank Online Online XML
Wall Street Reform and Consumer Technical
Protection Act relating to the use of conflict Specification
minerals (Rule 13p-1)

Submission
Type
SD Amendment SD/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
SDR-CCO Annual Compliance Report and Financial SDR-CCO EDGARLink EDGARLink

Report for a Security-based Swap Data Online Online XML
Repository Technical
Specification
SDR-CCO Amendment to Annual Compliance Report SDR-CCO/A EDGARLink EDGARLink

and Financial Report for a Security-based Online Online XML
Swap Data Repository Technical
Specification
X-17A-5 Annual Reports for a Broker-dealer X-17A-5 EDGAR EDGAR Form

pursuant to Section 17 of the Securities Filing X-17A-5 XML
Exchange Act of 1934 and Rules 17a-5 and Website Technical
17a-12 thereunder Online Specification
Forms
X-17A-5 Amendment to Annual Reports for a Broker- X-17A-5/A EDGAR EDGAR Form
dealer pursuant to Section 17 of the Filing X-17A-5 XML
Securities Exchange Act of 1934 and Rules Website Technical
17a-5 and 17a-12 thereunder Online Specification
Forms
6-K Current report of foreign issuer pursuant to 6-K EDGARLink EDGARLink

Rules 13a-16 and 15d-16 Online Online XML
Technical
Specification
6-K Amendments 6-K/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
10-Q Quarterly report pursuant to Sections 13 or 10-Q EDGARLink EDGARLink

15(d) Online Online XML
Technical
Specification
10-Q Amendment 10-Q/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
10-Q Transition report pursuant to Rule 13a-10 or 10-QT EDGARLink EDGARLink

15d-10 Online Online XML
Technical
Specification

Submission
Type
10-K Annual report pursuant to Section 13 and 10-K EDGARLink EDGARLink

15(d) Online Online XML
Technical
Specification
10-K Amendment 10-K/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
10-K Transition report pursuant to Rule 13a-10 or 10-KT EDGARLink EDGARLink

Technical
Specification
10-K Amendment 10-KT/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
10-D Periodic distribution reports by asset- 10-D EDGARLink EDGARLink

backed issuers pursuant to Rule 13a-17 or Online Online XML
15d-17 Technical
Specification
10-D Amendment 10-D/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
8-K Current report filing 8-K EDGARLink EDGARLink

Online Online XML
Technical
Specification

Online Online XML
Technical
Specification
8-K Notification that a class of securities of 8-K12B EDGARLink EDGARLink

successor issuer is deemed to be Online Online XML
registered pursuant to Section 12(b) Technical
Specification
8-K Amendment 8-K12B/A EDGARLink EDGARLink

Online Online XML
Technical
Specification

Submission
Type
8-K Notification that a class of securities of 8-K12G3 EDGARLink EDGARLink

successor issuer is deemed to be Online Online XML
registered pursuant to Section 12(g) Technical
Specification
8-K Amendment 8-K12G3/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
8-K Notification of assumption of duty to report 8-K15D5 EDGARLink EDGARLink

by successor issue under Section 15(d) Online Online XML
Technical
Specification
8-K Amendment 8-K15D5/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
11-K Annual report of employee stock purchase, 11-K EDGARLink EDGARLink

savings and similar plans Online Online XML
Technical
Specification

Online Online XML
Technical
Specification
11-K Transition report pursuant to rule 13a-10 or 11-KT EDGARLink EDGARLink

Technical
Specification
11-K Amendment 11-KT/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
18-K Annual report for foreign governments and 18-K EDGARLink EDGARLink
political subdivisions Online Online XML
Technical
Specification

Online Online XML
Technical
Specification

Submission
Type
20-F Annual and transition report of foreign 20-F EDGARLink EDGARLink

private issuers pursuant to Section 13 or Online Online XML
15(d) Technical
Specification
20-F Amendment 20-F/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
40-F Annual report filed by certain Canadian 40-F EDGARLink EDGARLink

issuers pursuant to Section 15(d) and Rule Online Online XML
15d-4 Technical
Specification
40-F Amendment 40-F/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
12b-25 Notice under Rule 12b25 of inability to NT 10-Q EDGARLink EDGARLink

timely file all or part of a form 10-Q or Online Online XML
10-QSB Technical
Specification
12b-25 Amendment NT 10-Q/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
12b-25 Notice under Rule 12b25 of inability to NT 10-K EDGARLink EDGARLink

timely file all or part of a form 10-K, 10-KSB, Online Online XML
or 10-KT Technical
Specification
12b-25 Amendment NT 10-K/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
12b-25 Notice under Rule 12b25 of inability to NT 10-D EDGARLink EDGARLink

timely file all or part of a Form 10-D Online Online XML
Technical
Specification
12b-25 Amendment NT 10-D/A EDGARLink EDGARLink

Online Online XML
Technical
Specification

Submission
Type
12b-25 Notice under Rule 12b25 of inability to NT 11-K EDGARLink EDGARLink

timely file all or part of a form 11-K Online Online XML
Technical
Specification
12b-25 Amendment NT 11-K/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
12b-25 Notice under Rule 12b25 of inability to NT 15D2 EDGARLink EDGARLink

timely file a special report pursuant to Online Online XML
Section 15d-2 Technical
Specification
12b-25 Amendment NT 15D2/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
12b-25 Notice under Rule 12b25 of inability to NT 20-F EDGARLink EDGARLink

timely file all or part of an annual report of Online Online XML
form 20-F Technical
Specification
12b-25 Amendment NT 20-F/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
12b-25 Notice under Exchange Act Rule 12b-25 of NT-NCEN EDGARLink EDGARLink
inability to timely file Form N-CEN Online Online XML
Technical
Specification
12b-25 Amendment NT-NCEN/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
15 Notice of termination of registration of a 15-12B EDGARLink EDGARLink

class of securities under Section 12(b) Online Online XML
Technical
Specification

Online Online XML
Technical
Specification

Submission
Type
15 Notice of termination of registration of a 15-12G EDGARLink EDGARLink

class of securities under Section 12(g) Online Online XML
Technical
Specification
15 Notice of suspension of duty to file reports 15-15D EDGARLink EDGARLink

pursuant to Section 13 and 15(d) of the Act Online Online XML
Technical
Specification
15 Amendment 15-15D/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
See Rule Special Financial Report filed under Rule SP 15D2 EDGARLink EDGARLink
15d-2 15d-2 Online Online XML
Technical
Specification
See Rule Amendment SP 15D2/A EDGARLink EDGARLink

Technical
Specification
15F Notice of termination of a foreign private 15F-12B EDGARLink EDGARLink

issuer’s registration of a class of securities Online Online XML
under Section 12(b) Technical
Specification
15F Amendment 15F-12B/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
15F Notice of termination of a foreign private 15F-12G EDGARLink EDGARLink

issuer’s registration of a class of securities Online Online XML
under Section 12(g) Technical
Specification
15F Amendment 15F-12G/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
15F Notice of a foreign private issuer’s 15F-15D EDGARLink EDGARLink

suspension of duty to file reports pursuant Online Online XML
to Section 13 and 15(d) of the Act Technical
Specification

Submission
Type
15F Amendment 15-15D/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
See Rules Confidential broker dealer annual 17-H 17HACON EDGAR EDGAR Form
17h-1T and report Filing 17-H XML
17h-2T Website Technical
Online Specification
Forms
See Rules Amendment for confidential broker dealer 17HACON/A EDGAR EDGAR Form
17h-1T and annual 17-H report Filing 17-H XML
Forms
See Rules Confidential broker dealer quarterly 17-H 17HQCON EDGAR EDGAR Form
17h-1T and report Filing 17-H XML
Forms
See Rules Amendment for confidential broker dealer 17HQCON/A EDGAR EDGAR Form
17h-1T and quarterly 17-H report Filing 17-H XML
Forms
Dodd-Frank Submission Types/Filings

Submission
Type
ABS-15G Asset-backed securities report pursuant to ABS-15G EDGARLink EDGARLink

Section 15G Online Online XML
Technical
Specification
ABS-15G Amendment ABS-15G/A EDGARLink EDGARLink

Online Online XML
Technical
Specification

Nationally Recognized Statistical Rating Organization Submission Types/Filings
Submission
Type
NRSRO Update of Registration for Nationally NRSRO- EDGARLink EDGARLink
Recognized Statistical Rating Organizations UPD Online Online XML
Technical
Specification
NRSRO Annual Certification for Nationally NRSRO-CE EDGARLink EDGARLink
Recognized Statistical Rating Organizations Online Online XML
Technical
Specification
NRSRO Amendment to Annual Certification for NRSRO- EDGARLink EDGARLink
Nationally Recognized Statistical Rating CE/A Online Online XML
Specification
NRSRO Withdrawal from Credit Rating Class for NRSRO- EDGARLink EDGARLink
Nationally Recognized Statistical Rating WCLS Online Online XML
Specification
NRSRO Withdrawal from Registration as Nationally NRSRO- EDGARLink EDGARLink
Recognized Statistical Rating Organization WREG Online Online XML
Technical
Specification
Rule 17g-3 Annual Financial/Other Reports for NRSRO-FR EDGARLink EDGARLink
Nationally Recognized Statistical Rating Online Online XML
Organizations, as required by Rule 17g-3 Technical
(Non-Public) Specification
Rule 17g-3 Amendment to Annual Financial/Other NRSRO- EDGARLink EDGARLink
Reports for Nationally Recognized Statistical FR/A Online Online XML
Rating Organizations, as required by Rule Technical
17g-3 (Non-Public) Specification

Miscellaneous Submission Types/Filings
Submission
Type
Form 13F Initial Quarterly Form 13F Holdings 13F-HR EDGAR EDGAR Form
Report filed by institutional managers Filing 13F XML
Initial Quarterly Form 13F Combination Website Technical
Report filed by institutional managers Online Specification
Forms
Form 13F Amendment 13F-HR/A EDGAR EDGAR Form

Filing 13F XML
Website Technical
Forms
Form 13F Initial Quarterly Form 13F Notice Report 13F-NT EDGAR EDGAR Form
filed by institutional managers Filing 13F XML
Website Technical
Forms
13F Amendment 13F-NT/A EDGAR EDGAR Form

Filing 13F XML
Website Technical
Forms
Form APP WD Withdrawal of an application for APP WD EDGARLink EDGARLink

exemptive or other relief from the federal APP WD/A Online Online XML
securities laws Technical
Specification
Form N-MFP2 Monthly Schedule of Portfolio Holdings of N-MFP2 N/A EDGAR Form
Money Market Funds on Form N-MFP N-MFP2/A N-MFP2 XML
Technical
Specification
Form SH Weekly Form SH Entries Report Filed by SH-ER EDGARLink SH-ER

Institutional Investment Managers Online Information
table only:
SH-ER
Information
Table XML
Technical
Specification

Submission
Type
Form SH Amendment SH-ER/A EDGARLink SH-ER/A

Online Information
table only:
SH-ER
Information
Table XML
Technical
Specification
Form SH Weekly Form SH Notice Report Filed by SH-NT EDGARLink EDGARLink

Institutional Investment Managers Online Online XML
Technical
Specification
Form SH Amendment SH-NT/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Form RW Registration Withdrawal Request RW EDGARLink EDGARLink

Online Online XML
Technical
Specification
Form RW Withdrawal of a registration withdrawal RW WD EDGARLink EDGARLink

Technical
Specification
Form AW Withdrawal of an amendment to a AW EDGARLink EDGARLink

registration statement filed under the Online Online XML
Securities Act Technical
Specification
Form AW Withdrawal of an amendment registration AW WD EDGARLink EDGARLink

withdrawal statement Online Online XML
Technical
Specification
Form 425 Filing under Securities Act Rule 425 of 425 EDGARLink EDGARLink
certain prospectuses and Online Online XML
communications in connection with Technical
business combination transactions Specification
Note: Form 425 can be filed as part of
Form 8-K. For filers subject to 8K 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.

Submission
Type
Form 25 Notification filed by issuer to voluntarily 25 EDGARLink EDGARLink

withdraw a class of securities from listing Online Online XML
and registration on a national securities Technical
exchange Specification
Form 25 Amendment 25/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Form 25 25-NSE Distributed Distributed to

Notification filed by national security
to National National
exchange to report the removal from
Securities Securities
listing and registration of matured,
Exchanges Exchanges
redeemed or retired securities
only only
Form 25 Amendment 25-NSE/A Distributed Distributed to

to National National
Securities Securities
Exchanges Exchanges
only only

Section 16 Ownership Forms/Filings
Submission
Type
Form 3 Initial statement of beneficial ownership of 3 Online EDGAR

securities Forms Ownership
XML
Technical
Specification
Form 3 Amendment 3/A Online EDGAR

Forms Ownership
XML
Technical
Specification
Form 4 Statement of changes in beneficial 4 Online EDGAR

ownership of securities Forms Ownership
XML
Technical
Specification

Forms Ownership
XML
Technical
Specification
Form 5 Annual statement of changes in beneficial 5 Online EDGAR

ownership of securities Forms Ownership
XML
Technical
Specification

Forms Ownership
XML
Technical
Specification

Section 17A Transfer Agent Forms/Filings
Submission
Type
TA-1 Application for registration as a transfer TA-1 EDGAR EDGAR TA-1

agent filed pursuant to the Securities Filing XML
Exchange Act of 1934 Website Technical
Forms
TA-1 Amendment TA-1/A EDGAR EDGAR TA-1

Filing XML
Website Technical
Forms
TA-2 Annual report of transfer agent activities filed TA-2 EDGAR EDGAR TA-2
pursuant to the Securities Exchange Act of Filing XML
1934 Website Technical
Forms
TA-2 Amendment TA-2/A EDGAR EDGAR TA-2

Filing XML
Website Technical
Forms
TA-W Notice of withdrawal from registration as TA-W EDGAR EDGAR TA-W

transfer agent filed pursuant to the Securities Filing XML
Exchange Act of 1934 Website Technical
Forms

NMS Stock ATSs
Tool/ Filer-
CFR Form/ Submission
Schedule/Rule Type
Number Form Spec.
Form ATS-N Initial Form ATS-N Rule (304(a)(1)(i)) ATS-N EDGAR EDGAR Form
Filing ATS-N XML
Website Technical
Forms
Form ATS-N Material Amendment Rule ATS-N/MA EDGAR EDGAR Form

(304(a)(2)(i)(A)) Filing ATS-N XML
Website Technical
Forms
Form ATS-N Updating Amendment Rule ATS-N/UA EDGAR EDGAR Form

(304(a)(2)(i)(B)) Filing ATS-N XML
Website Technical
Forms
Form ATS-N Correcting Amendment Rule ATS-N/CA EDGAR EDGAR Form

(304(a)(2)(i)(C)) Filing ATS-N XML
Website Technical
Forms
Form ATS-N Order Display and Fair Access ATS-N/OFA EDGAR EDGAR Form
Amendment (Rule 304(a)(2)(i)(D)) Filing ATS-N XML
Website Technical
Forms
Form ATS-N Notice of Cessation (Rule 304(a)(3)) ATS-N-C EDGAR EDGAR Form
Filing ATS-N XML
Website Technical
Forms
Form ATS-N Withdrawal of Form ATS-N filing ATS-N-W EDGAR EDGAR Form
Filing ATS-N XML
Website Technical
Forms

Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR

Schedule/ Rule Type Template Constructed
Number Form Spec.
Schedule 13D Schedule filed to report SC 13D EDGARLink EDGARLink

acquisition of beneficial Online Online XML
ownership of 5% or more of a Technical
class of equity securities Specification
Schedule 13D Amendment SC 13D/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule 13-E1 Schedule 13-E1 statement of SC 13E1 EDGARLink EDGARLink

issuer required by Rule 13e-1 Online Online XML
Technical
Specification
Schedule 13-E1 Amendment SC 13E1/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule 13E-3 Schedule filed to report going SC 13E3 EDGARLink EDGARLink

private transactions Online Online XML
Technical
Specification
Schedule 13E-3 Amendment SC 13E3/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule 13E4F Issuer tender offer statement SC13E4F EDGARLink EDGARLink

filed pursuant to Rule Online Online XML
13(e)(4) by foreign issuers Technical
Specification
Schedule 13E4F Amendment SC13E4F/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule 13G Schedule filed to report SC 13G EDGARLink EDGARLink

acquisition of beneficial Online Online XML
ownership of 5% or more of a Technical
class of equity securities by Specification
passive investors and certain
institutions

Number Form Spec.
Schedule 13G Amendment SC 13G/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule 14A-11 Information filed by certain SC 14N EDGARLink EDGARLink

nominating shareholders Online Online XML
(pursuant to Section 240 Technical
14n-1) Specification
Schedule 14A-11 Amendment SC 14N/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule TO-I Issuer tender offer statement SC TO-I EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule TO-I Amendment SC TO-I/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule TO-T Third party tender offer SC TO-T EDGARLink EDGARLink

Technical
Specification
Schedule TO-T Amendment SC TO-T/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule TO-C Written communication SC TO-C EDGARLink EDGARLink

relating to an issuer or third Online Online XML
party tender offer Technical
Note: Form Schedule TO-C Specification
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

Number Form Spec.
Schedule 14D1F Third party tender offer SC14D1F EDGARLink EDGARLink

statement filed pursuant to Online Online XML
Rule 14d-1(b) by foreign Technical
issuers Specification
Schedule 14D1F Amendment SC14D1F/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule 14D9-C Written communication by the SC14D9C EDGARLink EDGARLink

subject company relating to a Online Online XML
third party tender offer Technical
Specification
Schedule 14D9 Tender offer solicitation / SC 14D9 EDGARLink EDGARLink

recommendation statements Online Online XML
filed under Rule 14-d9 Technical
Specification
Schedule 14D9 Amendment SC 14D9/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule 14D9F Solicitation/recommendation SC14D9F EDGARLink EDGARLink

statement pursuant to Online Online XML
Section 14(d)(4) of the Technical
Securities Exchange Act of Specification
1934 and Rules 14d-1(b) and
14e-2(c) by foreign issuers
Schedule 14D9F Amendment SC14D9F/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Schedule 14F-1 Statement regarding change SC 14F1 EDGARLink EDGARLink

in majority of directors Online Online XML
pursuant to Rule 14f-1 Technical
Specification
Schedule 14F-1 Amendment SC 14F1/A EDGARLink EDGARLink

Online Online XML
Technical
Specification

Number Form Spec.
CB Notification form filed in CB EDGARLink EDGARLink

connection with certain Online Online XML
tender offers, business Technical
combinations and rights Specification
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 Amendment CB/A EDGARLink EDGARLink

Online Online XML
Technical
Specification

Table 3-5: Investment Company Submission Types Accepted by EDGAR
Number Form Spec.
Forms S-1 & S-3 Registration statement for face- No info blank No info No info blank
amount certificate companies cell blank cell cell
Forms S-1 & S-3 General form of registration S-1 EDGARLink EDGARLink
statement for all companies Online Online XML
including face-amount certificate Technical
companies Specification
Forms S-1 & S-3 Pre-effective amendment S-1/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Forms S-1 & S-3 Registration statement for S-3 EDGARLink EDGARLink
specified transactions by certain Online Online XML
issuers including face-amount Technical
certificate companies Specification
Forms S-1 & S-3 Pre-effective amendment S-3/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Forms S-1 & S-3 Post-effective amendment to a POS AM EDGARLink EDGARLink
Specification
Forms S-1 & S-3 Definitive materials filed under 497 EDGARLink EDGARLink
paragraph (a), (b), (c), (d), (e) or Online Online XML
(f) of Securities Act Rule 497 Technical
Specification
Forms S-1 & S-3 Certification of no change in 497J EDGARLink EDGARLink
definitive materials under Online Online XML
paragraph (j) of Securities Act Technical
Rule 497 Specification
Form N-1A Registration statement for open- No info blank No info No info blank
end management investment cell blank cell cell
companies
Form N-1A Initial registration statement filed N-1A EDGARLink EDGARLink
on Form N-1A for open-end Online Online XML
management investment Technical

Number Form Spec.
Form N-1A Pre-effective amendment to a N-1A/A EDGARLink EDGARLink
registration statement filed on Online Online XML
Form N-1A for open-end Technical
management investment Specification
companies (this filing cannot be
submitted as a 1940 Act only
filing)
Form N-1A Post-effective amendment filed 485APOS EDGARLink EDGARLink
pursuant to Securities Act Rule Online Online XML
485(a) (this filing cannot be Technical
submitted as a 1940 Act only Specification
filing)
Form N-1A Post-effective amendment filed 485BPOS EDGARLink EDGARLink
485(b) (this filing cannot be Technical
filing)
Form N-1A Post-effective amendment (for POS AMI EDGARLink EDGARLink
filings made under the 1940 Act Online Online XML
only) Technical
Specification
Form N-1A Post-effective amendment filed 485BXT EDGARLink EDGARLink
485(b)(1)(iii) to designate a new Technical
effective date for a post-effective Specification
amendment previously filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
filing)
Form N-1A Definitive materials filed under 497 EDGARLink EDGARLink
Specification
Form N-1A Certification of no change in 497J EDGARLink EDGARLink
Rule 498 Summary Prospectus for certain 497K EDGARLink EDGARLink
open-end management Online Online XML
investment companies filed Technical
pursuant to Securities Act Rule Specification
497(k)

Number Form Spec.
Rule 498A Initial summary prospectus for 497VPI EDGARLink EDGARLink
variable contracts filed pursuant Online Online XML
to Securities Act Rule 497(k) Technical
Specification
Rule 498A Updating summary prospectus 497VPU EDGARLink EDGARLink
for variable contracts filed Online Online XML
pursuant to Securities Act Rule Technical
497(k) Specification
Form N-2 Initial filing of a registration N-2 EDGARLink EDGARLink

statement on Form N-2 for Online Online XML
closed-end investment Technical
Form N-2 Pre-effective amendment to a N-2/A EDGARLink EDGARLink
registration statement on Form Online Online XML
N-2 for closed-end investment Technical
companies (this filing cannot be Specification
filing)
Form N-2 Automatic shelf registration N-2ASR EDGARLink EDGARLink
statement on Form N-2 for well- Online Online XML
known seasoned issuers Technical
Specification
Form N-2 Post-effective amendment to an N-2 POSASR EDGARLink EDGARLink

automatic shelf registration Online Online XML
statement on Form N-2 for well- Technical
known seasoned issuers Specification
Form N-2 Post-effective amendment (for POS AMI EDGARLink EDGARLink
only) Technical
Specification
Form N-2 Post-effective amendment filed POS 8C EDGARLink EDGARLink
under the 1933 Act only or under Online Online XML
both the 1933 and 1940 Acts Technical
pursuant to Section 8(c) of the Specification
1933 Act by closed-end
investment companies (this filing
cannot be submitted as a 1940
Act only filing)

Number Form Spec.
Form N-2 Filing of a Form N-2 registration N-2 EDGARLink EDGARLink
statement by closed-end Online Online XML
investment companies pursuant Technical
to Securities Act Rule 486(a) for Specification
the purpose of registering
additional shares of common
stock
Form N-2 Post-effective amendment to 486APOS EDGARLink EDGARLink
filing filed pursuant to Securities Online Online XML
Act Rule 486(a) (this filing cannot Technical
be submitted as a 1940 Act only Specification
filing)
Form N-2 Filing of a Form N-2 registration N-2 EDGARLink EDGARLink
statement by closed-end Online Online XML
investment companies pursuant Technical
to Securities Act Rule 486(b) for Specification
the purpose of registering
additional shares of common
stock
Form N-2 Post-effective amendment to 486BPOS EDGARLink EDGARLink
filing filed pursuant to Securities Online Online XML
Act Rule 486(b) (this filing cannot Technical
be submitted as a 1940 Act only Specification
filing)
Form N-2 Post-effective amendment filed 486BXT EDGARLink EDGARLink
filing)
Form N-2 Definitive materials filed under 497 EDGARLink EDGARLink
Specification
Form N-2 Certification of no change in 497J EDGARLink EDGARLink
definitive materials Online Online XML
Technical
Specification

Number Form Spec.
Form N-2 A new registration statement on N-2MEF EDGARLink EDGARLink
Form N-2 filed under Securities Online Online XML
Act Rule 462(b) by closed-end Technical
investment companies of up to Specification
an additional 20% of securities
for an offering that was
registered on Form N-2
Form N-2 Post-effective amendment to POS462B EDGARLink EDGARLink
Securities Act Rule 462(b) Online Online XML
registration statement Technical
Specification
Form N-2 Post-effective amendment to a POS462C EDGARLink EDGARLink
registration statement filed under Online Online XML
Securities Act Rule 462(c) Technical
Specification
Form N-2 Post-effective amendment filed POS EX EDGARLink EDGARLink
solely to add exhibits to a Online Online XML
Specification
Specification
Form N-2 Filings made pursuant to Rule 497H2 EDGARLink EDGARLink
497(h)(2) Online Online XML
Technical
Specification
Form N-3 Initial registration statement on N-3 EDGARLink EDGARLink
Form N-3 for separate accounts Online Online XML
(management investment Technical
companies) Specification
N-3 for separate accounts Technical
(management investment Specification
companies) (this filing cannot be
filing)
Form N-3 Post-effective amendment filed 485APOS EDGARLink EDGARLink
filing)

Number Form Spec.
Form N-3 Post-effective amendment filed 485BPOS EDGARLink EDGARLink
filing)
only) Technical
Specification
filing)
Specification
Form N-4 Initial registration statement on N-4 EDGARLink EDGARLink
Form N-4 for separate accounts Online Online XML
(unit investment trusts) Technical
Specification
N-4 for separate accounts (unit Technical
investment trusts) (this filing Specification
Act only filing)
Form N-4 Pre-effective pricing amendment 487 EDGARLink EDGARLink
filed pursuant to Securities Act Online Online XML
Rule 487 Technical
Specification
filing)

Number Form Spec.
filing)
filing)
only) Technical
Specification
Specification
Form N-5 Registration statement for small N-5 EDGARLink EDGARLink
business investment companies Online Online XML
Technical
Specification
N-5 for small business Technical
investment companies (this filing Specification
Act only filing)
only) Technical
Specification

Number Form Spec.
Act only filing)
Specification
Form N-6 Registration statement for N-6 EDGARLink EDGARLink
separate accounts (unit Online Online XML
investment trusts) Technical
Specification
registration statement filed on Online Online XML
Form N-6 for separate accounts Technical
(unit investment trusts) Specification
Form N-6 Pre-effective pricing amendment 487 EDGARLink EDGARLink
Rule 487 Technical
Specification
filing)
filing)

Number Form Spec.
filing)
only) Technical
Specification
Specification
Form S-6 Initial registration statement filed S-6 EDGARLink EDGARLink
on Form S-6 for unit investment Online Online XML
trusts Technical
Specification
Form S-6 Pre-effective amendment S-6/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form S-6 Pre-effective pricing amendment 487 EDGARLink EDGARLink
Rule 487 Technical
Specification
Form S-6 Initial undertaking to file reports UNDER EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form S-6 Amendment UNDER/A EDGARLink EDGARLink
Online Online XML
Technical
Specification

Number Form Spec.
Form S-6 Post-effective amendment filed 485APOS EDGARLink EDGARLink
filing)
Form S-6 Post-effective amendment filed 485BPOS EDGARLink EDGARLink
filing)
Form S-6 Post-effective amendment filed 485BXT EDGARLink EDGARLink
filing)
Form S-6 Definitive materials filed under 497 EDGARLink EDGARLink
Specification
Form S-6 Certification of no change in 497J EDGARLink EDGARLink
Form N-14 Initial registration statement filed N-14 EDGARLink EDGARLink
on Form N-14 for open-end Online Online XML
investment company, including Technical
those filed with automatic Specification
effectiveness under Rule 488
(business combinations)
Form N-14 Pre-effective amendment N-14/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-14 Post-effective amendment filed 485APOS EDGARLink
pursuant to Securities Act Rule EDGARLink Online XML
485(a) (this filing cannot be Online Technical
filing)

Number Form Spec.
filing)
Form N-14 Initial registration statement filed N-14 8C EDGARLink EDGARLink
on Form N-14 by closed-end Online Online XML
investment company (business Technical
combinations) Specification
Form N-14 Pre-effective amendment N-14 8C/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Act only filing)
Specification
Form N-14 A new registration statement N-14MEF EDGARLink EDGARLink
filed on Form N-14 by closed end Online Online XML
investment companies filed Technical
under Securities Act Rule 462(b) Specification
of up to an additional 20% of
securities for an offering that was
registered on Form N-14
Form N-14 Post-effective amendment to POS462B EDGARLink EDGARLink
Securities Act Rule 462(b) Online Online XML
Specification
Form N-14 Post-effective amendment to POS462C EDGARLink EDGARLink
Securities Act Rule 462(c) Online Online XML
Specification

Number Form Spec.
Specification

Miscellaneous Filings Under the Securities Act
Number Form Spec.
Rule 425 Filing under Securities Act Rule 425 EDGARLink EDGARLink
425 of certain prospectuses and Online Online XML
communications in connection Technical
with business combination Specification
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
Rule 473 Separately filed delaying DEL AM EDGARLink EDGARLink
amendment under Securities Act Online Online XML
Rule 473 to delay effectiveness Technical
of a 1933 Act registration Specification
statement
Rule 477 Withdrawal of an application for APP WD EDGARLink EDGARLink
exemptive or other relief from the Online Online XML
federal securities laws Technical
Specification
Rule 477 Withdrawal of an amendment to APP WD/A EDGARLink EDGARLink
an application for exemptive or Online Online XML
other relief from the federal Technical
securities laws Specification
Rule 477 Registration Withdrawal Request RW EDGARLink EDGARLink

Online Online XML
Technical
Specification
Rule 477 Withdrawal of a request for RW WD EDGARLink EDGARLink
withdrawal of a registration Online Online XML
statement Technical
Specification
Rule 477 Withdrawal of amendment to a AW EDGARLink EDGARLink
registration statement filed under Online Online XML
the Securities Act Technical
Specification
Rule 477 Withdrawal of a request for AW WD EDGARLink EDGARLink
withdrawal of an amendment to a Online Online XML
Specification

Number Form Spec.
Rule 482 Filing by certain investment 497AD EDGARLink EDGARLink
companies of Securities Act Rule Online Online XML
482 advertising in accordance Technical
with Securities Act Rule 497 Specification
Registration of Securities by Certain Investment Companies Pursuant to Rule 24F-2

Number Form Spec.
Rule 24F-2 Rule 24f-2 notice filed on Form 24F-2NT EDGARLink EDGARLink
24F-2 Online Online XML
Technical
Specification
Rule 24F-2 Amendment 24F-2NT/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Other Company Act Registration Statements

Number Form Spec.
Form N-8A Initial notification of registration N-8A EDGARLink EDGARLink
under Section 8(a) filed on Form Online Online XML
N-8A Technical
Specification
Form N-8A Amendment N-8A/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-8B-2 Initial registration statement for N-8B-2 EDGARLink EDGARLink
unit investment trusts filed on Online Online XML
Form N-8B-2 Technical
Specification
Form N-8B-2 Amendment N-8B-2/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
periodic payment plans filed on Online Online XML
Form N-8B-3 Technical
Specification

Number Form Spec.
Online Online XML
Technical
Specification
face-amount certificate Online Online XML
companies filed on Form N-8B-4 Technical
Specification
Online Online XML
Technical
Specification
Submission Types for Business Development Companies

Number Form Spec.
Form N-6F Notice of intent by business N-6F EDGARLink EDGARLink
development companies to elect Online Online XML
to be subject to Sections 55 Technical
through 65 of the 1940 Act filed Specification
on Form N-6F
Form N-6F Amendment N-6F/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Form N-54A Notification of election by N-54A EDGARLink EDGARLink
business development Online Online XML
companies filed on Form N-54A Technical
Specification
Form N-54A Amendment N-54A/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-54C Notification of withdrawal by N-54C EDGARLink EDGARLink
business development Online Online XML
companies filed on Form N-54C Technical
Specification
Form N-54C Amendment N-54C/A EDGARLink EDGARLink
Online Online XML
Technical
Specification

Other Investment Company Submission Types
Number Form Spec.
Rule 8b-25(a) Filing by investment company of 40-8B25 EDGARLink EDGARLink
application under Investment Online Online XML
Company Act Rule 8b-25(a) Technical
requesting extension of time for Specification
filing certain information,
document or report
Form 17F-1 Initial certificate of accounting of 40-17F1 EDGARLink EDGARLink
securities and similar Online Online XML
investments in the custody of Technical
companies filed pursuant to Rule
17f-1 of the Investment
Company Act of 1940 filed on
Form N-17F-1
Form 17F-1 Amendment 40-17F1/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form 17F-2 Initial certificate of accounting of 40-17F2 EDGARLink EDGARLink
securities and similar Online Online XML
investments in the custody of Technical
companies filed pursuant to Rule
17f-2 of the Investment
Company Act of 1940 filed on
Form N-17F-2
Form 17F-2 Amendment 40-17F2/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Rule 17g-1(g)(1) Fidelity bond filed pursuant to 40-17G EDGARLink EDGARLink
Rule 17g-1(g)(1) of the Online Online XML
Investment Company Act of Technical
1940 Specification
Rule 17g-1(g)(1) Amendment 40-17G/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Rule 17g-1(g)(2) Filings of claim or settlement 40-17GCS EDGARLink EDGARLink
or (3) pursuant to rule 17g-1(g)(1)(2) or Online Online XML
(3) of the Investment Company Technical
Act of 1940 Specification

Number Form Spec.
Rule 17g-1(g)(2) Amendment 40-17GCS/A EDGARLink EDGARLink
or (3) Online Online XML
Technical
Specification
Rule 24b-2 Filing of sales literature pursuant 40-24B2 EDGARLink EDGARLink
to Rule 24b-2 under the Online Online XML
Investment Company Act of Technical
1940 Specification
Rule 24b-2 Amendment 40-24B2/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
ICA Section 33 Copies of all stockholder 40-33 EDGARLink EDGARLink
derivative actions filed with a Online Online XML
court against an investment Technical
company or an affiliate thereof Specification
pursuant to Section 33 of the
Investment Company Act of
1940
ICA Section 33 Amendment 40-33/A EDGARLink EDGARLink
Note: May be filed electronically Online Online XML
on a voluntary basis. Technical
Specification
Form N-18F-1 Initial notification of election N-18F1 EDGARLink EDGARLink
pursuant to Rule 18f-1 filed on Online Online XML
Form N-18F-1 Technical
Specification
Form N-18F-1 Amendment N-18F1/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Rule 23c-2(b) Notice by closed-end investment N-23C-2 EDGARLink EDGARLink
companies of intention to call or Online Online XML
redeem their own securities Technical
under Investment Company Act Specification
Rule 23c-2
Rule 23c-2(b) Amendment N-23C-2/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-23C-3 Notification of periodic N-23C-3A EDGARLink EDGARLink
repurchase offer Filed pursuant Online Online XML
to Rule 23c-3(b) only Technical
Specification

Number Form Spec.
Form N-23C-3 Amendment N-23C-3A/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-23C-3 Filing pursuant to Rule 23c-3(c) N-23C-3B EDGARLink EDGARLink
only on Form N-23C-3 Online Online XML
Technical
Specification
Form N-23C-3 Amendment N-23C-3B/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-23C-3 Filing pursuant to Rule 23c-3(b) N-23C-3C EDGARLink EDGARLink
and (c) on Form N-23C-3 Online Online XML
Technical
Specification
Form N-23C-3 Amendment N-23C3-C/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-27D-1 Accounting for segregated trust N-27D-1 EDGARLink EDGARLink
accounts on Form N-27D-1 Online Online XML
Technical
Specification
Form N-27D-1 Amendment N-27D-1/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Adopting Notice Document for Certain N-VP EDGARLink EDGARLink
Release Variable Contracts Online Online XML
33-10765 Technical
Specification
Adopting Amendment to Notice Document N-VP/A EDGARLink EDGARLink
Release for Certain Variable Contracts Online Online XML
33-10765 Technical
Specification
Adopting Financial Statements for Certain N-VPFS EDGARLink EDGARLink
Release Variable Contracts Online Online XML
33-10765 Technical
Specification
Adopting Amendment to Financial N-VPFS/A EDGARLink EDGARLink
Release Statements for Certain Variable Online Online XML
33-10765 Contracts Technical
Specification

Periodic Reports for Registered Investment Companies
Number Form Spec.
Form N-CEN Annual Report for Registered N-CEN EDGAR EDGAR Form
Investment Companies Filing N-CEN
Website Technical
Forms
Form N-CEN Amendment N-CEN/A EDGAR EDGAR Form
Filing N-CEN
Website Technical
Forms
Form N-CSR Certified annual shareholder N-CSR EDGARLink EDGARLink
report of registered management Online Online XML
investment companies filed on Technical
Form N-CSR Specification
Form N-CSR Amendment N-CSR/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-CSR Certified semi-annual N-CSRS EDGARLink EDGARLink
shareholder report of registered Online Online XML
management investment Technical
companies filed on Form NCSR Specification
Form N-CSR Amendment N-CSRS/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-MFP2 Monthly Schedule of Portfolio N-MFP2 N/A EDGAR Form
Holdings of Money Market Funds N-MFP2 XML
on Form N-MFP Technical
Specification
Form N-MFP2 Amendment N-MFP2/A N/A EDGAR Form
N-MFP2 XML
Technical
Specification
Form N-PORT Portfolio Holdings Exhibit to NPORT-EX EDGARLink EDGARLink
Form N-PORT Online Online XML
Technical
Specification
Form N-PORT Amendment NPORT-EX/A EDGARLink EDGARLink
Online Online XML
Technical
Specification

Number Form Spec.
Form N-PORT Monthly Portfolio Investments NPORT-NP N/A EDGAR Form
Report on Form N-PORT (Non- N-PORT XML
Public) Technical
Specification
Form N-PORT Amendment NPORT- N/A EDGAR Form
NP/A N-PORT XML
Technical
Specification
Form N-PORT Monthly Portfolio Investments NPORT-P N/A EDGAR Form
Report on Form N-PORT N-PORT XML
(Public) Technical
Specification
Form N-PORT Amendment NPORT-P/A N/A EDGAR Form
N-PORT XML
Technical
Specification
Form N-PX Annual Report of Proxy Voting N-PX EDGARLink EDGARLink
Record of Registered Online Online XML
Management Investment Technical
Companies filed on Form N-PX Specification
Form N-PX Amendment N-PX/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-PX Annual Form N-PX Combination N-PX-CR EDGARLink EDGARLink
Report filed by institutional Online Online XML
managers Technical
Specification
Form N-PX Amendment N-PX-CR/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-PX Annual Report of Proxy Voting N-PX-FM EDGARLink EDGARLink
Record of Registered Online Online XML
Companies that includes proxy Specification
votes institutional managers
Form N-PX Amendment N-PX-FM/A EDGARLink EDGARLink
Online Online XML
Technical
Specification

Number Form Spec.
Form N-PX Annual Form N-PX Notice filed N-PX-NT EDGARLink EDGARLink
by institutional managers Online Online XML
Technical
Specification
Form N-PX Amendment N-PX-NT/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-PX Annual Form N-PX Voting N-PX-VR EDGARLink EDGARLink
Report filed by institutional Online Online XML
managers Technical
Specification
Form N-PX Amendment N-PX-VR/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-Q Quarterly Schedule of Portfolio N-Q EDGARLink EDGARLink
Holdings of Registered Online Online XML
Company filed on Form N-Q Specification
Form N-Q Amendment N-Q/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Rule 12b-25 Notice under Exchange Act Rule NT-NCSR EDGARLink EDGARLink
12b25 of inability to timely file Online Online XML
Form NCSR (annual or semi- Technical
annual report) Specification
Rule 12b-25 Amendment NT-NCSR/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Rule 30b2-1 Initial annual and semi-annual N-30D EDGARLink EDGARLink
reports mailed to investment Online Online XML
company shareholders pursuant Technical
to Rule 30e-1 (other than those Specification
required to be submitted as part
of Form N-CSR)
Rule 30b2-1 Amendment N-30D/A EDGARLink EDGARLink
Online Online XML
Technical
Specification

Number Form Spec.
Rule 30b2-1 Periodic and interim reports N-30B-2 EDGARLink EDGARLink
mailed to investment company Online Online XML
shareholders (other than annual Technical
and semi-annual reports mailed Specification
to shareholders pursuant to Rule
30e-1)
Regulation E Filings
Number Form Spec.
Regulation E Notification under Regulation E 1-E EDGARLink EDGARLink
by small business investment Online Online XML
companies and business Technical
development companies filed on Specification
Form 1-E.
Regulation E Amendment to a notification 1-E/A EDGARLink EDGARLink
under Regulation E by small Online Online XML
business investment companies Technical
and business development Specification
companies filed on Form 1-E
Regulation E Sales material filed pursuant to 1-E AD EDGARLink EDGARLink
Rule 607 under Regulation E Online Online XML
Technical
Specification
Regulation E Amendment to sales material 1-E AD/A EDGARLink EDGARLink
filed pursuant to Rule 607 under Online Online XML
Regulation E Technical
Specification
Regulation E Report of sales of securities 2-E EDGARLink EDGARLink
pursuant to Rule 609 under Online Online XML
Regulation E filed on Form 2-E Technical
Specification
Regulation E Amendment of a report of sales 2-E/A EDGARLink EDGARLink
of securities pursuant to Rule Online Online XML
609 under Regulation E filed on Technical
Form 2-E Specification
Miscellaneous Investment Company Reports

Number Form Spec.

Number Form Spec.
Form N-CR Current Report of Money Market N-CR EDGARLink EDGARLink
Fund Material Events Online Online XML
Technical
Specification
Form N-CR Amendment N-CR/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Form N-LIQUID Current Report Open-End N-LIQUID EDGARLink EDGARLink
Management Investment Online Online XML
Company Liquidity Technical
Specification
Form N-LIQUID Amendment N-LIQUID/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Application for an Order under the Investment Company Act

Number Form Spec.
Rule 0-2 Application under the Investment 40-OIP EDGARLink EDGARLink
Company Act submitted Online Online XML
pursuant to Investment Company Technical
Act Rule 0-2 reviewed by the Specification
Office of Insurance Products
Rule 0-2 Amendment to an application 40-OIP/A EDGARLink EDGARLink
under the Investment Company Online Online XML
Act submitted pursuant to Technical
Investment Company Act Rule Specification
0-2 reviewed by the Office of
Insurance Products
Rule 0-2 Application under the Investment 40-6B EDGARLink EDGARLink
Company Act by an employees’ Online Online XML
securities company submitted Technical
pursuant to Investment Company Specification
Act Rule 0-2
Rule 0-2 Amendment to an application 40-6B/A EDGARLink EDGARLink
Act by an employees’ securities Technical
company submitted pursuant to Specification
Investment Company Act Rule
0-2

Number Form Spec.
Rule 0-2 Application under the Investment 40-APP EDGARLink EDGARLink
Company Act submitted Online Online XML
pursuant to Investment Company Technical
Act Rule 0-2 other than those Specification
reviewed by Office of Insurance
Products
Rule 0-2 Amendment to an application 40-APP/A EDGARLink EDGARLink
Act submitted pursuant to Technical
Investment Company Act Rule Specification
0-2 other than those reviewed by
Office of Insurance Products
Application for Deregistration of Investment Companies

Number Form Spec.
Form N-8F Application for deregistration N-8F EDGARLink EDGARLink
made on Form N-8F Online Online XML
Technical
Specification
Form N-8F Amendment N-8F/A EDGARLink EDGARLink

Online Online XML
Technical
Specification
Rule 0-2 Initial application for 40-8F-2 EDGARLink EDGARLink

deregistration pursuant to Online Online XML
Investment Company Act Rule Technical
0-2 Specification
Rule 0-2 Amendment 40-8F-2/A EDGARLink EDGARLink
Online Online XML
Technical
Specification

Table 3-6: Development Bank Submission Types Accepted by EDGAR
QRTLYRPT Periodic Development Bank QRTLYRPT EDGARLink EDGARLink

filing, submitted quarterly Online Online XML
Technical
Specification
QRTLYRPT Amendment QRTLYRPT/ A EDGARLink EDGARLink
Online Online XML
Technical
Specification
ANNLRPT Periodic Development Bank ANNLRPT EDGARLink EDGARLink
filing, submitted annually Online Online XML
Technical
Specification
ANNLRPT Amendment ANNLRPT/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
DSTRBRPT Distribution of primary DSTRBRPT EDGARLink EDGARLink
obligations Development Bank Online Online XML
report Technical
Specification
DSTRBRPT Amendment DSTRBRPT/A EDGARLink EDGARLink
Online Online XML
Technical
Specification
Note: (1) These submission types are to be filed ONLY by the Development Banks. BW-2 and
BW-3 submission types have been rescinded; please use QRTLYRPT, ANNLRPT, and
DSTRBRPT Form Types.

Table 3-7: Correspondence Submission Types
Number Form Spec.
Correspondence A correspondence can be sent CORRESP EDGARLink EDGARLink

as a document with another
submission type or can be sent
Online Online XML
as a separate submission. Technical
Correspondence is not publicly Specification
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.”
Correspondence Letters to SEC staff regarding DRSLTR EDGARLink N/A
Related to Draft draft registration statements
Registration can either be included in the
Online
Statement DRS submission as a COVER
document or must be submitted
as a separate DRSLTR
submission. Filers should not
submit correspondence to the
staff using the CORRESP form
type until they begin making
public filings to complete their
offerings. This allows the SEC
staff to easily associate
correspondence during the draft
review with the draft registration
statement.
Draft Offering Letters to SEC staff regarding DOSLTR EDGARLink N/A
Statement Letter draft offering statements can
either be included in the DOS
Online
submission as a COVER
document or must be submitted
as a separate DOSLTR
submission. Filers should not
submit correspondence to the
staff using the CORRESP form
type until they begin making
public filings to complete their
offerings. This allows the SEC
staff to easily associate
correspondence during the draft
review with the draft offering
statement.

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3.

December 2020 3-1 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-2 December 2020

December 2020 3-3 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-4 December 2020

December 2020 3-5 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-6 December 2020

December 2020 3-7 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-8 December 2020

December 2020 3-9 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-10 December 2020

December 2020 3-11 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-12 December 2020

December 2020 3-13 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-14 December 2020

December 2020 3-15 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-16 December 2020

December 2020 3-17 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-18 December 2020

December 2020 3-19 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-20 December 2020

December 2020 3-21 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-22 December 2020

December 2020 3-23 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-24 December 2020

December 2020 3-25 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-26 December 2020

December 2020 3-27 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-28 December 2020

December 2020 3-29 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-30 December 2020

December 2020 3-31 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-32 December 2020

December 2020 3-33 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-34 December 2020

December 2020 3-35 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-36 December 2020

DOS Non-public draft offering statement under DOS EDGAR N/A

December 2020 3-37 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-38 December 2020

December 2020 3-39 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-40 December 2020

December 2020 3-41 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-42 December 2020

S-4MEF A new registration statement filed under S-4MEF EDGARLink EDGARLink

December 2020 3-43 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-44 December 2020

POS462B Post-effective amendment to Securities POS462B EDGARLink EDGARLink

December 2020 3-45 EDGAR Filer Manual (Volume II)

EDGAR Filer Manual (Volume II) 3-46 December 2020

December 2020 3-47 EDGAR Filer Manual (Volume II)

FWP Filing under Securities Act Rules 163/433 of EDGARLink EDGARLink

EDGAR Filer Manual (Volume II) 3-48 December 2020

Filings Pursuant to the Trust Indenture Act

CFR Form/ Tool/ Filer-

305B2 Application for designation of a new trustee 305B2 EDGARLink EDGARLink

December 2020 3-49 EDGAR Filer Manual (Volume II)

CFR Form/ Tool/ Filer-

EDGAR Filer Manual (Volume II) 3-50 December 2020

APP WD Withdrawal of an application for exemptive or APP WD EDGARLink EDGARLink