АҚШ Құпиялы Қағаздар Комиссиясына (SEC) есеп берулер туралы

The SEC filing is a financial statement or other formal document submitted to the U. S. Securities and Exchange Commission (SEC). Public companies, certain insiders, and broker dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Many, but not all SEC filings are available online through the SEC's EDGAR (Electronic Data Gathering, Analysis, and Retrieval) database and as structured datasets in the Harvard Dataverse.

The filings accepted by the SEC as of November 2011. Form name Description 1 E, 1 E/A Notification under Regulation E by small business investment companies and business development companies (and amendment thereto) 1 E AD, 1 E AD/A Sales material filed pursuant to Rule 607 under Regulation E. (and amendment thereto) 2 E, 2 E/A Sales material filed pursuant to Rule 609 under Regulation E. (and amendment thereto) 10 12B, 10 12B/A Initial general form for registration of a class of securities pursuant to section 12(b) (and amendment thereto) 10 12G, 10 12G/A Initial general form for registration of a class of securities pursuant to section 12(g) (and amendment thereto) 10 D, 10 D/A Periodic distribution reports by Asset Backed issuers pursuant to Rule 13a 17 or 15d 17 (and amendment thereto) 10 K, 10 K/A Annual report pursuant to section 13 and 15(d) (and amendment thereto) 10 KT, 10 KT/A Transition report pursuant to Rule 13a 10 or 15d 10 (and amendment thereto) 10 Q, 10 Q/A Quarterly report pursuant to section 13 and 15(d) (and amendment thereto) 10 QT, 10 QT/A Transition report pursuant to Rule 13a 10 or 15d 10 (and amendment thereto) 11 K, 11 K/A Annual report of employee stock purchase, savings and similar plans (and amendment thereto) 11 KT, 11 KT/A Transition report pursuant to Rule 13a 10 or 15d 10 (and amendment thereto) 13F HR, 13F HR/A Initial Quarterly Form 13F Holdings report filed by institutional managers (and amendment thereto) 13F NT, 13F NT/A Initial Quarterly Form 13F Notice Report filed by institutional managers (and amendment thereto) 13H, 13H Q, 13H A, 13H I, 13H R, 13H T Large Trader Registration Information Required of Large Traders Pursuant to the Securities Exchange Act of 1934 and Rule 13h 1 Thereunder. Initial Filing (13H), Amended Filing (13H Q), Annual Filing (13H 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 (and amendment thereto) 15 12B, 15 12B/A Notice of termination of registration of a class of securities under Section 12(b) (and amendment thereto) 15 12G, 15 12G/A Notice of termination of registration of a class of securities under Section 12(g) (and amendment thereto) 15 15D, 15 15D/A Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act (and amendment thereto) 15F 12G, 15F 12G/A Notice of termination of a foreign private issuer's registration of a class of securities under Section 12(g) (and amendment thereto) 15F 15D, 15F 15D/A Notice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act (and amendment thereto) 18 K, 18 K/A Annual report for foreign governments (and amendment thereto) 20 F, 20 F/A Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d) (and amendment thereto) 20FR12B, 20FR12B/A Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) (and amendment thereto) 20FR12G, 20FR12G/A Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) (and amendment thereto) 24F 2NT, 24F 2NT/A Rule 24F 2 notice filed on Form 24F 2 (and amendment thereto) 25, 25/A Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange (and amendment thereto) 25 NSE, 25 NSE/A Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities (and amendment thereto) 3, 3/A Initial statement of beneficial ownership of securities (and amendment thereto) 305B2, 305B2/A Application for designation of a new trustee under the Trust Indenture Act 4, 4/A Statement of changes in beneficial ownership of securities (and amendment thereto) 40 6B, 40 6B/A Application under the Investment Company Act by an employees‟ securities company 40 17F2 Initial certificate of accounting of securities and similar investments in the custody of management investment companies 40 17F2/A Amendment 40 17G Fidelity bond 40 17G/A Fidelity bond (Amendment) 40 202A/A Filing 40 202A/A 40 206A/A Amendment 40 24B2 Filing of sales literature 40 24B2/A Filing of sales literature (Amendment) 40 33 All stockholder derivative actions filed with a court against an investment company or an affiliate 40 8B25 Document or Report 40 8F 2 Initial application for de registration pursuant to Investment Company Act Rule 0 2 40 APP Applications under the Investment Company Act other than those reviewed by Office of Insurance Products 40 APP/A Applications under the Investment Company Act other than those reviewed by Office of Insurance Products (Amendment) 40 F Annual reports filed by certain Canadian issuers 40 F/A Annual reports filed by certain Canadian issuers (Amendment) 40 OIP Applications under the Investment Company Act reviewed by Office of Insurance Products 40 OIP/A Applications under the Investment Company Act reviewed by Office of Insurance Products (Amendment) 40FR12B Registration of a class of securities of certain Canadian issuers 40FR12B/A Registration of a class of securities of certain Canadian issuers (Amendment) 40FR12G Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act 40FR12G/A Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act (Amendment) 424A Prospectus 424B1 Prospectus 424B2 Prospectus 424B3 Prospectus 424B4 Prospectus 424B5 Prospectus 424B7 Prospectus 424B8 Prospectus 425 Filing under Securities Act of 1933 Rule 425 of certain prospectuses and communications in connection with business combination transactions 485APOS Post effective amendment 485BPOS Post effective amendment 485BXT Post effective amendment 486APOS Post effective amendment 486BPOS Post effective amendment 487 Pre effective pricing amendment 497 Definitive materials 497AD Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 497H2 Filings made pursuant to Rule 497(h)(2) 497J Certification of no change in definitive materials 497K1 Profiles for certain open end management investment companies 497K2 Profiles for certain open end management investment companies 497K3A Profiles for certain open end management investment companies 497K3B Profiles for certain open end management investment companies 5 Insider Trading (Form 5) 5/A Insider Trading (Form 5) Amendment 6 K Current report of foreign issuer 6 K/A Current report of foreign issuer (Amendment) 8 A12B Registration of a class of securities on a national securities exchange 8 A12B/A Registration of a class of securities on a national securities exchange (Amendment) 8 A12G Notification that a class of securities of successor issuer is deemed to be registered 8 A12G/A Notification that a class of securities of successor issuer is deemed to be registered (Amendment) 8 K Events or Changes Between Quarterly Reports 8 K/A Events or Changes Between Quarterly Reports (Amendment) 8 K12B Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b) 8 K12B/A Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b) (Amendment) 8 K12G3 Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(g) 8 K12G3/A 8 K15D5 Notification of assumption of duty to report by successor 8 M 8 M Filing 9 M 9 M Filing ADN MTL ADN MTL Filing ADV E ADV E Filing ADV H C ADV H T ADV NR ADV NR Filing ANNLRPT Periodic Development Bank filing, submitted annually APP WD APP WD Filing ARS Annual Report to Security Holders ARS/A Annual Report to Security Holders (Amendment) AW Withdrawal of amendment to a registration statement filed under the Securities Act AW WD Withdrawal of a request for withdrawal of an amendment to a registration statement CB Certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U. S. persons CB/A Certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U. S. persons (Amendment) CERTAMX Filing CERTAMX CERTNAS Filing CERTNAS CERTNYS Filing CERTNYS CERTPAC Filing CERTPAC CORRESP Correspondence CT ORDER Confidential Treatment Order. D Filing D D/A Filing D (Amendment) DEF 14A Definitive proxy statements DEF 14C Definitive information statements DEFA14C Definitive additional information statement materials including Rule 14(a)(12) material DEFC14A Definitive proxy statement in connection with contested solicitations DEFC14C Definitive information statement contested solicitations DEFM14A Definitive proxy statement relating to merger or acquisition DEFM14C Definitive information statement relating to merger or acquisition DEFN14A Definitive proxy statement filed by non management DEFR14A Definitive revised proxy soliciting materials DEFR14C Definitive revised information statement materials DEL AM Separately filed delaying amendment DFAN14A Definitive additional proxy soliciting materials filed by non management DFRN14A Revised definitive proxy statement filed by non management DSTRBRPT Distribution of primary obligations Development Bank report EFFECT Filing EFFECT F 1 Registration statement for securities of certain foreign private issuers F 1/A Registration statement for securities of certain foreign private issuers (Amendment) F 10 Registration statement for securities of certain Canadian issuers F 10/A Registration statement for securities of certain Canadian issuers (Amendment) F 10EF Auto effective registration statement for securities of certain Canadian issuer under the Securities Act of 1933 F 10POS Post effective amendment to a F 10EF registration F 1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 1 F 3 Registration statement for specified transactions by certain foreign private issuers F 3/A Registration statement for specified transactions by certain foreign private issuers (Amendment) F 3ASR Automatic shelf registration statement of securities of well known seasoned issuers F 3D Registration statement for dividend or interest reinvestment plan securities of foreign private issuers F 3DPOS Post Effective amendment to a F 3D registration F 4 Registration statement for securities issued by foreign private issuers in certain business combination transactions F 4 POS Post effective amendment to a F 4EF registration F 4/A Registration statement for securities issued by foreign private issuers in certain business combination transactions (Amendment) F 6 Registration statement for American Depositary Receipts representing securities of certain foreign private issuers F 6 POS Post effective amendment to a F 6EF registration F 6/A Registration statement for American Depositary Receipts representing securities of certain foreign private issuers (Amendment) F 6EF Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers F 7 Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders F 7 POS Post effective amendment to a F 7 registration F 7/A Amendment F 8 Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination F 8/A Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (Amendment) F 80 Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933 F 9 Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers F 9/A Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers (Amendment) F N Notification of the appointment of an agent for service by certain foreign institutions F X For appointment of agent for service of process by issuers registering securities F X/A For appointment of agent for service of process by issuers registering securities (Amendment) FOCUSN FOCUSN Filing FOCUSN/A FOCUSN Filing (Amendment) FWP Filing under Securities Act Rules 163/433 of free writing prospectuses G 405 G 405 Filing G 405N G FIN G FIN Filing G FIN/A G FIN/A Filing (Amendment) MSD MSD/A MSD/A Filing (Amendment) MSDW MSDW Filing N 14 Initial registration statement for open end investment company N 14 8C Initial registration statement filed on Form N14 by closed end investment company (business combinations) N 14 8C/A Initial registration statement filed on Form N14 by closed end investment company (business combinations) Amendment N 14/A Initial registration statement for open end investment company (Amendment) N 14AE Filing N 14AE N 14AE/A N 14AE (Amendment) N 18F1 Initial notification of election pursuant to Rule 18f 1 filed on Form N 18F 1 N 18F1/A Initial notification of election pursuant to Rule 18f 1 filed on Form N 18F 1 (Amendment) N 1A Initial registration statement for open end management investment companies N 1A/A Initial registration statement for open end management investment companies N 2 Initial filing of a registration statement on Form N 2 for closed end investment companies N 2/A Initial filing of a registration statement on Form N 2 for closed end investment companies (Amendment) N 23C 2 Notice by closed end investment companies of intention to call or redeem their own securities N 23C 2/A Notice by closed end investment companies of intention to call or redeem their own securities (Amendment) N 23C3A Notification of periodic repurchase offer Filed pursuant to Rule 23c 3(b) only N 23C3A/A Notification of periodic repurchase offer Filed pursuant to Rule 23c 3(b) only (Amendment) N 23C3B Filing N 23C3B N 23C3C N 23C3C/A Filing N 23C3C/A N 2MEF N 3 Initial registration statement on Form N 3 for separate accounts (management investment companies) N 30B 2 Periodic and interim reports mailed to investment company shareholders N 30D Initial annual and semi annual reports mailed to investment company shareholders N 30D/A Amendment N 4 Initial registration statement on Form N 4 for separate accounts (unit investment trusts) N 4/A Initial registration statement on Form N 4 for separate accounts (unit investment trusts) Amendment N 54A Notification of election by business development companies N 54C Notification of election by business development companies N 54C/A Notification of election by business development companies (Amendment) N 6 Registration statement for separate accounts N 6/A Registration statement for separate accounts (Amendment) N 6F Notice of intent by business development companies to elect to be subject to Sections 55 through 65 of the 1940 Act filed on Form N 6F N 8A Initial notification of registration under section 8(a) filed on Form N 8A N 8A/A Initial notification of registration under section 8(a) filed on Form N 8A (Amendment) N 8B 2 Initial registration statement for unit investment trusts N 8B 2/A Initial registration statement for unit investment trusts N 8F Application for deregistration made on Form N 8F N 8F/A Application for deregistration made on Form N 8F (Amendment) N CSR Certified annual shareholder report of registered management investment companies N CSR/A Certified annual shareholder report of registered management investment companies (Amendment) N CSRS Certified semi annual shareholder report of registered management investment companies N CSRS/A Certified semi annual shareholder report of registered management investment companies (Amendment) N MFP Monthly Schedule Of Portfolio Holdings Of Money Market Funds N PX Annual Report of Proxy Voting Record of Registered Management Investment Companies N PX/A Annual Report of Proxy Voting Record of Registered Management Investment Companies N Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company N Q/A Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company NO ACT NO ACT Filing NSAR A Semi annual report for management companies NSAR A/A Semi annual report for management companies (Amendment) NSAR AT NSAR B Annual report for management companies NSAR B/A Annual report for management companies (Amendment) NSAR BT Transitional annual report filed on Form NSAR NSAR BT/A NSAR U Annual report for unit investment trusts NSAR U/A Annual report for unit investment trusts (Amendment) NT 10 K Notice under Rule 12b25 of inability to timely file all or part of a Form 10 K, 10 KSB, or 10KT NT 10 K/A Notice under Rule 12b25 of inability to timely file all or part of a Form 10 K, 10 KSB, or 10KT (Amendment) NT 10 Q Notice under Rule 12b25 of inability to timely file all or part of a form 10 Q or 10 QSB NT 10 Q/A Notice under Rule 12b25 of inability to timely file all or part of a form 10 Q or 10 QSB (Amendment) NT 11 K Notice under Rule 12b25 of inability to timely file all or part of a form 11 K NT 15D2 NT 20 F Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20 F NT 20 F/A NT NCSR Notice under Exchange Act Rule 12b 25 of inability to timely file Form N CSR (annual or semi annual report) NT NCSR/A Notice under Exchange Act Rule 12b 25 of inability to timely file Form N CSR (annual or semi annual report) Amendment NT NSAR Notice under Exchange Act Rule 12b 25 of inability to timely file Form N SAR NT NSAR/A NTFNCSR NTFNSAR NTN 10K Filing NTN 10K NTN 10Q Filing NTN 10Q NTN 20F Filing NTN 20F POS 8C Post effective amendment by closed end investment companies POS AM Post effective amendment to a registration statement that is not immediately effective upon filing POS AMI Post effective amendment POS EX Post effective amendment filed solely to add exhibits to a registration statement POS462B Post effective amendment to Securities Act Rule 462(b) registration statement POS462C Post effective amendment to a registration statement filed under Rule 462(c) POSASR Post effective amendment to an automatic shelf registration statement on Form S 3ASR or Form F 3ASR PRE 14A Preliminary proxy statement not related to a contested matter or merger/acquisition PRE 14C Preliminary information statement not related to a contested matter or merger/acquisition PREC14A Preliminary proxy statement in connection with contested solicitations PREC14C Preliminary information statements contested solicitations PREM14A Preliminary proxy statements relating to merger or acquisition PREM14C Preliminary information statements relating to merger or acquisition PREN14A Preliminary proxy statement filed by non management PRER14A Preliminary revised proxy soliciting materials PRER14C Preliminary revised information statements PRRN14A Revised preliminary proxy statement filed by non management PX14A6G Notice of exempt solicitation PX14A6N QRTLYRPT Periodic Development Bank filing, submitted quarterly REG NR REG NR Filing REGDEX Regulation D Exemption Filing REGDEX/A REGDEX Filing (Amendment) RW Registration Withdrawal Request RW WD Withdrawal of a Registration Withdrawal Request S 1 IPO Registration S 1/A IPO Registration (Amendment) S 11 Registration statement for securities to be issued by real estate companies S 11/A Registration statement for securities to be issued by real estate companies (Amendment) S 11MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 11 S 1MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 1 S 3 Registration statement for specified transactions by certain issuers S 3/A Registration statement for specified transactions by certain issuers (Amendment) S 3ASR Automatic shelf registration statement of securities of well known seasoned issuers S 3D Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans S 3DPOS Post effective amendment to a S 3D registration statement S 3MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 3 S 4 Registration of securities issued in business combination transactions S 4 POS Post effective amendment to a S 4EF registration statement S 4/A Registration of securities issued in business combination transactions (Amendment) S 4EF S 4EF/A S 4MEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 4 S 6 Initial registration statement filed on Form S 6 for unit investment trusts S 6/A Initial registration statement filed on Form S 6 for unit investment trusts (Amendment) S 8 Initial registration statement for securities to be offered to employees pursuant to employee benefit plans S 8 POS Post effective amendment to a S 8 registration statement S B Registration statement for securities of foreign governments and subdivisions S B/A Registration statement for securities of foreign governments and subdivisions (Amendment) S BMEF A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form SB 1 SB 1 SB 1/A SB 2 SB 2/A SB 2MEF SC 13D Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities SC 13D/A Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities (Amendment) SC 13E3 Schedule filed to report going private transactions SC 13E3/A Schedule filed to report going private transactions (Amendment) SC 13G Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions SC 13G/A Schedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions (Amendment) SC 14D9 Tender offer solicitation/recommendation statements filed under Rule 14d 9 SC 14D9/A Tender offer solicitation/recommendation statements filed under Rule 14d 9 (Amendment) SC 14F1 Statement regarding change in majority of directors pursuant to Rule 14f 1 SC 14F1/A Statement regarding change in majority of directors pursuant to Rule 14f 1 (Amendment) SC TO C Written communication relating to an issuer or third party tender offer SC TO I Issuer tender offer statement SC TO I/A Issuer tender offer statement (Amendment) SC TO T Third party tender offer statement SC TO T/A Third party tender offer statement (Amendment) SC13E4F Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers SC13E4F/A Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers (Amendment) SC14D1F Third party tender offer statement filed pursuant to Rule 14d 1(b) by foreign issuers SC14D1F/A Third party tender offer statement filed pursuant to Rule 14d 1(b) by foreign issuers (Amendment) SC14D9C Written communication by the subject company relating to a third party tender offer SC14D9F SC14D9F/A SE SE Filing SP 15D2 SUPPL Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers T 3 Initial application for qualification of trust indentures T 3/A Initial application for qualification of trust indentures (Amendment) TA 1 Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 TA 1/A Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 (Amendment) TA 2 Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 TA 2/A Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 (Amendment) TA W Notice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934 TTW TTW Filing UNDER UPLOAD UPLOAD Filing WDL REQ WDL REQ Filing X 17A 5 X 17A 5 Filing X 17A 5/A X 17A 5/A Filing

Suffix Description SB Small Business Filing (i. e. a Form 10K becomes a Form 10K/SB) A Amendment to a Previous Filing (i. e. Schedule 13D becomes Schedule 13D/A) T Transitional when changing fiscal year (i. e. 10K becomes 10KT)

All forms are filed with the SEC, and many can be found for free in the SEC's EDGAR database. There are also several other portals that specialize in sorting information found in individual forms, such as the financial search engine, AlphaSense. Forms which are not found in EDGAR include the Form PF, which is used for private funds and is kept confidential per the Dodd–Frank Act.