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Sec Index To Forms

This document provides an index of EDGAR electronic submission types and the tools used to create them. It includes tables with the submission type, description, applicable tool or template, and technical specifications. It aims to help filers identify the correct submission type and preparation method for electronic filings with the SEC.

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0% found this document useful (0 votes)

128 views125 pages

Sec Index To Forms

Uploaded by

bharat

We take content rights seriously. If you suspect this is your content, claim it here.

Available Formats

Download as PDF, TXT or read online on Scribd

You are on page 1/ 125

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 Permanent 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 sections of the 34 Act under which the filer is registered. 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 or template that should be used to create the form. The options in this column are EDGARLink and the corresponding templates, EDGARLink Online, EDGARLite and the corresponding templates and OnlineForms. There is a section in this manual describing in detail each of these tools. Chapter 7 PREPARING AND TRANSMITTING EDGARLINK SUBMISSIONS describes EDGARLink. Chapter 8 PREPARING AND TRANSMITTING EDGARLINK ONLINE SUBMISSIONS describes EDGARLink Online. Chapter 9, PREPARING AND TRANSMITTING EDGARLITE SUBMISSIONS describes EDGARLite. Chapter 10, PREPARING AND TRANSMITTING ONLINE SUBMISSIONS, describes online submissions using the EDGAR OnlineForms/XML 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 SECs Public Website. The Technical Specifications are delivered separately and are not part of the Filer Manual. Note: In Section 3.1 for simplicity we include both the initial form and the associated amendment in the Submission Type column.

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Alpha/Numeric
Description Tool/ Template Number EDGARLink Template 3 EDGARLink Online FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Submission Type

1-E, 1-E/A

Notification under Regulation E by small business investment companies and business development companies.

1-E AD, 1-E AD/A

Sales material filed pursuant to Rule 607 under EDGARLink Regulation E. Template 3 EDGARLink Online

2-E, 2-E/A

Report of sales of securities pursuant to Rule 609 under Regulation E.

EDGARLink Template 3 EDGARLink Online

10-12B, 10-12B/A

Initial general form for registration of a class of securities pursuant to section 12(b)

EDGARLink Template 3 EDGARLink Online

10-12G, 10-12G/A

Initial general form for registration of a class of securities pursuant to section 12(g)

EDGARLink Template 3 EDGARLink Online

10-D, 10-D/A

Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17

EDGARLink Template 3 EDGARLink Online

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Submission Type

Description

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical

10-K, 10-K/A

Annual report pursuant to section 13 and 15(d)

10-KT, 10-KT/A

Transition report pursuant to Rule 13a-10 or 15d-10

EDGARLink Template 3 EDGARLink Online

10-Q, 10-Q/A

Quarterly report pursuant to sections 13 or 15(d)

EDGARLink Template 3 EDGARLink Online

10-QT, 10-QT/A

Transition report pursuant to Rule 13a-10 or 15d-10

EDGARLink Template 3 EDGARLink Online

11-K, 11-K/A

Annual report of employee stock purchase, savings and similar plans

EDGARLink Template 3 EDGARLink Online

11-KT, 11-KT/A

Transition report pursuant to rule 13a-10 or 15d-10

EDGARLink Template 3 EDGARLink Online

13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings report filed by institutional managers

EDGARLink Template 3 EDGARLink Online

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Submission Type

Description

Tool/ Template Number

FilerConstructed Form Spec. Specification

13F-NT, 13F-NT/A

Initial Quarterly Form 13F Notice Report filed by institutional managers

EDGARLink Template 3 EDGARLink Online

XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML December 2010

144, 144/A

Filing for proposed sale of securities under Rule 144

EDGARLink Template 2 EDGARLink Online

15-12B, 15-12B/A

Notice of termination of registration of a class of securities under Section 12(b)

EDGARLink Template 3 EDGARLink Online

15-12G, 15-12G/A

Notice of termination of registration of a class of securities under Section 12(g)

EDGARLink Template 3 EDGARLink Online

15-15D, 15-15D/A

Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act

EDGARLink Template 3 EDGARLink Online

15F-12G, 15F12G/A

Notice of termination of a foreign private issuers registration of a class of securities under Section 12(g).

EDGARLink Template 3 EDGARLink Online

15F-15D, 15F15D/A

Notice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act

EDGARLink Template 3 EDGARLink Online

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Submission Type

Description

Tool/ Template Number

FilerConstructed Form Spec. Technical Specification

18-12B, 18-12B/A

Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b)

EDGARLink Template 3 EDGARLink Online

18-12G, 18-12G/A

Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g)

EDGARLink Template 3 EDGARLink Online

18-K, 18-K/A

Annual report for foreign governments and political subdivisions

EDGARLink Template 3 EDGARLink Online

20-F, 20-F/A

Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d)

EDGARLink Template 3 EDGARLink Online

20FR12B, 20FR12B/A

Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b)

EDGARLink Template 3 EDGARLink Online

20FR12G, 20FR12G/A

Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g)

EDGARLink Template 3 EDGARLink Online

24F-2NT, 24F-2NT/A

Rule 24F-2 notice filed on Form 24F-2

EDGARLink Template 1

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Submission Type

Description

Tool/ Template Number EDGARLink Online

FilerConstructed Form Spec. EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification Distributed to National Securities Exchanges only

25, 25/A

Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange

EDGARLink Template 3 EDGARLink Online

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

Distributed to National Securities Exchanges only OnlineForms

3, 3/A

Initial statement of beneficial ownership of securities

Ownership XML Technical Specification

305B2, 305B2/A

Application for designation of a new trustee under the Trust Indenture Act

EDGARLink Template 3 EDGARLink Online

XFDL Technical Specification EDGARLink Online XML Technical Specification Ownership XML Technical Specification

4, 4/A

Statement of changes in beneficial ownership of securities

OnlineForms

40-6B, 40-6B/A

Application under the Investment Company Act EDGARLink by an employees securities company Template 3 EDGARLink Online

XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

40-17F1, 40-17F1/A

Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-1 of the Investment Company Act of 1940 filed on Form N-17F-1

EDGARLink Template 2 EDGARLink Online

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Submission Type

Description

Tool/ Template Number EDGARLink Template 2 EDGARLink Online

40-17F2, 40-17F2/A

Initial certificate of accounting of securities and similar investments in the custody of management investment companies filed pursuant to Rule 17f-2 of the Investment Company Act of 1940 filed on Form N-17F-2

40-17G, 40-17G/A

Fidelity bond filed pursuant to Rule 17g1(g)(1) of the Investment Company Act of 1940

EDGARLink Template 2 EDGARLink Online

40-17GCS, 4017GCS/A

Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940

EDGARLink Template 2 EDGARLink Online

40-24B2, 40-24B2/A

Filing of sales literature pursuant to Rule 24b2 under the Investment Company Act of 1940

EDGARLink Template 2 EDGARLink Online

40-33, 40-33/A

Copies of all stockholder derivative actions filed EDGARLink with a court against an investment company or Template 2 an affiliate thereof pursuant to Section 33 of the Investment Company Act of 1940 EDGARLink Online

40-8B25

Document or report

EDGARLink Template 2 EDGARLink Online

40-8F-2, 40-8F-2/A Initial application for deregistration pursuant to Investment Company Act Rule 0-2

EDGARLink Template 2 EDGARLink Online

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Submission Type

Description

Tool/ Template Number

FilerConstructed Form Spec. Specification

40-APP, 40-APP/A

Applications under the Investment Company Act other than those reviewed by Office of Insurance Products

EDGARLink Template 3 EDGARLink Online

40-F, 40-F/A

Annual reports filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4

EDGARLink Template 3 EDGARLink Online

40FR12B, 40FR12B/A

Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act

EDGARLink Template 3 EDGARLink Online

40FR12G, 40FR12G/A

Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act

EDGARLink Template 3 EDGARLink Online

40-OIP, 40-OIP/A

Applications under the Investment Company Act reviewed by Office of Insurance Products

EDGARLink Template 3 EDGARLink Online

424A

Prospectus filed pursuant to Rule 424(a)

EDGARLink Template 3 EDGARLink Online

424B1

Prospectus filed pursuant to Rule 424(b)(1)

EDGARLink Template 1 EDGARLink

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Submission Type

Description

Tool/ Template Number Online

FilerConstructed Form Spec. Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification

424B2

Prospectus filed pursuant to Rule 424(b)(2)

EDGARLink Template 1 EDGARLink Online

424B3

Prospectus filed pursuant to Rule 424(b)(3)

EDGARLink Template 1 EDGARLink Online

424B4

Prospectus filed pursuant to Rule 424(b)(4)

EDGARLink Template 1 EDGARLink Online

424B5

Prospectus filed pursuant to Rule 424(b)(5)

EDGARLink Template 1 EDGARLink Online

424B7

Prospectus filed pursuant to Rule 424(b)(7)

EDGARLink Template 1 EDGARLink Online

424B8

Prospectus filed pursuant to Rule 424(b)(8)

EDGARLink Template 1 EDGARLink Online

425

Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination 3-9

EDGARLink Template 2

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Submission Type

Description

Tool/ Template Number EDGARLink Online

FilerConstructed Form Spec. EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification

transactions

485APOS

Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)

EDGARLink Template 3 EDGARLink Online

485BPOS

Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing)

EDGARLink Template 3 EDGARLink Online

485BXT

Post-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) Post-effective amendment to filing filed pursuant to Securities Act Rule 486(a)

EDGARLink Template 3 EDGARLink Online

486APOS

EDGARLink Template 3 EDGARLink Online

486BPOS

Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b)

EDGARLink Template 3 EDGARLink Online

487

Pre-effective pricing amendment filed pursuant to Securities Act Rule 487

EDGARLink Template 1 EDGARLink Online

497

Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497

EDGARLink Template 3

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Submission Type

Description

Tool/ Template Number EDGARLink Online

497AD

Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 and the Note to Rule 482(c)

EDGARLink Template 3 EDGARLink Online

497H2

Filings made pursuant to Rule 497(h)(2)

EDGARLink Template 3 EDGARLink Online

497J

Certification of no change in definitive materials EDGARLink under paragraph (j) of Securities Act Rule 497 Template 3 EDGARLink Online

497K

Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k) Cannot be used until March 31, 2009.

EDGARLink Template 3 EDGARLink Online

497K1

Profiles for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)(1)(i) Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009.

EDGARLink Template 3 EDGARLink Online

497K2

Profiles for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)(1)(ii) Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009.

EDGARLink Template 3 EDGARLink Online

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Submission Type

Description

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

497K3A

Profiles for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)(1)(iii)(A) Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009.

497K3B

Profiles for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)(1)(iii)(B) Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009.

EDGARLink Template 3 EDGARLink Online

5, 5/A

Annual statement of changes in beneficial ownership of securities

OnlineForms

6-K, 6-K/A

Current report of foreign issuer pursuant to Rules 13a-16 and 15d-16 Amendments

EDGARLink Template 3 EDGARLink Online

8-A12B, 8-A12B/A

Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b)

EDGARLink Template 3 EDGARLink Online

8-A12G, 8-A12G/A

Form for registration of a class of securities pursuant to section 12(g)

EDGARLink Template 3 EDGARLink Online

8-K, 8-K/A

Current report filing

EDGARLink Template 3 EDGARLink Online

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Submission Type

Description

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification

8-K12B, 8-K12B/A

Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(b)

8-K12G3, 8-K12G3/A

Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g)

EDGARLink Template 3 EDGARLink Online

8-K15D5, 8-K15D5/A

Notification of assumption of duty to report by successor issue under section 15(d)

EDGARLink Template 3 EDGARLink Online

ABS 15G, ABS 15G/A

Asset-backed securities report pursuant to Section 15G

EDGARLink Online

ANNLRPT, ANNLRPT/A

Periodic Development Bank filing, submitted annually

EDGARLink Template 2 EDGARLink Online

APP WD, APP WD/A

Withdrawal of an application for exemptive or other relief from the federal securities laws

EDGARLink Template 3 EDGARLink Online

ARS, ARS/A

Annual report to security holders

EDGARLink Template 3 EDGARLink Online

Withdrawal of amendment to a registration statement filed under the Securities Act 3-13

EDGARLink Template 3

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Submission Type

Description

Tool/ Template Number EDGARLink Online

AW WD

Withdrawal of a request for withdrawal of an amendment to a registration statement

EDGARLink Template 1 EDGARLink Online

CB, CB/A

Notification form filed in connection with certain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons

EDGARLink Template 2 EDGARLink Online

CORRESP

A correspondence can be sent as a document EDGARLink with another submission type or can be sent as Template 4 a separate submission. EDGARLink Online

D, D/A

Official notice of an offering of securities that is made without registration under the Securities Act in reliance on an exemption provided by Regulation D and Section 4(6) under the Act. Definitive proxy statements

Online Forms N/A

DEF 14A

EDGARLink Template 2 EDGARLink Online

XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink

DEF 14C

Definitive information statements

EDGARLink Template 2 EDGARLink Online

DEFA14C

Definitive additional information statement materials including Rule 14(a)(12) material

EDGARLink Template 2 EDGARLink

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Submission Type

Description

Tool/ Template Number Online

DEFC14A

Definitive proxy statement in connection with contested solicitations

EDGARLink Template 2 EDGARLink Online

DEFC14C

Definitive information statement - contested solicitations

EDGARLink Template 2 EDGARLink Online

DEFM14A

Definitive proxy statement relating to a merger,acquisition, or disposition

EDGARLink Template 2 EDGARLink Online

DEFM14C

Definitive information statement relating to merger or acquisition

EDGARLink Template 2 EDGARLink Online

DEFN14A

Definitive proxy statement filed by non management

EDGARLink Template 2 EDGARLink Online

DEFR14A

Definitive revised proxy soliciting materials

EDGARLink Template 2 EDGARLink Online

DEFR14C

Definitive revised information statement materials

EDGARLink Template 2

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Submission Type

Description

Tool/ Template Number EDGARLink Online

DEL AM

Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement

EDGARLink Template 3 EDGARLink Online

DFAN14A

Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material

EDGARLink Template 2 EDGARLink Online

DFRN14A

Revised definitive proxy statement filed by non- EDGARLink management Template 2 EDGARLink Online

DSTRBRPT, DSTRBRPT/A

Distribution of primary obligations Development EDGARLink Bank report Template 2 EDGARLink Online

F-1, F-1/A

Registration statement for securities of certain foreign private issuers

EDGARLink Template 1 EDGARLink Online

F-10, F-10/A

Registration statement for securities of certain Canadian issuers under the Securities Act of 1933

EDGARLink Template 1 EDGARLink Online

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Submission Type

Description

Tool/ Template Number EDGARLink Template 1 EDGARLink Online

F-10EF

Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933

F-10POS

Post-effective amendment to a F-10EF registration

EDGARLink Template 1 EDGARLink Online

F-1MEF

A new registration statement filed under Rule EDGARLink 462(b) to add securities to a prior related Template 1 effective registration statement filed on Form F1 EDGARLink Online

F-3, F-3/A

Registration statement for specified transactions by certain foreign private issuers

EDGARLink Template 1 EDGARLink Online

F-3ASR

Automatic shelf registration statement of securities of well-known seasoned issuers

EDGARLink Template 1 EDGARLink Online

F-3DPOS

Post-Effective amendment to a F-3D registration

EDGARLink Template 1 EDGARLink Online

F-3MEF

A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 3

EDGARLink Template 1 EDGARLink Online

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Submission Type

Description

Tool/ Template Number

FilerConstructed Form Spec. Specification

F-4 POS

Post-effective amendment to a F-4EF registration

EDGARLink Template 1 EDGARLink Online

F-4, F-4/A

Registration statement for securities issued by foreign private issuers in certain business combination transactions

EDGARLink Template 1 EDGARLink Online

F-4EF

Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions

EDGARLink Template 1 EDGARLink Online

F-4MEF

A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F 4

EDGARLink Template 1 EDGARLink Online

F-6 POS

Post-effective amendment to a F-6EF registration

EDGARLink Template 1 EDGARLink Online

F-6, F-6/A

Registration statement for American Depositary EDGARLink Receipts representing securities of certain Template 1 foreign private issuers EDGARLink Online

F-6EF

Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers

EDGARLink Template 1

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Submission Type

Description

Tool/ Template Number EDGARLink Online

F-7 POS

Post-effective amendment to a F-7 registration

EDGARLink Template 1 EDGARLink Online

F-7, F-7/A

Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933

EDGARLink Template 1 EDGARLink Online

F-8 POS

Post-effective amendment to a F-8 registration

EDGARLink Template 1 EDGARLink Online

F-8, F-8/A

Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933

EDGARLink Template 1 EDGARLink Online

F-80, F-80/A

Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933

EDGARLink Template 1 EDGARLink Online

F-80POS

Post-effective amendment to a F-80 registration

EDGARLink Template 1 EDGARLink Online

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Submission Type

Description

Tool/ Template Number EDGARLink Template 1 EDGARLink Online

F-9 POS

Post-effective amendment to a F-9EF registration

F-9, F-9/A

Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933

EDGARLink Template 1 EDGARLink Online

F-9EF

Auto effective registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933

EDGARLink Template 1 EDGARLink Online

F-N, F-N/A

Notification of the appointment of an agent for service by certain foreign institutions

EDGARLink Template 2 EDGARLink Online

FWP

Filing under Securities Act Rules 163/433 of free writing prospectuses

EDGARLink Template 2 EDGARLink Online

F-X, F-X/A

For appointment of agent for service of process EDGARLink by issuers registering securities Template 2 EDGARLink Online

N-1, N-1/A

Initial registration statement filed on Form N-1 for open-end management investment companies.

EDGARLink Template 1 EDGARLink Online

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Submission Type

Description

Tool/ Template Number

FilerConstructed Form Spec. Specification

N-14 8C, N-14 8C/A

Initial registration statement filed on Form N14 by closed-end investment company (business combinations)

EDGARLink Template 1 EDGARLink Online

N-14, N-14/A

Initial registration statement filed on Form N14 for open-end investment company, including those filed with automatic effectiveness under Rule 488 (business combinations)

EDGARLink Template 1 EDGARLink Online

N-14MEF

A new registration statement filed on Form N14 by closed end investment companies filed under Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-14

EDGARLink Template 1 EDGARLink Online

N-18F1, N-18F1/A

Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1

EDGARLink Template 2 EDGARLink Online

N-1A, N-1A/A

Initial registration statement filed on Form N1A for open-end management investment companies

EDGARLink Template 1 EDGARLink Online

N-2, N-2/A

Initial filing of a registration statement on Form N-2 for closed-end investment companies

EDGARLink Template 1 EDGARLink Online

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Submission Type

Description

Tool/ Template Number EDGARLink Template 2 EDGARLink Online

N-23C-2, N-23C-2/A

Notice by closed-end investment companies of intention to call or redeem their own securities under Investment Company Act Rule 23c-2

N-23C3A, N23C3A/A

Notification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only

EDGARLink Template 2 EDGARLink Online

N-23C3B, N23C3B/A

Filing pursuant to Rule 23c-3(c) only on Form N-23C-3

EDGARLink Template 2 EDGARLink Online

N-23C3C, N23C3C/A

Filing pursuant to Rule 23c-3(b) and (c) on Form N-23C-3

EDGARLink Template 2 EDGARLink Online

N-27D-1, N-27D-1/A

Accounting for segregated trust accounts on Form N-27D-1

EDGARLink Template 2 EDGARLink Online

N-2MEF

A new registration statement on Form N-2 filed under Securities Act Rule 462(b) by closed-end investment companies of up to an additional 20% of securities for an offering that was registered on Form N-2

EDGARLink Template 1 EDGARLink Online

N-3, N-3/A

Initial registration statement on Form N-3 for separate accounts (management investment companies)

EDGARLink Template 1 EDGARLink Online

EDGAR Filer Manual (Volume II)

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December 2010

Submission Type

Description

Tool/ Template Number

FilerConstructed Form Spec. Specification

N-30B-2

Periodic and interim reports mailed to investment company shareholders (other than annual and semi-annual reports mailed to shareholders pursuant to Rule 30e-1)

EDGARLink Template 3 EDGARLink Online

N-30D, N-30D/A

Initial annual and semi-annual reports mailed to EDGARLink investment company shareholders pursuant to Template 3 Rule 30e-1 (other than those required to be submitted as part of Form NCSR) EDGARLink Online

N-4, N-4/A

Initial registration statement on Form N-4 for separate accounts (unit investment trusts)

EDGARLink Template 1 EDGARLink Online

N-5, N-5/A

Registration statement for small business investment companies

EDGARLink Template 1 EDGARLink Online

N-54A, N-54A/A

Notification of election by business development companies filed on Form N-54A

EDGARLink Template 2 EDGARLink Online

N-54C, N-54C/A

Notification of withdrawal by business development companies filed on Form N-54C

EDGARLink Template 2 EDGARLink Online

N-6, N-6/A

Registration statement for separate accounts (unit investment trusts)

EDGARLink Template 1

December 2010

3-23

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/ Template Number EDGARLink Online

N-6F, N-6F/A

Notice of intent by business development EDGARLink companies to elect to be subject to Sections 55 Template 2 through 65 of the 1940 Act filed on Form N-6F EDGARLink Online

N-8A, N-8A/A

Initial notification of registration under section 8(a) filed on Form N-8A

EDGARLink Template 2 EDGARLink Online

N-8B-2, N-8B-2/A

Initial registration statement for unit investment trusts filed on Form N-8B-2

EDGARLink Template 2 EDGARLink Online

N-8B-3, N-8B-3/A

Initial registration statement for periodic payment plans filed on Form N-8B-3

EDGARLink Template 2 EDGARLink Online

N-8B-4, N-8B-4/A

Initial registration statement for face-amount certificate companies filed on Form N-8B-4

EDGARLink Template 2 EDGARLink Online

N-8F, N-8F/A

Application for deregistration made on Form N8F

EDGARLink Template 2 EDGARLink Online

EDGAR Filer Manual (Volume II)

3-24

December 2010

Submission Type

Description

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification N-MFP Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification

N-CSR, N-CSR/A

Certified annual shareholder report of registered management investment companies filed on Form N-CSR

N-CSRS, NCSRS/A

Certified semi-annual shareholder report of registered management investment companies filed on Form N-CSR

EDGARLink Template 3 EDGARLink Online

N-MFP, N-MFP/A

Monthly Schedule of Portfolio Holdings of Money Market Funds Annual Report of Proxy Voting Record of Registered Management Investment Companies filed on Form N-PX

N/A

N-PX, N-PX/A

EDGARLink Template 3 EDGARLink Online

N-Q, N-Q/A

Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company filed on Form N-Q

EDGARLink Template 3 EDGARLink Online

NSAR-A, NSARA/A

Semi-annual report for management companies filed on Form N-SAR

EDGARLink Template 3 EDGARLink Online

NSAR-AT, NSARAT/A

Transitional semi-annual report filed on Form N-SAR

EDGARLink Template 3 EDGARLink Online

NSAR-B, NSARB/A

Annual report for management companies filed on Form N-SAR

EDGARLink Template 3

December 2010

3-25

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/ Template Number EDGARLink Online

NSAR-BT, NSARBT/A

Transitional annual report filed on Form NSAR

EDGARLink Template 3 EDGARLink Online

NSAR-U, NSARU/A

Annual report for unit investment trusts filed on Form N-SAR

EDGARLink Template 3 EDGARLink Online

NT 10-K, NT 10K/A

Notice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT

EDGARLink Template 3 EDGARLink Online

NT 10-D, NT 10D/A

Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D

EDGARLink Template 3 EDGARLink Online

NT 10-Q, NT 10Q/A

Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB

EDGARLink Template 3 EDGARLink Online

NT 11-K, NT 11K/A

Notice under Rule 12b25 of inability to timely file all or part of a form 11-K

EDGARLink Template 3 EDGARLink Online

EDGAR Filer Manual (Volume II)

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December 2010

Submission Type

Description

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

NT 15D2, NT 15D2/A

Notice under Rule 12b25 of inability to timely file a special report pursuant to section 15d-2

NT 20-F, NT 20F/A

Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F

EDGARLink Template 3 EDGARLink Online

NT-NCSR, NTNCSR/A

Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report)

EDGARLink Template 3 EDGARLink Online

NT-NSAR, NTNSAR/A

Notice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR

EDGARLink Template 3 EDGARLink Online

POS 8C

EDGARLink Template 3 EDGARLink Online

POS AM

Post-effective amendment to a registration statement that is not immediately effective upon filing

EDGARLink Template 1 EDGARLink Online

December 2010

3-27

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

POS AMI

Post-effective amendment (for filings made under the 1940 Act only)

POSASR

Post-effective Amendment to an automatic EDGARLink shelf registration statement on Form S-3ASR or Template 1 Form F-3ASR EDGARLink Online

POS EX

Post-effective amendment filed solely to add exhibits to a registration statement

EDGARLink Template 3 EDGARLink Online

POS462B

Post-effective amendment to Securities Act Rule 462(b) registration statement

EDGARLink Template 3 EDGARLink Online

POS462C

Post-effective amendment to a registration statement filed under Rule 462(c)

EDGARLink Template 3 EDGARLink Online

PRE 14A

Preliminary proxy statement not related to a contested matter or merger/acquisition

EDGARLink Template 2 EDGARLink Online

PRE 14C

Preliminary information statement not related to EDGARLink a contested matter or merger/acquisition Template 2 EDGARLink Online

EDGAR Filer Manual (Volume II)

3-28

December 2010

Submission Type

Description

Tool/ Template Number

FilerConstructed Form Spec. Specification

PREC14A

Preliminary proxy statement in connection with contested solicitations

EDGARLink Template 2 EDGARLink Online

PREC14C

Preliminary information statements - contested solicitations

EDGARLink Template 2 EDGARLink Online

PREM14A

Preliminary proxy statement relating to a merger, acquisition, or disposition

EDGARLink Template 2 EDGARLink Online

PREM14C

Preliminary information statements relating to merger or acquisition

EDGARLink Template 2 EDGARLink Online

PREN14A

Preliminary proxy statement filed by nonmanagement

EDGARLink Template 2 EDGARLink Online

PRER14A

Preliminary revised proxy soliciting materials

EDGARLink Template 2 EDGARLink Online

PRER14C

Preliminary revised information statements

EDGARLink Template 2 EDGARLink

December 2010

3-29

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/ Template Number Online

PRRN14A

Revised preliminary proxy statement filed by non-management

EDGARLink Template 2 EDGARLink Online

PX14A6G

Notice of exempt solicitation

EDGARLink Template 2 EDGARLink Online

PX14A6N

Notice of exempt solicitation for the purpose of determining whether to solicit proxies, consents, or authorizations in opposition to a proposed roll-up transaction filed pursuant to Rule 14a6(g) of the Securities Exchange Act of 1934 Periodic Development Bank filing, submitted quarterly

EDGARLink Template 2 EDGARLink Online

RTLYRPT, QRTLYRPT/A

EDGARLink Template 2 EDGARLink Online

Registration Withdrawal Request

EDGARLink Template 3 EDGARLink Online

RW WD

Withdrawal of a Registration Withdrawal Request

EDGARLink Template 1 EDGARLink Online

S-1, S-1/A

General form of registration statement for all companies including face-amount certificate companies

EDGARLink Template 1

EDGAR Filer Manual (Volume II)

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December 2010

Submission Type

Description

Tool/ Template Number EDGARLink Online

S-11, S-11/A

Registration statement for securities to be issued by real estate companies

EDGARLink Template 1 EDGARLink Online

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

EDGARLink Template 1 EDGARLink Online

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

EDGARLink Template 1 EDGARLink Online

S-20, S-20/A

Registration statement for standardized options

EDGARLink Template 1 EDGARLink Online

S-3, S-3/A

Registration statement for specified transactions by certain issuers

EDGARLink Template 1 EDGARLink Online

S-3ASR

Automatic shelf registration statement of securities of well-known seasoned issuers

EDGARLink Template 1 EDGARLink Online

S-3D

Automatically effective registration statement for securities issued pursuant to dividend or 3-31

EDGARLink Template 1

December 2010

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/ Template Number EDGARLink Online

interest reinvestment plans

S-3DPOS

Post-effective amendment to a S-3D registration statement

EDGARLink Template 1 EDGARLink Online

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

EDGARLink Template 1 EDGARLink Online

S-4 POS

Post-effective amendment to a S-4EF registration statement

EDGARLink Template 1 EDGARLink Online

S-4, S-4/A

Registration of securities issued in business combination transactions

EDGARLink Template 1 EDGARLink Online

S-4EF

Auto effective registration statement for securities issued in connection with the formation of a bank or savings and loan holding company in compliance with General Instruction G

EDGARLink Template 1 EDGARLink Online

S-4MEF

A new registration statement filed under Rule EDGARLink 462(b) to add securities to a prior related Template 1 effective registration statement filed on Form S4 EDGARLink Online

EDGAR Filer Manual (Volume II)

3-32

December 2010

Submission Type

Description

Tool/ Template Number EDGARLink Template 1 EDGARLink Online

S-6, S-6/A

Initial registration statement filed on Form S-6 for unit investment trusts

S-8

Initial registration statement for securities to be offered to employees pursuant to employee benefit plans

EDGARLink Template 1 EDGARLink Online

S-8 POS

Post-effective amendment to a S-8 registration statement

EDGARLink Template 1 EDGARLink Online

S-B, S-B/A

Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B)

EDGARLink Template 1 EDGARLink Online

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

EDGARLink Template 1 EDGARLink Online

SC 13D, SC 13D/A Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities

EDGARLink Template 2 EDGARLink Online

SC 13E1, SC 13E1/A

Schedule 13-E1 statement of issuer required by EDGARLink Rule 13e-1 Template 2 EDGARLink Online

December 2010

3-33

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/ Template Number

FilerConstructed Form Spec. Specification

SC 13E3, SC 13E3/A

Schedule filed to report going private transactions

EDGARLink Template 2 EDGARLink Online

SC 13G, SC 13G/A Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions

EDGARLink Template 2 EDGARLink Online

SC 14D9, SC 14D9/A

Tender offer solicitation / recommendation statements filed under Rule 14d-9

EDGARLink Template 2 EDGARLink Online

SC 14F1, SC 14F1/A

Statement regarding change in majority of directors pursuant to Rule 14f-1

EDGARLink Template 2 EDGARLink Online

SC 14N, SC 14N/A Information filed by certain nominating shareholders (pursuant to Section 240 14n-1)

EDGARLink Template 2 EDGARLink Online

SC 14N-S, SC 14N-S/A

Solicitation in connection with the formation or attempted formation of a Rule 14a-11 nominating shareholder group or solicitation in connection with a Rule 14a-11 nomination

EDGARLink Template 2 EDGARLink Online

SC TO-C

Written communication relating to an issuer or third party tender offer

EDGARLink Template 2 EDGARLink

EDGAR Filer Manual (Volume II)

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December 2010

Submission Type

Description

Tool/ Template Number Online

SC TO-I, SC TO-I/A

Issuer tender offer statement

EDGARLink Template 2 EDGARLink Online

SC TO-T, SC TO-T/A

Third party tender offer statement

EDGARLink Template 2 EDGARLink Online

SC13E4F, SC13E4F/A

Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers

EDGARLink Template 2 EDGARLink Online

SC14D1F, SC14D1F/A

Third party tender offer statement filed pursuant EDGARLink to Rule 14d-1(b) by foreign issuers Template 2 EDGARLink Online

C14D9C

Written communication by the subject company relating to a third party tender offer

EDGARLink Template 2 EDGARLink Online

SC14D9F, SC14D9F/A

Solicitation/recommendation statement pursuant to Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) by foreign issuers

EDGARLink Template 2 EDGARLink Online

December 2010

3-35

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/ Template Number EDGARLink Template 3

FilerConstructed Form Spec. SH-ER Information Table XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

SH-ER, SH-ER/A

Weekly Form SH Entries Report Filed by Institutional Investment Managers

EDGARLink Online

SH-NT, SH-NT/A

Weekly Form SH Notice Report Filed by Institutional Investment Managers

EDGARLink Template 3 EDGARLink Online

SP 15D2, SP 15D2/A

Special Financial Report filed under Rule 15d-2

EDGARLink Template 3 EDGARLink Online

SUPPL

Voluntary supplemental material filed pursuant EDGARLink to Section 11(a) of the Securities Act of 1933 by Template 2 foreign issuers EDGARLink Online

T-1, T-2

Note - 'Submission types' T-1 and T-2 are not used as stand-alone submission types on the EDGAR system. They are filed as EX-25 to registration statements. Initial application for qualification of trust indentures EDGARLink Template 1 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink December 2010

T-3, T-3/A

T-6, T-6/A

Application for determination of eligibility of a EDGARLink foreign person to act as institutional trustee filed Template 1 pursuant to Section 310(a)(1) of the Trust Indenture Act of 1939 EDGARLink 3-36

EDGAR Filer Manual (Volume II)

Submission Type

Description

Tool/ Template Number Online

FilerConstructed Form Spec. Online XML Technical Specification TA-1 XML Technical Specification

TA-1, TA-1/A

Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934

EDGARLite TA-1 Template

TA-2, TA-2/A

Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934

EDGARLite TA-2 Template

TA-2 XML Technical Specification

TA-W

Notice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934

EDGARLite TA-W Template

TA-W XML Technical Specification

December 2010

3-37

EDGAR Filer Manual (Volume II)

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. EDGARLite templates can be downloaded from the OnlineForms/XML Website. Versions of the EDGARLink templates and software are found on the EDGAR Filing Website. Filer-Constructed Technical Specifications are available on the SECs 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 POS462B 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.

EDGAR Filer Manual (Volume II)

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December 2010

Electronic Form Types by Act List of Tables Table 3-1: Securities Act Submission Types Accepted by EDGAR ......................................... 3-40 Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Submission Types Accepted by EDGAR ............................................. 3-60 Table 3-3: Securities Exchange Act - Registration and Report Submission Types Accepted by EDGAR ...................................................................................................................................... 3-65 Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR ................................ 3-81 Table 3-5: Investment Company Submission Types Accepted by EDGAR ............................. 3-89 Table 3-6: Development Bank Submission Types Accepted by EDGAR ............................... 3-124 Table 3-7: Correspondence Submission Types........................................................................ 3-125

December 2010

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EDGAR Filer Manual (Volume II)

Table 3-1: Securities Act Submission Types Accepted by EDGAR

CFR Form/ Schedule/ Rule D Description Submission Type D Tool/ Template Number Online Forms FilerConstructed Form Spec. N/A

Official notice of an offering of securities that is made without registration under the Securities Act in reliance on an exemption provided by Regulation D and Section 4(6) under the Act Amendment

D/A F-1

Online Forms EDGARLink Template 1 EDGARLink Online

N/A XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink

F-1

Registration statement for securities of certain foreign private issuers

Pre-effective amendment

F-1/A

EDGARLink Template 1 EDGARLink Online

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1 EDGARLink Online

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-1MEF

EDGARLink Template 1 EDGARLink Online

Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

EDGARLink Template 3 EDGARLink Online

EDGAR Filer Manual (Volume II)

3-40

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec. Online XML Technical Specification

F-3

Registration statement for specified transactions by certain foreign private issuers

F-3

EDGARLink Template 1

EDGARLink Online

Pre-Effective amendment

F-3/A

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1

EDGARLink Online

Automatic shelf registration statement of securities of wellknown seasoned issuers

F-3ASR

EDGARLink Template 1

EDGARLink Online

Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR

POSASR

EDGARLink Template 1

EDGARLink Online

Registration statement for dividend or interest reinvestment plan securities of foreign private issuers

F-3D

EDGARLink Template 1

December 2010

3-41

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

Post-Effective amendment to a F-3D registration

F-3DPOS

EDGARLink Template 1

EDGARLink Online

F-3MEF

A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-3

F-3MEF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

EDGARLink Template 3

EDGARLink Online

F-4

Registration statement for securities issued by foreign private issuers in certain business combination transactions

F-4

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

F-4/A

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1

EDGARLink EDGAR Filer Manual (Volume II) 3-42

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

Auto effective registration statement for securities by certain foreign private issuers in connection with certain business combination transactions

F-4EF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a F-4EF registration

F-4 POS

EDGARLink Template 1

EDGARLink Online

F-4MEF

A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-4

F-4MEF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

EDGARLink Template 3

EDGARLink Online

F-6

Registration statement for American Depositary Receipts representing securities of certain foreign private issuers

F-6

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

F-6/A

EDGARLink Template 1

EDGARLink December 2010 3-43

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1

EDGARLink Online

Auto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers

F 6EF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a F-6EF registration

F-6 POS

EDGARLink Template 1

EDGARLink Online

F-7

Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders under the Securities Act of 1933

F-7

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

F-7/A

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a F-7 registration

F-7 POS

EDGARLink Template 1

EDGARLink EDGAR Filer Manual (Volume II) 3-44

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

F-8

Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933

F-8

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

F-8/A

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a F-8 registration

F-8 POS

EDGARLink Template 1

EDGARLink Online

F-9

Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the Securities Act of 1933

F-9

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

F-9/A

EDGARLink Template 1

EDGARLink Online

Auto effective registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers under the December 2010 3-45

F-9EF

EDGARLink Template 1

EDGARLink

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

FilerConstructed Form Spec. Online XML Technical Specification

Securities Act of 1933

Post-effective amendment to a F-9EF registration

F-9 POS

EDGARLink Template 1

EDGARLink Online

F-10

Registration statement for securities of certain Canadian issuers under the Securities Act of 1933

F-10

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

F-10/A

EDGARLink Template 1

EDGARLink Online

Auto effective registration statement for securities of certain Canadian issuers under the Securities Act of 1933

F-10EF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a F10EF registration

F-10POS

EDGARLink Template 1

EDGARLink Online

F-80

Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities 3-46

F-80

EDGARLink Template 1

EDGAR Filer Manual (Volume II)

December 2010

CFR Form/ Schedule/ Rule Act of 1933

Description

Submission Type

Tool/ Template Number EDGARLink Online

Pre-effective amendment

F-80/A

EDGARLink Template 1

EDGARLink Online

S-1

General form of registration statement for all companies including face-amount certificate companies

S-1

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

S-1/A

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1

EDGARLink Online

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-1MEF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

EDGARLink Template 3

December 2010

3-47

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

S-3

Registration statement for specified transactions by certain issuers

S-3

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

S-3/A

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1

EDGARLink Online

Automatic shelf registration statement of securities of well-known seasoned issuers

S-3ASR

EDGARLink Template 1

EDGARLink Online

Post-effective Amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR

POSASR

EDGARLink Template 1

EDGARLink Online

Automatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans

S-3D

EDGARLink Template 1

EDGAR Filer Manual (Volume II)

3-48

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

Post-effective amendment to a S-3D registration statement

S-3DPOS

EDGARLink Template 1

EDGARLink Online

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-3MEF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

EDGARLink Template 3

EDGARLink Online

S-4

Registration of securities issued in business combination transactions

S-4

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

S-4/A

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1

December 2010

3-49

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

Auto effective registration statement for securities issued in connection with the formation of a bank or savings and loan holding company in compliance with General Instruction G

S-4EF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a S4EF registration statement

S-4 POS

EDGARLink Template 1

EDGARLink Online

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-4MEF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

EDGARLink Template 3

EDGARLink Online

S-8

Initial registration statement for securities to be offered to employees pursuant to employee benefit plans

S-8

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a S-8 registration statement

S-8 POS

EDGARLink Template 1

EDGAR Filer Manual (Volume II)

3-50

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

S-11

Registration statement for securities to be issued by real estate companies

S-11

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

S-11/A

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1

EDGARLink Online

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-11MEF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

EDGARLink Template 3

EDGARLink Online

S-20

Registration statement for standardized options

S-20

EDGARLink Template 1

December 2010

3-51

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

Pre-effective amendment

S-20/A

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1

EDGARLink Online

S-B

Registration statement for securities of foreign governments and subdivisions thereof under the Securities Act of 1933 (Schedule B)

S-B

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

S-B/A

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1

EDGARLink Online

EDGAR Filer Manual (Volume II)

3-52

December 2010

CFR Form/ Schedule/ Rule S-BMEF

Description

Submission Type S-BMEF

Tool/ Template Number EDGARLink Template 1

A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-B

EDGARLink Online

Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

EDGARLink Template 3

EDGARLink Online

POS462B

Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

EDGARLink Template 3

EDGARLink Online

POS462C

Post-effective amendment to a registration statement filed under Rule 462(c)

POS462C

EDGARLink Template 3

EDGARLink Online

POS AM

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1

EDGARLink Online

POS EX

Post-effective amendment filed solely to add exhibits to a registration statement

POS EX

EDGARLink Template 3

EDGARLink Online

December 2010

3-53

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec.

PROSPECTUSES FILED PURSUANT TO RULE 424 Prospectus filed pursuant to Rule 424(a) 424A EDGARLink Template 3 XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical December 2010

EDGARLink Online

Prospectus filed pursuant to Rule 424(b)(1)

424B1

EDGARLink Template 1

EDGARLink Online

Prospectus filed pursuant to Rule 424(b)(2)

424B2

EDGARLink Template 1

EDGARLink Online

Prospectus filed pursuant to Rule 424(b)(3)

424B3

EDGARLink Template 1

EDGARLink Online

Prospectus filed pursuant to Rule 424(b)(4)

424B4

EDGARLink Template 1

EDGARLink Online

Prospectus filed pursuant to Rule 424(b)(5)

424B5

EDGARLink Template 1

EDGARLink Online

EDGAR Filer Manual (Volume II)

3-54

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec. Specification

Prospectus filed pursuant to Rule 424(b)(7)

424B7

EDGARLink Template 1

XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Prospectus filed pursuant to Rule 424(b)(8)

424B8

EDGARLink Template 1

EDGARLink Online

FREE WRITING PROSPECTUS Filing under Securities Act Rules 163/433 of free writing prospectuses FWP EDGARLink Template 2 XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

FILINGS PURSUANT TO THE TRUST INDENTURE ACT 305B2 Application for designation of a new trustee under the Trust Indenture Act 305B2 EDGARLink Template 3 XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Amendment

305B2/A

EDGARLink Template 3 EDGARLink Online

December 2010

3-55

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule T-3

Description

Submission Type T-3

Tool/ Template Number EDGARLink Template 1

Initial application for qualification of trust indentures

EDGARLink Online

Pre-effective amendment

T-3/A

EDGARLink Template 1

EDGARLink Online

T-6

Application for determination of eligibility of a foreign person to act as institutional trustee filed pursuant to Section 310(a)(1) of the Trust Indenture Act of 1939

T-6

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

T-6/A

EDGARLink Template 1

EDGARLink Online

Note: "Submission types" T-1 and T-2 are not used as stand-alone submission types on the EDGAR system. They are filed as EX-25 to registration statements. FILINGS PURSUANT TO RULE 144 144 Filing for proposed sale of securities under Rule 144 144 EDGARLink Template 2 XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

EDGAR Filer Manual (Volume II)

3-56

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type 144/A

Tool/ Template Number EDGARLink Template 2

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Amendment to Form 144 Note: Form 144 may be filed electronically on a voluntary basis if the issuer of the securities is a public company.

EDGARLink Online

MISCELLANEOUS FILINGS APP WD Withdrawal of an application for exemptive or other relief from the federal securities laws APP WD EDGARLink Template 3 XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical

EDGARLink Online

Amendment to Form APP WD

APP WD/A

EDGARLink Template 3

EDGARLink Online

DEL AM

Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement

DEL AM

EDGARLink Template 3

EDGARLink Online

UNDER

Initial undertaking to file reports

UNDER

EDGARLink Template 3

EDGARLink Online

Amendment

UNDER/A

EDGARLink Template 3

EDGARLink Online

December 2010

3-57

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec. Specification

SUPPL

Voluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers

SUPPL

EDGARLink Template 2

EDGARLink Online

Registration Withdrawal Request

EDGARLink Template 3

EDGARLink Online

RW WD

Withdrawal of a Registration Withdrawal Request

RW WD

EDGARLink Template 1

EDGARLink Online

Withdrawal of amendment to a registration statement filed under the Securities Act

EDGARLink Template 3

EDGARLink Online

AW WD

Withdrawal of a request for withdrawal of an amendment to a registration statement

AW WD

EDGARLink Template 1

EDGARLink Online

425

Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions

425

EDGARLink Template 2

EDGARLink Online

EDGAR Filer Manual (Volume II)

3-58

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec. 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 F-X For appointment of agent for service of process by issuers registering securities (if filed on Form F-8, F-9, F-10 or F-80, or registering securities or filing periodic reports on Form 40-F, or by any person filing certain tender offer documents, or by any person acting as trustee with respect to securities registered on form F-7, F-8, F-9 or F-10 Amendment F-X EDGARLink Template 2 XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

F-X/A

EDGARLink Template 2

EDGARLink Online

F-N

Notification of the appointment of an agent for service by certain foreign institutions

F-N

EDGARLink Template 2

EDGARLink Online

Amendment

F-N/A

EDGARLink Template 2

EDGARLink Online

December 2010

3-59

EDGAR Filer Manual (Volume II)

Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant to Section 14 Submission Types Accepted by EDGAR
CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number Filer-Constructed Form Spec.

PRELIMINARY PROXY SOLICITING MATERIALS Preliminary proxy statement relating to a merger, acquisition, or disposition PREM14A EDGARLink Template 2 XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Preliminary proxy statement in connection with contested solicitations

PREC14A

EDGARLink Template 2 EDGARLink Online

Preliminary proxy statement filed by non-management

PREN14A

EDGARLink Template 2 EDGARLink Online

Preliminary proxy statement not related to a contested matter or merger / acquisition

PRE 14A

EDGARLink Template 2 EDGARLink Online

PRELIMINARY INFORMATION STATEMENTS Preliminary information statements relating to merger or acquisition PREM14C EDGARLink Template 2 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGAR Filer Manual (Volume II)

3-60

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Template 2 EDGARLink Online

Filer-Constructed Form Spec.

Preliminary information statements contested solicitations

PREC14C

XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Preliminary information statement not related to a contested matter or merger/acquisition

PRE 14C

EDGARLink Template 2 EDGARLink Online

REVISED PRELIMINARY MATERIALS Preliminary revised proxy soliciting materials PRER14A EDGARLink Template 2 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Revised preliminary proxy statement filed by nonmanagement

PRRN14A

EDGARLink Template 2 EDGARLink Online

Preliminary revised information statements

PRER14C

EDGARLink Template 2 EDGARLink Online

DEFINITIVE MATERIALS (PROXY MATERIALS) Definitive proxy statement relating to a merger,acquisition, or disposition DEFM14A EDGARLink Template 2 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification

December 2010

3-61

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Template 2 EDGARLink Online

Filer-Constructed Form Spec.

Definitive proxy statement in connection with contested solicitations

DEFC14A

Definitive proxy statement filed by non-management

DEFN14A

EDGARLink Template 2 EDGARLink Online

Revised definitive proxy statement filed by nonmanagement

DFRN14A

EDGARLink Template 2 EDGARLink Online

Definitive revised proxy soliciting materials

DEFR14A

EDGARLink Template 2 EDGARLink Online

Definitive additional proxy soliciting materials including Rule 14(a)(12) material Note: Submission type DEFA14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms

DEFA14A

EDGARLink Template 2 EDGARLink Online

EDGAR Filer Manual (Volume II)

3-62

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Template 2 EDGARLink Online

Filer-Constructed Form Spec.

Definitive additional proxy soliciting materials filed by non-management including Rule 14(a)(12) material Note: Submission type DFAN14A can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8-K combined form type as the easiest method for fulfilling your filing requirement for both forms Definitive proxy statements

DFAN14A

XFDL Technical Specification EDGARLink Online XML Technical Specification

DEF 14A

EDGARLink Template 2 EDGARLink Online

Notice of exempt solicitation

PX14A6G

EDGARLink Template 2 EDGARLink Online

Notice of exempt solicitation for the purpose of determining whether to solicit proxies, consents, or authorizations in opposition to a proposed rollup transaction filed pursuant to Rule 14a6(g) of the Securities Exchange Act of 1934

PX14A6N

EDGARLink Template 2 EDGARLink Online

DEFINITIVE MATERIALS (INFORMATION STATEMENTS) Definitive information statement relating to merger or acquisition DEFM14C EDGARLink Template 2 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink

Definitive information statement contested solicitations

DEFC14C

EDGARLink Template 2 EDGARLink

December 2010

3-63

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

Filer-Constructed Form Spec. Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Definitive information statements

DEF 14C

EDGARLink Template 2 EDGARLink Online

Definitive additional information statement materials including Rule 14(a)(12) material

DEFA14C

EDGARLink Template 2 EDGARLink Online

Definitive revised information statement materials

DEFR14C

EDGARLink Template 2 EDGARLink Online

EDGAR Filer Manual (Volume II)

3-64

December 2010

Table 3-3: Securities Exchange Act - Registration and Report Submission Types Accepted by EDGAR

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec.

REGISTRATION STATEMENTS 8-A Form for the registration / listing of a class of securities on a national securities exchange pursuant to section 12(b) 8-A12B EDGARLink Template 3 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification

Amendment

8-A12B/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form for registration of a class of securities pursuant to section 12(g)

8-A12G

EDGARLink Template 3 EDGARLink Online

Amendment

8-A12G/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Initial general form for registration of a class of securities pursuant to section 12(b)

10-12B

EDGARLink Template 3 EDGARLink Online

Amendment

10-12B/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification

December 2010

3-65

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type 10-12G

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Initial general form for registration of a class of securities pursuant to section 12(g)

Amendment

10-12G/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

20-F

Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(b)

20FR12B

EDGARLink Template 3 EDGARLink Online

Amendment

20FR12B/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form for initial registration of a class of securities of foreign private issuers pursuant to section 12(g)

20FR12G

EDGARLink Template 3 EDGARLink Online

Amendment

20FR12G/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

40-F

Registration of a class of securities of certain Canadian issuers pursuant to Section 12(b) of the 1934 Act

40FR12B

EDGARLink Template 3 EDGARLink Online

EDGAR Filer Manual (Volume II)

3-66

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type 40FR12B/A

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec.

Amendment

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Registration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act

40FR12G

EDGARLink Template 3 EDGARLink Online

Amendment

40FR12G/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form for initial registration of securities of foreign governments or political subdivisions pursuant to section 12(b)

18-12B

EDGARLink Template 3 EDGARLink Online

Amendment

18-12B/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form for initial registration of securities of foreign governments or political subdivisions thereof pursuant to section 12(g)

18-12G

EDGARLink Template 3 EDGARLink Online

Amendment

18- 12G/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification

ANNUAL, QUARTERLY, AND PERIODIC REPORTS

December 2010

3-67

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule ARS

Description

Submission Type ARS

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Annual report to security holders

Amendment Note: Use this submission type when furnishing the annual report to security holders for the information of the Commission pursuant to Rule 14a-3(c) or Rule 14c3(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. 6-K Current report of foreign issuer pursuant to Rules 13a16 and 15d-16

ARS/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification

6-K

EDGARLink Template 3 EDGARLink Online

XFDL Technical Specification EDGARLink Online XML Technical Specification

Amendments

6-K/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification

ANNUAL, QUARTERLY, AND PERIODIC REPORTS 10-Q Quarterly report pursuant to sections 13 or 15(d) 10-Q EDGARLink Template 3 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification

Amendment

10-Q/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification

EDGAR Filer Manual (Volume II)

3-68

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type 10-QT

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Transition report pursuant to Rule 13a-10 or 15d-10

10-K

Annual report pursuant to section 13 and 15(d)

10-K

EDGARLink Template 3 EDGARLink Online

Amendment

10-K/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Transition report pursuant to Rule 13a-10 or 15d-10

10-KT

EDGARLink Template 3 EDGARLink Online

Amendment

10-KT/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

10-D

Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17

10-D

EDGARLink Template 3 EDGARLink Online

Amendment

10-D/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification

December 2010

3-69

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule 8-K

Description

Submission Type 8-K

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Current report filing

Amendment

8-K/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Notification that a class of securities of successor issuer is deemed to be registered pursuant to section 12(g)

8-K12G3

EDGARLink Template 3 EDGARLink Online

Amendment

8-K12G3/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Notification of assumption of duty to report by successor issue under section 15(d)

8-K15D5

EDGARLink Template 3 EDGARLink Online

Amendment

8-K15D5/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification

ANNUAL, QUARTERLY, AND PERIODIC REPORTS 11-K Annual report of employee stock purchase, savings and similar plans 11-K EDGARLink Template 3 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGAR Filer Manual (Volume II)

3-70

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type 11-K/A

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec.

Amendment

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Transition report pursuant to rule 13a-10 or 15d-10

11-KT

EDGARLink Template 3 EDGARLink Online

Amendment

11-KT/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

18-K

Annual report for foreign governments and political subdivisions

18-K

Amendment 20-F Annual and transition report of foreign private issuers pursuant to sections 13 or 15(d)

18-K/A 20-F EDGARLink Template 3 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification

Amendment

20-F/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

40-F

Annual report filed by certain Canadian issuers pursuant to Section 15(d) and Rule 15d-4

40-F

EDGARLink Template 3 EDGARLink Online

December 2010

3-71

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type 40-F/A

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec.

Amendment

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

12b-25

Notice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10QSB

NT 10-Q

EDGARLink Template 3 EDGARLink Online

Amendment

NT 10-Q/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Notice under Rule 12b25 of inability to timely file all or part of a form 10-K, 10-KSB, or 10-KT

NT 10-K

EDGARLink Template 3 EDGARLink Online

Amendment

NT 10-K/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Notice under Rule 12b25 of inability to timely file all or part of a Form 10-D

NT 10-D

EDGARLink Template 3 EDGARLink Online

Amendment

NT 10-D/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification

EDGAR Filer Manual (Volume II)

3-72

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type NT 11-K

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Notice under Rule 12b25 of inability to timely file all or part of a form 11-K

Amendment

NT 11-K/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Notice under Rule 12b25 of inability to timely file a special report pursuant to section 15d-2

NT 15D2

EDGARLink Template 3 EDGARLink Online

Amendment

NT 15D2/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Notice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F

NT 20-F

EDGARLink Template 3 EDGARLink Online

Amendment

NT 20-F/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification

ANNUAL, QUARTERLY, AND PERIODIC REPORTS 15 Notice of termination of registration of a class of securities under Section 12(b) 15-12B EDGARLink Template 3 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification

December 2010

3-73

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type 15-12B/A

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

FilerConstructed Form Spec.

Amendment

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Notice of termination of registration of a class of securities under Section 12(g)

15-12G

EDGARLink Template 3 EDGARLink Online

Amendment

15-12G/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Notice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act

15-15D

EDGARLink Template 3 EDGARLink Online

Amendment

15-15D/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

See Rule 15d-2

Special Financial Report filed under Rule 15d-2

SP 15D2

EDGARLink Template 3 EDGARLink Online

Amendment

SP 15D2/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification

EDGAR Filer Manual (Volume II)

3-74

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec.

ANNUAL, QUARTERLY, AND PERIODIC REPORTS 15F Notice of termination of a foreign private issuers registration of a class of securities under Section 12(b) 15F-12B EDGARLink Template 3 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification

Amendment

15F-12B/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Notice of termination of a foreign private issuers registration of a class of securities under Section 12(g)

15F-12G

EDGARLink Template 3 EDGARLink Online

Amendment

15-12G/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

15F

Notice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act

15F-15D

EDGARLink Template 3 EDGARLink Online

Amendment

15-15D/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification

December 2010

3-75

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec.

DODD-FRANK SUBMISSION TYPES/FILINGS ABS 15G Asset-backed securities report pursuant to Section 15G Amendment ABS 15G EDGARLink Online EDGARLink Online XML Technical Specification EDGARLink Online XML Technical Specification

ABS 15G/A

EDGARLink Online

MISCELLANEOUS SUBMISSION TYPES/FILINGS Form 13 F Initial Quarterly Form 13F Holdings report filed by institutional managers 13F-HR EDGARLink Template 3 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification

Amendment

13F-HR/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Initial Quarterly Form 13F Notice Report filed by institutional managers

13F-NT

EDGARLink Template 3 EDGARLink Online

Amendment

13F-NT/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form APP WD

Withdrawal of an application for exemptive or other relief from the federal securities laws

APP WD APP WD/A

EDGARLink Template 3 EDGARLink Online

EDGAR Filer Manual (Volume II)

3-76

December 2010

CFR Form/ Schedule/ Rule Form N-MFP

Description

Submission Type N-MFP N-MFP/A

Tool/ Template Number N/A

FilerConstructed Form Spec. N-MFP Technical Specification

Monthly Schedule of Portfolio Holdings of Money Market Funds

MISCELLANEOUS SUBMISSION TYPES/FILINGS Form SH Weekly Form SH Entries Report Filed by Institutional Investment Managers SH-ER EDGARLink Template 3 SH-ER Information table only: SH-ER Information Table XML Technical Specification; XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Amendment

SH-ER/A

EDGARLink Template 3

SH-ER/A Information table only: SH-ER Information Table XML Technical Specification; XFDL Technical Specification

EDGARLink Online

EDGARLink Online XML Technical Specification

December 2010

3-77

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type SH-NT

Tool/ Template Number EDGARLink Template 3 EDGARLink Online

Weekly Form SH Notice Report Filed by Institutional Investment Managers

Amendment

SH-NT/A

EDGARLink Template 3 EDGARLink Online

Form RW

Registration Withdrawal Request

EDGARLink Template 3 EDGARLink Online

Withdrawal of a registration withdrawal statement

RW WD

EDGARLink Template 3 EDGARLink Online

MISCELLANEOUS SUBMISSION TYPES/FILINGS Form AW Withdrawal of an amendment to a registration statement filed under the Securities Act AW EDGARLink Template 3 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Withdrawal of an amendment registration withdrawal statement

AW WD

EDGARLink Template 3 EDGARLink Online

Form 425

Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions

425

EDGARLink Template 3 EDGARLink Online

EDGAR Filer Manual (Volume II)

3-78

December 2010

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 8K combined form type as the easiest method for fulfilling your filing requirement for both forms. Form 25 Notification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange 25 EDGARLink Template 3 EDGARLink Online XFDL Technical Specification EDGARLink Online XML Technical Specification

Amendment

25/A

EDGARLink Template 3 EDGARLink Online EDGARLink Online XML Technical Specification Distributed to National Securities Exchanges only

Form 25

Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities Amendment

25-NSE

Distributed to National Securities Exchanges only Distributed to National Securities Exchanges only

25-NSE/A

Distributed to National Securities Exchanges only

SECTION 16 OWNERSHIP FORMS/FILINGS Form 3 Initial statement of beneficial ownership of securities Amendment 3 Online Forms Ownership XML Technical Specification Ownership XML Technical Specification Ownership XML Technical Specification Ownership XML Technical Specification Ownership XML Technical Specification Ownership XML Technical Specification

3/A

Online Forms

Form 4

Statement of changes in beneficial ownership of securities Amendment

Online Forms

4/A

Online Forms

Form 5

Annual statement of changes in beneficial ownership of securities Amendment

Online Forms

5/A

Online Forms

SECTION 17A TRANSFER AGENT FORMS/FILINGS

December 2010

3-79

EDGAR Filer Manual (Volume II)

TA-1

Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 Amendment

TA-1

EDGARLite TA-1 Template

TA-1 XML Technical Specification TA-1 XML Technical Specification TA-1 XML Technical Specification TA-1 XML Technical Specification TA-1 XML Technical Specification

TA-1/A

EDGARLite TA-1 Template EDGARLite TA-1 Template

TA-2

Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 Amendment

TA-2

TA-2/A

EDGARLite TA-1 Template EDGARLite TA-1 Template

TA-W

Notice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934

TA-W

EDGAR Filer Manual (Volume II)

3-80

December 2010

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

CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number EDGARLink Template 2 FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Schedule 13D

Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities

SC 13D

EDGARLink Online

Amendment

SC 13D/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Schedule 13-E1

Schedule 13-E1 statement of issuer required by Rule 13e-1

SC 13E1

EDGARLink Template 2

EDGARLink Online

Amendment

SC 13E1/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Schedule 13E-3

Schedule filed to report going private transactions

SC 13E3

EDGARLink Template 2

EDGARLink Online

Amendment

SC 13E3/A

EDGARLink Template 2 EDGARLink EDGARLink Online XML

December 2010

3-81

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

FilerConstructed Form Spec. Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Schedule 13E4F

Issuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers

SC13E4F

EDGARLink Template 2

EDGARLink Online

Amendment

SC13E4F/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Schedule 13G

Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities by passive investors and certain institutions

SC 13G

EDGARLink Template 2

EDGARLink Online

Amendment

SC 13G/A

EDGARLink Template 2 EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Schedule 14A-11

Information filed by certain nominating shareholders (pursuant to Section 240 14n1)

SC 14N

EDGARLink Template 2

EDGARLink Online

EDGAR Filer Manual (Volume II)

3-82

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Template 2

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

SC 14N/A

EDGARLink Online

Schedule TO-I

Issuer tender offer statement

SC TO-I

EDGARLink Template 2

EDGARLink Online

Amendment

SC TO-I/A

EDGARLink Template 2 EDGARLink Online XML Technical Specification FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Template 2

Schedule TO-T

Third party tender offer statement

SC TO-T

EDGARLink Online

Amendment

SC TO-T/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification

Schedule TO-C

Written communication

SC TO-C

EDGARLink

XFDL

December 2010

3-83

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Template 2

FilerConstructed Form Spec. Technical Specification EDGARLink Online XML Technical Specification

relating to an issuer or third party tender offer Note: Form Schedule TO-C can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8K combined form type as the easiest method for fulfilling your filing requirement for both forms Schedule 14D1F Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers SC14D1F

EDGARLink Online

EDGARLink Template 2

XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Amendment

SC14D1F/A

EDGARLink Template 2 EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Schedule 14D9-C

Written communication by the subject company relating to a third party tender offer

SC14D9C

EDGARLink Template 2

EDGARLink Online

Schedule 14D9

Tender offer solicitation / recommendation statements filed under Rule 14-d9

SC 14D9

EDGARLink Template 2

EDGARLink Online

Amendment

SC 14D9/A

EDGARLink Template 2

EDGAR Filer Manual (Volume II)

3-84

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

FilerConstructed Form Spec.

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Schedule 14D9F

Solicitation/recommendation statement pursuant to Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) by foreign issuers

SC14D9F

EDGARLink Template 2

EDGARLink Online

Amendment

SC14D9F/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Schedule 14f-1

Statement regarding change in majority of directors pursuant to Rule 14f-1

SC 14F1

EDGARLink Template 2

EDGARLink Online

Amendment

SC 14F1/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Template 2

EDGARLink Online

December 2010

3-85

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Template 2 EDGARLink Online

FilerConstructed Form Spec.

Amendment

CB/A

EDGARLink Online XML Technical Specification

EDGAR Filer Manual (Volume II)

3-86

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Template 2

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Schedule TO-T

Third party tender offer statement

SC TO-T

EDGARLink Online

Amendment

SC TO-T/A

EDGARLink Template 2 EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Schedule TO-C

Written communication relating to an issuer or third party tender offer Note: Form Schedule TO-C can be filed as part of Form 8-K. For filers subject to 8-K filing requirements, we recommend the use of the 8K combined form type as the easiest method for fulfilling your filing requirement for both forms Third party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers

SC TO-C

EDGARLink Template 2

EDGARLink Online

Schedule 14D1F

SC14D1F

EDGARLink Template 2

XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Amendment

SC14D1F/A

EDGARLink Template 2 EDGARLink Online XML

EDGARLink

December 2010

3-87

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

FilerConstructed Form Spec. Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Schedule 14D9-C

Written communication by the subject company relating to a third party tender offer

SC14D9C

EDGARLink Template 2

EDGARLink Online

Schedule 14D9

Tender offer solicitation / recommendation statements filed under Rule 14-d9

SC 14D9

EDGARLink Template 2

EDGARLink Online

Amendment

SC 14D9/A

EDGARLink Template 2 EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Schedule 14D9F

Solicitation/recommendation statement pursuant to Section 14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c) by foreign issuers

SC14D9F

EDGARLink Template 2

EDGARLink Online

Amendment

SC14D9F/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification

EDGAR Filer Manual (Volume II)

3-88

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Template 2

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Schedule 14f-1

Statement regarding change in majority of directors pursuant to Rule 14f-1

SC 14F1

EDGARLink Online

Amendment

SC 14F1/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Template 2

EDGARLink Online

CB/A

EDGARLink Template 2 EDGARLink Online XML Technical Specification

EDGARLink Online

Table 3-5: Investment Company Submission Types Accepted by EDGAR

CFR Form/ Schedule/ Rule Forms S-1 & S-3 Description Submission Type Tool/ Template Number FilerConstructed Form Spec.

Registration statement for faceamount certificate companies General form of registration statement for all companies including face-amount certificate companies S-1 EDGARLink Template 1 EDGARLink XFDL Technical Specification EDGARLink

December 2010

3-89

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

FilerConstructed Form Spec. Online XML Technical Specification

Pre-effective amendment

S-1/A

EDGARLink Template 1 EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online Registration statement for specified transactions by certain issuers including face-amount certificate companies S-3 EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

S-3/A

EDGARLink Template 1 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML December 2010

Post-effective amendment to a registration statement that is not immediately effective upon filing

POS AM

EDGARLink Template 1

EDGARLink Online

Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497

497

EDGARLink Template 3

EDGARLink Online

Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497

497J

EDGARLink Template 3

EDGARLink

EDGAR Filer Manual (Volume II)

3-90

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

FilerConstructed Form Spec. Technical Specification

Forms N-1 & N-1A

Registration statement for openend management investment companies Initial registration statement filed on Form N-1A for open-end management investment companies N-1A EDGARLink Template 1 XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Pre-effective amendment to a registration statement filed on Form N-1A for open-end management investment companies (this filing cannot be submitted as a 1940 Act only filing)

N-1A/A

EDGARLink Template 1

EDGARLink Online

Initial registration statement filed on Form N-1 for open-end management investment companies

N-1

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment to a registration statement filed on Form N-1 for open-end management investment companies (this filing cannot be submitted as a 1940 Act only filing)

N-1/A

EDGARLink Template 1

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)

485APOS

EDGARLink Template 3

EDGARLink Online

December 2010

3-91

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type 485BPOS

Tool/ Template Number EDGARLink Template 3

Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing)

EDGARLink Online

Post-effective amendment (for filings made under the 1940 Act only)

POS AMI

EDGARLink Template 3

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497

485BXT

EDGARLink Template 3

EDGARLink Online

497

EDGARLink Template 3

EDGARLink Online

Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497

497J

EDGARLink Template 3

EDGARLink Online

Rule 498

Summary Prospectus for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)

497K

EDGARLink Template 3

EDGARLink

EDGAR Filer Manual (Volume II)

3-92

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

FilerConstructed Form Spec. Technical Specification

Cannot be used until March 31, 2009. Profiles for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)(1)(i) Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009. Profiles for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)(1)(ii) Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009. Profiles for certain open-end management investment companies filed pursuant to Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009. 497K2 497K1 EDGARLink Template 3

EDGARLink Online

EDGARLink Template 3

EDGARLink Online

497K3A

EDGARLink Template 3

EDGARLink Online

Securities Act Rule 497(k)(1)(iii)(A) Profiles for certain open-end management investment companies filed pursuant to Securities Act Rule 497(k)(1)(iii)(B) Will no longer be accepted after close of business (5:30 PM EST) on March 30, 2009. Form N-2 Initial filing of a registration statement on Form N-2 for closed-end investment companies 497K3B EDGARLink Template 3 XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

N-2

EDGARLink Template 1

EDGARLink Online

December 2010

3-93

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type N-2/A

Tool/ Template Number EDGARLink Template 1

Pre-effective amendment to a registration statement on Form N-2 for closed-end investment companies (this filing cannot be submitted as a 1940 Act only filing)

EDGARLink Online

Post-effective amendment (for filings made under the 1940 Act only)

POS AMI

EDGARLink Template 3

EDGARLink Online

Post-effective amendment filed under the 1933 Act only or under both the 1933 and 1940 Acts pursuant to Section 8(c) of the 1933 Act by closed-end investment companies (this filing cannot be submitted as a 1940 Act only filing) Initial filing of a registration statement on Form N-2 for closed-end investment companies filed pursuant to Securities Act Rule 486(a)

POS 8C

EDGARLink Template 3

EDGARLink Online

N-2

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to filing filed pursuant to Securities Act Rule 486(a)

486APOS

EDGARLink Template 3

EDGARLink Online

Initial filing of a registration statement on Form N-2 for closed-end investment companies filed pursuant to Securities Act Rule 486(b)

N-2

EDGARLink Template 1

EDGARLink Online

EDGAR Filer Manual (Volume II)

3-94

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec. Technical Specification

Post-effective amendment to filing filed pursuant to Securities Act Rule 486(b)

486BPOS

EDGARLink Template 3

EDGARLink Online

Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497

497

EDGARLink Template 3

EDGARLink Online

Certification of no change in definitive materials

497J

EDGARLink Template 3

EDGARLink Online

N-2MEF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

EDGARLink Template 3

EDGARLink Online

Post-effective amendment to a registration statement filed under

POS462C

EDGARLink Template 3

December 2010

3-95

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec. Specification

Securities Act Rule 462(c) EDGARLink Online

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Post-effective amendment filed solely to add exhibits to a registration statement

POS EX

EDGARLink Template 3

EDGARLink Online

Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497

497

EDGARLink Template 3

EDGARLink Online

Filings made pursuant to Rule 497(h)(2)

497H2

EDGARLink Template 3

EDGARLink Online

Form N-3

Initial registration statement on Form N-3 for separate accounts (management investment companies)

N-3

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment to a registration statement on Form N-3 for separate accounts (management investment companies) (this filing cannot be submitted as a 1940 Act only filing)

N-3/A

EDGARLink Template 1

EDGARLink Online

EDGAR Filer Manual (Volume II)

3-96

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type 485APOS

Tool/ Template Number EDGARLink Template 3

Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing)

485BPOS

EDGARLink Template 3

EDGARLink Online

Post-effective amendment (for filings made under the 1940 Act only)

POS AMI

EDGARLink Template 3

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497

485BXT

EDGARLink Template 3

EDGARLink Online

497

EDGARLink Template 3

EDGARLink Online

Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497

497J

EDGARLink Template 3

EDGARLink

December 2010

3-97

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

FilerConstructed Form Spec. Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-4

Initial registration statement on Form N-4 for separate accounts (unit investment trusts)

N-4

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment to a registration statement on Form N-4 for separate accounts (unit investment trusts) (this filing cannot be submitted as a 1940 Act only filing)

N-4/A

EDGARLink Template 1

EDGARLink Online

Pre-effective pricing amendment filed pursuant to Securities Act Rule 487

487

EDGARLink Template 1

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)

485APOS

EDGARLink Template 3

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing)

485BPOS

EDGARLink Template 3

EDGARLink Online

EDGAR Filer Manual (Volume II)

3-98

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type 485BXT

Tool/ Template Number EDGARLink Template 3

EDGARLink Online

POS AMI

EDGARLink Template 3

EDGARLink Online

Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497

497

EDGARLink Template 3

EDGARLink Online

Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497

497J

EDGARLink Template 3

EDGARLink Online

Form N-6

Registration statement for separate accounts (unit investment trusts)

N-6

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment to a registration statement filed on Form N-6 for separate accounts (unit investment trusts)

N-6/A

EDGARLink Template 1

EDGARLink

December 2010

3-99

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

Pre-effective pricing amendment filed pursuant to Securities Act Rule 487

487

EDGARLink Template 1

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)

485APOS

EDGARLink Template 3

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing)

485BPOS

EDGARLink Template 3

EDGARLink Online

485BXT

EDGARLink Template 3

EDGARLink Online

POS AMI

EDGARLink Template 3

EDGARLink Online

Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497

497

EDGARLink Template 3

EDGAR Filer Manual (Volume II)

3-100

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497

497J

EDGARLink Template 3

EDGARLink Online

Form S-6

Initial registration statement filed on Form S-6 for unit investment trusts

S-6

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

S-6/A

EDGARLink Template 1

EDGARLink Online

Pre-effective pricing amendment filed pursuant to Securities Act Rule 487

487

EDGARLink Template 1

EDGARLink Online

Initial undertaking to file reports

UNDER

EDGARLink Template 3

EDGARLink Online

December 2010

3-101

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type UNDER/A

Tool/ Template Number EDGARLink Template 3

Amendment

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing)

485APOS

EDGARLink Template 3

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing)

485BPOS

EDGARLink Template 3

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(b)(1)(iii) to designate a new effective date for a post-effective amendment previously filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497

485BXT

EDGARLink Template 3

EDGARLink Online

497

EDGARLink Template 3

EDGARLink Online

Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497

497J

EDGARLink Template 3

EDGARLink

EDGAR Filer Manual (Volume II)

3-102

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

FilerConstructed Form Spec. Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-5

Registration statement for small business investment companies

N-5

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment to a registration statement on Form N-5 for small business investment companies (this filing cannot be submitted as a 1940 Act only filing)

N-5/A

EDGARLink Template 1 EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification

EDGARLink Online POS AMI EDGARLink Template 3

Post-effective amendment (for filings made under the 1940 Act only)

EDGARLink Online

Post-effective amendment filed under the 1933 Act only or under both the 1933 and 1940 Acts pursuant to Section 8(c) of the 1933 Act by closed-end investment companies (this filing cannot be submitted as a 1940 Act only filing) Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497

POS 8C

EDGARLink Template 3

EDGARLink Online

497

EDGARLink Template 3

EDGARLink Online

Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497 December 2010 3-103

497J

EDGARLink Template 3

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

FilerConstructed Form Spec. EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-14

Initial registration statement filed on Form N-14 for open-end investment company, including those filed with automatic effectiveness under Rule 488 (business combinations)

N-14

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

N-14/A

EDGARLink Online Post-effective amendment filed pursuant to Securities Act Rule 485(a) (this filing cannot be submitted as a 1940 Act only filing) 485APOS EDGARLink Template 3

EDGARLink Online

Post-effective amendment filed pursuant to Securities Act Rule 485(b) (this filing cannot be submitted as a 1940 Act only filing)

485BPOS

EDGARLink Template 3

EDGARLink Online

Initial registration statement filed on Form N-14 by closed-end investment company (business combinations)

N-14 8C

EDGARLink Template 1

EDGARLink Online

Pre-effective amendment

N-14 8C/A

EDGARLink Template 1

EDGAR Filer Manual (Volume II)

3-104

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

Post-effective amendment filed under the 1933 Act only or under both the 1933 and 1940 Acts pursuant to Section 8(c) of the 1933 Act by closed-end investment companies (this filing cannot be submitted as a 1940 Act only filing) Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497

POS 8C

EDGARLink Template 3

EDGARLink Online

497

EDGARLink Template 3

EDGARLink Online

Certification of no change in definitive materials under paragraph (j) of Securities Act Rule 497

497J

EDGARLink Template 3

EDGARLink Online

A new registration statement filed on Form N-14 by closed end investment companies filed under Securities Act Rule 462(b) of up to an additional 20% of securities for an offering that was registered on Form N-14

N-14MEF

EDGARLink Template 1

EDGARLink Online

Post-effective amendment to Securities Act Rule 462(b) registration statement

POS462B

EDGARLink Template 3

EDGARLink Online

Post-effective amendment to December 2010 3-105

POS462C

EDGARLink EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Template 3

FilerConstructed Form Spec.

Securities Act Rule 462(c) registration statement

EDGARLink Online Definitive materials filed under paragraph (a), (b), (c), (d), (e) or (f) of Securities Act Rule 497 497 EDGARLink Template 3

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

MISCELLANEOUS FILINGS UNDER THE SECURITIES ACT Rule 425 Filing under Securities Act Rule 425 of certain prospectuses and communications in connection with business combination transactions Note: Form 425 can be filed as part of Form 8-K. 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 Separately filed delaying amendment under Securities Act Rule 473 to delay effectiveness of a 1933 Act registration statement 425 EDGARLink Template 2 XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Rule 473

DEL AM

EDGARLink Template 3

XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification

EDGARLink Online

Rule 477

Withdrawal of an application for exemptive or other relief from the federal securities laws

APP WD

EDGARLink Template 3

EDGARLink Online

Withdrawal of an amendment to an application for exemptive or other relief from the federal

APP WD/A

EDGARLink Template 3

EDGAR Filer Manual (Volume II)

3-106

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

securities laws

Registration Withdrawal Request

EDGARLink Template 3

EDGARLink Online

Withdrawal of a request for withdrawal of a registration statement

RW WD

EDGARLink Template 1

EDGARLink Online

Withdrawal of amendment to a registration statement filed under the Securities Act

EDGARLink Template 3

EDGARLink Online

Withdrawal of a request for withdrawal of an amendment to a registration statement

AW WD

EDGARLink Template 1

EDGARLink Online

Rule 482

Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 and the Note to Rule 482(c)

497AD

EDGARLink Template 3

EDGARLink Online

December 2010

3-107

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec.

REGISTRATION OF SECURITIES BY CERTAIN INVESTMENT COMPANIES PURSUANT TO RULE 24F-2 Rule 24F-2 Rule 24f-2 notice filed on Form 24F-2 24F-2NT EDGARLink Template 1 XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Amendment

24F-2NT/A

EDGARLink Template 1

EDGARLink Online

OTHER COMPANY ACT REGISTRATION STATEMENTS Form N-8A Initial notification of registration under section 8(a) filed on Form N-8A N-8A EDGARLink Template 2 XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Amendment

N-8A/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-8B-2

Initial registration statement for unit investment trusts filed on Form N-8B-2

N-8B-2

EDGARLink Template 2

EDGARLink Online

Amendment

N-8B-2/A

EDGARLink Template 2

EDGAR Filer Manual (Volume II)

3-108

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number EDGARLink Online

FilerConstructed Form Spec. EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-8B-3

Initial registration statement for periodic payment plans filed on Form N-8B-3

N-8B-3

EDGARLink Template 2

EDGARLink Online

Amendment

N-8B-3/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-8B-4

Initial registration statement for face-amount certificate companies filed on Form N-8B-4

N-8B-4

EDGARLink Template 2

EDGARLink Online

Amendment

N-8B-4/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification

SUBMISSION TYPES FOR BUSINESS DEVELOPMENT COMPANIES Form N-6F Notice of intent by business development companies to elect to be subject to Sections 55 through 65 of the 1940 Act filed on Form N-6F N-6F EDGARLink Template 2 XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

December 2010

3-109

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type N-6F/A

Tool/ Template Number EDGARLink Template 2 EDGARLink Online

FilerConstructed Form Spec.

Amendment

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-54A

Notification of election by business development companies filed on Form N-54A

N-54A

EDGARLink Template 2

EDGARLink Online

Amendment

N-54A/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-54C

Notification of withdrawal by business development companies filed on Form N-54C

N-54C

EDGARLink Template 2

EDGARLink Online

Amendment

N-54C/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification

EDGAR Filer Manual (Volume II)

3-110

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number

FilerConstructed Form Spec.

OTHER INVESTMENT COMPANY SUBMISSION TYPES Rule 8b-25(a) Filing by investment company of application under Investment Company Act Rule 8b-25(a) requesting extension of time for filing certain information, document or report 40-8B25 EDGARLink Template 2 XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Form 17F-1

40-17F1

EDGARLink Template 2

EDGARLink Online

Amendment

40-17F1/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form 17F-2

40-17F2

EDGARLink Template 2

EDGARLink Online

Amendment

40-17F2/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification

December 2010

3-111

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule Rule 17g-1(g)(1)

Description

Submission Type 40-17G

Tool/ Template Number EDGARLink Template 2

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Fidelity bond filed pursuant to Rule 17g-1(g)(1) of the Investment Company Act of 1940

EDGARLink Online

Amendment

40-17G/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Rule 17g-1(g)(2) or (3)

Filings of claim or settlement pursuant to rule 17g-1(g)(1)(2) or (3) of the Investment Company Act of 1940

40-17GCS

EDGARLink Template 2

EDGARLink Online

Amendment

40-17GCS/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Rule 24b-2

Filing of sales literature pursuant to Rule 24b-2 under the Investment Company Act of 1940

40-24B2

EDGARLink Template 2

EDGARLink Online

Amendment

40-24B2/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification

EDGAR Filer Manual (Volume II)

3-112

December 2010

CFR Form/ Schedule/ Rule ICA Section 33

Description

Submission Type 40-33

Tool/ Template Number EDGARLink Template 2

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Copies of all stockholder derivative actions filed with a court against an investment company or an affiliate thereof pursuant to Section 33 of the Investment Company Act of 1940

EDGARLink Online

Amendment Note: May be filed electronically on a voluntary basis.

40-33/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-18F-1

Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1

N-18F1

EDGARLink Template 2

EDGARLink Online

Amendment

N-18F1/A

EDGARLink Template 2

EDGARLink Online

Rule 23c-2(b)

Notice by closed-end investment companies of intention to call or redeem their own securities under Investment Company Act Rule 23c-2

N-23C-2

EDGARLink Template 2

EDGARLink Online

December 2010

3-113

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type N-23C-2/A

Tool/ Template Number EDGARLink Template 2

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Amendment

EDGARLink Online

Form N-23C-3

Notification of periodic repurchase offer Filed pursuant to Rule 23c3(b) only

N-23C3A

EDGARLink Template 2

EDGARLink Online

Amendment

N-23C3A/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Filing pursuant to Rule 23c-3(c) only on Form N-23C-3

N-23C3B

EDGARLink Template 2

EDGARLink Online

Amendment

N-23C3B/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification

EDGAR Filer Manual (Volume II)

3-114

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type N-23C3C

Tool/ Template Number EDGARLink Template 2

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Filing pursuant to Rule 23c-3(b) and (c) on Form N-23C-3

EDGARLink Online

Amendment

N-23C3C/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-27D-1

Accounting for segregated trust accounts on Form N-27D-1

N-27D-1

EDGARLink Template 2

EDGARLink Online

Amendment

N-27D-1/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification

PERIODIC REPORTS FOR REGISTERED INVESTMENT COMPANIES Form N-SAR Semi-annual report for management companies filed on Form N-SAR NSAR-A EDGARLink Template 3 XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

December 2010

3-115

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type NSAR-A/A

Tool/ Template Number EDGARLink Template 3

FilerConstructed Form Spec.

Amendment

EDGARLink Online

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Transitional semi-annual report filed on Form N-SAR

NSAR-AT

EDGARLink Template 3

EDGARLink Online

Amendment

NSAR-AT/A

EDGARLink Template 3

EDGARLink Online

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Annual report for management companies filed on Form N-SAR

NSAR-B

EDGARLink Template 3

EDGARLink Online

Amendment

NSAR-B/A

EDGARLink Template 3

EDGARLink Online

EDGARLink Online XML Technical Specification

EDGAR Filer Manual (Volume II)

3-116

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type NSAR-BT

Tool/ Template Number EDGARLink Template 3

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Transitional annual report filed on Form N-SAR

EDGARLink Online

Amendment

NSAR-BT/A

EDGARLink Template 3

EDGARLink Online

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Annual report for unit investment trusts filed on Form N-SAR

NSAR-U

EDGARLink Template 3

EDGARLink Online

Amendment

NSAR-U/A

EDGARLink Template 3

EDGARLink Online

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-CSR

Certified annual shareholder report of registered management investment companies filed on Form N-CSR

N-CSR

EDGARLink Template 3

EDGARLink Online

December 2010

3-117

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type N-CSR/A

Tool/ Template Number EDGARLink Template 3

FilerConstructed Form Spec.

Amendment

EDGARLink Online

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Certified semi-annual shareholder report of registered management investment companies filed on Form NCSR

N-CSRS

EDGARLink Template 3

EDGARLink Online

Amendment

N-CSRS/A

EDGARLink Template 3

EDGARLink Online

EDGARLink Online XML Technical Specification N-MFP Technical Specification N-MFP Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-MFP

Monthly Schedule of Portfolio Holdings of Money Market Funds Amendment

N-MFP

N/A

N-MFP/A

N/A

Form N-PX

Annual Report of Proxy Voting Record of Registered Management Investment Companies filed on Form N-PX

N-PX

EDGARLink Template 3

EDGARLink Online

EDGAR Filer Manual (Volume II)

3-118

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type N-PX/A

Tool/ Template Number EDGARLink Template 3

FilerConstructed Form Spec.

Amendment

EDGARLink Online

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Form N-Q

Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company filed on Form N-Q

N-Q

EDGARLink Template 3

EDGARLink Online

Amendment

N-Q/A

EDGARLink Template 3

EDGARLink Online

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Rule 12b-25

Notice under Exchange Act Rule 12b-25 of inability to timely file Form NSAR

NT-NSAR

EDGARLink Template 3

EDGARLink Online

Amendment

NT-NSAR/A

EDGARLink Template 3

EDGARLink Online

EDGARLink Online XML Technical Specification

December 2010

3-119

EDGAR Filer Manual (Volume II)

CFR Form/ Schedule/ Rule

Description

Submission Type NT-NCSR

Tool/ Template Number EDGARLink Template 3

FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Notice under Exchange Act Rule 12b25 of inability to timely file Form NCSR (annual or semiannual report)

EDGARLink Online

Amendment

NT-NCSR/A

EDGARLink Template 3

EDGARLink Online

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Rule 30b2-1

Initial annual and semi-annual reports mailed to investment company shareholders pursuant to Rule 30e-1 (other than those required to be submitted as part of Form N-CSR)

N-30D

EDGARLink Template 3

EDGARLink Online

Amendment

N-30D/A

EDGARLink Template 3

EDGARLink Online

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Periodic and interim reports mailed to investment company shareholders (other than annual and semi-annual reports mailed to shareholders pursuant to Rule 30e-1)

N-30B-2

EDGARLink Template 3

EDGARLink Online

EDGAR Filer Manual (Volume II)

3-120

December 2010

REGULATION E FILINGS Regulation E Notification under Regulation E by small business investment companies and business development companies filed on Form 1-E. 1-E EDGARLink Template 3 XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Amendment to a notification under Regulation E by small business investment companies and business development companies filed on Form 1-E

1-E/A

EDGARLink Template 3

EDGARLink Online

Sales material filed pursuant to Rule 607 under Regulation E

1-E AD

EDGARLink Template 3

EDGARLink Online

Amendment to sales material filed pursuant to Rule 607 under Regulation E

1-E AD/A

EDGARLink Template 3

EDGARLink Online

Report of sales of securities pursuant to Rule 609 under Regulation E filed on Form 2-E

2-E

EDGARLink Template 3

EDGARLink Online

December 2010

3-121

EDGAR Filer Manual (Volume II)

Amendment of a report of sales of securities pursuant to Rule 609 under Regulation E filed on Form 2-E

2-E/A

EDGARLink Template 3

XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

APPLICATION FOR AN ORDER UNDER THE INVESTMENT COMPANY ACT Rule 0-2 Application under the Investment Company Act submitted pursuant to Investment Company Act Rule 0-2 reviewed by the Office of Insurance Products 40-OIP EDGARLink Template 3 XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

Amendment to an application under the Investment Company Act submitted pursuant to Investment Company Act Rule 02 reviewed by the Office of Insurance Products

40-OIP/A

EDGARLink Template 3

EDGARLink Online

Application under the Investment Company Act by an employees securities company submitted pursuant to Investment Company Act Rule 0-2

40-6B

EDGARLink Template 3

EDGARLink Online

Amendment to an application under the Investment Company Act by an employees securities company submitted pursuant to Investment Company Act Rule 02

40-6B/A

EDGARLink Template 3

EDGARLink Online

Application under the Investment Company Act submitted pursuant to Investment Company Act Rule 0-2 other than those reviewed by Office of Insurance Products

40-APP

EDGARLink Template 3

EDGARLink Online

EDGAR Filer Manual (Volume II)

3-122

December 2010

Amendment to an application under the Investment Company Act submitted pursuant to Investment Company Act Rule 02 other than those reviewed by Office of Insurance Products

40-APP/A

EDGARLink Template 3

XFDL Technical Specification EDGARLink Online XML Technical Specification

EDGARLink Online

APPLICATION FOR DEREGISTRATION OF INVESTMENT COMPANIES Form N-8F Application for deregistration made on Form N-8F N-8F EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification

Amendment

N-8F/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

Rule 0-2

Initial application for deregistration pursuant to Investment Company Act Rule 0-2

40-8F-2

EDGARLink Template 2

EDGARLink Online

Amendment

40-8F-2/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification

December 2010

3-123

EDGAR Filer Manual (Volume II)

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

CFR Form/ Schedule/ Rule QRTLYRPT Description Submission Type Tool/ Template Number EDGARLink Template 2 FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Periodic Development Bank filing, submitted quarterly

QRTLYRPT

EDGARLink Online

Amendment

QRTLYRPT/ A

EDGARLink Template 2

EDGARLink Online

EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

ANNLRPT

Periodic Development Bank filing, submitted annually

ANNLRPT

EDGARLink Template 2

EDGARLink Online

Amendment

ANNLRPT/A

EDGARLink Template 2 EDGARLink Online EDGARLink Online XML Technical Specification XFDL Technical Specification EDGARLink Online XML Technical Specification

DSTRBRPT

Distribution of primary obligations Development Bank report

DSTRBRPT

EDGARLink Template 2

EDGARLink Online

Amendment

DSTRBRPT/A

EDGARLink Template 2 EDGARLink EDGARLink

EDGAR Filer Manual (Volume II)

3-124

December 2010

CFR Form/ Schedule/ Rule

Description

Submission Type

Tool/ Template Number Online

FilerConstructed Form Spec. Online XML Technical Specification

Notes: (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

CFR Form/ Schedule/ Rule Description Submission Type Tool/ Template Number EDGARLink Template 4 FilerConstructed Form Spec. XFDL Technical Specification EDGARLink Online XML Technical Specification

Correspondence

A correspondence can be sent as a document with another submission type or can be sent as a separate submission. Correspondence is not publicly disseminated immediately. The SEC staff may release all or portions of these documents electronically if they relate to the staffs review process. See SEC Press Release 2004-89, SEC Staff to Publicly Release Comment Letters and Responses.

CORRESP

EDGARLink Online

December 2010

3-125

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