Quarterly report which provides a continuing view of a company's financial position

Official notification to shareholders of matters to be brought to a vote ("Proxy")

Amendment to a previously filed U-1

Statement by holding company claiming exemption from provisions of the act under Rule 2

Amendment to a previously filed U-1

Simplified registration form

Filing of certain prospectuses and communications in connection with business combination transactions

Holding application or declaration under the Public Utility Holding Company Act

Report of unscheduled material events or corporate event

Amendment to a previously filed 10-K405