Explanation of Codes

Securities Registration Codes

1. Coordination application (filed with SEC)
2. Qualification application (not filed with SEC)
3. Investment company notice filing (open-end mutual funds)
4. (Not used)
5. Unit investment trust notice filing (fixed portfolio investment companies)

Securities Exemption Codes

6. Request for order of exemption
7. Regulation D (Rule 505 and 506 offerings exempt from SEC registration)
8. Notices (includes filings under several state securities law sections)
9. Confirmation that an exemption is available under law and/or rules
10. Secondary trading request
11. Interpretative opinion request

Miscellaneous

20. Take-over filing
21. Going private filing
22. Solicitation of Interest (testing the waters) filing

Licensing

54-56 Various Licensing requests

Franchise

71. Registration application

75. Interpretative opinion request
76. Confirmation that an exemption is available under law and/or rules

79. Request for order of exemption