Naming Conventions

Securities Registration and Exemption Search

Abbreviations and Securities Naming Conventions

In order to aid in understanding the search results, below is a list of abbreviations that may appear in the filing names:

TR is an abbreviation for TRUST
ASSOC is an abbreviation for ASSOCIATES, ASSOCIATION, ASSOCIATED
CO is an abbreviation for COMPANY, COMPANIES
CORP is an abbreviation for CORPORATION
INC is an abbreviation for INCORPORATED
LTD is an abbreviation for LIMITED
LP is an abbreviation for LIMITED PARTNERSHIP, or L.P., etc
PLC is an abbreviation for PUBLIC LIMITED CORPORATION
PC is an abbreviation for PROFESSIONAL CORPORATION
ST is an abbreviation for SAINT, SAINTS
SC is an abbreviation for SERVICE CORPORATION
TX EX is an abbreviation for TAX EXEMPT, TAX-EXEMPT
& is an abbreviation for AND
Arabic Numbers (0,1,2,3,etc) replace Roman Numerals and numbers that are spelled out, e.g. ‘one, two, three’

Also, if you are searching for filing names that include the first and last name of a person, your search term should be entered as LastName FirstName. For example, enter Benjamin Franklin Fund as Franklin Benjamin Fund.

NOTE: as of October 3, 2018 DFI stopped implementing these naming conventions – going forward, all filings appear exactly as received. However, the above naming conventions may prove helpful when searching for filings received prior to October 2018.