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140 Document/Exhibit Types

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Category:
Letters Form-Specific ABS-Specific General Additional Reg. A / A+ Form X-17A-5 Financial Data Non-Document
DescriptionDocument TypeExhibits
In ascending order(click for most-recent)
Letters — Comment Letters & Correspondence (Delayed Release) Top
Comment Letters and Other Letters from the SEC [ a.k.a. UPLOAD ]LETTER136,502
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER701
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP133,426
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE59,691
Part II — Form 1-KPART II14
Parts II & III — Form 1-APART II AND III887
ABS-Specific — Asset-Backed SecuritiesForm-Specific Top
ABS – Asset DataEX-102
ABS – Asset-Related DocumentsEX-103
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3420,195
ABS – Depositor Certifications for Shelf OfferingsEX-36233
ABS – Reports of Compliance with Servicing CriteriaEX-3320,676
ABS – Servicer Compliance StatementsEX-3511,131
ABS – Static PoolsEX-1069
GeneralABS-Specific Top
Annual and Quarterly Reports to Security HoldersEX-1345,374
Articles of Incorporation/Organization and By-LawsEX-3250,140
Certifications — Sarbanes-Oxley Act – Sect. 302EX-31963,452
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32777,107
Code of EthicsEX-1416,110
Consents of Experts and CounselEX-23626,798
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4343,171
Invitations for Competitive BidsEX-261,141
Letters re: Changes in Accounting PrinciplesEX-182,702
Letters re: Changes in Certifying AccountantsEX-1635,202
Letters re: Departures of DirectorsEX-175,875
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-710,875
Letters re: Unaudited Interim Financial InformationEX-1530,816
Material ContractsEX-101,299,803
Mine-Safety DisclosuresEX-952,109
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5252,855
Opinions re: Tax MattersEX-856,331
Other Documents and Statements Furnished to Security HoldersEX-2039,879
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2108,855
Powers of AttorneyEX-24341,730
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,027
Reports Furnished to Security HoldersEX-194,741
Statements re: Computations of Earnings Per ShareEX-1160,865
Statements re: Computations of RatiosEX-12107,794
Statements re: Eligibility of TrusteesEX-2528,997
SubsidiariesEX-21127,755
Underwriting AgreementsEX-1131,505
Voting Trust AgreementsEX-911,968
AdditionalGeneral Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,095,707
Reg. A / A+ — Forms 1-A, 1-K, 1-SA and 1-UAdditional Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER351
Articles of Incorporation/Organization — Form 1-KEX1K2A CHARTER
Articles of Incorporation/Organization — Form 1-SAEX1SA-2A CHARTER1
Articles of Incorporation/Organization — Form 1-UEX1U-2A CHARTER1
By-Laws — Form 1-AEX1A-2B BYLAWS226
By-Laws — Form 1-KEX1K-2B BYLAWS1
By-Laws — Form 1-SAEX1SA-2B BYLAWS
By-Laws — Form 1-UEX1U-2B BYLAWS
Consents for Service — Form 1-AEX1A-14 CNSNT SV13
Consents for Service — Form 1-KEX1K-14 CNSNT SV
Consents for Service — Form 1-SAEX1SA-14 CNSNT SV
Consents for Service — Form 1-UEX1U-14 CNSNT SV
Consents of Experts and Counsel — Form 1-AEX1A-11 CONSENT381
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT8
Consents of Experts and Counsel — Form 1-SAEX1SA-11 CONSENT
Consents of Experts and Counsel — Form 1-UEX1U-11 CONSENT
Escrow Agreements — Form 1-AEX1A-8 ESCW AGMT85
Escrow Agreements — Form 1-KEX1K-8 ESCW AGMT
Escrow Agreements — Form 1-SAEX1SA-8 ESCW AGMT
Escrow Agreements — Form 1-UEX1U-8 ESCW AGMT
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-AEX1A-3 HLDRS RTS143
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-KEX1K-3 HLDRS RTS
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SAEX1SA-3 HLDRS RTS
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-UEX1U-3 HLDRS RTS2
Letters re: Accountants and Accounting Principles — Form 1-AEX1A-9 ACCT LTR9
Letters re: Accountants and Accounting Principles — Form 1-KEX1K-9 ACCT LTR
Letters re: Accountants and Accounting Principles — Form 1-SAEX1SA-9 ACCT LTR
Letters re: Accountants and Accounting Principles — Form 1-UEX1U-9 ACCT LTR1
Material Contracts — Form 1-AEX1A-6 MAT CTRCT754
Material Contracts — Form 1-KEX1K-6 MAT CTRCT3
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT4
Material Contracts — Form 1-UEX1U-6 MAT CTRCT11
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL354
Opinions re: Legality — Form 1-KEX1K-12 OPN CNSL
Opinions re: Legality — Form 1-SAEX1SA-12 OPN CNSL
Opinions re: Legality — Form 1-UEX1U-12 OPN CNSL
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-AEX1A-7 ACQ AGMT12
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-KEX1K-7 ACQ AGMT
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-SAEX1SA-7 ACQ AGMT
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-UEX1U-7 ACQ AGMT
Powers of Attorney — Form 1-AEX1A-10 PWR ATTY3
Powers of Attorney — Form 1-KEX1K-10 PWR ATTY
Powers of Attorney — Form 1-SAEX1SA-10 PWR ATTY
Powers of Attorney — Form 1-UEX1U-10 PWR ATTY
Subscription Agreements — Form 1-AEX1A-4 SUBS AGMT272
Subscription Agreements — Form 1-KEX1K-4 SUBS AGMT
Subscription Agreements — Form 1-SAEX1SA-4 SUBS AGMT
Subscription Agreements — Form 1-UEX1U-4 SUBS AGMT
Testing-the-Waters Materials — Form 1-AEX1A-13 TST WTRS156
Testing-the-Waters Materials — Form 1-KEX1K-13 TST WTRS
Testing-the-Waters Materials — Form 1-SAEX1SA-13 TST WTRS
Testing-the-Waters Materials — Form 1-UEX1U-13 TST WTRS
Underwriting Agreements — Form 1-AEX1A-1 UNDR AGMT81
Underwriting Agreements — Form 1-KEX1K-1 UNDR AGMT
Underwriting Agreements — Form 1-SAEX1SA-1 UNDR AGMT
Underwriting Agreements — Form 1-UEX1U-1 UNDR AGMT
Voting Trust Agreements — Form 1-AEX1A-5 VOTG TRST4
Voting Trust Agreements — Form 1-KEX1K-5 VOTG TRST
Voting Trust Agreements — Form 1-SAEX1SA-5 VOTG TRST
Voting Trust Agreements — Form 1-UEX1U-5 VOTG TRST
Miscellaneous Exhibits, including Press Releases — Form 1-AEX1A-15 ADD EXHB250
Miscellaneous Exhibits, including Press Releases — Form 1-KEX1K-15 ADD EXHB1
Miscellaneous Exhibits, including Press Releases — Form 1-SAEX1SA-15 ADD EXHB
Miscellaneous Exhibits, including Press Releases — Form 1-UEX1U-15 ADD EXHB5
Form X-17A-5 — Annual Financial Reports by Broker-DealersReg. A / A+ Top
Statements:
Statements of Financial ConditionSTMT FIN COND581
Notes to Statements of Financial ConditionSTMT FIN COND NOTES577
Statements of IncomeSTMT INCOME198
Statements of Cash FlowsSTMT CASH FLOW197
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY199
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS18
Notes to Financial StatementsFINAN STMTS NOTES105
Disclosures:
Computations of Net CapitalCOMP NET CAP207
Computations for Determination of Reserve RequirementsCOMP RESERV REQ96
Information re: Possession and Control RequirementsINFO POS CTRL REQ74
Reconciliations (and Statements) re: Material Differences (or None) Between FINRA FOCUS Reports and Computations of Net Capital or Computations for Determination of Reserve RequirementsRECONCIL CAP RESERV12
Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial ConditionSUM UNCONSOLTD SUBS
Compliance ReportsCOMPL RPT13
Exemption ReportsEXEMP RPT211
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO336
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT329
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT14
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT209
Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives DealersANC/OTC AGD PROC40
Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous AuditsMAT INADEQ RPT1
Other DocumentsOTHER223
Financial DataForm X-17A-5 Top
Financial Data Schedules (Pre-XBRL)EX-27604,663
Financial Reports — Form SDR-CCOSDR-FR
XBRL IDEA Reports — Financial Reports & XML FilesR# & XML9,364,644
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL258,861
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON29
XBRL Interactive DataXML FilesEX-101.*1,205,549
XBRL Voluntary DataXML FilesEX-100.*4,434
XBRL Zipped FoldersFolders of XML FilesZIP200,926
Non-DocumentFinancial Data Top
Images, Pictures and GraphsGIF, JPEG & PNG FilesGRAPHIC9,005,568
________
T This Document/Exhibit Type is obsolete.Total: 29,831,431

 
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