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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 ]LETTER134,641
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER700
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP131,251
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE55,202
Part II — Form 1-KPART II11
Parts II & III — Form 1-APART II AND III703
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-3420,114
ABS – Depositor Certifications for Shelf OfferingsEX-36189
ABS – Reports of Compliance with Servicing CriteriaEX-3320,593
ABS – Servicer Compliance StatementsEX-3511,073
ABS – Static PoolsEX-1069
GeneralABS-Specific Top
Annual and Quarterly Reports to Security HoldersEX-1345,279
Articles of Incorporation/Organization and By-LawsEX-3247,947
Certifications — Sarbanes-Oxley Act – Sect. 302EX-31950,543
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32766,661
Code of EthicsEX-1416,070
Consents of Experts and CounselEX-23624,060
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4340,802
Invitations for Competitive BidsEX-261,116
Letters re: Changes in Accounting PrinciplesEX-182,695
Letters re: Changes in Certifying AccountantsEX-1635,000
Letters re: Departures of DirectorsEX-175,849
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-710,846
Letters re: Unaudited Interim Financial InformationEX-1530,643
Material ContractsEX-101,290,915
Mine-Safety DisclosuresEX-952,013
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5251,059
Opinions re: Tax MattersEX-856,028
Other Documents and Statements Furnished to Security HoldersEX-2039,873
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2108,136
Powers of AttorneyEX-24338,283
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,024
Reports Furnished to Security HoldersEX-194,739
Statements re: Computations of Earnings Per ShareEX-1160,830
Statements re: Computations of RatiosEX-12107,054
Statements re: Eligibility of TrusteesEX-2528,876
SubsidiariesEX-21127,365
Underwriting AgreementsEX-1130,694
Voting Trust AgreementsEX-911,952
AdditionalGeneral Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,060,251
Reg. A / A+ — Forms 1-A, 1-K, 1-SA and 1-UAdditional Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER265
Articles of Incorporation/Organization — Form 1-KEX1K2A CHARTER
Articles of Incorporation/Organization — Form 1-SAEX1SA-2A CHARTER
Articles of Incorporation/Organization — Form 1-UEX1U-2A CHARTER
By-Laws — Form 1-AEX1A-2B BYLAWS182
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 SV8
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 CONSENT321
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT4
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 AGMT67
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 RTS122
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 RTS
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 LTR
Material Contracts — Form 1-AEX1A-6 MAT CTRCT625
Material Contracts — Form 1-KEX1K-6 MAT CTRCT3
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT1
Material Contracts — Form 1-UEX1U-6 MAT CTRCT1
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL279
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 AGMT8
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 AGMT220
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 WTRS117
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 AGMT55
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 EXHB191
Miscellaneous Exhibits, including Press Releases — Form 1-KEX1K-15 ADD EXHB
Miscellaneous Exhibits, including Press Releases — Form 1-SAEX1SA-15 ADD EXHB
Miscellaneous Exhibits, including Press Releases — Form 1-UEX1U-15 ADD EXHB3
Form X-17A-5 — Annual Financial Reports by Broker-DealersReg. A / A+ Top
Statements:
Statements of Financial ConditionSTMT FIN COND568
Notes to Statements of Financial ConditionSTMT FIN COND NOTES564
Statements of IncomeSTMT INCOME195
Statements of Cash FlowsSTMT CASH FLOW194
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY196
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS16
Notes to Financial StatementsFINAN STMTS NOTES103
Disclosures:
Computations of Net CapitalCOMP NET CAP204
Computations for Determination of Reserve RequirementsCOMP RESERV REQ95
Information re: Possession and Control RequirementsINFO POS CTRL REQ72
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 RESERV11
Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial ConditionSUM UNCONSOLTD SUBS
Compliance ReportsCOMPL RPT11
Exemption ReportsEXEMP RPT208
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO325
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT325
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT12
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT206
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 DocumentsOTHER222
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# & XML9,008,239
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL252,109
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON8
XBRL Interactive DataXML FilesEX-101.*1,161,188
XBRL Voluntary DataXML FilesEX-100.*4,434
XBRL Zipped FoldersFolders of XML FilesZIP193,504
Non-DocumentFinancial Data Top
Images, Pictures and GraphsGRAPHIC8,818,708
________
T This Document/Exhibit Type is obsolete.Total: 29,135,835

 
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