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141 Document/Exhibit Types

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Category:
Letters Form-Specific ABS-Specific Exhibits General Exhibits Additional Exhibits Reg. A / A+ Exhibits Form X-17A-5 Financial Data Non-Document Graphics Totals
DescriptionDoc. / Exh. TypeDocuments
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 ]LETTER142,178
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER726
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP141,179
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE73,704
Part II — Form 1-KPART II74
Parts II & III — Form 1-APART II AND III1,419
ABS-Specific Exhibits — Asset-Backed SecuritiesForm-Specific Top
ABS – Asset DataEX-1021
ABS – Asset-Related DocumentsEX-103
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3423,223
ABS – Depositor Certifications for Shelf OfferingsEX-36357
ABS – Reports of Compliance with Servicing CriteriaEX-3323,696
ABS – Servicer Compliance StatementsEX-3513,533
ABS – Static PoolsEX-1069
General ExhibitsABS-Specific Exhibits Top
Annual and Quarterly Reports to Security HoldersEX-1346,857
Articles of Incorporation/Organization and By-LawsEX-3256,569
Certifications — Sarbanes-Oxley Act – Sect. 302EX-311,004,130
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32809,218
Code of EthicsEX-1416,402
Consents of Experts and CounselEX-23642,964
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4352,530
Invitations for Competitive BidsEX-261,195
Letters re: Changes in Accounting PrinciplesEX-182,735
Letters re: Changes in Certifying AccountantsEX-1635,976
Letters re: Departures of DirectorsEX-176,015
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-711,060
Letters re: Unaudited Interim Financial InformationEX-1531,842
Material ContractsEX-101,335,410
Mine-Safety DisclosuresEX-952,411
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5260,690
Opinions re: Tax MattersEX-857,809
Other Documents and Statements Furnished to Security HoldersEX-2039,905
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2111,534
Powers of AttorneyEX-24358,629
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,053
Reports Furnished to Security HoldersEX-194,753
Statements re: Computations of Earnings Per ShareEX-1161,077
Statements re: Computations of RatiosEX-12111,903
Statements re: Eligibility of TrusteesEX-2529,556
SubsidiariesEX-21132,209
Underwriting AgreementsEX-1136,038
Voting Trust AgreementsEX-912,034
Additional ExhibitsGeneral Exhibits Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,233,125
Reg. A / A+ Exhibits — Forms 1-A, 1-K, 1-SA and 1-UAdditional Exhibits Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER561
Articles of Incorporation/Organization — Form 1-KEX1K-2A CHARTER2
Articles of Incorporation/Organization — Form 1-SAEX1SA-2A CHARTER3
Articles of Incorporation/Organization — Form 1-UEX1U-2A CHARTER2
By-Laws — Form 1-AEX1A-2B BYLAWS362
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 SV17
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 CONSENT688
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT28
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 AGMT163
Escrow Agreements — Form 1-KEX1K-8 ESCW AGMT
Escrow Agreements — Form 1-SAEX1SA-8 ESCW AGMT1
Escrow Agreements — Form 1-UEX1U-8 ESCW AGMT2
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-AEX1A-3 HLDRS RTS251
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-KEX1K-3 HLDRS RTS5
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SAEX1SA-3 HLDRS RTS1
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-UEX1U-3 HLDRS RTS3
Letters re: Accountants and Accounting Principles — Form 1-AEX1A-9 ACCT LTR20
Letters re: Accountants and Accounting Principles — Form 1-KEX1K-9 ACCT LTR1
Letters re: Accountants and Accounting Principles — Form 1-SAEX1SA-9 ACCT LTR2
Letters re: Accountants and Accounting Principles — Form 1-UEX1U-9 ACCT LTR2
Material Contracts — Form 1-AEX1A-6 MAT CTRCT1,423
Material Contracts — Form 1-KEX1K-6 MAT CTRCT30
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT12
Material Contracts — Form 1-UEX1U-6 MAT CTRCT41
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL582
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 AGMT32
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 AGMT2
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-UEX1U-7 ACQ AGMT
Powers of Attorney — Form 1-AEX1A-10 PWR ATTY7
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 AGMT441
Subscription Agreements — Form 1-KEX1K-4 SUBS AGMT
Subscription Agreements — Form 1-SAEX1SA-4 SUBS AGMT4
Subscription Agreements — Form 1-UEX1U-4 SUBS AGMT2
Testing-the-Waters Materials — Form 1-AEX1A-13 TST WTRS238
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 AGMT180
Underwriting Agreements — Form 1-KEX1K-1 UNDR AGMT
Underwriting Agreements — Form 1-SAEX1SA-1 UNDR AGMT
Underwriting Agreements — Form 1-UEX1U-1 UNDR AGMT3
Voting Trust Agreements — Form 1-AEX1A-5 VOTG TRST11
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 EXHB434
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 EXHB12
Form X-17A-5 — Annual Financial Reports by Broker-DealersReg. A / A+ Exhibits Top
Statements:
Full Annual Financial ReportsFULL724
Statements of Financial ConditionSTMT FIN COND721
Notes to Statements of Financial ConditionSTMT FIN COND NOTES697
Statements of IncomeSTMT INCOME240
Statements of Cash FlowsSTMT CASH FLOW239
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY241
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS21
Notes to Financial StatementsFINAN STMTS NOTES132
Disclosures:
Computations of Net CapitalCOMP NET CAP251
Computations for Determination of Reserve RequirementsCOMP RESERV REQ125
Information re: Possession and Control RequirementsINFO POS CTRL REQ99
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 RESERV16
Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial ConditionSUM UNCONSOLTD SUBS
Compliance ReportsCOMPL RPT23
Exemption ReportsEXEMP RPT263
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO399
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT398
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT24
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT263
Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives DealersANC/OTC AGD PROC44
Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous AuditsMAT INADEQ RPT1
Other DocumentsOTHER290
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# & XML10,638,189
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL280,541
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON224
XBRL Interactive DataXML FilesEX-101.*1,354,514
XBRL Interactive Data (Voluntary)XML FilesEX-100.*4,451
XBRL Zipped FoldersFolders of XML FilesZIP225,996
Non-Document GraphicsFinancial Data Top
Images, Pictures and GraphsGIF, JPEG & PNG FilesGRAPHIC9,834,491
________
T This Document/Exhibit Type is obsolete. Totals 32,495,414

 
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