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 Category:
 
   Letters   Form-Specific Documents   General Exhibits   ABS Exhibits   Additional Exhibits   Reg. A/A+ Exhibits   Alternative Trading System Exhibits   Investment Company Exhibits   Broker-Dealer Reports   Financials   Graphics
 
 • Description Doc. / Exh. TypeDocuments
In ascending order(click for most-recent) 
 
 Letters
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SEC Comment Letters & Correspondence   (Release delayed)
  Top 
 
 • Comment and Other Letters from the SEC
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  [ a.k.a. Filing UPLOAD ]
 LETTER158,019 
 • Comment and Other Letters from the SEC (PDF Text)
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  [ a.k.a. LETTER↑ ]
 TEXT-EXTRACT9,044 
 • Comment-Response and Other Letters to the SEC
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  [ a.k.a. COVER↓ ]
 CORRESP201,586 
 • Comment-Response and Cover Letters to the SEC
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  [ a.k.a. Filing CORRESP ]
 COVER30,675 
 • SEC Staff Actions – SEC Orders
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  [ a.k.a. Filing SEC ACTION ]
 ORDER205 
 • SEC Staff Letters
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  [ a.k.a. Filing SEC LETTER ]
 STAFF LETTER4 
 • SEC Staff Letters re: Redacted Exhibits
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  [ a.k.a. Filing SEC LETTER ]
 REDACTED EXHIBIT568 
 • SEC Staff Letters re: Serious Deficiencies
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  [ a.k.a. Filing SEC LETTER ]
 SERIOUS DEFICIENCIES10 
 • SEC Staff Letters re: Shareholder Proposals
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  [ a.k.a. Filing SEC LETTER ]
 14A-81 
 
 Form-Specific Documents
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  (Form-Specific Exhibits
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are ↓Below)
Letters   Top 
 
 • Alternative Trading Systems (NMS Stock) – Part II Items — Form ATS-N 
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 ATS-N PART2 ITM8 
 • Alternative Trading Systems (NMS Stock) – Part III Items — Form ATS-N 
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 ATS-N PART3 ITM48 
 • Annual Reports – Part II — Reg. A – Form 1-K 
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 PART II418 
 • Offering Statements – Parts II and III — Reg. A/A+ – Form 1-A 
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 PART II AND III3,894 
 • Portfolio Holdings Schedules — Form N-PORT
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  [ formerly Filing NPORT-EX ]
 NPORT-EX24,407 
 • Securities Holdings Info Tables — Form 13F
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  (XMLª Files)
 INFORMATION TABLE×131,585 
 
 General Exhibits
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  (Regs.
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S-K & S-B)
Form-Specific Documents   Top 
 
 • Annual and Quarterly Reports to Security Holders 
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 EX-1351,589 
 • Articles of Incorporation/Organization and Bylaws 
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 EX-3277,599 
 • Codes of Ethics 
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 EX-1417,574 
 • Consents of Experts and Counsel 
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 EX-23693,080 
 • Instruments, such as Indentures, Defining the Rights of Security Holders 
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 EX-4391,113 
 • Invitations for Competitive Bids 
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 EX-261,373 
 • Letters re: Departures of Directors 
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 EX-176,369 
 • Material Contracts 
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 EX-101,462,062 
 • Mine-Safety Disclosures 
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 EX-953,505 
 • Mining Disclosures 
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 EX-9619 
 • Opinions of Counsel re: Legality 
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 EX-5287,166 
 • Opinions of Counsel re: Tax Matters 
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 EX-862,563 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions 
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 EX-2120,224 
 • Powers of Attorney 
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 EX-24417,369 
 • Published Reports re: Matters Submitted to Votes of Security Holders 
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 EX-224,213 
 • Reports Furnished to Security Holders 
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 EX-194,796 
 • Statements re: Eligibility of Trustees — Forms T-1 & T-2 
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 EX-2531,566 
 • Subsidiaries Lists 
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 EX-21146,417 
 • Underwriting Agreements
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and Conflict Minerals Reports
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  (and mislabeled “1st Exhibits”)
 EX-1152,063 
 • Voting Trust Agreements 
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 EX-912,222 
 • Other Documents and Statements Furnished to Security Holders 
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 EX-2040,008 
 
 ABS Exhibits
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— Asset-Backed Securities
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General Exhibits   Top 
 
 • Asset Data
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  (some are very large XMLª Files)
 EX-102°11,927 
 • Asset-Related Documents
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  (XMLª Files)
 EX-103°11,920 
 • Attestation Reports on Assessments of Compliance with Servicing Criteria 
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 EX-3435,525 
 • Depositor Certifications for Shelf Offerings 
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 EX-36821 
 • Reports of Compliance with Servicing Criteria 
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 EX-3336,075 
 • Servicer Compliance Statements 
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 EX-3520,925 
 • Static Pools 
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 EX-1069 
 
 Additional Exhibits
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  (Miscellaneous & Form-Specific)
ABS Exhibits   Top 
 
 • Miscellaneous Exhibits, such as Press Releases
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 EX-993,694,328 
 • EX-99.*  Form-Specific Exhibits:   (many apply to multiple Forms
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— additional Form-Specific Exhibits
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are ↓Below)
 
 EX-99.1 CHARTER 
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 *.15 OTH FIN ST 
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 *.C6 OTHER OPIN 
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 *.E5 NRSRO 
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 *.2 BYLAWS 
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 *.16 PWR OF ATTY 
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 *.CERT 
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 *.E6 NRSRO 
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 *.2 OPIN COUNSEL 
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 *.17 (as approp) 
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 *.CODE ETH 
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 *.E7 NRSRO 
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 *.2A CHARTER 
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 *.31 MA-NR 
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 *.d ADVSR CONTR 
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 *.E8 NRSRO 
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 *.2B BYLAWS 
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 *.32 APP CRT DOC 
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 *.d CONTRACTS 
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 *.E9 NRSRO 
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 *.2C VOTING TRST 
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 *.33 APP REG DOC 
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 *.e APPLICATIONS 
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 *.A SDR SUMMARY×  Σ
 *.2D HOLDERS RTS 
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 *.34 OPIN COUNSL 
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 *.e UNDR CONTR 
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 *.C SDR×  16 
 *.2E DIV REIN PL 
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 *.35 OTHER 
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 *.f BONUS PROFIT 
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 *.D SDR  17 
 *.2G ADVSR CONTR 
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 *.906 CERT 
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 *.f DEP CERT/BYL 
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 *.E SDR  18 
 *.2H DISTR CONTR 
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 *.a BD-DIR-RESOL 
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 *.g CUST AGREEMT 
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 *.F SDR  19 
 *.2I O&D BENEFTS 
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 *.a CHARTER 
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 *.g REINS CONTRT 
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 *.G SDR×  20 
 *.2J CUST CONTR 
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 *.A1 INDNTR ORGN 
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 *.h OTH MAT CONT 
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 *.I SDR CNTRCT 
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 *.2K OTH CONTRCT 
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 *.A2 INDNTR PMT 
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 *.h PARTIC AGREE 
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 *.I SDR SUMMARY×  Σ
 *.2L OPIN COUNSL 
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 *.A3A DIST CONTR 
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 *.i ADMIN CONTRT 
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 *.J SDR  23 
 *.2M CNSNT SRVCE 
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 *.A3B DEALER AGR 
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 *.i LEGAL OPININ 
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 *.L SDR  25 
 *.2N OTH CONSENT 
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 *.A3C SCH COMMIS 
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 *.IND PUB ACCT  Δ     *.L SDR.CAL× 
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 *.2O OTH FIN ST 
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 *.A4 OTHER AGRMT 
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 *.j OTH MAT CONT 
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 *.L SDR.DEF× 
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 *.2P STOCK LTR 
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 *.A5 FORM/SECRTY 
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 *.j OTHER OPININ 
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 *.L SDR.INS× 
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 *.2Q RETRMT PLAN 
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 *.A6 CERT/BYLAWS 
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 *.k LEGAL OPININ 
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 *.L SDR.LAB× 
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 *.2R CODE ETH 
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 *.A7 INSR POLICY 
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 *.k OMT FIN STAT 
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 *.L SDR.PRE× 
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 *.3 OTHER FIN ST 
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 *.A8 DEPOSIT AGR 
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 *.l ACTUARIAL OP 
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 *.L SDR.SCH× 
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 *.3 VOTING TRUST 
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 *.A9 OTHER CONTR 
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 *.l INT CAP AGRE 
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 *.M SDR  26 
 *.4 ACQ AGREEMNT 
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 *.A10 PERIODC PP 
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 *.m 12B-1 PLAN 
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 *.N SDR  27 
 *.4 UNREG ISSUER 
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 *.A11 CODE ETH 
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 *.m CALCULATION 
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 *.U SDR  34 
 *.5 HOLDERS RTS 
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 *.b BYLAWS 
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 *.n 18F-3 PLAN 
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 *.V SDR  35 
 *.6 ADVSER CONTR 
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 *.b CUST-AGRMETS 
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 *.n OTH OPINIONS 
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 *.W SDR  36 
 *.7 DISTR CONTR 
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 *.B1 NOTIC/SHLDR 
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 *.o OMITD FIN ST 
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 *.X SDR  37 
 *.8 O&D BENEFTS 
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 *.B2 ANRPT/SHLDR 
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 *.p CODE ETH 
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 *.Y SDR  38 
 *.9 CUST CONTRCT 
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 *.c HOLDERS RTS 
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 *.p INIT CAP AGR 
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 *.AA SDR  40 
 *.10 12B1 PLAN 
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 *.c UNDER CONTRT 
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 *.q REDEEM EXEMP 
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 *.BB SDR  41 
 *.11 OPIN COUNSL 
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 *.C1 ACCT CONSNT 
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 *.Rule23C1 
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 *.CC SDR  42 
 *.12 REV RULING 
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 *.C2 EVAL CONSNT 
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 *.E1 NRSRO 
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 *.DD SDR  43 
 *.12 TAX OPINION 
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 *.C3 RTG AGY OPN 
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 *.E2 NRSRO 
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 *.EE SDR  44 
 *.13 OTH CONTRCT 
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 *.C4 TAX OPINION 
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 *.E3 NRSRO 
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 *.GG SDR  46 
 *.14 OTH CONSENT 
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 *.C5 REV RULING 
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 *.E4 NRSRO 
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 *.HH SDR  47 
 
 Reg. A/A+ Exhibits
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— Forms 1-A,  1-K,  1-SA & 1-U
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Additional Exhibits   Top 
 
 • Articles of Incorporation/Organization — Form 1-A 
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 EX1A-2A CHARTER1,876 
 • Articles of Incorporation/Organization — Form 1-K 
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 EX1K-2A CHARTER18 
 • Articles of Incorporation/Organization — Form 1-SA 
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 EX1SA-2A CHARTER14 
 • Articles of Incorporation/Organization — Form 1-U 
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 EX1U-2A CHARTER11 
 • Bylaws — Form 1-A 
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 EX1A-2B BYLAWS985 
 • Bylaws — Form 1-K 
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 EX1K-2B BYLAWS5 
 • Bylaws — Form 1-SA 
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 EX1SA-2B BYLAWS4 
 • Bylaws — Form 1-U 
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 EX1U-2B BYLAWS5 
 • Consents for Service — Form 1-A 
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 EX1A-14 CNSNT SV51 
 • Consents for Service — Form 1-K 
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 EX1K-14 CNSNT SV1 
 • Consents of Experts and Counsel — Form 1-A 
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 EX1A-11 CONSENT2,120 
 • Consents of Experts and Counsel — Form 1-K 
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 EX1K-11 CONSENT136 
 • Consents of Experts and Counsel — Form 1-SA 
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 EX1SA-11 CONSENT6 
 • Consents of Experts and Counsel — Form 1-U 
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 EX1U-11 CONSENT1 
 • Escrow Agreements — Form 1-A 
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 EX1A-8 ESCW AGMT475 
 • Escrow Agreements — Form 1-K 
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 EX1K-8 ESCW AGMT4 
 • Escrow Agreements — Form 1-SA 
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 EX1SA-8 ESCW AGMT3 
 • Escrow Agreements — Form 1-U 
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 EX1U-8 ESCW AGMT8 
 • Instruments Defining the Rights of Security Holders — Form 1-A 
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 EX1A-3 HLDRS RTS969 
 • Instruments Defining the Rights of Security Holders — Form 1-K 
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 EX1K-3 HLDRS RTS19 
 • Instruments Defining the Rights of Security Holders — Form 1-SA 
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 EX1SA-3 HLDRS RTS8 
 • Instruments Defining the Rights of Security Holders — Form 1-U 
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 EX1U-3 HLDRS RTS19 
 • Letters re: Certifying Accountants — Form 1-A 
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 EX1A-9 ACCT LTR51 
 • Letters re: Certifying Accountants — Form 1-K 
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 EX1K-9 ACCT LTR3 
 • Letters re: Certifying Accountants — Form 1-SA 
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 EX1SA-9 ACCT LTR8 
 • Letters re: Certifying Accountants — Form 1-U 
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 EX1U-9 ACCT LTR24 
 • Material Contracts — Form 1-A 
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 EX1A-6 MAT CTRCT4,635 
 • Material Contracts — Form 1-K 
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 EX1K-6 MAT CTRCT154 
 • Material Contracts — Form 1-SA 
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 EX1SA-6 MAT CTRCT98 
 • Material Contracts — Form 1-U 
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 EX1U-6 MAT CTRCT222 
 • Opinions of Counsel re: Legality — Form 1-A 
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 EX1A-12 OPN CNSL1,877 
 • Opinions of Counsel re: Legality — Form 1-K 
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 EX1K-12 OPN CNSL2 
 • Opinions of Counsel re: Legality — Form 1-SA 
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 EX1SA-12 OPN CNSL4 
 • Opinions of Counsel re: Legality — Form 1-U 
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 EX1U-12 OPN CNSL1 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-A 
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 EX1A-7 ACQ AGMT92 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-K 
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 EX1K-7 ACQ AGMT1 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-SA 
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 EX1SA-7 ACQ AGMT2 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-U 
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 EX1U-7 ACQ AGMT5 
 • Powers of Attorney — Form 1-A 
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 EX1A-10 PWR ATTY48 
 • Powers of Attorney — Form 1-K 
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 EX1K-10 PWR ATTY1 
 • Powers of Attorney — Form 1-U 
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 EX1U-10 PWR ATTY1 
 • Subscription Agreements — Form 1-A 
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 EX1A-4 SUBS AGMT1,569 
 • Subscription Agreements — Form 1-K 
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 EX1K-4 SUBS AGMT4 
 • Subscription Agreements — Form 1-SA 
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 EX1SA-4 SUBS AGMT14 
 • Subscription Agreements — Form 1-U 
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 EX1U-4 SUBS AGMT42 
 • Test-the-Waters Materials — Form 1-A 
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 EX1A-13 TST WTRS671 
 • Test-the-Waters Materials — Form 1-K 
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 EX1K-13 TST WTRS1 
 • Test-the-Waters Materials — Form 1-U 
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 EX1U-13 TST WTRS3 
 • Underwriting Agreements — Form 1-A 
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 EX1A-1 UNDR AGMT538 
 • Underwriting Agreements — Form 1-K 
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 EX1K-1 UNDR AGMT1 
 • Underwriting Agreements — Form 1-SA 
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 EX1SA-1 UNDR AGMT2 
 • Underwriting Agreements — Form 1-U 
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 EX1U-1 UNDR AGMT13 
 • Voting Trust Agreements — Form 1-A 
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 EX1A-5 VOTG TRST35 
 • Miscellaneous Exhibits, such as Press Releases
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 — Form 1-A
 EX1A-15 ADD EXHB1,534 
 • Miscellaneous Exhibits, such as Press Releases
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 — Form 1-K
 EX1K-15 ADD EXHB2 
 • Miscellaneous Exhibits, such as Press Releases
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 — Form 1-SA
 EX1SA-15 ADD EXHB21 
 • Miscellaneous Exhibits, such as Press Releases
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 — Form 1-U
 EX1U-15 ADD EXHB291 
 
 Alternative Trading System Exhibits
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— Form ATS-N – NMS Stock
Reg. A/A+ Exhibits   Top 
 
 • Cover Pages 
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 COVER PAGE×45 
 • Direct Owners and Executive Officers — Form BD – Sch. A 
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 ATS-N EX-1 SCHD A BD137 
 • Indirect Owners — Form BD – Sch. B 
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 ATS-N EX-2 SCHD B BD136 
 • Redline Changes — Form BD – Sch. A & B  Δ ATS-N EX-3 REDLINE118 
 • Aggregate Statistics 
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 ATS-N EX-4 AGG STATS57 
 • Category Metrics 
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 ATS-N EX-5 CATG MTRC41 
 
 Investment Company Exhibits
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— Form N-CEN – Annual Report
Alternative Trading System Exhibits   Top 
 
 • Changes in Accounting Principles and Practices  Δ CHG ACCT PRINCIPLES4 
 • Codes of Ethics 
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 CODE OF ETHICS2 
 • Independent Public Accountants’ Reports on Internal Control 
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 INTERNAL CONTROL RPT7,097 
 • Info Filed Pursuant to Exemptive Orders 
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 EXEMPT ORDER INFO723 
 • Instruments Defining the Rights of Security Holders 
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 INST DEFINING RIGHTS133 
 • Investment Advisor Agreements 
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 ADVISORY CONTRACTS376 
 • Late-Filings Reports — Reg. S-K – Item 405 
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 ITEM 405 REG S-K65 
 • Legal Proceedings 
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 LEGAL PROCEEDINGS174 
 • Material Amendments to Organizational Documents 
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 MATERIAL AMENDMENTS276 
 • Provisions of Financial Support 
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 FINANCIAL SUPPORT31 
 • Other Required Info 
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 OTHER REQUIRED INFO291 
 
 Broker-Dealer Reports
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— Form X-17A-5 – Annual Financial Report
Investment Company Exhibits   Top 
 
 Statements: 
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 • Annual Financial Reports (Full) 
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 FULL4,161 
 • Statements of Financial Condition 
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 STMT FIN COND1,009 
 • Notes to Statements of Financial Condition 
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 STMT FIN COND NOTES930 
 • Statements of Income 
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 STMT INCOME279 
 • Statements of Cash Flows 
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 STMT CASH FLOW280 
 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity 
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 STMT CHG SH EQY283 
 • Statements of Changes in Liabilities Subordinated to Claims of Creditors 
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 STMT CHG SUB LIABS25 
 • Notes to Financial Statements 
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 FINAN STMTS NOTES142 
 
 Disclosures: 
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 • Computations of Net Capital 
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 COMP NET CAP292 
 • Computations for Determination of Reserve Requirements 
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 COMP RESERV REQ141 
 • Info re: Possession and Control Requirements 
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 INFO POS CTRL REQ110 
 • Reconciliations (and Statements) re: Material Differences (or None) Between FINRA FOCUS Reports and Computations of Net Capital or Computations for Determination of Reserve Requirements 
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 RECONCIL CAP RESERV17 
 • Compliance Reports 
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 COMPL RPT54 
 • Exemption Reports 
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 EXEMP RPT333 
 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO525 
 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements 
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 ACCT RPT FIN RPT529 
 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports 
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 ACCT RPT COMPL RPT53 
 • Accountants’ Reports re: Reviews of Exemption Reports 
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 ACCT RPT EXEMP RPT326 
 • Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers 
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 ANC/OTC AGD PROC52 
 • Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous Audits 
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 MAT INADEQ RPT1 
 • Other Disclosures 
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 OTHER416 
 
 Financials
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— Financial Reports, Exhibits, Workbooks & Data
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Broker-Dealer Reports   Top 
 
 • Certifications — §302 – SOA’02 
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 EX-311,144,561 
 • Certifications — §906 – SOA’02 
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 EX-32919,553 
 • Letters re: Changes in Accounting Principles 
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 EX-182,865 
 • Letters re: Changes in Certifying Accountants 
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 EX-1638,246 
 • Letters re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews 
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 EX-711,585 
 • Letters re: Unaudited Interim Financial Info 
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 EX-1535,391 
 • Statements re: Computations of Earnings Per Share 
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 EX-1161,477 
 • Statements re: Computations of Ratios 
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 EX-12120,343 
 • IDEA Financial Reports
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  (IDEAª, XMLª, XBRLª or iXBRLª Files)
 R#  &  XML°15,578,802 
 • IDEA Workbooks of Financial Reports
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  (IDEAª Excel .xls or .xlsx Files)
 EXCEL382,392 
 • XBRL Data
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  (XBRLª or iXBRLª Files)
 EX-101.*×1,956,694 
 • XBRL Instances as JavaScript Object Notation Data
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  (iXBRLª JSONª Files)
 JSON39,198 
 • XBRL Zipped Folders
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  (.zip Folders of XBRLª or iXBRLª Files)
 ZIP337,673 
 
 Graphics
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Financials   Top 
 
 • Photos, Images and Graphs
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  (.jpg/.jpeg, .gif or .png Files)
 GRAPHIC12,999,661 
 
  Totals   42,221,705 
____________
° May be an XMLª, XBRLª or iXBRLª File.         (Most XMLª Files are rendered by using the SEC’s XSLTª Stylesheets –
× Must be an XMLª, XBRLª or iXBRLª File.         XBRLª Files are rendered by the SEC as IDEAª ‘R#’ Financial Reports.)
ª Acronyms: 
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      XML:  eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard.  ?xml?
      XBRL:  eXtensible Business Reporting Language — A financial-data-interchange standard, based on XML.  
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      iXBRL:  Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard.  i
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      JSON:  JavaScript Object Notation — A lightweight data-interchange standard, used to encode iXBRL data.  
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      XSLT:  eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML.  
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      IDEA:  Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data.  (See our XBRL page info.)  
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            Show obsolete Types
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