SEC Info
HomeSearchMy InterestsHelpSign InPlease Sign In

141 Document/Exhibit Types

To see Recent Filings of Selected Document/Exhibit Types...     [ or Document/Filing Types ]

Choose the  Document Types  in Filings you wish to list, then click on this button:
 (To view the most-recent Filing containing a Doc. / Exh., right-click on the right-most column.) 



Category:
Letters Form-Specific ABS-Specific Exhibits General Exhibits Additional Exhibits Reg. A / A+ Exhibits Form X-17A-5 Financial Data Non-Document Graphics
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 ]LETTER140,339
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER712
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP138,697
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE69,054
Part II — Form 1-KPART II65
Parts II & III — Form 1-APART II AND III1,242
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-3423,179
ABS – Depositor Certifications for Shelf OfferingsEX-36321
ABS – Reports of Compliance with Servicing CriteriaEX-3323,651
ABS – Servicer Compliance StatementsEX-3513,511
ABS – Static PoolsEX-1069
General ExhibitsABS-Specific Exhibits Top
Annual and Quarterly Reports to Security HoldersEX-1346,720
Articles of Incorporation/Organization and By-LawsEX-3254,843
Certifications — Sarbanes-Oxley Act – Sect. 302EX-31991,340
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32798,949
Code of EthicsEX-1416,339
Consents of Experts and CounselEX-23639,504
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4350,042
Invitations for Competitive BidsEX-261,188
Letters re: Changes in Accounting PrinciplesEX-182,729
Letters re: Changes in Certifying AccountantsEX-1635,755
Letters re: Departures of DirectorsEX-175,991
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-711,018
Letters re: Unaudited Interim Financial InformationEX-1531,624
Material ContractsEX-101,326,175
Mine-Safety DisclosuresEX-952,313
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5258,497
Opinions re: Tax MattersEX-857,453
Other Documents and Statements Furnished to Security HoldersEX-2039,899
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2110,688
Powers of AttorneyEX-24354,660
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,048
Reports Furnished to Security HoldersEX-194,749
Statements re: Computations of Earnings Per ShareEX-1160,974
Statements re: Computations of RatiosEX-12111,034
Statements re: Eligibility of TrusteesEX-2529,376
SubsidiariesEX-21131,804
Underwriting AgreementsEX-1135,012
Voting Trust AgreementsEX-912,016
Additional ExhibitsGeneral Exhibits Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,195,661
Reg. A / A+ Exhibits — Forms 1-A, 1-K, 1-SA and 1-UAdditional Exhibits Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER473
Articles of Incorporation/Organization — Form 1-KEX1K-2A CHARTER2
Articles of Incorporation/Organization — Form 1-SAEX1SA-2A CHARTER1
Articles of Incorporation/Organization — Form 1-UEX1U-2A CHARTER2
By-Laws — Form 1-AEX1A-2B BYLAWS311
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 SV16
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 CONSENT565
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT25
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 AGMT126
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 RTS199
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 RTS
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 LTR16
Letters re: Accountants and Accounting Principles — Form 1-KEX1K-9 ACCT LTR1
Letters re: Accountants and Accounting Principles — Form 1-SAEX1SA-9 ACCT LTR1
Letters re: Accountants and Accounting Principles — Form 1-UEX1U-9 ACCT LTR1
Material Contracts — Form 1-AEX1A-6 MAT CTRCT1,145
Material Contracts — Form 1-KEX1K-6 MAT CTRCT30
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT6
Material Contracts — Form 1-UEX1U-6 MAT CTRCT40
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL507
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 AGMT25
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 ATTY4
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 AGMT361
Subscription Agreements — Form 1-KEX1K-4 SUBS AGMT
Subscription Agreements — Form 1-SAEX1SA-4 SUBS AGMT3
Subscription Agreements — Form 1-UEX1U-4 SUBS AGMT2
Testing-the-Waters Materials — Form 1-AEX1A-13 TST WTRS192
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 AGMT141
Underwriting Agreements — Form 1-KEX1K-1 UNDR AGMT
Underwriting Agreements — Form 1-SAEX1SA-1 UNDR AGMT
Underwriting Agreements — Form 1-UEX1U-1 UNDR AGMT2
Voting Trust Agreements — Form 1-AEX1A-5 VOTG TRST10
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 EXHB340
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 EXHB11
Form X-17A-5 — Annual Financial Reports by Broker-DealersReg. A / A+ Exhibits Top
Statements:
Full Annual Financial ReportsFULL691
Statements of Financial ConditionSTMT FIN COND715
Notes to Statements of Financial ConditionSTMT FIN COND NOTES691
Statements of IncomeSTMT INCOME238
Statements of Cash FlowsSTMT CASH FLOW237
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY239
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS21
Notes to Financial StatementsFINAN STMTS NOTES131
Disclosures:
Computations of Net CapitalCOMP NET CAP249
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 RPT22
Exemption ReportsEXEMP RPT262
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO395
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT396
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT23
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT262
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 DocumentsOTHER287
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# & XML10,280,548
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL273,640
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON146
XBRL Interactive DataXML FilesEX-101.*1,309,213
XBRL Voluntary DataXML FilesEX-100.*4,451
XBRL Zipped FoldersFolders of XML FilesZIP218,376
Non-Document GraphicsFinancial Data Top
Images, Pictures and GraphsGIF, JPEG & PNG FilesGRAPHIC9,622,595
________
T This Document/Exhibit Type is obsolete.Total: 31,767,367

 
Top

Copyright 2017 Fran Finnegan & Company. All Rights Reserved.
AboutPrivacyRedactionsHelp — Wed, 28 Jun 03:40:34.0 GMT