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156 Document/Exhibit Types

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Category:
Letters Form-Specific Documents General Exhibits ABS Exhibits Additional Exhibits Reg. A/A+ Exhibits Investment Company Exhibits Broker-Dealer Reports Financials Graphics
DescriptionDoc. / Exh. TypeDocs. Totals
In ascending order(click for most-recent)
Letters
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Comment Letters & Correspondence (delayed release)
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Comment and Other Letters from the SEC [ a.k.a. UPLOAD ]LETTER150,414
Comment and Other Letters from the SEC [ a.k.a. LETTER↑ ]TEXT-EXTRACT1,473
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER750
Comment-Response and Other Letters to the SEC [ a.k.a. COVER↑ ]CORRESP152,627
SEC Staff Actions – OrdersORDER
SEC Staff Letters – No-Action LettersRule 14a-814A-8
SEC Staff Letters – Serious Deficiencies LettersSERIOUS DEFICIENCIES
Form-Specific Documents
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(Form-Specific Exhibits are ↓Below)
Letters Top
Information Tables of Securities HoldingsForm 13FINFORMATION TABLE99,253
Part IIForm 1-KPART II172
Parts II & IIIForm 1-APART II AND III2,482
Swap Data Repository Compliance ReportsForm SDR-CCOSDR-CR
General Exhibits
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Form-Specific Documents Top
Annual and Quarterly Reports to Security HoldersEX-1348,565
Articles of Incorporation/Organization and By-LawsEX-3266,862
Codes of EthicsEX-1416,974
Consents of Experts and CounselEX-23665,506
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4367,995
Invitations for Competitive BidsEX-261,259
Letters re: Departures of DirectorsEX-176,195
Material ContractsEX-101,394,489
Mine-Safety DisclosuresEX-952,928
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5272,716
Opinions re: Tax MattersEX-860,033
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2115,941
Powers of AttorneyEX-24385,571
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,080
Reports Furnished to Security HoldersEX-194,777
Statements re: Eligibility of Trustees — Forms T-1 & T-2EX-2530,587
SubsidiariesEX-21137,878
Underwriting Agreements and Conflict Minerals Reports (and mislabeled “1st Exhibits”)EX-1143,189
Voting Trust AgreementsEX-912,128
Other Documents and Statements Furnished to Security HoldersEX-2039,943
ABS Exhibits
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— Asset-Backed Securities
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General Exhibits Top
ABS – Asset Data (some are very large XMLª Files)EX-1023,607
ABS – Asset-Related Documents (XMLª Files)EX-1033,603
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3426,782
ABS – Depositor Certifications for Shelf OfferingsEX-36601
ABS – Reports of Compliance with Servicing CriteriaEX-3327,315
ABS – Servicer Compliance StatementsEX-3515,989
ABS – Static PoolsEX-1069
Additional Exhibits
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ABS Exhibits Top
Miscellaneous Exhibits, including Press Releases
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EX-99.*3,454,840
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/OrganizationForm 1-AEX1A-2A CHARTER1,067
Articles of Incorporation/OrganizationForm 1-KEX1K-2A CHARTER12
Articles of Incorporation/OrganizationForm 1-SAEX1SA-2A CHARTER9
Articles of Incorporation/OrganizationForm 1-UEX1U-2A CHARTER3
By-LawsForm 1-AEX1A-2B BYLAWS612
By-LawsForm 1-KEX1K-2B BYLAWS2
By-LawsForm 1-SAEX1SA-2B BYLAWS1
By-LawsForm 1-UEX1U-2B BYLAWS1
Consents for ServiceForm 1-AEX1A-14 CNSNT SV23
Consents for ServiceForm 1-KEX1K-14 CNSNT SV
Consents for ServiceForm 1-SAEX1SA-14 CNSNT SV
Consents for ServiceForm 1-UEX1U-14 CNSNT SV
Consents of Experts and CounselForm 1-AEX1A-11 CONSENT1,281
Consents of Experts and CounselForm 1-KEX1K-11 CONSENT56
Consents of Experts and CounselForm 1-SAEX1SA-11 CONSENT2
Consents of Experts and CounselForm 1-UEX1U-11 CONSENT
Escrow AgreementsForm 1-AEX1A-8 ESCW AGMT258
Escrow AgreementsForm 1-KEX1K-8 ESCW AGMT1
Escrow AgreementsForm 1-SAEX1SA-8 ESCW AGMT2
Escrow AgreementsForm 1-UEX1U-8 ESCW AGMT4
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-AEX1A-3 HLDRS RTS541
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-KEX1K-3 HLDRS RTS8
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-SAEX1SA-3 HLDRS RTS3
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-UEX1U-3 HLDRS RTS12
Letters re: Accountants and Accounting PrinciplesForm 1-AEX1A-9 ACCT LTR34
Letters re: Accountants and Accounting PrinciplesForm 1-KEX1K-9 ACCT LTR2
Letters re: Accountants and Accounting PrinciplesForm 1-SAEX1SA-9 ACCT LTR2
Letters re: Accountants and Accounting PrinciplesForm 1-UEX1U-9 ACCT LTR17
Material ContractsForm 1-AEX1A-6 MAT CTRCT2,761
Material ContractsForm 1-KEX1K-6 MAT CTRCT68
Material ContractsForm 1-SAEX1SA-6 MAT CTRCT47
Material ContractsForm 1-UEX1U-6 MAT CTRCT90
Opinions re: LegalityForm 1-AEX1A-12 OPN CNSL1,086
Opinions re: LegalityForm 1-KEX1K-12 OPN CNSL
Opinions re: LegalityForm 1-SAEX1SA-12 OPN CNSL1
Opinions re: LegalityForm 1-UEX1U-12 OPN CNSL1
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-AEX1A-7 ACQ AGMT54
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-KEX1K-7 ACQ AGMT1
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-SAEX1SA-7 ACQ AGMT2
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-UEX1U-7 ACQ AGMT4
Powers of AttorneyForm 1-AEX1A-10 PWR ATTY28
Powers of AttorneyForm 1-KEX1K-10 PWR ATTY
Powers of AttorneyForm 1-SAEX1SA-10 PWR ATTY
Powers of AttorneyForm 1-UEX1U-10 PWR ATTY
Subscription AgreementsForm 1-AEX1A-4 SUBS AGMT850
Subscription AgreementsForm 1-KEX1K-4 SUBS AGMT
Subscription AgreementsForm 1-SAEX1SA-4 SUBS AGMT7
Subscription AgreementsForm 1-UEX1U-4 SUBS AGMT8
Testing-the-Waters MaterialsForm 1-AEX1A-13 TST WTRS355
Testing-the-Waters MaterialsForm 1-KEX1K-13 TST WTRS1
Testing-the-Waters MaterialsForm 1-SAEX1SA-13 TST WTRS
Testing-the-Waters MaterialsForm 1-UEX1U-13 TST WTRS2
Underwriting AgreementsForm 1-AEX1A-1 UNDR AGMT298
Underwriting AgreementsForm 1-KEX1K-1 UNDR AGMT
Underwriting AgreementsForm 1-SAEX1SA-1 UNDR AGMT
Underwriting AgreementsForm 1-UEX1U-1 UNDR AGMT7
Voting Trust AgreementsForm 1-AEX1A-5 VOTG TRST27
Voting Trust AgreementsForm 1-KEX1K-5 VOTG TRST
Voting Trust AgreementsForm 1-SAEX1SA-5 VOTG TRST
Voting Trust AgreementsForm 1-UEX1U-5 VOTG TRST
Miscellaneous Exhibits, including Press Releases
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Form 1-A
EX1A-15 ADD EXHB777
Miscellaneous Exhibits, including Press Releases
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Form 1-K
EX1K-15 ADD EXHB2
Miscellaneous Exhibits, including Press Releases
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Form 1-SA
EX1SA-15 ADD EXHB5
Miscellaneous Exhibits, including Press Releases
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Form 1-U
EX1U-15 ADD EXHB96
Investment Company Exhibits
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— Form N-CEN – Annual Report
Reg. A/A+ Exhibits Top
Advisory ContractsADVISORY CONTRACTS70
Changes in Accounting PrinciplesCHG ACCT PRINCIPLES2
Codes of EthicsCODE OF ETHICS
Exemptive Orders InformationEXEMPT ORDER INFO85
Financial SupportFINANCIAL SUPPORT5
Instruments Defining the Rights of Security HoldersINST DEFINING RIGHTS33
Internal Control ReportsINTERNAL CONTROL RPT1,561
Late-Filing Reports — Reg. S-K Item 405ITEM 405 REG S-K10
Legal ProceedingsLEGAL PROCEEDINGS34
Material AmendmentsMATERIAL AMENDMENTS65
Other Required InformationOTHER REQUIRED INFO101
Broker-Dealer Reports
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— Form X-17A-5 – Annual Financials
Investment Company Exhibits Top
Statements:
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Full Annual Financial ReportsFULL1,864
Statements of Financial ConditionSTMT FIN COND831
Notes to Statements of Financial ConditionSTMT FIN COND NOTES787
Statements of IncomeSTMT INCOME255
Statements of Cash FlowsSTMT CASH FLOW255
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY259
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS22
Notes to Financial StatementsFINAN STMTS NOTES137
Disclosures:
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Computations of Net CapitalCOMP NET CAP268
Computations for Determination of Reserve RequirementsCOMP RESERV REQ132
Information re: Possession and Control RequirementsINFO POS CTRL REQ104
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 RESERV17
Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial ConditionSUM UNCONSOLTD SUBS
Compliance ReportsCOMPL RPT31
Exemption ReportsEXEMP RPT285
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO453
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT443
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT32
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT282
Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives DealersANC/OTC AGD PROC50
Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous AuditsMAT INADEQ RPT1
Other DisclosuresOTHER331
Financials
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— Financial Exhibits, Reports, Workbooks & Data
Broker-Dealer Reports Top
CertificationsSOA’02 302EX-311,069,827
CertificationsSOA’02 906EX-32861,311
Letters re: Changes in Accounting PrinciplesEX-182,794
Letters re: Changes in Certifying AccountantsEX-1637,142
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-711,336
Letters re: Unaudited Interim Financial InformationEX-1533,276
Statements re: Computations of Earnings Per ShareEX-1161,306
Statements re: Computations of RatiosEX-12117,318
Financial Data Schedules {Pre-XBRL/IDEA}EX-27604,663
Swap Data Repository Financial ReportsForm SDR-CCOSDR-FR
IDEA Financial Reports
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(IDEAª & XMLª/XBRLª Files)
R# & XML12,744,361
IDEA Workbooks of Financial Reports
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(.xls/.xlsx Files)
EXCEL315,564
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instances as JavaScript Object Notation Data (JSONª Files)JSON972
XBRL Data (XBRLª Files)EX-101.*1,590,881
XBRL Data {Voluntary} (XBRLª Files)EX-100.*4,463
XBRL Zipped Folders
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(Folders of XBRLª Files)
ZIP265,758
Graphics
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Financials Top
Images, Pictures and Graphs (.gif, .jpeg/.jpg & .png Files)GRAPHIC11,232,223
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T This Document/Exhibit Type is obsolete. Totals 36,902,900
ª Acronyms:
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XML: eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard.
XBRL: eXtensible Business Reporting Language — A financial-data-interchange standard, based on XML.
JSON: JavaScript Object Notation — A lightweight data-interchange standard, used to express XBRL data.
IDEA: Interactive Data [XBRL] Apps — The SEC’s implementations of XBRL (see our XBRL page info).


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