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152 Document/Exhibit Types

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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 ]LETTER148,756
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER749
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP150,245
Form-Specific Documents
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(Form-Specific Exhibits are ↓Below)
Letters Top
Information Tables of Securities HoldingsForm 13FINFORMATION TABLE93,474
Part IIForm 1-KPART II167
Parts II & IIIForm 1-APART II AND III2,252
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-1348,400
Articles of Incorporation/Organization and By-LawsEX-3264,656
Codes of EthicsEX-1416,861
Consents of Experts and CounselEX-23661,851
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4364,743
Invitations for Competitive BidsEX-261,258
Letters re: Departures of DirectorsEX-176,154
Material ContractsEX-101,381,867
Mine-Safety DisclosuresEX-952,821
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5270,293
Opinions re: Tax MattersEX-859,614
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2114,867
Powers of AttorneyEX-24379,825
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,078
Reports Furnished to Security HoldersEX-194,776
Statements re: Eligibility of Trustees — Forms T-1 & T-2EX-2530,412
SubsidiariesEX-21137,245
Underwriting Agreements and Conflict Minerals Reports (and mislabeled “1st Exhibits”)EX-1141,966
Voting Trust AgreementsEX-912,110
Other Documents and Statements Furnished to Security HoldersEX-2039,937
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-1022,329
ABS – Asset-Related Documents (XMLª Files)EX-1032,325
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3426,782
ABS – Depositor Certifications for Shelf OfferingsEX-36530
ABS – Reports of Compliance with Servicing CriteriaEX-3327,304
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.*3,405,880
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 CHARTER963
Articles of Incorporation/OrganizationForm 1-KEX1K-2A CHARTER10
Articles of Incorporation/OrganizationForm 1-SAEX1SA-2A CHARTER7
Articles of Incorporation/OrganizationForm 1-UEX1U-2A CHARTER3
By-LawsForm 1-AEX1A-2B BYLAWS561
By-LawsForm 1-KEX1K-2B BYLAWS2
By-LawsForm 1-SAEX1SA-2B BYLAWS
By-LawsForm 1-UEX1U-2B BYLAWS1
Consents for ServiceForm 1-AEX1A-14 CNSNT SV21
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 CONSENT1,159
Consents of Experts and CounselForm 1-KEX1K-11 CONSENT53
Consents of Experts and CounselForm 1-SAEX1SA-11 CONSENT1
Consents of Experts and CounselForm 1-UEX1U-11 CONSENT
Escrow AgreementsForm 1-AEX1A-8 ESCW AGMT238
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 RTS486
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 RTS2
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-UEX1U-3 HLDRS RTS4
Letters re: Accountants and Accounting PrinciplesForm 1-AEX1A-9 ACCT LTR26
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 LTR11
Material ContractsForm 1-AEX1A-6 MAT CTRCT2,482
Material ContractsForm 1-KEX1K-6 MAT CTRCT68
Material ContractsForm 1-SAEX1SA-6 MAT CTRCT30
Material ContractsForm 1-UEX1U-6 MAT CTRCT77
Opinions re: LegalityForm 1-AEX1A-12 OPN CNSL976
Opinions re: LegalityForm 1-KEX1K-12 OPN CNSL
Opinions re: LegalityForm 1-SAEX1SA-12 OPN CNSL
Opinions re: LegalityForm 1-UEX1U-12 OPN CNSL
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-AEX1A-7 ACQ AGMT53
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 ATTY26
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 AGMT741
Subscription AgreementsForm 1-KEX1K-4 SUBS AGMT
Subscription AgreementsForm 1-SAEX1SA-4 SUBS AGMT4
Subscription AgreementsForm 1-UEX1U-4 SUBS AGMT5
Testing-the-Waters MaterialsForm 1-AEX1A-13 TST WTRS341
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 WTRS1
Underwriting AgreementsForm 1-AEX1A-1 UNDR AGMT286
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 TRST25
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 EXHB660
Miscellaneous Exhibits, including Press Releases
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Form 1-K
EX1K-15 ADD EXHB1
Miscellaneous Exhibits, including Press Releases
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Form 1-SA
EX1SA-15 ADD EXHB3
Miscellaneous Exhibits, including Press Releases
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Form 1-U
EX1U-15 ADD EXHB55
Investment Company Exhibits
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— Form N-CEN – Annual Report
Reg. A/A+ Exhibits Top
Advisory ContractsADVISORY CONTRACTS3
Changes in Accounting PrinciplesCHG ACCT PRINCIPLES
Codes of EthicsCODE OF ETHICS
Exemptive Orders InformationEXEMPT ORDER INFO8
Financial SupportFINANCIAL SUPPORT1
Instruments Defining the Rights of Security HoldersINST DEFINING RIGHTS3
Internal Control ReportsINTERNAL CONTROL RPT196
Late-Filing Reports — Reg. S-K Item 405ITEM 405 REG S-K
Legal ProceedingsLEGAL PROCEEDINGS2
Material AmendmentsMATERIAL AMENDMENTS5
Other Required InformationOTHER REQUIRED INFO16
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 ReportsFULL1,811
Statements of Financial ConditionSTMT FIN COND821
Notes to Statements of Financial ConditionSTMT FIN COND NOTES779
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 CO448
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT440
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-311,056,471
CertificationsSOA’02 906EX-32850,498
Letters re: Changes in Accounting PrinciplesEX-182,784
Letters re: Changes in Certifying AccountantsEX-1636,871
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-711,301
Letters re: Unaudited Interim Financial InformationEX-1533,082
Statements re: Computations of Earnings Per ShareEX-1161,267
Statements re: Computations of RatiosEX-12116,844
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# & XML12,329,754
IDEA Workbooks of Financial Reports
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(.xls/.xlsx Files)
EXCEL308,266
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instances as JavaScript Object Notation Data (JSONª Files)JSON689
XBRL Data (XBRLª Files)EX-101.*1,541,039
XBRL Data {Voluntary} (XBRLª Files)EX-100.*4,457
XBRL Zipped Folders
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(Folders of XBRLª Files)
ZIP257,346
Graphics
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Financials Top
Images, Pictures and Graphs (.gif, .jpeg/.jpg & .png Files)GRAPHIC10,921,554
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T This Document/Exhibit Type is obsolete. Totals 35,986,657
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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