SEC Info
HomeSearchMy InterestsHelpSign InPlease Sign In

141 Document/Exhibit Types

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

Choose the  Document/Exhibit Types  in Filings you wish to list, then click on this button:
 (For the most-recent Filing containing a Document/Exhibit, 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
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 ]LETTER140,918
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 ]CORRESP139,418
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE70,066
Part II — Form 1-KPART II69
Parts II & III — Form 1-APART II AND III1,309
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-3423,213
ABS – Depositor Certifications for Shelf OfferingsEX-36335
ABS – Reports of Compliance with Servicing CriteriaEX-3323,686
ABS – Servicer Compliance StatementsEX-3513,528
ABS – Static PoolsEX-1069
General ExhibitsABS-Specific Exhibits Top
Annual and Quarterly Reports to Security HoldersEX-1346,784
Articles of Incorporation/Organization and By-LawsEX-3255,445
Certifications — Sarbanes-Oxley Act – Sect. 302EX-31993,004
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32800,248
Code of EthicsEX-1416,359
Consents of Experts and CounselEX-23640,868
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4350,819
Invitations for Competitive BidsEX-261,193
Letters re: Changes in Accounting PrinciplesEX-182,731
Letters re: Changes in Certifying AccountantsEX-1635,814
Letters re: Departures of DirectorsEX-176,000
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-711,032
Letters re: Unaudited Interim Financial InformationEX-1531,686
Material ContractsEX-101,328,697
Mine-Safety DisclosuresEX-952,332
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5259,251
Opinions re: Tax MattersEX-857,574
Other Documents and Statements Furnished to Security HoldersEX-2039,900
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2110,996
Powers of AttorneyEX-24356,177
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,051
Reports Furnished to Security HoldersEX-194,750
Statements re: Computations of Earnings Per ShareEX-1160,982
Statements re: Computations of RatiosEX-12111,257
Statements re: Eligibility of TrusteesEX-2529,439
SubsidiariesEX-21131,923
Underwriting AgreementsEX-1135,362
Voting Trust AgreementsEX-912,019
Additional ExhibitsGeneral Exhibits Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,208,498
Reg. A / A+ Exhibits — Forms 1-A, 1-K, 1-SA and 1-UAdditional Exhibits Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER500
Articles of Incorporation/Organization — Form 1-KEX1K-2A CHARTER2
Articles of Incorporation/Organization — Form 1-SAEX1SA-2A CHARTER2
Articles of Incorporation/Organization — Form 1-UEX1U-2A CHARTER2
By-Laws — Form 1-AEX1A-2B BYLAWS331
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 CONSENT607
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT27
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 AGMT138
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 RTS216
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 LTR17
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 CTRCT1,229
Material Contracts — Form 1-KEX1K-6 MAT CTRCT30
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT6
Material Contracts — Form 1-UEX1U-6 MAT CTRCT41
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL531
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 AGMT386
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 WTRS199
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 AGMT152
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 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 EXHB367
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 ReportsFULL692
Statements of Financial ConditionSTMT FIN COND716
Notes to Statements of Financial ConditionSTMT FIN COND NOTES692
Statements of IncomeSTMT INCOME239
Statements of Cash FlowsSTMT CASH FLOW238
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY240
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 CAP250
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 RPT263
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 RPT397
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT23
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 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# & XML10,331,616
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL274,700
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON155
XBRL Interactive DataXML FilesEX-101.*1,316,727
XBRL Voluntary DataXML FilesEX-100.*4,451
XBRL Zipped FoldersFolders of XML FilesZIP219,656
Non-Document GraphicsFinancial Data Top
Images, Pictures and GraphsGIF, JPEG & PNG FilesGRAPHIC9,693,146
________
T This Document/Exhibit Type is obsolete.Total: 31,926,436

 
Top

Copyright 2017 Fran Finnegan & Company. All Rights Reserved.
AboutPrivacyRedactionsHelp — Fri, 28 Jul 14:47:20.0 GMT