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141 Document/Exhibit Types

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Category:
Letters Form-Specific ABS-Specific General Additional Reg. A / A+ Form X-17A-5 Financial Data Non-Document
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 ]LETTER139,345
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER710
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP137,049
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE65,376
Part II — Form 1-KPART II36
Parts II & III — Form 1-APART II AND III1,155
ABS-Specific — Asset-Backed SecuritiesForm-Specific Top
ABS – Asset DataEX-1021
ABS – Asset-Related DocumentsEX-103
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3423,105
ABS – Depositor Certifications for Shelf OfferingsEX-36292
ABS – Reports of Compliance with Servicing CriteriaEX-3323,577
ABS – Servicer Compliance StatementsEX-3513,474
ABS – Static PoolsEX-1069
GeneralABS-Specific Top
Annual and Quarterly Reports to Security HoldersEX-1346,501
Articles of Incorporation/Organization and By-LawsEX-3253,200
Certifications — Sarbanes-Oxley Act – Sect. 302EX-31980,088
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32789,961
Code of EthicsEX-1416,294
Consents of Experts and CounselEX-23636,305
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4348,056
Invitations for Competitive BidsEX-261,188
Letters re: Changes in Accounting PrinciplesEX-182,721
Letters re: Changes in Certifying AccountantsEX-1635,604
Letters re: Departures of DirectorsEX-175,936
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-710,968
Letters re: Unaudited Interim Financial InformationEX-1531,407
Material ContractsEX-101,318,357
Mine-Safety DisclosuresEX-952,239
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5256,541
Opinions re: Tax MattersEX-857,194
Other Documents and Statements Furnished to Security HoldersEX-2039,892
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2110,178
Powers of AttorneyEX-24351,045
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,047
Reports Furnished to Security HoldersEX-194,748
Statements re: Computations of Earnings Per ShareEX-1160,932
Statements re: Computations of RatiosEX-12110,253
Statements re: Eligibility of TrusteesEX-2529,260
SubsidiariesEX-21131,486
Underwriting AgreementsEX-1133,348
Voting Trust AgreementsEX-912,006
AdditionalGeneral Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,169,559
Reg. A / A+ — Forms 1-A, 1-K, 1-SA and 1-UAdditional Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER445
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 BYLAWS288
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 CONSENT516
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT21
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 AGMT118
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 RTS187
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-KEX1K-3 HLDRS RTS
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 LTR12
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 CTRCT1,053
Material Contracts — Form 1-KEX1K-6 MAT CTRCT4
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT6
Material Contracts — Form 1-UEX1U-6 MAT CTRCT34
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL472
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 AGMT19
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 AGMT343
Subscription Agreements — Form 1-KEX1K-4 SUBS AGMT
Subscription Agreements — Form 1-SAEX1SA-4 SUBS AGMT2
Subscription Agreements — Form 1-UEX1U-4 SUBS AGMT2
Testing-the-Waters Materials — Form 1-AEX1A-13 TST WTRS184
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 AGMT120
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 EXHB322
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 EXHB10
Form X-17A-5 — Annual Financial Reports by Broker-DealersReg. A / A+ Top
Statements:
Full Annual Financial ReportsFULL644
Statements of Financial ConditionSTMT FIN COND704
Notes to Statements of Financial ConditionSTMT FIN COND NOTES683
Statements of IncomeSTMT INCOME237
Statements of Cash FlowsSTMT CASH FLOW236
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY238
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS21
Notes to Financial StatementsFINAN STMTS NOTES130
Disclosures:
Computations of Net CapitalCOMP NET CAP248
Computations for Determination of Reserve RequirementsCOMP RESERV REQ124
Information re: Possession and Control RequirementsINFO POS CTRL REQ98
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 RPT19
Exemption ReportsEXEMP RPT261
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO389
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT394
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT20
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT261
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 DocumentsOTHER279
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# & XML9,968,157
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL267,666
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON83
XBRL Interactive DataXML FilesEX-101.*1,268,791
XBRL Voluntary DataXML FilesEX-100.*4,446
XBRL Zipped FoldersFolders of XML FilesZIP211,569
Non-DocumentFinancial Data Top
Images, Pictures and GraphsGIF, JPEG & PNG FilesGRAPHIC9,455,576
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T This Document/Exhibit Type is obsolete.Total: 31,156,485

 
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