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141 Document/Exhibit Types

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Category:
Letters Form-Specific ABS-Specific Exhibits General Exhibits Additional Exhibits Reg. A / A+ Exhibits Form X-17A-5 Financial Data Non-Document Graphics Totals
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 ]LETTER141,409
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER715
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP140,120
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE73,515
Part II — Form 1-KPART II71
Parts II & III — Form 1-APART II AND III1,348
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-36343
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-1346,826
Articles of Incorporation/Organization and By-LawsEX-3255,959
Certifications — Sarbanes-Oxley Act – Sect. 302EX-311,002,252
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32807,647
Code of EthicsEX-1416,381
Consents of Experts and CounselEX-23641,729
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4351,557
Invitations for Competitive BidsEX-261,195
Letters re: Changes in Accounting PrinciplesEX-182,733
Letters re: Changes in Certifying AccountantsEX-1635,858
Letters re: Departures of DirectorsEX-176,007
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-711,039
Letters re: Unaudited Interim Financial InformationEX-1531,797
Material ContractsEX-101,332,337
Mine-Safety DisclosuresEX-952,406
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5259,946
Opinions re: Tax MattersEX-857,659
Other Documents and Statements Furnished to Security HoldersEX-2039,901
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2111,280
Powers of AttorneyEX-24357,297
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,052
Reports Furnished to Security HoldersEX-194,752
Statements re: Computations of Earnings Per ShareEX-1161,070
Statements re: Computations of RatiosEX-12111,750
Statements re: Eligibility of TrusteesEX-2529,501
SubsidiariesEX-21132,008
Underwriting AgreementsEX-1135,617
Voting Trust AgreementsEX-912,026
Additional ExhibitsGeneral Exhibits Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,218,990
Reg. A / A+ Exhibits — Forms 1-A, 1-K, 1-SA and 1-UAdditional Exhibits Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER518
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 BYLAWS338
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 CONSENT636
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT28
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 AGMT148
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 RTS223
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 LTR2
Letters re: Accountants and Accounting Principles — Form 1-UEX1U-9 ACCT LTR1
Material Contracts — Form 1-AEX1A-6 MAT CTRCT1,264
Material Contracts — Form 1-KEX1K-6 MAT CTRCT30
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT9
Material Contracts — Form 1-UEX1U-6 MAT CTRCT41
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL551
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 AGMT27
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 ATTY5
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 AGMT408
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 WTRS216
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 AGMT165
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 EXHB399
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 EXHB12
Form X-17A-5 — Annual Financial Reports by Broker-DealersReg. A / A+ Exhibits Top
Statements:
Full Annual Financial ReportsFULL693
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# & XML10,579,434
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL279,326
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON212
XBRL Interactive DataXML FilesEX-101.*1,345,579
XBRL Voluntary DataXML FilesEX-100.*4,451
XBRL Zipped FoldersFolders of XML FilesZIP224,487
Non-Document GraphicsFinancial Data Top
Images, Pictures and GraphsGIF, JPEG & PNG FilesGRAPHIC9,752,129
________
T This Document/Exhibit Type is obsolete. Totals 32,312,898

 
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