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309  Document/Exhibit Types

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 Category:
 
   Letters   Form-Specific Documents   General Exhibits   ABS Exhibits   Additional Exhibits   Regulation A/A+ Exhibits   Alternative Trading System Exhibits   Investment Company Exhibits   Broker-Dealer Reports   Financials   Graphics
 
 • Description Doc. / Exh. TypeDocuments
In ascending order(click for most-recent) 
 
 Letters
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Comment Letters & Correspondence  (most were SEC-delayed)
  Top 
 
 • Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ] LETTER153,900 
 • Comment and Other Letters from the SEC  [ a.k.a. LETTER↑ ]  (PDF ⇒ Text) TEXT-EXTRACT4,925 
 • Comment-Response and Other Letters to the SEC  [ a.k.a. COVER↓ ] CORRESP195,299 
 • Comment-Response and Cover Letters to the SEC  [ a.k.a. CORRESP ] COVER29,837 
 • SEC Staff Actions – Order  [ a.k.a. SEC ACTION ] ORDER136 
 • SEC Staff Letters  [ a.k.a. SEC LETTER ] STAFF LETTER3 
 • SEC Staff Letters – No Action  [ a.k.a. SEC LETTER & NO ACT ] 14A-81 
 • SEC Staff Letters – Redacted Exhibit  [ a.k.a. SEC LETTER ] REDACTED EXHIBIT63 
 • SEC Staff Letters – Serious Deficiencies  [ a.k.a. SEC LETTER ] SERIOUS DEFICIENCIES9 
 
 Form-Specific Documents
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  (Form-Specific Exhibits are ↓Below)
Letters   Top 
 
 • Alternative Trading Systems (NMS Stock) – Part III Items — Form ATS-N ATS-N PART3 ITM2 
 • Annual Reports – Part II — Reg. A – Form 1-K PART II278 
 • Information Tables of Securities Holdings — Form 13F  (XMLª Files) INFORMATION TABLE114,745 
 • Offering Statements – Parts II & III — Reg. A/A+ – Form 1-A PART II AND III3,069 
 • Portfolio Holdings Schedules — Form N-PORT  [ formerly NPORT-EX ] NPORT-EX5,073 
 
 General Exhibits
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Form-Specific Documents   Top 
 
 • Annual and Quarterly Reports to Security Holders EX-1350,073 
 • Articles of Incorporation/Organization and By-Laws EX-3271,560 
 • Codes of Ethics EX-1417,241 
 • Consents of Experts and Counsel EX-23678,510 
 • Information from Reports Furnished to State Insurance Regulatory Authorities EX-283,491 
 • Instruments, including Indentures, Defining the Rights of Security Holders EX-4376,483 
 • Invitations for Competitive Bids EX-261,320 
 • Letters re: Departures of Directors EX-176,283 
 • Material Contracts EX-101,426,517 
 • Mine-Safety Disclosures EX-953,226 
 • Opinions of Counsel re: Discounts on Capital Shares EX-69,343 
 • Opinions of Counsel re: Legality EX-5279,041 
 • Opinions of Counsel re: Tax Matters EX-861,191 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions EX-2117,718 
 • Powers of Attorney EX-24400,113 
 • Published Reports Regarding Matters Submitted to Votes of Security Holders EX-224,104 
 • Reports Furnished to Security Holders EX-194,787 
 • Statements re: Eligibility of Trustees — Forms T-1 / T-2 EX-2531,038 
 • Subsidiaries EX-21142,072 
 • Underwriting Agreements and Conflict Minerals Reports  (and mislabeled “1st Exhibits”) EX-1147,085 
 • Voting Trust Agreements EX-912,171 
 • Other Documents and Statements Furnished to Security Holders EX-2039,968 
 
 ABS Exhibits
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— Asset-Backed Securities
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General Exhibits   Top 
 
 • Asset Data  (some are very large XMLª Files) EX-1026,701 
 • Asset-Related Documents  (XMLª Files) EX-1036,696 
 • Attestation Reports on Assessments of Compliance with Servicing Criteria EX-3430,821 
 • Depositor Certifications for Shelf Offerings EX-36717 
 • Reports of Compliance with Servicing Criteria EX-3331,363 
 • Servicer Compliance Statements EX-3518,828 
 • Static Pools EX-1069 
 
 Additional Exhibits
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ABS Exhibits   Top 
 
 • Miscellaneous Exhibits, including Press Releases
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 EX-993,562,162 
 • EX-99.*  Form-Specific Exhibits:   (many apply to multiple Forms — additional entity-type Form-Specific Exhibits are ↓Below)
 
 EX-99.1 CHARTER *.33 APP REG DOC *.g REINS CONTRT *.E1 NRSRO
 *.2 BYLAWS *.34 OPIN COUNSL *.h OTH MAT CONT *.E2 NRSRO
 *.2 OPIN COUNSEL *.35 OTHER *.h PARTIC AGREE *.E3 NRSRO
 *.2A CHARTER *.906 CERT *.i ADMIN CONTRT *.E4 NRSRO
 *.2B BYLAWS *.a BD-DIR-RESOL *.i LEGAL OPININ *.E5 NRSRO
 *.2C VOTING TRST *.a CHARTER *.IND PUB ACCT *.E6 NRSRO
 *.2D HOLDERS RTS *.A1 INDNTR ORGN *.j OTH MAT CONT *.E7 NRSRO
 *.2E DIV REIN PL *.A2 INDNTR PMT *.j OTHER OPININ *.E8 NRSRO
 *.2G ADVSR CONTR *.A3A DIST CONTR *.k LEGAL OPININ *.E9 NRSRO
 *.2H DISTR CONTR *.A3B DEALER AGR *.k OMT FIN STAT *.A SDR SUMMARY×
 *.2I O&D BENEFTS *.A3C SCH COMMIS *.l ACTUARIAL OP *.C SDR×
 *.2J CUST CONTR *.A4 OTHER AGRMT *.l INT CAP AGRE *.D SDR
 *.2K OTH CONTRCT *.A5 FORM/SECRTY *.m 12B-1 PLAN *.E SDR
 *.2L OPIN COUNSL *.A6 CERT/BYLAWS *.m CALCULATION *.F SDR
 *.2M CNSNT SRVCE *.A7 INSR POLICY *.n 18F-3 PLAN *.G SDR×
 *.2N OTH CONSENT *.A8 DEPOSIT AGR *.n OTH OPINIONS *.I SDR CNTRCT
 *.2O OTH FIN ST *.A9 OTHER CONTR *.o OMITD FIN ST *.I SDR SUMMARY×
 *.2P STOCK LTR *.A10 PERIODC PP *.p CODE ETH *.J SDR
 *.2Q RETRMT PLAN *.A11 CODE ETH *.p INIT CAP AGR *.L SDR
 *.2R CODE ETH *.b BYLAWS *.q REDEEM EXEMP *.L SDR.CAL×
 *.3 OTHER FIN ST *.b CUST-AGRMETS *.Rule23C1 *.L SDR.DEF×
 *.3 VOTING TRUST *.B1 NOTIC/SHLDR *.77B ACCT LTTR *.L SDR.INS×
 *.4 ACQ AGREEMNT *.B2 ANRPT/SHLDR *.77C VOTES *.L SDR.LAB×
 *.4 UNREG ISSUER *.c HOLDERS RTS *.77D POLICIES *.L SDR.PRE×
 *.5 HOLDERS RTS *.c UNDER CONTRT *.77E LEGAL *.L SDR.SCH×
 *.6 ADVSER CONTR *.C1 ACCT CONSNT *.77F CHNG DEBT *.M SDR
 *.7 DISTR CONTR *.C2 EVAL CONSNT *.77G DEFAULTS *.N SDR
 *.8 O&D BENEFTS *.C3 RTG AGY OPN *.77H CHNG CNTRL *.U SDR
 *.9 CUST CONTRCT *.C4 TAX OPINION *.77I NEW SECUR *.V SDR
 *.10 12B1 PLAN *.C5 REV RULING *.77J REVALUATN *.W SDR
 *.11 OPIN COUNSL *.C6 OTHER OPIN *.77K CHNG ACCNT *.X SDR
 *.12 REV RULING *.CERT *.77L NEW ACCTNG *.Y SDR
 *.12 TAX OPINION *.CODE ETH *.77M MERGERS *.AA SDR
 *.13 OTH CONTRCT *.d ADVSR CONTR *.77N RULE 2A-7 *.BB SDR
 *.14 OTH CONSENT *.d CONTRACTS *.77O RULE 10F-3 *.CC SDR
 *.15 OTH FIN ST *.e APPLICATIONS *.77P EXMPT INFO *.DD SDR
 *.16 PWR OF ATTY *.e UNDR CONTR *.77Q1 OTHR EXHB *.EE SDR
 *.17 (as approp) *.f BONUS PROFIT *.77Q2 ITEM 405 *.GG SDR
 *.31 MA-NR *.f DEP CERT/BYL *.77Q3 *.HH SDR
 *.32 APP CRT DOC *.g CUST AGREEMT *.77Q3 CERT
____________
 ×   XMLª & XBRLª Files.
 
 Regulation 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/Organization — Form 1-A EX1A-2A CHARTER1,379 
 • Articles of Incorporation/Organization — Form 1-K EX1K-2A CHARTER15 
 • Articles of Incorporation/Organization — Form 1-SA EX1SA-2A CHARTER10 
 • Articles of Incorporation/Organization — Form 1-U EX1U-2A CHARTER4 
 • By-Laws — Form 1-A EX1A-2B BYLAWS768 
 • By-Laws — Form 1-K EX1K-2B BYLAWS4 
 • By-Laws — Form 1-SA EX1SA-2B BYLAWS2 
 • By-Laws — Form 1-U EX1U-2B BYLAWS3 
 • Consents for Service — Form 1-A EX1A-14 CNSNT SV29 
 • Consents of Experts and Counsel — Form 1-A EX1A-11 CONSENT1,647 
 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT91 
 • Consents of Experts and Counsel — Form 1-SA EX1SA-11 CONSENT5 
 • Escrow Agreements — Form 1-A EX1A-8 ESCW AGMT321 
 • Escrow Agreements — Form 1-K EX1K-8 ESCW AGMT1 
 • Escrow Agreements — Form 1-SA EX1SA-8 ESCW AGMT2 
 • Escrow Agreements — Form 1-U EX1U-8 ESCW AGMT5 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-A EX1A-3 HLDRS RTS739 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-K EX1K-3 HLDRS RTS11 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SA EX1SA-3 HLDRS RTS6 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-U EX1U-3 HLDRS RTS14 
 • Letters re: Accountants and Accounting Principles — Form 1-A EX1A-9 ACCT LTR44 
 • Letters re: Accountants and Accounting Principles — Form 1-K EX1K-9 ACCT LTR2 
 • Letters re: Accountants and Accounting Principles — Form 1-SA EX1SA-9 ACCT LTR2 
 • Letters re: Accountants and Accounting Principles — Form 1-U EX1U-9 ACCT LTR17 
 • Material Contracts — Form 1-A EX1A-6 MAT CTRCT3,534 
 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT105 
 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT53 
 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT128 
 • Opinions of Counsel re: Legality — Form 1-A EX1A-12 OPN CNSL1,378 
 • Opinions of Counsel re: Legality — Form 1-K EX1K-12 OPN CNSL1 
 • Opinions of Counsel re: Legality — Form 1-SA EX1SA-12 OPN CNSL4 
 • Opinions of Counsel re: Legality — Form 1-U EX1U-12 OPN CNSL1 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-A EX1A-7 ACQ AGMT72 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-K EX1K-7 ACQ AGMT1 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-SA EX1SA-7 ACQ AGMT2 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-U EX1U-7 ACQ AGMT4 
 • Powers of Attorney — Form 1-A EX1A-10 PWR ATTY41 
 • Subscription Agreements — Form 1-A EX1A-4 SUBS AGMT1,131 
 • Subscription Agreements — Form 1-K EX1K-4 SUBS AGMT2 
 • Subscription Agreements — Form 1-SA EX1SA-4 SUBS AGMT10 
 • Subscription Agreements — Form 1-U EX1U-4 SUBS AGMT26 
 • Testing-the-Waters Materials — Form 1-A EX1A-13 TST WTRS535 
 • Testing-the-Waters Materials — Form 1-K EX1K-13 TST WTRS1 
 • Testing-the-Waters Materials — Form 1-U EX1U-13 TST WTRS2 
 • Underwriting Agreements — Form 1-A EX1A-1 UNDR AGMT428 
 • Underwriting Agreements — Form 1-K EX1K-1 UNDR AGMT1 
 • Underwriting Agreements — Form 1-SA EX1SA-1 UNDR AGMT1 
 • Underwriting Agreements — Form 1-U EX1U-1 UNDR AGMT9 
 • Voting Trust Agreements — Form 1-A EX1A-5 VOTG TRST30 
 • Miscellaneous Exhibits, including Press Releases
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 — Form 1-A
 EX1A-15 ADD EXHB956 
 • 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 EXHB10 
 • Miscellaneous Exhibits, including Press Releases
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 — Form 1-U
 EX1U-15 ADD EXHB166 
 
 Alternative Trading System Exhibits
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— Form ATS-N – NMS Stock
Regulation A/A+ Exhibits   Top 
 
 • Cover Pages COVER PAGE2 
 • Category Metrics ATS-N EX-5 CATG MTRC1 
 • Direct Owners and Executive Officers — Form BD – Sch. A ATS-N EX-1 SCHD A BD17 
 • Indirect Owners — Form BD – Sch. B ATS-N EX-2 SCHD B BD17 
 • Redline Changes — Form BD – Sch. A & B ATS-N EX-3 REDLINE9 
 
 Investment Company Exhibits
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— Form N-CEN – Annual Report
Alternative Trading System Exhibits   Top 
 
 • Changes in Accounting Principles and Practices CHG ACCT PRINCIPLES2 
 • Independent Public Accountants’ Reports on Internal Control INTERNAL CONTROL RPT4,246 
 • Information Filed Pursuant to Exemption Orders EXEMPT ORDER INFO418 
 • Instruments Defining the Rights of Security Holders INST DEFINING RIGHTS106 
 • Investment Advisor Agreements ADVISORY CONTRACTS233 
 • Late-Filings Reports — Item 405 – Reg. S-K ITEM 405 REG S-K37 
 • Legal Proceedings LEGAL PROCEEDINGS104 
 • Material Amendments to Organizational Documents MATERIAL AMENDMENTS179 
 • Provisions of Financial Support FINANCIAL SUPPORT16 
 • Other Required Information OTHER REQUIRED INFO222 
 
 Broker-Dealer Reports
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— Form X-17A-5 – Annual Financial Report
Investment Company Exhibits   Top 
 
 Statements: 
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 • Full Annual Financial Reports FULL2,980 
 • Statements of Financial Condition STMT FIN COND906 
 • Notes to Statements of Financial Condition STMT FIN COND NOTES851 
 • Statements of Income STMT INCOME267 
 • Statements of Cash Flows STMT CASH FLOW268 
 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity STMT CHG SH EQY272 
 • Statements of Changes in Liabilities Subordinated to Claims of Creditors STMT CHG SUB LIABS24 
 • Notes to Financial Statements FINAN STMTS NOTES138 
 
 Disclosures: 
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 • Computations of Net Capital COMP NET CAP281 
 • Computations for Determination of Reserve Requirements COMP RESERV REQ139 
 • Information re: Possession and Control Requirements INFO POS CTRL REQ107 
 • Reconciliations (and Statements) re: Material Differences (or None) Between FINRA FOCUS Reports and Computations of Net Capital or Computations for Determination of Reserve Requirements RECONCIL CAP RESERV17 
 • Compliance Reports COMPL RPT43 
 • Exemption Reports EXEMP RPT308 
 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO488 
 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements ACCT RPT FIN RPT481 
 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports ACCT RPT COMPL RPT44 
 • Accountants’ Reports re: Reviews of Exemption Reports ACCT RPT EXEMP RPT305 
 • Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers ANC/OTC AGD PROC52 
 • Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous Audits MAT INADEQ RPT1 
 • Other Disclosures OTHER372 
 
 Financials
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— Financial Reports, Exhibits, Workbooks & Data
Broker-Dealer Reports   Top 
 
 • Certifications — §302 – SOA’02 EX-311,106,852 
 • Certifications — §906 – SOA’02 EX-32890,312 
 • Letters re: Changes in Accounting Principles EX-182,830 
 • Letters re: Changes in Certifying Accountants EX-1637,665 
 • Letters re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews EX-711,467 
 • Letters re: Unaudited Interim Financial Information EX-1534,284 
 • Statements re: Computations of Earnings Per Share EX-1161,393 
 • Statements re: Computations of Ratios EX-12118,839 
 • Financial Data Schedules {Pre-XBRL/IDEA} EX-27604,663 
 • IDEA Financial Reports
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  (IDEAª, XMLª & XBRLª Files)
 R#  &  XML14,080,967 
 • IDEA Workbooks of Financial Reports
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  (IDEAª Excel .xls & .xlsx Files)
 EXCEL337,484 
 • XBRL Instance Document Content Listings RENDERED XBRL2 
 • XBRL Instances as JavaScript Object Notation Data  (iXBRLª JSONª Files) JSON6,581 
 • XBRL Data {Voluntary}  (XBRLª Files) EX-100.*4,463 
 • XBRL Data  (XBRLª Files) EX-101.*1,727,794 
 • XBRL Zipped Folders
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  (.zip Folders of XBRLª & iXBRLª Files)
 ZIP290,005 
 
 Graphics
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Financials   Top 
 
 • Images, Pictures and Graphs  (.gif, .jpg/.jpeg & .png Files) GRAPHIC12,018,167 
 
____________  Totals   39,609,448 
 T   This Document/Exhibit Type is no longer filed or is now a different Type.
 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.
   iXBRL:  Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard.
   JSON:  JavaScript Object Notation — A lightweight data-interchange standard, used to encode iXBRL data.
   IDEA:  Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data.  (See our XBRL page info.)


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