Letters — Comment Letters & Correspondence (Delayed Release) ↑ Top • Comment Letters and Other Letters from the SEC [ a.k.a. UPLOAD ] LETTER 134,641 • Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ] COVER 700 • Comment-Response and Other Letters to the SEC [ a.k.a. COVER ] CORRESP 131,251 Form-Specific (see more below ) ↑ Letters ↑ Top • Compliance Reports — Form SDR-CCO SDR-CR – • Information Tables of Securities Holdings — Form 13F INFORMATION TABLE 55,202 • Part II — Form 1-K PART II 11 • Parts II & III — Form 1-A PART II AND III 703 ABS-Specific — Asset-Backed Securities ↑ Form-Specific ↑ Top • ABS – Asset Data EX-102 – • ABS – Asset-Related Documents EX-103 – • ABS – Attestation Reports on Assessments of Compliance with Servicing Criteria EX-34 20,114 • ABS – Depositor Certifications for Shelf Offerings EX-36 189 • ABS – Reports of Compliance with Servicing Criteria EX-33 20,593 • ABS – Servicer Compliance Statements EX-35 11,073 • ABS – Static Pools EX-106 9 General ↑ ABS-Specific ↑ Top • Annual and Quarterly Reports to Security Holders EX-13 45,279 • Articles of Incorporation/Organization and By-Laws EX-3 247,947 • Certifications — Sarbanes-Oxley Act – Sect. 302 EX-31 950,543 • Certifications — Sarbanes-Oxley Act – Sect. 906 EX-32 766,661 • Code of Ethics EX-14 16,070 • Consents of Experts and Counsel EX-23 624,060 • Information from Reports Furnished to State Insurance Regulatory Authorities EX-28 3,491 • Instruments, including Indentures, Defining the Rights of Security Holders EX-4 340,802 • Invitations for Competitive Bids EX-26 1,116 • Letters re: Changes in Accounting Principles EX-18 2,695 • Letters re: Changes in Certifying Accountants EX-16 35,000 • Letters re: Departures of Directors EX-17 5,849 • Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim Reviews EX-7 10,846 • Letters re: Unaudited Interim Financial Information EX-15 30,643 • Material Contracts EX-10 1,290,915 • Mine-Safety Disclosures EX-95 2,013 • Opinions re: Discounts on Capital Shares EX-6 9,343 • Opinions re: Legality EX-5 251,059 • Opinions re: Tax Matters EX-8 56,028 • Other Documents and Statements Furnished to Security Holders EX-20 39,873 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions EX-2 108,136 • Powers of Attorney EX-24 338,283 • Published Reports Regarding Matters Submitted to Votes of Security Holders EX-22 4,024 • Reports Furnished to Security Holders EX-19 4,739 • Statements re: Computations of Earnings Per Share EX-11 60,830 • Statements re: Computations of Ratios EX-12 107,054 • Statements re: Eligibility of Trustees EX-25 28,876 • Subsidiaries EX-21 127,365 • Underwriting Agreements EX-1 130,694 • Voting Trust Agreements EX-9 11,952 Additional ↑ General ↑ Top • Miscellaneous Exhibits, including Press Releases EX-99.* 3,060,251 Reg. A / A+ — Forms 1-A, 1-K, 1-SA and 1-U ↑ Additional ↑ Top • Articles of Incorporation/Organization — Form 1-A EX1A-2A CHARTER 265 • Articles of Incorporation/Organization — Form 1-K EX1K2A CHARTER – • Articles of Incorporation/Organization — Form 1-SA EX1SA-2A CHARTER – • Articles of Incorporation/Organization — Form 1-U EX1U-2A CHARTER – • By-Laws — Form 1-A EX1A-2B BYLAWS 182 • By-Laws — Form 1-K EX1K-2B BYLAWS 1 • By-Laws — Form 1-SA EX1SA-2B BYLAWS – • By-Laws — Form 1-U EX1U-2B BYLAWS – • Consents for Service — Form 1-A EX1A-14 CNSNT SV 8 • Consents for Service — Form 1-K EX1K-14 CNSNT SV – • Consents for Service — Form 1-SA EX1SA-14 CNSNT SV – • Consents for Service — Form 1-U EX1U-14 CNSNT SV – • Consents of Experts and Counsel — Form 1-A EX1A-11 CONSENT 321 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT 4 • Consents of Experts and Counsel — Form 1-SA EX1SA-11 CONSENT – • Consents of Experts and Counsel — Form 1-U EX1U-11 CONSENT – • Escrow Agreements — Form 1-A EX1A-8 ESCW AGMT 67 • Escrow Agreements — Form 1-K EX1K-8 ESCW AGMT – • Escrow Agreements — Form 1-SA EX1SA-8 ESCW AGMT – • Escrow Agreements — Form 1-U EX1U-8 ESCW AGMT – • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-A EX1A-3 HLDRS RTS 122 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-K EX1K-3 HLDRS RTS – • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SA EX1SA-3 HLDRS RTS – • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-U EX1U-3 HLDRS RTS – • Letters re: Accountants and Accounting Principles — Form 1-A EX1A-9 ACCT LTR 9 • Letters re: Accountants and Accounting Principles — Form 1-K EX1K-9 ACCT LTR – • Letters re: Accountants and Accounting Principles — Form 1-SA EX1SA-9 ACCT LTR – • Letters re: Accountants and Accounting Principles — Form 1-U EX1U-9 ACCT LTR – • Material Contracts — Form 1-A EX1A-6 MAT CTRCT 625 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT 3 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT 1 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT 1 • Opinions re: Legality — Form 1-A EX1A-12 OPN CNSL 279 • Opinions re: Legality — Form 1-K EX1K-12 OPN CNSL – • Opinions re: Legality — Form 1-SA EX1SA-12 OPN CNSL – • Opinions re: Legality — Form 1-U EX1U-12 OPN CNSL – • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-A EX1A-7 ACQ AGMT 8 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-K EX1K-7 ACQ AGMT – • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-SA EX1SA-7 ACQ AGMT – • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-U EX1U-7 ACQ AGMT – • Powers of Attorney — Form 1-A EX1A-10 PWR ATTY 3 • Powers of Attorney — Form 1-K EX1K-10 PWR ATTY – • Powers of Attorney — Form 1-SA EX1SA-10 PWR ATTY – • Powers of Attorney — Form 1-U EX1U-10 PWR ATTY – • Subscription Agreements — Form 1-A EX1A-4 SUBS AGMT 220 • Subscription Agreements — Form 1-K EX1K-4 SUBS AGMT – • Subscription Agreements — Form 1-SA EX1SA-4 SUBS AGMT – • Subscription Agreements — Form 1-U EX1U-4 SUBS AGMT – • Testing-the-Waters Materials — Form 1-A EX1A-13 TST WTRS 117 • Testing-the-Waters Materials — Form 1-K EX1K-13 TST WTRS – • Testing-the-Waters Materials — Form 1-SA EX1SA-13 TST WTRS – • Testing-the-Waters Materials — Form 1-U EX1U-13 TST WTRS – • Underwriting Agreements — Form 1-A EX1A-1 UNDR AGMT 55 • Underwriting Agreements — Form 1-K EX1K-1 UNDR AGMT – • Underwriting Agreements — Form 1-SA EX1SA-1 UNDR AGMT – • Underwriting Agreements — Form 1-U EX1U-1 UNDR AGMT – • Voting Trust Agreements — Form 1-A EX1A-5 VOTG TRST 4 • Voting Trust Agreements — Form 1-K EX1K-5 VOTG TRST – • Voting Trust Agreements — Form 1-SA EX1SA-5 VOTG TRST – • Voting Trust Agreements — Form 1-U EX1U-5 VOTG TRST – • Miscellaneous Exhibits, including Press Releases — Form 1-A EX1A-15 ADD EXHB 191 • Miscellaneous Exhibits, including Press Releases — Form 1-K EX1K-15 ADD EXHB – • Miscellaneous Exhibits, including Press Releases — Form 1-SA EX1SA-15 ADD EXHB – • Miscellaneous Exhibits, including Press Releases — Form 1-U EX1U-15 ADD EXHB 3 Form X-17A-5 — Annual Financial Reports by Broker-Dealers ↑ Reg. A / A+ ↑ Top Statements: • Statements of Financial Condition STMT FIN COND 568 • Notes to Statements of Financial Condition STMT FIN COND NOTES 564 • Statements of Income STMT INCOME 195 • Statements of Cash Flows STMT CASH FLOW 194 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity STMT CHG SH EQY 196 • Statements of Changes in Liabilities Subordinated to Claims of Creditors STMT CHG SUB LIABS 16 • Notes to Financial Statements FINAN STMTS NOTES 103 Disclosures: • Computations of Net Capital COMP NET CAP 204 • Computations for Determination of Reserve Requirements COMP RESERV REQ 95 • Information re: Possession and Control Requirements INFO POS CTRL REQ 72 • 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 RESERV 11 • Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial Condition SUM UNCONSOLTD SUBS – • Compliance Reports COMPL RPT 11 • Exemption Reports EXEMP RPT 208 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO 325 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements ACCT RPT FIN RPT 325 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports ACCT RPT COMPL RPT 12 • Accountants’ Reports re: Reviews of Exemption Reports ACCT RPT EXEMP RPT 206 • Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers ANC/OTC AGD PROC 40 • Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous Audits MAT INADEQ RPT 1 • Other Documents OTHER 222 Financial Data ↑ Form X-17A-5 ↑ Top • Financial Data Schedules (Pre-XBRL) EX-27 604,663 • Financial Reports — Form SDR-CCO SDR-FR – • XBRL IDEA Reports — Financial Reports & XML Files R# & XML 9,008,239 • XBRL IDEA Workbooks — Workbooks of Financial Reports EXCEL 252,109 • XBRL Instance Document Content Listings RENDERED XBRL 2 • XBRL Instance JavaScript Object Notation Data — JSON Files JSON 8 • XBRL Interactive Data — XML Files EX-101.* 1,161,188 • XBRL Voluntary Data — XML Files EX-100.* 4,434 • XBRL Zipped Folders — Folders of XML Files ZIP 193,504 Non-Document ↑ Financial Data ↑ Top • Images, Pictures and Graphs GRAPHIC 8,818,708 ________ T This Document/Exhibit Type is obsolete.Total: 29,135,835 