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156 Document/Exhibit Types

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Category:
Letters Form-Specific Documents General Exhibits ABS Exhibits Additional Exhibits Reg. A/A+ Exhibits Investment Company Exhibits Broker-Dealer Reports Financials Graphics
DescriptionDoc. / Exh. TypeDocs. Totals
In ascending order(click for most-recent)
Letters
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Comment Letters & Correspondence (delayed release)
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Comment and Other Letters from the SEC [ a.k.a. UPLOAD ]LETTER151,122
Comment and Other Letters from the SEC [ a.k.a. LETTER↑ ]TEXT-EXTRACT2,181
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER751
Comment-Response and Other Letters to the SEC [ a.k.a. COVER↑ ]CORRESP153,681
SEC Staff Actions – OrdersORDER40
SEC Staff Letters – No-Action LettersRule 14a-814A-81
SEC Staff Letters – Serious Deficiencies LettersSERIOUS DEFICIENCIES1
Form-Specific Documents
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(Form-Specific Exhibits are ↓Below)
Letters Top
Information Tables of Securities HoldingsForm 13FINFORMATION TABLE103,884
Part IIForm 1-KPART II177
Parts II & IIIForm 1-APART II AND III2,613
Swap Data Repository Compliance ReportsForm SDR-CCOSDR-CR
General Exhibits
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Form-Specific Documents Top
Annual and Quarterly Reports to Security HoldersEX-1348,885
Articles of Incorporation/Organization and By-LawsEX-3267,978
Codes of EthicsEX-1417,089
Consents of Experts and CounselEX-23670,870
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4370,213
Invitations for Competitive BidsEX-261,259
Letters re: Departures of DirectorsEX-176,219
Material ContractsEX-101,404,591
Mine-Safety DisclosuresEX-953,019
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5274,329
Opinions re: Tax MattersEX-860,324
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2116,392
Powers of AttorneyEX-24390,423
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,085
Reports Furnished to Security HoldersEX-194,777
Statements re: Eligibility of Trustees — Forms T-1 & T-2EX-2530,716
SubsidiariesEX-21140,690
Underwriting Agreements and Conflict Minerals Reports (and mislabeled “1st Exhibits”)EX-1144,070
Voting Trust AgreementsEX-912,138
Other Documents and Statements Furnished to Security HoldersEX-2039,946
ABS Exhibits
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— Asset-Backed Securities
AB button (blood type) emoji
General Exhibits Top
ABS – Asset Data (some are very large XMLª Files)EX-1024,317
ABS – Asset-Related Documents (XMLª Files)EX-1034,313
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3427,928
ABS – Depositor Certifications for Shelf OfferingsEX-36639
ABS – Reports of Compliance with Servicing CriteriaEX-3328,463
ABS – Servicer Compliance StatementsEX-3516,771
ABS – Static PoolsEX-1069
Additional Exhibits
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ABS Exhibits Top
Miscellaneous Exhibits, including Press Releases
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EX-99.*3,484,497
Reg. 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/OrganizationForm 1-AEX1A-2A CHARTER1,146
Articles of Incorporation/OrganizationForm 1-KEX1K-2A CHARTER12
Articles of Incorporation/OrganizationForm 1-SAEX1SA-2A CHARTER9
Articles of Incorporation/OrganizationForm 1-UEX1U-2A CHARTER3
By-LawsForm 1-AEX1A-2B BYLAWS654
By-LawsForm 1-KEX1K-2B BYLAWS2
By-LawsForm 1-SAEX1SA-2B BYLAWS2
By-LawsForm 1-UEX1U-2B BYLAWS1
Consents for ServiceForm 1-AEX1A-14 CNSNT SV24
Consents for ServiceForm 1-KEX1K-14 CNSNT SV
Consents for ServiceForm 1-SAEX1SA-14 CNSNT SV
Consents for ServiceForm 1-UEX1U-14 CNSNT SV
Consents of Experts and CounselForm 1-AEX1A-11 CONSENT1,362
Consents of Experts and CounselForm 1-KEX1K-11 CONSENT58
Consents of Experts and CounselForm 1-SAEX1SA-11 CONSENT2
Consents of Experts and CounselForm 1-UEX1U-11 CONSENT
Escrow AgreementsForm 1-AEX1A-8 ESCW AGMT275
Escrow AgreementsForm 1-KEX1K-8 ESCW AGMT1
Escrow AgreementsForm 1-SAEX1SA-8 ESCW AGMT2
Escrow AgreementsForm 1-UEX1U-8 ESCW AGMT4
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-AEX1A-3 HLDRS RTS559
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-KEX1K-3 HLDRS RTS8
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-SAEX1SA-3 HLDRS RTS3
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-UEX1U-3 HLDRS RTS13
Letters re: Accountants and Accounting PrinciplesForm 1-AEX1A-9 ACCT LTR37
Letters re: Accountants and Accounting PrinciplesForm 1-KEX1K-9 ACCT LTR2
Letters re: Accountants and Accounting PrinciplesForm 1-SAEX1SA-9 ACCT LTR2
Letters re: Accountants and Accounting PrinciplesForm 1-UEX1U-9 ACCT LTR17
Material ContractsForm 1-AEX1A-6 MAT CTRCT2,942
Material ContractsForm 1-KEX1K-6 MAT CTRCT70
Material ContractsForm 1-SAEX1SA-6 MAT CTRCT47
Material ContractsForm 1-UEX1U-6 MAT CTRCT97
Opinions re: LegalityForm 1-AEX1A-12 OPN CNSL1,149
Opinions re: LegalityForm 1-KEX1K-12 OPN CNSL
Opinions re: LegalityForm 1-SAEX1SA-12 OPN CNSL1
Opinions re: LegalityForm 1-UEX1U-12 OPN CNSL1
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-AEX1A-7 ACQ AGMT56
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-KEX1K-7 ACQ AGMT1
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-SAEX1SA-7 ACQ AGMT2
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-UEX1U-7 ACQ AGMT4
Powers of AttorneyForm 1-AEX1A-10 PWR ATTY30
Powers of AttorneyForm 1-KEX1K-10 PWR ATTY
Powers of AttorneyForm 1-SAEX1SA-10 PWR ATTY
Powers of AttorneyForm 1-UEX1U-10 PWR ATTY
Subscription AgreementsForm 1-AEX1A-4 SUBS AGMT905
Subscription AgreementsForm 1-KEX1K-4 SUBS AGMT
Subscription AgreementsForm 1-SAEX1SA-4 SUBS AGMT7
Subscription AgreementsForm 1-UEX1U-4 SUBS AGMT11
Testing-the-Waters MaterialsForm 1-AEX1A-13 TST WTRS361
Testing-the-Waters MaterialsForm 1-KEX1K-13 TST WTRS1
Testing-the-Waters MaterialsForm 1-SAEX1SA-13 TST WTRS
Testing-the-Waters MaterialsForm 1-UEX1U-13 TST WTRS2
Underwriting AgreementsForm 1-AEX1A-1 UNDR AGMT358
Underwriting AgreementsForm 1-KEX1K-1 UNDR AGMT
Underwriting AgreementsForm 1-SAEX1SA-1 UNDR AGMT
Underwriting AgreementsForm 1-UEX1U-1 UNDR AGMT9
Voting Trust AgreementsForm 1-AEX1A-5 VOTG TRST27
Voting Trust AgreementsForm 1-KEX1K-5 VOTG TRST
Voting Trust AgreementsForm 1-SAEX1SA-5 VOTG TRST
Voting Trust AgreementsForm 1-UEX1U-5 VOTG TRST
Miscellaneous Exhibits, including Press Releases
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Form 1-A
EX1A-15 ADD EXHB832
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 EXHB5
Miscellaneous Exhibits, including Press Releases
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Form 1-U
EX1U-15 ADD EXHB114
Investment Company Exhibits
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— Form N-CEN – Annual Report
Reg. A/A+ Exhibits Top
Advisory ContractsADVISORY CONTRACTS168
Changes in Accounting PrinciplesCHG ACCT PRINCIPLES2
Codes of EthicsCODE OF ETHICS
Exemptive Orders InformationEXEMPT ORDER INFO180
Financial SupportFINANCIAL SUPPORT13
Instruments Defining the Rights of Security HoldersINST DEFINING RIGHTS84
Internal Control ReportsINTERNAL CONTROL RPT2,795
Late-Filing Reports — Reg. S-K Item 405ITEM 405 REG S-K25
Legal ProceedingsLEGAL PROCEEDINGS74
Material AmendmentsMATERIAL AMENDMENTS145
Other Required InformationOTHER REQUIRED INFO162
Broker-Dealer Reports
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— Form X-17A-5 – Annual Financials
Investment Company Exhibits Top
Statements:
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Full Annual Financial ReportsFULL2,853
Statements of Financial ConditionSTMT FIN COND897
Notes to Statements of Financial ConditionSTMT FIN COND NOTES843
Statements of IncomeSTMT INCOME266
Statements of Cash FlowsSTMT CASH FLOW267
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY271
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS24
Notes to Financial StatementsFINAN STMTS NOTES138
Disclosures:
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Computations of Net CapitalCOMP NET CAP280
Computations for Determination of Reserve RequirementsCOMP RESERV REQ139
Information re: Possession and Control RequirementsINFO 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 RequirementsRECONCIL CAP RESERV17
Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial ConditionSUM UNCONSOLTD SUBS
Compliance ReportsCOMPL RPT41
Exemption ReportsEXEMP RPT307
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO487
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT474
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT42
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT304
Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives DealersANC/OTC AGD PROC52
Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous AuditsMAT INADEQ RPT1
Other DisclosuresOTHER371
Financials
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— Financial Exhibits, Reports, Workbooks & Data
Broker-Dealer Reports Top
CertificationsSOA’02 302EX-311,079,256
CertificationsSOA’02 906EX-32868,742
Letters re: Changes in Accounting PrinciplesEX-182,810
Letters re: Changes in Certifying AccountantsEX-1637,274
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-711,372
Letters re: Unaudited Interim Financial InformationEX-1533,502
Statements re: Computations of Earnings Per ShareEX-1161,332
Statements re: Computations of RatiosEX-12117,660
Financial Data Schedules {Pre-XBRL/IDEA}EX-27604,663
Swap Data Repository Financial ReportsForm SDR-CCOSDR-FR
IDEA Financial Reports
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(IDEAª & XMLª/XBRLª Files)
R# & XML13,160,874
IDEA Workbooks of Financial Reports
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(.xls/.xlsx Files)
EXCEL320,409
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instances as JavaScript Object Notation Data (JSONª Files)JSON1,261
XBRL Data (XBRLª Files)EX-101.*1,624,219
XBRL Data {Voluntary} (XBRLª Files)EX-100.*4,463
XBRL Zipped Folders
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(Folders of XBRLª Files)
ZIP271,385
Graphics
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Financials Top
Images, Pictures and Graphs (.gif, .jpeg/.jpg & .png Files)GRAPHIC11,452,112
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T This Document/Exhibit Type is obsolete. Totals 37,676,632
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.
JSON: JavaScript Object Notation — A lightweight data-interchange standard, used to express XBRL data.
IDEA: Interactive Data [XBRL] Apps — The SEC’s implementations of XBRL (see our XBRL page info).


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