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141 Document/Exhibit Types

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Category:
Letters Form-Specific Documents General Exhibits ABS Exhibits Additional Exhibits Reg. A/A+ Exhibits Broker-Dealer Reports Financials Graphics Totals
DescriptionDoc. / Exh. TypeDocuments
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 ]LETTER146,626
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER742
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP147,115
Form-Specific Documents
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(Form-Specific Exhibits are ↓Below)
Letters Top
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE88,263
Part II — Form 1-KPART II146
Parts II & III — Form 1-APART II AND III1,953
Swap Data Repository Compliance Reports — Form SDR-CCOSDR-CR
General Exhibits
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Form-Specific Documents Top
Annual and Quarterly Reports to Security HoldersEX-1348,198
Articles of Incorporation/Organization and By-LawsEX-3261,895
Code of EthicsEX-1416,763
Consents of Experts and CounselEX-23656,266
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4361,164
Invitations for Competitive BidsEX-261,256
Letters re: Departures of DirectorsEX-176,123
Material ContractsEX-101,367,583
Mine-Safety DisclosuresEX-952,715
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5267,074
Opinions re: Tax MattersEX-859,160
Other Documents and Statements Furnished to Security HoldersEX-2039,930
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2113,790
Powers of AttorneyEX-24373,659
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,074
Reports Furnished to Security HoldersEX-194,775
Statements re: Eligibility of Trustees — Forms T-1 & T-2EX-2530,182
SubsidiariesEX-21136,558
Underwriting Agreements and Conflict Minerals Reports (and mislabeled “1st Exhibits”)EX-1139,599
Voting Trust AgreementsEX-912,101
ABS Exhibits
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— Asset-Backed Securities
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General Exhibits Top
ABS – Asset Data (some are very large XMLª Files)EX-1021,320
ABS – Asset-Related Documents (XMLª Files)EX-1031,315
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3426,715
ABS – Depositor Certifications for Shelf OfferingsEX-36472
ABS – Reports of Compliance with Servicing CriteriaEX-3327,195
ABS – Servicer Compliance StatementsEX-3515,952
ABS – Static PoolsEX-1069
Additional Exhibits
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ABS Exhibits Top
Miscellaneous Exhibits, including Press Releases
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EX-99.*3,355,466
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/Organization — Form 1-AEX1A-2A CHARTER795
Articles of Incorporation/Organization — Form 1-KEX1K-2A CHARTER9
Articles of Incorporation/Organization — Form 1-SAEX1SA-2A CHARTER4
Articles of Incorporation/Organization — Form 1-UEX1U-2A CHARTER3
By-Laws — Form 1-AEX1A-2B BYLAWS485
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 SV20
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 CONSENT994
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT47
Consents of Experts and Counsel — Form 1-SAEX1SA-11 CONSENT1
Consents of Experts and Counsel — Form 1-UEX1U-11 CONSENT
Escrow Agreements — Form 1-AEX1A-8 ESCW AGMT212
Escrow Agreements — Form 1-KEX1K-8 ESCW AGMT
Escrow Agreements — Form 1-SAEX1SA-8 ESCW AGMT2
Escrow Agreements — Form 1-UEX1U-8 ESCW AGMT3
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-AEX1A-3 HLDRS RTS424
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 RTS2
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-UEX1U-3 HLDRS RTS4
Letters re: Accountants and Accounting Principles — Form 1-AEX1A-9 ACCT LTR26
Letters re: Accountants and Accounting Principles — Form 1-KEX1K-9 ACCT LTR2
Letters re: Accountants and Accounting Principles — Form 1-SAEX1SA-9 ACCT LTR2
Letters re: Accountants and Accounting Principles — Form 1-UEX1U-9 ACCT LTR9
Material Contracts — Form 1-AEX1A-6 MAT CTRCT2,084
Material Contracts — Form 1-KEX1K-6 MAT CTRCT54
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT21
Material Contracts — Form 1-UEX1U-6 MAT CTRCT57
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL821
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 AGMT44
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-KEX1K-7 ACQ AGMT1
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 AGMT2
Powers of Attorney — Form 1-AEX1A-10 PWR ATTY16
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 AGMT614
Subscription Agreements — Form 1-KEX1K-4 SUBS AGMT
Subscription Agreements — Form 1-SAEX1SA-4 SUBS AGMT4
Subscription Agreements — Form 1-UEX1U-4 SUBS AGMT4
Testing-the-Waters Materials — Form 1-AEX1A-13 TST WTRS301
Testing-the-Waters Materials — Form 1-KEX1K-13 TST WTRS1
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 AGMT248
Underwriting Agreements — Form 1-KEX1K-1 UNDR AGMT
Underwriting Agreements — Form 1-SAEX1SA-1 UNDR AGMT
Underwriting Agreements — Form 1-UEX1U-1 UNDR AGMT7
Voting Trust Agreements — Form 1-AEX1A-5 VOTG TRST19
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
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Form 1-A
EX1A-15 ADD EXHB524
Miscellaneous Exhibits, including Press Releases
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Form 1-K
EX1K-15 ADD EXHB1
Miscellaneous Exhibits, including Press Releases
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Form 1-SA
EX1SA-15 ADD EXHB1
Miscellaneous Exhibits, including Press Releases
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Form 1-U
EX1U-15 ADD EXHB39
Broker-Dealer Reports
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— Form X-17A-5 Annual Financials
Reg. A/A+ Exhibits Top
Statements:
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Full Annual Financial ReportsFULL1,722
Statements of Financial ConditionSTMT FIN COND816
Notes to Statements of Financial ConditionSTMT FIN COND NOTES776
Statements of IncomeSTMT INCOME255
Statements of Cash FlowsSTMT CASH FLOW255
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY259
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS22
Notes to Financial StatementsFINAN STMTS NOTES137
Disclosures:
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Computations of Net CapitalCOMP NET CAP268
Computations for Determination of Reserve RequirementsCOMP RESERV REQ132
Information re: Possession and Control RequirementsINFO POS CTRL REQ104
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 RPT29
Exemption ReportsEXEMP RPT284
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO445
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT440
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT30
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT281
Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives DealersANC/OTC AGD PROC50
Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous AuditsMAT INADEQ RPT1
Other DocumentsOTHER315
Financials
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— Financial Exhibits, Reports, Workbooks & Data
Broker-Dealer Reports Top
Certifications — Sarbanes-Oxley Act – Sect. 302EX-311,042,194
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32839,070
Letters re: Changes in Accounting PrinciplesEX-182,777
Letters re: Changes in Certifying AccountantsEX-1636,646
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-711,255
Letters re: Unaudited Interim Financial InformationEX-1532,818
Statements re: Computations of Earnings Per ShareEX-1161,226
Statements re: Computations of RatiosEX-12115,814
Financial Data Schedules {Pre-XBRL/IDEA}EX-27604,663
Swap Data Repository Financial Reports — Form SDR-CCOSDR-FR
IDEA Financial Reports
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(IDEAª & XMLª/XBRLª Files)
R# & XML11,892,095
IDEA Workbooks of Financial Reports
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(.xls/.xlsx Files)
EXCEL300,409
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instances as JavaScript Object Notation Data (JSONª Files)JSON526
XBRL Data (XBRLª Files)EX-101.*1,489,207
XBRL Data {Voluntary} (XBRLª Files)EX-100.*4,457
XBRL Zipped Folders
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(Folders of XBRLª Files)
ZIP248,616
Graphics
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Financials Top
Images, Pictures and Graphs (.gif, .jpeg/.jpg & .png Files)GRAPHIC10,597,472
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T This Document/Exhibit Type is obsolete. Totals 35,022,788
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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