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141 Document/Exhibit Types

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Category:
Letters Form-Specific ABS-Specific General Additional Reg. A / A+ Form X-17A-5 Financial Data Non-Document
DescriptionDocument TypeExhibits
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 ]LETTER138,758
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER710
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP136,263
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE64,362
Part II — Form 1-KPART II15
Parts II & III — Form 1-APART II AND III1,100
ABS-Specific — Asset-Backed SecuritiesForm-Specific Top
ABS – Asset DataEX-1021
ABS – Asset-Related DocumentsEX-103
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3422,085
ABS – Depositor Certifications for Shelf OfferingsEX-36276
ABS – Reports of Compliance with Servicing CriteriaEX-3322,559
ABS – Servicer Compliance StatementsEX-3512,619
ABS – Static PoolsEX-1069
GeneralABS-Specific Top
Annual and Quarterly Reports to Security HoldersEX-1345,792
Articles of Incorporation/Organization and By-LawsEX-3252,373
Certifications — Sarbanes-Oxley Act – Sect. 302EX-31975,552
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32786,580
Code of EthicsEX-1416,235
Consents of Experts and CounselEX-23634,303
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4346,283
Invitations for Competitive BidsEX-261,153
Letters re: Changes in Accounting PrinciplesEX-182,716
Letters re: Changes in Certifying AccountantsEX-1635,448
Letters re: Departures of DirectorsEX-175,918
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-710,947
Letters re: Unaudited Interim Financial InformationEX-1531,080
Material ContractsEX-101,314,032
Mine-Safety DisclosuresEX-952,203
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5255,588
Opinions re: Tax MattersEX-856,832
Other Documents and Statements Furnished to Security HoldersEX-2039,890
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2109,784
Powers of AttorneyEX-24349,047
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,039
Reports Furnished to Security HoldersEX-194,741
Statements re: Computations of Earnings Per ShareEX-1160,916
Statements re: Computations of RatiosEX-12109,473
Statements re: Eligibility of TrusteesEX-2529,195
SubsidiariesEX-21130,903
Underwriting AgreementsEX-1132,857
Voting Trust AgreementsEX-911,993
AdditionalGeneral Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,146,268
Reg. A / A+ — Forms 1-A, 1-K, 1-SA and 1-UAdditional Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER430
Articles of Incorporation/Organization — Form 1-KEX1K2A CHARTER
Articles of Incorporation/Organization — Form 1-SAEX1SA-2A CHARTER1
Articles of Incorporation/Organization — Form 1-UEX1U-2A CHARTER2
By-Laws — Form 1-AEX1A-2B BYLAWS279
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 SV16
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 CONSENT496
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT9
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 AGMT114
Escrow Agreements — Form 1-KEX1K-8 ESCW AGMT
Escrow Agreements — Form 1-SAEX1SA-8 ESCW AGMT
Escrow Agreements — Form 1-UEX1U-8 ESCW AGMT
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-AEX1A-3 HLDRS RTS179
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-KEX1K-3 HLDRS RTS
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SAEX1SA-3 HLDRS RTS
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 LTR11
Letters re: Accountants and Accounting Principles — Form 1-KEX1K-9 ACCT LTR
Letters re: Accountants and Accounting Principles — Form 1-SAEX1SA-9 ACCT LTR
Letters re: Accountants and Accounting Principles — Form 1-UEX1U-9 ACCT LTR1
Material Contracts — Form 1-AEX1A-6 MAT CTRCT1,007
Material Contracts — Form 1-KEX1K-6 MAT CTRCT3
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT5
Material Contracts — Form 1-UEX1U-6 MAT CTRCT34
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL455
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 AGMT19
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 AGMT
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-UEX1U-7 ACQ AGMT
Powers of Attorney — Form 1-AEX1A-10 PWR ATTY4
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 AGMT334
Subscription Agreements — Form 1-KEX1K-4 SUBS AGMT
Subscription Agreements — Form 1-SAEX1SA-4 SUBS AGMT
Subscription Agreements — Form 1-UEX1U-4 SUBS AGMT
Testing-the-Waters Materials — Form 1-AEX1A-13 TST WTRS176
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 AGMT114
Underwriting Agreements — Form 1-KEX1K-1 UNDR AGMT
Underwriting Agreements — Form 1-SAEX1SA-1 UNDR AGMT
Underwriting Agreements — Form 1-UEX1U-1 UNDR AGMT
Voting Trust Agreements — Form 1-AEX1A-5 VOTG TRST9
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 EXHB312
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 EXHB10
Form X-17A-5 — Annual Financial Reports by Broker-DealersReg. A / A+ Top
Statements:
Full Annual Financial ReportsFULL623
Statements of Financial ConditionSTMT FIN COND704
Notes to Statements of Financial ConditionSTMT FIN COND NOTES683
Statements of IncomeSTMT INCOME237
Statements of Cash FlowsSTMT CASH FLOW236
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY238
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS21
Notes to Financial StatementsFINAN STMTS NOTES130
Disclosures:
Computations of Net CapitalCOMP NET CAP248
Computations for Determination of Reserve RequirementsCOMP RESERV REQ124
Information re: Possession and Control RequirementsINFO POS CTRL REQ98
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 RPT19
Exemption ReportsEXEMP RPT261
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO389
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT394
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT20
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT261
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 DocumentsOTHER279
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# & XML9,830,036
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL265,123
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON66
XBRL Interactive DataXML FilesEX-101.*1,250,869
XBRL Voluntary DataXML FilesEX-100.*4,440
XBRL Zipped FoldersFolders of XML FilesZIP208,540
Non-DocumentFinancial Data Top
Images, Pictures and GraphsGIF, JPEG & PNG FilesGRAPHIC9,309,402
________
T This Document/Exhibit Type is obsolete.Total: 30,795,924

 
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