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141 Document/Exhibit Types

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Category:
Letters Form-Specific ABS-Specific Exhibits General Exhibits Additional Exhibits Reg. A / A+ Exhibits Form X-17A-5 Financial Data Non-Document Graphics Totals
DescriptionDoc. / Exh. TypeDocuments
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 ]LETTER144,451
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER733
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP143,977
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE78,755
Part II — Form 1-KPART II80
Parts II & III — Form 1-APART II AND III1,694
ABS-Specific Exhibits — Asset-Backed SecuritiesForm-Specific Top
ABS – Asset DataEX-1021
ABS – Asset-Related DocumentsEX-103
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3423,223
ABS – Depositor Certifications for Shelf OfferingsEX-36412
ABS – Reports of Compliance with Servicing CriteriaEX-3323,698
ABS – Servicer Compliance StatementsEX-3513,535
ABS – Static PoolsEX-1069
General ExhibitsABS-Specific Exhibits Top
Annual and Quarterly Reports to Security HoldersEX-1347,084
Articles of Incorporation/Organization and By-LawsEX-3259,112
Certifications — Sarbanes-Oxley Act – Sect. 302EX-311,017,919
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32820,348
Code of EthicsEX-1416,518
Consents of Experts and CounselEX-23647,262
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4356,316
Invitations for Competitive BidsEX-261,212
Letters re: Changes in Accounting PrinciplesEX-182,744
Letters re: Changes in Certifying AccountantsEX-1636,248
Letters re: Departures of DirectorsEX-176,067
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-711,123
Letters re: Unaudited Interim Financial InformationEX-1532,097
Material ContractsEX-101,348,030
Mine-Safety DisclosuresEX-952,513
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5263,582
Opinions re: Tax MattersEX-858,245
Other Documents and Statements Furnished to Security HoldersEX-2039,914
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2112,492
Powers of AttorneyEX-24364,566
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,057
Reports Furnished to Security HoldersEX-194,757
Statements re: Computations of Earnings Per ShareEX-1161,121
Statements re: Computations of RatiosEX-12112,849
Statements re: Eligibility of TrusteesEX-2529,784
SubsidiariesEX-21132,846
Underwriting AgreementsEX-1137,558
Voting Trust AgreementsEX-912,066
Additional ExhibitsGeneral Exhibits Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,286,178
Reg. A / A+ Exhibits — Forms 1-A, 1-K, 1-SA and 1-UAdditional Exhibits Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER691
Articles of Incorporation/Organization — Form 1-KEX1K-2A CHARTER2
Articles of Incorporation/Organization — Form 1-SAEX1SA-2A CHARTER4
Articles of Incorporation/Organization — Form 1-UEX1U-2A CHARTER3
By-Laws — Form 1-AEX1A-2B BYLAWS425
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 SV19
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 CONSENT854
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT31
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 AGMT189
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 RTS378
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 RTS1
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 LTR1
Letters re: Accountants and Accounting Principles — Form 1-SAEX1SA-9 ACCT LTR2
Letters re: Accountants and Accounting Principles — Form 1-UEX1U-9 ACCT LTR4
Material Contracts — Form 1-AEX1A-6 MAT CTRCT1,783
Material Contracts — Form 1-KEX1K-6 MAT CTRCT30
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT18
Material Contracts — Form 1-UEX1U-6 MAT CTRCT48
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL696
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 AGMT38
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 AGMT2
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-UEX1U-7 ACQ AGMT1
Powers of Attorney — Form 1-AEX1A-10 PWR ATTY10
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 AGMT537
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 WTRS275
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 AGMT226
Underwriting Agreements — Form 1-KEX1K-1 UNDR AGMT
Underwriting Agreements — Form 1-SAEX1SA-1 UNDR AGMT
Underwriting Agreements — Form 1-UEX1U-1 UNDR AGMT5
Voting Trust Agreements — Form 1-AEX1A-5 VOTG TRST15
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 EXHB485
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 EXHB17
Form X-17A-5 — Annual Financial Reports by Broker-DealersReg. A / A+ Exhibits Top
Statements:
Full Annual Financial ReportsFULL768
Statements of Financial ConditionSTMT FIN COND728
Notes to Statements of Financial ConditionSTMT FIN COND NOTES702
Statements of IncomeSTMT INCOME241
Statements of Cash FlowsSTMT CASH FLOW240
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY242
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS21
Notes to Financial StatementsFINAN STMTS NOTES132
Disclosures:
Computations of Net CapitalCOMP NET CAP252
Computations for Determination of Reserve RequirementsCOMP RESERV REQ125
Information re: Possession and Control RequirementsINFO POS CTRL REQ99
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 RPT24
Exemption ReportsEXEMP RPT263
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO402
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT400
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT25
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT263
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 DocumentsOTHER290
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# & XML11,031,528
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL288,004
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON328
XBRL Interactive DataXML FilesEX-101.*1,404,917
XBRL Interactive Data (Voluntary)XML FilesEX-100.*4,451
XBRL Zipped FoldersFolders of XML FilesZIP234,474
Non-Document GraphicsFinancial Data Top
Images, Pictures and GraphsGIF, JPEG & PNG FilesGRAPHIC10,124,395
________
T This Document/Exhibit Type is obsolete. Totals 33,372,891

 
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