Letters — SEC Comment Letters & Correspondence (Delayed Release) ↑ Top • Comment and Other Letters from the SEC [ a.k.a. Filing UPLOAD ] LETTER 159,397 • Comment and Other Letters from the SEC (PDF Text) [ a.k.a. LETTER↑ ] TEXT-EXTRACT 10,422 • Comment-Response and Other Letters to the SEC [ a.k.a. COVER↓ ] CORRESP 203,836 • Comment-Response and Cover Letters to the SEC [ a.k.a. Filing CORRESP ] COVER 31,019 • SEC Staff Actions – SEC Orders [ a.k.a. Filing SEC ACTION ] ORDER 224 • SEC Staff Letters [ a.k.a. Filing SEC LETTER ] STAFF LETTER 4 • SEC Staff Letters re: Redacted Exhibits [ a.k.a. Filing SEC LETTER ] REDACTED EXHIBIT 584 • SEC Staff Letters re: Serious Deficiencies [ a.k.a. Filing SEC LETTER ] SERIOUS DEFICIENCIES 10 • SEC Staff Letters re: Shareholder Proposals [ a.k.a. Filing SEC LETTER ] 14A-8 1 Form-Specific Documents (Form-Specific Exhibits Below ↑ Letters ↑ Top • Alternative Trading Systems (NMS Stock) – Part II Items — Form ATS-N ATS-N PART2 ITM 16 • Alternative Trading Systems (NMS Stock) – Part III Items — Form ATS-N ATS-N PART3 ITM 56 • Annual Reports – Part II — Reg. A – Form 1-K PART II 442 • Offering Statements – Parts II and III — Reg. A/A+ – Form 1-A PART II AND III 4,175 • Portfolio Holdings Schedules — Form N-PORT [ formerly Filing NPORT-EX ] NPORT-EX 28,267 • Portfolio Securities Holdings Info Tables — Form 13F (XMLª Files) INFORMATION TABLE× 137,163 General Exhibits (Regs. ↑ Form-Specific Documents ↑ Top • Annual and Quarterly Reports to Security Holders EX-13 51,733 • Articles of Incorporation/Organization and Bylaws EX-3 279,689 • Codes of Ethics EX-14 17,683 • Consents of Experts and Counsel EX-23 696,205 • Instruments, such as Indentures, Defining the Rights of Security Holders EX-4 394,001 • Invitations for Competitive Bids EX-26 1,373 • Letters re: Departures of Directors EX-17 6,392 • Material Contracts EX-10 1,473,594 • Mine-Safety Disclosures EX-95 3,588 • Mining Disclosures EX-96 21 • Opinions of Counsel re: Legality EX-5 289,832 • Opinions of Counsel re: Tax Matters EX-8 62,793 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions EX-2 120,727 • Powers of Attorney EX-24 421,069 • Published Reports re: Matters Submitted to Votes of Security Holders EX-22 4,311 • Reports Furnished to Security Holders EX-19 4,804 • Statements re: Eligibility of Trustees — Forms T-1 & T-2 EX-25 31,701 • Subsidiaries Lists EX-21 146,872 • Underwriting Agreements (and mislabeled “1st Exhibits”) EX-1 153,257 • Voting Trust Agreements EX-9 12,236 • Other Documents and Statements Furnished to Security Holders EX-20 40,025 ABS Exhibits — Asset-Backed Securities ↑ General Exhibits ↑ Top • Asset Data (some are very large XMLª Files) EX-102 ° 13,214 • Asset-Related Documents (XMLª Files) EX-103 ° 13,207 • Attestation Reports on Assessments of Compliance with Servicing Criteria EX-34 35,532 • Depositor Certifications for Shelf Offerings EX-36 844 • Reports of Compliance with Servicing Criteria EX-33 36,094 • Servicer Compliance Statements EX-35 20,928 • Static Pools EX-106 9 Additional Exhibits (Miscellaneous & Form-Specific) ↑ ABS Exhibits ↑ Top • Miscellaneous Exhibits, such as Press Releases EX-99 3,728,258 Reg. A/A+ Exhibits — Forms 1-A, 1-K, 1-SA & 1-U ↑ Additional Exhibits ↑ Top • Articles of Incorporation/Organization — Form 1-A EX1A-2A CHARTER 2,047 • Articles of Incorporation/Organization — Form 1-K EX1K-2A CHARTER 19 • Articles of Incorporation/Organization — Form 1-SA EX1SA-2A CHARTER 15 • Articles of Incorporation/Organization — Form 1-U EX1U-2A CHARTER 17 • Bylaws — Form 1-A EX1A-2B BYLAWS 1,046 • Bylaws — Form 1-K EX1K-2B BYLAWS 6 • Bylaws — Form 1-SA EX1SA-2B BYLAWS 5 • Bylaws — Form 1-U EX1U-2B BYLAWS 6 • Consents for Service — Form 1-A EX1A-14 CNSNT SV 52 • Consents for Service — Form 1-K EX1K-14 CNSNT SV 1 • Consents for Service — Form 1-SA EX1SA-14 CNSNT SV 1 • Consents for Service — Form 1-U EX1U-14 CNSNT SV 1 • Consents of Experts and Counsel — Form 1-A EX1A-11 CONSENT 2,304 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT 144 • Consents of Experts and Counsel — Form 1-SA EX1SA-11 CONSENT 7 • Consents of Experts and Counsel — Form 1-U EX1U-11 CONSENT 1 • Escrow Agreements — Form 1-A EX1A-8 ESCW AGMT 520 • Escrow Agreements — Form 1-K EX1K-8 ESCW AGMT 4 • Escrow Agreements — Form 1-SA EX1SA-8 ESCW AGMT 3 • Escrow Agreements — Form 1-U EX1U-8 ESCW AGMT 11 • Instruments Defining the Rights of Security Holders — Form 1-A EX1A-3 HLDRS RTS 1,070 • Instruments Defining the Rights of Security Holders — Form 1-K EX1K-3 HLDRS RTS 20 • Instruments Defining the Rights of Security Holders — Form 1-SA EX1SA-3 HLDRS RTS 8 • Instruments Defining the Rights of Security Holders — Form 1-U EX1U-3 HLDRS RTS 20 • Letters re: Changes in Certifying Accountants — Form 1-A EX1A-9 ACCT LTR 57 • Letters re: Changes in Certifying Accountants — Form 1-K EX1K-9 ACCT LTR 3 • Letters re: Changes in Certifying Accountants — Form 1-SA EX1SA-9 ACCT LTR 9 • Letters re: Changes in Certifying Accountants — Form 1-U EX1U-9 ACCT LTR 24 • Material Contracts — Form 1-A EX1A-6 MAT CTRCT 5,081 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT 168 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT 127 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT 232 • Opinions of Counsel re: Legality — Form 1-A EX1A-12 OPN CNSL 2,040 • Opinions of Counsel re: Legality — Form 1-K EX1K-12 OPN CNSL 2 • Opinions of Counsel re: Legality — Form 1-SA EX1SA-12 OPN CNSL 6 • Opinions of Counsel re: Legality — Form 1-U EX1U-12 OPN CNSL 1 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-A EX1A-7 ACQ AGMT 93 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-K EX1K-7 ACQ AGMT 1 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-SA EX1SA-7 ACQ AGMT 2 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-U EX1U-7 ACQ AGMT 6 • Powers of Attorney — Form 1-A EX1A-10 PWR ATTY 53 • Powers of Attorney — Form 1-K EX1K-10 PWR ATTY 1 • Powers of Attorney — Form 1-U EX1U-10 PWR ATTY 1 • Subscription Agreements — Form 1-A EX1A-4 SUBS AGMT 1,718 • Subscription Agreements — Form 1-K EX1K-4 SUBS AGMT 4 • Subscription Agreements — Form 1-SA EX1SA-4 SUBS AGMT 15 • Subscription Agreements — Form 1-U EX1U-4 SUBS AGMT 46 • Test-the-Waters Materials — Form 1-A EX1A-13 TST WTRS 721 • Test-the-Waters Materials — Form 1-K EX1K-13 TST WTRS 1 • Test-the-Waters Materials — Form 1-U EX1U-13 TST WTRS 3 • Underwriting Agreements — Form 1-A EX1A-1 UNDR AGMT 588 • Underwriting Agreements — Form 1-K EX1K-1 UNDR AGMT 1 • Underwriting Agreements — Form 1-SA EX1SA-1 UNDR AGMT 2 • Underwriting Agreements — Form 1-U EX1U-1 UNDR AGMT 24 • Voting Trust Agreements — Form 1-A EX1A-5 VOTG TRST 36 • Miscellaneous Exhibits, such as Press Releases Form 1-A EX1A-15 ADD EXHB 1,624 • Miscellaneous Exhibits, such as Press Releases Form 1-K EX1K-15 ADD EXHB 2 • Miscellaneous Exhibits, such as Press Releases Form 1-SA EX1SA-15 ADD EXHB 35 • Miscellaneous Exhibits, such as Press Releases Form 1-U EX1U-15 ADD EXHB 329 Alternative Trading System Exhibits — Form ATS-N – NMS Stock ↑ Reg. A/A+ Exhibits ↑ Top • Cover Pages COVER PAGE× 54 • Direct Owners and Executive Officers — Form BD – Sch. A ATS-N EX-1 SCHD A BD 161 • Indirect Owners — Form BD – Sch. B ATS-N EX-2 SCHD B BD 160 • Redline Changes — Form BD – Sch. A & B Δ ATS-N EX-3 REDLINE 144 • Aggregate Statistics ATS-N EX-4 AGG STATS 65 • Category Metrics ATS-N EX-5 CATG MTRC 49 Investment Company Exhibits — Form N-CEN – Annual Report ↑ Alternative Trading System Exhibits ↑ Top • Changes in Accounting Principles and Practices Δ CHG ACCT PRINCIPLES 5 • Codes of Ethics CODE OF ETHICS 2 • Independent Public Accountants’ Reports on Internal Control INTERNAL CONTROL RPT 7,654 • Info Filed Pursuant to Exemptive Orders EXEMPT ORDER INFO 796 • Instruments Defining the Rights of Security Holders INST DEFINING RIGHTS 134 • Investment Adviser Agreements ADVISORY CONTRACTS 388 • Late-Filings Reports — Reg. S-K – Item 405 ITEM 405 REG S-K 69 • Legal Proceedings LEGAL PROCEEDINGS 185 • Material Amendments to Organizational Documents MATERIAL AMENDMENTS 324 • Provisions of Financial Support FINANCIAL SUPPORT 32 • Other Required Info OTHER REQUIRED INFO 304 Broker-Dealer Reports — Form X-17A-5 – Annual Financial Report ↑ Investment Company Exhibits ↑ Top Statements: • Annual Financial Reports (Full) FULL 4,210 • Statements of Financial Condition STMT FIN COND 1,016 • Notes to Statements of Financial Condition STMT FIN COND NOTES 934 • Statements of Income STMT INCOME 279 • Statements of Cash Flows STMT CASH FLOW 280 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity STMT CHG SH EQY 283 • Statements of Changes in Liabilities Subordinated to Claims of Creditors STMT CHG SUB LIABS 25 • Notes to Financial Statements FINAN STMTS NOTES 142 Disclosures: • Computations of Net Capital COMP NET CAP 292 • Computations for Determination of Reserve Requirements COMP RESERV REQ 141 • Info re: Possession and Control Requirements INFO POS CTRL REQ 110 • 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 17 • Compliance Reports COMPL RPT 54 • Exemption Reports EXEMP RPT 333 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO 526 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements ACCT RPT FIN RPT 532 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports ACCT RPT COMPL RPT 53 • Accountants’ Reports re: Reviews of Exemption Reports ACCT RPT EXEMP RPT 326 • Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers ANC/OTC AGD PROC 52 • Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous Audits MAT INADEQ RPT 1 • Other Disclosures OTHER 418 Financials — Financial Reports, Exhibits, Workbooks & Data ↑ Broker-Dealer Reports ↑ Top • Certifications — §302 – SOA’02 EX-31 1,156,360 • Certifications — §906 – SOA’02 EX-32 928,995 • Letters re: Changes in Accounting Principles EX-18 2,870 • Letters re: Changes in Certifying Accountants EX-16 38,373 • Letters re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews EX-7 11,621 • Letters re: Unaudited Interim Financial Info EX-15 35,570 • Statements re: Computations of Earnings Per Share EX-11 61,497 • Statements re: Computations of Ratios EX-12 120,494 • IDEA Financial Reports (IDEAª, XMLª, XBRLª and iXBRLª Files) R# & XML ° 15,997,641 • IDEA Workbooks of Financial Reports (IDEAª Excel . xls and . xlsx Files) EXCEL 396,091 • XBRL Data (XBRLª and iXBRLª Files) EX-101.*× 2,024,272 • XBRL Instances as JavaScript Object Notation Data (iXBRLª JSONª Files) JSON 50,126 • XBRL Zipped Folders (. zip Folders of XBRLª or iXBRLª Files) ZIP 351,939 Graphics ↑ Financials ↑ Top • Photos, Images and Graphs (. jpg/. jpeg, . gif and . png Files) GRAPHIC 13,232,756 Totals 43,085,147 ____________ ° May be an XMLª, XBRLª or iXBRLª File. (Most XMLª Files are rendered by using the SEC’s XSLTª Stylesheets – × Must be an XMLª, XBRLª or iXBRLª File. XBRLª Files are rendered by the SEC as IDEAª ‘R# ª Acronyms: XML: eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard. ‹?xml? › XBRL: eXtensible Business Reporting Language — A financial-data-interchange standard, based on XML. iXBRL: Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard. i JSON: JavaScript Object Notation — A lightweight data-interchange standard, used to encode iXBRL data. XSLT: eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML. IDEA: Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data. (See our XBRL page info.) 
