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296  Document/Exhibit Types
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  Category:     Letters     Form-Specific Documents     General Exhibits     ABS Exhibits     Additional Exhibits     Reg. A/A+ Exhibits     Alternative Trading System Exhibits     Investment Company Exhibits     Broker-Dealer Reports     Financials     Graphics Bottom 
 
 • Description Doc. / Exh. TypeDocuments
In ascending order(click for most-recent) 
 
  Letters
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SEC Comment Letters & Correspondence   (* Delayed Release)
  Top 
 
 • Comment and Other Letters from the SEC
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  [ a.k.a. Filing UPLOAD ] *
 LETTER160,655 
 • Comment and Other Letters from the SEC (PDF Text)
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  [ a.k.a. LETTER↑ ] *
 TEXT-EXTRACT11,680 
 • Comment-Response and Other Letters to the SEC
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  [ a.k.a. COVER↓ ] *
 CORRESP205,730 
 • Comment-Response and Cover Letters to the SEC
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  [ a.k.a. Filing CORRESP ] *
 COVER31,244 
 • SEC Staff Actions – SEC Orders
SEC emoji
  [ a.k.a. Filing SEC ACTION ]
 ORDER236 
 • SEC Staff Letters
SEC emoji
  [ a.k.a. Filing SEC LETTER ]
 STAFF LETTER4 
 • SEC Staff Letters re: Redacted Exhibits
SEC emoji
  [ a.k.a. Filing SEC LETTER ]
 REDACTED EXHIBIT637 
 • SEC Staff Letters re: Serious Deficiencies
SEC emoji
  [ a.k.a. Filing SEC LETTER ]
 SERIOUS DEFICIENCIES10 
 • SEC Staff Letters re: Shareholder Proposals
SEC emoji
  [ a.k.a. Filing SEC LETTER ]
 14A-81 
 
  Form-Specific Documents
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  (Form-Specific Exhibits
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are ↓Below)
Letters   Top 
 
 • Alternative Trading Systems (NMS Stock) – Part II Items — Form ATS-N 
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 ATS-N PART2 ITM20 
 • Alternative Trading Systems (NMS Stock) – Part III Items — Form ATS-N 
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 ATS-N PART3 ITM65 
 • Annual Reports – Part II — Reg. A – Form 1-K 
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 PART II451 
 • Offering Statements – Parts II and III — Reg. A/A+ – Form 1-A 
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 PART II AND III4,433 
 • Portfolio Holdings Schedules — Form N-PORT
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  [ formerly Filing NPORT-EX ]
 NPORT-EX35,197 
 • Portfolio Securities Holdings Info Tables — Form 13F 
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 INFORMATION TABLE×142,721 
 
  General Exhibits
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  (Regs.
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S-K & S-B)
Form-Specific Documents   Top 
 
 • Annual and Quarterly Reports to Security Holders 
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 EX-1351,833 
 • Articles of Incorporation/Organization and Bylaws 
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 EX-3281,955 
 • Codes of Ethics 
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 EX-1417,805 
 • Consents of Experts and Counsel 
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 EX-23698,894 
 • Instruments, such as Indentures, Defining the Rights of Security Holders 
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 EX-4396,715 
 • Invitations for Competitive Bids 
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 EX-261,415 
 • Letters re: Departures of Directors 
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 EX-176,428 
 • Material Contracts 
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 EX-101,484,392 
 • Mine-Safety Disclosures 
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 EX-953,668 
 • Mining Disclosures 
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 EX-9652 
 • Opinions of Counsel re: Legality 
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 EX-5291,915 
 • Opinions of Counsel re: Tax Matters 
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 EX-863,016 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions 
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 EX-2121,311 
 • Powers of Attorney 
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 EX-24425,046 
 • Published Reports re: Matters Submitted to Votes of Security Holders 
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 EX-224,401 
 • Reports Furnished to Security Holders 
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 EX-194,809 
 • Statements re: Eligibility of Trustees — Forms T-1 & T-2 
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 EX-2531,836 
 • Subsidiaries Lists 
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 EX-21147,299 
 • Underwriting Agreements
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and Conflict Minerals Reports
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  (and mislabeled “1st Exhibits”)
 EX-1154,428 
 • Voting Trust Agreements 
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 EX-912,249 
 • Other Documents and Statements Furnished to Security Holders 
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 EX-2040,033 
 
  ABS Exhibits
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— Asset-Backed Securities
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General Exhibits   Top 
 
 • Asset Data
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  (some are very large XMLª Files)
 EX-102°14,640 
 • Asset-Related Documents
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  (XMLª Files)
 EX-103°14,633 
 • Attestation Reports on Assessments of Compliance with Servicing Criteria 
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 EX-3435,533 
 • Depositor Certifications for Shelf Offerings 
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 EX-36861 
 • Reports of Compliance with Servicing Criteria 
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 EX-3336,095 
 • Servicer Compliance Statements 
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 EX-3520,928 
 • Static Pools 
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 EX-1069 
 
  Additional Exhibits
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  (Miscellaneous & Form-Specific)
ABS Exhibits   Top 
 
 • Miscellaneous Exhibits, such as Press Releases
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 EX-993,760,721 
 
  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-A 
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 EX1A-2A CHARTER2,180 
 • Articles of Incorporation/Organization — Form 1-K 
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 EX1K-2A CHARTER20 
 • Articles of Incorporation/Organization — Form 1-SA 
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 EX1SA-2A CHARTER18 
 • Articles of Incorporation/Organization — Form 1-U 
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 EX1U-2A CHARTER21 
 • Bylaws — Form 1-A 
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 EX1A-2B BYLAWS1,096 
 • Bylaws — Form 1-K 
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 EX1K-2B BYLAWS7 
 • Bylaws — Form 1-SA 
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 EX1SA-2B BYLAWS8 
 • Bylaws — Form 1-U 
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 EX1U-2B BYLAWS6 
 • Consents for Service — Form 1-A 
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 EX1A-14 CNSNT SV60 
 • Consents for Service — Form 1-K 
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 EX1K-14 CNSNT SV1 
 • Consents for Service — Form 1-SA 
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 EX1SA-14 CNSNT SV1 
 • Consents for Service — Form 1-U 
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 EX1U-14 CNSNT SV1 
 • Consents of Experts and Counsel — Form 1-A 
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 EX1A-11 CONSENT2,462 
 • Consents of Experts and Counsel — Form 1-K 
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 EX1K-11 CONSENT151 
 • Consents of Experts and Counsel — Form 1-SA 
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 EX1SA-11 CONSENT12 
 • Consents of Experts and Counsel — Form 1-U 
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 EX1U-11 CONSENT1 
 • Escrow Agreements — Form 1-A 
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 EX1A-8 ESCW AGMT546 
 • Escrow Agreements — Form 1-K 
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 EX1K-8 ESCW AGMT5 
 • Escrow Agreements — Form 1-SA 
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 EX1SA-8 ESCW AGMT6 
 • Escrow Agreements — Form 1-U 
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 EX1U-8 ESCW AGMT23 
 • Instruments Defining the Rights of Security Holders — Form 1-A 
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 EX1A-3 HLDRS RTS1,246 
 • Instruments Defining the Rights of Security Holders — Form 1-K 
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 EX1K-3 HLDRS RTS20 
 • Instruments Defining the Rights of Security Holders — Form 1-SA 
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 EX1SA-3 HLDRS RTS12 
 • Instruments Defining the Rights of Security Holders — Form 1-U 
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 EX1U-3 HLDRS RTS23 
 • Letters re: Changes in Certifying Accountants — Form 1-A 
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 EX1A-9 ACCT LTR57 
 • Letters re: Changes in Certifying Accountants — Form 1-K 
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 EX1K-9 ACCT LTR4 
 • Letters re: Changes in Certifying Accountants — Form 1-SA 
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 EX1SA-9 ACCT LTR10 
 • Letters re: Changes in Certifying Accountants — Form 1-U 
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 EX1U-9 ACCT LTR29 
 • Material Contracts — Form 1-A 
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 EX1A-6 MAT CTRCT5,473 
 • Material Contracts — Form 1-K 
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 EX1K-6 MAT CTRCT171 
 • Material Contracts — Form 1-SA 
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 EX1SA-6 MAT CTRCT164 
 • Material Contracts — Form 1-U 
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 EX1U-6 MAT CTRCT246 
 • Opinions of Counsel re: Legality — Form 1-A 
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 EX1A-12 OPN CNSL2,176 
 • Opinions of Counsel re: Legality — Form 1-K 
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 EX1K-12 OPN CNSL2 
 • Opinions of Counsel re: Legality — Form 1-SA 
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 EX1SA-12 OPN CNSL7 
 • Opinions of Counsel re: Legality — Form 1-U 
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 EX1U-12 OPN CNSL1 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-A 
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 EX1A-7 ACQ AGMT102 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-K 
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 EX1K-7 ACQ AGMT1 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-SA 
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 EX1SA-7 ACQ AGMT2 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-U 
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 EX1U-7 ACQ AGMT6 
 • Powers of Attorney — Form 1-A 
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 EX1A-10 PWR ATTY54 
 • Powers of Attorney — Form 1-K 
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 EX1K-10 PWR ATTY1 
 • Powers of Attorney — Form 1-SA 
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 EX1SA-10 PWR ATTY1 
 • Powers of Attorney — Form 1-U 
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 EX1U-10 PWR ATTY1 
 • Subscription Agreements — Form 1-A 
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 EX1A-4 SUBS AGMT1,830 
 • Subscription Agreements — Form 1-K 
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 EX1K-4 SUBS AGMT4 
 • Subscription Agreements — Form 1-SA 
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 EX1SA-4 SUBS AGMT18 
 • Subscription Agreements — Form 1-U 
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 EX1U-4 SUBS AGMT61 
 • Test-the-Waters Materials — Form 1-A 
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 EX1A-13 TST WTRS754 
 • Test-the-Waters Materials — Form 1-K 
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 EX1K-13 TST WTRS1 
 • Test-the-Waters Materials — Form 1-U 
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 EX1U-13 TST WTRS3 
 • Underwriting Agreements — Form 1-A 
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 EX1A-1 UNDR AGMT628 
 • Underwriting Agreements — Form 1-K 
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 EX1K-1 UNDR AGMT1 
 • Underwriting Agreements — Form 1-SA 
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 EX1SA-1 UNDR AGMT3 
 • Underwriting Agreements — Form 1-U 
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 EX1U-1 UNDR AGMT25 
 • Voting Trust Agreements — Form 1-A 
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 EX1A-5 VOTG TRST37 
 • Miscellaneous Exhibits, such as Press Releases
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 — Form 1-A
 EX1A-15 ADD EXHB1,666 
 • Miscellaneous Exhibits, such as Press Releases
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 — Form 1-K
 EX1K-15 ADD EXHB2 
 • Miscellaneous Exhibits, such as Press Releases
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 — Form 1-SA
 EX1SA-15 ADD EXHB44 
 • Miscellaneous Exhibits, such as Press Releases
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 — Form 1-U
 EX1U-15 ADD EXHB359 
 
  Alternative Trading System Exhibits
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— Form ATS-N – NMS Stock
Reg. A/A+ Exhibits   Top 
 
 • Cover Pages 
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 COVER PAGE×62 
 • Direct Owners and Executive Officers — Form BD – Sch. A 
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 ATS-N EX-1 SCHD A BD185 
 • Indirect Owners — Form BD – Sch. B 
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 ATS-N EX-2 SCHD B BD184 
 • Redline Changes — Form BD – Sch. A & B  Δ ATS-N EX-3 REDLINE171 
 • Aggregate Statistics 
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 ATS-N EX-4 AGG STATS69 
 • Category Metrics 
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 ATS-N EX-5 CATG MTRC54 
 
  Investment Company Exhibits
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— Form N-CEN – Annual Report
Alternative Trading System Exhibits   Top 
 
 • Changes in Accounting Principles and Practices  Δ CHG ACCT PRINCIPLES5 
 • Codes of Ethics 
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 CODE OF ETHICS2 
 • Independent Public Accountants’ Reports on Internal Control 
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 INTERNAL CONTROL RPT8,076 
 • Info Filed Pursuant to Exemptive Orders 
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 EXEMPT ORDER INFO855 
 • Instruments Defining the Rights of Security Holders 
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 INST DEFINING RIGHTS134 
 • Investment Adviser Agreements 
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 ADVISORY CONTRACTS405 
 • Late-Filings Reports — Reg. S-K – Item 405 
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 ITEM 405 REG S-K70 
 • Legal Proceedings 
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 LEGAL PROCEEDINGS194 
 • Material Amendments to Organizational Documents 
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 MATERIAL AMENDMENTS371 
 • Provisions of Financial Support 
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 FINANCIAL SUPPORT35 
 • Other Required Info 
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 OTHER REQUIRED INFO314 
 
  Broker-Dealer Reports
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— Form X-17A-5 – Annual Financial Report
Investment Company Exhibits   Top 
 
 Statements: 
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 • Annual Financial Reports (Full) 
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 FULL4,237 
 • Statements of Financial Condition 
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 STMT FIN COND1,020 
 • Notes to Statements of Financial Condition 
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 STMT FIN COND NOTES936 
 • Statements of Income 
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 STMT INCOME279 
 • Statements of Cash Flows 
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 STMT CASH FLOW280 
 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity 
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 STMT CHG SH EQY283 
 • Statements of Changes in Liabilities Subordinated to Claims of Creditors 
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 STMT CHG SUB LIABS25 
 • Notes to Financial Statements 
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 FINAN STMTS NOTES142 
 
 Disclosures: 
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 • Computations of Net Capital 
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 COMP NET CAP292 
 • Computations for Determination of Reserve Requirements 
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 COMP RESERV REQ141 
 • Info re: Possession and Control Requirements 
Information emoji
 INFO POS CTRL REQ110 
 • Reconciliations (and Statements) re: Material Differences (or None) Between FINRA FOCUS Reports and Computations of Net Capital or Computations for Determination of Reserve Requirements 
Abacus emoji
 RECONCIL CAP RESERV17 
 • Compliance Reports 
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 COMPL RPT54 
 • Exemption Reports 
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 EXEMP RPT333 
 • Accountants’ Reports re: Examinations of Statements of Financial Condition 
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 ACCT RPT STMT FIN CO527 
 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements 
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 ACCT RPT FIN RPT534 
 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports 
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 ACCT RPT COMPL RPT53 
 • Accountants’ Reports re: Reviews of Exemption Reports 
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 ACCT RPT EXEMP RPT327 
 • Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers 
Abacus emoji
 ANC/OTC AGD PROC52 
 • Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous Audits 
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 MAT INADEQ RPT1 
 • Other Disclosures 
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 OTHER420 
 
  Financials
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— Financial Reports, Exhibits, Workbooks & Data
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Broker-Dealer Reports   Top 
 
 • Certifications — §302 – SOA’02 
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 EX-311,167,559 
 • Certifications — §906 – SOA’02 
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 EX-32938,136 
 • Letters re: Changes in Accounting Principles 
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 EX-182,878 
 • Letters re: Changes in Certifying Accountants 
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 EX-1638,533 
 • Letters re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews 
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 EX-711,659 
 • Letters re: Unaudited Interim Financial Info 
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 EX-1535,710 
 • Statements re: Computations of Earnings Per Share 
Abacus emoji
 EX-1161,521 
 • Statements re: Computations of Ratios 
Abacus emoji
 EX-12120,597 
 • IDEA Financial Reports
Open book emoji
  (IDEAª, XMLª, XBRLª and iXBRLª Files)
 R#  &  XML°16,406,493 
 • IDEA Workbooks of Financial Reports
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  (IDEAª Excel .xls and .xlsx Files)
 EXCEL410,234 
 • XBRL Data
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  (XBRLª and iXBRLª Files)
 EX-101.*×2,091,416 
 • XBRL Instances as JavaScript Object Notation Data
JSON emoji
  (iXBRLª JSONª Files)
 JSON62,038 
 • XBRL Zipped Folders
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  (.zip Folders of XBRLª or iXBRLª Files)
 ZIP366,505 
 
  Graphics
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Financials   Top 
 
 • Photos, Images and Graphs
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Bar chart emoji
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  (.jpg/.jpeg, .gif and .png Files)
 GRAPHIC13,447,387 
 
  Totals   43,919,789 
____________
° 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#’ Financial Reports.)
ª Acronyms: 
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      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.  
xBRL emoji
      iXBRL:  Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard.  i
xBRL emoji
      JSON:  JavaScript Object Notation — A lightweight data-interchange standard, used to encode iXBRL data.  
JSON emoji
      XSLT:  eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML.  
W3C emoji
      IDEA:  Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data.  (See our XBRL page info.)  
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