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140 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 ]LETTER137,351
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER702
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP134,454
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE60,216
Part II — Form 1-KPART II14
Parts II & III — Form 1-APART II AND III969
ABS-Specific — Asset-Backed SecuritiesForm-Specific Top
ABS – Asset DataEX-102
ABS – Asset-Related DocumentsEX-103
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3420,195
ABS – Depositor Certifications for Shelf OfferingsEX-36244
ABS – Reports of Compliance with Servicing CriteriaEX-3320,676
ABS – Servicer Compliance StatementsEX-3511,133
ABS – Static PoolsEX-1069
GeneralABS-Specific Top
Annual and Quarterly Reports to Security HoldersEX-1345,404
Articles of Incorporation/Organization and By-LawsEX-3250,867
Certifications — Sarbanes-Oxley Act – Sect. 302EX-31964,863
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32778,293
Code of EthicsEX-1416,132
Consents of Experts and CounselEX-23628,253
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4344,073
Invitations for Competitive BidsEX-261,141
Letters re: Changes in Accounting PrinciplesEX-182,702
Letters re: Changes in Certifying AccountantsEX-1635,290
Letters re: Departures of DirectorsEX-175,889
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-710,894
Letters re: Unaudited Interim Financial InformationEX-1530,853
Material ContractsEX-101,303,426
Mine-Safety DisclosuresEX-952,114
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5253,728
Opinions re: Tax MattersEX-856,471
Other Documents and Statements Furnished to Security HoldersEX-2039,883
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2109,159
Powers of AttorneyEX-24343,896
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,030
Reports Furnished to Security HoldersEX-194,741
Statements re: Computations of Earnings Per ShareEX-1160,871
Statements re: Computations of RatiosEX-12107,925
Statements re: Eligibility of TrusteesEX-2529,043
SubsidiariesEX-21127,931
Underwriting AgreementsEX-1131,863
Voting Trust AgreementsEX-911,976
AdditionalGeneral Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,110,728
Reg. A / A+ — Forms 1-A, 1-K, 1-SA and 1-UAdditional Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER395
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 CHARTER1
By-Laws — Form 1-AEX1A-2B BYLAWS251
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 CONSENT428
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT8
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 AGMT95
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 RTS165
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 RTS2
Letters re: Accountants and Accounting Principles — Form 1-AEX1A-9 ACCT LTR9
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 CTRCT904
Material Contracts — Form 1-KEX1K-6 MAT CTRCT3
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT4
Material Contracts — Form 1-UEX1U-6 MAT CTRCT17
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL389
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 AGMT15
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 ATTY3
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 AGMT299
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 WTRS165
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 AGMT99
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 TRST7
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 EXHB293
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 EXHB7
Form X-17A-5 — Annual Financial Reports by Broker-DealersReg. A / A+ Top
Statements:
Statements of Financial ConditionSTMT FIN COND587
Notes to Statements of Financial ConditionSTMT FIN COND NOTES583
Statements of IncomeSTMT INCOME198
Statements of Cash FlowsSTMT CASH FLOW197
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY199
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS18
Notes to Financial StatementsFINAN STMTS NOTES105
Disclosures:
Computations of Net CapitalCOMP NET CAP208
Computations for Determination of Reserve RequirementsCOMP RESERV REQ97
Information re: Possession and Control RequirementsINFO POS CTRL REQ75
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 RESERV12
Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial ConditionSUM UNCONSOLTD SUBS
Compliance ReportsCOMPL RPT14
Exemption ReportsEXEMP RPT211
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO339
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT332
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT15
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT209
Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives DealersANC/OTC AGD PROC40
Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous AuditsMAT INADEQ RPT1
Other DocumentsOTHER226
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# & XML9,412,283
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL259,808
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON35
XBRL Interactive DataXML FilesEX-101.*1,213,665
XBRL Voluntary DataXML FilesEX-100.*4,434
XBRL Zipped FoldersFolders of XML FilesZIP202,293
Non-DocumentFinancial Data Top
Images, Pictures and GraphsGIF, JPEG & PNG FilesGRAPHIC9,087,064
________
T This Document/Exhibit Type is obsolete.Total: 30,002,728

 
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