SEC Info
HomeSearchMy InterestsHelpSign InPlease Sign In

141 Document/Exhibit Types

To list Recent Filings containing Selected Document/Exhibit Types... or Filing/Form Types

Choose the Document/Exhibit Types within Filings you wish to list, then click on this button:
(For the most-recent Filing containing a Document/Exhibit Type, right-click on the right-most column.)



Category:
Letters Form-Specific Documents General Exhibits ABS Exhibits Additional Exhibits Reg. A/A+ Exhibits Broker-Dealer Reports Financials Graphics Totals
DescriptionDoc. / Exh. TypeDocuments
In ascending order(click for most-recent)
Letters
Envelope emoji
Comment Letters & Correspondence (delayed release)
Top
Comment and Other Letters from the SEC [ a.k.a. UPLOAD ]LETTER147,481
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER742
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP148,297
Form-Specific Documents
Page facing up emoji
(Form-Specific Exhibits are ↓Below)
Letters Top
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE89,057
Part II — Form 1-KPART II158
Parts II & III — Form 1-APART II AND III2,090
Swap Data Repository Compliance Reports — Form SDR-CCOSDR-CR
General Exhibits
Bookmark tabs emoji
Form-Specific Documents Top
Annual and Quarterly Reports to Security HoldersEX-1348,309
Articles of Incorporation/Organization and By-LawsEX-3263,316
Code of EthicsEX-1416,808
Consents of Experts and CounselEX-23659,542
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4362,971
Invitations for Competitive BidsEX-261,256
Letters re: Departures of DirectorsEX-176,140
Material ContractsEX-101,374,045
Mine-Safety DisclosuresEX-952,722
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5268,692
Opinions re: Tax MattersEX-859,375
Other Documents and Statements Furnished to Security HoldersEX-2039,933
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2114,288
Powers of AttorneyEX-24377,322
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,078
Reports Furnished to Security HoldersEX-194,775
Statements re: Eligibility of Trustees — Forms T-1 & T-2EX-2530,281
SubsidiariesEX-21136,875
Underwriting Agreements and Conflict Minerals Reports (and mislabeled “1st Exhibits”)EX-1141,228
Voting Trust AgreementsEX-912,108
ABS Exhibits
Bookmark tabs emoji
— Asset-Backed Securities
AB button (blood type) emoji
General Exhibits Top
ABS – Asset Data (some are very large XMLª Files)EX-1021,780
ABS – Asset-Related Documents (XMLª Files)EX-1031,776
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3426,781
ABS – Depositor Certifications for Shelf OfferingsEX-36499
ABS – Reports of Compliance with Servicing CriteriaEX-3327,278
ABS – Servicer Compliance StatementsEX-3515,988
ABS – Static PoolsEX-1069
Additional Exhibits
Bookmark tabs emoji
ABS Exhibits Top
Miscellaneous Exhibits, including Press Releases
Page facing up emoji
EX-99.*3,378,335
Reg. A/A+ Exhibits
Bookmark tabs emoji
— Forms 1-A, 1-K, 1-SA & 1-U
A button (blood type) emoji
Additional Exhibits Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER856
Articles of Incorporation/Organization — Form 1-KEX1K-2A CHARTER10
Articles of Incorporation/Organization — Form 1-SAEX1SA-2A CHARTER7
Articles of Incorporation/Organization — Form 1-UEX1U-2A CHARTER3
By-Laws — Form 1-AEX1A-2B BYLAWS524
By-Laws — Form 1-KEX1K-2B BYLAWS2
By-Laws — Form 1-SAEX1SA-2B BYLAWS
By-Laws — Form 1-UEX1U-2B BYLAWS1
Consents for Service — Form 1-AEX1A-14 CNSNT SV21
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 CONSENT1,070
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT52
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 AGMT221
Escrow Agreements — Form 1-KEX1K-8 ESCW AGMT1
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 RTS444
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-KEX1K-3 HLDRS RTS8
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SAEX1SA-3 HLDRS RTS2
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 LTR2
Letters re: Accountants and Accounting Principles — Form 1-SAEX1SA-9 ACCT LTR2
Letters re: Accountants and Accounting Principles — Form 1-UEX1U-9 ACCT LTR10
Material Contracts — Form 1-AEX1A-6 MAT CTRCT2,292
Material Contracts — Form 1-KEX1K-6 MAT CTRCT67
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT26
Material Contracts — Form 1-UEX1U-6 MAT CTRCT64
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL890
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 AGMT53
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-KEX1K-7 ACQ AGMT1
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 AGMT3
Powers of Attorney — Form 1-AEX1A-10 PWR ATTY26
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 AGMT666
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 WTRS318
Testing-the-Waters Materials — Form 1-KEX1K-13 TST WTRS1
Testing-the-Waters Materials — Form 1-SAEX1SA-13 TST WTRS
Testing-the-Waters Materials — Form 1-UEX1U-13 TST WTRS1
Underwriting Agreements — Form 1-AEX1A-1 UNDR AGMT265
Underwriting Agreements — Form 1-KEX1K-1 UNDR AGMT
Underwriting Agreements — Form 1-SAEX1SA-1 UNDR AGMT
Underwriting Agreements — Form 1-UEX1U-1 UNDR AGMT7
Voting Trust Agreements — Form 1-AEX1A-5 VOTG TRST23
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
Page facing up emoji
Form 1-A
EX1A-15 ADD EXHB581
Miscellaneous Exhibits, including Press Releases
Page facing up emoji
Form 1-K
EX1K-15 ADD EXHB1
Miscellaneous Exhibits, including Press Releases
Page facing up emoji
Form 1-SA
EX1SA-15 ADD EXHB3
Miscellaneous Exhibits, including Press Releases
Page facing up emoji
Form 1-U
EX1U-15 ADD EXHB46
Broker-Dealer Reports
Open book emoji
— Form X-17A-5 Annual Financials
Reg. A/A+ Exhibits Top
Statements:
Page facing up emoji
Full Annual Financial ReportsFULL1,771
Statements of Financial ConditionSTMT FIN COND818
Notes to Statements of Financial ConditionSTMT FIN COND NOTES777
Statements of IncomeSTMT INCOME255
Statements of Cash FlowsSTMT CASH FLOW255
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY259
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS22
Notes to Financial StatementsFINAN STMTS NOTES137
Disclosures:
Eyes emoji
Computations of Net CapitalCOMP NET CAP268
Computations for Determination of Reserve RequirementsCOMP RESERV REQ132
Information re: Possession and Control RequirementsINFO POS CTRL REQ104
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 RESERV17
Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial ConditionSUM UNCONSOLTD SUBS
Compliance ReportsCOMPL RPT30
Exemption ReportsEXEMP RPT285
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO446
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT440
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT31
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT282
Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives DealersANC/OTC AGD PROC50
Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous AuditsMAT INADEQ RPT1
Other DocumentsOTHER330
Financials
Heavy dollar sign emoji
Heavy dollar sign emoji
Heavy dollar sign emoji
— Financial Exhibits, Reports, Workbooks & Data
Broker-Dealer Reports Top
Certifications — Sarbanes-Oxley Act – Sect. 302EX-311,044,653
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32841,052
Letters re: Changes in Accounting PrinciplesEX-182,778
Letters re: Changes in Certifying AccountantsEX-1636,758
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-711,282
Letters re: Unaudited Interim Financial InformationEX-1532,906
Statements re: Computations of Earnings Per ShareEX-1161,241
Statements re: Computations of RatiosEX-12116,124
Financial Data Schedules {Pre-XBRL/IDEA}EX-27604,663
Swap Data Repository Financial Reports — Form SDR-CCOSDR-FR
IDEA Financial Reports
Open book emoji
(IDEAª & XMLª/XBRLª Files)
R# & XML11,981,271
IDEA Workbooks of Financial Reports
Excel emoji
(.xls/.xlsx Files)
EXCEL302,096
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instances as JavaScript Object Notation Data (JSONª Files)JSON541
XBRL Data (XBRLª Files)EX-101.*1,501,357
XBRL Data {Voluntary} (XBRLª Files)EX-100.*4,457
XBRL Zipped Folders
Open file folder emoji
(Folders of XBRLª Files)
ZIP250,672
Graphics
Bar chart emoji
Framed picture emoji
Chart decreasing emoji
Financials Top
Images, Pictures and Graphs (.gif, .jpeg/.jpg & .png Files)GRAPHIC10,745,132
________
T This Document/Exhibit Type is obsolete. Totals 35,329,480
ª Acronyms:
Input Latin uppercase emoji
XML: eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard.
XBRL: eXtensible Business Reporting Language — A financial-data-interchange standard, based on XML.
JSON: JavaScript Object Notation — A lightweight data-interchange standard, used to express XBRL data.
IDEA: Interactive Data [XBRL] Apps — The SEC’s implementations of XBRL (see our XBRL page info).


Top

Copyright 2018 Fran Finnegan & Company. All Rights Reserved.
AboutPrivacyRedactionsHelp — Fri., Jul. 20, 8:17:26.0am ET