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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
•	Description		Doc. / Exh. Type	Documents
		(click for most-recent)
Letters — SEC Comment Letters & Correspondence   (Release delayed)			↑Top
•	Comment and Other Letters from the SEC   [ a.k.a. Filing UPLOAD ]		LETTER	158,019
•	Comment and Other Letters from the SEC (PDF Text)   [ a.k.a. LETTER↑ ]		TEXT-EXTRACT	9,044
•	Comment-Response and Other Letters to the SEC   [ a.k.a. COVER↓ ]		CORRESP	201,586
•	Comment-Response and Cover Letters to the SEC   [ a.k.a. Filing CORRESP ]		COVER	30,675
•	SEC Staff Actions – SEC Orders   [ a.k.a. Filing SEC ACTION ]		ORDER	205
•	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	568
•	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 are ↓Below)			↑Letters   ↑Top
•	Alternative Trading Systems (NMS Stock) – Part II Items — Form ATS-N		ATS-N PART2 ITM	8
•	Alternative Trading Systems (NMS Stock) – Part III Items — Form ATS-N		ATS-N PART3 ITM	48
•	Annual Reports – Part II — Reg. A – Form 1-K		PART II	418
•	Offering Statements – Parts II and III — Reg. A/A+ – Form 1-A		PART II AND III	3,894
•	Portfolio Holdings Schedules — Form N-PORT   [ formerly Filing NPORT-EX ]		NPORT-EX	24,407
•	Securities Holdings Info Tables — Form 13F   (XMLª Files)		INFORMATION TABLE×	131,585
General Exhibits   (Regs. S-K & S-B)			↑Form-Specific Documents   ↑Top
•	Annual and Quarterly Reports to Security Holders		EX-13	51,589
•	Articles of Incorporation/Organization and Bylaws		EX-3	277,599
•	Codes of Ethics		EX-14	17,574
•	Consents of Experts and Counsel		EX-23	693,080
•	Instruments, such as Indentures, Defining the Rights of Security Holders		EX-4	391,113
•	Invitations for Competitive Bids		EX-26	1,373
•	Letters re: Departures of Directors		EX-17	6,369
•	Material Contracts		EX-10	1,462,062
•	Mine-Safety Disclosures		EX-95	3,505
•	Mining Disclosures		EX-96	19
•	Opinions of Counsel re: Legality		EX-5	287,166
•	Opinions of Counsel re: Tax Matters		EX-8	62,563
•	Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions		EX-2	120,224
•	Powers of Attorney		EX-24	417,369
•	Published Reports re: Matters Submitted to Votes of Security Holders		EX-22	4,213
•	Reports Furnished to Security Holders		EX-19	4,796
•	Statements re: Eligibility of Trustees — Forms T-1 & T-2		EX-25	31,566
•	Subsidiaries Lists		EX-21	146,417
•	Underwriting Agreements and Conflict Minerals Reports   (and mislabeled “1st Exhibits”)		EX-1	152,063
•	Voting Trust Agreements		EX-9	12,222
•	Other Documents and Statements Furnished to Security Holders		EX-20	40,008
ABS Exhibits — Asset-Backed Securities			↑General Exhibits   ↑Top
•	Asset Data   (some are very large XMLª Files)		EX-102°	11,927
•	Asset-Related Documents   (XMLª Files)		EX-103°	11,920
•	Attestation Reports on Assessments of Compliance with Servicing Criteria		EX-34	35,525
•	Depositor Certifications for Shelf Offerings		EX-36	821
•	Reports of Compliance with Servicing Criteria		EX-33	36,075
•	Servicer Compliance Statements		EX-35	20,925
•	Static Pools		EX-106	9
Additional Exhibits   (Miscellaneous & Form-Specific)			↑ABS Exhibits   ↑Top
•	Miscellaneous Exhibits, such as Press Releases		EX-99	3,694,328
•	EX-99.*  Form-Specific Exhibits:   (many apply to multiple Forms — additional Form-Specific Exhibits are ↓Below)
	EX-99.1 CHARTER       *.15 OTH FIN ST       *.C6 OTHER OPIN       *.E5 NRSRO   *.2 BYLAWS       *.16 PWR OF ATTY       *.CERT       *.E6 NRSRO   *.2 OPIN COUNSEL       *.17 (as approp)       *.CODE ETH       *.E7 NRSRO   *.2A CHARTER       *.31 MA-NR       *.d ADVSR CONTR       *.E8 NRSRO   *.2B BYLAWS       *.32 APP CRT DOC       *.d CONTRACTS       *.E9 NRSRO   *.2C VOTING TRST       *.33 APP REG DOC       *.e APPLICATIONS       *.A SDR SUMMARY×  Σ  *.2D HOLDERS RTS       *.34 OPIN COUNSL       *.e UNDR CONTR       *.C SDR×  16   *.2E DIV REIN PL       *.35 OTHER       *.f BONUS PROFIT       *.D SDR  17   *.2G ADVSR CONTR       *.906 CERT       *.f DEP CERT/BYL       *.E SDR  18   *.2H DISTR CONTR       *.a BD-DIR-RESOL       *.g CUST AGREEMT       *.F SDR  19   *.2I O&D BENEFTS       *.a CHARTER       *.g REINS CONTRT       *.G SDR×  20   *.2J CUST CONTR       *.A1 INDNTR ORGN       *.h OTH MAT CONT       *.I SDR CNTRCT   *.2K OTH CONTRCT       *.A2 INDNTR PMT       *.h PARTIC AGREE       *.I SDR SUMMARY×  Σ  *.2L OPIN COUNSL       *.A3A DIST CONTR       *.i ADMIN CONTRT       *.J SDR  23   *.2M CNSNT SRVCE       *.A3B DEALER AGR       *.i LEGAL OPININ       *.L SDR  25   *.2N OTH CONSENT       *.A3C SCH COMMIS       *.IND PUB ACCT  Δ      *.L SDR.CAL×   *.2O OTH FIN ST       *.A4 OTHER AGRMT       *.j OTH MAT CONT       *.L SDR.DEF×   *.2P STOCK LTR       *.A5 FORM/SECRTY       *.j OTHER OPININ       *.L SDR.INS×   *.2Q RETRMT PLAN       *.A6 CERT/BYLAWS       *.k LEGAL OPININ       *.L SDR.LAB×   *.2R CODE ETH       *.A7 INSR POLICY       *.k OMT FIN STAT       *.L SDR.PRE×   *.3 OTHER FIN ST       *.A8 DEPOSIT AGR       *.l ACTUARIAL OP       *.L SDR.SCH×   *.3 VOTING TRUST       *.A9 OTHER CONTR       *.l INT CAP AGRE       *.M SDR  26   *.4 ACQ AGREEMNT       *.A10 PERIODC PP       *.m 12B-1 PLAN       *.N SDR  27   *.4 UNREG ISSUER       *.A11 CODE ETH       *.m CALCULATION       *.U SDR  34   *.5 HOLDERS RTS       *.b BYLAWS       *.n 18F-3 PLAN       *.V SDR  35   *.6 ADVSER CONTR       *.b CUST-AGRMETS       *.n OTH OPINIONS       *.W SDR  36   *.7 DISTR CONTR       *.B1 NOTIC/SHLDR       *.o OMITD FIN ST       *.X SDR  37   *.8 O&D BENEFTS       *.B2 ANRPT/SHLDR       *.p CODE ETH       *.Y SDR  38   *.9 CUST CONTRCT       *.c HOLDERS RTS       *.p INIT CAP AGR       *.AA SDR  40   *.10 12B1 PLAN       *.c UNDER CONTRT       *.q REDEEM EXEMP       *.BB SDR  41   *.11 OPIN COUNSL       *.C1 ACCT CONSNT       *.Rule23C1       *.CC SDR  42   *.12 REV RULING       *.C2 EVAL CONSNT       *.E1 NRSRO       *.DD SDR  43   *.12 TAX OPINION       *.C3 RTG AGY OPN       *.E2 NRSRO       *.EE SDR  44   *.13 OTH CONTRCT       *.C4 TAX OPINION       *.E3 NRSRO       *.GG SDR  46   *.14 OTH CONSENT       *.C5 REV RULING       *.E4 NRSRO       *.HH SDR  47
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	1,876
•	Articles of Incorporation/Organization — Form 1-K		EX1K-2A CHARTER	18
•	Articles of Incorporation/Organization — Form 1-SA		EX1SA-2A CHARTER	14
•	Articles of Incorporation/Organization — Form 1-U		EX1U-2A CHARTER	11
•	Bylaws — Form 1-A		EX1A-2B BYLAWS	985
•	Bylaws — Form 1-K		EX1K-2B BYLAWS	5
•	Bylaws — Form 1-SA		EX1SA-2B BYLAWS	4
•	Bylaws — Form 1-U		EX1U-2B BYLAWS	5
•	Consents for Service — Form 1-A		EX1A-14 CNSNT SV	51
•	Consents for Service — Form 1-K		EX1K-14 CNSNT SV	1
•	Consents of Experts and Counsel — Form 1-A		EX1A-11 CONSENT	2,120
•	Consents of Experts and Counsel — Form 1-K		EX1K-11 CONSENT	136
•	Consents of Experts and Counsel — Form 1-SA		EX1SA-11 CONSENT	6
•	Consents of Experts and Counsel — Form 1-U		EX1U-11 CONSENT	1
•	Escrow Agreements — Form 1-A		EX1A-8 ESCW AGMT	475
•	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	8
•	Instruments Defining the Rights of Security Holders — Form 1-A		EX1A-3 HLDRS RTS	969
•	Instruments Defining the Rights of Security Holders — Form 1-K		EX1K-3 HLDRS RTS	19
•	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	19
•	Letters re: Certifying Accountants — Form 1-A		EX1A-9 ACCT LTR	51
•	Letters re: Certifying Accountants — Form 1-K		EX1K-9 ACCT LTR	3
•	Letters re: Certifying Accountants — Form 1-SA		EX1SA-9 ACCT LTR	8
•	Letters re: Certifying Accountants — Form 1-U		EX1U-9 ACCT LTR	24
•	Material Contracts — Form 1-A		EX1A-6 MAT CTRCT	4,635
•	Material Contracts — Form 1-K		EX1K-6 MAT CTRCT	154
•	Material Contracts — Form 1-SA		EX1SA-6 MAT CTRCT	98
•	Material Contracts — Form 1-U		EX1U-6 MAT CTRCT	222
•	Opinions of Counsel re: Legality — Form 1-A		EX1A-12 OPN CNSL	1,877
•	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	4
•	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	92
•	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	5
•	Powers of Attorney — Form 1-A		EX1A-10 PWR ATTY	48
•	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	1,569
•	Subscription Agreements — Form 1-K		EX1K-4 SUBS AGMT	4
•	Subscription Agreements — Form 1-SA		EX1SA-4 SUBS AGMT	14
•	Subscription Agreements — Form 1-U		EX1U-4 SUBS AGMT	42
•	Test-the-Waters Materials — Form 1-A		EX1A-13 TST WTRS	671
•	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	538
•	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	13
•	Voting Trust Agreements — Form 1-A		EX1A-5 VOTG TRST	35
•	Miscellaneous Exhibits, such as Press Releases  — Form 1-A		EX1A-15 ADD EXHB	1,534
•	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	21
•	Miscellaneous Exhibits, such as Press Releases  — Form 1-U		EX1U-15 ADD EXHB	291
Alternative Trading System Exhibits — Form ATS-N – NMS Stock			↑Reg. A/A+ Exhibits   ↑Top
•	Cover Pages		COVER PAGE×	45
•	Direct Owners and Executive Officers — Form BD – Sch. A		ATS-N EX-1 SCHD A BD	137
•	Indirect Owners — Form BD – Sch. B		ATS-N EX-2 SCHD B BD	136
•	Redline Changes — Form BD – Sch. A & B  Δ		ATS-N EX-3 REDLINE	118
•	Aggregate Statistics		ATS-N EX-4 AGG STATS	57
•	Category Metrics		ATS-N EX-5 CATG MTRC	41
Investment Company Exhibits — Form N-CEN – Annual Report			↑Alternative Trading System Exhibits   ↑Top
•	Changes in Accounting Principles and Practices  Δ		CHG ACCT PRINCIPLES	4
•	Codes of Ethics		CODE OF ETHICS	2
•	Independent Public Accountants’ Reports on Internal Control		INTERNAL CONTROL RPT	7,097
•	Info Filed Pursuant to Exemptive Orders		EXEMPT ORDER INFO	723
•	Instruments Defining the Rights of Security Holders		INST DEFINING RIGHTS	133
•	Investment Advisor Agreements		ADVISORY CONTRACTS	376
•	Late-Filings Reports — Reg. S-K – Item 405		ITEM 405 REG S-K	65
•	Legal Proceedings		LEGAL PROCEEDINGS	174
•	Material Amendments to Organizational Documents		MATERIAL AMENDMENTS	276
•	Provisions of Financial Support		FINANCIAL SUPPORT	31
•	Other Required Info		OTHER REQUIRED INFO	291
Broker-Dealer Reports — Form X-17A-5 – Annual Financial Report			↑Investment Company Exhibits   ↑Top
Statements:
•	Annual Financial Reports (Full)		FULL	4,161
•	Statements of Financial Condition		STMT FIN COND	1,009
•	Notes to Statements of Financial Condition		STMT FIN COND NOTES	930
•	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	525
•	Accountants’ Reports re: Examinations of Financial Reports and Financial Statements		ACCT RPT FIN RPT	529
•	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	416
Financials— Financial Reports, Exhibits, Workbooks & Data			↑Broker-Dealer Reports   ↑Top
•	Certifications — §302 – SOA’02		EX-31	1,144,561
•	Certifications — §906 – SOA’02		EX-32	919,553
•	Letters re: Changes in Accounting Principles		EX-18	2,865
•	Letters re: Changes in Certifying Accountants		EX-16	38,246
•	Letters re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews		EX-7	11,585
•	Letters re: Unaudited Interim Financial Info		EX-15	35,391
•	Statements re: Computations of Earnings Per Share		EX-11	61,477
•	Statements re: Computations of Ratios		EX-12	120,343
•	IDEA Financial Reports   (IDEAª, XMLª, XBRLª or iXBRLª Files)		R#  &  XML°	15,578,802
•	IDEA Workbooks of Financial Reports   (IDEAª Excel .xls or .xlsx Files)		EXCEL	382,392
•	XBRL Data   (XBRLª or iXBRLª Files)		EX-101.*×	1,956,694
•	XBRL Instances as JavaScript Object Notation Data   (iXBRLª JSONª Files)		JSON	39,198
•	XBRL Zipped Folders   (.zip Folders of XBRLª or iXBRLª Files)		ZIP	337,673
Graphics			↑Financials   ↑Top
•	Photos, Images and Graphs   (.jpg/.jpeg, .gif or .png Files)		GRAPHIC	12,999,661
			Totals	42,221,705
____________
°	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:
	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.)

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