SEC Info
HomeSearchMy InterestsHelpSign InPlease Sign In

141 Document/Exhibit Types

To see Recent Filings of Selected Document/Exhibit Types...     [ or Document/Filing Types ]

Choose the  Document Types  in Filings you wish to list, then click on this button:
 (To view the most-recent Filing containing a Doc. / Exh., right-click on the right-most column.) 



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 ]LETTER138,089
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER709
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP135,445
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE64,262
Part II — Form 1-KPART II15
Parts II & III — Form 1-APART II AND III1,049
ABS-Specific — Asset-Backed SecuritiesForm-Specific Top
ABS – Asset DataEX-1021
ABS – Asset-Related DocumentsEX-103
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3420,209
ABS – Depositor Certifications for Shelf OfferingsEX-36257
ABS – Reports of Compliance with Servicing CriteriaEX-3320,691
ABS – Servicer Compliance StatementsEX-3511,147
ABS – Static PoolsEX-1069
GeneralABS-Specific Top
Annual and Quarterly Reports to Security HoldersEX-1345,496
Articles of Incorporation/Organization and By-LawsEX-3251,537
Certifications — Sarbanes-Oxley Act – Sect. 302EX-31969,469
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32781,962
Code of EthicsEX-1416,165
Consents of Experts and CounselEX-23630,682
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4345,021
Invitations for Competitive BidsEX-261,141
Letters re: Changes in Accounting PrinciplesEX-182,708
Letters re: Changes in Certifying AccountantsEX-1635,364
Letters re: Departures of DirectorsEX-175,904
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-710,915
Letters re: Unaudited Interim Financial InformationEX-1530,917
Material ContractsEX-101,308,434
Mine-Safety DisclosuresEX-952,167
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5254,564
Opinions re: Tax MattersEX-856,607
Other Documents and Statements Furnished to Security HoldersEX-2039,888
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2109,547
Powers of AttorneyEX-24346,873
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,032
Reports Furnished to Security HoldersEX-194,741
Statements re: Computations of Earnings Per ShareEX-1160,889
Statements re: Computations of RatiosEX-12108,648
Statements re: Eligibility of TrusteesEX-2529,109
SubsidiariesEX-21129,081
Underwriting AgreementsEX-1132,381
Voting Trust AgreementsEX-911,980
AdditionalGeneral Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,128,757
Reg. A / A+ — Forms 1-A, 1-K, 1-SA and 1-UAdditional Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER415
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 BYLAWS270
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 CONSENT465
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT9
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 AGMT112
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 RTS175
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 LTR11
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 CTRCT957
Material Contracts — Form 1-KEX1K-6 MAT CTRCT3
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT5
Material Contracts — Form 1-UEX1U-6 MAT CTRCT27
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL431
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 AGMT19
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 ATTY4
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 AGMT324
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 WTRS174
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 AGMT107
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 TRST9
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 EXHB305
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 EXHB9
Form X-17A-5 — Annual Financial Reports by Broker-DealersReg. A / A+ Top
Statements:
Full Annual Financial ReportsFULL130
Statements of Financial ConditionSTMT FIN COND639
Notes to Statements of Financial ConditionSTMT FIN COND NOTES632
Statements of IncomeSTMT INCOME226
Statements of Cash FlowsSTMT CASH FLOW225
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY227
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS20
Notes to Financial StatementsFINAN STMTS NOTES123
Disclosures:
Computations of Net CapitalCOMP NET CAP236
Computations for Determination of Reserve RequirementsCOMP RESERV REQ118
Information re: Possession and Control RequirementsINFO POS CTRL REQ95
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 RESERV13
Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial ConditionSUM UNCONSOLTD SUBS
Compliance ReportsCOMPL RPT15
Exemption ReportsEXEMP RPT239
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO353
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT372
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT16
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT239
Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives DealersANC/OTC AGD PROC42
Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous AuditsMAT INADEQ RPT1
Other DocumentsOTHER251
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# & XML9,590,246
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL262,187
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON54
XBRL Interactive DataXML FilesEX-101.*1,230,634
XBRL Voluntary DataXML FilesEX-100.*4,440
XBRL Zipped FoldersFolders of XML FilesZIP205,139
Non-DocumentFinancial Data Top
Images, Pictures and GraphsGIF, JPEG & PNG FilesGRAPHIC9,187,605
________
T This Document/Exhibit Type is obsolete.Total: 30,352,732

 
Top

Copyright 2017 Fran Finnegan & Company. All Rights Reserved.
AboutPrivacyRedactionsHelp — Sun, 26 Feb 12:14:10.0 GMT