Letters — Comment Letters & Correspondence (Delayed Release) ↑ Top • Comment Letters and Other Letters from the SEC [ a.k.a. UPLOAD ] LETTER 142,178 • Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ] COVER 726 • Comment-Response and Other Letters to the SEC [ a.k.a. COVER ] CORRESP 141,179 Form-Specific (see more below ) ↑ Letters ↑ Top • Compliance Reports — Form SDR-CCO SDR-CR – • Information Tables of Securities Holdings — Form 13F INFORMATION TABLE 73,704 • Part II — Form 1-K PART II 74 • Parts II & III — Form 1-A PART II AND III 1,419 ABS-Specific Exhibits — Asset-Backed Securities ↑ Form-Specific ↑ Top • ABS – Asset Data EX-102 1 • ABS – Asset-Related Documents EX-103 – • ABS – Attestation Reports on Assessments of Compliance with Servicing Criteria EX-34 23,223 • ABS – Depositor Certifications for Shelf Offerings EX-36 357 • ABS – Reports of Compliance with Servicing Criteria EX-33 23,696 • ABS – Servicer Compliance Statements EX-35 13,533 • ABS – Static Pools EX-106 9 General Exhibits ↑ ABS-Specific Exhibits ↑ Top • Annual and Quarterly Reports to Security Holders EX-13 46,857 • Articles of Incorporation/Organization and By-Laws EX-3 256,569 • Certifications — Sarbanes-Oxley Act – Sect. 302 EX-31 1,004,130 • Certifications — Sarbanes-Oxley Act – Sect. 906 EX-32 809,218 • Code of Ethics EX-14 16,402 • Consents of Experts and Counsel EX-23 642,964 • Information from Reports Furnished to State Insurance Regulatory Authorities EX-28 3,491 • Instruments, including Indentures, Defining the Rights of Security Holders EX-4 352,530 • Invitations for Competitive Bids EX-26 1,195 • Letters re: Changes in Accounting Principles EX-18 2,735 • Letters re: Changes in Certifying Accountants EX-16 35,976 • Letters re: Departures of Directors EX-17 6,015 • Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim Reviews EX-7 11,060 • Letters re: Unaudited Interim Financial Information EX-15 31,842 • Material Contracts EX-10 1,335,410 • Mine-Safety Disclosures EX-95 2,411 • Opinions re: Discounts on Capital Shares EX-6 9,343 • Opinions re: Legality EX-5 260,690 • Opinions re: Tax Matters EX-8 57,809 • Other Documents and Statements Furnished to Security Holders EX-20 39,905 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions EX-2 111,534 • Powers of Attorney EX-24 358,629 • Published Reports Regarding Matters Submitted to Votes of Security Holders EX-22 4,053 • Reports Furnished to Security Holders EX-19 4,753 • Statements re: Computations of Earnings Per Share EX-11 61,077 • Statements re: Computations of Ratios EX-12 111,903 • Statements re: Eligibility of Trustees EX-25 29,556 • Subsidiaries EX-21 132,209 • Underwriting Agreements EX-1 136,038 • Voting Trust Agreements EX-9 12,034 Additional Exhibits ↑ General Exhibits ↑ Top • Miscellaneous Exhibits, including Press Releases EX-99.* 3,233,125 Reg. A / A+ Exhibits — Forms 1-A, 1-K, 1-SA and 1-U ↑ Additional Exhibits ↑ Top • Articles of Incorporation/Organization — Form 1-A EX1A-2A CHARTER 561 • Articles of Incorporation/Organization — Form 1-K EX1K-2A CHARTER 2 • Articles of Incorporation/Organization — Form 1-SA EX1SA-2A CHARTER 3 • Articles of Incorporation/Organization — Form 1-U EX1U-2A CHARTER 2 • By-Laws — Form 1-A EX1A-2B BYLAWS 362 • By-Laws — Form 1-K EX1K-2B BYLAWS 1 • By-Laws — Form 1-SA EX1SA-2B BYLAWS – • By-Laws — Form 1-U EX1U-2B BYLAWS – • Consents for Service — Form 1-A EX1A-14 CNSNT SV 17 • Consents for Service — Form 1-K EX1K-14 CNSNT SV – • Consents for Service — Form 1-SA EX1SA-14 CNSNT SV – • Consents for Service — Form 1-U EX1U-14 CNSNT SV – • Consents of Experts and Counsel — Form 1-A EX1A-11 CONSENT 688 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT 28 • Consents of Experts and Counsel — Form 1-SA EX1SA-11 CONSENT – • Consents of Experts and Counsel — Form 1-U EX1U-11 CONSENT – • Escrow Agreements — Form 1-A EX1A-8 ESCW AGMT 163 • Escrow Agreements — Form 1-K EX1K-8 ESCW AGMT – • Escrow Agreements — Form 1-SA EX1SA-8 ESCW AGMT 1 • Escrow Agreements — Form 1-U EX1U-8 ESCW AGMT 2 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-A EX1A-3 HLDRS RTS 251 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-K EX1K-3 HLDRS RTS 5 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SA EX1SA-3 HLDRS RTS 1 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-U EX1U-3 HLDRS RTS 3 • Letters re: Accountants and Accounting Principles — Form 1-A EX1A-9 ACCT LTR 20 • Letters re: Accountants and Accounting Principles — Form 1-K EX1K-9 ACCT LTR 1 • Letters re: Accountants and Accounting Principles — Form 1-SA EX1SA-9 ACCT LTR 2 • Letters re: Accountants and Accounting Principles — Form 1-U EX1U-9 ACCT LTR 2 • Material Contracts — Form 1-A EX1A-6 MAT CTRCT 1,423 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT 30 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT 12 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT 41 • Opinions re: Legality — Form 1-A EX1A-12 OPN CNSL 582 • Opinions re: Legality — Form 1-K EX1K-12 OPN CNSL – • Opinions re: Legality — Form 1-SA EX1SA-12 OPN CNSL – • Opinions re: Legality — Form 1-U EX1U-12 OPN CNSL – • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-A EX1A-7 ACQ AGMT 32 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-K EX1K-7 ACQ AGMT – • 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 – • Powers of Attorney — Form 1-A EX1A-10 PWR ATTY 7 • Powers of Attorney — Form 1-K EX1K-10 PWR ATTY – • Powers of Attorney — Form 1-SA EX1SA-10 PWR ATTY – • Powers of Attorney — Form 1-U EX1U-10 PWR ATTY – • Subscription Agreements — Form 1-A EX1A-4 SUBS AGMT 441 • Subscription Agreements — Form 1-K EX1K-4 SUBS AGMT – • Subscription Agreements — Form 1-SA EX1SA-4 SUBS AGMT 4 • Subscription Agreements — Form 1-U EX1U-4 SUBS AGMT 2 • Testing-the-Waters Materials — Form 1-A EX1A-13 TST WTRS 238 • Testing-the-Waters Materials — Form 1-K EX1K-13 TST WTRS – • Testing-the-Waters Materials — Form 1-SA EX1SA-13 TST WTRS – • Testing-the-Waters Materials — Form 1-U EX1U-13 TST WTRS – • Underwriting Agreements — Form 1-A EX1A-1 UNDR AGMT 180 • Underwriting Agreements — Form 1-K EX1K-1 UNDR AGMT – • Underwriting Agreements — Form 1-SA EX1SA-1 UNDR AGMT – • Underwriting Agreements — Form 1-U EX1U-1 UNDR AGMT 3 • Voting Trust Agreements — Form 1-A EX1A-5 VOTG TRST 11 • Voting Trust Agreements — Form 1-K EX1K-5 VOTG TRST – • Voting Trust Agreements — Form 1-SA EX1SA-5 VOTG TRST – • Voting Trust Agreements — Form 1-U EX1U-5 VOTG TRST – • Miscellaneous Exhibits, including Press Releases — Form 1-A EX1A-15 ADD EXHB 434 • Miscellaneous Exhibits, including Press Releases — Form 1-K EX1K-15 ADD EXHB 1 • Miscellaneous Exhibits, including Press Releases — Form 1-SA EX1SA-15 ADD EXHB – • Miscellaneous Exhibits, including Press Releases — Form 1-U EX1U-15 ADD EXHB 12 Form X-17A-5 — Annual Financial Reports by Broker-Dealers ↑ Reg. A / A+ Exhibits ↑ Top Statements: • Full Annual Financial Reports FULL 724 • Statements of Financial Condition STMT FIN COND 721 • Notes to Statements of Financial Condition STMT FIN COND NOTES 697 • Statements of Income STMT INCOME 240 • Statements of Cash Flows STMT CASH FLOW 239 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity STMT CHG SH EQY 241 • Statements of Changes in Liabilities Subordinated to Claims of Creditors STMT CHG SUB LIABS 21 • Notes to Financial Statements FINAN STMTS NOTES 132 Disclosures: • Computations of Net Capital COMP NET CAP 251 • Computations for Determination of Reserve Requirements COMP RESERV REQ 125 • Information re: Possession and Control Requirements INFO POS CTRL REQ 99 • 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 16 • Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial Condition SUM UNCONSOLTD SUBS – • Compliance Reports COMPL RPT 23 • Exemption Reports EXEMP RPT 263 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO 399 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements ACCT RPT FIN RPT 398 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports ACCT RPT COMPL RPT 24 • Accountants’ Reports re: Reviews of Exemption Reports ACCT RPT EXEMP RPT 263 • Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers ANC/OTC AGD PROC 44 • Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous Audits MAT INADEQ RPT 1 • Other Documents OTHER 290 Financial Data ↑ Form X-17A-5 ↑ Top • Financial Data Schedules (Pre-XBRL) EX-27 604,663 • Financial Reports — Form SDR-CCO SDR-FR – • XBRL IDEA Reports — Financial Reports & XML Files R# & XML 10,638,189 • XBRL IDEA Workbooks — Workbooks of Financial Reports EXCEL 280,541 • XBRL Instance Document Content Listings RENDERED XBRL 2 • XBRL Instance JavaScript Object Notation Data — JSON Files JSON 224 • XBRL Interactive Data — XML Files EX-101.* 1,354,514 • XBRL Interactive Data (Voluntary) — XML Files EX-100.* 4,451 • XBRL Zipped Folders — Folders of XML Files ZIP 225,996 Non-Document Graphics ↑ Financial Data ↑ Top • Images, Pictures and Graphs — GIF, JPEG & PNG Files GRAPHIC 9,834,491 ________ T This Document/Exhibit Type is obsolete. Totals 32,495,414 