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143  Document/Exhibit Types

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 Category:
 
   Letters   Form-Specific Documents   General Exhibits   ABS Exhibits   Additional Exhibits   Regulation A/A+ Exhibits   Alternative Trading System Exhibits   Investment Company Exhibits   Broker-Dealer Reports   Financials   Graphics
 
 • DescriptionDoc. / Exh. TypeDocs.     Totals   
In ascending order(click for most-recent) 
 
 Letters
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Comment Letters & Correspondence  (most were delayed)
  Top 
 
 • Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ] LETTER152,063 
 • Comment and Other Letters from the SEC  [ a.k.a. LETTER↑ ] TEXT-EXTRACT3,088 
 • Comment-Response and Cover Letters to the SEC  [ a.k.a. CORRESP ] COVER29,395 
 • Comment-Response and Other Letters to the SEC  [ a.k.a. COVER↑ ] CORRESP192,552 
 • SEC Staff Actions – Orders  [ a.k.a. SEC ACTION ] ORDER67 
 • SEC Staff Letters – No-Action Letters  [ a.k.a. SEC LETTER & NO ACT ] 14A-81 
 • SEC Staff Letters – Serious Deficiencies Letters  [ a.k.a. SEC LETTER ] SERIOUS DEFICIENCIES1 
 
 Form-Specific Documents
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  (Form-Specific Exhibits are ↓Below)
Letters   Top 
 
 • Annual Reports — Reg. A — Form 1-K – Part II PART II257 
 • Information Tables of Securities Holdings — Form 13F INFORMATION TABLE109,296 
 • Offering Statements — Reg. A/A+ — Form 1-A – Parts II & III PART II AND III2,780 
 
 General Exhibits
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Form-Specific Documents   Top 
 
 • Annual and Quarterly Reports to Security Holders EX-1349,871 
 • Articles of Incorporation/Organization and By-Laws EX-3269,496 
 • Codes of Ethics EX-1417,185 
 • Consents of Experts and Counsel EX-23674,024 
 • Information from Reports Furnished to State Insurance Regulatory Authorities EX-283,491 
 • Instruments, including Indentures, Defining the Rights of Security Holders EX-4372,998 
 • Invitations for Competitive Bids EX-261,313 
 • Letters re: Departures of Directors EX-176,240 
 • Material Contracts EX-101,414,228 
 • Mine-Safety Disclosures EX-953,128 
 • Opinions re: Discounts on Capital Shares EX-69,343 
 • Opinions re: Legality EX-5276,195 
 • Opinions re: Tax Matters EX-860,827 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions EX-2116,871 
 • Powers of Attorney EX-24394,571 
 • Published Reports Regarding Matters Submitted to Votes of Security Holders EX-224,096 
 • Reports Furnished to Security Holders EX-194,785 
 • Statements re: Eligibility of Trustees — Forms T-1 & T-2 EX-2530,838 
 • Subsidiaries EX-21141,525 
 • Underwriting Agreements and Conflict Minerals Reports  (and mislabeled “1st Exhibits”) EX-1145,152 
 • Voting Trust Agreements EX-912,157 
 • Other Documents and Statements Furnished to Security Holders EX-2039,960 
 
 ABS Exhibits
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— Asset-Backed Securities
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General Exhibits   Top 
 
 • ABS – Asset Data  (some are very large XMLª Files) EX-1025,132 
 • ABS – Asset-Related Documents  (XMLª Files) EX-1035,128 
 • ABS – Attestation Reports on Assessments of Compliance with Servicing Criteria EX-3430,757 
 • ABS – Depositor Certifications for Shelf Offerings EX-36667 
 • ABS – Reports of Compliance with Servicing Criteria EX-3331,292 
 • ABS – Servicer Compliance Statements EX-3518,796 
 • ABS – Static Pools EX-1069 
 
 Additional Exhibits
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ABS Exhibits   Top 
 
 • Miscellaneous Exhibits, including Press Releases
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 EX-99.*3,518,392 
 
 Regulation A/A+ Exhibits
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— Forms 1-A, 1-K, 1-SA & 1-U
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Additional Exhibits   Top 
 
 • Articles of Incorporation/Organization — Form 1-A EX1A-2A CHARTER1,227 
 • Articles of Incorporation/Organization — Form 1-K EX1K-2A CHARTER15 
 • Articles of Incorporation/Organization — Form 1-SA EX1SA-2A CHARTER10 
 • Articles of Incorporation/Organization — Form 1-U EX1U-2A CHARTER3 
 • By-Laws — Form 1-A EX1A-2B BYLAWS685 
 • By-Laws — Form 1-K EX1K-2B BYLAWS4 
 • By-Laws — Form 1-SA EX1SA-2B BYLAWS2 
 • By-Laws — Form 1-U EX1U-2B BYLAWS2 
 • Consents for Service — Form 1-A EX1A-14 CNSNT SV24 
 • Consents of Experts and Counsel — Form 1-A EX1A-11 CONSENT1,471 
 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT84 
 • Consents of Experts and Counsel — Form 1-SA EX1SA-11 CONSENT4 
 • Escrow Agreements — Form 1-A EX1A-8 ESCW AGMT283 
 • Escrow Agreements — Form 1-K EX1K-8 ESCW AGMT1 
 • Escrow Agreements — Form 1-SA EX1SA-8 ESCW AGMT2 
 • Escrow Agreements — Form 1-U EX1U-8 ESCW AGMT4 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-A EX1A-3 HLDRS RTS626 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-K EX1K-3 HLDRS RTS10 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SA EX1SA-3 HLDRS RTS3 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-U EX1U-3 HLDRS RTS13 
 • Letters re: Accountants and Accounting Principles — Form 1-A EX1A-9 ACCT LTR40 
 • Letters re: Accountants and Accounting Principles — Form 1-K EX1K-9 ACCT LTR2 
 • Letters re: Accountants and Accounting Principles — Form 1-SA EX1SA-9 ACCT LTR2 
 • Letters re: Accountants and Accounting Principles — Form 1-U EX1U-9 ACCT LTR17 
 • Material Contracts — Form 1-A EX1A-6 MAT CTRCT3,162 
 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT104 
 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT49 
 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT110 
 • Opinions re: Legality — Form 1-A EX1A-12 OPN CNSL1,234 
 • Opinions re: Legality — Form 1-K EX1K-12 OPN CNSL1 
 • Opinions re: Legality — Form 1-SA EX1SA-12 OPN CNSL4 
 • Opinions re: Legality — Form 1-U EX1U-12 OPN CNSL1 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-A EX1A-7 ACQ AGMT62 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-K EX1K-7 ACQ AGMT1 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-SA EX1SA-7 ACQ AGMT2 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-U EX1U-7 ACQ AGMT4 
 • Powers of Attorney — Form 1-A EX1A-10 PWR ATTY30 
 • Subscription Agreements — Form 1-A EX1A-4 SUBS AGMT969 
 • Subscription Agreements — Form 1-K EX1K-4 SUBS AGMT2 
 • Subscription Agreements — Form 1-SA EX1SA-4 SUBS AGMT10 
 • Subscription Agreements — Form 1-U EX1U-4 SUBS AGMT11 
 • Testing-the-Waters Materials — Form 1-A EX1A-13 TST WTRS401 
 • Testing-the-Waters Materials — Form 1-K EX1K-13 TST WTRS1 
 • Testing-the-Waters Materials — Form 1-U EX1U-13 TST WTRS2 
 • Underwriting Agreements — Form 1-A EX1A-1 UNDR AGMT386 
 • Underwriting Agreements — Form 1-K EX1K-1 UNDR AGMT1 
 • Underwriting Agreements — Form 1-U EX1U-1 UNDR AGMT9 
 • Voting Trust Agreements — Form 1-A EX1A-5 VOTG TRST27 
 • Miscellaneous Exhibits, including Press Releases
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 — Form 1-A
 EX1A-15 ADD EXHB887 
 • Miscellaneous Exhibits, including Press Releases
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 — Form 1-K
 EX1K-15 ADD EXHB2 
 • Miscellaneous Exhibits, including Press Releases
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 — Form 1-SA
 EX1SA-15 ADD EXHB6 
 • Miscellaneous Exhibits, including Press Releases
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 — Form 1-U
 EX1U-15 ADD EXHB137 
 
 Alternative Trading System Exhibits
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— Form ATS-N
Regulation A/A+ Exhibits   Top 
 
 • ATS (NMS Stock) – Direct Owners and Executive Officers — Form BD – Sch. A ATS-N EX-1 SCHD A BD2 
 • ATS (NMS Stock) – Indirect Owners — Form BD – Sch. B ATS-N EX-2 SCHD B BD2 
 • ATS (NMS Stock) – Redline Changes — Form BD – Sch. A & B ATS-N EX-3 REDLINE2 
 
 Investment Company Exhibits
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— Form N-CEN – Annual Report
Alternative Trading System Exhibits   Top 
 
 • Advisory Contracts ADVISORY CONTRACTS205 
 • Changes in Accounting Principles CHG ACCT PRINCIPLES2 
 • Exemptive Orders Information EXEMPT ORDER INFO190 
 • Financial Support FINANCIAL SUPPORT14 
 • Instruments Defining the Rights of Security Holders INST DEFINING RIGHTS89 
 • Internal Control Reports INTERNAL CONTROL RPT3,211 
 • Late-Filing Reports — Reg. S-K – Item 405 ITEM 405 REG S-K29 
 • Legal Proceedings LEGAL PROCEEDINGS81 
 • Material Amendments MATERIAL AMENDMENTS159 
 • Other Required Information OTHER REQUIRED INFO186 
 
 Broker-Dealer Reports
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— Form X-17A-5 – Annual Financials
Investment Company Exhibits   Top 
 
 Statements: 
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 • Full Annual Financial Reports FULL2,894 
 • Statements of Financial Condition STMT FIN COND898 
 • Notes to Statements of Financial Condition STMT FIN COND NOTES844 
 • Statements of Income STMT INCOME266 
 • Statements of Cash Flows STMT CASH FLOW267 
 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity STMT CHG SH EQY271 
 • Statements of Changes in Liabilities Subordinated to Claims of Creditors STMT CHG SUB LIABS24 
 • Notes to Financial Statements FINAN STMTS NOTES138 
 
 Disclosures: 
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 • Computations of Net Capital COMP NET CAP280 
 • Computations for Determination of Reserve Requirements COMP RESERV REQ139 
 • Information re: Possession and Control Requirements INFO POS CTRL REQ107 
 • 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 RESERV17 
 • Compliance Reports COMPL RPT42 
 • Exemption Reports EXEMP RPT307 
 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO487 
 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements ACCT RPT FIN RPT475 
 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports ACCT RPT COMPL RPT43 
 • Accountants’ Reports re: Reviews of Exemption Reports ACCT RPT EXEMP RPT304 
 • Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers ANC/OTC AGD PROC52 
 • Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous Audits MAT INADEQ RPT1 
 • Other Disclosures OTHER371 
 
 Financials
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— Financial Exhibits, Reports, Workbooks & Data
Broker-Dealer Reports   Top 
 
 • Certifications — SOA’02 §302 EX-311,093,708 
 • Certifications — SOA’02 §906 EX-32879,691 
 • Letters re: Changes in Accounting Principles EX-182,823 
 • Letters re: Changes in Certifying Accountants EX-1637,484 
 • Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim Reviews EX-711,399 
 • Letters re: Unaudited Interim Financial Information EX-1534,057 
 • Statements re: Computations of Earnings Per Share EX-1161,369 
 • Statements re: Computations of Ratios EX-12118,583 
 • Financial Data Schedules {Pre-XBRL/IDEA} EX-27604,663 
 • IDEA Financial Reports
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  (IDEAª, XMLª & XBRLª Files)
 R#  &  XML13,638,464 
 • IDEA Workbooks of Financial Reports
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  (IDEAª .xls & .xlsx Files)
 EXCEL327,839 
 • XBRL Instance Document Content Listings RENDERED XBRL2 
 • XBRL Instances as JavaScript Object Notation Data  (JSONª Files) JSON1,868 
 • XBRL Data {Voluntary}  (XBRLª Files) EX-100.*4,463 
 • XBRL Data  (XBRLª Files) EX-101.*1,673,007 
 • XBRL Zipped Folders
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  (Folders of XBRLª & iXBRLª Files)
 ZIP279,658 
 
 Graphics
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Financials   Top 
 
 • Images, Pictures and Graphs  (.gif, .jpeg/.jpg & .png Files) GRAPHIC11,722,974 
 
____________  Totals   38,664,567 
 T   This Document/Exhibit Type is obsolete.
 ª  Acronyms: 
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   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.
   iXBRL:  Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard.
   JSON:  JavaScript Object Notation — A lightweight data-interchange standard, used to encode iXBRL data.
   IDEA:  Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data.  (See our XBRL page info.)


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