Letters — Comment Letters & Correspondence (delayed release) ↑ Top • Comment and Other Letters from the SEC [ a.k.a. UPLOAD ] LETTER 150,414 • Comment and Other Letters from the SEC [ a.k.a. LETTER↑ ] TEXT-EXTRACT 1,473 • Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ] COVER 750 • Comment-Response and Other Letters to the SEC [ a.k.a. COVER↑ ] CORRESP 152,627 • SEC Staff Actions – Orders ORDER – • SEC Staff Letters – No-Action Letters — Rule 14a-8 14A-8 – • SEC Staff Letters – Serious Deficiencies Letters SERIOUS DEFICIENCIES – Form-Specific Documents (Form-Specific Exhibits are ↓Below ↑ Letters ↑ Top • Information Tables of Securities Holdings — Form 13F INFORMATION TABLE 99,253 • Part II — Form 1-K PART II 172 • Parts II & III — Form 1-A PART II AND III 2,482 • Swap Data Repository Compliance Reports — Form SDR-CCO SDR-CR – General Exhibits ↑ Form-Specific Documents ↑ Top • Annual and Quarterly Reports to Security Holders EX-13 48,565 • Articles of Incorporation/Organization and By-Laws EX-3 266,862 • Codes of Ethics EX-14 16,974 • Consents of Experts and Counsel EX-23 665,506 • Information from Reports Furnished to State Insurance Regulatory Authorities EX-28 3,491 • Instruments, including Indentures, Defining the Rights of Security Holders EX-4 367,995 • Invitations for Competitive Bids EX-26 1,259 • Letters re: Departures of Directors EX-17 6,195 • Material Contracts EX-10 1,394,489 • Mine-Safety Disclosures EX-95 2,928 • Opinions re: Discounts on Capital Shares EX-6 9,343 • Opinions re: Legality EX-5 272,716 • Opinions re: Tax Matters EX-8 60,033 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions EX-2 115,941 • Powers of Attorney EX-24 385,571 • Published Reports Regarding Matters Submitted to Votes of Security Holders EX-22 4,080 • Reports Furnished to Security Holders EX-19 4,777 • Statements re: Eligibility of Trustees — Forms T-1 & T-2 EX-25 30,587 • Subsidiaries EX-21 137,878 • Underwriting Agreements and Conflict Minerals Reports (and mislabeled “1st Exhibits”) EX-1 143,189 • Voting Trust Agreements EX-9 12,128 • Other Documents and Statements Furnished to Security Holders EX-20 39,943 ABS Exhibits — Asset-Backed Securities ↑ General Exhibits ↑ Top • ABS – Asset Data (some are very large XMLª Files) EX-102 3,607 • ABS – Asset-Related Documents (XMLª Files) EX-103 3,603 • ABS – Attestation Reports on Assessments of Compliance with Servicing Criteria EX-34 26,782 • ABS – Depositor Certifications for Shelf Offerings EX-36 601 • ABS – Reports of Compliance with Servicing Criteria EX-33 27,315 • ABS – Servicer Compliance Statements EX-35 15,989 • ABS – Static Pools EX-106 9 Additional Exhibits ↑ ABS Exhibits ↑ Top • Miscellaneous Exhibits, including Press Releases EX-99.* 3,454,840 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 1,067 • Articles of Incorporation/Organization — Form 1-K EX1K-2A CHARTER 12 • Articles of Incorporation/Organization — Form 1-SA EX1SA-2A CHARTER 9 • Articles of Incorporation/Organization — Form 1-U EX1U-2A CHARTER 3 • By-Laws — Form 1-A EX1A-2B BYLAWS 612 • By-Laws — Form 1-K EX1K-2B BYLAWS 2 • By-Laws — Form 1-SA EX1SA-2B BYLAWS 1 • By-Laws — Form 1-U EX1U-2B BYLAWS 1 • Consents for Service — Form 1-A EX1A-14 CNSNT SV 23 • 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 1,281 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT 56 • Consents of Experts and Counsel — Form 1-SA EX1SA-11 CONSENT 2 • Consents of Experts and Counsel — Form 1-U EX1U-11 CONSENT – • Escrow Agreements — Form 1-A EX1A-8 ESCW AGMT 258 • Escrow Agreements — Form 1-K EX1K-8 ESCW AGMT 1 • Escrow Agreements — Form 1-SA EX1SA-8 ESCW AGMT 2 • Escrow Agreements — Form 1-U EX1U-8 ESCW AGMT 4 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-A EX1A-3 HLDRS RTS 541 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-K EX1K-3 HLDRS RTS 8 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SA EX1SA-3 HLDRS RTS 3 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-U EX1U-3 HLDRS RTS 12 • Letters re: Accountants and Accounting Principles — Form 1-A EX1A-9 ACCT LTR 34 • Letters re: Accountants and Accounting Principles — Form 1-K EX1K-9 ACCT LTR 2 • 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 17 • Material Contracts — Form 1-A EX1A-6 MAT CTRCT 2,761 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT 68 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT 47 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT 90 • Opinions re: Legality — Form 1-A EX1A-12 OPN CNSL 1,086 • Opinions re: Legality — Form 1-K EX1K-12 OPN CNSL – • Opinions re: Legality — Form 1-SA EX1SA-12 OPN CNSL 1 • Opinions 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 54 • 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 4 • Powers of Attorney — Form 1-A EX1A-10 PWR ATTY 28 • 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 850 • Subscription Agreements — Form 1-K EX1K-4 SUBS AGMT – • Subscription Agreements — Form 1-SA EX1SA-4 SUBS AGMT 7 • Subscription Agreements — Form 1-U EX1U-4 SUBS AGMT 8 • Testing-the-Waters Materials — Form 1-A EX1A-13 TST WTRS 355 • Testing-the-Waters Materials — Form 1-K EX1K-13 TST WTRS 1 • Testing-the-Waters Materials — Form 1-SA EX1SA-13 TST WTRS – • Testing-the-Waters Materials — Form 1-U EX1U-13 TST WTRS 2 • Underwriting Agreements — Form 1-A EX1A-1 UNDR AGMT 298 • 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 7 • Voting Trust Agreements — Form 1-A EX1A-5 VOTG TRST 27 • 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 777 • Miscellaneous Exhibits, including Press Releases — Form 1-K EX1K-15 ADD EXHB 2 • Miscellaneous Exhibits, including Press Releases — Form 1-SA EX1SA-15 ADD EXHB 5 • Miscellaneous Exhibits, including Press Releases — Form 1-U EX1U-15 ADD EXHB 96 Investment Company Exhibits — Form N-CEN – Annual Report ↑ Reg. A/A+ Exhibits ↑ Top • Advisory Contracts ADVISORY CONTRACTS 70 • Changes in Accounting Principles CHG ACCT PRINCIPLES 2 • Codes of Ethics CODE OF ETHICS – • Exemptive Orders Information EXEMPT ORDER INFO 85 • Financial Support FINANCIAL SUPPORT 5 • Instruments Defining the Rights of Security Holders INST DEFINING RIGHTS 33 • Internal Control Reports INTERNAL CONTROL RPT 1,561 • Late-Filing Reports — Reg. S-K Item 405 ITEM 405 REG S-K 10 • Legal Proceedings LEGAL PROCEEDINGS 34 • Material Amendments MATERIAL AMENDMENTS 65 • Other Required Information OTHER REQUIRED INFO 101 Broker-Dealer Reports — Form X-17A-5 – Annual Financials ↑ Investment Company Exhibits ↑ Top Statements: • Full Annual Financial Reports FULL 1,864 • Statements of Financial Condition STMT FIN COND 831 • Notes to Statements of Financial Condition STMT FIN COND NOTES 787 • Statements of Income STMT INCOME 255 • Statements of Cash Flows STMT CASH FLOW 255 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity STMT CHG SH EQY 259 • Statements of Changes in Liabilities Subordinated to Claims of Creditors STMT CHG SUB LIABS 22 • Notes to Financial Statements FINAN STMTS NOTES 137 Disclosures: • Computations of Net Capital COMP NET CAP 268 • Computations for Determination of Reserve Requirements COMP RESERV REQ 132 • Information re: Possession and Control Requirements INFO POS CTRL REQ 104 • 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 • Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial Condition SUM UNCONSOLTD SUBS – • Compliance Reports COMPL RPT 31 • Exemption Reports EXEMP RPT 285 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO 453 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements ACCT RPT FIN RPT 443 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports ACCT RPT COMPL RPT 32 • Accountants’ Reports re: Reviews of Exemption Reports ACCT RPT EXEMP RPT 282 • Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers ANC/OTC AGD PROC 50 • Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous Audits MAT INADEQ RPT 1 • Other Disclosures OTHER 331 Financials — Financial Exhibits, Reports, Workbooks & Data ↑ Broker-Dealer Reports ↑ Top • Certifications — SOA’02 §302 EX-31 1,069,827 • Certifications — SOA’02 §906 EX-32 861,311 • Letters re: Changes in Accounting Principles EX-18 2,794 • Letters re: Changes in Certifying Accountants EX-16 37,142 • Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim Reviews EX-7 11,336 • Letters re: Unaudited Interim Financial Information EX-15 33,276 • Statements re: Computations of Earnings Per Share EX-11 61,306 • Statements re: Computations of Ratios EX-12 117,318 • Financial Data Schedules {Pre-XBRL/IDEA} EX-27 604,663 • Swap Data Repository Financial Reports — Form SDR-CCO SDR-FR – • IDEA Financial Reports (IDEAª & XMLª/XBRLª Files) R# & XML 12,744,361 • IDEA Workbooks of Financial Reports (.xls/.xlsx Files) EXCEL 315,564 • XBRL Instance Document Content Listings RENDERED XBRL 2 • XBRL Instances as JavaScript Object Notation Data (JSONª Files) JSON 972 • XBRL Data (XBRLª Files) EX-101.* 1,590,881 • XBRL Data {Voluntary} (XBRLª Files) EX-100.* 4,463 • XBRL Zipped Folders (Folders of XBRLª Files) ZIP 265,758 Graphics ↑ Financials ↑ Top • Images, Pictures and Graphs (.gif, .jpeg/.jpg & .png Files) GRAPHIC 11,232,223 ________ T This Document/Exhibit Type is obsolete. Totals 36,902,900 ª Acronyms: 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). 