Letters — Comment Letters & Correspondence (most were delayed) ↑ Top • Comment and Other Letters from the SEC [ a.k.a. UPLOAD ] LETTER 152,063 • Comment and Other Letters from the SEC [ a.k.a. LETTER↑ ] TEXT-EXTRACT 3,088 • Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ] COVER 29,395 • Comment-Response and Other Letters to the SEC [ a.k.a. COVER↑ ] CORRESP 192,552 • SEC Staff Actions – Orders [ a.k.a. SEC ACTION ] ORDER 67 • SEC Staff Letters – No-Action Letters [ a.k.a. SEC LETTER & NO ACT ] 14A-8 1 • SEC Staff Letters – Serious Deficiencies Letters [ a.k.a. SEC LETTER ] SERIOUS DEFICIENCIES 1 Form-Specific Documents (Form-Specific Exhibits are ↓Below ↑ Letters ↑ Top • Annual Reports — Reg. A — Form 1-K – Part II PART II 257 • Information Tables of Securities Holdings — Form 13F INFORMATION TABLE 109,296 • Offering Statements — Reg. A/A+ — Form 1-A – Parts II & III PART II AND III 2,780 General Exhibits ↑ Form-Specific Documents ↑ Top • Annual and Quarterly Reports to Security Holders EX-13 49,871 • Articles of Incorporation/Organization and By-Laws EX-3 269,496 • Codes of Ethics EX-14 17,185 • Consents of Experts and Counsel EX-23 674,024 • Information from Reports Furnished to State Insurance Regulatory Authorities EX-28 3,491 • Instruments, including Indentures, Defining the Rights of Security Holders EX-4 372,998 • Invitations for Competitive Bids EX-26 1,313 • Letters re: Departures of Directors EX-17 6,240 • Material Contracts EX-10 1,414,228 • Mine-Safety Disclosures EX-95 3,128 • Opinions re: Discounts on Capital Shares EX-6 9,343 • Opinions re: Legality EX-5 276,195 • Opinions re: Tax Matters EX-8 60,827 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions EX-2 116,871 • Powers of Attorney EX-24 394,571 • Published Reports Regarding Matters Submitted to Votes of Security Holders EX-22 4,096 • Reports Furnished to Security Holders EX-19 4,785 • Statements re: Eligibility of Trustees — Forms T-1 & T-2 EX-25 30,838 • Subsidiaries EX-21 141,525 • Underwriting Agreements and Conflict Minerals Reports (and mislabeled “1st Exhibits”) EX-1 145,152 • Voting Trust Agreements EX-9 12,157 • Other Documents and Statements Furnished to Security Holders EX-20 39,960 ABS Exhibits — Asset-Backed Securities ↑ General Exhibits ↑ Top • ABS – Asset Data (some are very large XMLª Files) EX-102 5,132 • ABS – Asset-Related Documents (XMLª Files) EX-103 5,128 • ABS – Attestation Reports on Assessments of Compliance with Servicing Criteria EX-34 30,757 • ABS – Depositor Certifications for Shelf Offerings EX-36 667 • ABS – Reports of Compliance with Servicing Criteria EX-33 31,292 • ABS – Servicer Compliance Statements EX-35 18,796 • ABS – Static Pools EX-106 9 Additional Exhibits ↑ ABS Exhibits ↑ Top • Miscellaneous Exhibits, including Press Releases EX-99.* 3,518,392 Regulation 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 1,227 • Articles of Incorporation/Organization — Form 1-K EX1K-2A CHARTER 15 • Articles of Incorporation/Organization — Form 1-SA EX1SA-2A CHARTER 10 • Articles of Incorporation/Organization — Form 1-U EX1U-2A CHARTER 3 • By-Laws — Form 1-A EX1A-2B BYLAWS 685 • By-Laws — Form 1-K EX1K-2B BYLAWS 4 • By-Laws — Form 1-SA EX1SA-2B BYLAWS 2 • By-Laws — Form 1-U EX1U-2B BYLAWS 2 • Consents for Service — Form 1-A EX1A-14 CNSNT SV 24 • Consents of Experts and Counsel — Form 1-A EX1A-11 CONSENT 1,471 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT 84 • Consents of Experts and Counsel — Form 1-SA EX1SA-11 CONSENT 4 • Escrow Agreements — Form 1-A EX1A-8 ESCW AGMT 283 • 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 626 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-K EX1K-3 HLDRS RTS 10 • 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 13 • Letters re: Accountants and Accounting Principles — Form 1-A EX1A-9 ACCT LTR 40 • 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 3,162 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT 104 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT 49 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT 110 • Opinions re: Legality — Form 1-A EX1A-12 OPN CNSL 1,234 • Opinions re: Legality — Form 1-K EX1K-12 OPN CNSL 1 • Opinions re: Legality — Form 1-SA EX1SA-12 OPN CNSL 4 • 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 62 • 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 30 • Subscription Agreements — Form 1-A EX1A-4 SUBS AGMT 969 • Subscription Agreements — Form 1-K EX1K-4 SUBS AGMT 2 • Subscription Agreements — Form 1-SA EX1SA-4 SUBS AGMT 10 • Subscription Agreements — Form 1-U EX1U-4 SUBS AGMT 11 • Testing-the-Waters Materials — Form 1-A EX1A-13 TST WTRS 401 • Testing-the-Waters Materials — Form 1-K EX1K-13 TST WTRS 1 • Testing-the-Waters Materials — Form 1-U EX1U-13 TST WTRS 2 • Underwriting Agreements — Form 1-A EX1A-1 UNDR AGMT 386 • Underwriting Agreements — Form 1-K EX1K-1 UNDR AGMT 1 • Underwriting Agreements — Form 1-U EX1U-1 UNDR AGMT 9 • Voting Trust Agreements — Form 1-A EX1A-5 VOTG TRST 27 • Miscellaneous Exhibits, including Press Releases Form 1-A EX1A-15 ADD EXHB 887 • 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 6 • Miscellaneous Exhibits, including Press Releases Form 1-U EX1U-15 ADD EXHB 137 Alternative Trading System Exhibits — 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 BD 2 • ATS (NMS Stock) – Indirect Owners — Form BD – Sch. B ATS-N EX-2 SCHD B BD 2 • ATS (NMS Stock) – Redline Changes — Form BD – Sch. A & B ATS-N EX-3 REDLINE 2 Investment Company Exhibits — Form N-CEN – Annual Report ↑ Alternative Trading System Exhibits ↑ Top • Advisory Contracts ADVISORY CONTRACTS 205 • Changes in Accounting Principles CHG ACCT PRINCIPLES 2 • Exemptive Orders Information EXEMPT ORDER INFO 190 • Financial Support FINANCIAL SUPPORT 14 • Instruments Defining the Rights of Security Holders INST DEFINING RIGHTS 89 • Internal Control Reports INTERNAL CONTROL RPT 3,211 • Late-Filing Reports — Reg. S-K – Item 405 ITEM 405 REG S-K 29 • Legal Proceedings LEGAL PROCEEDINGS 81 • Material Amendments MATERIAL AMENDMENTS 159 • Other Required Information OTHER REQUIRED INFO 186 Broker-Dealer Reports — Form X-17A-5 – Annual Financials ↑ Investment Company Exhibits ↑ Top Statements: • Full Annual Financial Reports FULL 2,894 • Statements of Financial Condition STMT FIN COND 898 • Notes to Statements of Financial Condition STMT FIN COND NOTES 844 • Statements of Income STMT INCOME 266 • Statements of Cash Flows STMT CASH FLOW 267 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity STMT CHG SH EQY 271 • Statements of Changes in Liabilities Subordinated to Claims of Creditors STMT CHG SUB LIABS 24 • Notes to Financial Statements FINAN STMTS NOTES 138 Disclosures: • Computations of Net Capital COMP NET CAP 280 • Computations for Determination of Reserve Requirements COMP RESERV REQ 139 • Information re: Possession and Control Requirements INFO POS CTRL REQ 107 • 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 42 • Exemption Reports EXEMP RPT 307 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO 487 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements ACCT RPT FIN RPT 475 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports ACCT RPT COMPL RPT 43 • Accountants’ Reports re: Reviews of Exemption Reports ACCT RPT EXEMP RPT 304 • 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 371 Financials — Financial Exhibits, Reports, Workbooks & Data ↑ Broker-Dealer Reports ↑ Top • Certifications — SOA’02 §302 EX-31 1,093,708 • Certifications — SOA’02 §906 EX-32 879,691 • Letters re: Changes in Accounting Principles EX-18 2,823 • Letters re: Changes in Certifying Accountants EX-16 37,484 • Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim Reviews EX-7 11,399 • Letters re: Unaudited Interim Financial Information EX-15 34,057 • Statements re: Computations of Earnings Per Share EX-11 61,369 • Statements re: Computations of Ratios EX-12 118,583 • Financial Data Schedules {Pre-XBRL/IDEA} EX-27 604,663 • IDEA Financial Reports (IDEAª, XMLª & XBRLª Files) R# & XML 13,638,464 • IDEA Workbooks of Financial Reports (IDEAª .xls & .xlsx Files) EXCEL 327,839 • XBRL Instance Document Content Listings RENDERED XBRL 2 • XBRL Instances as JavaScript Object Notation Data (JSONª Files) JSON 1,868 • XBRL Data {Voluntary} (XBRLª Files) EX-100.* 4,463 • XBRL Data (XBRLª Files) EX-101.* 1,673,007 • XBRL Zipped Folders (Folders of XBRLª & iXBRLª Files) ZIP 279,658 Graphics ↑ Financials ↑ Top • Images, Pictures and Graphs (.gif, .jpeg/.jpg & .png Files) GRAPHIC 11,722,974 ____________ Totals 38,664,567 T This Document/Exhibit Type is obsolete. 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. 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.) 