Letters — SEC Comment Letters & Correspondence (* Delayed Release) ↑ Top • Comment and Other Letters from the SEC [ a.k.a. Filing UPLOAD ] * LETTER 160,655 • Comment and Other Letters from the SEC (PDF Text) [ a.k.a. LETTER↑ ] * TEXT-EXTRACT 11,680 • Comment-Response and Other Letters to the SEC [ a.k.a. COVER↓ ] * CORRESP 205,730 • Comment-Response and Cover Letters to the SEC [ a.k.a. Filing CORRESP ] * COVER 31,244 • SEC Staff Actions – SEC Orders [ a.k.a. Filing SEC ACTION ] ORDER 236 • SEC Staff Letters [ a.k.a. Filing SEC LETTER ] STAFF LETTER 4 • SEC Staff Letters re: Redacted Exhibits [ a.k.a. Filing SEC LETTER ] REDACTED EXHIBIT 637 • SEC Staff Letters re: Serious Deficiencies [ a.k.a. Filing SEC LETTER ] SERIOUS DEFICIENCIES 10 • SEC Staff Letters re: Shareholder Proposals [ a.k.a. Filing SEC LETTER ] 14A-8 1 Form-Specific Documents (Form-Specific Exhibits Below ↑ Letters ↑ Top • Alternative Trading Systems (NMS Stock) – Part II Items — Form ATS-N ATS-N PART2 ITM 20 • Alternative Trading Systems (NMS Stock) – Part III Items — Form ATS-N ATS-N PART3 ITM 65 • Annual Reports – Part II — Reg. A – Form 1-K PART II 451 • Offering Statements – Parts II and III — Reg. A/A+ – Form 1-A PART II AND III 4,433 • Portfolio Holdings Schedules — Form N-PORT [ formerly Filing NPORT-EX ] NPORT-EX 35,197 • Portfolio Securities Holdings Info Tables — Form 13F INFORMATION TABLE× 142,721 General Exhibits (Regs. ↑ Form-Specific Documents ↑ Top • Annual and Quarterly Reports to Security Holders EX-13 51,833 • Articles of Incorporation/Organization and Bylaws EX-3 281,955 • Codes of Ethics EX-14 17,805 • Consents of Experts and Counsel EX-23 698,894 • Instruments, such as Indentures, Defining the Rights of Security Holders EX-4 396,715 • Invitations for Competitive Bids EX-26 1,415 • Letters re: Departures of Directors EX-17 6,428 • Material Contracts EX-10 1,484,392 • Mine-Safety Disclosures EX-95 3,668 • Mining Disclosures EX-96 52 • Opinions of Counsel re: Legality EX-5 291,915 • Opinions of Counsel re: Tax Matters EX-8 63,016 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions EX-2 121,311 • Powers of Attorney EX-24 425,046 • Published Reports re: Matters Submitted to Votes of Security Holders EX-22 4,401 • Reports Furnished to Security Holders EX-19 4,809 • Statements re: Eligibility of Trustees — Forms T-1 & T-2 EX-25 31,836 • Subsidiaries Lists EX-21 147,299 • Underwriting Agreements (and mislabeled “1st Exhibits”) EX-1 154,428 • Voting Trust Agreements EX-9 12,249 • Other Documents and Statements Furnished to Security Holders EX-20 40,033 ABS Exhibits — Asset-Backed Securities ↑ General Exhibits ↑ Top • Asset Data (some are very large XMLª Files) EX-102 ° 14,640 • Asset-Related Documents (XMLª Files) EX-103 ° 14,633 • Attestation Reports on Assessments of Compliance with Servicing Criteria EX-34 35,533 • Depositor Certifications for Shelf Offerings EX-36 861 • Reports of Compliance with Servicing Criteria EX-33 36,095 • Servicer Compliance Statements EX-35 20,928 • Static Pools EX-106 9 Additional Exhibits (Miscellaneous & Form-Specific) ↑ ABS Exhibits ↑ Top • Miscellaneous Exhibits, such as Press Releases EX-99 3,760,721 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 2,180 • Articles of Incorporation/Organization — Form 1-K EX1K-2A CHARTER 20 • Articles of Incorporation/Organization — Form 1-SA EX1SA-2A CHARTER 18 • Articles of Incorporation/Organization — Form 1-U EX1U-2A CHARTER 21 • Bylaws — Form 1-A EX1A-2B BYLAWS 1,096 • Bylaws — Form 1-K EX1K-2B BYLAWS 7 • Bylaws — Form 1-SA EX1SA-2B BYLAWS 8 • Bylaws — Form 1-U EX1U-2B BYLAWS 6 • Consents for Service — Form 1-A EX1A-14 CNSNT SV 60 • Consents for Service — Form 1-K EX1K-14 CNSNT SV 1 • Consents for Service — Form 1-SA EX1SA-14 CNSNT SV 1 • Consents for Service — Form 1-U EX1U-14 CNSNT SV 1 • Consents of Experts and Counsel — Form 1-A EX1A-11 CONSENT 2,462 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT 151 • Consents of Experts and Counsel — Form 1-SA EX1SA-11 CONSENT 12 • Consents of Experts and Counsel — Form 1-U EX1U-11 CONSENT 1 • Escrow Agreements — Form 1-A EX1A-8 ESCW AGMT 546 • Escrow Agreements — Form 1-K EX1K-8 ESCW AGMT 5 • Escrow Agreements — Form 1-SA EX1SA-8 ESCW AGMT 6 • Escrow Agreements — Form 1-U EX1U-8 ESCW AGMT 23 • Instruments Defining the Rights of Security Holders — Form 1-A EX1A-3 HLDRS RTS 1,246 • Instruments Defining the Rights of Security Holders — Form 1-K EX1K-3 HLDRS RTS 20 • Instruments Defining the Rights of Security Holders — Form 1-SA EX1SA-3 HLDRS RTS 12 • Instruments Defining the Rights of Security Holders — Form 1-U EX1U-3 HLDRS RTS 23 • Letters re: Changes in Certifying Accountants — Form 1-A EX1A-9 ACCT LTR 57 • Letters re: Changes in Certifying Accountants — Form 1-K EX1K-9 ACCT LTR 4 • Letters re: Changes in Certifying Accountants — Form 1-SA EX1SA-9 ACCT LTR 10 • Letters re: Changes in Certifying Accountants — Form 1-U EX1U-9 ACCT LTR 29 • Material Contracts — Form 1-A EX1A-6 MAT CTRCT 5,473 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT 171 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT 164 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT 246 • Opinions of Counsel re: Legality — Form 1-A EX1A-12 OPN CNSL 2,176 • Opinions of Counsel re: Legality — Form 1-K EX1K-12 OPN CNSL 2 • Opinions of Counsel re: Legality — Form 1-SA EX1SA-12 OPN CNSL 7 • Opinions of Counsel 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 102 • 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 6 • Powers of Attorney — Form 1-A EX1A-10 PWR ATTY 54 • Powers of Attorney — Form 1-K EX1K-10 PWR ATTY 1 • Powers of Attorney — Form 1-SA EX1SA-10 PWR ATTY 1 • Powers of Attorney — Form 1-U EX1U-10 PWR ATTY 1 • Subscription Agreements — Form 1-A EX1A-4 SUBS AGMT 1,830 • Subscription Agreements — Form 1-K EX1K-4 SUBS AGMT 4 • Subscription Agreements — Form 1-SA EX1SA-4 SUBS AGMT 18 • Subscription Agreements — Form 1-U EX1U-4 SUBS AGMT 61 • Test-the-Waters Materials — Form 1-A EX1A-13 TST WTRS 754 • Test-the-Waters Materials — Form 1-K EX1K-13 TST WTRS 1 • Test-the-Waters Materials — Form 1-U EX1U-13 TST WTRS 3 • Underwriting Agreements — Form 1-A EX1A-1 UNDR AGMT 628 • Underwriting Agreements — Form 1-K EX1K-1 UNDR AGMT 1 • Underwriting Agreements — Form 1-SA EX1SA-1 UNDR AGMT 3 • Underwriting Agreements — Form 1-U EX1U-1 UNDR AGMT 25 • Voting Trust Agreements — Form 1-A EX1A-5 VOTG TRST 37 • Miscellaneous Exhibits, such as Press Releases Form 1-A EX1A-15 ADD EXHB 1,666 • Miscellaneous Exhibits, such as Press Releases Form 1-K EX1K-15 ADD EXHB 2 • Miscellaneous Exhibits, such as Press Releases Form 1-SA EX1SA-15 ADD EXHB 44 • Miscellaneous Exhibits, such as Press Releases Form 1-U EX1U-15 ADD EXHB 359 Alternative Trading System Exhibits — Form ATS-N – NMS Stock ↑ Reg. A/A+ Exhibits ↑ Top • Cover Pages COVER PAGE× 62 • Direct Owners and Executive Officers — Form BD – Sch. A ATS-N EX-1 SCHD A BD 185 • Indirect Owners — Form BD – Sch. B ATS-N EX-2 SCHD B BD 184 • Redline Changes — Form BD – Sch. A & B Δ ATS-N EX-3 REDLINE 171 • Aggregate Statistics ATS-N EX-4 AGG STATS 69 • Category Metrics ATS-N EX-5 CATG MTRC 54 Investment Company Exhibits — Form N-CEN – Annual Report ↑ Alternative Trading System Exhibits ↑ Top • Changes in Accounting Principles and Practices Δ CHG ACCT PRINCIPLES 5 • Codes of Ethics CODE OF ETHICS 2 • Independent Public Accountants’ Reports on Internal Control INTERNAL CONTROL RPT 8,076 • Info Filed Pursuant to Exemptive Orders EXEMPT ORDER INFO 855 • Instruments Defining the Rights of Security Holders INST DEFINING RIGHTS 134 • Investment Adviser Agreements ADVISORY CONTRACTS 405 • Late-Filings Reports — Reg. S-K – Item 405 ITEM 405 REG S-K 70 • Legal Proceedings LEGAL PROCEEDINGS 194 • Material Amendments to Organizational Documents MATERIAL AMENDMENTS 371 • Provisions of Financial Support FINANCIAL SUPPORT 35 • Other Required Info OTHER REQUIRED INFO 314 Broker-Dealer Reports — Form X-17A-5 – Annual Financial Report ↑ Investment Company Exhibits ↑ Top Statements: • Annual Financial Reports (Full) FULL 4,237 • Statements of Financial Condition STMT FIN COND 1,020 • Notes to Statements of Financial Condition STMT FIN COND NOTES 936 • Statements of Income STMT INCOME 279 • Statements of Cash Flows STMT CASH FLOW 280 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity STMT CHG SH EQY 283 • Statements of Changes in Liabilities Subordinated to Claims of Creditors STMT CHG SUB LIABS 25 • Notes to Financial Statements FINAN STMTS NOTES 142 Disclosures: • Computations of Net Capital COMP NET CAP 292 • Computations for Determination of Reserve Requirements COMP RESERV REQ 141 • Info re: Possession and Control Requirements INFO POS CTRL REQ 110 • 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 54 • Exemption Reports EXEMP RPT 333 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO 527 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements ACCT RPT FIN RPT 534 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports ACCT RPT COMPL RPT 53 • Accountants’ Reports re: Reviews of Exemption Reports ACCT RPT EXEMP RPT 327 • 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 420 Financials — Financial Reports, Exhibits, Workbooks & Data ↑ Broker-Dealer Reports ↑ Top • Certifications — §302 – SOA’02 EX-31 1,167,559 • Certifications — §906 – SOA’02 EX-32 938,136 • Letters re: Changes in Accounting Principles EX-18 2,878 • Letters re: Changes in Certifying Accountants EX-16 38,533 • Letters re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews EX-7 11,659 • Letters re: Unaudited Interim Financial Info EX-15 35,710 • Statements re: Computations of Earnings Per Share EX-11 61,521 • Statements re: Computations of Ratios EX-12 120,597 • IDEA Financial Reports (IDEAª, XMLª, XBRLª and iXBRLª Files) R# & XML ° 16,406,493 • IDEA Workbooks of Financial Reports (IDEAª Excel . xls and . xlsx Files) EXCEL 410,234 • XBRL Data (XBRLª and iXBRLª Files) EX-101.*× 2,091,416 • XBRL Instances as JavaScript Object Notation Data (iXBRLª JSONª Files) JSON 62,038 • XBRL Zipped Folders (. zip Folders of XBRLª or iXBRLª Files) ZIP 366,505 Graphics ↑ Financials ↑ Top • Photos, Images and Graphs (. jpg/. jpeg, . gif and . png Files) GRAPHIC 13,447,387 Totals 43,919,789 ____________ ° May be an XMLª, XBRLª or iXBRLª File. (Most XMLª Files are rendered by using the SEC’s XSLTª Stylesheets – × Must be an XMLª, XBRLª or iXBRLª File. XBRLª Files are rendered by the SEC as IDEAª ‘R# ª Acronyms: XML: eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard. ‹?xml? › 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. i JSON: JavaScript Object Notation — A lightweight data-interchange standard, used to encode iXBRL data. XSLT: eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML. IDEA: Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data. (See our XBRL page info.) 
