311  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
•	Description		Doc. / Exh. Type	Documents
		(click for most-recent)
Letters — Comment Letters & Correspondence  (most were SEC-delayed)			↑Top
•	Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ]		LETTER	154,982
•	Comment and Other Letters from the SEC  [ a.k.a. LETTER↑ ]  (PDF ⇒ Text)		TEXT-EXTRACT	6,007
•	Comment-Response and Other Letters to the SEC  [ a.k.a. COVER↓ ]		CORRESP	196,869
•	Comment-Response and Cover Letters to the SEC  [ a.k.a. CORRESP ]		COVER	30,068
•	SEC Staff Actions – Order  [ a.k.a. SEC ACTION ]		ORDER	153
•	SEC Staff Letters  [ a.k.a. SEC LETTER ]		STAFF LETTER	4
•	SEC Staff Letters – No Action  [ a.k.a. SEC LETTER & NO ACT ]		14A-8	1
•	SEC Staff Letters – Redacted Exhibit  [ a.k.a. SEC LETTER ]		REDACTED EXHIBIT	109
•	SEC Staff Letters – Serious Deficiencies  [ a.k.a. SEC LETTER ]		SERIOUS DEFICIENCIES	10
Form-Specific Documents   (Form-Specific Exhibits are ↓Below)			↑Letters   ↑Top
•	Alternative Trading Systems (NMS Stock) – Part III Items — Form ATS-N		ATS-N PART3 ITM	21
•	Annual Reports – Part II — Reg. A – Form 1-K		PART II	287
•	Information Tables of Securities Holdings — Form 13F  (XMLª Files)		INFORMATION TABLE	120,012
•	Offering Statements – Parts II & III — Reg. A/A+ – Form 1-A		PART II AND III	3,269
•	Portfolio Holdings Schedules — Form N-PORT  [ formerly NPORT-EX ]		NPORT-EX	7,917
General Exhibits			↑Form-Specific Documents   ↑Top
•	Annual and Quarterly Reports to Security Holders		EX-13	50,165
•	Articles of Incorporation/Organization and By-Laws		EX-3	272,921
•	Codes of Ethics		EX-14	17,310
•	Consents of Experts and Counsel		EX-23	680,537
•	Information from Reports Furnished to State Insurance Regulatory Authorities		EX-28	3,491
•	Instruments, including Indentures, Defining the Rights of Security Holders		EX-4	378,741
•	Invitations for Competitive Bids		EX-26	1,323
•	Letters re: Departures of Directors		EX-17	6,309
•	Material Contracts		EX-10	1,434,186
•	Mine-Safety Disclosures		EX-95	3,317
•	Mining Disclosures		EX-96	6
•	Opinions of Counsel re: Discounts on Capital Shares		EX-6	9,343
•	Opinions of Counsel re: Legality		EX-5	280,577
•	Opinions of Counsel re: Tax Matters		EX-8	61,429
•	Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions		EX-2	118,180
•	Powers of Attorney		EX-24	403,215
•	Published Reports Regarding Matters Submitted to Votes of Security Holders		EX-22	4,104
•	Reports Furnished to Security Holders		EX-19	4,787
•	Statements re: Eligibility of Trustees — Forms T-1 / T-2		EX-25	31,156
•	Subsidiaries		EX-21	142,407
•	Underwriting Agreements and Conflict Minerals Reports  (and mislabeled “1st Exhibits”)		EX-1	147,901
•	Voting Trust Agreements		EX-9	12,180
•	Other Documents and Statements Furnished to Security Holders		EX-20	39,973
ABS Exhibits — Asset-Backed Securities			↑General Exhibits   ↑Top
•	Asset Data  (some are very large XMLª Files)		EX-102	7,772
•	Asset-Related Documents  (XMLª Files)		EX-103	7,767
•	Attestation Reports on Assessments of Compliance with Servicing Criteria		EX-34	30,996
•	Depositor Certifications for Shelf Offerings		EX-36	754
•	Reports of Compliance with Servicing Criteria		EX-33	31,536
•	Servicer Compliance Statements		EX-35	18,828
•	Static Pools		EX-106	9
Additional Exhibits			↑ABS Exhibits   ↑Top
•	Miscellaneous Exhibits, including Press Releases		EX-99	3,590,304
•	EX-99.*  Form-Specific Exhibits:   (many apply to multiple Forms — additional entity-type Form-Specific Exhibits are ↓Below)
	EX-99.1 CHARTER  *.33 APP REG DOC  *.g REINS CONTRT  *.E1 NRSRO  *.2 BYLAWS  *.34 OPIN COUNSL  *.h OTH MAT CONT  *.E2 NRSRO  *.2 OPIN COUNSEL  *.35 OTHER  *.h PARTIC AGREE  *.E3 NRSRO  *.2A CHARTER  *.906 CERT  *.i ADMIN CONTRT  *.E4 NRSRO  *.2B BYLAWS  *.a BD-DIR-RESOL  *.i LEGAL OPININ  *.E5 NRSRO  *.2C VOTING TRST  *.a CHARTER  *.IND PUB ACCT  *.E6 NRSRO  *.2D HOLDERS RTS  *.A1 INDNTR ORGN  *.j OTH MAT CONT  *.E7 NRSRO  *.2E DIV REIN PL  *.A2 INDNTR PMT  *.j OTHER OPININ  *.E8 NRSRO  *.2G ADVSR CONTR  *.A3A DIST CONTR  *.k LEGAL OPININ  *.E9 NRSRO  *.2H DISTR CONTR  *.A3B DEALER AGR  *.k OMT FIN STAT  *.A SDR SUMMARY×  *.2I O&D BENEFTS  *.A3C SCH COMMIS  *.l ACTUARIAL OP  *.C SDR×  *.2J CUST CONTR  *.A4 OTHER AGRMT  *.l INT CAP AGRE  *.D SDR  *.2K OTH CONTRCT  *.A5 FORM/SECRTY  *.m 12B-1 PLAN  *.E SDR  *.2L OPIN COUNSL  *.A6 CERT/BYLAWS  *.m CALCULATION  *.F SDR  *.2M CNSNT SRVCE  *.A7 INSR POLICY  *.n 18F-3 PLAN  *.G SDR×  *.2N OTH CONSENT  *.A8 DEPOSIT AGR  *.n OTH OPINIONS  *.I SDR CNTRCT  *.2O OTH FIN ST  *.A9 OTHER CONTR  *.o OMITD FIN ST  *.I SDR SUMMARY×  *.2P STOCK LTR  *.A10 PERIODC PP  *.p CODE ETH  *.J SDR  *.2Q RETRMT PLAN  *.A11 CODE ETH  *.p INIT CAP AGR  *.L SDR  *.2R CODE ETH  *.b BYLAWS  *.q REDEEM EXEMP  *.L SDR.CAL×  *.3 OTHER FIN ST  *.b CUST-AGRMETS  *.Rule23C1  *.L SDR.DEF×  *.3 VOTING TRUST  *.B1 NOTIC/SHLDR  *.77B ACCT LTTR  *.L SDR.INS×  *.4 ACQ AGREEMNT  *.B2 ANRPT/SHLDR  *.77C VOTES  *.L SDR.LAB×  *.4 UNREG ISSUER  *.c HOLDERS RTS  *.77D POLICIES  *.L SDR.PRE×  *.5 HOLDERS RTS  *.c UNDER CONTRT  *.77E LEGAL  *.L SDR.SCH×  *.6 ADVSER CONTR  *.C1 ACCT CONSNT  *.77F CHNG DEBT  *.M SDR  *.7 DISTR CONTR  *.C2 EVAL CONSNT  *.77G DEFAULTS  *.N SDR  *.8 O&D BENEFTS  *.C3 RTG AGY OPN  *.77H CHNG CNTRL  *.U SDR  *.9 CUST CONTRCT  *.C4 TAX OPINION  *.77I NEW SECUR  *.V SDR  *.10 12B1 PLAN  *.C5 REV RULING  *.77J REVALUATN  *.W SDR  *.11 OPIN COUNSL  *.C6 OTHER OPIN  *.77K CHNG ACCNT  *.X SDR  *.12 REV RULING  *.CERT  *.77L NEW ACCTNG  *.Y SDR  *.12 TAX OPINION  *.CODE ETH  *.77M MERGERS  *.AA SDR  *.13 OTH CONTRCT  *.d ADVSR CONTR  *.77N RULE 2A-7  *.BB SDR  *.14 OTH CONSENT  *.d CONTRACTS  *.77O RULE 10F-3  *.CC SDR  *.15 OTH FIN ST  *.e APPLICATIONS  *.77P EXMPT INFO  *.DD SDR  *.16 PWR OF ATTY  *.e UNDR CONTR  *.77Q1 OTHR EXHB  *.EE SDR  *.17 (as approp)  *.f BONUS PROFIT  *.77Q2 ITEM 405  *.GG SDR  *.31 MA-NR  *.f DEP CERT/BYL  *.77Q3  *.HH SDR  *.32 APP CRT DOC  *.g CUST AGREEMT  *.77Q3 CERT ____________  ×   XMLª & XBRLª Files.
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	1,516
•	Articles of Incorporation/Organization — Form 1-K		EX1K-2A CHARTER	15
•	Articles of Incorporation/Organization — Form 1-SA		EX1SA-2A CHARTER	12
•	Articles of Incorporation/Organization — Form 1-U		EX1U-2A CHARTER	6
•	By-Laws — Form 1-A		EX1A-2B BYLAWS	834
•	By-Laws — Form 1-K		EX1K-2B BYLAWS	4
•	By-Laws — Form 1-SA		EX1SA-2B BYLAWS	3
•	By-Laws — Form 1-U		EX1U-2B BYLAWS	3
•	Consents for Service — Form 1-A		EX1A-14 CNSNT SV	39
•	Consents of Experts and Counsel — Form 1-A		EX1A-11 CONSENT	1,762
•	Consents of Experts and Counsel — Form 1-K		EX1K-11 CONSENT	94
•	Consents of Experts and Counsel — Form 1-SA		EX1SA-11 CONSENT	6
•	Escrow Agreements — Form 1-A		EX1A-8 ESCW AGMT	382
•	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	6
•	Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-A		EX1A-3 HLDRS RTS	790
•	Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-K		EX1K-3 HLDRS RTS	12
•	Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SA		EX1SA-3 HLDRS RTS	8
•	Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-U		EX1U-3 HLDRS RTS	14
•	Letters re: Accountants and Accounting Principles — Form 1-A		EX1A-9 ACCT LTR	44
•	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	4
•	Letters re: Accountants and Accounting Principles — Form 1-U		EX1U-9 ACCT LTR	17
•	Material Contracts — Form 1-A		EX1A-6 MAT CTRCT	3,823
•	Material Contracts — Form 1-K		EX1K-6 MAT CTRCT	105
•	Material Contracts — Form 1-SA		EX1SA-6 MAT CTRCT	70
•	Material Contracts — Form 1-U		EX1U-6 MAT CTRCT	153
•	Opinions of Counsel re: Legality — Form 1-A		EX1A-12 OPN CNSL	1,491
•	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	4
•	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	75
•	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	41
•	Subscription Agreements — Form 1-A		EX1A-4 SUBS AGMT	1,243
•	Subscription Agreements — Form 1-K		EX1K-4 SUBS AGMT	2
•	Subscription Agreements — Form 1-SA		EX1SA-4 SUBS AGMT	13
•	Subscription Agreements — Form 1-U		EX1U-4 SUBS AGMT	31
•	Testing-the-Waters Materials — Form 1-A		EX1A-13 TST WTRS	584
•	Testing-the-Waters Materials — Form 1-K		EX1K-13 TST WTRS	1
•	Testing-the-Waters Materials — Form 1-U		EX1U-13 TST WTRS	3
•	Underwriting Agreements — Form 1-A		EX1A-1 UNDR AGMT	457
•	Underwriting Agreements — Form 1-K		EX1K-1 UNDR AGMT	1
•	Underwriting Agreements — Form 1-SA		EX1SA-1 UNDR AGMT	1
•	Underwriting Agreements — Form 1-U		EX1U-1 UNDR AGMT	12
•	Voting Trust Agreements — Form 1-A		EX1A-5 VOTG TRST	30
•	Miscellaneous Exhibits, including Press Releases  — Form 1-A		EX1A-15 ADD EXHB	1,091
•	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	11
•	Miscellaneous Exhibits, including Press Releases  — Form 1-U		EX1U-15 ADD EXHB	182
Alternative Trading System Exhibits — Form ATS-N – NMS Stock			↑Regulation A/A+ Exhibits   ↑Top
•	Cover Pages		COVER PAGE	14
•	Aggregate Statistics		ATS-N EX-4 AGG STATS	22
•	Category Metrics		ATS-N EX-5 CATG MTRC	15
•	Direct Owners and Executive Officers — Form BD – Sch. A		ATS-N EX-1 SCHD A BD	59
•	Indirect Owners — Form BD – Sch. B		ATS-N EX-2 SCHD B BD	59
•	Redline Changes — Form BD – Sch. A & B		ATS-N EX-3 REDLINE	36
Investment Company Exhibits — Form N-CEN – Annual Report			↑Alternative Trading System Exhibits   ↑Top
•	Changes in Accounting Principles and Practices		CHG ACCT PRINCIPLES	2
•	Independent Public Accountants’ Reports on Internal Control		INTERNAL CONTROL RPT	4,673
•	Information Filed Pursuant to Exemption Orders		EXEMPT ORDER INFO	463
•	Instruments Defining the Rights of Security Holders		INST DEFINING RIGHTS	109
•	Investment Advisor Agreements		ADVISORY CONTRACTS	235
•	Late-Filings Reports — Item 405 – Reg. S-K		ITEM 405 REG S-K	39
•	Legal Proceedings		LEGAL PROCEEDINGS	112
•	Material Amendments to Organizational Documents		MATERIAL AMENDMENTS	209
•	Provisions of Financial Support		FINANCIAL SUPPORT	17
•	Other Required Information		OTHER REQUIRED INFO	227
Broker-Dealer Reports — Form X-17A-5 – Annual Financial Report			↑Investment Company Exhibits   ↑Top
Statements:
•	Full Annual Financial Reports		FULL	2,993
•	Statements of Financial Condition		STMT FIN COND	908
•	Notes to Statements of Financial Condition		STMT FIN COND NOTES	853
•	Statements of Income		STMT INCOME	267
•	Statements of Cash Flows		STMT CASH FLOW	268
•	Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity		STMT CHG SH EQY	272
•	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	281
•	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	43
•	Exemption Reports		EXEMP RPT	309
•	Accountants’ Reports re: Examinations of Statements of Financial Condition		ACCT RPT STMT FIN CO	488
•	Accountants’ Reports re: Examinations of Financial Reports and Financial Statements		ACCT RPT FIN RPT	483
•	Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports		ACCT RPT COMPL RPT	44
•	Accountants’ Reports re: Reviews of Exemption Reports		ACCT RPT EXEMP RPT	306
•	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	373
Financials — Financial Reports, Exhibits, Workbooks & Data			↑Broker-Dealer Reports   ↑Top
•	Certifications — §302 – SOA’02		EX-31	1,118,217
•	Certifications — §906 – SOA’02		EX-32	899,379
•	Letters re: Changes in Accounting Principles		EX-18	2,838
•	Letters re: Changes in Certifying Accountants		EX-16	37,785
•	Letters re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews		EX-7	11,487
•	Letters re: Unaudited Interim Financial Information		EX-15	34,421
•	Statements re: Computations of Earnings Per Share		EX-11	61,407
•	Statements re: Computations of Ratios		EX-12	118,935
•	Financial Data Schedules {Pre-XBRL/IDEA}		EX-27	604,663
•	IDEA Financial Reports   (IDEAª, XMLª & XBRLª Files)		R#  &  XML	14,465,376
•	IDEA Workbooks of Financial Reports   (IDEAª Excel .xls & .xlsx Files)		EXCEL	348,526
•	XBRL Instance Document Content Listings		RENDERED XBRL	2
•	XBRL Instances as JavaScript Object Notation Data  (iXBRLª JSONª Files)		JSON	14,026
•	XBRL Data {Voluntary}  (XBRLª Files)		EX-100.*	4,463
•	XBRL Data  (XBRLª Files)		EX-101.*	1,784,925
•	XBRL Zipped Folders   (.zip Folders of XBRLª & iXBRLª Files)		ZIP	301,591
Graphics			↑Financials   ↑Top
•	Images, Pictures and Graphs  (.gif, .jpg/.jpeg & .png Files)		GRAPHIC	12,206,335
____________			Totals	40,355,278
T   This Document/Exhibit Type is no longer filed or is now a different Type.
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.)