Letters — Comment Letters & Correspondence (delayed release) ↑ Top • Comment and Other Letters from the SEC [ a.k.a. UPLOAD ] LETTER 151,122 • Comment and Other Letters from the SEC [ a.k.a. LETTER↑ ] TEXT-EXTRACT 2,181 • Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ] COVER 751 • Comment-Response and Other Letters to the SEC [ a.k.a. COVER↑ ] CORRESP 153,681 • SEC Staff Actions – Orders ORDER 40 • SEC Staff Letters – No-Action Letters — Rule 14a-8 14A-8 1 • SEC Staff Letters – Serious Deficiencies Letters SERIOUS DEFICIENCIES 1 Form-Specific Documents (Form-Specific Exhibits are ↓Below ↑ Letters ↑ Top • Information Tables of Securities Holdings — Form 13F INFORMATION TABLE 103,884 • Part II — Form 1-K PART II 177 • Parts II & III — Form 1-A PART II AND III 2,613 • 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 48,885 • Articles of Incorporation/Organization and By-Laws EX-3 267,978 • Codes of Ethics EX-14 17,089 • Consents of Experts and Counsel EX-23 670,870 • Information from Reports Furnished to State Insurance Regulatory Authorities EX-28 3,491 • Instruments, including Indentures, Defining the Rights of Security Holders EX-4 370,213 • Invitations for Competitive Bids EX-26 1,259 • Letters re: Departures of Directors EX-17 6,219 • Material Contracts EX-10 1,404,591 • Mine-Safety Disclosures EX-95 3,019 • Opinions re: Discounts on Capital Shares EX-6 9,343 • Opinions re: Legality EX-5 274,329 • Opinions re: Tax Matters EX-8 60,324 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions EX-2 116,392 • Powers of Attorney EX-24 390,423 • Published Reports Regarding Matters Submitted to Votes of Security Holders EX-22 4,085 • Reports Furnished to Security Holders EX-19 4,777 • Statements re: Eligibility of Trustees — Forms T-1 & T-2 EX-25 30,716 • Subsidiaries EX-21 140,690 • Underwriting Agreements and Conflict Minerals Reports (and mislabeled “1st Exhibits”) EX-1 144,070 • Voting Trust Agreements EX-9 12,138 • Other Documents and Statements Furnished to Security Holders EX-20 39,946 ABS Exhibits — Asset-Backed Securities ↑ General Exhibits ↑ Top • ABS – Asset Data (some are very large XMLª Files) EX-102 4,317 • ABS – Asset-Related Documents (XMLª Files) EX-103 4,313 • ABS – Attestation Reports on Assessments of Compliance with Servicing Criteria EX-34 27,928 • ABS – Depositor Certifications for Shelf Offerings EX-36 639 • ABS – Reports of Compliance with Servicing Criteria EX-33 28,463 • ABS – Servicer Compliance Statements EX-35 16,771 • ABS – Static Pools EX-106 9 Additional Exhibits ↑ ABS Exhibits ↑ Top • Miscellaneous Exhibits, including Press Releases EX-99.* 3,484,497 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 1,146 • 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 654 • By-Laws — Form 1-K EX1K-2B BYLAWS 2 • By-Laws — Form 1-SA EX1SA-2B BYLAWS 2 • By-Laws — Form 1-U EX1U-2B BYLAWS 1 • Consents for Service — Form 1-A EX1A-14 CNSNT SV 24 • 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 1,362 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT 58 • 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 275 • 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 559 • 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 13 • Letters re: Accountants and Accounting Principles — Form 1-A EX1A-9 ACCT LTR 37 • 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 2,942 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT 70 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT 47 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT 97 • Opinions re: Legality — Form 1-A EX1A-12 OPN CNSL 1,149 • 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 56 • 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 • 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 905 • 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 11 • Testing-the-Waters Materials — Form 1-A EX1A-13 TST WTRS 361 • 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 358 • 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 9 • 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 832 • 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 114 Investment Company Exhibits — Form N-CEN – Annual Report ↑ Reg. A/A+ Exhibits ↑ Top • Advisory Contracts ADVISORY CONTRACTS 168 • Changes in Accounting Principles CHG ACCT PRINCIPLES 2 • Codes of Ethics CODE OF ETHICS – • Exemptive Orders Information EXEMPT ORDER INFO 180 • Financial Support FINANCIAL SUPPORT 13 • Instruments Defining the Rights of Security Holders INST DEFINING RIGHTS 84 • Internal Control Reports INTERNAL CONTROL RPT 2,795 • Late-Filing Reports — Reg. S-K Item 405 ITEM 405 REG S-K 25 • Legal Proceedings LEGAL PROCEEDINGS 74 • Material Amendments MATERIAL AMENDMENTS 145 • Other Required Information OTHER REQUIRED INFO 162 Broker-Dealer Reports — Form X-17A-5 – Annual Financials ↑ Investment Company Exhibits ↑ Top Statements: • Full Annual Financial Reports FULL 2,853 • Statements of Financial Condition STMT FIN COND 897 • Notes to Statements of Financial Condition STMT FIN COND NOTES 843 • 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 • Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial Condition SUM UNCONSOLTD SUBS – • Compliance Reports COMPL RPT 41 • 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 474 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports ACCT RPT COMPL RPT 42 • 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 1,079,256 • Certifications — SOA’02 §906 EX-32 868,742 • Letters re: Changes in Accounting Principles EX-18 2,810 • Letters re: Changes in Certifying Accountants EX-16 37,274 • Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim Reviews EX-7 11,372 • Letters re: Unaudited Interim Financial Information EX-15 33,502 • Statements re: Computations of Earnings Per Share EX-11 61,332 • Statements re: Computations of Ratios EX-12 117,660 • 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 13,160,874 • IDEA Workbooks of Financial Reports (.xls/.xlsx Files) EXCEL 320,409 • XBRL Instance Document Content Listings RENDERED XBRL 2 • XBRL Instances as JavaScript Object Notation Data (JSONª Files) JSON 1,261 • XBRL Data (XBRLª Files) EX-101.* 1,624,219 • XBRL Data {Voluntary} (XBRLª Files) EX-100.* 4,463 • XBRL Zipped Folders (Folders of XBRLª Files) ZIP 271,385 Graphics ↑ Financials ↑ Top • Images, Pictures and Graphs (.gif, .jpeg/.jpg & .png Files) GRAPHIC 11,452,112 ________ T This Document/Exhibit Type is obsolete. Totals 37,676,632 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). 