312  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. Filing UPLOAD ]		LETTER	156,795
•	Comment and Other Letters from the SEC   [ a.k.a. LETTER↑ ]  (PDF ⇒ Text)		TEXT-EXTRACT	7,820
•	Comment-Response and Other Letters to the SEC   [ a.k.a. COVER↓ ]		CORRESP	199,749
•	Comment-Response and Cover Letters to the SEC   [ a.k.a. Filing CORRESP ]		COVER	30,472
•	SEC Staff Actions – Order   [ a.k.a. Filing SEC ACTION ]		ORDER	191
•	SEC Staff Letters   [ a.k.a. Filing SEC LETTER ]		STAFF LETTER	4
•	SEC Staff Letters – No Action   [ a.k.a. Filings NO ACT & SEC LETTER ]		14A-8	1
•	SEC Staff Letters – Redacted Exhibit   [ a.k.a. Filing SEC LETTER ]		REDACTED EXHIBIT	401
•	SEC Staff Letters – Serious Deficiencies   [ a.k.a. Filing 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	37
•	Annual Reports – Part II — Reg. A – Form 1-K		PART II	297
•	Offering Statements – Parts II & III — Reg. A/A+ – Form 1-A		PART II AND III	3,615
•	Portfolio Holdings Schedules — Form N-PORT   [ formerly Filing NPORT-EX ]		NPORT-EX	17,574
•	Securities Holdings Information Tables — Form 13F   (XMLª Files)		INFORMATION TABLE	125,809
General Exhibits   (Regulations S-K & S-B)			↑Form-Specific Documents   ↑Top
•	Annual and Quarterly Reports to Security Holders		EX-13	50,654
•	Articles of Incorporation/Organization and Bylaws		EX-3	275,347
•	Codes of Ethics		EX-14	17,482
•	Consents of Experts and Counsel		EX-23	688,282
•	Instruments, including Indentures, Defining the Rights of Security Holders		EX-4	386,212
•	Invitations for Competitive Bids		EX-26	1,323
•	Letters re: Departures of Directors		EX-17	6,330
•	Material Contracts		EX-10	1,449,626
•	Mine-Safety Disclosures		EX-95	3,412
•	Mining Disclosures		EX-96	14
•	Opinions of Counsel re: Legality		EX-5	283,616
•	Opinions of Counsel re: Tax Matters		EX-8	61,961
•	Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions		EX-2	119,301
•	Powers of Attorney		EX-24	411,592
•	Published Reports re: Matters Submitted to Votes of Security Holders		EX-22	4,124
•	Reports Furnished to Security Holders		EX-19	4,795
•	Statements re: Eligibility of Trustees — Forms T-1 & T-2		EX-25	31,340
•	Subsidiaries Lists		EX-21	145,792
•	Underwriting Agreements and Conflict Minerals Reports   (and mislabeled “1st Exhibits”)		EX-1	149,573
•	Voting Trust Agreements		EX-9	12,201
•	Other Documents and Statements Furnished to Security Holders		EX-20	39,978
•	Information from Reports Furnished to State Insurance Regulators		EX-28	3,491
•	Opinions of Counsel re: Discounts on Capital Shares		EX-6	9,343
ABS Exhibits — Asset-Backed Securities			↑General Exhibits   ↑Top
•	Asset Data   (some are very large XMLª Files)		EX-102	10,036
•	Asset-Related Documents   (XMLª Files)		EX-103	10,031
•	Attestation Reports on Assessments of Compliance with Servicing Criteria		EX-34	35,421
•	Depositor Certifications for Shelf Offerings		EX-36	798
•	Reports of Compliance with Servicing Criteria		EX-33	35,964
•	Servicer Compliance Statements		EX-35	20,868
•	Static Pools		EX-106	9
Additional Exhibits			↑ABS Exhibits   ↑Top
•	Miscellaneous Exhibits, including Press Releases		EX-99	3,647,807
•	EX-99.*  Form-Specific Exhibits:   (many apply to multiple Forms — additional 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  Δ      *.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×  Σ  *.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×  Σ  *.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  Δ      *.M SDR  *.7 DISTR CONTR      *.C2 EVAL CONSNT      *.77G DEFAULTS      *.N SDR  *.8 O&D BENEFTS      *.C3 RTG AGY OPN      *.77H CHNG CNTRL  Δ      *.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  Δ      *.X SDR  *.12 REV RULING      *.CERT      *.77L NEW ACCTNG  Δ      *.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	1,700
•	Articles of Incorporation/Organization — Form 1-K		EX1K-2A CHARTER	15
•	Articles of Incorporation/Organization — Form 1-SA		EX1SA-2A CHARTER	14
•	Articles of Incorporation/Organization — Form 1-U		EX1U-2A CHARTER	9
•	Bylaws — Form 1-A		EX1A-2B BYLAWS	909
•	Bylaws — Form 1-K		EX1K-2B BYLAWS	4
•	Bylaws — Form 1-SA		EX1SA-2B BYLAWS	4
•	Bylaws — Form 1-U		EX1U-2B BYLAWS	4
•	Consents for Service — Form 1-A		EX1A-14 CNSNT SV	41
•	Consents of Experts and Counsel — Form 1-A		EX1A-11 CONSENT	1,953
•	Consents of Experts and Counsel — Form 1-K		EX1K-11 CONSENT	97
•	Consents of Experts and Counsel — Form 1-SA		EX1SA-11 CONSENT	6
•	Escrow Agreements — Form 1-A		EX1A-8 ESCW AGMT	434
•	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	894
•	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	17
•	Letters re: Accountants and Accounting Principles — Form 1-A		EX1A-9 ACCT LTR	45
•	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	7
•	Letters re: Accountants and Accounting Principles — Form 1-U		EX1U-9 ACCT LTR	19
•	Material Contracts — Form 1-A		EX1A-6 MAT CTRCT	4,260
•	Material Contracts — Form 1-K		EX1K-6 MAT CTRCT	105
•	Material Contracts — Form 1-SA		EX1SA-6 MAT CTRCT	73
•	Material Contracts — Form 1-U		EX1U-6 MAT CTRCT	186
•	Opinions of Counsel re: Legality — Form 1-A		EX1A-12 OPN CNSL	1,698
•	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	88
•	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	5
•	Powers of Attorney — Form 1-A		EX1A-10 PWR ATTY	45
•	Subscription Agreements — Form 1-A		EX1A-4 SUBS AGMT	1,399
•	Subscription Agreements — Form 1-K		EX1K-4 SUBS AGMT	2
•	Subscription Agreements — Form 1-SA		EX1SA-4 SUBS AGMT	14
•	Subscription Agreements — Form 1-U		EX1U-4 SUBS AGMT	33
•	Testing-the-Waters Materials — Form 1-A		EX1A-13 TST WTRS	628
•	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	499
•	Underwriting Agreements — Form 1-K		EX1K-1 UNDR AGMT	1
•	Underwriting Agreements — Form 1-SA		EX1SA-1 UNDR AGMT	2
•	Underwriting Agreements — Form 1-U		EX1U-1 UNDR AGMT	12
•	Voting Trust Agreements — Form 1-A		EX1A-5 VOTG TRST	33
•	Miscellaneous Exhibits, including Press Releases  — Form 1-A		EX1A-15 ADD EXHB	1,218
•	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	16
•	Miscellaneous Exhibits, including Press Releases  — Form 1-U		EX1U-15 ADD EXHB	213
Alternative Trading System Exhibits — Form ATS-N – NMS Stock			↑Regulation A/A+ Exhibits   ↑Top
•	Cover Pages		COVER PAGE	37
•	Direct Owners and Executive Officers — Form BD – Sch. A		ATS-N EX-1 SCHD A BD	107
•	Indirect Owners — Form BD – Sch. B		ATS-N EX-2 SCHD B BD	107
•	Redline Changes — Form BD – Sch. A & B  Δ		ATS-N EX-3 REDLINE	87
•	Aggregate Statistics		ATS-N EX-4 AGG STATS	39
•	Category Metrics		ATS-N EX-5 CATG MTRC	28
Investment Company Exhibits — Form N-CEN – Annual Report			↑Alternative Trading System Exhibits   ↑Top
•	Changes in Accounting Principles and Practices  Δ		CHG ACCT PRINCIPLES	3
•	Codes of Ethics		CODE OF ETHICS	2
•	Independent Public Accountants’ Reports on Internal Control		INTERNAL CONTROL RPT	6,559
•	Information Filed Pursuant to Exemptive Orders		EXEMPT ORDER INFO	675
•	Instruments Defining the Rights of Security Holders		INST DEFINING RIGHTS	121
•	Investment Advisor Agreements		ADVISORY CONTRACTS	313
•	Late-Filings Reports — Item 405 – Reg. S-K		ITEM 405 REG S-K	60
•	Legal Proceedings		LEGAL PROCEEDINGS	162
•	Material Amendments to Organizational Documents		MATERIAL AMENDMENTS	247
•	Provisions of Financial Support		FINANCIAL SUPPORT	28
•	Other Required Information		OTHER REQUIRED INFO	261
Broker-Dealer Reports — Form X-17A-5 – Annual Financial Report			↑Investment Company Exhibits   ↑Top
Statements:
•	Annual Financial Reports (Full)		FULL	4,083
•	Statements of Financial Condition		STMT FIN COND	1,003
•	Notes to Statements of Financial Condition		STMT FIN COND NOTES	924
•	Statements of Income		STMT INCOME	278
•	Statements of Cash Flows		STMT CASH FLOW	279
•	Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity		STMT CHG SH EQY	282
•	Statements of Changes in Liabilities Subordinated to Claims of Creditors		STMT CHG SUB LIABS	24
•	Notes to Financial Statements		FINAN STMTS NOTES	142
Disclosures:
•	Computations of Net Capital		COMP NET CAP	291
•	Computations for Determination of Reserve Requirements		COMP RESERV REQ	141
•	Information re: Possession and Control Requirements		INFO POS CTRL REQ	109
•	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	52
•	Exemption Reports		EXEMP RPT	332
•	Accountants’ Reports re: Examinations of Statements of Financial Condition		ACCT RPT STMT FIN CO	523
•	Accountants’ Reports re: Examinations of Financial Reports and Financial Statements		ACCT RPT FIN RPT	524
•	Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports		ACCT RPT COMPL RPT	52
•	Accountants’ Reports re: Reviews of Exemption Reports		ACCT RPT EXEMP RPT	325
•	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	411
Financials — Financial Reports, Exhibits, Workbooks & Data			↑Broker-Dealer Reports   ↑Top
•	Certifications — §302 – SOA’02		EX-31	1,131,340
•	Certifications — §906 – SOA’02		EX-32	909,442
•	Letters re: Changes in Accounting Principles		EX-18	2,849
•	Letters re: Changes in Certifying Accountants		EX-16	38,047
•	Letters re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews		EX-7	11,533
•	Letters re: Unaudited Interim Financial Information		EX-15	34,763
•	Statements re: Computations of Earnings Per Share		EX-11	61,434
•	Statements re: Computations of Ratios		EX-12	119,396
•	Financial Data Schedules {Pre-XBRL/IDEA}		EX-27	604,663
•	IDEA Financial Reports   (IDEAª, XMLª, XBRLª & iXBRLª Files)		R#  &  XML	15,069,591
•	IDEA Workbooks of Financial Reports   (IDEAª Excel .xls/.xlsx Files)		EXCEL	364,912
•	XBRL Data   (XBRLª & iXBRLª Files)		EX-101.*	1,869,264
•	XBRL Data {Voluntary}   (XBRLª Files)		EX-100.*	4,463
•	XBRL Instance Document Content Listings		RENDERED XBRL	2
•	XBRL Instances as JavaScript Object Notation Data   (iXBRLª JSONª Files)		JSON	26,224
•	XBRL Zipped Folders   (.zip Folders of XBRLª & iXBRLª Files)		ZIP	319,247
Graphics			↑Financials   ↑Top
•	Images, Pictures and Graphs   (.gif, .jpg/.jpeg & .png Files)		GRAPHIC	12,641,281
____________			Totals	41,703,379
T   This Document/Exhibit Type is no longer filed, or is now a different Type.  (24 of them)
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.)