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156 Document/Exhibit Types

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Category:
Letters Form-Specific Documents General Exhibits ABS Exhibits Additional Exhibits Reg. A/A+ Exhibits Investment Company Exhibits Broker-Dealer Reports Financials Graphics
DescriptionDoc. / Exh. TypeDocs. Totals
In ascending order(click for most-recent)
Letters
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Comment Letters & Correspondence (delayed release)
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Comment and Other Letters from the SEC [ a.k.a. UPLOAD ]LETTER149,792
Comment and Other Letters from the SEC [ a.k.a. LETTER↑ ]TEXT-EXTRACT851
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER749
Comment-Response and Other Letters to the SEC [ a.k.a. COVER↑ ]CORRESP151,695
SEC Staff Actions – OrdersORDER
SEC Staff Letters – No-Action LettersRule 14a-814A-8
SEC Staff Letters – Serious Deficiencies LettersSERIOUS DEFICIENCIES
Form-Specific Documents
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(Form-Specific Exhibits are ↓Below)
Letters Top
Information Tables of Securities HoldingsForm 13FINFORMATION TABLE98,456
Part IIForm 1-KPART II169
Parts II & IIIForm 1-APART II AND III2,372
Swap Data Repository Compliance ReportsForm SDR-CCOSDR-CR
General Exhibits
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Form-Specific Documents Top
Annual and Quarterly Reports to Security HoldersEX-1348,482
Articles of Incorporation/Organization and By-LawsEX-3265,908
Codes of EthicsEX-1416,919
Consents of Experts and CounselEX-23663,873
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4366,555
Invitations for Competitive BidsEX-261,259
Letters re: Departures of DirectorsEX-176,175
Material ContractsEX-101,389,144
Mine-Safety DisclosuresEX-952,919
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5271,688
Opinions re: Tax MattersEX-859,847
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2115,457
Powers of AttorneyEX-24382,565
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,079
Reports Furnished to Security HoldersEX-194,776
Statements re: Eligibility of Trustees — Forms T-1 & T-2EX-2530,516
SubsidiariesEX-21137,551
Underwriting Agreements and Conflict Minerals Reports (and mislabeled “1st Exhibits”)EX-1142,614
Voting Trust AgreementsEX-912,122
Other Documents and Statements Furnished to Security HoldersEX-2039,941
ABS Exhibits
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— Asset-Backed Securities
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General Exhibits Top
ABS – Asset Data (some are very large XMLª Files)EX-1022,925
ABS – Asset-Related Documents (XMLª Files)EX-1032,921
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3426,782
ABS – Depositor Certifications for Shelf OfferingsEX-36568
ABS – Reports of Compliance with Servicing CriteriaEX-3327,312
ABS – Servicer Compliance StatementsEX-3515,989
ABS – Static PoolsEX-1069
Additional Exhibits
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ABS Exhibits Top
Miscellaneous Exhibits, including Press Releases
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EX-99.*3,431,775
Reg. A/A+ Exhibits
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— Forms 1-A, 1-K, 1-SA & 1-U
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Additional Exhibits Top
Articles of Incorporation/OrganizationForm 1-AEX1A-2A CHARTER1,015
Articles of Incorporation/OrganizationForm 1-KEX1K-2A CHARTER10
Articles of Incorporation/OrganizationForm 1-SAEX1SA-2A CHARTER9
Articles of Incorporation/OrganizationForm 1-UEX1U-2A CHARTER3
By-LawsForm 1-AEX1A-2B BYLAWS585
By-LawsForm 1-KEX1K-2B BYLAWS2
By-LawsForm 1-SAEX1SA-2B BYLAWS1
By-LawsForm 1-UEX1U-2B BYLAWS1
Consents for ServiceForm 1-AEX1A-14 CNSNT SV22
Consents for ServiceForm 1-KEX1K-14 CNSNT SV
Consents for ServiceForm 1-SAEX1SA-14 CNSNT SV
Consents for ServiceForm 1-UEX1U-14 CNSNT SV
Consents of Experts and CounselForm 1-AEX1A-11 CONSENT1,235
Consents of Experts and CounselForm 1-KEX1K-11 CONSENT54
Consents of Experts and CounselForm 1-SAEX1SA-11 CONSENT2
Consents of Experts and CounselForm 1-UEX1U-11 CONSENT
Escrow AgreementsForm 1-AEX1A-8 ESCW AGMT253
Escrow AgreementsForm 1-KEX1K-8 ESCW AGMT1
Escrow AgreementsForm 1-SAEX1SA-8 ESCW AGMT2
Escrow AgreementsForm 1-UEX1U-8 ESCW AGMT4
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-AEX1A-3 HLDRS RTS524
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-KEX1K-3 HLDRS RTS8
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-SAEX1SA-3 HLDRS RTS2
Instruments, including Indentures, Defining the Rights of Security HoldersForm 1-UEX1U-3 HLDRS RTS8
Letters re: Accountants and Accounting PrinciplesForm 1-AEX1A-9 ACCT LTR33
Letters re: Accountants and Accounting PrinciplesForm 1-KEX1K-9 ACCT LTR2
Letters re: Accountants and Accounting PrinciplesForm 1-SAEX1SA-9 ACCT LTR2
Letters re: Accountants and Accounting PrinciplesForm 1-UEX1U-9 ACCT LTR12
Material ContractsForm 1-AEX1A-6 MAT CTRCT2,661
Material ContractsForm 1-KEX1K-6 MAT CTRCT68
Material ContractsForm 1-SAEX1SA-6 MAT CTRCT44
Material ContractsForm 1-UEX1U-6 MAT CTRCT81
Opinions re: LegalityForm 1-AEX1A-12 OPN CNSL1,039
Opinions re: LegalityForm 1-KEX1K-12 OPN CNSL
Opinions re: LegalityForm 1-SAEX1SA-12 OPN CNSL
Opinions re: LegalityForm 1-UEX1U-12 OPN CNSL
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-AEX1A-7 ACQ AGMT53
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-KEX1K-7 ACQ AGMT1
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-SAEX1SA-7 ACQ AGMT2
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsForm 1-UEX1U-7 ACQ AGMT4
Powers of AttorneyForm 1-AEX1A-10 PWR ATTY27
Powers of AttorneyForm 1-KEX1K-10 PWR ATTY
Powers of AttorneyForm 1-SAEX1SA-10 PWR ATTY
Powers of AttorneyForm 1-UEX1U-10 PWR ATTY
Subscription AgreementsForm 1-AEX1A-4 SUBS AGMT802
Subscription AgreementsForm 1-KEX1K-4 SUBS AGMT
Subscription AgreementsForm 1-SAEX1SA-4 SUBS AGMT5
Subscription AgreementsForm 1-UEX1U-4 SUBS AGMT6
Testing-the-Waters MaterialsForm 1-AEX1A-13 TST WTRS350
Testing-the-Waters MaterialsForm 1-KEX1K-13 TST WTRS1
Testing-the-Waters MaterialsForm 1-SAEX1SA-13 TST WTRS
Testing-the-Waters MaterialsForm 1-UEX1U-13 TST WTRS1
Underwriting AgreementsForm 1-AEX1A-1 UNDR AGMT294
Underwriting AgreementsForm 1-KEX1K-1 UNDR AGMT
Underwriting AgreementsForm 1-SAEX1SA-1 UNDR AGMT
Underwriting AgreementsForm 1-UEX1U-1 UNDR AGMT7
Voting Trust AgreementsForm 1-AEX1A-5 VOTG TRST26
Voting Trust AgreementsForm 1-KEX1K-5 VOTG TRST
Voting Trust AgreementsForm 1-SAEX1SA-5 VOTG TRST
Voting Trust AgreementsForm 1-UEX1U-5 VOTG TRST
Miscellaneous Exhibits, including Press Releases
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Form 1-A
EX1A-15 ADD EXHB725
Miscellaneous Exhibits, including Press Releases
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Form 1-K
EX1K-15 ADD EXHB2
Miscellaneous Exhibits, including Press Releases
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Form 1-SA
EX1SA-15 ADD EXHB3
Miscellaneous Exhibits, including Press Releases
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Form 1-U
EX1U-15 ADD EXHB63
Investment Company Exhibits
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— Form N-CEN – Annual Report
Reg. A/A+ Exhibits Top
Advisory ContractsADVISORY CONTRACTS51
Changes in Accounting PrinciplesCHG ACCT PRINCIPLES
Codes of EthicsCODE OF ETHICS
Exemptive Orders InformationEXEMPT ORDER INFO22
Financial SupportFINANCIAL SUPPORT3
Instruments Defining the Rights of Security HoldersINST DEFINING RIGHTS24
Internal Control ReportsINTERNAL CONTROL RPT676
Late-Filing Reports — Reg. S-K Item 405ITEM 405 REG S-K2
Legal ProceedingsLEGAL PROCEEDINGS13
Material AmendmentsMATERIAL AMENDMENTS40
Other Required InformationOTHER REQUIRED INFO47
Broker-Dealer Reports
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— Form X-17A-5 – Annual Financials
Investment Company Exhibits Top
Statements:
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Full Annual Financial ReportsFULL1,822
Statements of Financial ConditionSTMT FIN COND823
Notes to Statements of Financial ConditionSTMT FIN COND NOTES780
Statements of IncomeSTMT INCOME255
Statements of Cash FlowsSTMT CASH FLOW255
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY259
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS22
Notes to Financial StatementsFINAN STMTS NOTES137
Disclosures:
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Computations of Net CapitalCOMP NET CAP268
Computations for Determination of Reserve RequirementsCOMP RESERV REQ132
Information re: Possession and Control RequirementsINFO POS CTRL REQ104
Reconciliations (and Statements) re: Material Differences (or None) Between FINRA FOCUS Reports and Computations of Net Capital or Computations for Determination of Reserve RequirementsRECONCIL CAP RESERV17
Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial ConditionSUM UNCONSOLTD SUBS
Compliance ReportsCOMPL RPT31
Exemption ReportsEXEMP RPT285
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO448
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT441
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT32
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT282
Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives DealersANC/OTC AGD PROC50
Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous AuditsMAT INADEQ RPT1
Other DisclosuresOTHER331
Financials
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— Financial Exhibits, Reports, Workbooks & Data
Broker-Dealer Reports Top
CertificationsSOA’02 302EX-311,067,451
CertificationsSOA’02 906EX-32859,333
Letters re: Changes in Accounting PrinciplesEX-182,788
Letters re: Changes in Certifying AccountantsEX-1637,019
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-711,316
Letters re: Unaudited Interim Financial InformationEX-1533,217
Statements re: Computations of Earnings Per ShareEX-1161,285
Statements re: Computations of RatiosEX-12117,262
Financial Data Schedules {Pre-XBRL/IDEA}EX-27604,663
Swap Data Repository Financial ReportsForm SDR-CCOSDR-FR
IDEA Financial Reports
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(IDEAª & XMLª/XBRLª Files)
R# & XML12,659,459
IDEA Workbooks of Financial Reports
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(.xls/.xlsx Files)
EXCEL313,983
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instances as JavaScript Object Notation Data (JSONª Files)JSON937
XBRL Data (XBRLª Files)EX-101.*1,578,094
XBRL Data {Voluntary} (XBRLª Files)EX-100.*4,463
XBRL Zipped Folders
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(Folders of XBRLª Files)
ZIP263,589
Graphics
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Financials Top
Images, Pictures and Graphs (.gif, .jpeg/.jpg & .png Files)GRAPHIC11,093,046
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T This Document/Exhibit Type is obsolete. Totals 36,613,204
ª Acronyms:
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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).


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