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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. TypeDocuments
In ascending order(click for most-recent) 
 
 Letters
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Comment Letters & Correspondence   (most were SEC-delayed)
  Top 
 
 • Comment and Other Letters from the SEC
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  [ a.k.a. Filing UPLOAD ]
 LETTER156,795 
 • Comment and Other Letters from the SEC
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  [ a.k.a. LETTER↑ ]  (PDF ⇒ Text)
 TEXT-EXTRACT7,820 
 • Comment-Response and Other Letters to the SEC
Speech balloon emoji
  [ a.k.a. COVER↓ ]
 CORRESP199,749 
 • Comment-Response and Cover Letters to the SEC
Speech balloon emoji
  [ a.k.a. Filing CORRESP ]
 COVER30,472 
 • SEC Staff Actions – Order
SEC emoji
  [ a.k.a. Filing SEC ACTION ]
 ORDER191 
 • SEC Staff Letters
SEC emoji
  [ a.k.a. Filing SEC LETTER ]
 STAFF LETTER4 
 • SEC Staff Letters – No Action
SEC emoji
  [ a.k.a. Filings NO ACT & SEC LETTER ]
 14A-81 
 • SEC Staff Letters – Redacted Exhibit
SEC emoji
  [ a.k.a. Filing SEC LETTER ]
 REDACTED EXHIBIT401 
 • SEC Staff Letters – Serious Deficiencies
SEC emoji
  [ a.k.a. Filing SEC LETTER ]
 SERIOUS DEFICIENCIES10 
 
 Form-Specific Documents
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  (Form-Specific Exhibits
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are ↓Below)
Letters   Top 
 
 • Alternative Trading Systems (NMS Stock) – Part III Items — Form ATS-N
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 ATS-N PART3 ITM37 
 • Annual Reports – Part II — Reg. A – Form 1-K
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 PART II297 
 • Offering Statements – Parts II & III — Reg. A/A+ – Form 1-A
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 PART II AND III3,615 
 • Portfolio Holdings Schedules — Form N-PORT
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  [ formerly Filing NPORT-EX ]
 NPORT-EX17,574 
 • Securities Holdings Information Tables — Form 13F
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  (XMLª Files)
 INFORMATION TABLE125,809 
 
 General Exhibits
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  (Regulations S-K & S-B)
Form-Specific Documents   Top 
 
 • Annual and Quarterly Reports to Security Holders
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 EX-1350,654 
 • Articles of Incorporation/Organization and Bylaws
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 EX-3275,347 
 • Codes of Ethics
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 EX-1417,482 
 • Consents of Experts and Counsel
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 EX-23688,282 
 • Instruments, including Indentures, Defining the Rights of Security Holders
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 EX-4386,212 
 • Invitations for Competitive Bids
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 EX-261,323 
 • Letters re: Departures of Directors
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 EX-176,330 
 • Material Contracts
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 EX-101,449,626 
 • Mine-Safety Disclosures
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 EX-953,412 
 • Mining Disclosures
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 EX-9614 
 • Opinions of Counsel re: Legality
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 EX-5283,616 
 • Opinions of Counsel re: Tax Matters
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 EX-861,961 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions
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 EX-2119,301 
 • Powers of Attorney
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 EX-24411,592 
 • Published Reports re: Matters Submitted to Votes of Security Holders
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 EX-224,124 
 • Reports Furnished to Security Holders
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 EX-194,795 
 • Statements re: Eligibility of Trustees — Forms T-1 & T-2
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 EX-2531,340 
 • Subsidiaries Lists
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 EX-21145,792 
 • Underwriting Agreements
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and Conflict Minerals Reports
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  (and mislabeled “1st Exhibits”)
 EX-1149,573 
 • Voting Trust Agreements
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 EX-912,201 
 • Other Documents and Statements Furnished to Security Holders
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 EX-2039,978 
 • Information from Reports Furnished to State Insurance Regulators
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 EX-283,491 
 • Opinions of Counsel re: Discounts on Capital Shares
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 EX-69,343 
 
 ABS Exhibits
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— Asset-Backed Securities
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General Exhibits   Top 
 
 • Asset Data
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  (some are very large XMLª Files)
 EX-10210,036 
 • Asset-Related Documents
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  (XMLª Files)
 EX-10310,031 
 • Attestation Reports on Assessments of Compliance with Servicing Criteria
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 EX-3435,421 
 • Depositor Certifications for Shelf Offerings
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 EX-36798 
 • Reports of Compliance with Servicing Criteria
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 EX-3335,964 
 • Servicer Compliance Statements
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 EX-3520,868 
 • Static Pools
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 EX-1069 
 
 Additional Exhibits
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ABS Exhibits   Top 
 
 • Miscellaneous Exhibits, including Press Releases
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 EX-993,647,807 
 • EX-99.*  Form-Specific Exhibits:   (many apply to multiple Forms — additional Form-Specific Exhibits are ↓Below)
 
 EX-99.1 CHARTER
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 *.33 APP REG DOC
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 *.g REINS CONTRT
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 *.E1 NRSRO
 *.2 BYLAWS
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 *.34 OPIN COUNSL
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 *.h OTH MAT CONT
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 *.E2 NRSRO
 *.2 OPIN COUNSEL
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 *.35 OTHER
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 *.h PARTIC AGREE
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 *.E3 NRSRO
 *.2A CHARTER
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 *.906 CERT
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 *.i ADMIN CONTRT
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 *.E4 NRSRO
 *.2B BYLAWS
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 *.a BD-DIR-RESOL
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 *.i LEGAL OPININ
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 *.E5 NRSRO
 *.2C VOTING TRST
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 *.a CHARTER
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 *.IND PUB ACCT  Δ     *.E6 NRSRO
 *.2D HOLDERS RTS
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 *.A1 INDNTR ORGN
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 *.j OTH MAT CONT
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 *.E7 NRSRO
 *.2E DIV REIN PL
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 *.A2 INDNTR PMT
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 *.j OTHER OPININ
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 *.E8 NRSRO
 *.2G ADVSR CONTR
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 *.A3A DIST CONTR
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 *.k LEGAL OPININ
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 *.E9 NRSRO
 *.2H DISTR CONTR
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 *.A3B DEALER AGR
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 *.k OMT FIN STAT
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 *.A SDR SUMMARY×  Σ
 *.2I O&D BENEFTS
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 *.A3C SCH COMMIS
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 *.l ACTUARIAL OP
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 *.C SDR×
 *.2J CUST CONTR
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 *.A4 OTHER AGRMT
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 *.l INT CAP AGRE
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 *.D SDR
 *.2K OTH CONTRCT
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 *.A5 FORM/SECRTY
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 *.m 12B-1 PLAN
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 *.E SDR
 *.2L OPIN COUNSL
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 *.A6 CERT/BYLAWS
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 *.m CALCULATION
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 *.F SDR
 *.2M CNSNT SRVCE
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 *.A7 INSR POLICY
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 *.n 18F-3 PLAN
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 *.G SDR×
 *.2N OTH CONSENT
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 *.A8 DEPOSIT AGR
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 *.n OTH OPINIONS
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 *.I SDR CNTRCT
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 *.2O OTH FIN ST
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 *.A9 OTHER CONTR
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 *.o OMITD FIN ST
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 *.I SDR SUMMARY×  Σ
 *.2P STOCK LTR
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 *.A10 PERIODC PP
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 *.p CODE ETH
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 *.J SDR
 *.2Q RETRMT PLAN
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 *.A11 CODE ETH
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 *.p INIT CAP AGR
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 *.L SDR
 *.2R CODE ETH
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 *.b BYLAWS
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 *.q REDEEM EXEMP
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 *.L SDR.CAL×
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 *.3 OTHER FIN ST
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 *.b CUST-AGRMETS
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 *.Rule23C1
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 *.L SDR.DEF×
 *.3 VOTING TRUST
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 *.B1 NOTIC/SHLDR
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 *.77B ACCT LTTR
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 *.L SDR.INS×
 *.4 ACQ AGREEMNT
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 *.B2 ANRPT/SHLDR
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 *.77C VOTES
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 *.L SDR.LAB×
 *.4 UNREG ISSUER
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 *.c HOLDERS RTS
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 *.77D POLICIES
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 *.L SDR.PRE×
 *.5 HOLDERS RTS
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 *.c UNDER CONTRT
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 *.77E LEGAL
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 *.L SDR.SCH×
 *.6 ADVSER CONTR
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 *.C1 ACCT CONSNT
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 *.77F CHNG DEBT  Δ     *.M SDR
 *.7 DISTR CONTR
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 *.C2 EVAL CONSNT
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 *.77G DEFAULTS
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 *.N SDR
 *.8 O&D BENEFTS
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 *.C3 RTG AGY OPN
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 *.77H CHNG CNTRL  Δ     *.U SDR
 *.9 CUST CONTRCT
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 *.C4 TAX OPINION
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 *.77I NEW SECUR
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 *.V SDR
 *.10 12B1 PLAN
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 *.C5 REV RULING
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 *.77J REVALUATN
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 *.W SDR
 *.11 OPIN COUNSL
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 *.C6 OTHER OPIN
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 *.77K CHNG ACCNT  Δ     *.X SDR
 *.12 REV RULING
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 *.CERT
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 *.77L NEW ACCTNG  Δ     *.Y SDR
 *.12 TAX OPINION
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 *.CODE ETH
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 *.77M MERGERS
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 *.AA SDR
 *.13 OTH CONTRCT
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 *.d ADVSR CONTR
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 *.77N RULE 2A-7
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 *.BB SDR
 *.14 OTH CONSENT
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 *.d CONTRACTS
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 *.77O RULE 10F-3
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 *.CC SDR
 *.15 OTH FIN ST
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 *.e APPLICATIONS
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 *.77P EXMPT INFO
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 *.DD SDR
 *.16 PWR OF ATTY
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 *.e UNDR CONTR
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 *.77Q1 OTHR EXHB
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 *.EE SDR
 *.17 (as approp)
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 *.f BONUS PROFIT
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 *.77Q2 ITEM 405
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 *.GG SDR
 *.31 MA-NR
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 *.f DEP CERT/BYL
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 *.77Q3
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 *.HH SDR
 *.32 APP CRT DOC
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 *.g CUST AGREEMT
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 *.77Q3 CERT
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____________
 ×   XMLª & XBRLª Files.
 
 Regulation 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/Organization — Form 1-A
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 EX1A-2A CHARTER1,700 
 • Articles of Incorporation/Organization — Form 1-K
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 EX1K-2A CHARTER15 
 • Articles of Incorporation/Organization — Form 1-SA
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 EX1SA-2A CHARTER14 
 • Articles of Incorporation/Organization — Form 1-U
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 EX1U-2A CHARTER9 
 • Bylaws — Form 1-A
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 EX1A-2B BYLAWS909 
 • Bylaws — Form 1-K
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 EX1K-2B BYLAWS4 
 • Bylaws — Form 1-SA
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 EX1SA-2B BYLAWS4 
 • Bylaws — Form 1-U
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 EX1U-2B BYLAWS4 
 • Consents for Service — Form 1-A
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 EX1A-14 CNSNT SV41 
 • Consents of Experts and Counsel — Form 1-A
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 EX1A-11 CONSENT1,953 
 • Consents of Experts and Counsel — Form 1-K
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 EX1K-11 CONSENT97 
 • Consents of Experts and Counsel — Form 1-SA
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 EX1SA-11 CONSENT6 
 • Escrow Agreements — Form 1-A
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 EX1A-8 ESCW AGMT434 
 • Escrow Agreements — Form 1-K
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 EX1K-8 ESCW AGMT1 
 • Escrow Agreements — Form 1-SA
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 EX1SA-8 ESCW AGMT2 
 • Escrow Agreements — Form 1-U
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 EX1U-8 ESCW AGMT6 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-A
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 EX1A-3 HLDRS RTS894 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-K
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 EX1K-3 HLDRS RTS12 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SA
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 EX1SA-3 HLDRS RTS8 
 • Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-U
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 EX1U-3 HLDRS RTS17 
 • Letters re: Accountants and Accounting Principles — Form 1-A
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 EX1A-9 ACCT LTR45 
 • Letters re: Accountants and Accounting Principles — Form 1-K
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 EX1K-9 ACCT LTR2 
 • Letters re: Accountants and Accounting Principles — Form 1-SA
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 EX1SA-9 ACCT LTR7 
 • Letters re: Accountants and Accounting Principles — Form 1-U
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 EX1U-9 ACCT LTR19 
 • Material Contracts — Form 1-A
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 EX1A-6 MAT CTRCT4,260 
 • Material Contracts — Form 1-K
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 EX1K-6 MAT CTRCT105 
 • Material Contracts — Form 1-SA
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 EX1SA-6 MAT CTRCT73 
 • Material Contracts — Form 1-U
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 EX1U-6 MAT CTRCT186 
 • Opinions of Counsel re: Legality — Form 1-A
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 EX1A-12 OPN CNSL1,698 
 • Opinions of Counsel re: Legality — Form 1-K
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 EX1K-12 OPN CNSL2 
 • Opinions of Counsel re: Legality — Form 1-SA
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 EX1SA-12 OPN CNSL4 
 • Opinions of Counsel re: Legality — Form 1-U
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 EX1U-12 OPN CNSL1 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-A
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 EX1A-7 ACQ AGMT88 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-K
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 EX1K-7 ACQ AGMT1 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-SA
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 EX1SA-7 ACQ AGMT2 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-U
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 EX1U-7 ACQ AGMT5 
 • Powers of Attorney — Form 1-A
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 EX1A-10 PWR ATTY45 
 • Subscription Agreements — Form 1-A
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 EX1A-4 SUBS AGMT1,399 
 • Subscription Agreements — Form 1-K
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 EX1K-4 SUBS AGMT2 
 • Subscription Agreements — Form 1-SA
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 EX1SA-4 SUBS AGMT14 
 • Subscription Agreements — Form 1-U
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 EX1U-4 SUBS AGMT33 
 • Testing-the-Waters Materials — Form 1-A
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 EX1A-13 TST WTRS628 
 • Testing-the-Waters Materials — Form 1-K
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 EX1K-13 TST WTRS1 
 • Testing-the-Waters Materials — Form 1-U
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 EX1U-13 TST WTRS3 
 • Underwriting Agreements — Form 1-A
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 EX1A-1 UNDR AGMT499 
 • Underwriting Agreements — Form 1-K
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 EX1K-1 UNDR AGMT1 
 • Underwriting Agreements — Form 1-SA
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 EX1SA-1 UNDR AGMT2 
 • Underwriting Agreements — Form 1-U
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 EX1U-1 UNDR AGMT12 
 • Voting Trust Agreements — Form 1-A
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 EX1A-5 VOTG TRST33 
 • Miscellaneous Exhibits, including Press Releases
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 — Form 1-A
 EX1A-15 ADD EXHB1,218 
 • 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 EXHB16 
 • Miscellaneous Exhibits, including Press Releases
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 — Form 1-U
 EX1U-15 ADD EXHB213 
 
 Alternative Trading System Exhibits
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— Form ATS-N – NMS Stock
Regulation A/A+ Exhibits   Top 
 
 • Cover Pages
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 COVER PAGE37 
 • Direct Owners and Executive Officers — Form BD – Sch. A
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 ATS-N EX-1 SCHD A BD107 
 • Indirect Owners — Form BD – Sch. B
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 ATS-N EX-2 SCHD B BD107 
 • Redline Changes — Form BD – Sch. A & B  Δ ATS-N EX-3 REDLINE87 
 • Aggregate Statistics
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 ATS-N EX-4 AGG STATS39 
 • Category Metrics
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 ATS-N EX-5 CATG MTRC28 
 
 Investment Company Exhibits
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— Form N-CEN – Annual Report
Alternative Trading System Exhibits   Top 
 
 • Changes in Accounting Principles and Practices  Δ CHG ACCT PRINCIPLES3 
 • Codes of Ethics
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 CODE OF ETHICS2 
 • Independent Public Accountants’ Reports on Internal Control
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 INTERNAL CONTROL RPT6,559 
 • Information Filed Pursuant to Exemptive Orders
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 EXEMPT ORDER INFO675 
 • Instruments Defining the Rights of Security Holders
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 INST DEFINING RIGHTS121 
 • Investment Advisor Agreements
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 ADVISORY CONTRACTS313 
 • Late-Filings Reports — Item 405 – Reg. S-K
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 ITEM 405 REG S-K60 
 • Legal Proceedings
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 LEGAL PROCEEDINGS162 
 • Material Amendments to Organizational Documents
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 MATERIAL AMENDMENTS247 
 • Provisions of Financial Support
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 FINANCIAL SUPPORT28 
 • Other Required Information
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 OTHER REQUIRED INFO261 
 
 Broker-Dealer Reports
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— Form X-17A-5 – Annual Financial Report
Investment Company Exhibits   Top 
 
 Statements: 
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 • Annual Financial Reports (Full)
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 FULL4,083 
 • Statements of Financial Condition
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 STMT FIN COND1,003 
 • Notes to Statements of Financial Condition
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 STMT FIN COND NOTES924 
 • Statements of Income
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 STMT INCOME278 
 • Statements of Cash Flows
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 STMT CASH FLOW279 
 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity
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 STMT CHG SH EQY282 
 • Statements of Changes in Liabilities Subordinated to Claims of Creditors
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 STMT CHG SUB LIABS24 
 • Notes to Financial Statements
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 FINAN STMTS NOTES142 
 
 Disclosures: 
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 • Computations of Net Capital
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 COMP NET CAP291 
 • Computations for Determination of Reserve Requirements
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 COMP RESERV REQ141 
 • Information re: Possession and Control Requirements
Information emoji
 INFO POS CTRL REQ109 
 • Reconciliations (and Statements) re: Material Differences (or None) Between FINRA FOCUS Reports and Computations of Net Capital or Computations for Determination of Reserve Requirements
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 RECONCIL CAP RESERV17 
 • Compliance Reports
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 COMPL RPT52 
 • Exemption Reports
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 EXEMP RPT332 
 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO523 
 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements
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 ACCT RPT FIN RPT524 
 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports
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 ACCT RPT COMPL RPT52 
 • Accountants’ Reports re: Reviews of Exemption Reports
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 ACCT RPT EXEMP RPT325 
 • Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers
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 ANC/OTC AGD PROC52 
 • Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous Audits
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 MAT INADEQ RPT1 
 • Other Disclosures
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 OTHER411 
 
 Financials
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— Financial Reports, Exhibits, Workbooks & Data
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Broker-Dealer Reports   Top 
 
 • Certifications — §302 – SOA’02
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 EX-311,131,340 
 • Certifications — §906 – SOA’02
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 EX-32909,442 
 • Letters re: Changes in Accounting Principles
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 EX-182,849 
 • Letters re: Changes in Certifying Accountants
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 EX-1638,047 
 • Letters re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews
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 EX-711,533 
 • Letters re: Unaudited Interim Financial Information
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 EX-1534,763 
 • Statements re: Computations of Earnings Per Share
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 EX-1161,434 
 • Statements re: Computations of Ratios
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 EX-12119,396 
 • Financial Data Schedules {Pre-XBRL/IDEA}
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 EX-27604,663 
 • IDEA Financial Reports
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  (IDEAª, XMLª, XBRLª & iXBRLª Files)
 R#  &  XML15,069,591 
 • IDEA Workbooks of Financial Reports
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  (IDEAª Excel .xls/.xlsx Files)
 EXCEL364,912 
 • XBRL Data
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  (XBRLª & iXBRLª Files)
 EX-101.*1,869,264 
 • XBRL Data {Voluntary}
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  (XBRLª Files)
 EX-100.*4,463 
 • XBRL Instance Document Content Listings
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 RENDERED XBRL2 
 • XBRL Instances as JavaScript Object Notation Data
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  (iXBRLª JSONª Files)
 JSON26,224 
 • XBRL Zipped Folders
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  (.zip Folders of XBRLª & iXBRLª Files)
 ZIP319,247 
 
 Graphics
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Financials   Top 
 
 • Images, Pictures and Graphs
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  (.gif, .jpg/.jpeg & .png Files)
 GRAPHIC12,641,281 
 
____________  Totals   41,703,379 
 T   This Document/Exhibit Type is no longer filed, or is now a different Type.  (24 of them)
 ª  Acronyms: 
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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.
   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.)


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