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141 Document/Exhibit Types

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Category:
Letters Form-Specific ABS-Specific General Additional Reg. A / A+ Form X-17A-5 Financial Data Non-Document
DescriptionDocument TypeExhibits
In ascending order(click for most-recent)
Letters — Comment Letters & Correspondence (Delayed Release) Top
Comment Letters and Other Letters from the SEC [ a.k.a. UPLOAD ]LETTER139,817
Comment-Response and Cover Letters to the SEC [ a.k.a. CORRESP ]COVER712
Comment-Response and Other Letters to the SEC [ a.k.a. COVER ]CORRESP137,741
Form-Specific (see more below)Letters Top
Compliance Reports — Form SDR-CCOSDR-CR
Information Tables of Securities Holdings — Form 13FINFORMATION TABLE68,950
Part II — Form 1-KPART II55
Parts II & III — Form 1-APART II AND III1,196
ABS-Specific — Asset-Backed SecuritiesForm-Specific Top
ABS – Asset DataEX-1021
ABS – Asset-Related DocumentsEX-103
ABS – Attestation Reports on Assessments of Compliance with Servicing CriteriaEX-3423,137
ABS – Depositor Certifications for Shelf OfferingsEX-36307
ABS – Reports of Compliance with Servicing CriteriaEX-3323,610
ABS – Servicer Compliance StatementsEX-3513,490
ABS – Static PoolsEX-1069
GeneralABS-Specific Top
Annual and Quarterly Reports to Security HoldersEX-1346,660
Articles of Incorporation/Organization and By-LawsEX-3254,145
Certifications — Sarbanes-Oxley Act – Sect. 302EX-31990,110
Certifications — Sarbanes-Oxley Act – Sect. 906EX-32797,954
Code of EthicsEX-1416,309
Consents of Experts and CounselEX-23637,616
Information from Reports Furnished to State Insurance Regulatory AuthoritiesEX-283,491
Instruments, including Indentures, Defining the Rights of Security HoldersEX-4349,173
Invitations for Competitive BidsEX-261,188
Letters re: Changes in Accounting PrinciplesEX-182,728
Letters re: Changes in Certifying AccountantsEX-1635,690
Letters re: Departures of DirectorsEX-175,959
Letters re: Non-Reliance upon Previously Issued Audit Reports or Completed Interim ReviewsEX-710,991
Letters re: Unaudited Interim Financial InformationEX-1531,580
Material ContractsEX-101,323,644
Mine-Safety DisclosuresEX-952,310
Opinions re: Discounts on Capital SharesEX-69,343
Opinions re: LegalityEX-5257,616
Opinions re: Tax MattersEX-857,357
Other Documents and Statements Furnished to Security HoldersEX-2039,894
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and SuccessionsEX-2110,479
Powers of AttorneyEX-24353,108
Published Reports Regarding Matters Submitted to Votes of Security HoldersEX-224,047
Reports Furnished to Security HoldersEX-194,749
Statements re: Computations of Earnings Per ShareEX-1160,953
Statements re: Computations of RatiosEX-12110,875
Statements re: Eligibility of TrusteesEX-2529,320
SubsidiariesEX-21131,655
Underwriting AgreementsEX-1134,097
Voting Trust AgreementsEX-912,012
AdditionalGeneral Top
Miscellaneous Exhibits, including Press ReleasesEX-99.*3,184,185
Reg. A / A+ — Forms 1-A, 1-K, 1-SA and 1-UAdditional Top
Articles of Incorporation/Organization — Form 1-AEX1A-2A CHARTER458
Articles of Incorporation/Organization — Form 1-KEX1K-2A CHARTER2
Articles of Incorporation/Organization — Form 1-SAEX1SA-2A CHARTER1
Articles of Incorporation/Organization — Form 1-UEX1U-2A CHARTER2
By-Laws — Form 1-AEX1A-2B BYLAWS298
By-Laws — Form 1-KEX1K-2B BYLAWS1
By-Laws — Form 1-SAEX1SA-2B BYLAWS
By-Laws — Form 1-UEX1U-2B BYLAWS
Consents for Service — Form 1-AEX1A-14 CNSNT SV16
Consents for Service — Form 1-KEX1K-14 CNSNT SV
Consents for Service — Form 1-SAEX1SA-14 CNSNT SV
Consents for Service — Form 1-UEX1U-14 CNSNT SV
Consents of Experts and Counsel — Form 1-AEX1A-11 CONSENT533
Consents of Experts and Counsel — Form 1-KEX1K-11 CONSENT24
Consents of Experts and Counsel — Form 1-SAEX1SA-11 CONSENT
Consents of Experts and Counsel — Form 1-UEX1U-11 CONSENT
Escrow Agreements — Form 1-AEX1A-8 ESCW AGMT124
Escrow Agreements — Form 1-KEX1K-8 ESCW AGMT
Escrow Agreements — Form 1-SAEX1SA-8 ESCW AGMT1
Escrow Agreements — Form 1-UEX1U-8 ESCW AGMT2
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-AEX1A-3 HLDRS RTS189
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-KEX1K-3 HLDRS RTS5
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-SAEX1SA-3 HLDRS RTS
Instruments, including Indentures, Defining the Rights of Security Holders — Form 1-UEX1U-3 HLDRS RTS3
Letters re: Accountants and Accounting Principles — Form 1-AEX1A-9 ACCT LTR12
Letters re: Accountants and Accounting Principles — Form 1-KEX1K-9 ACCT LTR1
Letters re: Accountants and Accounting Principles — Form 1-SAEX1SA-9 ACCT LTR1
Letters re: Accountants and Accounting Principles — Form 1-UEX1U-9 ACCT LTR1
Material Contracts — Form 1-AEX1A-6 MAT CTRCT1,077
Material Contracts — Form 1-KEX1K-6 MAT CTRCT20
Material Contracts — Form 1-SAEX1SA-6 MAT CTRCT6
Material Contracts — Form 1-UEX1U-6 MAT CTRCT35
Opinions re: Legality — Form 1-AEX1A-12 OPN CNSL491
Opinions re: Legality — Form 1-KEX1K-12 OPN CNSL
Opinions re: Legality — Form 1-SAEX1SA-12 OPN CNSL
Opinions re: Legality — Form 1-UEX1U-12 OPN CNSL
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-AEX1A-7 ACQ AGMT25
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-KEX1K-7 ACQ AGMT
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-SAEX1SA-7 ACQ AGMT2
Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-UEX1U-7 ACQ AGMT
Powers of Attorney — Form 1-AEX1A-10 PWR ATTY4
Powers of Attorney — Form 1-KEX1K-10 PWR ATTY
Powers of Attorney — Form 1-SAEX1SA-10 PWR ATTY
Powers of Attorney — Form 1-UEX1U-10 PWR ATTY
Subscription Agreements — Form 1-AEX1A-4 SUBS AGMT353
Subscription Agreements — Form 1-KEX1K-4 SUBS AGMT
Subscription Agreements — Form 1-SAEX1SA-4 SUBS AGMT3
Subscription Agreements — Form 1-UEX1U-4 SUBS AGMT2
Testing-the-Waters Materials — Form 1-AEX1A-13 TST WTRS189
Testing-the-Waters Materials — Form 1-KEX1K-13 TST WTRS
Testing-the-Waters Materials — Form 1-SAEX1SA-13 TST WTRS
Testing-the-Waters Materials — Form 1-UEX1U-13 TST WTRS
Underwriting Agreements — Form 1-AEX1A-1 UNDR AGMT125
Underwriting Agreements — Form 1-KEX1K-1 UNDR AGMT
Underwriting Agreements — Form 1-SAEX1SA-1 UNDR AGMT
Underwriting Agreements — Form 1-UEX1U-1 UNDR AGMT2
Voting Trust Agreements — Form 1-AEX1A-5 VOTG TRST10
Voting Trust Agreements — Form 1-KEX1K-5 VOTG TRST
Voting Trust Agreements — Form 1-SAEX1SA-5 VOTG TRST
Voting Trust Agreements — Form 1-UEX1U-5 VOTG TRST
Miscellaneous Exhibits, including Press Releases — Form 1-AEX1A-15 ADD EXHB328
Miscellaneous Exhibits, including Press Releases — Form 1-KEX1K-15 ADD EXHB1
Miscellaneous Exhibits, including Press Releases — Form 1-SAEX1SA-15 ADD EXHB
Miscellaneous Exhibits, including Press Releases — Form 1-UEX1U-15 ADD EXHB11
Form X-17A-5 — Annual Financial Reports by Broker-DealersReg. A / A+ Top
Statements:
Full Annual Financial ReportsFULL673
Statements of Financial ConditionSTMT FIN COND709
Notes to Statements of Financial ConditionSTMT FIN COND NOTES685
Statements of IncomeSTMT INCOME237
Statements of Cash FlowsSTMT CASH FLOW236
Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ EquitySTMT CHG SH EQY238
Statements of Changes in Liabilities Subordinated to Claims of CreditorsSTMT CHG SUB LIABS21
Notes to Financial StatementsFINAN STMTS NOTES130
Disclosures:
Computations of Net CapitalCOMP NET CAP248
Computations for Determination of Reserve RequirementsCOMP RESERV REQ124
Information re: Possession and Control RequirementsINFO POS CTRL REQ98
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 RESERV16
Summaries of Financial Data for Subsidiaries Not Consolidated in Statements of Financial ConditionSUM UNCONSOLTD SUBS
Compliance ReportsCOMPL RPT21
Exemption ReportsEXEMP RPT261
Accountants’ Reports re: Examinations of Statements of Financial ConditionACCT RPT STMT FIN CO391
Accountants’ Reports re: Examinations of Financial Reports and Financial StatementsACCT RPT FIN RPT394
Accountants’ Reports re: Examinations of Certain Statements in Compliance ReportsACCT RPT COMPL RPT22
Accountants’ Reports re: Reviews of Exemption ReportsACCT RPT EXEMP RPT261
Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives DealersANC/OTC AGD PROC44
Reports (and Statements) re: Material Inadequacies Found (or Not) Since the Dates of Previous AuditsMAT INADEQ RPT1
Other DocumentsOTHER283
Financial DataForm X-17A-5 Top
Financial Data Schedules (Pre-XBRL)EX-27604,663
Financial Reports — Form SDR-CCOSDR-FR
XBRL IDEA Reports — Financial Reports & XML FilesR# & XML10,239,530
XBRL IDEA Workbooks — Workbooks of Financial ReportsEXCEL272,801
XBRL Instance Document Content ListingsRENDERED XBRL2
XBRL Instance JavaScript Object Notation DataJSON FilesJSON139
XBRL Interactive DataXML FilesEX-101.*1,303,030
XBRL Voluntary DataXML FilesEX-100.*4,451
XBRL Zipped FoldersFolders of XML FilesZIP217,326
Non-DocumentFinancial Data Top
Images, Pictures and GraphsGIF, JPEG & PNG FilesGRAPHIC9,556,301
________
T This Document/Exhibit Type is obsolete.Total: 31,625,957

 
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