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Choose the Document/Exhibit Types
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within Filings you wish to list, then click on this button:
 (For the most-recent Filing containing a Document/Exhibit Type, click on the right-most column’s link.) 

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  Category:     Letters     Form-Specific Documents     General Exhibits     ABS Exhibits     Additional Exhibits     Reg. A/A+ Exhibits     Alternative Trading System Exhibits     Investment Company Exhibits     Broker-Dealer Reports     Financials     Graphics Bottom 
 
 • Description Doc. / Exh. Type  Documents 
In ascending order(click for most-recent) 
 
  Letters
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SEC Comment Letters & Correspondence   (Delayed Release)
  Top 
 
 • Comment and Other Letters from the SEC
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  [ in Filings UPLOAD & SEC LETTER ]
 LETTER172,747 
 • Comment and Other Letters from the SEC – PDFs’ Text
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  [ a.k.a. LETTER↑ ]
 TEXT-EXTRACT23,815 
 • Comment-Response and Other Letters to the SEC
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  [ a.k.a. COVER↓ ]
 CORRESP224,582 
 • Comment-Response and Cover Letters to the SEC
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  [ a.k.a. Filing CORRESP ]
 COVER32,323 
 • SEC Staff Actions – SEC Orders
SEC emoji
  [ in Filing SEC ACTION ]
 ORDER500 
 • SEC Staff Letters – No-Action re: Shareholder Proposals
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  [ a.k.a. Filing NO ACT ]
 14A-81 
 • SEC Staff Letters – Redacted Exhibits
SEC emoji
  [ in Filing SEC LETTER ]
 REDACTED EXHIBIT1,360 
 • SEC Staff Letters – Serious Deficiencies
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  [ in Filing SEC LETTER ]
 SERIOUS DEFICIENCIES12 
 • SEC Staff Letters – Uncategorized Letters
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  [ in Filing SEC LETTER ]
 STAFF LETTER5 
 
  Form-Specific Documents
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  (Form-Specific Exhibits
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are ↓Below)
Letters   Top 
 
 • Alternative Trading System Cover Pages — Form ATS-N 
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 COVER PAGE×131 
 • Alternative Trading System Part II Items — Form ATS-N 
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 ATS-N PART2 ITM54 
 • Alternative Trading System Part III Items — Form ATS-N 
Information emoji
 ATS-N PART3 ITM161 
 • Annual Reports – Part II — Form 1-K – Reg. A 
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 PART II1,067 
 • Offering Statements – Parts II and III — Form 1-A – Reg. A/A+ 
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 PART II AND III6,712 
 • Portfolio Holdings Schedules — Form N-PORT
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  [ formerly Filing NPORT-EX ]
 NPORT-EX75,856 
 • Portfolio Securities Holdings Info Tables — Form 13F 
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 INFORMATION TABLE×185,726 
 
  General Exhibits
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  (Regs.
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S-K & S-B)
Form-Specific Documents   Top 
 
 • Annual and Quarterly Reports to Security Holders 
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 EX-1355,370 
 • Articles of Incorporation/Organization and Bylaws 
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  (and mislabeled “3rd” Exhibits)
 EX-3300,607 
 • Codes of Ethics 
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 EX-1419,281 
 • Consents of Experts and Counsel 
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 EX-23741,091 
 • Correspondence re: Departures of Directors 
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 EX-176,659 
 • Filing Fees 
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 EX-FILING FEES22,497 
 • Instruments, Including Indentures, Defining the Rights of Security Holders 
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 EX-4428,831 
 • Invitations for Competitive Bids 
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 EX-261,475 
 • Material Contracts 
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 EX-101,591,294 
 • Mine-Safety Disclosures 
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 EX-954,241 
 • Mining Disclosures 
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 EX-96326 
 • Opinions of Counsel re: Legality 
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 EX-5313,539 
 • Opinions of Counsel re: Tax Matters 
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 EX-866,289 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions 
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  (and mislabeled “2nd” Exhibits)
 EX-2127,650 
 • Powers of Attorney 
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 EX-24469,021 
 • Published Reports re: Matters Submitted to Votes of Security Holders 
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 EX-225,384 
 • Reports Furnished to Security Holders 
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 EX-194,840 
 • Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2 
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 EX-2533,024 
 • Subsidiaries Lists 
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 EX-21157,439 
 • Underwriting Agreements
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and Conflict Minerals Reports
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  (and mislabeled “1st” Exhibits)
 EX-1166,517 
 • Voting Trust Agreements 
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 EX-912,374 
 • Other Documents and Statements Furnished to Security Holders 
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 EX-2040,115 
 
  ABS Exhibits
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— Asset-Backed Securities
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General Exhibits   Top 
 
 • Assets Data
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(some are very large XMLª Files)
 EX-102°28,721 
 • Assets Data-Related Info
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(XMLª Files)
 EX-103°28,641 
 • Attestation Reports on Assessments of Compliance with Servicing Criteria 
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 EX-3446,037 
 • Depositor Certifications for Shelf Offerings 
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 EX-361,100 
 • Reports of Compliance with Servicing Criteria 
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 EX-3346,596 
 • Servicer Compliance Statements 
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 EX-3525,922 
 • Static Pools 
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 EX-1069 
 
  Additional Exhibits
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  (Miscellaneous & Form-Specific)
ABS Exhibits   Top 
 
 • Miscellaneous Exhibits, such as Press Releases
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 EX-994,091,490 
 • Form-Specific Exhibits EX-99.****   (More Form-Specific Exhibits
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 EX-99.**** Subsets532,943
 
Please Sign In to see the  154  EX-99.**** Form-Specific Exhibits.
 
  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/Organization — Form 1-A 
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 EX1A-2A CHARTER3,399 
 • Articles of Incorporation/Organization — Form 1-K 
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 EX1K-2A CHARTER53 
 • Articles of Incorporation/Organization — Form 1-SA 
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 EX1SA-2A CHARTER33 
 • Articles of Incorporation/Organization — Form 1-U 
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 EX1U-2A CHARTER48 
 • Bylaws — Form 1-A 
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 EX1A-2B BYLAWS1,656 
 • Bylaws — Form 1-K 
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 EX1K-2B BYLAWS17 
 • Bylaws — Form 1-SA 
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 EX1SA-2B BYLAWS12 
 • Bylaws — Form 1-U 
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 EX1U-2B BYLAWS13 
 • Consents for Service of Process — Form 1-A 
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 EX1A-14 CNSNT SV74 
 • Consents for Service of Process — Form 1-K 
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 EX1K-14 CNSNT SV1 
 • Consents for Service of Process — Form 1-SA 
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 EX1SA-14 CNSNT SV1 
 • Consents for Service of Process — Form 1-U 
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 EX1U-14 CNSNT SV2 
 • Consents of Experts and Counsel — Form 1-A 
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 EX1A-11 CONSENT3,809 
 • Consents of Experts and Counsel — Form 1-K 
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 EX1K-11 CONSENT302 
 • Consents of Experts and Counsel — Form 1-SA 
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 EX1SA-11 CONSENT15 
 • Consents of Experts and Counsel — Form 1-U 
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 EX1U-11 CONSENT1 
 • Escrow Agreements — Form 1-A 
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 EX1A-8 ESCW AGMT795 
 • Escrow Agreements — Form 1-K 
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 EX1K-8 ESCW AGMT8 
 • Escrow Agreements — Form 1-SA 
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 EX1SA-8 ESCW AGMT8 
 • Escrow Agreements — Form 1-U 
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 EX1U-8 ESCW AGMT24 
 • Instruments Defining the Rights of Security Holders — Form 1-A 
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 EX1A-3 HLDRS RTS2,055 
 • Instruments Defining the Rights of Security Holders — Form 1-K 
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 EX1K-3 HLDRS RTS53 
 • Instruments Defining the Rights of Security Holders — Form 1-SA 
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 EX1SA-3 HLDRS RTS20 
 • Instruments Defining the Rights of Security Holders — Form 1-U 
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 EX1U-3 HLDRS RTS88 
 • Letters re: Changes in Accountants — Form 1-A 
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 EX1A-9 ACCT LTR88 
 • Letters re: Changes in Accountants — Form 1-K 
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 EX1K-9 ACCT LTR10 
 • Letters re: Changes in Accountants — Form 1-SA 
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 EX1SA-9 ACCT LTR14 
 • Letters re: Changes in Accountants — Form 1-U 
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 EX1U-9 ACCT LTR55 
 • Material Contracts — Form 1-A 
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 EX1A-6 MAT CTRCT8,844 
 • Material Contracts — Form 1-K 
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 EX1K-6 MAT CTRCT330 
 • Material Contracts — Form 1-SA 
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 EX1SA-6 MAT CTRCT289 
 • Material Contracts — Form 1-U 
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 EX1U-6 MAT CTRCT414 
 • Opinions of Counsel re: Legality — Form 1-A 
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 EX1A-12 OPN CNSL3,421 
 • Opinions of Counsel re: Legality — Form 1-K 
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 EX1K-12 OPN CNSL5 
 • Opinions of Counsel re: Legality — Form 1-SA 
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 EX1SA-12 OPN CNSL11 
 • Opinions of Counsel re: Legality — Form 1-U 
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 EX1U-12 OPN CNSL2 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-A 
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 EX1A-7 ACQ AGMT141 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-K 
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 EX1K-7 ACQ AGMT2 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-SA 
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 EX1SA-7 ACQ AGMT6 
 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-U 
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 EX1U-7 ACQ AGMT10 
 • Powers of Attorney — Form 1-A 
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 EX1A-10 PWR ATTY94 
 • Powers of Attorney — Form 1-K 
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 EX1K-10 PWR ATTY7 
 • Powers of Attorney — Form 1-SA 
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 EX1SA-10 PWR ATTY8 
 • Powers of Attorney — Form 1-U 
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 EX1U-10 PWR ATTY1 
 • Subscription Agreements — Form 1-A 
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 EX1A-4 SUBS AGMT2,862 
 • Subscription Agreements — Form 1-K 
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 EX1K-4 SUBS AGMT16 
 • Subscription Agreements — Form 1-SA 
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 EX1SA-4 SUBS AGMT30 
 • Subscription Agreements — Form 1-U 
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 EX1U-4 SUBS AGMT72 
 • Subsidiaries that Provide Guarantees to Issuers — Form 1-A 
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 EX1A-17 GNTR/ISSR5 
 • Subsidiaries that Provide Guarantees to Issuers — Form 1-K 
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 EX1K-17 GNTR/ISSR1 
 • Subsidiaries that Provide Guarantees to Issuers — Form 1-U 
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 EX1U-17 GNTR/ISSR3 
 • Test-the-Waters Materials — Form 1-A 
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 EX1A-13 TST WTRS1,379 
 • Test-the-Waters Materials — Form 1-K 
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 EX1K-13 TST WTRS1 
 • Test-the-Waters Materials — Form 1-SA 
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 EX1SA-13 TST WTRS2 
 • Test-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 AGMT990 
 • Underwriting Agreements — Form 1-K 
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 EX1K-1 UNDR AGMT3 
 • Underwriting Agreements — Form 1-SA 
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 EX1SA-1 UNDR AGMT13 
 • Underwriting Agreements — Form 1-U 
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 EX1U-1 UNDR AGMT44 
 • Voting Trust Agreements — Form 1-A 
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 EX1A-5 VOTG TRST84 
 • Voting Trust Agreements — Form 1-K 
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 EX1K-5 VOTG TRST1 
 • Miscellaneous Exhibits, such as Press Releases
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 — Forms 1-* 
 ADD EXHB1,723 
 
  Alternative Trading System Exhibits
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— Form ATS-N – NMS Stock
Reg. A/A+ Exhibits   Top 
 
 • Direct Owners and Executive Officers — Form BD – Sch. A 
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 ATS-N EX-1 SCHD A BD378 
 • Indirect Owners — Form BD – Sch. B 
Busts in silhouette emoji
 ATS-N EX-2 SCHD B BD377 
 • Redline Changes — Form BD – Sch. A & B Δ ATS-N EX-3 REDLINE382 
 • Aggregate Statistics 
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 ATS-N EX-4 AGG STATS106 
 • Category Metrics 
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 ATS-N EX-5 CATG MTRC77 
 
  Investment Company Exhibits
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— Form N-CEN – Annual Report
Alternative Trading System Exhibits   Top 
 
 • Accountants’ Reports re: Internal Controls 
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 INTERNAL CONTROL RPT13,719 
 • Changes in Accounting Principles and Practices 
Books emoji
 CHG ACCT PRINCIPLES5 
 • Codes of Ethics 
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 CODE OF ETHICS2 
 • Info Pursuant to SEC Exemption Orders 
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 EXEMPT ORDER INFO1,513 
 • Instruments Defining the Rights of Holders of New or Amended Securities 
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 INST DEFINING RIGHTS231 
 • Investment Advisor Contracts 
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 ADVISORY CONTRACTS553 
 • Late-Filing Reports — Reg. S-K – Item 405 
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 ITEM 405 REG S-K159 
 • Legal Proceedings 
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 LEGAL PROCEEDINGS352 
 • Material Amendments to Organizational Documents 
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 MATERIAL AMENDMENTS729 
 • Provisions of Financial Support 
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 FINANCIAL SUPPORT103 
 • Other Info 
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 OTHER REQUIRED INFO431 
 
  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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 FULL7,592 
 • Statements of Financial Condition 
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 STMT FIN COND1,120 
 • Notes to Statements of Financial Condition 
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 STMT FIN COND NOTES1,006 
 • Statements of Income 
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 STMT INCOME293 
 • Statements of Cash Flows 
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 STMT CASH FLOW293 
 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity 
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 STMT CHG SH EQY296 
 • Statements of Changes in Liabilities Subordinated to Claims of Creditors 
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 STMT CHG SUB LIABS27 
 • Notes to Financial Statements 
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 FINAN STMTS NOTES149 
 
 Disclosures: 
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 • Computations of Net Capital 
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 COMP NET CAP305 
 • Computations for Determinations of Reserve Requirements 
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 COMP RESERV REQ147 
 • Info re: Possession and Control Requirements 
Information emoji
 INFO POS CTRL REQ116 
 • Reconciliations (and Statements) of Material Differences (or None) Between FINRA FOCUS Reports and Computations of Net Capital or Computations for Determinations of Reserve Requirements 
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 RECONCIL CAP RESERV17 
 • Compliance Reports 
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 COMPL RPT66 
 • Exemption Reports 
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 EXEMP RPT361 
 • Accountants’ Reports re: Examinations of Statements of Financial Condition 
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 ACCT RPT STMT FIN CO562 
 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements 
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 ACCT RPT FIN RPT573 
 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports 
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 ACCT RPT COMPL RPT60 
 • Accountants’ Reports re: Reviews of Exemption Reports 
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 ACCT RPT EXEMP RPT354 
 • Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers 
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 ANC/OTC AGD PROC53 
 • 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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 OTHER487 
 
  Financials
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— Financial Exhibits, Reports, Workbooks & Data
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Broker-Dealer Reports   Top 
 
 • Correspondence from Accountants re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews 
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 EX-711,930 
 • Letters re: Changes in Accountants 
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 EX-1640,189 
 • Letters re: Changes in Accounting Principles and Practices 
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 EX-182,940 
 • Letters re: Unaudited Interim Financial Info 
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 EX-1538,510 
 • Statements re: Computations of Earnings Per Share 
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 EX-1161,790 
 • Statements re: Computations of Ratios 
Abacus emoji
 EX-12124,271 
 • Certifications — §302 – SOA’02 
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 EX-311,259,196 
 • Certifications — §906 – SOA’02 
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 EX-321,011,840 
 • IDEA Financial Reports
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  (IDEAª, XMLª, XBRLª and iXBRLª Files)
 XML  &  R#°20,291,747 
 • IDEA Workbooks of Financial Reports
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  (IDEAª Excel .xls/.xlsx Files)
 EXCEL560,468 
 • XBRL Data
xBRL emoji
  (XBRLª and iXBRLª Files)
 EX-101.*×2,722,306 
 • XBRL Instances as JavaScript Object Notation Data
JSON emoji
  (iXBRLª JSONª .json Files)
 JSON208,111 
 • XBRL Zipped Folders
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  (XBRLª and iXBRLª Files in .zip Folders)
 ZIP520,963 
 
  Graphics
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Financials   Top 
 
 • Photos, Images and Graphs
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Bar chart emoji
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  (.jpeg/.jpg, .gif and .png Files)
 GRAPHIC15,997,345 
 
Totals by Period Σ          Total:   52,479,504 
____________
° May be an XMLª, XBRLª or iXBRLª File.         (Most XMLª Files are rendered by using the SEC’s XSLTª Stylesheets —
× Must be an XMLª, XBRLª or iXBRLª File.         XBRLª Files are rendered by the SEC as IDEAª ‘R#’ Financial Reports.)
ª Acronyms: 
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      IDEA:  Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data.  (See our XBRL page info.)  
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      XML:  eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard.  ?xml?
      XSLT:  eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML.  
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      XBRL:  eXtensible Business Reporting Language — A financial-data-interchange standard, based on XML.  
xBRL emoji
      iXBRL:  Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard.  i
xBRL emoji
      JSON:  JavaScript Object Notation — A lightweight data-interchange standard, used to encode iXBRL data.  
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