Letters — SEC Comment Letters & Correspondence (* = Delayed Release) ↑ Top • Comment and Other Letters from the SEC [ a.k.a. Filing UPLOAD ] * LETTER 163,444 • Comment and Other Letters from the SEC (PDF Text) [ a.k.a. LETTER↑ ] * TEXT-EXTRACT 14,469 • Comment-Response and Other Letters to the SEC [ a.k.a. COVER↓ ] * CORRESP 210,378 • Comment-Response and Cover Letters to the SEC [ a.k.a. Filing CORRESP ] * COVER 31,861 • SEC Staff Actions – SEC Orders [ a.k.a. Filing SEC ACTION ] ORDER 277 • SEC Staff Letters [ a.k.a. Filing SEC LETTER ] STAFF LETTER 5 • SEC Staff Letters re: Redacted Exhibits [ a.k.a. Filing SEC LETTER ] REDACTED EXHIBIT 959 • SEC Staff Letters re: Serious Deficiencies [ a.k.a. Filing SEC LETTER ] SERIOUS DEFICIENCIES 10 • SEC Staff Letters re: Shareholder Proposals [ a.k.a. Filing SEC LETTER ] 14A-8 1 Form-Specific Documents (Form-Specific Exhibits Below ↑ Letters ↑ Top • Alternative Trading Systems (NMS Stock) – Cover Pages — Form ATS-N COVER PAGE× 79 • Alternative Trading Systems (NMS Stock) – Part II Items — Form ATS-N ATS-N PART2 ITM 29 • Alternative Trading Systems (NMS Stock) – Part III Items — Form ATS-N ATS-N PART3 ITM 81 • Annual Reports – Part II — Reg. A – Form 1-K PART II 477 • Offering Statements – Parts II and III — Reg. A/A+ – Form 1-A PART II AND III 5,028 • Portfolio Holdings Schedules — Form N-PORT [ obsoleted Filing NPORT-EX ] NPORT-EX 43,186 • Portfolio Securities Holdings Info Tables — Form 13F INFORMATION TABLE× 149,312 General Exhibits (Regs. ↑ Form-Specific Documents ↑ Top • Annual and Quarterly Reports to Security Holders EX-13 52,707 • Articles of Incorporation/Organization and Bylaws EX-3 287,276 • Codes of Ethics EX-14 18,356 • Consents of Experts and Counsel EX-23 710,279 • Instruments, such as Indentures, Defining the Rights of Security Holders EX-4 406,175 • Invitations for Competitive Bids EX-26 1,420 • Letters re: Departures of Directors EX-17 6,486 • Material Contracts EX-10 1,513,569 • Mine-Safety Disclosures EX-95 3,766 • Mining Disclosures EX-96 61 • Opinions of Counsel re: Legality EX-5 297,784 • Opinions of Counsel re: Tax Matters EX-8 63,714 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions EX-2 122,853 • Powers of Attorney EX-24 436,295 • Published Reports re: Matters Submitted to Votes of Security Holders EX-22 4,606 • Reports Furnished to Security Holders EX-19 4,821 • Statements re: Eligibility of Trustees — Forms T-1 & T-2 EX-25 32,147 • Subsidiaries Lists EX-21 151,118 • Underwriting Agreements (and mislabeled “1st Exhibits”) EX-1 157,675 • Voting Trust Agreements EX-9 12,291 • Other Documents and Statements Furnished to Security Holders EX-20 40,058 ABS Exhibits — Asset-Backed Securities ↑ General Exhibits ↑ Top • Asset Data (some are very large XMLª Files) EX-102 ° 17,502 • Asset-Related Documents (XMLª Files) EX-103 ° 17,493 • Attestation Reports on Assessments of Compliance with Servicing Criteria EX-34 40,299 • Depositor Certifications for Shelf Offerings EX-36 898 • Reports of Compliance with Servicing Criteria EX-33 40,854 • Servicer Compliance Statements EX-35 23,149 • Static Pools EX-106 9 Additional Exhibits (Miscellaneous & Form-Specific) ↑ ABS Exhibits ↑ Top • Miscellaneous Exhibits, such as Press Releases EX-99 3,831,825 Reg. 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 2,517 • Articles of Incorporation/Organization — Form 1-K EX1K-2A CHARTER 23 • Articles of Incorporation/Organization — Form 1-SA EX1SA-2A CHARTER 18 • Articles of Incorporation/Organization — Form 1-U EX1U-2A CHARTER 29 • Bylaws — Form 1-A EX1A-2B BYLAWS 1,242 • Bylaws — Form 1-K EX1K-2B BYLAWS 7 • Bylaws — Form 1-SA EX1SA-2B BYLAWS 8 • Bylaws — Form 1-U EX1U-2B BYLAWS 9 • Consents for Service — Form 1-A EX1A-14 CNSNT SV 66 • Consents for Service — Form 1-K EX1K-14 CNSNT SV 1 • Consents for Service — Form 1-SA EX1SA-14 CNSNT SV 1 • Consents for Service — Form 1-U EX1U-14 CNSNT SV 1 • Consents of Experts and Counsel — Form 1-A EX1A-11 CONSENT 2,840 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT 160 • Consents of Experts and Counsel — Form 1-SA EX1SA-11 CONSENT 12 • Consents of Experts and Counsel — Form 1-U EX1U-11 CONSENT 1 • Escrow Agreements — Form 1-A EX1A-8 ESCW AGMT 646 • Escrow Agreements — Form 1-K EX1K-8 ESCW AGMT 5 • Escrow Agreements — Form 1-SA EX1SA-8 ESCW AGMT 6 • Escrow Agreements — Form 1-U EX1U-8 ESCW AGMT 23 • Instruments Defining the Rights of Security Holders — Form 1-A EX1A-3 HLDRS RTS 1,449 • Instruments Defining the Rights of Security Holders — Form 1-K EX1K-3 HLDRS RTS 23 • Instruments Defining the Rights of Security Holders — Form 1-SA EX1SA-3 HLDRS RTS 14 • Instruments Defining the Rights of Security Holders — Form 1-U EX1U-3 HLDRS RTS 41 • Letters re: Changes in Certifying Accountants — Form 1-A EX1A-9 ACCT LTR 58 • Letters re: Changes in Certifying Accountants — Form 1-K EX1K-9 ACCT LTR 4 • Letters re: Changes in Certifying Accountants — Form 1-SA EX1SA-9 ACCT LTR 11 • Letters re: Changes in Certifying Accountants — Form 1-U EX1U-9 ACCT LTR 38 • Material Contracts — Form 1-A EX1A-6 MAT CTRCT 6,433 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT 181 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT 179 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT 311 • Opinions of Counsel re: Legality — Form 1-A EX1A-12 OPN CNSL 2,475 • 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 7 • Opinions of Counsel re: Legality — Form 1-U EX1U-12 OPN CNSL 2 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-A EX1A-7 ACQ AGMT 114 • 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 3 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-U EX1U-7 ACQ AGMT 6 • Powers of Attorney — Form 1-A EX1A-10 PWR ATTY 61 • Powers of Attorney — Form 1-K EX1K-10 PWR ATTY 1 • Powers of Attorney — Form 1-SA EX1SA-10 PWR ATTY 1 • Powers of Attorney — Form 1-U EX1U-10 PWR ATTY 1 • Subscription Agreements — Form 1-A EX1A-4 SUBS AGMT 2,142 • Subscription Agreements — Form 1-K EX1K-4 SUBS AGMT 4 • Subscription Agreements — Form 1-SA EX1SA-4 SUBS AGMT 20 • Subscription Agreements — Form 1-U EX1U-4 SUBS AGMT 65 • Subsidiaries that Provide Guarantees — Form 1-A EX1A-17 GNTR/ISSR 1 • Subsidiaries that Provide Guarantees — Form 1-U EX1U-17 GNTR/ISSR 2 • Test-the-Waters Materials — Form 1-A EX1A-13 TST WTRS 909 • Test-the-Waters Materials — Form 1-K EX1K-13 TST WTRS 1 • Test-the-Waters Materials — Form 1-U EX1U-13 TST WTRS 3 • Underwriting Agreements — Form 1-A EX1A-1 UNDR AGMT 745 • Underwriting Agreements — Form 1-K EX1K-1 UNDR AGMT 1 • Underwriting Agreements — Form 1-SA EX1SA-1 UNDR AGMT 3 • Underwriting Agreements — Form 1-U EX1U-1 UNDR AGMT 31 • Voting Trust Agreements — Form 1-A EX1A-5 VOTG TRST 63 • Miscellaneous Exhibits, such as Press Releases Form 1-* ADD EXHB 244 Alternative Trading System Exhibits — Form ATS-N – NMS Stock ↑ Reg. A/A+ Exhibits ↑ Top • Direct Owners and Executive Officers — Form BD – Sch. A ATS-N EX-1 SCHD A BD 224 • Indirect Owners — Form BD – Sch. B ATS-N EX-2 SCHD B BD 223 • Redline Changes — Form BD – Sch. A & B Δ ATS-N EX-3 REDLINE 214 • Aggregate Statistics ATS-N EX-4 AGG STATS 94 • Category Metrics ATS-N EX-5 CATG MTRC 65 Investment Company Exhibits — Form N-CEN – Annual Report ↑ Alternative Trading System Exhibits ↑ Top • Changes in Accounting Principles and Practices Δ CHG ACCT PRINCIPLES 5 • Codes of Ethics CODE OF ETHICS 2 • Independent Public Accountants’ Reports on Internal Control INTERNAL CONTROL RPT 9,889 • Info Filed Pursuant to Exemptive Orders EXEMPT ORDER INFO 1,055 • Instruments Defining the Rights of Security Holders INST DEFINING RIGHTS 175 • Investment Adviser Agreements ADVISORY CONTRACTS 429 • Late-Filings Reports — Reg. S-K – Item 405 ITEM 405 REG S-K 107 • Legal Proceedings LEGAL PROCEEDINGS 258 • Material Amendments to Organizational Documents MATERIAL AMENDMENTS 484 • Provisions of Financial Support FINANCIAL SUPPORT 65 • Other Required Info OTHER REQUIRED INFO 348 Broker-Dealer Reports — Form X-17A-5 – Annual Financial Report ↑ Investment Company Exhibits ↑ Top Statements: • Annual Financial Reports (Full) FULL 5,563 • Statements of Financial Condition STMT FIN COND 1,108 • Notes to Statements of Financial Condition STMT FIN COND NOTES 999 • Statements of Income STMT INCOME 291 • Statements of Cash Flows STMT CASH FLOW 291 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity STMT CHG SH EQY 294 • Statements of Changes in Liabilities Subordinated to Claims of Creditors STMT CHG SUB LIABS 26 • Notes to Financial Statements FINAN STMTS NOTES 148 Disclosures: • Computations of Net Capital COMP NET CAP 303 • Computations for Determination of Reserve Requirements COMP RESERV REQ 147 • Info re: Possession and Control Requirements INFO POS CTRL REQ 115 • 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 66 • Exemption Reports EXEMP RPT 358 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO 560 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements ACCT RPT FIN RPT 567 • Accountants’ Reports re: Examinations of Certain Statements in Compliance Reports ACCT RPT COMPL RPT 60 • Accountants’ Reports re: Reviews of Exemption Reports ACCT RPT EXEMP RPT 351 • 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 487 Financials — Financial Reports, Exhibits, Workbooks & Data ↑ Broker-Dealer Reports ↑ Top • Certifications — §302 – SOA’02 EX-31 1,181,654 • Certifications — §906 – SOA’02 EX-32 948,961 • Letters re: Changes in Accounting Principles EX-18 2,892 • Letters re: Changes in Certifying Accountants EX-16 38,940 • Letters re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews EX-7 11,719 • Letters re: Unaudited Interim Financial Info EX-15 36,211 • Statements re: Computations of Earnings Per Share EX-11 61,581 • Statements re: Computations of Ratios EX-12 121,334 • IDEA Financial Reports (IDEAª, XMLª, XBRLª and iXBRLª Files) R# & XML ° 17,096,874 • IDEA Workbooks of Financial Reports (IDEAª Excel . xls and . xlsx Files) EXCEL 432,983 • XBRL Data (XBRLª and iXBRLª Files) EX-101.*× 2,197,272 • XBRL Instances as JavaScript Object Notation Data (iXBRLª JSONª Files) JSON 82,076 • XBRL Zipped Folders (. zip Folders of XBRLª or iXBRLª Files) ZIP 390,092 Graphics ↑ Financials ↑ Top • Photos, Images and Graphs (. jpg/. jpeg, . gif and . png Files) GRAPHIC 14,011,517 Totals 45,577,894 ____________ ° 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# ª Acronyms: XML: eXtensible Markup Language — A World Wide Web Consortium (W3C) data-interchange standard. ‹?xml? › 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. i JSON: JavaScript Object Notation — A lightweight data-interchange standard, used to encode iXBRL data. XSLT: eXtensible Stylesheet Language Transformations — A W3C standard for turning XML into HTML. IDEA: Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data. (See our XBRL page info.) 
