• Description Doc. / Exh. Type Documents (click for most-recent) Letters — SEC Comment Letters & Correspondence (Delayed Release) ↑ Top • Comment and Other Letters from the SEC [ in Filings UPLOAD & SEC LETTER ] LETTER 183,428 • Comment and Other Letters from the SEC – PDFs’ Text [ a.k.a. LETTER↑ ] TEXT-EXTRACT 34,494 • Comment-Response and Other Letters to the SEC [ a.k.a. COVER↓ ] CORRESP 237,470 • Comment-Response and Cover Letters to the SEC [ a.k.a. Filing CORRESP ] COVER 32,333 • SEC Staff Actions – SEC Orders [ in Filing SEC ACTION ] ORDER 728 • SEC Staff Letters – No-Action re: Shareholder Proposals [ a.k.a. Filing NO ACT ] 14A-8 1 • SEC Staff Letters – Redacted Exhibits [ in Filing SEC LETTER ] REDACTED EXHIBIT 1,540 • SEC Staff Letters – Serious Deficiencies [ in Filing SEC LETTER ] SERIOUS DEFICIENCIES 19 • SEC Staff Letters – Uncategorized Letters [ in Filing SEC LETTER ] STAFF LETTER 5 Form-Specific Documents (Form-Specific Exhibits Below ↑ Letters ↑ Top • Alternative Trading System – Cover Pages — Form ATS-N COVER PAGE× 181 • Alternative Trading System – Part II Items — Form ATS-N ATS-N PART2 ITM 56 • Alternative Trading System – Part III Items — Form ATS-N ATS-N PART3 ITM 213 • Annual Reports – Part II — Form 1-K – Reg. A PART II 1,578 • Offering Statements – Parts II and III — Form 1-A – Reg. A/A+ PART II AND III 8,286 • Portfolio Holdings Schedules — Form N-PORT [ formerly Filing NPORT-EX ] NPORT-EX 112,389 • Portfolio Securities Holdings – Info Tables — Form 13F INFORMATION TABLE× 226,724 • Specialized Disclosures re: the Holding Foreign Companies Accountable Act HFCAA-GOV 11 General Exhibits (Regs. ↑ Form-Specific Documents ↑ Top • Annual and Quarterly Reports to Security Holders EX-13 57,588 • Articles of Incorporation/Organization and Bylaws (and mislabeled “3rd ” Exhibits) EX-3 311,681 • Clawback Policies re: Recovery of Erroneously Awarded Compensation EX-97 112 • Codes of Ethics EX-14 19,939 • Consents of Experts and Counsel EX-23 767,678 • Correspondence re: Departures of Directors EX-17 6,803 • Filing Fees EX-FILING FEES 81,020 • Instruments, Including Indentures, Defining the Rights of Security Holders EX-4 446,703 • Invitations for Competitive Bids EX-26 1,480 • Material Contracts EX-10 1,654,940 • Mine-Safety Disclosures EX-95 4,684 • Mining Disclosures EX-96 605 • Opinions of Counsel re: Legality EX-5 327,034 • Opinions of Counsel re: Tax Matters EX-8 68,316 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions (and mislabeled “2nd ” Exhibits) EX-2 131,909 • Powers of Attorney EX-24 494,474 • Published Reports re: Matters Submitted to Votes of Security Holders EX-22 6,088 • Reports Furnished to Security Holders EX-19 4,946 • Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2 EX-25 33,770 • Subsidiaries Lists EX-21 163,343 • Underwriting Agreements (and mislabeled “1st ” Exhibits) EX-1 172,646 • Voting Trust Agreements EX-9 12,429 • Other Documents and Statements Furnished to Security Holders EX-20 40,167 ABS Exhibits — Asset-Backed Securities ↑ General Exhibits ↑ Top • Assets Data (some are very large XMLª Files) EX-102 ° 40,978 • Assets Data-Related Info (XMLª Files) EX-103 ° 40,898 • Attestation Reports on Assessments of Compliance with Servicing Criteria EX-34 51,813 • Depositor Certifications for Shelf Offerings EX-36 1,270 • Reports of Compliance with Servicing Criteria EX-33 52,392 • Servicer Compliance Statements EX-35 28,714 • Static Pools EX-106 9 Additional Exhibits (Miscellaneous & Form-Specific) ↑ ABS Exhibits ↑ Top • Miscellaneous Exhibits, such as Press Releases EX-99 4,325,252 • Form-Specific Exhibits EX-99.**** * * (More Form-Specific Exhibits Below ⇓ EX-99.**** * * Subsets 563,249 Please Sign In EX-99.**** * * Form-Specific Exhibits. 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 4,060 • Articles of Incorporation/Organization — Form 1-K EX1K-2A CHARTER 70 • Articles of Incorporation/Organization — Form 1-SA EX1SA-2A CHARTER 68 • Articles of Incorporation/Organization — Form 1-U EX1U-2A CHARTER 64 • Bylaws — Form 1-A EX1A-2B BYLAWS 1,890 • Bylaws — Form 1-K EX1K-2B BYLAWS 22 • Bylaws — Form 1-SA EX1SA-2B BYLAWS 22 • Bylaws — Form 1-U EX1U-2B BYLAWS 16 • Consents for Service of Process — Form 1-A EX1A-14 CNSNT SV 84 • Consents for Service of Process — Form 1-K EX1K-14 CNSNT SV 1 • Consents for Service of Process — Form 1-SA EX1SA-14 CNSNT SV 2 • Consents for Service of Process — Form 1-U EX1U-14 CNSNT SV 2 • Consents of Experts and Counsel — Form 1-A EX1A-11 CONSENT 4,648 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT 369 • Consents of Experts and Counsel — Form 1-SA EX1SA-11 CONSENT 25 • Consents of Experts and Counsel — Form 1-U EX1U-11 CONSENT 1 • Escrow Agreements — Form 1-A EX1A-8 ESCW AGMT 945 • Escrow Agreements — Form 1-K EX1K-8 ESCW AGMT 16 • Escrow Agreements — Form 1-SA EX1SA-8 ESCW AGMT 16 • Escrow Agreements — Form 1-U EX1U-8 ESCW AGMT 31 • Instruments Defining the Rights of Security Holders — Form 1-A EX1A-3 HLDRS RTS 2,450 • Instruments Defining the Rights of Security Holders — Form 1-K EX1K-3 HLDRS RTS 63 • Instruments Defining the Rights of Security Holders — Form 1-SA EX1SA-3 HLDRS RTS 41 • Instruments Defining the Rights of Security Holders — Form 1-U EX1U-3 HLDRS RTS 112 • Letters re: Changes in Accountants — Form 1-A EX1A-9 ACCT LTR 104 • Letters re: Changes in Accountants — Form 1-K EX1K-9 ACCT LTR 13 • Letters re: Changes in Accountants — Form 1-SA EX1SA-9 ACCT LTR 19 • Letters re: Changes in Accountants — Form 1-U EX1U-9 ACCT LTR 74 • Material Contracts — Form 1-A EX1A-6 MAT CTRCT 10,673 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT 494 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT 423 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT 499 • Opinions of Counsel re: Legality — Form 1-A EX1A-12 OPN CNSL 4,144 • Opinions of Counsel re: Legality — Form 1-K EX1K-12 OPN CNSL 9 • Opinions of Counsel re: Legality — Form 1-SA EX1SA-12 OPN CNSL 12 • 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 179 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-K EX1K-7 ACQ AGMT 4 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-SA EX1SA-7 ACQ AGMT 10 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions — Form 1-U EX1U-7 ACQ AGMT 13 • Powers of Attorney — Form 1-A EX1A-10 PWR ATTY 105 • Powers of Attorney — Form 1-K EX1K-10 PWR ATTY 10 • Powers of Attorney — Form 1-SA EX1SA-10 PWR ATTY 9 • Powers of Attorney — Form 1-U EX1U-10 PWR ATTY 1 • Subscription Agreements — Form 1-A EX1A-4 SUBS AGMT 3,412 • Subscription Agreements — Form 1-K EX1K-4 SUBS AGMT 27 • Subscription Agreements — Form 1-SA EX1SA-4 SUBS AGMT 42 • Subscription Agreements — Form 1-U EX1U-4 SUBS AGMT 76 • Subsidiaries that Provide Guarantees to Issuers — Form 1-A EX1A-17 GNTR/ISSR 5 • Subsidiaries that Provide Guarantees to Issuers — Form 1-K EX1K-17 GNTR/ISSR 2 • Subsidiaries that Provide Guarantees to Issuers — Form 1-U EX1U-17 GNTR/ISSR 3 • Test-the-Waters Materials — Form 1-A EX1A-13 TST WTRS 1,518 • Test-the-Waters Materials — Form 1-K EX1K-13 TST WTRS 1 • Test-the-Waters Materials — Form 1-SA EX1SA-13 TST WTRS 2 • Test-the-Waters Materials — Form 1-U EX1U-13 TST WTRS 5 • Underwriting Agreements — Form 1-A EX1A-1 UNDR AGMT 1,158 • Underwriting Agreements — Form 1-K EX1K-1 UNDR AGMT 5 • Underwriting Agreements — Form 1-SA EX1SA-1 UNDR AGMT 15 • Underwriting Agreements — Form 1-U EX1U-1 UNDR AGMT 53 • Voting Trust Agreements — Form 1-A EX1A-5 VOTG TRST 95 • Voting Trust Agreements — Form 1-K EX1K-5 VOTG TRST 2 • Voting Trust Agreements — Form 1-SA EX1SA-5 VOTG TRST 2 • Miscellaneous Exhibits, such as Press Releases Forms 1-* ADD EXHB 5,296 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 484 • Indirect Owners — Form BD – Sch. B ATS-N EX-2 SCHD B BD 483 • Redline Changes — Form BD – Sch. A & B Δ ATS-N EX-3 REDLINE 516 • Aggregate Statistics ATS-N EX-4 AGG STATS 107 • Category Metrics ATS-N EX-5 CATG MTRC 78 Investment Company Exhibits — Form N-CEN – Annual Report ↑ Alternative Trading System Exhibits ↑ Top • Accountants’ Reports re: Internal Controls INTERNAL CONTROL RPT 18,064 • Changes in Accounting Principles and Practices CHG ACCT PRINCIPLES 5 • Codes of Ethics CODE OF ETHICS 2 • Info Pursuant to SEC Exemption Orders EXEMPT ORDER INFO 1,971 • Instruments Defining the Rights of Holders of New or Amended Securities INST DEFINING RIGHTS 281 • Investment Advisor Contracts ADVISORY CONTRACTS 624 • Late-Filing Reports — Reg. S-K – Item 405 ITEM 405 REG S-K 230 • Legal Proceedings LEGAL PROCEEDINGS 430 • Material Amendments to Organizational Documents MATERIAL AMENDMENTS 939 • Provisions of Financial Support FINANCIAL SUPPORT 132 • Other Info OTHER REQUIRED INFO 664 Broker-Dealer Reports — Form X-17A-5 – Annual Financial Report ↑ Investment Company Exhibits ↑ Top Statements: • Annual Financial Reports (Full) FULL 9,810 • Statements of Financial Condition STMT FIN COND 1,120 • Notes to Statements of Financial Condition STMT FIN COND NOTES 1,006 • Statements of Income STMT INCOME 293 • Statements of Cash Flows STMT CASH FLOW 293 • Statements of Changes in Stockholders’, Partners’ and Sole Proprietors’ Equity STMT CHG SH EQY 296 • Statements of Changes in Liabilities Subordinated to Claims of Creditors STMT CHG SUB LIABS 27 • Notes to Financial Statements FINAN STMTS NOTES 149 Disclosures: • Computations of Net Capital COMP NET CAP 305 • Computations for Determinations of Reserve Requirements COMP RESERV REQ 147 • Info re: Possession and Control Requirements INFO POS CTRL REQ 116 • Reconciliations (and Statements) of Material Differences (or None) Between FINRA FOCUS Reports and Computations of Net Capital or Computations for Determinations of Reserve Requirements RECONCIL CAP RESERV 17 • Compliance Reports COMPL RPT 66 • Exemption Reports EXEMP RPT 361 • Accountants’ Reports re: Examinations of Statements of Financial Condition ACCT RPT STMT FIN CO 562 • Accountants’ Reports re: Examinations of Financial Reports and Financial Statements ACCT RPT FIN RPT 573 • 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 354 • Supplemental Reports re: Applying Agreed-Upon Procedures for Computing Certain Capital Charges for OTC Derivatives Dealers ANC/OTC AGD PROC 53 • 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 Exhibits, Reports, Workbooks & Data ↑ Broker-Dealer Reports ↑ Top • Correspondence from Accountants re: Non-Reliance on Previously Issued Audit Reports and Completed Interim Reviews EX-7 12,103 • Letters re: Changes in Accountants EX-16 41,519 • Letters re: Changes in Accounting Principles and Practices EX-18 2,979 • Letters re: Unaudited Interim Financial Info EX-15 40,626 • Statements re: Computations of Earnings Per Share EX-11 61,916 • Statements re: Computations of Ratios EX-12 126,660 • Certifications — §302 – SOA’02 EX-31 1,334,114 • Certifications — §906 – SOA’02 EX-32 1,072,857 • IDEA Financial Reports Info (IDEAª, XMLª, XBRLª and iXBRLª Files) XML & R# ° 23,517,639 • IDEA Workbooks of Financial Reports Info (IDEAª Excel® . xls/. xlsx Files) EXCEL 697,309 • XBRL Data (XBRLª and iXBRLª Files) EX-101.***× 3,286,452 • XBRL Instances as JavaScript Object Notation Data (iXBRLª JSONª . json Files) JSON 352,699 • XBRL Zipped Folders (XBRLª and iXBRLª Files in . zip Folders) ZIP 665,596 Graphics ↑ Financials ↑ Top • Photos, Images and Graphs (. jpeg/. jpg, . gif and . png Files) GRAPHIC 17,944,650 Document/Exhibit Type Totals by Period Σ Total: 59,430,896 ____________ ° May be an XMLª, XBRLª or iXBRLª File. (Most XMLª Files are rendered by us using the SEC’s XSLTª Stylesheets — × Must be an XMLª, XBRLª or iXBRLª File. Most XBRLª Files are SEC-created as IDEAª “R# ª Acronyms: IDEA: Interactive Data [XBRL] Apps — The SEC’s renderings of XBRL data. (See our XBRL page info.) 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. 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.
