• Description Document/Exhibit Type Documents (→Latest) Letters — SEC Comment Letters & Correspondence (Delayed Release) ↑ Top • Comment and Other Letters from the SEC [ in Filings UPLOAD & SEC LETTER ] LETTER 186,118 • Comment and Other Letters from the SEC – PDFs’ Text [ a.k.a. Document LETTER ] TEXT-EXTRACT 37,184 • Comment-Response and Other Letters to the SEC [ a.k.a. Document COVER ] CORRESP 240,882 • 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 805 • SEC Staff Actions – Uncategorized Actions [ in Filing SEC ACTION ] STAFF ACTION 1 • 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 1,597 • SEC Staff Letters – Serious Deficiencies [ in Filing SEC LETTER ] SERIOUS DEFICIENCIES 23 • 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 × 192 • 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 214 • Annual Reports – Part II — Form 1-K – Reg. A PART II 1,616 • Offering Statements – Parts II and III — Form 1-A – Reg. A/A+ PART II AND III 8,547 • Portfolio Holdings Schedules — Form N-PORT [ formerly Filing NPORT-EX ] NPORT-EX 120,056 • Portfolio Securities Holdings – Info Tables — Form 13F INFORMATION TABLE × 235,655 • Specialized Disclosures re: the Holding Foreign Companies Accountable Act HFCAA-GOV 13 General Exhibits (Regs. ↑ Form-Specific Documents ↑ Top • Annual and Quarterly Reports to Security Holders EX-13 58,426 • Articles of Incorporation/Organization and Bylaws (and mislabeled “3rd ” Exhibits) EX-3 314,319 • Clawback Policies re: Recovery of Erroneously Awarded Compensation EX-97 4,170 • Codes of Ethics EX-14 20,197 • Consents of Experts and Counsel EX-23 777,411 • Correspondence re: Departures of Directors EX-17 6,865 • Filing Fees EX-FILING FEES 99,045 • Info from Reports Furnished to State Insurance Regulators EX-28 3,491 • Instruments, Including Indentures, Defining the Rights of Security Holders EX-4 452,841 • Invitations for Competitive Bids EX-26 1,488 • Material Contracts EX-10 1,672,620 • Mine-Safety Disclosures EX-95 4,769 • Mining Disclosures EX-96 697 • Opinions of Counsel re: Discounts on Capital Shares EX-6 9,343 • Opinions of Counsel re: Legality EX-5 330,931 • Opinions of Counsel re: Tax Matters EX-8 68,981 • Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions (and mislabeled “2nd ” Exhibits) EX-2 133,086 • Powers of Attorney EX-24 502,471 • Published Reports re: Matters Submitted to Votes of Security Holders EX-22 6,309 • Reports Furnished to Security Holders EX-19 5,356 • Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2 EX-25 34,044 • Subsidiaries Lists EX-21 167,013 • Underwriting Agreements (and mislabeled “1st ” Exhibits) EX-1 174,311 • Voting Trust Agreements EX-9 12,446 • Other Documents and Statements Furnished to Security Holders EX-20 40,185 ABS Exhibits — Asset-Backed Securities ↑ General Exhibits ↑ Top • Assets Data (some are very large XMLª Files) EX-102 ° 44,321 • Assets Data-Related Info (XMLª Files) EX-103 ° 44,241 • Attestation Reports on Assessments of Compliance with Servicing Criteria EX-34 57,577 • Depositor Certifications for Shelf Offerings EX-36 1,312 • Reports of Compliance with Servicing Criteria EX-33 58,155 • Servicer Compliance Statements EX-35 31,515 • Static Pools EX-106 9 Additional Exhibits (Miscellaneous & Form-Specific) ↑ ABS Exhibits ↑ Top • Miscellaneous Exhibits, such as Press Releases EX-99 4,386,236 • Form-Specific Exhibits EX-99.**** * * (More Form-Specific Exhibits Below ⇓ EX-99.**** * * Subsets 732,129 Please Sign In to see the 177 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 4,113 • Articles of Incorporation/Organization — Form 1-K EX1K-2A CHARTER 71 • Articles of Incorporation/Organization — Form 1-SA EX1SA-2A CHARTER 70 • Articles of Incorporation/Organization — Form 1-U EX1U-2A CHARTER 70 • Bylaws — Form 1-A EX1A-2B BYLAWS 1,919 • Bylaws — Form 1-K EX1K-2B BYLAWS 22 • Bylaws — Form 1-SA EX1SA-2B BYLAWS 22 • Bylaws — Form 1-U EX1U-2B BYLAWS 18 • 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 4,767 • Consents of Experts and Counsel — Form 1-K EX1K-11 CONSENT 379 • Consents of Experts and Counsel — Form 1-SA EX1SA-11 CONSENT 25 • Consents of Experts and Counsel — Form 1-U EX1U-11 CONSENT 2 • Escrow Agreements — Form 1-A EX1A-8 ESCW AGMT 960 • 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 2,496 • 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 120 • Letters re: Changes in Accountants — Form 1-A EX1A-9 ACCT LTR 107 • 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 20 • Letters re: Changes in Accountants — Form 1-U EX1U-9 ACCT LTR 78 • Material Contracts — Form 1-A EX1A-6 MAT CTRCT 10,846 • Material Contracts — Form 1-K EX1K-6 MAT CTRCT 502 • Material Contracts — Form 1-SA EX1SA-6 MAT CTRCT 428 • Material Contracts — Form 1-U EX1U-6 MAT CTRCT 503 • Opinions of Counsel re: Legality — Form 1-A EX1A-12 OPN CNSL 4,239 • 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 5 • 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 14 • 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 3,488 • Subscription Agreements — Form 1-K EX1K-4 SUBS AGMT 27 • Subscription Agreements — Form 1-SA EX1SA-4 SUBS AGMT 44 • 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 4 • Test-the-Waters Materials — Form 1-A EX1A-13 TST WTRS 1,531 • 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 1,178 • 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 56 • Voting Trust Agreements — Form 1-A EX1A-5 VOTG TRST 98 • Voting Trust Agreements — Form 1-K EX1K-5 VOTG TRST 2 • Voting Trust Agreements — Form 1-SA EX1SA-5 VOTG TRST 5 • Miscellaneous Exhibits, such as Press Releases Forms 1-* ADD EXHB 6,836 • Miscellaneous Exhibits, such as Press Releases Form 1-A EX1A-15 ADD EXHB 1,683 • Miscellaneous Exhibits, such as Press Releases Form 1-K EX1K-15 ADD EXHB 2 • Miscellaneous Exhibits, such as Press Releases Form 1-SA EX1SA-15 ADD EXHB 48 • Miscellaneous Exhibits, such as Press Releases Form 1-U EX1U-15 ADD EXHB 361 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 503 • Indirect Owners — Form BD – Sch. B ATS-N EX-2 SCHD B BD 502 • Redline Changes — Form BD – Sch. A & B Δ ATS-N EX-3 REDLINE 539 • 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 19,876 • Changes in Accounting Principles and Practices CHG ACCT PRINCIPLES 8 • Codes of Ethics CODE OF ETHICS 4 • Info Pursuant to SEC Exemption Orders EXEMPT ORDER INFO 2,168 • Instruments Defining the Rights of Holders of New or Amended Securities INST DEFINING RIGHTS 307 • Investment Advisor Contracts ADVISORY CONTRACTS 631 • Late-Filing Reports — Reg. S-K – Item 405 ITEM 405 REG S-K 254 • Legal Proceedings LEGAL PROCEEDINGS 453 • Material Amendments to Organizational Documents MATERIAL AMENDMENTS 989 • Provisions of Financial Support FINANCIAL SUPPORT 157 • Other Info OTHER REQUIRED INFO 723 Broker-Dealer Reports — Form X-17A-5 – Annual Financial Report ↑ Investment Company Exhibits ↑ Top Statements: • Annual Financial Reports (Full) FULL 11,657 • 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 12,172 • Letters re: Changes in Accountants EX-16 41,879 • Letters re: Changes in Accounting Principles and Practices EX-18 2,989 • Letters re: Unaudited Interim Financial Info EX-15 41,329 • Statements re: Computations of Earnings Per Share EX-11 62,007 • Statements re: Computations of Ratios EX-12 127,571 • Certifications — §302 – SOA’02 EX-31 1,347,578 • Certifications — §906 – SOA’02 EX-32 1,083,178 • Financial Data Schedules {Pre-XBRL} EX-27 604,663 • IDEA Financial Reports Info (IDEAª, XMLª, XBRLª and iXBRLª Files) XML & R# ° 24,276,696 • IDEA Workbooks of Financial Reports Info (IDEAª Excel® . xls/. xlsx Files) EXCEL 727,503 • XBRL Data {Voluntary} (XBRLª Files) EX-100.*** × 4,463 • XBRL Data (XBRLª and iXBRLª Files) EX-101.*** × 3,409,729 • XBRL Instance Document Content Listings RENDERED XBRL 2 • XBRL Instances as JavaScript Object Notation Data (iXBRLª JSONª . json Files) JSON 386,721 • XBRL Zipped Folders (XBRLª and iXBRLª Files in . zip Folders) ZIP 699,619 Graphics ↑ Financials ↑ Top • Photos, Images and Graphs (. jpeg/. jpg, . gif and . png Files) GRAPHIC 18,567,573 See Document/Exhibit Type Totals by Time Periods Σ Total: 61,878,269 ____________ T This Document/Exhibit Type is no longer filed, or it was replaced with a different Type. (9 of them) ° 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 via “R# ” Financial Reports – since 2009. (See our XBRL page .) 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 – since 2005-08 (EX-100 & EX-101). iXBRL: Inline eXtensible Business Reporting Language — An XBRL financial-data-interchange standard – since 2016. i JSON: JavaScript Object Notation — A lightweight data-interchange standard used to encode iXBRL data – since 2016.
