Exhibit Table

Instructions to the Exhibit Table

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EXHIBIT TABLE
  Securities Act Forms Exchange Act Forms
S-1 S-2 S-3 S-43 S-8 S-11 F-1 F-2 F-3 F-43 10 8-K5 10-D 10-Q 10-K
(1) Underwriting agreement X X X X --- X X X X X --- X --- --- ---
(2) Plan of acquisition, reorganization, arrangement, liquidation or succession X X X X --- X X X X X X X --- X X
(3) (i) Articles of incorporation X --- --- X --- X X --- --- X X X X X X
(ii) By-laws X --- --- X --- X X --- --- X X X X X X
(4) Instruments defining the rights of security holders, including indentures X X X X X X X X X X X X X X X
(5) Opinion re legality X X X X X X X X X X --- --- --- --- ---
(6) [Reserved] N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
(7) Correspondence from an independent accountant regarding non-reliance on a previously issued audit report or completed interim review --- --- --- --- --- --- --- --- --- --- --- X --- --- ---
(8) Opinion re tax matters X X X X --- X X X X X --- --- --- --- ---
(9) Voting trust agreement X --- --- X --- X X --- --- X X --- --- --- X
(10) Material contracts X X --- X --- X X X --- X X --- X X X
(11) Statement re computation of per share earnings X X --- X --- X X X --- X X --- --- X X
(12) Statements re computation of ratios X X X X --- X X X --- X X --- --- --- X
(13) Annual report to security holders, Form 10-Q and 10-QSB, or quarterly report to security holdersą --- X --- X --- --- --- --- --- --- --- --- --- --- X
(14) Code of Ethics --- --- --- --- --- --- --- --- --- --- --- X --- --- X
(15) Letter re unaudited interim financial information X X X X X X X X X X --- --- --- X ---
(16) Letter re change in certifying accountant4 X X --- X --- X --- --- --- --- X X --- --- X
(17) Correspondence on departure of director --- --- --- --- --- --- --- --- --- --- --- X --- --- ---
(18) Letter re change in accounting principles --- --- --- --- --- --- --- --- --- --- --- --- --- X X
(19) Report furnished to security holders --- --- --- --- --- --- --- --- --- --- --- --- --- X ---
(20) Other documents or statements to security holders --- --- --- --- --- --- --- --- --- --- --- X --- --- ---
(21) Subsidiaries of the registrant X --- --- X --- X X --- --- X X --- --- --- X
(22) Published report regarding matters submitted to vote of security holders --- --- --- --- --- --- --- --- --- --- --- --- X X X
(23) Consents of experts and counsel X X X X X X X X X X --- X2 X2 X2 X2
(24) Power of attorney X X X X X X X X X X X X X X X
(25) Statement of eligibility of trustee X X X X --- X X X X X --- --- --- --- ---
(26) Invitations for competitive bids X X X X --- --- X X X X --- --- --- --- ---
(27) through (30) [Reserved]                              
(31) (i) Rule 13a-14(a)/ 15d-14(a) Certifications
(ii) Rule 13a-14(d)/ 15d-14(d) Certifications6
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(32) Section 1350 Certifications6 --- --- --- --- --- --- --- --- --- --- --- --- --- X X
(33) Report on assessment of compliance with servicing criteria for asset-backed securities --- --- --- --- --- --- --- --- --- --- --- --- --- --- X
(34) Attestation report on assessment of compliance with servicing criteria for asset-backed securities --- --- --- --- --- --- --- --- --- --- --- --- --- --- X
(35) Servicer compliance statement --- --- --- --- --- --- --- --- --- --- --- --- --- --- X
(36) through (98) [Reserved] N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
(99) Additional exhibits X X X X X X X X X X X X X X X
(100) XBRL-Related Documents                     X X   X X

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1 Where incorporated by reference into the text of the prospectus and delivered to security holders along with the prospectus as permitted by the registration statement; or, in the case of the Form 10-K, where the annual report to security holders is incorporated by reference into the text of the Form 10-K.

2 Where the opinion of the expert or counsel has been incorporated by reference into a previously filed Securities Act registration statement.

3 An exhibit need not be provided about a company if: (1) with respect to such company an election has been made under Form S-4 or F-4 to provide information about such company at a level prescribed by Form S-2, S-3, F-2 or F-3; and (2) the form, the level of which has been elected under Form S-4 or F-4, would not require such company to provide such exhibit if it were registering a primary offering.

4 If required pursuant to Item 304 of Regulation S-K.

5 A Form 8-K Exhibit is required only if relevant to the subject matter reported on the Form 8-K report. For example, if the Form 8-K pertains to the departure of a director, only the exhibit described in paragraph (b)(17) of this section need be filed. A required exhibit may be incorporated by reference from a previous filing.

6 Pursuant to §§ 240.13a-13(b)(3) and 240.15d-13(b)(3) of this chapter, asset-backed issuers are not required to file reports on Form 10-Q.

Return to Final Rule Rel. No. 33-8529

 

 

http://www.sec.gov/rules/final/33-8529-table.htm

Modified: 03/07/2005