As a filer, you will first need to determine whether you must meet your filing obligation via
Agency decision
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What actually matters in this document.
Text
3. INDEX TO FORMS
As a filer, you will first need to determine whether you must meet your filing obligation via
EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for
Electronic Filings, outline which filings are mandated as electronic. This means that they must be
filed on EDGAR unless there is a case for Temporary or Continuing Hardship. (The rules for
each form and hardship exemptions may differ, so please see the regulation for specific
information.) Once you determine the form you need to file is electronic, then you need to
identify the submission type to use. For each submission type, there are specific tools that you
can use.
As the EDGAR system has evolved using new technologies, tools have been added, changed,
and sometimes updated. There is no longer a single tool for preparing an EDGAR submission.
Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic
submission types easily if all you know is the submission form type. Included in the last two
columns is detailed information about the tools that are used to create and/or assemble the filing.
The second index is easiest to use if you are more comfortable looking up your submission type
by Act.
Before using the indexes, it is important to understand the difference between the Code of
Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission
Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of
the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form
variations filers use on the electronic filing system to fulfill their filing obligation. For example,
the paper Form 15 is implemented on EDGAR as a number of different submission types
including: 15-12B, 15-12G, and 15-15D. The last three digits represent the section of the 34 Act
under which the filer is obligated to file periodic reports.
Using either Index, find the submission type, check that the description of the form matches your
understanding of the purpose of the form, and identify the tool that should be used to create the
form. The options in this column are EDGARLink Online, and Online Forms. There is a section
in this manual describing in detail each of these tools. Chapter 7, “Preparing and Transmitting
EDGARLink Online Submissions,” describes EDGARLink Online. Chapter 8, “Preparing and
Transmitting Online Submissions,” describes online submissions using the EDGAR Online
Forms Website and EDGAR Filing Website. The column entitled Filer-Constructed Technical
Specifications should only be used by filers who want to create their submissions without the use
of EDGAR tools. These Technical Specifications are available on the SEC’s Public Website. The
Technical Specifications are delivered separately and are not part of the Filer Manual.
Note: In Section 3.1, “Alpha/Numeric” for simplicity we include both the initial form and the
associated amendment in the Submission Type column.
December 2020
3-1
EDGAR Filer Manual (Volume II)
3.1
Alpha/Numeric
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
1-A, 1-A/A
Offering statement under Regulation A
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-A POS
Post-qualification amendment to a 1-A offering
statement
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-A-W, 1-A-W/A
Withdrawal of offering statement under Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-E, 1-E/A
Notification under Regulation E by small business
investment companies and business development
companies.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-E AD, 1-E AD/A
Sales material filed pursuant to Rule 607 under
Regulation E.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-K, 1-K/A
Annual Report Pursuant to Regulation A
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-SA, 1-SA/A
Semiannual Report Pursuant to Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-U, 1-U/A
Current Report pursuant to Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-Z, 1-Z/A
Exit Report under Regulation A
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-Z-W, 1-Z-W/A
Withdrawal of Exit Report under Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-2
December 2020
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
253G1
Reflects information previously omitted from the
offering circular in reliance on Rule 253(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G2
Reflects information that constitutes a substantive
EDGARLink
change from or addition to the information set forth in Online
the last offering circular
EDGARLink
Online XML
Technical
Specification
253G3
Reflects information covered in both 253G1 and
253G2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G4
Reflects information covered in 253G1, 253G2 or
253G3 that is not being timely filed
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
2-E, 2-E/A
Report of sales of securities pursuant to Rule 609
under Regulation E.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-12B, 10-12B/A
Initial general form for registration of a class of
securities pursuant to Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-12G, 10-12G/A
Initial general form for registration of a class of
securities pursuant to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-D, 10-D/A
Periodic distribution reports by asset-backed issuers
pursuant to Rule 13a-17 or 15d-17
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-K, 10-K/A
Annual report pursuant to Section 13 and 15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-KT, 10-KT/A
Transition report pursuant to Rule 13a-10 or 15d-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-Q, 10-Q/A
Quarterly report pursuant to Section 13 or 15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-3
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
10-QT, 10-QT/A
Transition report pursuant to Rule 13a-10 or 15d-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
11-K, 11-K/A
Annual report of employee stock purchase, savings
and similar plans
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
11-KT, 11-KT/A
Transition report pursuant to rule 13a-10 or 15d-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings Report filed by
institutional managers
EDGAR
Filing
Website
Online Forms
EDGAR
Form 13F
XML
Technical
Specification
EDGAR
Form 13F
XML
Technical
Specification
13F-NT, 13F-NT/A
Initial Quarterly Form 13F Notice Report filed by
institutional managers
EDGAR
Filing
Website
Online Forms
13H, 13H-Q,
13H-A, 13H-I,
13H-R, 13H-T
Large Trader Registration Information Required of
Large Traders Pursuant to the Securities Exchange
Act of 1934 and Rule 13h-1 Thereunder. Initial Filing
(13H), Amended Filing (13H-Q), Annual Filing (13HA), Inactive Status (13H-I), Reactivated Status (13HR), and Termination Filing (13H-T)
EDGAR
N/A
Filing
Website
Online Forms
144, 144/A
Filing for proposed sale of securities under Rule 144
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15-12B, 15-12B/A
Notice of termination of registration of a class of
securities under Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15-12G, 15-12G/A
Notice of termination of registration of a class of
securities under Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15-15D, 15-15D/A
Notice of suspension of duty to file reports pursuant
to Section 13 and 15(d) of the Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-4
December 2020
Tool/
Template
Number
FilerConstructed
Form Spec.
15F-12B,
15F-12B/A
Notice of termination by a Foreign Private Issuer of a EDGARLink
class of equity securities under Section 12(b)
Online
EDGARLink
Online XML
Technical
Specification
15F-12G,
15F-12G/A
Notice of termination of a foreign private issuer’s
registration of a class of securities under Section
12(g).
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15F-15D,
15F-15D/A
Notice of a foreign private issuer’s suspension of
duty to file reports pursuant to Section 13 and 15(d)
of the Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
17HACON,
17HACON/A
Confidential broker dealer annual 17-H report
EDGAR
Filing
Website
Online Forms
EDGAR
Form 17-H
XML
Technical
Specification
17HQCON,
17HQCON/A
Confidential broker dealer quarterly 17-H report
EDGAR
Filing
Website
Online Forms
EDGAR
Form 17-H
XML
Technical
Specification
18-12B, 18-12B/A
Form for initial registration of securities of foreign
governments or political subdivisions pursuant to
Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18-12G, 18-12G/A
Form for initial registration of securities of foreign
governments or political subdivisions thereof
pursuant to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18-K, 18-K/A
Annual report for foreign governments and political
subdivisions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20-F, 20-F/A
Annual and transition report of foreign private issuers EDGARLink
pursuant to Section 13 or 15(d)
Online
EDGARLink
Online XML
Technical
Specification
20FR12B,
20FR12B/A
Form for initial registration of a class of securities of
foreign private issuers pursuant to Section 12(b)
EDGARLink
Online XML
Technical
Specification
Submission Type
December 2020
Description
3-5
EDGARLink
Online
EDGAR Filer Manual (Volume II)
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
20FR12G,
20FR12G/A
Form for initial registration of a class of securities of
foreign private issuers pursuant to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
24F-2NT,
24F-2NT/A
Rule 24F-2 notice filed on Form 24F-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
25, 25/A
Notification filed by issuer to voluntarily withdraw a
class of securities from listing and registration on a
national securities exchange
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
25-NSE, 25-NSE/A Notification filed by national security exchange to
report the removal from listing and registration of
matured, redeemed or retired securities
Distributed to
National
Securities
Exchanges
only
Distributed to
National
Securities
Exchanges
only
3, 3/A
Initial statement of beneficial ownership of securities
Online Forms EDGAR
Ownership
XML
Technical
Specification
305B2, 305B2/A
Application for designation of a new trustee under
the Trust Indenture Act
EDGARLink
Online
4, 4/A
Statement of changes in beneficial ownership of
securities
Online Forms EDGAR
Ownership
XML
Technical
Specification
40-6B, 40-6B/A
Application under the Investment Company Act by an EDGARLink
employees’ securities company
Online
EDGARLink
Online XML
Technical
Specification
40-17F1,
40-17F1/A
Initial certificate of accounting of securities and
EDGARLink
similar investments in the custody of management
Online
investment companies filed pursuant to Rule 17f-1 of
the Investment Company Act of 1940 filed on Form
N-17F-1
EDGARLink
Online XML
Technical
Specification
40-17F2,
40-17F2/A
Initial certificate of accounting of securities and
EDGARLink
similar investments in the custody of management
Online
investment companies filed pursuant to Rule 17f-2 of
the Investment Company Act of 1940 filed on Form
N-17F-2
EDGARLink
Online XML
Technical
Specification
Submission Type
EDGAR Filer Manual (Volume II)
3-6
EDGARLink
Online XML
Technical
Specification
December 2020
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
40-17G, 40-17G/A
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the
Investment Company Act of 1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-17GCS,
4017GCS/A
Filings of claim or settlement pursuant to rule 17g1(g)(1)(2) or (3) of the Investment Company Act of
1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-24B2,
40-24B2/A
Filing of sales literature pursuant to Rule 24b2 under
the Investment Company Act of 1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-33, 40-33/A
Copies of all stockholder derivative actions filed with EDGARLink
a court against an investment company or an affiliate Online
thereof pursuant to Section 33 of the Investment
Company Act of 1940
EDGARLink
Online XML
Technical
Specification
40-8B25
Document or report
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-8F-2, 40-8F-2/A Initial application for de-registration pursuant to
Investment Company Act Rule 0-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-APP, 40-APP/A Applications under the Investment Company Act
other than those reviewed by Office of Insurance
Products
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-F, 40-F/A
Annual reports filed by certain Canadian issuers
pursuant to Section 15(d) and Rule 15d-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40FR12B,
40FR12B/A
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(b) of the
1934 Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40FR12G,
40FR12G/A
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(g) of the
1934 Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-OIP, 40-OIP/A
Applications under the Investment Company Act
reviewed by Office of Insurance Products
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-7
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
424A
Prospectus filed pursuant to Rule 424(a)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B1
Prospectus filed pursuant to Rule 424(b)(1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B2
Prospectus filed pursuant to Rule 424(b)(2)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B3
Prospectus filed pursuant to Rule 424(b)(3)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B4
Prospectus filed pursuant to Rule 424(b)(4)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B5
Prospectus filed pursuant to Rule 424(b)(5)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B7
Prospectus filed pursuant to Rule 424(b)(7)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B8
Prospectus filed pursuant to Rule 424(b)(8)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424H, 424H/A
Preliminary Prospectus filed pursuant to Rule 424(h)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
425
Filing under Securities Act Rule 425 of certain
prospectuses and communications in connection
with business combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
485APOS
Post-effective amendment filed pursuant to
Securities Act Rule 485(a) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-8
December 2020
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
485BPOS
Post-effective amendment filed pursuant to
Securities Act Rule 485(b) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
485BXT
Post-effective amendment filed pursuant to
Securities Act Rule 485(b)(1)(iii) to designate a new
effective date for a post-effective amendment
previously filed pursuant to Securities Act Rule
485(a) (this filing cannot be submitted as a 1940 Act
only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
486APOS
Post-effective amendment to filing filed pursuant to
Securities Act Rule 486(a) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
486BPOS
Post-effective amendment to filing filed pursuant to
Securities Act Rule 486(b) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
486BXT
Post-effective amendment filed pursuant to
Securities Act Rule 486(b)(1)(iii) to designate a new
effective date for a post-effective amendment
previously filed pursuant to Securities Act Rule
486(a) (this filing cannot be submitted as a 1940 Act
only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
487
Pre-effective pricing amendment filed pursuant to
Securities Act Rule 487
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497
Definitive materials filed under paragraph (a), (b), (c), EDGARLink
(d), (e) or (f) of Securities Act Rule 497
Online
EDGARLink
Online XML
Technical
Specification
497AD
Filing by certain investment companies of Securities
Act Rule 482 advertising in accordance with
Securities Act Rule 497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497H2
Filings made pursuant to Rule 497(h)(2)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497J
Certification of no change in definitive materials
under paragraph (j) of Securities Act Rule 497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-9
EDGAR Filer Manual (Volume II)
Tool/
Template
Number
FilerConstructed
Form Spec.
497K
Summary Prospectus for certain open-end
EDGARLink
management investment companies filed pursuant to Online
Securities Act Rule 497(k)
EDGARLink
Online XML
Technical
Specification
497VPI
Initial summary prospectus for variable contracts filed EDGARLink
pursuant to Securities Act Rule 497(k)
Online
EDGARLink
Online XML
Technical
Specification
497VPU
Updating summary prospectus for variable contracts
filed pursuant to Securities Act Rule 497(k)
EDGARLink
Online XML
Technical
Specification
5, 5/A
Annual statement of changes in beneficial ownership Online Forms EDGAR
Ownership
of securities
XML
Technical
Specification
6-K, 6-K/A
Current report of foreign issuer pursuant to Rules
13a-16 and 15d-16 Amendments
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-A12B, 8-A12B/A
Form for the registration / listing of a class of
EDGARLink
securities on a national securities exchange pursuant Online
to Section 12(b)
EDGARLink
Online XML
Technical
Specification
Submission Type
Description
EDGARLink
Online
8-A12G, 8-A12G/A Form for registration of a class of securities pursuant
to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K, 8-K/A
Current report filing
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K12B, 8-K12B/A
Notification that a class of securities of successor
issuer is deemed to be registered pursuant to
Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K12G3,
8-K12G3/A
Notification that a class of securities of successor
issuer is deemed to be registered pursuant to
Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-10
December 2020
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
8-K15D5,
8-K15D5/A
Notification of assumption of duty to report by
successor issue under Section 15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ABS-15G,
ABS-15G/A
Asset-backed securities report pursuant to Section
15G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ABS-EE,
ABS-EE/A
Form for Submission of Electronic Exhibits in assetbacked securities offerings
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification,
EDGAR ABS
XML
Technical
Specification
ANNLRPT,
ANNLRPT/A
Periodic Development Bank filing, submitted annually EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
APP WD,
APP WD/A
Withdrawal of an application for exemptive or other
relief from the federal securities laws
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ARS, ARS/A
Annual report to security holders
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ATS-N
Initial Form ATS-N (Rule 304(a)(1)(i))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N/CA
Correcting Amendment (Rule 304(a)(2)(i)(C))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N/MA
Material Amendment (Rule 304(a)(2)(i)(A))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
December 2020
3-11
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
ATS-N/OFA
Order Display and Fair Access Amendment (Rule
304(a)(2)(i)(D))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N/UA
Updating Amendment (Rule 304(a)(2)(i)(B))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N-C
Notice of Cessation (Rule 304(a)(3))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N-W
Withdrawal of Form ATS-N filing
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
AW
Withdrawal of amendment to a registration statement EDGARLink
filed under the Securities Act
Online
EDGARLink
Online XML
Technical
Specification
AW WD
Withdrawal of a request for withdrawal of an
amendment to a registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
BULK
Bulk Submission
EDGARLink
Online
C, C/A
Offering Statement
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-W
Offering Statement Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C/A-W
Amendment to Offering Statement Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-12
December 2020
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
C-U
Progress Update
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-U-W
Progress Update Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-AR, C-AR/A
Annual Report
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-AR-W
Annual Report Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-AR/A-W
Amendment to Annual Report Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-TR
Termination of Reporting
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-TR-W
Termination of Reporting Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
CB, CB/A
Notification form filed in connection with certain
EDGARLink
tender offers, business combinations and rights
Online
offerings, in which the subject company is a foreign
private issuer of which less than 10% of its securities
are held by U.S. persons
EDGARLink
Online XML
Technical
Specification
CERT
Certification by an exchange approving securities for
listing
EDGARLink
Online
N/A
CFPORTAL,
CFPORTAL/A
Application for registration of funding portal
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
December 2020
3-13
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
CFPORTAL-W
Withdrawal of the funding portal’s registration
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
CORRESP
A correspondence can be sent as a document with
another submission type or can be sent as a
separate submission.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
D, D/A
Official notice of an offering of securities that is made Online Forms
without registration under the Securities Act in
reliance on an exemption provided by Regulation D
and Section 4(a)(5) under the Act.
EDGAR
Form D XML
Technical
Specification
DEF 14A
Definitive proxy statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEF 14C
Definitive information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFA14A
Definitive additional proxy soliciting materials
including Rule 14(a)(12) material. Note: Submission
type DEFA14A can be filed as part of Form 8-K. For
filers subject to 8-K filing requirements, we
recommend the use of the 8-K combined form type
as the easiest method for fulfilling your filing
requirement for both forms.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFA14C
Definitive additional information statement materials
including Rule 14(a)(12) material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14A
Definitive proxy statement in connection with
contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14C
Definitive information statement - contested
solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFM14A
Definitive proxy statement relating to a merger,
acquisition, or disposition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-14
December 2020
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
DEFM14C
Definitive information statement relating to merger or
acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFN14A
Definitive proxy statement filed by non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFR14A
Definitive revised proxy soliciting materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFR14C
Definitive revised information statement materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEL AM
Separately filed delaying amendment under
Securities Act Rule 473 to delay effectiveness of a
1933 Act registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DFAN14A
Definitive additional proxy soliciting materials filed by
non-management including Rule 14(a)(12) material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DFRN14A
Revised definitive proxy statement filed by nonmanagement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DOS, DOS/A
Non-public draft offering statement under Regulation
A
EDGAR
Filing
Website
N/A
DOSLTR
Draft Offering Statement Letter
EDGARLink
Online
N/A
DRS, DRS/A
Draft registration statement submitted by Emerging
Growth Company under Securities Act Section 6(e)
or by Foreign Private Issuer under Division of
Corporation Finance policy
EDGARLink
Online
N/A
DRSLTR
Correspondence Related to Draft Registration
Statement
EDGARLink
Online
N/A
DSTRBRPT,
DSTRBRPT/A
Distribution of primary obligations Development Bank EDGARLink
report
Online
Submission Type
December 2020
3-15
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
F-1, F-1/A
Registration statement for securities of certain
foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10, F-10/A
Registration statement for securities of certain
Canadian issuers under the Securities Act of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10EF
Auto effective registration statement for securities of
certain Canadian issuers under the Securities Act of
1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10POS
Post-effective amendment to a F-10EF registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form F-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3, F-3/A
Registration statement for specified transactions by
certain foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3ASR
Automatic shelf registration statement of securities of EDGARLink
well-known seasoned issuers
Online
EDGARLink
Online XML
Technical
Specification
F-3D
Registration statement for dividend or interest
EDGARLink
reinvestment plan securities of foreign private issuers Online
EDGARLink
Online XML
Technical
Specification
F-3DPOS
Post-Effective amendment to a F-3D registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form F 3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4 POS
Post-effective amendment to a F-4EF registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-16
December 2020
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
F-4, F-4/A
Registration statement for securities issued by
foreign private issuers in certain business
combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4EF
Auto effective registration statement for securities by
certain foreign private issuers in connection with
certain business combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form F 4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6 POS
Post-effective amendment to a F-6EF registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6, F-6/A
Registration statement for American Depositary
Receipts representing securities of certain foreign
private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6EF
Auto effective registration statement for American
Depositary Receipts representing securities of
certain foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7 POS
Post-effective amendment to a F-7 registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7, F-7/A
Registration statement for securities of certain
Canadian issuers offered for cash upon the exercise
of rights granted to existing security holders under
the Securities Act of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8 POS
Post-effective amendment to a F-8 registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8, F-8/A
Registration statement for securities of certain
Canadian issuers to be issued in exchange offers or
a business combination under the Securities Act of
1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-80, F-80/A
Registration of securities of certain Canadian issuers EDGARLink
to be issued in exchange offers or a business
Online
combination under the Securities Act of 1933
EDGARLink
Online XML
Technical
Specification
December 2020
3-17
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
F-80POS
Post-effective amendment to a F-80 registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-N, F-N/A
Notification of the appointment of an agent for
service by certain foreign institutions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
FWP
Filing under Securities Act Rules 163/433 of free
writing prospectuses
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-X, F-X/A
For appointment of agent for service of process by
issuers registering securities
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
IRANNOTICE
Notice of disclosure filed in Exchange Act quarterly
and annual reports pursuant to Section 219 of the
Iran Threat Reduction and Syria Human Rights Act
of 2012 and Section 13(r) of the Exchange Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
MA, MA-A, MA/A
Municipal Advisor registration required pursuant to
Section 15B(a)(2) of the Securities Exchange Act of
1934 and the Rules Thereunder. Application for
Municipal Advisor Registration (MA), Annual Update
of Municipal Advisor Registration (MA-A), and
Amendment of a Prior Application for Registration
(MA/A)
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MA-I, MA-I/A
Information Regarding Natural Persons Who Engage EDGAR
in Municipal Advisory Activities, and Amendment of a Filing
Website
Previously Submitted Form MA-I
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MA-W
Notice of Withdrawal from Registration as a
Municipal Advisor
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MODULE
Module Submission
EDGARLINK EDGARLink
Online XML
Online
Technical
Specification
N-14 8C,
N-14 8C/A
Initial registration statement filed on Form N14 by
closed-end investment company (business
combinations)
EDGARLink
Online
EDGAR Filer Manual (Volume II)
3-18
EDGARLink
Online XML
Technical
Specification
December 2020
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
N-14, N-14/A
Initial registration statement filed on Form N14 for
open-end investment company, including those filed
with automatic effectiveness under Rule 488
(business combinations)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-14MEF
A new registration statement filed on Form N14 by
EDGARLink
closed end investment companies filed under
Online
Securities Act Rule 462(b) of up to an additional 20%
of securities for an offering that was registered on
Form N-14
EDGARLink
Online XML
Technical
Specification
N-18F1, N-18F1/A
Initial notification of election pursuant to Rule 18f-1
filed on Form N-18F-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-1A, N-1A/A
Initial registration statement filed on Form N1A for
open-end management investment companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-2, N-2/A
Initial filing of a registration statement on Form N-2
for closed-end investment companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-2ASR
Automatic shelf registration statement on Form N-2
for well-known seasoned issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-2 POSASR
Post-effective amendment to an automatic shelf
registration statement on Form N-2 for well-known
seasoned issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C-2,
N-23C-2/A
Notice by closed-end investment companies of
intention to call or redeem their own securities under
Investment Company Act Rule 23c-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C3A,
N23C3A/A
Notification of periodic repurchase offer Filed
pursuant to Rule 23c-3(b) only
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C3B,
N23C3B/A
Filing pursuant to Rule 23c-3(c) only on Form
N-23C-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C3C,
N23C3C/A
Filing pursuant to Rule 23c-3(b) and (c) on Form
N-23C-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-19
EDGAR Filer Manual (Volume II)
Tool/
Template
Number
FilerConstructed
Form Spec.
N-27D-1,
N-27D-1/A
Accounting for segregated trust accounts on Form N- EDGARLink
27D-1
Online
EDGARLink
Online XML
Technical
Specification
N-2MEF
A new registration statement on Form N-2 filed under EDGARLink
Securities Act Rule 462(b) by closed-end investment Online
companies of up to an additional 20% of securities
for an offering that was registered on Form N-2
EDGARLink
Online XML
Technical
Specification
N-3, N-3/A
Initial registration statement on Form N-3 for
separate accounts (management investment
companies)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-30B-2
Periodic and interim reports mailed to investment
company shareholders (other than annual and semiannual reports mailed to shareholders pursuant to
Rule 30e-1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-30D, N-30D/A
Initial annual and semi-annual reports mailed to
investment company shareholders pursuant to Rule
30e-1 (other than those required to be submitted as
part of Form NCSR.)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-4, N-4/A
Initial registration statement on Form N-4 for
separate accounts (unit investment trusts)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-5, N-5/A
Registration statement for small business investment EDGARLink
companies
Online
EDGARLink
Online XML
Technical
Specification
N-54A, N-54A/A
Notification of election by business development
companies filed on Form N-54A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-54C, N-54C/A
Notification of withdrawal by business development
companies filed on Form N-54C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-6, N-6/A
Registration statement for separate accounts (unit
investment trusts)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-6F, N-6F/A
Notice of intent by business development companies EDGARLink
to elect to be subject to Sections 55 through 65 of
Online
the 1940 Act filed on Form N-6F
EDGARLink
Online XML
Technical
Specification
Submission Type
Description
EDGAR Filer Manual (Volume II)
3-20
December 2020
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
N-8A, N-8A/A
Initial notification of registration under Section 8(a)
filed on Form N-8A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-8B-2, N-8B-2/A
Initial registration statement for unit investment trusts EDGARLink
filed on Form N-8B-2
Online
EDGARLink
Online XML
Technical
Specification
N-8B-3, N-8B-3/A
Initial registration statement for periodic payment
plans filed on Form N-8B-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-8B-4, N-8B-4/A
Initial registration statement for face-amount
certificate companies filed on Form N-8B-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-8F, N-8F/A
Application for deregistration made on Form N-8F
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-CEN, N-CEN/A
Annual Report for Registered Investment Companies EDGAR
Filing
Website
Online Forms
EDGAR
Form N-CEN
XML
Technical
Specification
N-CR, N-CR/A
Current Report of Money Market Fund Material
Events
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-CSR, N-CSR/A
Certified annual shareholder report of registered
EDGARLink
management investment companies filed on Form N- Online
CSR
EDGARLink
Online XML
Technical
Specification
N-CSRS,
N-CSRS/A
Certified semi-annual shareholder report of
registered management investment companies filed
on Form N-CSR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-LIQUID,
N-LIQUID/A
Current Report Open-End Management Investment
Company Liquidity
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
December 2020
3-21
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
N-MFP2,
N-MFP2/A
Monthly Schedule of Portfolio Holdings of Money
Market Funds on Form N-MFP
N/A
EDGAR
Form NMFP2 XML
Technical
Specification
NPORT-EX,
Portfolio Holdings Exhibit to Form N-PORT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N/A
NPORT-NP/A
Monthly Portfolio Investments Report on Form NPORT (Non-Public)
EDGAR
Form NPORT XML
Technical
Specification
NPORT-P,
NPORT-P/A
Monthly Portfolio Investments Report on Form NPORT (Public)
N/A
EDGAR
Form NPORT XML
Technical
Specification
N-PX, N-PX/A
Annual Report of Proxy Voting Record of Registered
Management Investment Companies filed on Form
N-PX
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-CR,
N-PX-CR/A
Annual Form N-PX Combination Report filed by
institutional managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-FM,
N-PX-FM/A
Annual Report of Proxy Voting Record of Registered
Management Investment Companies that includes
proxy votes institutional managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-NT,
N-PX-NT/A
Annual Form N-PX Notice filed by institutional
managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-PX-VR,
N-PX-VR/A
Annual Form N-PX Voting Report filed by institutional EDGARLink
managers
Online
EDGARLink
Online XML
Technical
Specification
N-Q, N-Q/A
Quarterly Schedule of Portfolio Holdings of
Registered Management Investment Company filed
on Form N-Q
EDGARLink
Online XML
Technical
Specification
NPORT-EX/A
NPORT-NP,
EDGAR Filer Manual (Volume II)
3-22
EDGARLink
Online
December 2020
Tool/
Template
Number
FilerConstructed
Form Spec.
NRSRO-UPD
Form NRSRO – Update of Registration for Nationally EDGARLink
Recognized Statistical Rating Organizations
Online
EDGARLink
Online XML
Technical
Specification
NRSRO-CE,
NRSRO-CE/A
Form NRSRO – Annual Certification for Nationally
Recognized Statistical Rating Organizations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NRSRO-FR,
NRSRO-FR/A
Annual Financial/Other Reports for Nationally
Recognized Statistical Rating Organizations, as
required by Rule 17g-3 (Non-Public)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NRSRO-WCLS
Form NRSRO – Withdrawal from Credit Rating Class EDGARLink
for Nationally Recognized Statistical Rating
Online
Organizations
EDGARLink
Online XML
Technical
Specification
NRSRO-WREG
Form NRSRO – Withdrawal from Registration as
Nationally Recognized Statistical Rating
Organization
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 10-K,
NT 10-K/A
Notice under Rule 12b25 of inability to timely file all
or part of a Form 10-K, 10-KSB, or 10-KT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 10-D,
NT 10-D/A
Notice under Rule 12b25 of inability to timely file all
or part of a Form 10-D
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 10-Q,
NT 10-Q/A
Notice under Rule 12b25 of inability to timely file all
or part of a form 10-Q or 10-QSB
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 11-K,
NT 11-K/A
Notice under Rule 12b25 of inability to timely file all
or part of a form 11-K
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 15D2,
NT 15D2/A
Notice under Rule 12b25 of inability to timely file a
special report pursuant to Section 15d-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 20-F,
NT 20-F/A
Notice under Rule 12b25 of inability to timely file all
or part of an annual report of form 20-F
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
December 2020
Description
3-23
EDGAR Filer Manual (Volume II)
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
NT-NCEN,
NT-NCEN/A
Notice under Exchange Act Rule 12b-25 of inability
to timely file Form N-CEN
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT-NCSR,
NTNCSR/A
Notice under Exchange Act Rule 12b-25 of inability
to timely file Form N-CSR (annual or semi-annual
report)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-VP,
N-VP/A
Notice Document for Certain Variable Contracts
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-VPFS,
Financial Statements for Certain Variable Contracts
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS 8C
Post-effective amendment filed under the 1933 Act
only or under both the 1933 and 1940 Acts pursuant
to Section 8(c) of the 1933 Act by closed-end
investment companies (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS AM
Post-effective amendment to a registration statement EDGARLink
that is not immediately effective upon filing
Online
EDGARLink
Online XML
Technical
Specification
POS AMI
Post-effective amendment (for filings made under the EDGARLink
1940 Act only)
Online
EDGARLink
Online XML
Technical
Specification
POSASR
Post-effective Amendment to an automatic shelf
registration statement on Form S-3ASR or Form F3ASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS EX
Post-effective amendment filed solely to add exhibits
to a registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS462B
Post-effective amendment to Securities Act Rule
462(b) registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS462C
Post-effective amendment to a registration statement EDGARLink
filed under Rule 462(c)
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
N-VPFS/A
EDGAR Filer Manual (Volume II)
3-24
December 2020
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
PRE 14A
Preliminary proxy statement not related to a
contested matter or merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRE 14C
Preliminary information statement not related to a
contested matter or merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREC14A
Preliminary proxy statement in connection with
contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREC14C
Preliminary information statements - contested
solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREM14A
Preliminary proxy statement relating to a merger,
acquisition, or disposition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREM14C
Preliminary information statements relating to merger EDGARLink
or acquisition
Online
EDGARLink
Online XML
Technical
Specification
PREN14A
Preliminary proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRER14A
Preliminary revised proxy soliciting materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRER14C
Preliminary revised information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRRN14A
Revised preliminary proxy statement filed by nonmanagement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PX14A6G
Notice of exempt solicitation
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-25
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
PX14A6N
Notice of exempt solicitation for the purpose of
determining whether to solicit proxies, consents, or
authorizations in opposition to a proposed roll-up
transaction filed pursuant to Rule 14a6(g) of the
Securities Exchange Act of 1934
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
QRTLYRPT,
QRTLYRPT/A
Periodic Development Bank filing, submitted
quarterly
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW
Registration Withdrawal Request
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW WD
Withdrawal of a Registration Withdrawal Request
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1, S-1/A
General form of registration statement for all
companies including face-amount certificate
companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11, S-11/A
Registration statement for securities to be issued by
real estate companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-11
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-20, S-20/A
Registration statement for standardized options
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3, S-3/A
Registration statement for specified transactions by
certain issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3ASR
Automatic shelf registration statement of securities of EDGARLink
well-known seasoned issuers
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-26
December 2020
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
S-3D
Automatically effective registration statement for
securities issued pursuant to dividend or interest
reinvestment plans
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3DPOS
Post-effective amendment to a S-3D registration
statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4 POS
Post-effective amendment to a S-4EF registration
statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4, S-4/A
Registration of securities issued in business
combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4EF
Auto effective registration statement for securities
issued in connection with the formation of a bank or
savings and loan holding company in compliance
with General Instruction G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-6, S-6/A
Initial registration statement filed on Form S-6 for unit EDGARLink
investment trusts
Online
EDGARLink
Online XML
Technical
Specification
S-8
Initial registration statement for securities to be
offered to employees pursuant to employee benefit
plans
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-8 POS
Post-effective amendment to a S-8 registration
statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-B, S-B/A
Registration statement for securities of foreign
governments and subdivisions thereof under the
Securities Act of 1933 (Schedule B)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-27
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
S-BMEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SBSE, SBSE/A
Application for Registration of Security-based Swap
EDGAR
Dealers and Major Security-based Swap Participants Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-A,
SBSE-A/A
Application for Registration of Security-based Swap
Dealers and Major Security-based Swap Participants
that are Registered or Registering with the
Commodity Futures Trading Commission as a Swap
Dealer or Major Swap Participant
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-BD,
SBSE-BD/A
Application for Registration of Security-based Swap
EDGAR
Dealers and Major Security-based Swap Participants Filing
Website
that are Registered Broker-dealers
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-C
Certifications for Registration of Security-based
Swap Dealers and Major Security-based Swap
Participants
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-W
Request for Withdrawal from Registration as a
EDGAR
Security-based Swap Dealer or Major Security-based Filing
Website
Swap Participant
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SC 13D, SC 13D/A Schedule filed to report acquisition of beneficial
ownership of 5% or more of a class of equity
securities
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 13E1,
SC 13E1/A
Schedule 13-E1 statement of issuer required by Rule EDGARLink
13e-1
Online
EDGARLink
Online XML
Technical
Specification
SC 13E3,
SC 13E3/A
Schedule filed to report going private transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 13G, SC 13G/A Schedule filed to report acquisition of beneficial
ownership of 5% or more of a class of equity
securities by passive investors and certain
institutions
EDGAR Filer Manual (Volume II)
3-28
December 2020
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
SC 14D9,
SC 14D9/A
Tender offer solicitation/recommendation statements
filed under Rule 14d-9
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 14F1,
SC 14F1/A
Statement regarding change in majority of directors
pursuant to Rule 14f-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 14N, SC 14N/A Information filed by certain nominating shareholders
(pursuant to Section 240 14n-1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 14N-S,
SC 14N-S/A
Solicitation in connection with the formation or
attempted formation of a Rule 14a-11 nominating
shareholder group or solicitation in connection with a
Rule 14a-11 nomination
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC TO-C
Written communication relating to an issuer or third
party tender offer
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC TO-I,
SC TO-I/A
Issuer tender offer statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC TO-T,
SC TO-T/A
Third party tender offer statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC13E4F,
SC13E4F/A
Issuer tender offer statement filed pursuant to Rule
13(e)(4) by foreign issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC14D1F,
SC14D1F/A
Third party tender offer statement filed pursuant to
Rule 14d-1(b) by foreign issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC14D9C
Written communication by the subject company
relating to a third party tender offer
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC14D9F,
SC14D9F/A
Solicitation/recommendation statement pursuant to
Section 14(d)(4) of the Securities Exchange Act of
1934 and Rules 14d-1(b) and 14e-2(c) by foreign
issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
December 2020
3-29
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
SD, SD/A
Specialized Disclosure Report filed pursuant to
Section 1502 of the Dodd-Frank Wall Street Reform
and Consumer Protection Act relating to the use of
conflict minerals (Rule 13p-1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SDR, SDR/A,
SDR-A
Security-based swap data repository registration
pursuant to the Securities Exchange Act of 1934.
Application for Registration as Security-based Swap
Data Repository (SDR), Interim Amendment to
Application for Registration as Security-based Swap
Data Repository (SDR/A), and Annual Amendment to
Application for Registration as Security-based Swap
Data Repository (SDR-A)
EDGAR
Filing
Website
Online Forms
EDGAR SDR
XML
Technical
Specification
SDR-CCO,
SDR-CCO/A
Annual Compliance Report and Financial Report for
a Security-based Swap Data Repository
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SDR-W
Application for Withdrawal from Registration as
Security-based Swap Data Repository
EDGAR
Filing
Website
Online Forms
EDGAR SDR
XML
Technical
Specification
SF-1, SF-1/A
General form of registration statement for all issuers
of asset-backed securities
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-1MEF
A new registration statement filed under Securities
Act Rule 462(b) to add securities to a prior related
effective registration statement filed on Form SF-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-3, SF-3/A
Shelf registration statement for qualified offerings of
asset-backed securities
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-3MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form SF-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SH-ER, SH-ER/A
Weekly Form SH Entries Report Filed by Institutional EDGARLink
Investment Managers
Online
SH-ER
Information
Table XML
Technical
Specification
SH-NT, SH-NT/A
Weekly Form SH Notice Report Filed by Institutional
Investment Managers
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-30
EDGARLink
Online
December 2020
Submission Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
SP 15D2,
SP 15D2/A
Special Financial Report filed under Rule 15d-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SUPPL
Voluntary supplemental material filed pursuant to
EDGARLink
Section 11(a) of the Securities Act of 1933 by foreign Online
issuers
EDGARLink
Online XML
Technical
Specification
T-1, T-2
Note - Forms T-1 and T-2 are not filed as standalone submission types on the EDGAR system. They
are filed as EX-25 (or EX-25/A when amended) to
registration statements.
No info blank cell
No info blank
cell
T-3, T-3/A
Initial application for qualification of trust indentures
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
T-6, T-6/A
Application for determination of eligibility of a foreign
person to act as institutional trustee filed pursuant to
Section 310(a)(1) of the Trust Indenture Act of 1939
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
TA-1, TA-1/A
Application for registration as a transfer agent filed
pursuant to the Securities Exchange Act of 1934
EDGAR
Filing
Website
Online Forms
EDGAR
Form TA-1
XML
Technical
Specification
TA-2, TA-2/A
Annual report of transfer agent activities filed
pursuant to the Securities Exchange Act of 1934
EDGAR
Filing
Website
Online Forms
EDGAR
Form TA-2
XML
Technical
Specification
TA-W
Notice of withdrawal from registration as transfer
agent filed pursuant to the Securities Exchange Act
of 1934
EDGAR
Filing
Website
Online Forms
EDGAR
Form TA-W
XML
Technical
Specification
UNDER, UNDER/A Initial undertaking to file reports
EDGARLink
Template 3
XFDL
Technical
Specification
X-17A-5,
X-17A-5/A
EDGAR
Filing
Website
Online Forms
EDGAR
Form X-17A5 XML
Technical
Specification
December 2020
Information Required of Brokers and Dealers
Pursuant to Section 17 of the Securities Exchange
Act of 1934 and Rules 17a-5 and 17a-12 thereunder
3-31
EDGAR Filer Manual (Volume II)
3.2
Electronic Form Types by Act
This index will allow you to use the filing type to identify the EDGAR submission type and
finally the tool or template you can use to either create or assemble the filing. Each of the tools
and templates are covered in detail in separate sections of this document. The final column
should only be used by filers or software developers who construct filings outside of the SEC
supplied tools. Filer-Constructed Technical Specifications are available on the SEC’s Public
Website. Please refer to these sites to determine if your version of the tool, template, or
document is correct.
Note: Tools, templates, and documents will no longer be marked with a version number relating
to a software release. Some tools may be specific to submission types that remain the
same through several releases, instead of being updated with each new release. Therefore
each tool, template and manual will now be marked with its own version number, specific
to that particular item. You can find the most current versions on the website from which
the tools, templates, and manuals are downloaded. Be sure to verify that you have the
current version before filing.
Issuers are advised that filings with the submission types listed below will receive a “Filing
Date” identical to the EDGAR “Received Date” even if received after 5:30 P.M. Eastern time,
which is different than normal filings. In addition these filings will be disseminated until 10:00
P.M. Eastern time. Normally filings received after 5:30 P.M. Eastern time will receive a filing
date of the next business day and will not be disseminated until the next business day.
The following submission types will receive a filing date identical to the EDGAR “Received
Date” and will be disseminated until 10:00 P.M. Eastern time: 3, 3/A, 4, 4/A, 5, 5/A, F-1MEF,
F-3MEF, F-4MEF, N-14MEF, N-2MEF, POS 462B, S-11MEF, S-1MEF, S-3MEF, S-4MEF,
S-BMEF.
You should send any fee payment made for the above registration statements to the
Commission's lockbox. Additionally, you should submit any fee payment certification that you
are making for the above-listed submission types, pursuant to Rule 111(b), using the
“CORRESP” submission type.
EDGAR Filer Manual (Volume II)
3-32
December 2020
Electronic Form Types by Act
List of Tables
Table 3-1: Securities Act Submission Types Accepted by EDGAR ......................................... 3-34
Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant
to Section 14 Submission Types Accepted by EDGAR ............................................................ 3-53
Table 3-3: Securities Exchange Act – Registration and Report Submission Types Accepted by
EDGAR ...................................................................................................................................... 3-58
Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR ................................ 3-78
Table 3-5: Investment Company Submission Types Accepted by EDGAR ............................. 3-82
Table 3-6: Development Bank Submission Types Accepted by EDGAR ............................... 3-106
Table 3-7: Correspondence Submission Types........................................................................ 3-107
December 2020
3-33
EDGAR Filer Manual (Volume II)
Table 3-1: Securities Act Submission Types Accepted by EDGAR
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
1-A
Offering Statement under Regulation A
1-A
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-A
Pre-qualification amendment for offering
statement under Regulation A
1-A/A
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-A POS
Post-qualification amendment to a 1-A
offering statement
1-A POS
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-A-W
Withdrawal of offering statement under
Regulation A
1-A-W
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-A-W
Amendment to a withdrawal of offering
statement under Regulation A
1-A-W/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-K
Annual Report Pursuant to Regulation A
1-K
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-K
Amendment to Annual Report Pursuant to
Regulation A
1-K/A
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-SA
Semiannual Report Pursuant to
Regulation A
1-SA
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-SA
Amendment to Semiannual Report
Pursuant to Regulation A
1-SA/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-U
Current Report pursuant to Regulation A
1-U
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-34
December 2020
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
1-U
Amendment to Current Report pursuant to
Regulation A
1-U/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-Z
Exit Report under Regulation A
1-Z
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-Z
Amendment to Exit Report under
Regulation A
1-Z/A
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-Z-W
Withdrawal of Exit Report under
Regulation A
1-Z-W
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-Z-W
Amendment to a withdrawal of Exit Report
under Regulation A
1-Z-W/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G1
Reflects information previously omitted
from the offering circular in reliance on
Rule 253(b)
253G1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G2
Reflects information that constitutes a
substantive change from or addition to the
information set forth in the last offering
circular
253G2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G3
Reflects information covered in both
253G1 and 253G2
253G3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G4
Reflects information covered in 253G1,
253G2, or 253G3 that is not being timely
filed
253G4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
C
Offering Statement
C
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Offering Statement Withdrawal
C-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
December 2020
3-35
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
C
Amendment to Offering Statement
C/A
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Amendment to Offering Statement
Withdrawal
C/A-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Progress Update
C-U
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Progress Update Withdrawal
C-U-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Annual Report
C-AR
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Amendment to Annual Report
C-AR/A
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Annual Report Withdrawal
C-AR-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Amendment to Annual Report Withdrawal
C-AR/A-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Termination of Reporting
C-TR
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Termination of Reporting Withdrawal
C-TR-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-36
December 2020
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
CFPORTAL
Initial application of funding portal
CFPORTAL
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
CFPORTAL
Amendment to registration, including a
successor registration
CFPORTAL/A
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
CFPORTAL
Withdrawal of the funding portal’s
registration
CFPORTAL-W
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
D
Official notice of an offering of securities
that is made without registration under the
Securities Act in reliance on an exemption
provided by Regulation D and Section
4a(5) under the Act
D
Online Forms
N/A
D
Amendment
D/A
Online Forms
N/A
DOS
Non-public draft offering statement under
Regulation A
DOS
EDGAR
Filing
Website
N/A
DOS
Non-public draft pre-qualification
amendment for offering statement under
Regulation A
DOS/A
EDGAR
Filing
Website
N/A
DOS
Draft Offering Statement Letter
DOSLTR
EDGARLink
Online
N/A
DRS
Draft registration statement submitted by
Emerging Growth Company under
Securities Act Section 6(e) or by Foreign
Private Issuer under Division of
Corporation Finance policy
DRS
EDGARLink
Online
N/A
DRS
Amended Draft Registration Statement
DRS/A
EDGARLink
Online
N/A
DRS
Correspondence Related to Draft
Registration Statement
DRSLTR
EDGARLink
Online
N/A
December 2020
3-37
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
F-1
Registration statement for securities of
certain foreign private issuers
F-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1
Pre-effective amendment
F-1/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form F-1
F-1MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Registration statement for specified
transactions by certain foreign private
issuers
F-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Pre-Effective amendment
F-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Automatic shelf registration statement of
securities of well-known seasoned issuers
F-3ASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Post-effective Amendment to an
automatic shelf registration statement on
Form S-3ASR or Form F-3ASR
POSASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Registration statement for dividend or
interest reinvestment plan securities of
foreign private issuers
F-3D
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-38
December 2020
CFR Form/
Schedule/
Rule
F-3
Tool/
Template
Number
FilerConstructed
Form Spec.
F-3DPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission
Type
Description
Post-Effective amendment to a
F-3D registration
F-3MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form F-3
F-3MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4
Registration statement for securities
issued by foreign private issuers in certain
business combination transactions
F-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4
Pre-effective amendment
F-4/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4
Auto effective registration statement for
securities by certain foreign private
issuers in connection with certain
business combination transactions
F-4EF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4
Post-effective amendment to a F-4EF
registration
F-4 POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form F-4
F-4MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6
Registration statement for American
Depositary Receipts representing
securities of certain foreign private issuers
F-6
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-39
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
F-6
Pre-effective amendment
F-6/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6
Auto effective registration statement for
American Depositary Receipts
representing securities of certain foreign
private issuers
F 6EF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6
Post-effective amendment to a F-6EF
registration
F-6 POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7
Registration statement for securities of
certain Canadian issuers offered for cash
upon the exercise of rights granted to
existing security holders under the
Securities Act of 1933
F-7
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7
Pre-effective amendment
F-7/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7
Post-effective amendment to a F-7
registration
F-7 POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8
Registration statement for securities of
certain Canadian issuers to be issued in
exchange offers or a business
combination under the Securities Act of
1933
F-8
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8
Pre-effective amendment
F-8/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8
Post-effective amendment to a F-8
registration
F-8 POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-40
December 2020
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
F-10
Registration statement for securities of
certain Canadian issuers under the
Securities Act of 1933
F-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10
Pre-effective amendment
F-10/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10
Auto effective registration statement for
securities of certain Canadian issuers
under the Securities Act of 1933
F-10EF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10
Post-effective amendment to a
F10EF registration
F-10POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-80
Registration of securities of certain
Canadian issuers to be issued in
exchange offers or a business
combination under the Securities Act of
1933
F-80
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-80
Pre-effective amendment
F-80/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1
General form of registration statement for
all companies including face-amount
certificate companies
S-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1
Pre-effective amendment
S-1/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form S-1
S-1MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-41
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
S-1MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Registration statement for specified
transactions by certain issuers
S-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Pre-effective amendment
S-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Automatic shelf registration statement of
securities of well-known seasoned issuers
S-3ASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Post-effective Amendment to an
automatic shelf registration statement on
Form S-3ASR or Form F-3ASR
POSASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Automatically effective registration
statement for securities issued pursuant
to dividend or interest reinvestment plans
S-3D
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Post-effective amendment to a
S-3D registration statement
S-3DPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form S-3
S-3MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4
Registration of securities issued in
business combination transactions
S-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-42
December 2020
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
S-4
Pre-effective amendment
S-4/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4
Auto effective registration statement for
securities issued in connection with the
formation of a bank or savings and loan
holding company in compliance with
General Instruction G
S-4EF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4
Post-effective amendment to a S-4EF
registration statement
S-4 POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form S-4
S-4MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-8
Initial registration statement for securities
to be offered to employees pursuant to
employee benefit plans
S-8
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-8
Post-effective amendment to a S-8
registration statement
S-8 POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11
Registration statement for securities to be
issued by real estate companies
S-11
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11
Pre-effective amendment
S-11/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-43
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
S-11
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form S-11
S-11MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-20
Registration statement for standardized
options
S-20
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-20
Pre-effective amendment
S-20/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-20
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-B
Registration statement for securities of
foreign governments and subdivisions
thereof under the Securities Act of 1933
(Schedule B)
S-B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-B
Pre-effective amendment
S-B/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-B
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-BMEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form S-B
S-BMEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-44
December 2020
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
S-BMEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS462B
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS462C
Post-effective amendment to a
registration statement filed under Rule
462(c)
POS462C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS AM
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS EX
Post-effective amendment filed solely to
add exhibits to a registration statement
POS EX
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-1
General form of registration statement for
all issuers of asset-backed securities
SF-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-1
Pre-effective amendment to an SF-1
registration statement
SF-1/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-1
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-1MEF
A new registration statement filed under
Securities Act Rule 462(b) to add
securities to a prior related effective
registration statement filed on Form SF-1
SF-1MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-3
Shelf registration statement for qualified
offerings of asset-backed securities
SF-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-45
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
SF-3
Pre-effective amendment to an SF-3
registration statement
SF-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-3
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-3MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form SF-3
SF-3MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-46
December 2020
Prospectus Filed Pursuant to Rule 424
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
424A
Prospectus filed pursuant to Rule 424(a)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B1
Prospectus filed pursuant to Rule 424(b)(1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B2
Prospectus filed pursuant to Rule 424(b)(2)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B3
Prospectus filed pursuant to Rule 424(b)(3)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B4
Prospectus filed pursuant to Rule 424(b)(4)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B5
Prospectus filed pursuant to Rule 424(b)(5)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B7
Prospectus filed pursuant to Rule 424(b)(7)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B8
Prospectus filed pursuant to Rule 424(b)(8)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424H
Preliminary Prospectus filed pursuant to Rule
424(h)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424H/A
Amendment to Preliminary Prospectus filed
pursuant to Rule 424(h)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-47
EDGAR Filer Manual (Volume II)
Free Writing Prospectus
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Filing under Securities Act Rules 163/433 of
free writing prospectuses
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission
Type
FWP
EDGAR Filer Manual (Volume II)
3-48
December 2020
Certification by an exchange approving securities for listing
CFR Form/
Schedule/
Rule
CERT
Description
Certification by an exchange approving
securities for listing
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
CERT
EDGARLink
Online
N/A
Tool/
Template
Number
FilerConstructed
Form Spec.
Filings Pursuant to the Trust Indenture Act
CFR Form/
Schedule/
Rule
Submission
Type
Description
305B2
Application for designation of a new trustee
under the Trust Indenture Act
305B2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
305B2
Amendment
305B2/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
T-3
Initial application for qualification of trust
indentures
T-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
T-3
Pre-effective amendment
T-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
T-6
Application for determination of eligibility of a
foreign person to act as institutional trustee
filed pursuant to Section 310(a)(1) of the
Trust Indenture Act of 1939
T-6
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
T-6
Pre-effective amendment
T-6/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Note: Forms T-1 and T-2 are not filed as stand-alone submission types on the EDGAR system.
They are filed as EX-25 (or EX-25/A when amended) to registration statements.
December 2020
3-49
EDGAR Filer Manual (Volume II)
Filings Pursuant to Rule 144
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
144
Filing for proposed sale of securities under
Rule 144
144
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
144
Amendment to Form 144
144/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Note: Form 144 may be filed electronically on
a voluntary basis if the issuer of the
securities is a public company.
EDGAR Filer Manual (Volume II)
3-50
December 2020
Miscellaneous Filings
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
APP WD
Withdrawal of an application for exemptive or
other relief from the federal securities laws
APP WD
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
APP WD
Amendment to Form APP WD
APP WD/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEL AM
Separately filed delaying amendment under
Securities Act Rule 473 to delay
effectiveness of a 1933 Act registration
statement
DEL AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
UNDER
Initial undertaking to file reports
UNDER
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
UNDER
Amendment
UNDER/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SUPPL
Voluntary supplemental material filed
pursuant to Section 11(a) of the Securities
Act of 1933 by foreign issuers
SUPPL
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW
Registration Withdrawal Request
RW
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW WD
Withdrawal of a Registration Withdrawal
Request
RW WD
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
AW
Withdrawal of amendment to a registration
statement filed under the Securities Act
AW
EDGARLink
Online
Specification
EDGARLink
Online XML
Technical
Specification
AW WD
Withdrawal of a request for withdrawal of an
amendment to a registration statement
AW WD
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-51
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
425
Filing under Securities Act Rule 425 of
certain prospectuses and communications in
connection with business combination
transactions
Note: Form 425 can be filed as part of Form
8-K. For filers subject to 8-K filing
requirements, we recommend the use of the
8-K combined form type as the easiest
method for fulfilling your filing requirement for
both forms
425
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-X
For appointment of agent for service of
process by issuers registering securities (if
filed on Form F-8, F-9, F-10 or F-80, or
registering securities or filing periodic reports
on Form 40-F, or by any person filing certain
tender offer documents, or by any person
acting as trustee with respect to securities
registered on form F-7, F-8, F-9 or F-10
F-X
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-X
Amendment
F-X/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-N
Notification of the appointment of an agent
for service by certain foreign institutions
F-N
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-N
Amendment
F-N/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-52
December 2020
Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed
Pursuant to Section 14 Submission Types Accepted by EDGAR
Preliminary Proxy Soliciting Materials
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
PREM14A
Preliminary proxy statement relating to a
merger, acquisition, or disposition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREC14A
Preliminary proxy statement in connection
with contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREN14A
Preliminary proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRE 14A
Preliminary proxy statement not related to
a contested matter or merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Tool/
Template
Number
FilerConstructed
Form Spec.
Submission
Type
Preliminary Information Statements
Submission
Type
Description
PREM14C
Preliminary information statements
relating to merger or acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREC14C
Preliminary information statements –
contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRE 14C
Preliminary information statement not
related to a contested matter or
merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-53
EDGAR Filer Manual (Volume II)
Revised Preliminary Materials
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
PRER14A
Preliminary revised proxy soliciting
materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRRN14A
Revised preliminary proxy statement filed
by non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRER14C
Preliminary revised information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-54
December 2020
Definitive Materials (Proxy Materials)
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
DEFM14A
Definitive proxy statement relating to a
merger, acquisition, or disposition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14A
Definitive proxy statement in connection
with contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFN14A
Definitive proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DFRN14A
Revised definitive proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFR14A
Definitive revised proxy soliciting materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFA14A
Definitive additional proxy soliciting
materials including Rule 14(a)(12) material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Note: Submission type DEFA14A can be
filed as part of Form 8-K. For filers subject
to 8-K filing requirements, we recommend
the use of the 8-K combined form type as
the easiest method for fulfilling your filing
requirement for both forms
DFAN14A
Definitive additional proxy soliciting
materials filed by non-management
including Rule 14(a)(12) material
Note: Submission type DFAN14A can be
filed as part of Form 8-K. For filers subject
to 8-K filing requirements, we recommend
the use of the 8-K combined form type as
the easiest method for fulfilling your filing
requirement for both forms
DEF 14A
December 2020
Definitive proxy statements
3-55
EDGAR Filer Manual (Volume II)
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
PX14A6G
Notice of exempt solicitation
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PX14A6N
Notice of exempt solicitation for the
purpose of determining whether to solicit
proxies, consents, or authorizations in
opposition to a proposed roll-up
transaction filed pursuant to Rule 14a6(g)
of the Securities Exchange Act of 1934
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-56
December 2020
Definitive Materials (Information Statements)
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
DEFM14C
Definitive information statement relating to
merger or acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14C
Definitive information statement –
contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEF 14C
Definitive information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFA14C
Definitive additional information statement
materials including Rule 14(a)(12)
material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFR14C
Definitive revised information statement
materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission
Type
December 2020
3-57
EDGAR Filer Manual (Volume II)
Table 3-3: Securities Exchange Act – Registration and
Report Submission Types Accepted by EDGAR
Registration Statements
CFR Form/
Schedule/
Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
8-A
Form for the registration / listing of a class of
securities on a national securities exchange
pursuant to Section 12(b)
8-A12B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-A
Amendment
8-A12B/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-A
Form for registration of a class of securities
pursuant to Section 12(g)
8-A12G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-A
Amendment
8-A12G/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10
Initial general form for registration of a class
of securities pursuant to Section 12(b)
10-12B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10
Amendment
10-12B/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10
Initial general form for registration of a class
of securities pursuant to Section 12(g)
10-12G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10
Amendment
10-12G/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
13H
Large Trader Registration Information
Required of Large Traders Pursuant to the
Securities Exchange Act of 1934 and Rule
13h-1 Thereunder
13H
EDGAR
N/A
Filing
Website
Online Forms
EDGAR Filer Manual (Volume II)
3-58
December 2020
CFR Form/
Schedule/
Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
13H
Amended Filing
13H-Q
EDGAR
N/A
Filing
Website
Online Forms
13H
Annual Filing
13H-A
EDGAR
N/A
Filing
Website
Online Forms
13H
Inactive Status
13H-I
EDGAR
N/A
Filing
Website
Online Forms
13H
Reactivated Status
13H-R
EDGAR
N/A
Filing
Website
Online Forms
13H
Termination Filing
13H-T
EDGAR
N/A
Filing
Website
Online Forms
20-F
Form for initial registration of a class of
securities of foreign private issuers pursuant
to Section 12(b)
20FR12B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20-F
Amendment
20FR12B/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20-F
Form for initial registration of a class of
securities of foreign private issuers pursuant
to Section 12(g)
20FR12G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20-F
Amendment
20FR12G/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-F
Registration of a class of securities of certain 40FR12B
Canadian issuers pursuant to Section 12(b)
of the 1934 Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-59
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
40FR12B/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-F
Amendment
40-F
Registration of a class of securities of certain 40FR12G
Canadian issuers pursuant to Section 12(g)
of the 1934 Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-F
Amendment
40FR12G/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18
Form for initial registration of securities of
foreign governments or political subdivisions
pursuant to Section 12(b)
18-12B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18
Amendment
18-12B/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18
Form for initial registration of securities of
foreign governments or political subdivisions
thereof pursuant to Section 12(g)
18-12G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18
Amendment
18- 12G/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
MA
Application for Municipal Advisor
Registration
MA
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MA
Annual Update of Municipal Advisor
Registration
MA-A
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-60
December 2020
CFR Form/
Schedule/
Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
MA
Amendment of a Prior Application for
Registration
MA/A
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MA-I
Information Regarding Natural Persons Who
Engage in Municipal Advisory Activities
MA-I
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MA-I
Amendment of a previously submitted Form
MA-I
MA-I/A
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MA-W
Notice of Withdrawal from Registration as a
Municipal Advisor
MA-W
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
See Rules
15Fb1-1
through
15Fb6-2
Application for Registration of Securitybased Swap Dealers and Major Securitybased Swap Participants
SBSE
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
See Rules
15Fb1-1
through
15Fb6-2
Amendment to an Application for
SBSE/A
Registration of Security-based Swap Dealers
and Major Security-based Swap Participants
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
See Rules
15Fb1-1
through
15Fb6-2
Application for Registration of SecuritySBSE-A
based Swap Dealers and Major Securitybased Swap Participants that are Registered
or Registering with the Commodity Futures
Trading Commission as a Swap Dealer or
Major Swap Participant
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
See Rules
15Fb1-1
through
15Fb6-2
Amendment to an Application for
SBSE-A/A
Registration of Security-based Swap Dealers
and Major Security-based Swap Participants
that are Registered or Registering with the
Commodity Futures Trading Commission as
a Swap Dealer or Major Swap Participant
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
December 2020
3-61
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
See Rules
15Fb1-1
through
15Fb6-2
Application for Registration of SecuritySBSE-BD
based Swap Dealers and Major Securitybased Swap Participants that are Registered
Broker-dealers
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
See Rules
15Fb1-1
through
15Fb6-2
Amendment to an Application for
SBSE-BD/A
Registration of Security-based Swap Dealers
and Major Security-based Swap Participants
that are Registered Broker-dealers
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
See Rules
15Fb1-1
through
15Fb6-2
Certifications for Registration of Securitybased Swap Dealers and Major Securitybased Swap Participants
SBSE-C
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
See Rules
15Fb1-1
through
15Fb6-2
Request for Withdrawal from Registration as
a Security-based Swap Dealer or Major
Security-based Swap Participant
SBSE-W
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SDR
Application for Registration as Securitybased Swap Data Repository
SDR
EDGAR
Filing
Website
Online Forms
EDGAR SDR
XML
Technical
Specification
SDR
Interim Amendment to Application for
Registration as Security-based Swap Data
Repository
SDR/A
EDGAR
Filing
Website
Online Forms
EDGAR SDR
XML
Technical
Specification
SDR
Annual Amendment to Application for
Registration as Security-based Swap Data
Repository
SDR-A
EDGAR
Filing
Website
Online Forms
EDGAR SDR
XML
Technical
Specification
SDR-W
Application for Withdrawal from Registration
as Security-based Swap Data Repository
SDR-W
EDGAR
Filing
Website
Online Forms
EDGAR SDR
XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-62
December 2020
Annual, Quarterly, and Periodic Reports
CFR Form/
Schedule/
Rule
ABS-EE
Submission
Type
Description
Form for Submission of Electronic Exhibits
in asset-backed securities offerings
ABS-EE
Tool/
Template
Number
FilerConstructed
Form Spec.
EDGARLink EDGARLink
Online XML
Online
Technical
Specification,
EDGAR ABS
XML
Technical
Specification
ABS-EE
Amendment to Form for Submission of
Electronic Exhibits in asset-backed
securities offerings
ABS-EE/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification,
EDGAR ABS
XML
Technical
Specification
ARS
Annual report to security holders
ARS
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
ARS
Amendment
ARS/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
Note: Use this submission type when
furnishing the annual report to security
holders for the information of the
Commission pursuant to Rule 14a-3(c) or
Rule 14c-3(b). Portions of the annual report
to security holders filed with the
Commission as part of a registration
statement or periodic report should be filed
as Exhibit 13, as provided by Item 601 of
Regulation S-K and S-B.
IRANNOTICE Notice of disclosure filed in Exchange Act
quarterly and annual reports pursuant to
Section 219 of the Iran Threat Reduction
and Syria Human Rights Act of 2012 and
Section 13(r) of the Exchange Act
SD
December 2020
IRANNOTICE EDGARLink EDGARLink
Online XML
Online
Technical
Specification
Specialized Disclosure Report filed
SD
pursuant to Section 1502 of the Dodd-Frank
Wall Street Reform and Consumer
Protection Act relating to the use of conflict
minerals (Rule 13p-1)
3-63
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
SD
Amendment
SD/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
SDR-CCO
Annual Compliance Report and Financial
Report for a Security-based Swap Data
Repository
SDR-CCO
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
SDR-CCO
Amendment to Annual Compliance Report
and Financial Report for a Security-based
Swap Data Repository
SDR-CCO/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
X-17A-5
Annual Reports for a Broker-dealer
X-17A-5
pursuant to Section 17 of the Securities
Exchange Act of 1934 and Rules 17a-5 and
17a-12 thereunder
EDGAR
Filing
Website
Online
Forms
EDGAR Form
X-17A-5 XML
Technical
Specification
X-17A-5
Amendment to Annual Reports for a Broker- X-17A-5/A
dealer pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rules
17a-5 and 17a-12 thereunder
EDGAR
Filing
Website
Online
Forms
EDGAR Form
X-17A-5 XML
Technical
Specification
6-K
Current report of foreign issuer pursuant to
Rules 13a-16 and 15d-16
6-K
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
6-K
Amendments
6-K/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
10-Q
Quarterly report pursuant to Sections 13 or
15(d)
10-Q
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
10-Q
Amendment
10-Q/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
10-Q
Transition report pursuant to Rule 13a-10 or 10-QT
15d-10
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
EDGAR Filer Manual (Volume II)
3-64
December 2020
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
10-K
Annual report pursuant to Section 13 and
15(d)
10-K
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
10-K
Amendment
10-K/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
10-K
Transition report pursuant to Rule 13a-10 or 10-KT
15d-10
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
10-K
Amendment
10-KT/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
10-D
Periodic distribution reports by assetbacked issuers pursuant to Rule 13a-17 or
15d-17
10-D
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
10-D
Amendment
10-D/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
8-K
Current report filing
8-K
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
8-K
Amendment
8-K/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
8-K
Notification that a class of securities of
successor issuer is deemed to be
registered pursuant to Section 12(b)
8-K12B
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
8-K
Amendment
8-K12B/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
December 2020
3-65
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
8-K
Notification that a class of securities of
successor issuer is deemed to be
registered pursuant to Section 12(g)
8-K12G3
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
8-K
Amendment
8-K12G3/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
8-K
Notification of assumption of duty to report
by successor issue under Section 15(d)
8-K15D5
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
8-K
Amendment
8-K15D5/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
11-K
Annual report of employee stock purchase,
savings and similar plans
11-K
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
11-K
Amendment
11-K/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
11-K
Transition report pursuant to rule 13a-10 or
15d-10
11-KT
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
11-K
Amendment
11-KT/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
18-K
Annual report for foreign governments and
political subdivisions
18-K
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
18-K
Amendment
18-K/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
EDGAR Filer Manual (Volume II)
3-66
December 2020
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
20-F
Annual and transition report of foreign
private issuers pursuant to Section 13 or
15(d)
20-F
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
20-F
Amendment
20-F/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
40-F
Annual report filed by certain Canadian
issuers pursuant to Section 15(d) and Rule
15d-4
40-F
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
40-F
Amendment
40-F/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Notice under Rule 12b25 of inability to
timely file all or part of a form 10-Q or
10-QSB
NT 10-Q
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Amendment
NT 10-Q/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Notice under Rule 12b25 of inability to
NT 10-K
timely file all or part of a form 10-K, 10-KSB,
or 10-KT
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Amendment
NT 10-K/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Notice under Rule 12b25 of inability to
timely file all or part of a Form 10-D
NT 10-D
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Amendment
NT 10-D/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
December 2020
3-67
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
12b-25
Notice under Rule 12b25 of inability to
timely file all or part of a form 11-K
NT 11-K
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Amendment
NT 11-K/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Notice under Rule 12b25 of inability to
timely file a special report pursuant to
Section 15d-2
NT 15D2
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Amendment
NT 15D2/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Notice under Rule 12b25 of inability to
timely file all or part of an annual report of
form 20-F
NT 20-F
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Amendment
NT 20-F/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Notice under Exchange Act Rule 12b-25 of
inability to timely file Form N-CEN
NT-NCEN
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
12b-25
Amendment
NT-NCEN/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
15
Notice of termination of registration of a
class of securities under Section 12(b)
15-12B
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
15
Amendment
15-12B/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
EDGAR Filer Manual (Volume II)
3-68
December 2020
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
15
Notice of termination of registration of a
class of securities under Section 12(g)
15-12G
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
15
Notice of suspension of duty to file reports
pursuant to Section 13 and 15(d) of the Act
15-15D
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
15
Amendment
15-15D/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
See Rule
15d-2
Special Financial Report filed under Rule
15d-2
SP 15D2
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
See Rule
15d-2
Amendment
SP 15D2/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
15F
Notice of termination of a foreign private
issuer’s registration of a class of securities
under Section 12(b)
15F-12B
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
15F
Amendment
15F-12B/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
15F
Notice of termination of a foreign private
issuer’s registration of a class of securities
under Section 12(g)
15F-12G
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
15F
Amendment
15F-12G/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
15F
Notice of a foreign private issuer’s
suspension of duty to file reports pursuant
to Section 13 and 15(d) of the Act
15F-15D
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
December 2020
3-69
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
15F
Amendment
15-15D/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
See Rules
17h-1T and
17h-2T
Confidential broker dealer annual 17-H
report
17HACON
EDGAR
Filing
Website
Online
Forms
EDGAR Form
17-H XML
Technical
Specification
See Rules
17h-1T and
17h-2T
Amendment for confidential broker dealer
annual 17-H report
17HACON/A
EDGAR
Filing
Website
Online
Forms
EDGAR Form
17-H XML
Technical
Specification
See Rules
17h-1T and
17h-2T
Confidential broker dealer quarterly 17-H
report
17HQCON
EDGAR
Filing
Website
Online
Forms
EDGAR Form
17-H XML
Technical
Specification
See Rules
17h-1T and
17h-2T
Amendment for confidential broker dealer
quarterly 17-H report
17HQCON/A EDGAR
Filing
Website
Online
Forms
EDGAR Form
17-H XML
Technical
Specification
Dodd-Frank Submission Types/Filings
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
ABS-15G
Asset-backed securities report pursuant to
Section 15G
ABS-15G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ABS-15G
Amendment
ABS-15G/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-70
December 2020
Nationally Recognized Statistical Rating Organization Submission Types/Filings
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
NRSRO
Update of Registration for Nationally
Recognized Statistical Rating Organizations
NRSROUPD
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NRSRO
Annual Certification for Nationally
Recognized Statistical Rating Organizations
NRSRO-CE
EDGARLink
Online
EDGARLink
NRSRO
Amendment to Annual Certification for
Nationally Recognized Statistical Rating
Organizations
NRSROCE/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NRSRO
Withdrawal from Credit Rating Class for
Nationally Recognized Statistical Rating
Organizations
NRSROWCLS
EDGARLink
Online
EDGARLink
Withdrawal from Registration as Nationally
Recognized Statistical Rating Organization
NRSROWREG
EDGARLink
Online
EDGARLink
Rule 17g-3
Annual Financial/Other Reports for
Nationally Recognized Statistical Rating
Organizations, as required by Rule 17g-3
(Non-Public)
NRSRO-FR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 17g-3
Amendment to Annual Financial/Other
NRSROReports for Nationally Recognized Statistical FR/A
Rating Organizations, as required by Rule
17g-3 (Non-Public)
EDGARLink
Online
EDGARLink
NRSRO
December 2020
3-71
Online XML
Technical
Specification
Online XML
Technical
Specification
Online XML
Technical
Specification
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Miscellaneous Submission Types/Filings
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Form 13F
Initial Quarterly Form 13F Holdings
Report filed by institutional managers
Initial Quarterly Form 13F Combination
Report filed by institutional managers
13F-HR
EDGAR
Filing
Website
Online
Forms
EDGAR Form
13F XML
Technical
Specification
Form 13F
Amendment
13F-HR/A
EDGAR
Filing
Website
Online
Forms
EDGAR Form
13F XML
Technical
Specification
Form 13F
Initial Quarterly Form 13F Notice Report
filed by institutional managers
13F-NT
EDGAR
Filing
Website
Online
Forms
EDGAR Form
13F XML
Technical
Specification
13F
Amendment
13F-NT/A
EDGAR
Filing
Website
Online
Forms
EDGAR Form
13F XML
Technical
Specification
Form APP WD Withdrawal of an application for
exemptive or other relief from the federal
securities laws
APP WD
APP WD/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
Form N-MFP2
Monthly Schedule of Portfolio Holdings of
Money Market Funds on Form N-MFP
N-MFP2
N-MFP2/A
N/A
Form SH
Weekly Form SH Entries Report Filed by
Institutional Investment Managers
SH-ER
EDGARLink SH-ER
Online
Information
table only:
SH-ER
Information
Table XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-72
EDGAR Form
N-MFP2 XML
Technical
Specification
December 2020
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Form SH
Amendment
SH-ER/A
EDGARLink SH-ER/A
Information
Online
table only:
SH-ER
Information
Table XML
Technical
Specification
Form SH
Weekly Form SH Notice Report Filed by
Institutional Investment Managers
SH-NT
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
Form SH
Amendment
SH-NT/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
Form RW
Registration Withdrawal Request
RW
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
Form RW
Withdrawal of a registration withdrawal
statement
RW WD
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
Form AW
Withdrawal of an amendment to a
registration statement filed under the
Securities Act
AW
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
Form AW
Withdrawal of an amendment registration
withdrawal statement
AW WD
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
Form 425
Filing under Securities Act Rule 425 of
certain prospectuses and
communications in connection with
business combination transactions
425
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
Note: Form 425 can be filed as part of
Form 8-K. For filers subject to 8K filing
requirements, we recommend the use of
the 8-K combined form type as the
easiest method for fulfilling your filing
requirement for both forms.
December 2020
3-73
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Form 25
Notification filed by issuer to voluntarily
withdraw a class of securities from listing
and registration on a national securities
exchange
25
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
Form 25
Amendment
25/A
EDGARLink EDGARLink
Online XML
Online
Technical
Specification
25-NSE
Distributed
to National
Securities
Exchanges
only
Distributed to
National
Securities
Exchanges
only
25-NSE/A
Distributed
to National
Securities
Exchanges
only
Distributed to
National
Securities
Exchanges
only
Form 25
Form 25
Notification filed by national security
exchange to report the removal from
listing and registration of matured,
redeemed or retired securities
Amendment
EDGAR Filer Manual (Volume II)
3-74
December 2020
Section 16 Ownership Forms/Filings
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Form 3
Initial statement of beneficial ownership of
securities
3
Online
Forms
EDGAR
Ownership
XML
Technical
Specification
Form 3
Amendment
3/A
Online
Forms
EDGAR
Ownership
XML
Technical
Specification
Form 4
Statement of changes in beneficial
ownership of securities
4
Online
Forms
EDGAR
Ownership
XML
Technical
Specification
Form 4
Amendment
4/A
Online
Forms
EDGAR
Ownership
XML
Technical
Specification
Form 5
Annual statement of changes in beneficial
ownership of securities
5
Online
Forms
EDGAR
Ownership
XML
Technical
Specification
Form 5
Amendment
5/A
Online
Forms
EDGAR
Ownership
XML
Technical
Specification
December 2020
3-75
EDGAR Filer Manual (Volume II)
Section 17A Transfer Agent Forms/Filings
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
TA-1
Application for registration as a transfer
agent filed pursuant to the Securities
Exchange Act of 1934
TA-1
EDGAR
Filing
Website
Online
Forms
EDGAR TA-1
XML
Technical
Specification
TA-1
Amendment
TA-1/A
EDGAR
Filing
Website
Online
Forms
EDGAR TA-1
XML
Technical
Specification
TA-2
Annual report of transfer agent activities filed TA-2
pursuant to the Securities Exchange Act of
1934
EDGAR
Filing
Website
Online
Forms
EDGAR TA-2
XML
Technical
Specification
TA-2
Amendment
TA-2/A
EDGAR
Filing
Website
Online
Forms
EDGAR TA-2
XML
Technical
Specification
TA-W
Notice of withdrawal from registration as
TA-W
transfer agent filed pursuant to the Securities
Exchange Act of 1934
EDGAR
Filing
Website
Online
Forms
EDGAR TA-W
XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-76
December 2020
NMS Stock ATSs
CFR Form/
Schedule/Rule
Submission
Type
Description
Tool/
Template
Number
FilerConstructed
Form Spec.
Form ATS-N
Initial Form ATS-N Rule (304(a)(1)(i))
ATS-N
EDGAR
Filing
Website
Online
Forms
EDGAR Form
ATS-N XML
Technical
Specification
Form ATS-N
Material Amendment Rule
(304(a)(2)(i)(A))
ATS-N/MA
EDGAR
Filing
Website
Online
Forms
EDGAR Form
ATS-N XML
Technical
Specification
Form ATS-N
Updating Amendment Rule
(304(a)(2)(i)(B))
ATS-N/UA
EDGAR
Filing
Website
Online
Forms
EDGAR Form
ATS-N XML
Technical
Specification
Form ATS-N
Correcting Amendment Rule
(304(a)(2)(i)(C))
ATS-N/CA
EDGAR
Filing
Website
Online
Forms
EDGAR Form
ATS-N XML
Technical
Specification
Form ATS-N
Order Display and Fair Access
Amendment (Rule 304(a)(2)(i)(D))
ATS-N/OFA
EDGAR
Filing
Website
Online
Forms
EDGAR Form
ATS-N XML
Technical
Specification
Form ATS-N
Notice of Cessation (Rule 304(a)(3))
ATS-N-C
EDGAR
Filing
Website
Online
Forms
EDGAR Form
ATS-N XML
Technical
Specification
Form ATS-N
Withdrawal of Form ATS-N filing
ATS-N-W
EDGAR
Filing
Website
Online
Forms
EDGAR Form
ATS-N XML
Technical
Specification
December 2020
3-77
EDGAR Filer Manual (Volume II)
Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Schedule 13D
Schedule filed to report
acquisition of beneficial
ownership of 5% or more of a
class of equity securities
SC 13D
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 13D
Amendment
SC 13D/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 13-E1
Schedule 13-E1 statement of
issuer required by Rule 13e-1
SC 13E1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 13-E1
Amendment
SC 13E1/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 13E-3
Schedule filed to report going
private transactions
SC 13E3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 13E-3
Amendment
SC 13E3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 13E4F
Issuer tender offer statement
filed pursuant to Rule
13(e)(4) by foreign issuers
SC13E4F
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 13E4F
Amendment
SC13E4F/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 13G
Schedule filed to report
acquisition of beneficial
ownership of 5% or more of a
class of equity securities by
passive investors and certain
institutions
SC 13G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-78
December 2020
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Schedule 13G
Amendment
SC 13G/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 14A-11
Information filed by certain
nominating shareholders
(pursuant to Section 240
14n-1)
SC 14N
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 14A-11
Amendment
SC 14N/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule TO-I
Issuer tender offer statement
SC TO-I
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule TO-I
Amendment
SC TO-I/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule TO-T
Third party tender offer
statement
SC TO-T
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule TO-T
Amendment
SC TO-T/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule TO-C
Written communication
relating to an issuer or third
party tender offer
SC TO-C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Note: Form Schedule TO-C
can be filed as part of Form
8-K. For filers subject to 8-K
filing requirements, we
recommend the use of the
8-K combined form type as
the easiest method for
fulfilling your filing
requirement for both forms
December 2020
3-79
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Schedule 14D1F
Third party tender offer
statement filed pursuant to
Rule 14d-1(b) by foreign
issuers
SC14D1F
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 14D1F
Amendment
SC14D1F/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 14D9-C
Written communication by the
subject company relating to a
third party tender offer
SC14D9C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 14D9
Tender offer solicitation /
recommendation statements
filed under Rule 14-d9
SC 14D9
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 14D9
Amendment
SC 14D9/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 14D9F
Solicitation/recommendation
statement pursuant to
Section 14(d)(4) of the
Securities Exchange Act of
1934 and Rules 14d-1(b) and
14e-2(c) by foreign issuers
SC14D9F
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 14D9F
Amendment
SC14D9F/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 14F-1
Statement regarding change
in majority of directors
pursuant to Rule 14f-1
SC 14F1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Schedule 14F-1
Amendment
SC 14F1/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-80
December 2020
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
CB
Notification form filed in
connection with certain
tender offers, business
combinations and rights
offerings, in which the subject
company is a foreign private
issuer of which less than 10%
of its securities are held by
U.S. persons
CB
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
CB
Amendment
CB/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-81
EDGAR Filer Manual (Volume II)
Table 3-5: Investment Company Submission Types Accepted by EDGAR
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Forms S-1 & S-3
Registration statement for faceamount certificate companies
No info blank
cell
No info
blank cell
No info blank
cell
Forms S-1 & S-3
General form of registration
statement for all companies
including face-amount certificate
companies
S-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Forms S-1 & S-3
Pre-effective amendment
S-1/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Forms S-1 & S-3
Registration statement for
specified transactions by certain
issuers including face-amount
certificate companies
S-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Forms S-1 & S-3
Pre-effective amendment
S-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Forms S-1 & S-3
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Forms S-1 & S-3
Definitive materials filed under
paragraph (a), (b), (c), (d), (e) or
(f) of Securities Act Rule 497
497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Forms S-1 & S-3
Certification of no change in
definitive materials under
paragraph (j) of Securities Act
Rule 497
497J
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-1A
Registration statement for openend management investment
companies
No info blank
cell
No info
blank cell
No info blank
cell
Form N-1A
Initial registration statement filed
on Form N-1A for open-end
management investment
companies
N-1A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-82
December 2020
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Form N-1A
Pre-effective amendment to a
registration statement filed on
Form N-1A for open-end
management investment
companies (this filing cannot be
submitted as a 1940 Act only
filing)
N-1A/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-1A
Post-effective amendment filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
submitted as a 1940 Act only
filing)
485APOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-1A
Post-effective amendment filed
pursuant to Securities Act Rule
485(b) (this filing cannot be
submitted as a 1940 Act only
filing)
485BPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-1A
Post-effective amendment (for
filings made under the 1940 Act
only)
POS AMI
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-1A
Post-effective amendment filed
pursuant to Securities Act Rule
485(b)(1)(iii) to designate a new
effective date for a post-effective
amendment previously filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
submitted as a 1940 Act only
filing)
485BXT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-1A
Definitive materials filed under
paragraph (a), (b), (c), (d), (e) or
(f) of Securities Act Rule 497
497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-1A
Certification of no change in
definitive materials under
paragraph (j) of Securities Act
Rule 497
497J
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 498
Summary Prospectus for certain
open-end management
investment companies filed
pursuant to Securities Act Rule
497(k)
497K
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-83
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Rule 498A
Initial summary prospectus for
variable contracts filed pursuant
to Securities Act Rule 497(k)
497VPI
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 498A
Updating summary prospectus
for variable contracts filed
pursuant to Securities Act Rule
497(k)
497VPU
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Initial filing of a registration
statement on Form N-2 for
closed-end investment
companies
N-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Pre-effective amendment to a
registration statement on Form
N-2 for closed-end investment
companies (this filing cannot be
submitted as a 1940 Act only
filing)
N-2/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Automatic shelf registration
statement on Form N-2 for wellknown seasoned issuers
N-2ASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Post-effective amendment to an
automatic shelf registration
statement on Form N-2 for wellknown seasoned issuers
N-2 POSASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Post-effective amendment (for
filings made under the 1940 Act
only)
POS AMI
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Post-effective amendment filed
under the 1933 Act only or under
both the 1933 and 1940 Acts
pursuant to Section 8(c) of the
1933 Act by closed-end
investment companies (this filing
cannot be submitted as a 1940
Act only filing)
POS 8C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-84
December 2020
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Form N-2
Filing of a Form N-2 registration
statement by closed-end
investment companies pursuant
to Securities Act Rule 486(a) for
the purpose of registering
additional shares of common
stock
N-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Post-effective amendment to
filing filed pursuant to Securities
Act Rule 486(a) (this filing cannot
be submitted as a 1940 Act only
filing)
486APOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Filing of a Form N-2 registration
statement by closed-end
investment companies pursuant
to Securities Act Rule 486(b) for
the purpose of registering
additional shares of common
stock
N-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Post-effective amendment to
filing filed pursuant to Securities
Act Rule 486(b) (this filing cannot
be submitted as a 1940 Act only
filing)
486BPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Post-effective amendment filed
pursuant to Securities Act Rule
486(b)(1)(iii) to designate a new
effective date for a post-effective
amendment previously filed
pursuant to Securities Act Rule
486(a) (this filing cannot be
submitted as a 1940 Act only
filing)
486BXT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Definitive materials filed under
paragraph (a), (b), (c), (d), (e) or
(f) of Securities Act Rule 497
497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Certification of no change in
definitive materials
497J
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-85
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Form N-2
A new registration statement on
Form N-2 filed under Securities
Act Rule 462(b) by closed-end
investment companies of up to
an additional 20% of securities
for an offering that was
registered on Form N-2
N-2MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Post-effective amendment to
Securities Act Rule 462(b)
registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Post-effective amendment to a
registration statement filed under
Securities Act Rule 462(c)
POS462C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Post-effective amendment filed
solely to add exhibits to a
registration statement
POS EX
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Definitive materials filed under
paragraph (a), (b), (c), (d), (e) or
(f) of Securities Act Rule 497
497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-2
Filings made pursuant to Rule
497(h)(2)
497H2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-3
Initial registration statement on
Form N-3 for separate accounts
(management investment
companies)
N-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-3
Pre-effective amendment to a
registration statement on Form
N-3 for separate accounts
(management investment
companies) (this filing cannot be
submitted as a 1940 Act only
filing)
N-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-3
Post-effective amendment filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
submitted as a 1940 Act only
filing)
485APOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-86
December 2020
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Form N-3
Post-effective amendment filed
pursuant to Securities Act Rule
485(b) (this filing cannot be
submitted as a 1940 Act only
filing)
485BPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-3
Post-effective amendment (for
filings made under the 1940 Act
only)
POS AMI
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-3
Post-effective amendment filed
pursuant to Securities Act Rule
485(b)(1)(iii) to designate a new
effective date for a post-effective
amendment previously filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
submitted as a 1940 Act only
filing)
485BXT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-3
Definitive materials filed under
paragraph (a), (b), (c), (d), (e) or
(f) of Securities Act Rule 497
497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-3
Certification of no change in
definitive materials under
paragraph (j) of Securities Act
Rule 497
497J
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-4
Initial registration statement on
Form N-4 for separate accounts
(unit investment trusts)
N-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-4
Pre-effective amendment to a
registration statement on Form
N-4 for separate accounts (unit
investment trusts) (this filing
cannot be submitted as a 1940
Act only filing)
N-4/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-4
Pre-effective pricing amendment
filed pursuant to Securities Act
Rule 487
487
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-4
Post-effective amendment filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
submitted as a 1940 Act only
filing)
485APOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-87
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Form N-4
Post-effective amendment filed
pursuant to Securities Act Rule
485(b) (this filing cannot be
submitted as a 1940 Act only
filing)
485BPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-4
Post-effective amendment filed
pursuant to Securities Act Rule
485(b)(1)(iii) to designate a new
effective date for a post-effective
amendment previously filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
submitted as a 1940 Act only
filing)
485BXT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-4
Post-effective amendment (for
filings made under the 1940 Act
only)
POS AMI
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-4
Definitive materials filed under
paragraph (a), (b), (c), (d), (e) or
(f) of Securities Act Rule 497
497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-4
Certification of no change in
definitive materials under
paragraph (j) of Securities Act
Rule 497
497J
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-5
Registration statement for small
business investment companies
N-5
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-5
Pre-effective amendment to a
registration statement on Form
N-5 for small business
investment companies (this filing
cannot be submitted as a 1940
Act only filing)
N-5/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-5
Post-effective amendment (for
filings made under the 1940 Act
only)
POS AMI
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-88
December 2020
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Form N-5
Post-effective amendment filed
under the 1933 Act only or under
both the 1933 and 1940 Acts
pursuant to Section 8(c) of the
1933 Act by closed-end
investment companies (this filing
cannot be submitted as a 1940
Act only filing)
POS 8C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-5
Definitive materials filed under
paragraph (a), (b), (c), (d), (e) or
(f) of Securities Act Rule 497
497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-5
Certification of no change in
definitive materials under
paragraph (j) of Securities Act
Rule 497
497J
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-6
Registration statement for
separate accounts (unit
investment trusts)
N-6
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-6
Pre-effective amendment to a
registration statement filed on
Form N-6 for separate accounts
(unit investment trusts)
N-6/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-6
Pre-effective pricing amendment
filed pursuant to Securities Act
Rule 487
487
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-6
Post-effective amendment filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
submitted as a 1940 Act only
filing)
485APOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-6
Post-effective amendment filed
pursuant to Securities Act Rule
485(b) (this filing cannot be
submitted as a 1940 Act only
filing)
485BPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-89
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Form N-6
Post-effective amendment filed
pursuant to Securities Act Rule
485(b)(1)(iii) to designate a new
effective date for a post-effective
amendment previously filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
submitted as a 1940 Act only
filing)
485BXT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-6
Post-effective amendment (for
filings made under the 1940 Act
only)
POS AMI
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-6
Definitive materials filed under
paragraph (a), (b), (c), (d), (e) or
(f) of Securities Act Rule 497
497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-6
Certification of no change in
definitive materials under
paragraph (j) of Securities Act
Rule 497
497J
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form S-6
Initial registration statement filed
on Form S-6 for unit investment
trusts
S-6
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form S-6
Pre-effective amendment
S-6/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form S-6
Pre-effective pricing amendment
filed pursuant to Securities Act
Rule 487
487
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form S-6
Initial undertaking to file reports
UNDER
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form S-6
Amendment
UNDER/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-90
December 2020
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Form S-6
Post-effective amendment filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
submitted as a 1940 Act only
filing)
485APOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form S-6
Post-effective amendment filed
pursuant to Securities Act Rule
485(b) (this filing cannot be
submitted as a 1940 Act only
filing)
485BPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form S-6
Post-effective amendment filed
pursuant to Securities Act Rule
485(b)(1)(iii) to designate a new
effective date for a post-effective
amendment previously filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
submitted as a 1940 Act only
filing)
485BXT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form S-6
Definitive materials filed under
paragraph (a), (b), (c), (d), (e) or
(f) of Securities Act Rule 497
497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form S-6
Certification of no change in
definitive materials under
paragraph (j) of Securities Act
Rule 497
497J
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-14
Initial registration statement filed
on Form N-14 for open-end
investment company, including
those filed with automatic
effectiveness under Rule 488
(business combinations)
N-14
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-14
Pre-effective amendment
N-14/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-14
Post-effective amendment filed
pursuant to Securities Act Rule
485(a) (this filing cannot be
submitted as a 1940 Act only
filing)
485APOS
December 2020
3-91
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Form N-14
Post-effective amendment filed
pursuant to Securities Act Rule
485(b) (this filing cannot be
submitted as a 1940 Act only
filing)
485BPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-14
Initial registration statement filed
on Form N-14 by closed-end
investment company (business
combinations)
N-14 8C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-14
Pre-effective amendment
N-14 8C/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-14
Post-effective amendment filed
under the 1933 Act only or under
both the 1933 and 1940 Acts
pursuant to Section 8(c) of the
1933 Act by closed-end
investment companies (this filing
cannot be submitted as a 1940
Act only filing)
POS 8C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-14
Definitive materials filed under
paragraph (a), (b), (c), (d), (e) or
(f) of Securities Act Rule 497
497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-14
Certification of no change in
definitive materials under
paragraph (j) of Securities Act
Rule 497
497J
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-14
A new registration statement
filed on Form N-14 by closed end
investment companies filed
under Securities Act Rule 462(b)
of up to an additional 20% of
securities for an offering that was
registered on Form N-14
N-14MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-14
Post-effective amendment to
Securities Act Rule 462(b)
registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-14
Post-effective amendment to
Securities Act Rule 462(c)
registration statement
POS462C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-92
December 2020
CFR Form/
Schedule/ Rule
Form N-14
December 2020
Description
Definitive materials filed under
paragraph (a), (b), (c), (d), (e) or
(f) of Securities Act Rule 497
3-93
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Miscellaneous Filings Under the Securities Act
CFR Form/
Schedule/ Rule
Rule 425
Description
Filing under Securities Act Rule
425 of certain prospectuses and
communications in connection
with business combination
transactions
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
425
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Note: Form 425 can be filed as
part of Form 8-K. For filers
subject to 8-K filing
requirements, we recommend
the use of the 8-K combined
form type as the easiest method
for fulfilling your filing
requirement for both forms
Rule 473
Separately filed delaying
amendment under Securities Act
Rule 473 to delay effectiveness
of a 1933 Act registration
statement
DEL AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 477
Withdrawal of an application for
exemptive or other relief from the
federal securities laws
APP WD
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 477
Withdrawal of an amendment to
an application for exemptive or
other relief from the federal
securities laws
APP WD/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 477
Registration Withdrawal Request
RW
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 477
Withdrawal of a request for
withdrawal of a registration
statement
RW WD
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 477
Withdrawal of amendment to a
registration statement filed under
the Securities Act
AW
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 477
Withdrawal of a request for
withdrawal of an amendment to a
registration statement
AW WD
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-94
December 2020
CFR Form/
Schedule/ Rule
Rule 482
Description
Filing by certain investment
companies of Securities Act Rule
482 advertising in accordance
with Securities Act Rule 497
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
497AD
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Registration of Securities by Certain Investment Companies Pursuant to Rule 24F-2
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Rule 24F-2
Rule 24f-2 notice filed on Form
24F-2
24F-2NT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 24F-2
Amendment
24F-2NT/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Other Company Act Registration Statements
CFR Form/
Schedule/ Rule
Description
Form N-8A
Initial notification of registration
under Section 8(a) filed on Form
N-8A
N-8A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-8A
Amendment
N-8A/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-8B-2
Initial registration statement for
unit investment trusts filed on
Form N-8B-2
N-8B-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-8B-2
Amendment
N-8B-2/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-8B-3
Initial registration statement for
periodic payment plans filed on
Form N-8B-3
N-8B-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-95
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Form N-8B-3
Amendment
N-8B-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-8B-4
Initial registration statement for
face-amount certificate
companies filed on Form N-8B-4
N-8B-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-8B-4
Amendment
N-8B-4/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Submission Types for Business Development Companies
CFR Form/
Schedule/ Rule
Description
Form N-6F
Notice of intent by business
development companies to elect
to be subject to Sections 55
through 65 of the 1940 Act filed
on Form N-6F
N-6F
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-6F
Amendment
N-6F/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-54A
Notification of election by
business development
companies filed on Form N-54A
N-54A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-54A
Amendment
N-54A/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-54C
Notification of withdrawal by
business development
companies filed on Form N-54C
N-54C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form N-54C
Amendment
N-54C/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
3-96
December 2020
Other Investment Company Submission Types
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Rule 8b-25(a)
Filing by investment company of
application under Investment
Company Act Rule 8b-25(a)
requesting extension of time for
filing certain information,
document or report
40-8B25
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form 17F-1
Initial certificate of accounting of
securities and similar
investments in the custody of
management investment
companies filed pursuant to Rule
17f-1 of the Investment
Company Act of 1940 filed on
Form N-17F-1
40-17F1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form 17F-1
Amendment
40-17F1/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form 17F-2
Initial certificate of accounting of
securities and similar
investments in the custody of
management investment
companies filed pursuant to Rule
17f-2 of the Investment
Company Act of 1940 filed on
Form N-17F-2
40-17F2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form 17F-2
Amendment
40-17F2/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 17g-1(g)(1)
Fidelity bond filed pursuant to
Rule 17g-1(g)(1) of the
Investment Company Act of
1940
40-17G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 17g-1(g)(1)
Amendment
40-17G/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 17g-1(g)(2)
or (3)
Filings of claim or settlement
pursuant to rule 17g-1(g)(1)(2) or
(3) of the Investment Company
Act of 1940
40-17GCS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2020
3-97
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Rule 17g-1(g)(2)
or (3)
Amendment
40-17GCS/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 24b-2
Filing of sales literature pursuant
to Rule 24b-2 under the
Investment Company Act of
1940
40-24B2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Rule 24b-2
Amendment
40-24B2/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ICA Section 33
Copies of all stockholder
derivative actions filed with a
court against an investment
company or an affiliate thereof
pursuant to Section 33 of the
Investment Company Act of
1940
40-33
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Specification
ICA Section 33
Amendment
Note: May be filed electronically
on a voluntary basis.
40-33/A
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Specification
Form N-18F-1
Initial notification of election
pursuant to Rule 18f-1 filed on
Form N-18F-1
N-18F1
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Technical
Specification
Form N-18F-1
Amendment
N-18F1/A
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Specification
Rule 23c-2(b)
Notice by closed-end investment
companies of intention to call or
redeem their own securities
under Investment Company Act
Rule 23c-2
N-23C-2
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Specification
Rule 23c-2(b)
Amendment
N-23C-2/A
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Specification
Form N-23C-3
Notification of periodic
repurchase offer Filed pursuant
to Rule 23c-3(b) only
N-23C-3A
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Specification
EDGAR Filer Manual (Volume II)
3-98
December 2020
CFR Form/
Schedule/ Rule
Description
Submission
Type
Tool/
Template
Number
FilerConstructed
Form Spec.
Form N-23C-3
Amendment
N-23C-3A/A
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Specification
Form N-23C-3
Filing pursuant to Rule 23c-3(c)
only on Form N-23C-3
N-23C-3B
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Specification
Form N-23C-3
Amendment
N-23C-3B/A
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Specification
Form N-23C-3
Filing pursuant to Rule 23c-3(b)
and (c) on Form N-23C-3
N-23C-3C
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Specification
Form N-23C-3
Amendment
N-23C3-C/A
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Technical
Specification
Form N-27D-1
Accounting for segregated trust
accounts on Form N-27D-1
N-27D-1
EDGARLink
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Technical
Specification
Form N-27D-1
Amendment
N-27D-1/A
EDGARLink
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Technical
Specification
Adopting
Release
33-10765
Notice Document for Certain
Variable Contracts
N-VP
EDGARLink
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Technical
Specification
Adopting
Release
33-10765
Amendment to Notice Document
for Certain Variable Contracts
N-VP/A
EDGARLink
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Technical
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