Instructions for Electronic Filing and Service

Instructions for Electronic Filing and Service

Of Documents in SEC Administrative Proceedings

and Technical Specifications

Office of the Secretary

U.S. Securities and Exchange Commission

Date: November 17, 2020

On November 17, 2020, the Commission’s Rules of Practice (Rules) (17 CFR §§ 201.100 –

201.1106) were amended to require the electronic filing and service of documents in Commission

administrative proceedings as defined in Rule 101(a) (17 CFR § 201.101(a)). (Exchange Act Rel.

No. 34-90442 (November 17, 2020) https://www.sec.gov/rules/final/2020/34-90442.pdf). These

instructions describe the requirements for the electronic filing of administrative proceeding

documents with the Commission’s Office of the Secretary (OS) and for the electronic service of

documents on parties and representatives (“participants”) in those proceedings.

The Commission’s Rules of Practice and these instructions are available on the Commission’s

website on the Rules of Practice page athttp://www.sec.gov/about/rulesofpractice.shtml. These

instructions are intended to supplement, but not supersede, the Rules.

Introduction

Participants must submit filings to the Commission electronically in administrative proceedings

using the Commission’s Electronic Filings in Administrative Proceedings (eFAP) system accessed

through the Commission’s website, www.sec.gov, at http://www.sec.gov/eFAP. Participants also

must serve and accept service of documents electronically.

Participants are advised to read the Commission’s Rules of Practice, these instructions, and

the eFAP User Manual in their entirety prior to making a filing or serving other

participants.

What is eFAP?

The eFAP system enables the electronic filing and service of documents in administrative

proceedings. The system replaces paper filings in administrative proceedings by allowing OS to

receive participants’ filings electronically. It also allows OS to electronically serve orders, notices,

and other administrative proceeding documents upon participants.

Section 1. Scope of eFAP

1.1 Who must use eFAP?

Absent a certification of an inability to comply as explained in more detail below (see paragraph

6.1), eFAP must be used by: (1) all participants in administrative proceedings as defined in Rule

101(a), including an enforcement or disciplinary proceeding, a proceeding to review a SelfRegulatory Organization (SRO), or a Public Company Accounting Oversight Board (PCAOB)

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determination; and (2) all persons and their representatives granted leave to participate in a

proceeding pursuant to Rule 210 (17 CFR § 201.210).

1.2 What documents must be filed in eFAP?

All documents required to be filed and served in an administrative proceeding pursuant to Rules

150(a) and 151(a) (17 CFR §§ 201.150(a) and 201.151(a)), including notices of appearance,

motions, briefs, or other written communications, must be filed using eFAP. Participants are also

required to use eFAP to transmit hearing exhibits to the Commission pursuant to Rule 351(c) (17

CFR §§ 201.351(c)). However, the system shall not be used by participants to exchange hearing

exhibits or discovery, nor letters solely between participants or otherwise not addressed to the

hearing officer or the Commission, except as exhibits to an otherwise properly filed document.

Also, the system shall not be used to serve other participants or to serve subpoenas for purposes of

investigations, as required by 17 CFR § 203.8 (Investigative Subpoenas). Investigative Subpoenas

must be served electronically outside of the system or by other delivery methods prescribed in

Rule 150(d). (17 CFR §§ 201.150(d)).

1.3 Is there a Phase-in Period?

Yes. Participants must comply with the new Rules of Practice on April 12, 2021 (the “compliance

date”), but there is a 90-day phase-in period beginning on the compliance date. During this period,

in addition to submitting electronic filings through eFAP, participants also must file in either

paper format or by email at APfilings@sec.gov. If filed in paper format, an original and three (3)

paper copies of the complete electronic filing, including all attachments, must be submitted to the

Office of the Secretary in accordance with any of the delivery methods set forth in Rule 152(a)(2)

of the Commission’s Rules of Practice.

The following address should be used when sending or delivering materials:

Office of the Secretary

U.S. Securities and Exchange Commission

100 F Street, NE

Washington, D.C. 20549-1090

1.4 What if a proceeding started before the compliance date?

Participants in administrative proceedings opened before the compliance date must make a filing

pursuant to new Rule 102(d) (17 CFR § 201.102(d)) on or before April 26, 2021. Participants

must electronically file a Rule 102(d) compliant notice even if a prior Rule 102(d) paper filing

included the participant’s email address (see paragraph 2.1 below for more information regarding

Rule 102(d) filings).

Documents filed and served in proceedings before the compliance date will not be available in the

system. Documents you file electronically in eFAP, and which are served on you by the

Commission, on or after the compliance date will be available in the system. The Commission

will continue to make certain filings publicly available on the Commission website’s

Administrative Proceedings Documents page https://www.sec.gov/litigation/apdocuments.shtml.

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Section 2. Getting Started

2.1 How do I log in to eFAP?

A User Name and password are required to log in to eFAP. The email address at which you wish

to receive documents in the proceeding must be provided, and will serve as your eFAP User

Name. Your User Name must match the email address that you provide in the filing required by

Rule 102(d) (described below).

•

If you are not a member of the SEC staff:

You must register your email address with login.gov before you first log in to the

eFAP system.

To register, access the eFAP system on the Commission’s website. Registration requires

that you:

o Accept eFAP’s Acceptance Disclaimer;

o Create an account with login.gov using the email address you provided, or will

provide, to OS;

o Provide your name and phone number in the eFAP system; and

o Agree to eFAP’s Terms and Conditions of use.

Note that Rule 102(d) contains a requirement that you file and keep current your contact

information for receiving service of documents from the Commission and other

participants in a proceeding. Rule 102(d) requires you to provide an email address for

service. Consequently, your first filing in a proceeding must include a notice of appearance

(if you are an attorney or other representative) or a document that provides the information

required by Rule 102(d). If you are a participant in multiple administrative proceedings,

you must file a notice of appearance or file a document that provides the information

required by Rule 102(d) in each of those proceedings. You must also file a notice of

appearance or file a document that provides the information required by Rule 102(d)

within ten days of the compliance date for any proceeding in which you are appearing that

is ongoing on that date.

For more detailed instructions on how to register, please refer to the eFAP User Manual

link on the left navigation toolbar within the eFAP system.

•

If you are a member of the SEC staff: Log in to the eFAP system using your SEC

credentials. The eFAP application is available through the SEC Exchange. You do not

need to register using login.gov.

SEC staff are required to file a notice of appearance, as required by Rule 102(d), in each

proceeding in which they will make filings and serve or receive documents.

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Please note that registering with, and/or logging in to, eFAP does not meet the requirements

of Rule 102(d) to file your contact information (including email address) with the

Commission.

2.2 Can I change my email address used in eFAP?

Yes, but you must make a Rule 102(d) filing to update your email address. Any Commission

documents issued by OS will continue to be sent to your prior Rule 102(d) email address until the

processing of a change is complete. Filings under Rule 102(d), including filings made to update

Rule 102(d) contact information, can take up to two (2) business days to process. Once complete,

service will be to the new email address, but you will be unable to download served documents

until the new email address is registered in eFAP as your system User Name.

Note that the history of the documents filed and served under your retired User Name will

not transfer to your new User Name account. However, you may continue to access that

information using your retired User Name and password.

Section 3. Basics of Filing and Serving

3.1 How do I file documents?

After successfully logging in to the system, you should select “Submit Filings” when the matter

has been assigned an Administrative Proceeding File Number (3-#####). You should select

“Submit Applications for Review” if an Administrative Proceeding File Number has not yet been

assigned (e.g., when filing an Application for Review of a decision of a SRO or the PCAOB). For

details on how to file documents using eFAP, please refer to the eFAP User Manual link on the

left navigation toolbar within the eFAP system.

3.2 How will I know my filing was received on time?

All filings will be date-stamped by the system upon receipt. You will also receive a confirmation

email indicating the date received. In addition, your history of uploads to the system will indicate

the date received.

Electronic filings must be completed before midnight Eastern Time, on the due date established

for the filing, as required by Rules 151(a) and 152(a). (17 CFR § 201.152(a)). If a large filing

requires multiple submissions (see data size limitations, paragraph 4.2 below), the date the last

transmission made to complete the filing was received will be used to determine timeliness. You

are encouraged to make electronic submissions during the Commission’s business hours (9:00

a.m. – 5:30 p.m., Eastern Time, on weekdays that are not Federal holidays). Filings submitted

using other electronic media (paragraph 4.4 below) must be received on the due date

established for the filing during the Commission’s business hours noted above. (See Rule

152(a)(2)).

3.3 What if I realize that I have filed the wrong document after a filing transaction is

complete?

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If you file the wrong document, you should immediately file the correct document and contact OS

to explain the error. OS may send you a Notice of Deficient Filing email if it is necessary to reject

the wrong filing.

3.4 If I file documents with the Commission, will they be automatically served on other

participants?

No. Filing documents electronically using eFAP will not constitute service on Commission staff,

such as the Division of Enforcement, or other participants in an administrative proceeding. Once

you have filed documents using eFAP, you still must serve it on other participants in the

proceeding.

3.5 How do I serve Commission staff or other participants in the proceeding?

It is your responsibility to serve any filings on Commission staff or other participants by email

outside of eFAP. Pursuant to Rule 150(e), electronic service is complete upon transmission, but is

not effective if the sender learns that the transmission failed. (17 CFR § 201.150(e)).

Note: Investigative Subpoenas must be served electronically outside of the eFAP system or by

other delivery methods prescribed in Rule 150(d) (see paragraph 1.2 above).

3.6 What if the email address of the person I need to serve is not listed on the service list in

eFAP?

Until a participant’s Rule 102(d) filing is processed and entered in the proceeding’s Record Index,

the participant’s email address will not appear on the service list for that proceeding. It can take up

to two (2) business days to process Rule 102(d) filings. If the email address of a person requiring

service is not listed on the service list, you may serve that person by email if the party has

previously agreed to be served by email for service. If the party has not agreed to be served by

email, or if a certification about an inability to comply with the electronic filing requirements has

been filed (see section 6), you should use an alternative method of service provided in Rule 150(d)

until an email address appears on the service list in eFAP.

3.7 How do I receive documents from other participants, hearing officers and the

Commission?

Documents from Commission staff and other participants will be served by email outside of the

eFAP system.

Documents from the Commission and hearing officers will be served through eFAP to the email

address provided in your Rule 102(d) filing. The service email will contain link(s) to the

document(s) being served. If not already logged in to eFAP when you click on the link(s), you

will be prompted to log in to eFAP to complete the download of the served documents. For

instructions on how to download served documents using eFAP, please refer to the eFAP User

Manual link on the left navigation toolbar within the eFAP system.

Under Rule 150(e), electronic service is complete upon transmission. Failure to open an email or

download the documents served will not render service ineffective.

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Section 4. Preparing Documents for Filing

4.1 How do I prepare documents for filing?

4.1.1

Acceptable File Formats: Documents submitted electronically must be in a

portable document format (PDF), and as specified below, certain documents must

be in a searchable optical character recognition (OCR) form of the PDF format

(OCR PDF). PDF format is a non-modifiable electronic file that is converted to a

format that will look the same on a computer screen and in print, regardless of the

printer used to print it, and regardless of the software package originally used to

create it. If it is necessary to submit a filing in a format other than PDF (e.g., audio

or video file), you should submit the filing using other electronic media as

prescribed in paragraph 4.4 below.

o Main Document: The “Main Document” filed (e.g., an application, petition,

answer, or motion together with any supporting brief, and the certificates of

service and of redaction or omission of Sensitive Personal Information (SPI)

(see paragraph 4.1.2 below)) must be in the OCR PDF format and uploaded as

a single file. When filing a motion together with a supporting brief, be sure to

indicate in the “Filing Description” field that the document includes a

supporting brief as well as the motion. Choose “Filing” as the Document Type

for this document.

o Attachments: Although OCR PDF format is preferred, attachments or exhibits

to the Main Document may be scanned to a non-OCR PDF format. If there are

multiple documents contained in the attachment file, the filer must include an

index of those documents at the beginning of the attachment file. See

Attachment A for a Sample Index of Attachments. In addition, each attachment

document must begin with a cover sheet (i.e., a divider page) with a number or

other identifier (e.g., A, B, C, etc.) that corresponds to its entry in the list. See

Attachment B for a Sample Attachment Divider Page.

Unless precluded by the data size limitations (paragraph 4.2) or because you

are filing one or more attachments Under Seal (paragraph 4.1.4 below),

attachments should be prepared as a single file separate from the Main

Document. The attachment file(s) should be uploaded with the Main Document

file and submitted together as one filing transaction; but if together they exceed

the data size limitations, then the Main Document should be transmitted first. In

eFAP, choose “Attachment” as the Document Type for this document.

4.1.2

Sensitive Personal Information (SPI) Certification: When filing a document

electronically, you will be required to confirm compliance with the Rules

concerning the redaction or omission of SPI. For information on SPI, see Rules

151(e) (filings generally), 420(e) (SRO record index), and 440(d) (PCAOB record

index) (17 CFR §§ 201.151(e), 201.420(e), and 201.440(d)).

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4.1.3

Signature: Filings requiring a signature pursuant to Rule 153 (17 CFR § 201.153)

may be signed with the “/s/” notation on any applicable signature lines. (Rules

152(c) and 351(c)(2)) (17 CFR § 201.152(c)).

4.1.4

Naming Files for Upload: You must use the following naming convention for all

uploaded files: Administrative Proceeding File Number_Date [YYYY-MMDD]_Party Name_Document Description.pdf (e.g., 3-12345_2013-0809_Smith_Motion for Summary Disposition.pdf; 3-12345_2014-0809_Smith_Attachments 1-10 to Motion for Summary Disposition.pdf).

o No File Number: If a File Number (3-#####) has not yet been assigned, the file

name begins with the Date of the filing (e.g., 2014-08-09_Smith_Application

for Review of SRO Decision.pdf).

o Under Seal Documents: If documents are subject to an existing protective order

or the filer is requesting confidentiality pursuant to Rule 322(b) (17 CFR

§ 201.322(b)), the file name of the Under Seal version must begin with “Under

Seal” (e.g., Under Seal_3-12345_2014-08-09_Smith_Motion for Summary

Disposition.pdf; Under Seal_3-12345_2014-08-29_Smith_Attachments 1-10 to

Motion for Summary Disposition.pdf). For additional information on

submission of under seal documents, see paragraph 5.2 below.

o Ex Parte Documents: Ex parte motions and supporting documentation to ex

parte motions must begin with “Under Seal” and the Document Description

must include the text “Ex Parte” (e.g., Under Seal_3-12345_2014-0809_Smith_Ex Parte Motion for Stay of Proceeding.pdf; Under Seal_312345_2014-08-29_Smith_Attachments 1-10 to Ex Parte Motion for Stay of

Proceeding.pdf). You must also mark the “Under Seal” field when uploading

the Main Document file and any Attachment files. For additional information

on submission of ex parte documents, see paragraph 5.3 below.

o Certified Records and Indexes: If the document is the Under Seal version of a

record index from a SRO (Rule 420(e)) or the PCAOB (Rule 440(d)), follow

the instructions for under seal documents above. For additional guidance on

submission of certified records and record indexes, see paragraph 5.5 below.

4.2 Is there a limit to the size of a document that can be filed using eFAP?

Yes. A single PDF document may be no larger than 500 megabytes (500 MB). Multiple

documents may be uploaded in one filing transaction, but the total file size may not exceed 500

MB. If the documents to be submitted for one filing total more than 500 MB, the documents must

be divided into transmissions of 500 MB or less. When the submission of the first transaction is

complete, you can elect to submit another filing. When the new upload screen opens, you can

upload the additional documents.

4.3 What if my document exceeds the file size limit?

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If a single document exceeding 500 MB cannot be divided into multiple smaller files, you should

obtain approval from OS to submit the filing using other electronic media as prescribed in

paragraph 4.4 below.

4.4 How do I file non-PDF documents or other electronic media?

If it is necessary to submit a filing in a format other than PDF (e.g., audio or video file), or a

document exceeds the data size limit of 500 MB and cannot be broken into multiple files, the

filing must be submitted to OS using one of the following Acceptable Electronic Media:

•

•

•

CD-R CD-ROMs formatted to ISO 9660 specifications;

DVD-ROM for Windows-compatible personal computers; or

USB 2.0 thumb drives for Windows-compatible personal computers.

Electronic media must be properly packaged to prevent damage and must not be encrypted. The

media must be accompanied by a “Notice of Manual Filing,” which includes the information

prescribed for filings in Rule 152(b)(3), describes the subject matter of the filing, and includes the

reason(s) why the filing could not be submitted using eFAP. See Attachment C for a sample

Notice of Manual Filing. The Notice must also be electronically filed in eFAP and served

electronically outside of eFAP. Delivery of the package and the hard copy Notice must be made

by one of the following Delivery Methods:

•

•

U.S. Postal Service first class, certified, registered, or Priority Mail Express; or

Commercial courier or express delivery service.

The following address should be used when sending or delivering materials:

Office of the Secretary

U.S. Securities and Exchange Commission

100 F Street, NE

Washington, D.C. 20549-1090

Note: Filings submitted using other electronic media must be received on the due date

established for the filing during the Commission’s business hours (9:00 a.m. – 5:30 p.m.,

Eastern Time, on weekdays that are not Federal holidays). (See Rule 152(a)(2)).

4.5 Are there any document security considerations?

Documents must be free of active content, viruses, or malicious code. You are responsible for

taking all reasonable steps to prevent submission of material that does not meet these security

requirements. Rejection of a document for failure to meet the security requirements will not

excuse an untimely filing.

Section 5. Filing Particular Types of Documents

5.1 Do I need to submit a cover letter with my filing?

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No, it is not necessary to submit a cover letter with an electronic filing. If a cover letter would be

helpful, file the cover letter as an Attachment with the Main Document. Please note that

Attachments become part of the official record of the proceeding. (But see paragraph 5.4 below,

which requires a cover sheet for each exhibit).

5.2 Can I use eFAP to file confidential or Under Seal documents?

Yes; however, if you are required to file the documents under Rule 322(b), then two versions of

the documents must be filed:

(1) A complete, sealed copy of the materials containing the information, as to which a

protective order is sought, with the allegedly confidential information marked as such,

and with the first page of the document labeled “Under Seal” (Under Seal Version);

and

(2) A redacted copy of the materials containing the information, as to which a protective

order is sought, with the allegedly confidential information redacted (Redacted

Version). The redacted version shall indicate any omissions with brackets or ellipses,

and its pagination and depiction of text on each page shall be identical to that of the

sealed version.

If a document would be redacted in its entirety, a redacted version need not be filed.

The Under Seal Version and the Redacted Version must be uploaded as separate files. It is

recommended that you first upload the Redacted Version, including the Main Document file and

any attachment files, by following the instructions for preparing documents for filing in paragraph

4.1 above. You can follow the same instructions to upload the Under Seal Version, but, in

addition, you must name the sealed files using the “Under Seal” naming convention (i.e., the file

name leads with “Under Seal”) and must mark the “Under Seal” field when uploading the Under

Seal Version of the Main Document file and for any Under Seal attachment files.

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5.3 Can I use eFAP to file ex parte documents?

Yes. You can use eFAP to file ex parte documents, but must follow the instructions in paragraph

4.1 above.

5.4 Can I use eFAP to file hearing exhibits?

Yes. Rule 351(c) requires the electronic filing of exhibits admitted, or offered and not admitted,

during the hearing, and any other exhibits that were admitted after the hearing. Although OCR

PDF format is preferred, exhibits may be scanned to a non-OCR PDF format. The first file

uploaded containing hearing exhibits must include an index of those exhibits at the beginning of

the file. See Attachment D, Sample Index of Hearing Exhibits. In addition, each exhibit must

begin with a cover sheet (i.e., a divider page) with a number or other identifier (e.g., Respondent’s

EX 1, Respondent’s EX 2, Respondent’s EX 3, etc.) that corresponds to its entry in the list. See

Attachment E, Sample Hearing Exhibit Divider Page. In eFAP, choose “Hearing Exhibit” as the

Document Type for these documents. Please note that any exhibit list filed pursuant to an

order of the hearing officer is not a substitute for the index that must accompany the filing.

5.5 How do I file SRO or PCAOB Certified Records and Indexes to Certified Records?

Appeals of determinations by an SRO or the PCAOB require a complete, clean copy of the record

upon which the action complained of was taken and an index to such record, as required by Rules

420(e) (SROs) and 440(d) (PCAOB). If such record index contains any Sensitive Personal

Information (SPI), two versions must be filed:

(1) A clean, sealed copy with the first page of the document labeled “Under Seal” (Under

Seal Version); and

(2) A redacted copy with the SPI redacted (Redacted Version).

Although OCR PDF format is preferred, records may be scanned to a non-OCR PDF format.

Record indexes must be in OCR PDF format. The Under Seal Version and the Redacted Version

must be uploaded as separate files. It is recommended that you first upload the Redacted Version

by following the instructions for preparing documents for filing in paragraph 4.1 above. You can

follow the same instructions to upload the Under Seal Version, but, in addition, you must name

the sealed index using the “Under Seal” naming convention (i.e., the file name leads with “Under

Seal”) and must mark the “Under Seal” field when uploading the Under Seal Version. In eFAP,

choose “Certified Record” as the Document Type for these documents.

Section 6. Inability to file and serve documents electronically

6.1 What if I cannot file and serve electronically?

If a participant reasonably cannot file and serve electronically, due to lack of access to electronic

transmission devices (e.g., due to incarceration, or unforeseen technical difficulties), the

participant must promptly file a certification under either Rule 150(c)(1), Rule 152(a)(1) or Rule

351(c)(1) that explains why the person reasonably cannot comply, indicates the expected duration

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of the person’s reasonable inability to comply, and otherwise meets the requirements of these

rules. (17 CFR § 201.150(c)(1)). If you are a participant in multiple administrative proceedings,

you must file a certification in each proceeding. The certification is immediately effective.

If a person reasonably cannot file electronically, refer to Rule 152 for additional methods of filing.

If a person reasonably cannot serve papers electronically, refer to Rule 150 for additional methods

of service.

6.2 How will I know if a party cannot file or serve electronically?

A certification that one cannot file or serve electronically will be entered on the Record Index in

the proceeding for which the certification is filed. (See paragraph 3.6 above).

Section 7. Getting More Information About eFAP

7.1 How can I learn how to file and serve using eFAP?

The eFAP User Manual with step-by-step instructions can be found through the eFAP User

Manual link on the left navigation toolbar on the eFAP system.

7.2 Unavailability of eFAP System: Should eFAP system be down and unavailable for any user,

you should access the Rules of Practice page on the Commission’s website at

http://www.sec.gov/about/rulesofpractice.shtml for alternate means of filing.

7.3 Contact Information for the Office of the Secretary: If you have questions regarding

electronic filing or service, please contact the Office of the Secretary at (202) 551-5400. For

purposes of Rule 152, the Office of the Secretary’s fax number is 703-813-9793. Voicemail

messages should include the name of the matter, the Administrative Proceeding File Number (3#####), and your contact information. OS is available to answer any procedural questions or refer

you to applicable Rules of Practice; however, OS cannot answer legal questions or interpret orders

of the Commission or hearing officer. For system access or technical issues contact (202) 551EFAP.

Attachments

Attachment A: Sample Index of Attachments (Motions/Briefs)

Attachment B: Sample Divider Page for Attachments (Motions/Briefs)

Attachment C: Sample Notice of Manual Filing

Attachment D: Sample Index of Hearing Exhibits

Attachment E: Sample Divider Page for Hearing Exhibits

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Attachment A: Sample Index of Attachments (Motions/Briefs)

UNITED STATES OF AMERICA

Before the

SECURITIES AND EXCHANGE COMMISSION

ADMINISTRATIVE PROCEEDING

File No. 3-#####

__________________________________

In the Matter of

XYZ, Inc.,

Respondent.

__________________________________

XYZ’s INDEX OF ATTACHMENTS

Attachment

Description

A

Affidavit of John Doe

B

Excerpts from Jane Doe’s Deposition

C

Contract Between XYZ Company and ABC Company (Pages 1-35)

D

XYZ Company General Ledgers

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Attachment B: Sample Divider Page for Attachments (Motions/Briefs)

XYZ Attachment 1

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Attachment C: Sample Notice of Manual Filing

UNITED STATES OF AMERICA

Before the

SECURITIES AND EXCHANGE COMMISSION

ADMINISTRATIVE PROCEEDING

File No. 3-#####

__________________________________

In the Matter of

XYZ, Inc.,

Respondent.

__________________________________

XYZ’s NOTICE OF MANUAL FILING

Please take notice that XYZ has manually filed the following document(s) by delivering

to the Office of the Secretary the documents on [identify the alternative electronic media (e.g., a

CD)]: [List document(s)].

XYZ makes this manner of filing because [state reason(s) for departure from procedures

(e.g., the document(s) cannot be authentically converted to PDF format/the document exceeds the

data size limits for electronic filing/the hearing officer/Commission requested the alternative

format because it will aid in the review of the materials)].

The [electronic media] containing the document(s) and a hard copy of this Notice have

been served on all parties of record.

[Date]

Respectfully submitted,

________/s/____________

Name of Filer

Firm Name (if applicable)

Street Address

City, State, Zip Code

Telephone Number

Email Address

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Attachment D: Sample Index of Hearing Exhibits

UNITED STATES OF AMERICA

Before the

SECURITIES AND EXCHANGE COMMISSION

ADMINISTRATIVE PROCEEDING

File No. 3-#####

__________________________________

In the Matter of

XYZ, Inc.,

Respondent.

__________________________________

XYZ’S INDEX OF HEARING EXHIBITS

Exhibit

Description

XYZ EX 1

Affidavit of John Doe

XYZ EX 2

Excerpts from Jane Doe’s Deposition

XYZ EX 3

Contract Between XYZ Company and ABC Company (Pages 1-35)

XYZ EX 4

XYZ Company General Ledgers

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Attachment E: Sample Divider Page for Hearing Exhibits

XYZ EX 1

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