Filer Manual – Volume I

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General Information

VERSION 10

August 2011

Notice

Use this EDGAR® Filer Manual when making electronic filings with the United States

Securities and Exchange Commission (SEC or "Commission"). See Rule 301 of Regulation S-T.

The EDGAR Filer Manual consists of three volumes. EDGAR Filer Manual (Volume I) General

Information introduces the requirements for becoming an EDGAR Filer and maintaining

EDGAR company information. EDGAR Filer Manual (Volume II) EDGAR Filing illustrates the

process to submit an online filing. EDGAR Filer Manual (Volume III) N-SAR Supplement is a

guide for preparing electronic submissions of Form N-SAR.

For up-to-date information regarding filing-related topics, consult the following EDGAR websites:

Information for EDGAR Filers (http://www.sec.gov/info/edgar.shtml)

EDGAR Gateway to submit filings (http://www.portal.edgarfiling.sec.gov)

EDGAR Company Database (http://www.edgarcompany.sec.gov).

EDGAR® and EDGARLink® are registered trademarks of the Securities and Exchange

Commission. EDGARLite™ is a trademark of the Securities and Exchange Commission. All

other product brand names mentioned in this Filer Manual are trademarks or registered

trademarks of their respective holders.

To protect the privacy of our filing community, filers are asked not to include social security

numbers in filings submitted to the Commission.

August 2011

EDGAR Filer Manual (Volume I)

Updates

On August 1, 2011, EDGAR Release 11.2 will introduce the following changes:

The offline EDGARLink tool and the associated templates have been retired and will no

longer be available. XFDL submissions created by the offline EDGARLink tool or those

constructed by filers according to the EDGAR XFDL Technical Specification will no

longer be accepted. The EDGARLink Online Application, available from the EDGAR

Filing Website (https://www.edgarfiling.sec.gov/), must be used to file all submissions

previously supported by the offline EDGARLink tool.

Those filers that use the EDGAR XFDL Technical Specification to create filerconstructed submissions without the use of the EDGARLink tool, and wish to do the

same outside of the EDGARLink Online Application, can do so by following the

EDGARLink Online XML Technical Specification, available from the Information for

EDGAR Filers web page (http://www.sec.gov/info/edgar.shtml).

New submission form types 13H, 13H-A, 13H-Q, 13H-I, 13H-T, and 13H-R will be

added to the EDGAR Filing Website and will be available for use if the Commission

adopts a final rule associated with Proposing Release No.34-61908. If adopted by the

Commission, the submission form types will be accessible by selecting a ―File 13H‖ link

on the EDGAR Filing Website. These non-public submissions will not be disseminated

by EDGAR.

New submission form types N-PX-CR, N-PX-FM, N-PX-NT, N-PX-VR and their

amendments will be available on EDGARLink Online. These submission types will be

available for live filings November 1, 2011, or later, pending additional Commission

rulemaking related to the amendments to Form N-PX.

EDGARLink Online submission form types N-PX and N-PX/A, will no longer support

co-registrants. The N-PX and N-PX/A submissions will be suspended unless the filer's

reporting file number is an 811- file number.

Appendix G has been revised to give clearer guidance to Form 13F filers to facilitate the

correct preparation, assembling, and submission of these filings.

Submission form type N-MFP and its variants have been updated as follows:

o ―Item 5‖ (Name/Identity of Administrator) and ―Item 6‖ (Name/Identity of

Transfer Agent) will now be required, allowing ―None‖ as an acceptable value.

o The ―Report Date‖ can be the last business day of the month or any calendar day

of the month after the last business day of the month; previously, the ―Report

Date‖ had to be the last business day of the month.

o Form N-MFP submissions will be disseminated 60 calendar days after the last

calendar day of the Report Date month; previously, they were disseminated 60

calendar days after the Report Date listed in the submission.

The maximum size of an EDGARLink Online submission, including all attached

documents, has been increased to 200 MB.

EDGAR Filer Manual (Volume I)

August 2011

The OMB expiration date on Forms 3, 4, 5, and 25-NSE will be updated. The OMB

expiration dates on Forms 3 and 4 will be updated to November 30, 2011; Form 5 will be

updated to January 31, 2014; Form 25-NSE will be updated to January 31, 2012.

The direct dial (Point-to-Point Protocol) transmission method will be terminated. Filers

will not be able to use the Point-to-Point Protocol to transmit submissions to the EDGAR

Filing Website.

Filers may now select additional applicant types when completing the Form ID to apply

for EDGAR access codes. The new applicant types are:

o Institutional Investment Manager (Form 13F Filer)

o Investment Company (or insurance product separate account) or Business

Development Company

o Large Trader

o Non-Investment Company Applicant under the 1940 Act

On March 28, 2011, EDGAR Release 11.1 introduced the following changes:

New 8-K Item 1.04 (Mine Safety – Reporting of Shutdowns and Patterns of Violations)

was added to EDGARLink Online for submission form types 8-K,8-K/A, 8-K 12B, 8-K

12B/A, 8-K 12G3, 8-K 12G3/A, 8-K 15D5, and 8-K 15D5/A. See Proposing Release No.

34-63548.

New Exhibit Type EX-95 (Mine Safety Disclosure Exhibit) was added to EDGARLink

Online for submission form types 10-K, 10-K/A, 10-KT, 10-KT/A, 10-Q, 10-Q/A, 10QT, 10-QT/A, 20-F, 20-F/A, 40-F, and 40-F/A. See Proposing Release No.34-63548.

Filers may upload the required notarized authentication document in Portable Document

Format (PDF) when completing the process to ―Convert Paper Only Filer to Electronic

Filer‖ from the EDGAR Filer Management Website (https://www.filer

management.edgarfiling.sec.gov).

Because the Commission establishes a company record on EDGAR for approved BrokerDealer Registration Applications and creates a Central Index Key (CIK) for that

company, Broker-dealers, who may be required to file certain forms electronically on

EDGAR, should complete the process to ―Convert Paper Only Filer to Electronic Filer,‖

from the EDGAR Filer Management website, instead of completing the Form ID (see

EDGAR Filer Manual, Volume I, General Information for details). This is because the

Form ID should be completed by those for which a CIK has not already been established

on EDGAR. Once a Broker-Dealer has completed this process and received the necessary

access codes, they will be able to file electronically on EDGAR.

On February 28, 2011, EDGAR Release 11.0 introduced the following changes:

EDGAR was updated to support the US GAAP 2011 Taxonomy. Please refer to

http://sec.gov/info/edgar/edgartaxonomies.shtml for the complete listing of supported

standard taxonomies.

August 2011

EDGAR Filer Manual (Volume I)

Table of Contents

1. INTRODUCTION TO VOLUME I ............................................................ 1-1

1.1 Organization of this Manual ........................................................................................ 1-1

1.2 Conventions Used in this Manual ................................................................................ 1-1

2. GENERAL INFORMATION FOR FILERS ............................................. 2-1

2.1 How to Obtain the EDGAR Filer Manual ................................................................... 2-1

2.2 Hours of Operation ...................................................................................................... 2-1

2.3 Introduction to Web Browsers ..................................................................................... 2-1

2.3.1

Browser Differences .................................................................................................................. 2-1

2.4 Accessing EDGAR ...................................................................................................... 2-2

2.5 EDGAR Hardware and Software Requirements.......................................................... 2-3

2.6 Getting Help with EDGAR .......................................................................................... 2-3

3. BECOMING AN EDGAR FILER............................................................... 3-1

3.1 Getting Ready .............................................................................................................. 3-1

3.1.1

3.1.2

3.1.3

Accessing the EDGAR Gateway ............................................................................................... 3-5

Accessing the EDGAR Filer Management Website .................................................................. 3-5

Navigating the EDGAR Filer Management Website (EFMW) ................................................. 3-7

3.2 New SEC Filer: Applying for EDGAR Access ......................................................... 3-10

3.2.1

3.2.2

3.2.3

3.2.4

3.2.5

3.2.6

Overview ................................................................................................................................. 3-10

Application (Form ID) ............................................................................................................. 3-11

Assembling and Submitting the Form ID Application ............................................................ 3-20

Defining a Passphrase.............................................................................................................. 3-27

Authentication Documentation ................................................................................................ 3-32

Application Acceptance and Applicant Notification ............................................................... 3-32

3.3 Current SEC Filer: Applying for EDGAR Access .................................................... 3-33

3.3.1

3.3.2

Current Paper Only Filer ......................................................................................................... 3-33

New Serial Company ............................................................................................................... 3-42

3.4 Creating an Asset Backed Securities Issuing Entity .................................................. 3-45

3.5 Examples of Notification Messages........................................................................... 3-51

3.5.1

3.5.2

3.5.3

Form ID Application Messages ............................................................................................... 3-52

Convert Paper Only Filer to Electronic Filer Request ............................................................. 3-54

EDGAR Access for New Serial Companies Request .............................................................. 3-56

4. GENERATING EDGAR ACCESS CODES .............................................. 4-1

4.1 Generating All EDGAR Access Codes........................................................................ 4-1

4.1.1

4.1.2

4.1.3

August 2011

Requesting an EDGAR Passphrase ........................................................................................... 4-3

Update Passphrase Request ....................................................................................................... 4-8

Changing your CCC or Password ............................................................................................ 4-10

EDGAR Filer Manual (Volume I)

4.1.4

Creating a Passphrase for the First Time ................................................................................. 4-13

5. MAINTENANCE OF COMPANY DATA ................................................. 5-1

5.1

5.2

5.3

5.4

Login to EDGAR ......................................................................................................... 5-1

Accessing Submission and Company Information ...................................................... 5-1

Retrieve Company Information ................................................................................... 5-3

Edit Company Information .......................................................................................... 5-5

5.4.1

Series and Classes (Contracts) Information ............................................................................... 5-8

5.5 Logging in with a Different CIK ............................................................................... 5-20

6. INTRODUCTION TO FILING ON EDGAR ............................................ 6-1

6.1 Preparation and Submission ......................................................................................... 6-1

6.2 EDGARLink Online Forms ......................................................................................... 6-1

6.2.1

6.2.2

Creating an EDGARLink Online Filing .................................................................................... 6-1

Additional Filing Transmission Methods for EDGAR Filings .................................................. 6-2

6.3 Online XML Forms...................................................................................................... 6-3

6.3.1

6.3.2

Creating an Online XML Form ................................................................................................. 6-3

Transmitting an Online XML Form .......................................................................................... 6-4

6.4 Filer-Constructed Technical Filing Specifications ...................................................... 6-4

6.4.1

6.4.2

XML Form Type Technical Specification ................................................................................. 6-5

Transmitting XML Form Types ................................................................................................ 6-5

APPENDIX A. GLOSSARY OF COMMONLY USED TERMS,

ACRONYMS, AND ABBREVIATONS .................................................... A-1

APPENDIX B. FREQUENTLY ASKED QUESTIONS ..................................B-1

APPENDIX C. AUTOMATED NAME CONFORMANCE RULES ............ C-1

EDGAR Filer Manual (Volume I)

August 2011

PREFACE

Welcome to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system of the U.S.

Securities and Exchange Commission (SEC). EDGAR provides an electronic filing process for

filers and filing agents submitting documents under the Securities Act of 1933, the Securities

Exchange Act of 1934, the Trust Indenture Act of 1939, and the Investment Company Act of

1940 (collectively, "Acts").

When you have determined that you have a requirement to file electronically on EDGAR, you

must follow a specified process. The first step of this process, applying to be an electronic filer,

is covered in this manual. The EDGAR system has built in a number of safeguards that require

you to complete a formal application process before you can access most of the EDGAR Filer

Websites. After you complete that process, you will be able to generate new or replacement

access codes that allow you to start filing on the system. These codes also provide access to other

sites that allow you to create certain types of filings, or to update your company information. The

two EDGAR Filer Manuals are designed to help you follow this process. The first volume of this

manual covers the application process and outlines how to keep your company data, which is

stored in EDGAR, up-to-date. The second volume helps you understand the tools provided by

the SEC for constructing and transmitting electronic submissions.

The SEC accepts electronic submissions through the Internet. EDGAR will disseminate that

information and you may view electronically submitted filings in the SEC's Public Reference

Room in Washington, DC, through commercial dissemination services, or by using the SEC's

website on the World Wide Web (http://www.sec.gov).

Do you need to file through EDGAR?

Whether or not you need to submit filings on EDGAR will depend on the form type(s) you are

required to submit. For those requirements, refer to Regulation S-T, Rule 101 [Mandated

Electronic Submissions and Exceptions].

Rules Governing Forms and Filing Information

EDGAR provides you with an electronic means to submit information to us. It does not

change the content of what you submit. Regulation S-T mandates electronic submissions of

filings by all domestic and foreign registrants. Regulation S-T also provides the general

requirements and procedures for electronic filing. You may find copies of Regulation S-T in the

Federal Register and the Code of Federal Regulations (17 CFR Part 232) in our Public

Reference Rooms. You will also find Regulation S-T under the Division of Corporation

Finance area on the SEC's website (http://www.sec.gov) under Forms and Associated

Regulations, EDGAR.

Please see the EDGAR Filer Manual Volume II for a detailed listing of laws and releases that

affect electronic filing. You may obtain copies of this material from our SEC website

(http://www.sec.gov).

August 2011

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EDGAR Filer Manual (Volume I)

INTRODUCTION TO VOLUME I

1.1

Organization of this Manual

This volume is divided into chapters and appendices. The paragraphs and subparagraphs are

numbered for easy reference (e.g., 1.2, 3.6.1).

The chapters of this volume primarily refer to the process of registering as an electronic filer on

EDGAR and maintaining your company information.

The following outline shows you where to find information in this volume. An index is also

provided at the end of this document.

CHAPTER 1 – Introduction

CHAPTER 2 – General Information for Filers

CHAPTER 3 – Becoming an EDGAR Filer

CHAPTER 4 – Generating EDGAR Access Codes

CHAPTER 5 – Maintenance of Company Data

CHAPTER 6 – Introduction to Filing on EDGAR

APPENDICES:

Glossary of Commonly Used Terms, Acronyms, and Abbreviations

This glossary contains terms, acronyms, and abbreviations used in the Filer Manual.

Frequently Asked Questions

Answers to some of the questions asked most frequently by EDGAR filers.

Automated Name Conformance Rules for Company and Individual Entity Names

Appendix C explains the conformance rules that will be automatically applied to

company and Individual Entity Names entered in the EDGAR system.

1.2

Conventions Used in this Manual

As you read this volume you should notice attributes assigned to certain types of text:

Instructions to press a key on a keyboard or click a button or tab on the screen appear

in square brackets and in title case:

Press [Enter]

Click [Module/Segment]

Titles of check, dialog, and list boxes, fields, functions, options, processes, queries,

reports, pages, tables, and windows appear in title case:

Submission Type list box

Name field

Company Information query

Return Copy check box

Menus, menu options, radio buttons, and statuses appear in title case and have double

quotation marks around them:

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EDGAR Filer Manual (Volume I)

―Test Filing‖ radio button

From the ―Edit‖ menu, select ―Copy‖

―Busy‖ status

Directories and file names appear in bold text:

The C:\temp directory

r10q-630.txt (the file saved in ASCII)

Keystroke combinations appear between less-than and greater-than brackets and in

upper case:

<ALT-TAB>

<CTRL-C>

Internet Hyperlinks appear underlined:

Home

EDGAR Filer Manual (Volume I)

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August 2011

GENERAL INFORMATION FOR FILERS

2.1

How to Obtain the EDGAR Filer Manual

You can download the latest version of the Filer Manual from our website (http://www.sec.gov)

under ―Information for EDGAR Filers.‖ The Filer Manual is also available in HTML format on

the EDGAR Filing Website (https://www.edgarfiling.sec.gov).

You can also purchase the latest version of the EDGAR Filer Manual from Thomson Financial,

formerly Disclosure, Inc., at the following address:

ATTN: Thomson Financial

Public Reference Room

US Securities and Exchange Commission

100 F Street, NE

Room 1580

Washington, DC 20549

Or, call Thomson Financial at one of the following numbers:

(800) 638-8241

(301) 951-1350

2.2

Hours of Operation

EDGAR accepts new filer applications, new filings, and changes to filer data each business day,

Monday through Friday, from 6:00 a.m. to 10:00 p.m., Eastern Time. Transmissions started but

not completed by 10:00 p.m. Eastern Time may be canceled, and you may have to re-submit on

the next business day.

2.3

Introduction to Web Browsers

The EDGAR system uses web-based technology to make submitting filings easier and faster.

Web browsers read code called Hypertext Mark-up Language (HTML). Many people have

become familiar with HTML since they have used the Internet. We use a browser as an integral

part of EDGAR, providing our interface to the EDGAR Filing Website.

2.3.1 Browser Differences

For EDGARLink Online, it is recommended that you use Internet Explorer 7.0 or 8.0 or Firefox

3.5 or greater.

For other EDGAR websites, Netscape version 7.0 or later, or Internet Explorer version 5.0 or

later can be used. The EDGAR Filing Website does not support Netscape version 6.0. Both

browsers comply with Secure Socket Layer (SSL) communications that you will use to reach the

EDGAR Filing Website, and are easy to obtain. Which browser you use is a personal preference.

This section covers some functions that are innate to browsers, how your browser should be set

up, and the differences between Netscape and IE. You should be aware that there might be subtle

differences if you are using IE or other versions of Netscape.

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EDGAR Filer Manual (Volume I)

Firefox Menu Bar

Netscape Menu Bar

Internet Explorer Menu Bar

Figure 2-1: Browser Menu Bars

The browsers have very similar navigation functions: [Back], [Forward], [Stop], and [Reload]

buttons, Current Address Location fields, as well as buttons for performing other functions such

as printing and saving. The largest difference between the browsers is button appearances and

where to update the preference settings. For detailed information on your browser, see your

browser’s user manual or help function.

The browser window works similarly to all windows, in that it can be maximized, minimized,

and sized. The default menu bar contains buttons that help you navigate the Internet; however,

these buttons do not necessarily help you navigate EDGAR. For the purposes of logging into

EDGAR, downloading files, submitting filings and company queries, or updating company

information, these buttons do not apply. Some of the functions you can use are Bookmark, to

mark the EDGAR Login page for easy accessibility; Back, to correct, add, or remove criteria

from a query; and Security, to turn on or off your security functions.

When you login to an EDGAR website, please read the Welcome Page. It contains updated

information about EDGAR, including filing requirements, system changes, new versions of

software tools and other related information.

2.4

Accessing EDGAR

To access EDGAR, a filer must have EDGAR access codes. If you are a new filer or an existing

filer who wants to file in another capacity (e.g., become a filing agent or training agent), you

must use Form ID to apply for EDGAR access codes. You do this by completing and submitting

an electronic Form ID. You must also supply a notarized authentication document in one of two

ways: Complete the fillable PDF version of the Form ID (a copy is available on the SEC’s

Public Site), print a copy of the completed PDF so that it can be signed and notarized, create an

electronic image of the signed and notarized document, attach it to your electronic Form ID

application and submit both to the Commission; or after you have submitted your electronic

Form ID application, create, sign and notarize your authentication document and then fax it to

the Commission. If we do not receive either the PDF image or the fax version of your

authentication document, we cannot process your application. Details of this process are covered

in other sections of this manual. Once you have obtained your access codes, you will be ready to

or change your password/CCC (CIK Confirmation Code).

EDGAR Filer Manual (Volume I)

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August 2011

2.5

EDGAR Hardware and Software Requirements

The following list states the recommended system requirements:

PC with the following:

500+ MHz processor

All Windows desktop operating systems supported by Microsoft (excluding

Windows 7)

128 MB of RAM recommended; less may cause program or system

performance problems

Local Hard Drive with sufficient capacity for submission preparation and

transfer (this capacity depends upon the size of the total documents needed for

the submission)

For those using EDGARLink Online for the creation of more document intensive

submissions, the following PC recommendation applies:



1.28GB MHz processor or higher



1 GB or more of RAM; less may cause program or system performance

problems

Monitor (color recommended, but not required)

Printer (recommended, but not required)

Internet browsers:



EDGAR Filing Website: Internet Explorer 7.0 or 8.0, or Firefox 3.5 or greater.

The EDGAR Filing Website does not support Netscape 6.0.



Other EDGAR websites: Netscape Navigator version 7.0 or higher or Internet

Explorer version 5.0 or higher and supporting 128-bit cipher strength. Java

should be enabled in the browser.

Word processing or spreadsheet applications having the option to save documents as

standard ASCII or HTML text

Internet access

If you have questions about your PC configuration, check with the manufacturer.

2.6

Getting Help with EDGAR

For Procedural and Technical questions, contact Filer Support

You can reach our Filer Support Branches in the Divisions at (202) 551-8900. These offices

respond to general EDGAR questions like how to become a filer, the form ID process, how to

get to the Websites, how to update filer information, filing of forms, and header tags. Filer

Support is available each business day from 9:00 a.m. to 5:30 p.m. Eastern Time. Filer

Support voicemail will be available during off hours.

For general fee information, contact our Fee Account Services Branch in the Office of Financial

Management at (202) 551-8989.

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EDGAR Filer Manual (Volume I)

For Substantive questions, contact your Division

For filing content, rule interpretations, filing date adjustments, and hardship exemption requests,

contact the division that reviews the filing, the Division of Corporation Finance or Investment

Management, during normal business hours 9:00 a.m. to 5:30 p.m., Eastern Time.

Division of Corporation Finance:

For help with filings reviewed by the Division of Corporation Finance, contact the Office

of Information Technology in the Division of Corporation Finance at (202) 551-3600.

Division of Investment Management:

For help with Form 13-F, call the IM Chief Counsel inquiry line: (202) 551-6865

For help with Form N-SAR or Form 24F-2, call the N-SAR/24F-2 inquiry line: (202)

551-6703.

For help with investment company filings (except Forms 13-F, N-SAR and 24F-2), call

the IM EDGAR inquiry line: (202) 551-6989.

For questions concerning post-acceptance corrections and withdrawals, first please

read our notice, ―IM EDGAR Post-Acceptance Corrections‖ on the Information for

EDGAR Filers web page (http://www.sec.gov/info/edgar.shtml).

For questions concerning series and classes (contracts), first read our notice, ―Series

and Class (Contract) Notice and FAQ’s,‖ on the Information for EDGAR Filers web

page (http://www.sec.gov/info/edgar.shtml).

EDGAR Filer Manual (Volume I)

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August 2011

3.1

BECOMING AN EDGAR FILER

Getting Ready

To automate the process of submitting a Form ID application, the SEC has developed the

EDGAR Filer Management Website (EFMW). At this website a potential filer can file the

Form ID application, generate access codes (new/replacement), update a passphrase (required

security code), convert from a paper only filer to an electronic filer, and obtain access codes for

serial companies. You can access this website directly through its Uniform Resource Locator

(URL): https://www.filermanagement.edgarfiling.sec.gov or through our EDGAR Gateway.

The EDGAR Gateway allows you to navigate between the multiple EDGAR websites more

easily. It is located at: http://www.portal.edgarfiling.sec.gov. It is strongly recommended that

you bookmark this website or add it to the Favorites list in your browser.

This section describes the process that a new filer must follow to gain access to EDGAR. It also

describes how to access the EDGAR Gateway and EFMW. For the EFMW, it covers the

functionality that it provides, including how to create and submit a Form ID application

electronically.

Before you can use the EDGAR system, you must submit a Form ID application to be accepted

as an EDGAR filer. (Refer to Section 3.2, New SEC Filer: Applying for EDGAR Access, for

more information. If you wish to create an Asset-Backed Securities Issuing Entity, refer to

Section 3.4, Creating an Asset Backed Securities Issuing Entity.) An EDGAR filer can be a

registrant, a third-party non-registrant filer, a transfer agent, a third-party agent filing for another

individual or entity, or a training agent. EDGAR filers may send submissions on their own behalf

or use a filing agent. Training agents may only send test submissions. A duly authorized

person, such as a partner, president, treasurer, corporate secretary, officer, or director,

must sign the Form ID. Section 16 filers may have someone with their power of attorney

sign the Form ID. Filing agents such as financial printers cannot sign this Form on behalf of the

issuer unless they are specifically authorized to do so in writing on behalf of the issuer or Section

16 filer. The documentation should accompany the Form ID.

As an applicant for EDGAR access codes, you must indicate whether you are a filer, filing agent,

or training agent as defined in Part I of the Form ID General Instructions. If you plan to file on

EDGAR in more than one capacity, a separate Form ID must be completed and submitted for

each capacity. For example, if you want to make EDGAR submissions as a registrant, and as a

filing agent, and as a training agent, you must submit a separate Form ID for each filing capacity.

You will receive three separate sets of CIKs and access codes.

It is mandatory to include the registrant’s Tax Identification Number (TIN) to establish domestic

companies. This is for companies only, not individuals. If you do not have your TIN when you

submit your initial Form ID, you may add it to the EDGAR database by going to the EDGAR

Filing Website and adding it to your company’s information.

You must file your Form ID application electronically via the EDGAR Filer Management

Website. You can either attach a notarized authentication document (a manually signed and

notarized PDF version of the Form ID document) to your Form ID application or to your

request to convert from a Paper to Electronic Filer so that both can be electronically

submitted at the same time or you can fax the required manually signed and notarized

authentication documentation to the SEC two business days before or after you have

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EDGAR Filer Manual (Volume I)

submitted your electronic Form ID. Filers who are updating their passphrase must fax their

notarized documentation. Intentional misstatements or omissions of facts constitute federal

criminal violations. See 18 U.S.C. 1001.

Section 3.2, New SEC Filer: Applying for EDGAR Access, contains instructions on how to do

this. You can print various EDGAR-related forms (e.g., Form TH, Form SE) from the

www.sec.gov website. You can also request additional copies from the SEC’s Publications Office

by calling (202) 551-4040, or by making a written request to the following address:

ATTN: Publications Branch

US Securities and Exchange Commission

Mail Stop L610

100 F Street, NE

Washington, DC 20549

You must fax the manually signed and notarized authentication documentation associated

with your electronic Form ID to the following office:

US Securities and Exchange Commission

ATTN: Filer Support

(202) 504-2474

(703) 914-4240

(703) 813-6961

You may contact Filer Support at (202) 551-8900 if you require additional information.

After we accept your Form ID application, you will receive instructions on how to obtain the

following four access codes:

CIK -- Central Index Key:

The CIK is a number that we assign to each entity that submits filings to us. Use

of the CIK allows us to differentiate between filing entities with similar names.

A CIK is used to identify all filers, both EDGAR and non-EDGAR. Individuals

should use their own CIK number and password each time they logon to

EDGAR, even if their filings relate to different registrants.

Using the CIK to Login and Identify Submitter Registrants:

The CIK is the one EDGAR access code that is available to the public. In

EDGAR, the CIK is used with a password for login identification (sometimes

referred to as a login CIK). This identifies the submitter, which could be a

registrant, a non-registrant, a filing agent, or a training agent. The CIK is also

used with the CCC in submission headers to identify the registrant. The CIK is

a permanent identifier; you may not change it. You can login to EDGAR

using any valid CIK-password combination. The login CIK will be part of the

unique identifier for the submission.

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CCC -- CIK Confirmation Code:

The CCC is a code of eight characters having at least one number (0-9) and at

least one special character (@, #, $, *). The CCC is case-sensitive and you must

use it exactly as created, either in upper or lower case. Because the CCC is casesensitive, if you use lower case letters when the CCC is created or changed, you

must use lower case letters when entering the CCC in submission headers. To

avoid confusion, we do not use the number 1 (one), the lower-case letter ―l‖ (el),

the number 0 (zero), or the capital letter O (oh) in assigning codes. We suggest

that you also avoid using these numbers and letters when changing your CCC.

You will need both a CIK and its corresponding CCC to submit a filing.

Releasing the CCC To Filing Agents and Financial Printers:

If you use a filing agent, you may release the CCC to your agent because you

must include a CCC in your submission. When a third-party agent submits a

filing for you, the agent uses its own login CIK and password to establish

authorization to make a submission. However, the agent must use your CIK

and CCC in your submission in order to identify you as the entity for which

the submission is being made.

Changing Your CCC:

We recommend that you change your CCC after a third-party filing agent

has used it for a submission on your behalf. This will prevent the filing agent

from inadvertently making unauthorized filings using your access codes.

(This can occur if a filing agent does not carefully check the codes it uses in

a filing prior to submitting it). You may also want to change your CCC for

security purposes. You will find procedures for changing the CCC in

Chapter 4.

Password:

The password is a code of eight characters having at least one number (0-9) and

at least one special character (@, #, $, *). The password is case-sensitive and you

must use it exactly as created, either in upper or lower case. You use it in

combination with a CIK to identify the entity making a submission. This entity

may be you, or a filing agent, or the law firm who files on your behalf. Since a

CIK is public information, a second, confidential code is necessary to ensure that

whoever is sending a submission to EDGAR is authorized to do so. You must

enter both a CIK and a password to access EDGAR. The CIK is public and you

may give it and the CCC to your agent to make submissions on your behalf, but

you should hold the password in strictest confidence.

Changing Your Password:

We encourage you to change your password frequently, at least annually. You

will find procedures for changing a password in Chapter 4. To change a

password, you must use a Password Modification Authorization Code

(PMAC). Your password will expire 12 months after it was created or last

changed. If you are locked out of EDGAR because your password has

expired, you may generate a new set of EDGAR access codes (PMAC,

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password, CCC) via the EDGAR Filer Management Website using your

passphrase. If you have also forgotten your passphrase, you must request a

new passphrase (also via the EDGAR Filer Management Website) before you

can generate a new password. A request for a new passphrase must be

accompanied by authentication documentation, and it must be accepted by the

SEC, so be sure to keep your password up to date. (Refer to Section 4.1,

Generating All EDGAR Access Codes, for instructions on how to generate a

new set of EDGAR access codes and how to request a new passphrase.)

PMAC -- Password Modification Authorization Code:

You must use the PMAC to authorize a change of password. The PMAC is a code

of eight characters having at least one number (0-9) and at least one special

character (@, #, $, *). The PMAC is case-sensitive and you must enter it exactly

as created. It is a very private code, and only one or two persons in an

organization should know this code. If you misplace or have forgotten your

PMAC, you may generate a new set of EDGAR access codes (CCC, password,

PMAC) via the EDGAR Filer Management Website

(https://www.filermanagement.edgarfiling.sec.gov) using your passphrase. The

CIK is public and you may give it and the CCC to your agent to make

submissions on your behalf, but you should hold the PMAC in strictest

confidence.

Part of the process of submitting an electronic Form ID application is to specify an

EDGAR passphrase:

Passphrase:

The passphrase is used to generate a set of EDGAR access codes (PMAC,

password, CCC). The passphrase follows the PMAC formatting and usage rules

(see PMAC). Because it can be used to generate the EDGAR access codes, the

passphrase is a very sensitive code that should be strictly controlled. Access to it

within your organization should be extremely limited. As mentioned previously,

requesting a new passphrase must be done via the EDGAR Filer Management

Website, it must be accompanied by manually signed and notarized authentication

documentation, and it must be accepted by the SEC. (Refer to Section 4.1,

Generating All EDGAR Access Codes, for instructions on how to generate a new

set of EDGAR access codes and how to request a new passphrase.)

The SEC does not keep these codes on file. It is the responsibility of the individual designated

as the Contact for EDGAR on the Form ID to provide these codes to the EDGAR filing parties,

and to keep the codes secure. Section 16 filers must provide their EDGAR codes to their

EDGAR contact at each of the companies for which they are insiders if the companies are going

to file on their behalf. Only ONE set of EDGAR codes will be valid for each individual, so it is

essential that all relevant companies be given the codes. Only one Form ID should be submitted

for a registrant or an individual applicant.

Note: To protect the integrity and security of the data you send, you must limit the number of

people who know your CCC, password, and PMAC.

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3.1.1 Accessing the EDGAR Gateway

Any potential filer can access any of the EDGAR Websites by using the EDGAR Gateway into

the EDGAR system. Please execute the following procedure:

1. Connect to the Internet.

2. Go to the EDGAR Gateway

http://www.portal.edgarfiling.sec.gov

The EDGAR Gateway page appears (see Figure 3-1: EDGAR Gateway Page).

This page functions as a gateway to all EDGAR Websites. As such, it is

strongly recommended that you bookmark this page or add it to the Favorites

list in your browser.

3. Read the questions and determine which one identifies what you want to

accomplish. If you are a new filer, click on the link that says, ―Would you like

to become a new filer or generate new access codes‖.

The Website Welcome page for the EDGAR Filer Management Website will

appear.

Figure 3-1: EDGAR Gateway Page

3.1.2 Accessing the EDGAR Filer Management Website

Another way to access the EFMW is to go directly to the website by executing the following

procedure:

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1. Connect to the Internet.

2. Go to the EFMW

https://www.filermanagement.edgarfiling.sec.gov

The EFMW Home page appears (Figure 3-2: EDGAR Filer Management Home

Page).

This page functions as a gateway to the website.

3. Click the [Press Here to Begin] button.

The EFMW Welcome page appears (Figure 3-3: EDGAR Filer Management

Welcome Page (Top)).

This page provides access to the electronic Form ID application and other

capabilities provided by the EFMW.

Figure 3-2: EDGAR Filer Management Home Page

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Figure 3-3: EDGAR Filer Management Welcome Page (Top)

3.1.3 Navigating the EDGAR Filer Management Website (EFMW)

Once you access the EFMW, an option menu appears on the left-hand side of the browser

window. This menu allows you to navigate easily through the EFMW without having to return to

a menu page. This menu is broken down into two different sections:

Filer Management

Support

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Figure 3-4: EFMW Welcome Page Menu

Note that clicking Home merely redisplays the EFMW Welcome page. This menu item exists for

consistency with other EDGAR websites (such as the OnlineForms/XML Website) and to

support future functionality. Please note that the links open pop-up windows, so users should not

disable pop-up displays.

3.1.3.1 Filer Management

In the Filer Management section, there are five links:

Apply for EDGAR Access (New)

Generate Access Codes (New/Replacement)

Update Passphrase

Convert Paper Only Filer to Electronic Filer

EDGAR Access for New Serial Companies

By clicking Applying for EDGAR Access (New), you can create a Form ID application and

submit it to the SEC for acceptance. A Form ID application is typically submitted by:

A [potential] filer who has not previously filed with the SEC in any media

A current filer who needs to file in a new capacity 1

Acceptance of a Form ID application results in the creation of a new Central Index Key (CIK) 2.

―Capacity‖ in this context is one of the following: filer, filing agent or training agent. It refers to the applicant, not

the person filling out the form.

The CIK is a number that is assigned to each entity (company or individual) that submits filings to the SEC. Use of

the CIK allows us to differentiate between filing entities with similar names. A CIK is used to identify all filers, both

EDGAR and non-EDGAR.

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For more details, please refer to Section 3.2, New SEC Filer: Applying for EDGAR Access.

When you click on Generate Access Codes (New/Replacement) and enter your CIK and your

passphrase3, you are presented with EDGAR access codes (for an existing CIK) that are needed

to perform common ―filing‖ activities. (These EDGAR access codes are the Password

Modification Authorization Code [PMAC], the password, and the CIK Confirmation Code

[CCC]). For more details, please refer to Section 4.1, Generating All EDGAR Access Codes.

By clicking Update Passphrase, you can create a request for a new passphrase and submit it to

the SEC for review and acceptance. This capability allows an existing EDGAR filer who has

forgotten or wants to change his or her passphrase to get a new passphrase. With a new

passphrase, the filer can regenerate the PMAC, password, and CCC. For more details, please

refer to Section 4.1.1, Requesting an EDGAR Passphrase.

By clicking Convert Paper Only Filer to Electronic Filer, paper filers can create a request for

EDGAR access and submit it to the SEC for review and acceptance. This capability allows the

filer to file electronically with the SEC in the future. For more details, please refer to Section

3.3.1, Current Paper Only Filer.

By clicking EDGAR Access for New Serial Companies, you can create a request for EDGAR

access for a new serial company and submit it to the SEC for review and acceptance. This

capability allows a serial company that was previously created via the submittal of a form 424B

filing to specify a passphrase for access to EDGAR (after the request has been accepted by the

SEC, the serial company can use the passphrase to get the access codes [PMAC, password, and

CCC] that are needed to file with EDGAR). For more details, please refer to Section 4.1.1

Requesting an EDGAR Passphrase.

3.1.3.2 Support

In the Support section, there are two links:

General Help

Frequently Asked Questions

3.1.3.2.1

General Help

If you need help while using the EFMW on the Internet, click on General Help from the menu to

bring up the General Help page (Figure 3-5: EFMW General Help Page) that displays a list of

help topics. When you click on a topic, you are shown information or additional links to specify

the type of assistance you need

The EDGAR passphrase is a security code that is used to generate a set of EDGAR access code.

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Figure 3-5: EFMW General Help Page

3.1.3.3 Frequently Asked Questions

Click on Frequently Asked Questions (FAQ) to open the EFMW Frequently Asked Questions

page. The FAQ page answers the questions about the EFMW that have been asked most often.

You may find the answers helpful while using the EFMW. Click on the hyperlink topic to

display the answer in the lower portion of the window.

3.2

New SEC Filer: Applying for EDGAR Access

This section walks you through the process of applying for access to EDGAR for applicants

who are new to filing with the SEC or who need to file with the SEC in a new role (e.g.,

filing agent or training agent). Filers who have previously filed with the SEC on paper and

who need to begin filing electronically should follow the instructions in Section 3.3.1, Current

Paper Only Filer. New serial companies that need EDGAR access should follow the

instructions in Section 3.3.2, New Serial Company.

3.2.1 Overview

The process of applying for access to EDGAR consists of two parts as follows:

Composing and submitting a Form ID

Submitting Authentication documentation

Access to EDGAR will not be granted to a potential new filer until both parts have been

completed. The SEC will not accept a Form ID application until both documents have been

received. The Form ID is created and transmitted electronically; it will not be accepted as a

paper form. You have two options for supplying the notarized authentication document that

must accompany your Form ID application or your request to convert from a Paper to Electronic

Filer. First, you can complete the fillable PDF version of the Form ID that is found on the SEC’s

Public Site; obtain a hardcopy version of the PDF document that can be signed and notarized;

scan the document so that it can be attached; and electronically submit both to the Commission.

Filers who are updating their passphrase must fax their notarized documentation. Second, you

can fax the signed and notarized authentication document to the Branch of Filer Support two

business days before or after submitting your electronic Form ID to the Commission.

(Refer to Section 3.2.5, Authentication Documentation, for details.)

Within the context of a Form ID, the EFMW will:

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Allow you to provide all of the necessary information required by the SEC rules on

an appropriate data gathering form (Form ID)

Allow you to provide your signature and signature date

Allow you to verify the information on the form

Allow you to edit information on the form where necessary

Allow you to upload attachments (i.e., cover letters, exhibits, or correspondence)

Allow you to attach the Notarized Authentication PDF Form ID document

Allow you to review and confirm your information and then print the submission for

your records

Remember, the Form ID is a legal document. Consider these important notes when composing

your Form ID using the EFMW:

Intentional misstatements or omissions of facts constitute federal criminal violations.

See 18 U.S.C.1001.

Submission of a Form ID with missing required information will be considered

incomplete and will not be accepted – all required fields must be completed.

There is no capability to save work in progress, so it is important for you to have all

of the information necessary to complete the form before you begin to assemble your

submission online.

If you are attaching the Notarized Authenticated PDF version of the Form ID, you

should have already signed, notarized, and scanned the document when completing

the online Form ID.

You can exit the window at any time to discard your work in progress and start over.

Only one applicant per Form ID is allowed (however, a method is provided to make it

easier to submit multiple Form ID applications from the same browser window).

3.2.2 Application (Form ID)

This section outlines the process for composing a Form ID application using the EFMW and then

transmitting the submission to EDGAR for processing.

Note: The instructions provided for the paper Form ID are pertinent to the information that is

entered on the electronic Form ID data entry page. These instructions are available on the

SEC website http://www.sec.gov.

Before beginning, gather all required information. Be especially sure to do the following:

Determine the correct filer attributes: applicant type and company/individual

indicator

Ensure that you have identified the necessary contacts (for both EDGAR matters and

for accounting and billing information)

Ensure that you have proper and valid postal addresses, telephone numbers and email addresses at hand

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Prepare any attachments, such as a cover letter or exhibit, or your notarized, signed

and scanned Form ID, save them in the correct format and have the file names

identified4.

The first step for composing a Form ID application is to bring up the Form ID data entry form.

This is accomplished as follows:

Connect to the EFMW Welcome page (refer to Section 3.1.2, Accessing the

EDGAR Filer Management Website).

2. Click on Apply for EDGAR Access (New) in the menu bar.

3. A new browser window opens and the data entry page for the Form ID

application appears (Figure 3-6: EDGAR Apply for EDGAR Access (New)

Page (Top)).

4. Enter the Form ID data, described in the following subsections.

NOTE: Since the information on the PDF authentication document and the

Form ID are essentially the same, you can save time by cutting and pasting the

information from one document to the other.

Figure 3-6: EDGAR Apply for EDGAR Access (New) Page (Top)

ASCII (* .txt file extension), HTML (*.htm file extension) and PDF attachments are accepted; graphic formats are

not accepted.

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The information on the Form ID data entry page is sectioned into five parts:

Applicant Information

Basic information about the applicant, i.e., the company or individual that wishes to file

with the SEC.

Filer Information

Additional information about the applicant when the applicant is a company.

Contact for EDGAR Information, Inquiries and Access Codes

Information about the person who is the applicant’s point of contact for EDGARrelated information and queries.

Contact for SEC Account Information and Billing Invoices

Information about the person who is the applicant’s point of contact for ―financial‖

information and queries.

Signature Information

Typed signature of the applicant, the authorized representative of an applicant that is

not an individual or the individual authorized to sign by the individual applicant or

authorized representative.

Note that the information to be entered is not the same for all applicants and that the data entry

page is customized based upon the values of the filer attributes (Applicant Type and

Company/Individual indicator). The ―parts‖ that are required are based upon these filer attributes

are specified in Table 3-1: EDGAR Form ID, ―Parts‖.

Table 3-1: EDGAR Form ID, “Parts”

“Form ID” Data Entry Block

Applicant Type

Applicant

Information

Part I

Filer

Information

Part II

Contact

Information

Part III

Account

Information

Part IV

Signature

Information

Part V

Filer (Company)

Yes

Filer (Individual)

Yes

Filing Agent

(Company)

Yes

Filing Agent

(Individual)

Yes

Institutional

Investment

Manager (Form

13F Filer)

(Company)

Yes

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“Form ID” Data Entry Block

Applicant Type

Applicant

Information

Part I

Filer

Information

Part II

Contact

Information

Part III

Account

Information

Part IV

Signature

Information

Part V

Institutional

Investment

Manager (Form

13F Filer)

(Individual)

Yes

Investment

Company (or

insurance product

separate account )

or Business

Development

Company

(Company)

Yes

Large Trader

(Company)

Yes

Large Trader

(Individual)

Yes

Non-Investment

Company

Applicant under

the 1940 Act

(Company)

Yes

Non-Investment

Company

Applicant under

the 1940 Act

(Individual)

Yes

Training Agent

(Company)

Yes

Training Agent

(Individual)

Yes

Transfer Agent

(Company)

Yes

Transfer Agent

(Individual)

Yes

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3.2.2.1 Data Entry Conventions

The following are some basic EFMW data entry conventions:

In Internet Explorer, disabled fields are read-only and are colored gray. In Netscape,

the field is read-only but is not displayed in gray.

An asterisk to the right of the label name indicates a required field. (For example,

―Mailing Street 1 *‖ is a required field.)

Press the [Tab] key to move from field to field. (For this purpose, field level help

counts as a field.)

Field level help is available by clicking on the label.

The [Exit Window] button will close the current data entry session and return to the

EFMW Welcome page. Any data entered or attachments uploaded will be discarded.

3.2.2.2 Data Entry Details

Some significant details about the entry of the information on the Form ID application are

described in the following sections. For each data portion of the data entry page there is a section

and an associated screen shot. Note that the electronic Form ID application is modeled after the

paper Form ID and that any instructions regarding the data to be entered in a field on the paper

form are applicable to the electronic form.

3.2.2.2.1

Applicant Information

The Applicant Information section of the Form ID application is the first data entry section that

is displayed on the page (equivalent to Part I of the paper form). This information is to be

supplied by all applicants. The filer attributes are the first items in this section (before the Name

of Applicant/Individual) and are critical to the data entry process as they control the data entry

fields that are available on the page. It is recommended that the filer attributes be specified

before any other data and that an effort is made to ensure that they are correct: changing them

after data has been entered in other fields may result in data being lost5. When the page is first

displayed, the filer attributes are set to {―Filer‖ and ―Company‖}.

The Name of Applicant or Name of Individual is the first data entry field after the filer attributes.

The difference between the two is that the Name of Applicant is used for companies only and

consists of a single component, while the Name of Individual is used for individuals only and

consists of four components, one each for Last Name, First Name, Middle Name, and Suffix. As

stated on the web page, the Name will be conformed according to the EDGAR standards. (See

APPENDIX C, AUTOMATED NAME CONFORMANCE RULES, for details of these

conformance rules.) These standards may be viewed online by clicking the link in the Note

above the data entry field. The process of automatic name conformance cannot be turned off or

otherwise prevented or avoided by the requestor or applicant.

The Mailing Address is required and must be entered for all applicants. However, it may also be

used for other addresses on the Form ID application (as described in the appropriate sections).

Data in the ―parts‖ that are common to the filer attributes settings will be preserved; however, data that exists in a ―part‖ that is not needed

based upon the new filer attribute setting is lost. For example, Filer (Company) requires the entry of Filer Information (Part II) – if you switch the

filer attributes to Filer (Individual), any Filer Information that you may have entered is lost.

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The TIN is required whenever the applicant is a Company. However, a company that has applied

for but has not yet received a TIN must enter ―00-0000000‖ (zeroes). Remember to update your

TIN when it is received. You must use the EDGAR Filing or OnlineForms/XML Website’s Edit

Company Information capability to update the TIN in EDGAR. The TIN is not needed for

Individuals and cannot be entered (the entry of a Social Security Number [SSN] is not required

and is not supported).

Note: The “applicant” is the company or individual who is required to file with the SEC,

not necessarily the person who is filling in the form (although it could be). The term

―requestor‖ is used to refer to the person who is filling in the form.

Figure 3-7: EDGAR Form ID Page, Applicant Information

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3.2.2.2.2

Filer Information

The Filer Information section of the Form ID application is the second data entry section that is

displayed on the page (equivalent to Part II of the paper form). This information can be supplied

only for applicants that are companies.

The ―Doing Business As‖ Name is optional. If the filer is a foreign filer, an optional Foreign

Name data entry field is also available. This name is intended for the name of the company in a

non-English language but using only the subset of the standard ASCII (text) character set that is

supported by EDGAR.

The requestor must either explicitly enter the information required for the Business Address or

check the ―Business address same as mailing address‖ box. If the ―Business address same as

mailing address‖ box is checked, EDGAR will copy the Mailing Address information to the

Business Address fields before submitting the Form ID application (this action is not

immediate). When this box is checked, the Business Address data entry fields are disabled

(grayed out with Internet Explorer).

Figure 3-8: EDGAR Form ID Page, Filer Information

3.2.2.2.3

Contact for EDGAR Information

The Contact for EDGAR Information, Inquiries, and Access Codes section of the Form ID

application is the third data entry section that is displayed on the page (equivalent to Part III of

the paper form). This information must be supplied for all applicants.

The Contact Address is required if any part of the address is different from the Mailing Address.

If the Contact Address is identical to the Mailing Address, the requestor may check the ―Contact

address same as mailing address‖ box and EDGAR will copy the Mailing Address information to

the Contact Address fields before submitting the Form ID application. When this box is checked,

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the Contact Address data entry fields are disabled (grayed out with Internet Explorer).

The E-Mail Address is critical to communications between the applicant and EDGAR and its

validity is critical to success. This is because notifications (messages) are sent from EDGAR to

this e-mail address. For example, an e-mail notification is sent to the applicant after his or her

Form ID application is processed by the SEC – if the application is rejected, there is no other

way for the SEC to contact the applicant. (Subsequent notifications may be retrieved from the

EDGAR Filing or OnlineForms/XML Websites).

Figure 3-9: EDGAR Form ID Page, Contact for EDGAR Information

Note that our rules require that you keep this information current. After your Form ID

application is accepted and you have your EDGAR access codes, you can use the Edit Company

Information capability of the EDGAR Filing or OnlineForms/XML Websites to update this

information as required.

3.2.2.2.4

Contact for SEC Account Information

The Contact for SEC Account Information and Billing Invoices section of the Form ID

application is the fourth data entry section that is displayed upon the page (equivalent to Part IV

of the paper form). This information is to be supplied for all Filers and Filing Agents.

The Contact Address is required if any part of the address is different from the Mailing Address.

If the Contact Address is identical to the Mailing Address, the requestor may check the ―Contact

address same as mailing address‖ box and EDGAR will copy the Mailing Address information to

the Contact Address fields before submitting the Form ID application. When this box is checked,

the Contact Address data entry fields are disabled (grayed out with Internet Explorer).

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Figure 3-10: EDGAR Form ID Page, Contact for SEC Account Information

3.2.2.2.5

Signature

The Signature Information section of the Form ID application is the fifth data entry section that

is displayed upon the page (equivalent to Part V of the paper form). This information is to be

supplied for all applicants. If the applicant is a company, a duly authorized person - such as a

partner, president, treasurer, corporate secretary, officer, or director - must sign the Form ID

application. Individuals may have someone with their power of attorney sign the Form ID

application. Filing agents such as financial printers cannot sign this form on behalf of the issuer

unless they are specifically authorized to do so in writing. The written documentation must be

attached to the Form ID application. Refer to Section 3.2.3.2, Assembling the Form ID

Submission.

The Signature that is entered is the text equivalent of the signer’s manual legal signature. For

example, if Tobias Alowicious Smith uses ―T. A. Smith‖ as his legal signature, the requestor

would enter ―T. A. Smith‖ in this data entry field. Note that the Signature is for the applicant, the

authorized representative of an applicant that is not an individual, or the individual authorized to

sign by the individual applicant or authorized representative, which is not necessarily the

person who is filling in the form (although they could be the same).

The Title/Position is required only when the applicant is a company.

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Figure 3-11: EDGAR Form ID Page, Signature Information

3.2.3 Assembling and Submitting the Form ID Application

After you have entered all of the required data on the Form ID application, you are ready to

complete the process and submit the Form ID application to the SEC for acceptance. You

must do the following to finish the process:

Correct any errors

Upload any attachments

Define a passphrase

Submit the completed Form ID application

3.2.3.1 Verifying the Form ID Application

Note: The figures in this section all contain sample data. Each figure represents the type of data

that can be entered on the Form ID application. The figures are provided as examples of

what you will see; your data will be different.

The next step in the process is to complete the Form ID data entry phase. This is accomplished

as follows:

1. Click the [Continue] button (Figure 3-11: EDGAR Form ID Page, Signature

Information).

EDGAR validates the format and syntax of the information that you provided in

the Form ID application (you are responsible for confirming the accuracy of all

information submitted in the Form). If there are errors in the information

provided (such as missing required fields), your Form ID application with the

errors highlighted will be displayed (Figure 3-12: EDGAR Form ID, Errors

(Top)). Follow the instructions on the screen to correct the errors, and then click

the [Continue] button. Your updated Form ID application will be revalidated; if

errors remain, your updated Form ID application with any errors is displayed.

You must correct all errors to proceed past this point.

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For example, the following errors are marked in Figure 3-12:



Mailing State/Country is missing (required field)

Phone [Telephone Number] is not in the correct format

Figure 3-12: EDGAR Form ID, Errors (Top)

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2. If there are no errors in your Form ID application and the name conformance

process changes your Name, a dialog box appears (Figure 3-13: EDGAR Form

ID, Conformed Name Dialog).

The dialog box gives you the conformed Name of Applicant that will be used

when your Form ID application is submitted. Click the [OK] button in the

Conformed Name dialog box after you have reviewed the information.

Figure 3-13: EDGAR Form ID, Conformed Name Dialog

3. The EFMW Form ID Application Confirmation page appears (Figure 3-14:

EDGAR Form ID Application Confirmation Page (Top) and Figure 3-15:

(bottom)).

This page allows you to review the information that will be sent to EDGAR

after you submit this Form ID application. It also provides a way for you to edit

any incorrect information (except for the conformed Name of Applicant), to

upload/delete attachments and to define a passphrase.

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Figure 3-14: EDGAR Form ID Application Confirmation Page (Top)

If you want to change any of the data displayed on the EFMW Form ID

Application Confirmation page, click the [Edit Form ID] button in the middle of

the page (Figure 3-15: EDGAR Form ID Application Confirmation Page

(Bottom)).

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Figure 3-15: EDGAR Form ID Application Confirmation Page (Bottom)

The EFMW Form ID application page appears (Figure 3-16: EDGAR Form ID

Application Edit (Top)), prefilled with the data from your original Form ID

application. Change any of the data that you want, and then click the [Continue]

button. Your updated Form ID application will be reverified; if errors remain,

your updated Form ID application with any errors is displayed (Figure 12:

EDGAR Form ID, Errors (Top)).

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Figure 3-16: EDGAR Form ID Application Edit (Top)

3.2.3.2 Assembling the Form ID Submission

The Form ID application may include attachments (such as a Power of Attorney or your

scanned notarized Form ID authentication document). To assemble the Form ID submission

(i.e., associate any attachments with your Form ID application), you must upload them to

EDGAR (if you do not need to associate attachments with your Form ID application, skip this

step).

1. If you want to add or delete an attachment, click the [Upload/Delete

Attachments] button in the middle of the page (Figure 3-15: EDGAR Form ID

Application Confirmation Page (Bottom)).

The EFMW Upload/Delete Attachment(s) page appears (Figure 3-17: EDGAR

Form ID Upload/Delete Attachment(s) Page). This page displays a table of the

uploaded attachments and allows you to manage the attachments associated

with your Form ID application.

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Figure 3-17: EDGAR Form ID Upload/Delete Attachment(s) Page

To add an attachment, click the [Upload Attachment] button (any attachments you

plan to include should already have been prepared and saved in the appropriate

format prior to assembling your Form ID submission. ASCII [*.txt file extension],

HTML [*.htm file extension] and PDF are accepted; graphic formats are not

accepted). The Upload Attachment page appears (Figure 3-18: EDGAR Form ID

Upload Attachment Page). Enter the appropriate information in the data entry

fields, and then click the [Upload] button (to return to the Upload/Delete

Attachment(s) page without uploading an attachment, click on the [Cancel]

button). The EFMW Upload/Delete Attachment(s) page appears (Figure 3-17:

EDGAR Form ID Upload/Delete Attachment(s) Page) with your new attachment

displayed in the table.

Figure 3-18: EDGAR Form ID Upload Attachment Page

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To delete an attachment, select the radio button to the left of the attachment you

wish to delete and click on the [Delete Attachment] button. The selected

attachment will be discarded and its entry in the table on the Upload/Delete

Attachment(s) page will be removed.

The EFMW Upload/Delete Attachment(s) page appears (Figure 3-17) with your

new attachment displayed in the table. Continue to add or delete attachments until

you are satisfied, and then click the [OK] button to return to the Form ID

Application Confirmation page.

Scanned notarized Form ID authentication documents should be attached as

CORRESP document types.

3.2.4 Defining a Passphrase

The passphrase is a new EDGAR security code that is used to generate (or regenerate) the

EDGAR access codes needed to make filings via EDGAR with the SEC. The passphrase is not

used to log on to the EDGAR Filing or OnlineForms/XML Websites. The passphrase allows a

filer to generate a new set of EDGAR access codes if/when they are forgotten. (Refer to Section

4.1.1, Requesting an EDGAR Passphrase, for more information.)

It is important to remember that the passphrase and the EDGAR access codes are not assigned to

the requestor of the Form ID, but to the applicant.

The last step prior to submitting your Form ID application to the SEC is to specify a passphrase.

Please remember your passphrase. For security reasons, it cannot be recovered after the Form ID

application window has been exited.

Note: Defining a passphrase must be the last step before submitting a Form ID application to

the SEC. If you enter a passphrase and then click on the [Edit Form ID] or

[Upload/Delete Attachments] button, the passphrase is discarded. This sequence of steps

helps ensure the security of the passphrase.

1. To specify your passphrase, enter it in the data entry fields near the bottom of

the Form ID Application Confirmation page (Figure 3-19: EDGAR Form ID

Application Confirmation Page (Bottom)). For security reasons, your

passphrase must be eight characters in length and contain at least one digit and

one of the following characters: {@, #, *, $}.

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Figure 3-19: EDGAR Form ID Application Confirmation Page (Bottom)

3.2.4.1 Submitting a Form ID Application

After completing and editing your Form ID application, adding any attachments and specifying a

passphrase, you are ready to submit the Form ID application to the SEC.

Consider this step carefully: You cannot easily retract the Form ID application after it has been

submitted. If you decide that you do not want to submit the Form ID application, close the

browser window by clicking the [Exit Window] button at the bottom of the Form ID Application

Confirmation page. If you close the window, all of the data that you have entered on the Form ID

application and any attachments will be discarded.

1. To submit your Form ID application, click the [Submit Form ID] button at the

bottom of the Form ID Application Confirmation page (Figure 3-19, EDGAR

Form ID Application Confirmation Page (Bottom)).

A dialog box appears (Figure 3-20: EDGAR Form ID, Submittal Dialog) asking

you to confirm that you want to submit the Form ID application. If you do not

want to submit it, click the [Cancel] button and the dialog box will disappear;

otherwise, click the [OK] button to submit the Form ID application to the SEC.

Figure 3-20: EDGAR Form ID, Submittal Dialog

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Note: After you click the [OK] button, the Form ID application is submitted to

the automated submission processing portion of the EDGAR system. This

is the start of the acceptance process; your subsequent actions in this

browser window will not affect this process. However, the acceptance

process for your Form ID cannot be completed until your authentication

document (the scanned PDF or fax) has been reviewed by the Branch of Filer

Support. Refer to Section 3.2.5, Authentication Documentation, for more

information.

The EFMW Form ID Application Acknowledgment page appears (Figure 3-21:

EDGAR Form ID Application Acknowledgment Page). This page provides the

Accession Number for the submission (use this number when referring to this

submission) and lists the Form ID information that was submitted).

Note: The Accession Number is a unique code assigned

to your Form ID submission. It has a format of:

9999999996-[Year]-[Sequence Number]

Click the [Print Window] button near the bottom of the page to print this page to

make a copy for your records and to use as your Authentication documentation.

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Figure 3-21: EDGAR Form ID Application Acknowledgment Page

2. Click the [Exit Window] button near the bottom of the Form ID Application

Confirmation page to finish the process by closing the browser window.

A dialog box appears (Figure 3-22: EDGAR Form ID, Exit Window Dialog)

asking you to confirm that you want to exit the browser window. If you do not

want to exit, click the [Cancel] button and the dialog box will disappear;

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otherwise, click the [OK] button and the browser window will be closed and the

previously entered Form ID information and any attachments (documents) will

be discarded.

Figure 3-22: EDGAR Form ID, Exit Window Dialog

3.2.4.2 Starting Another Form ID Application

If you would like to start another Form ID application, directly from the Form ID Application

Acknowledgment page, click one of the buttons provided for this purpose near the bottom of

the page (Figure 3-21: EDGAR Form ID Application Acknowledgment Page).

3.2.4.2.1

Create New, Blank Form ID

This option returns you to the Form ID Application page (in the same browser window) and

deletes all of the data that you had previously entered. Use this capability when you need to

submit another Form ID application for a company or person whose information is different from

that previously entered.

1. Click the [Create New, Blank Form ID] button near the bottom of the Form ID

Application Confirmation page.

A dialog box appears (Figure 3-23: EDGAR Form ID, New Blank Form Dialog)

warning you that the previously entered Form ID information and any

attachments (documents) will be cleared if you continue. If this is not your

desire, click the [Cancel] button on the dialog box.

Figure 3-23: EDGAR Form ID, New Blank Form Dialog

If you would like to start a new, blank Form ID application, click the [OK]

button on the dialog box. The EFMW Apply for EDGAR Access (New) page

appears in the same browser window without any of the previously entered data.

Follow the previous instructions (Section 3.2, New SEC Filer: Applying for

EDGAR Access) to compose and submit this new Form ID application.

3.2.4.2.2

Create New, Pre-filled Form ID

After submitting one Form ID application, the Create New, Pre-Filled Form ID option returns

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you to the Form ID Application page (in the same browser window) and prefills all of the data

entry fields with the data that you had previously entered, except for the Name of Applicant or

Name of Individual (as appropriate). Use this capability when you need to submit another Form

ID application for a company or person whose information is materially the same as that

previously entered.

1. Click the [Create New, Pre-filled Form ID] button near the bottom of the Form

ID Application Confirmation page.

A dialog box appears (Figure 3-24: EDGAR Form ID, New Pre-filled Form

Dialog) warning you that the previously entered Form ID information and any

attachments (documents) will be retained if you continue. If this is not your

desire, click the [Cancel] button on the dialog box.

Figure 3-24: EDGAR Form ID, New Pre-filled Form Dialog

If you would like to start a new, prefilled Form ID application, click the [OK]

button on the dialog box. The EFMW Apply for EDGAR Access (New) page

appears in the same browser window with all of the previously entered data

except for the Name (which is empty). Follow the previous instructions (Section

3.2, New SEC Filer: Applying for EDGAR Access) for composing and

submitting this new Form ID application.

3.2.5 Authentication Documentation

The Form ID application must be supplemented with additional verification to help ensure that

the application is authentic. Accordingly, the applicant is required to attach a manually signed,

notarized, and scanned PDF file to their electronic Form ID. (NOTE: A fillable PDF Form ID

is provided for this purpose on the SEC’s Public Site.) Optionally the applicant may file with

the SEC within two business days before or after electronically filing Form ID by faxing a

signed and notarized document (signed by the applicant over his typed signature), that includes

the information contained in the Form ID. If the fax is not received within this period, the

application will be rejected and the applicant must reapply.

3.2.6 Application Acceptance and Applicant Notification

After the SEC receives both the electronic Form ID application and the associated authentication

documentation, the SEC will review and accept or reject the information provided on the Form

ID. Manual examination of the authentication document will take less time if you provide the

scanned PDF version, rather than the faxed version of the authentication document. Faxed

authentication documents, may require a day or more to complete.

A notification message stating the SEC’s disposition of the application will be sent to the e-mail

address provided in the ―Contact for EDGAR Information‖ part of the Form ID. The disposition

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will be either ―accepted‖ or ―rejected.‖

If the application was accepted, the e-mail message will include but will not be limited to the

following information:

Text saying that the Form ID was accepted by the SEC

The new Central Index Key [CIK]

Basic directions for how to generate EDGAR access codes

The URL of the EDGAR Filer Management Website

If the application was rejected, the e-mail message will include but will not be limited to the

following information:

Text saying that the Form ID was rejected by the SEC

The reason that the application was rejected

Basic instructions on how to resolve the issues

3.3

Current SEC Filer: Applying for EDGAR Access

This section explains the process of applying for access to EDGAR for applicants who are

currently filing with the SEC, unless they seek to file in a different capacity (e.g., ―individual,‖

―filing agent,‖ or ―training agent‖). Other filers should follow the instructions in Section 3.2,

New SEC Filer: Applying for EDGAR Access.

3.3.1 Current Paper Only Filer

Note: The ―applicant‖ is the company or individual who is required to file with the SEC, not

necessarily the person who is filling in the form (although it could be). The term ―requestor‖ is

used to refer to the person who is filling in the form.

This section outlines the process for composing and submitting an EDGAR access request using

the EFMW when the applicant currently makes paper filings (only) with the SEC and wants to

start to file electronically. Before beginning, ensure that you know the Central Index Key (CIK)

of the applicant. If you do not know the CIK, you can look up the applicant by name by

connecting to the EDGAR Company Database at URL

http://www.edgarcompany.sec.gov

and clicking the [Company Search] button. The CIK is one of the items returned by querying this

database.

3.3.1.1 Converting from Paper to Electronic Filer

To convert from a Paper Only Filer to an Electronic Filer, you must submit the EDGAR access

request. This is accomplished as follows:

1. Connect to the EFMW Welcome page. (Refer to Section 3.1.2, Accessing the

EDGAR Filer Management Website.)

2. Click on ―Convert Paper Only Filer to Electronic Filer‖ in the menu bar.

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3. A new browser window opens with the data entry page for the EDGAR access

request (Figure 3-25: EDGAR Convert Paper Only Filer to Electronic Filer

Page).

4. Refer to Section 3.2.2.1, Data Entry Conventions, for the standards used on all

of the EFMW pages.

5. Enter the required data (CIK, passphrase and e-mail address)

Refer to Section 3.2.4, Defining a Passphrase, for more detailed description of

the passphrase. For security reasons, the passphrase must be eight characters in

length and contain at least one digit and one of the following characters: @, #,

*, $.

6. Click on the [Continue] button near the bottom of the page after entering the

data.

Figure 3-25: EDGAR Convert Paper Only Filer to Electronic Filer Page

The EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page

opens. (Figure 3-26: EDGAR Convert Paper Only Filer to Electronic Filer

Confirmation Page) This page serves as the authentication document for the

process.

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Figure 3-26: EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page

7. Click on the [Print Window] button near the bottom of the page to print the

authentication document. The printed document must be signed and notarized.

8. Determine how you would like to submit the authentication document to the

SEC. You can either:

Upload the signed and notarized document

Fax the signed and notarized document.

Note: The acceptance process cannot be completed until you submit the

authentication document to the SEC—refer to Section 3.3.1.2, Authentication

Documentation, for more information.

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If you want to upload the notarized document, then proceed to the next step.

Alternatively, if you choose to fax the notarized document, then proceed to step

#14.

9. Scan the authorization document and save it in PDF format. Then, click the

[Upload/Delete Attachments] button on the Convert Paper Only Filer to Electronic

Filer Confirmation Page.

Note: Documents for uploading must be in PDF format.

The EDGAR Upload/Delete Attachment Page opens. (Figure 3-27: EDGAR

Upload/Delete Attachment Page) This page is used to manage the attachments

associated with your EDGAR access request.

Figure 3-27: EDGAR Upload/Delete Attachment Page

10. To add an attachment, click on the [Upload Attachment] button. The EDGAR

Upload Attachment page opens. (Figure 3-28: EDGAR Upload Attachment Page)

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Figure 3-28: EDGAR Upload Attachment Page

11.Click on the [Browse] button to select the attachment. Only PDF documents can

be uploaded. The documents must have the .pdf file extension

Note: The Type field defaults to CORRESP and it is non-editable.

12. Enter a description for the attachment, and click on the [Upload] button.

The EDGAR Upload/Delete Attachment Page opens and the new attachment is

displayed in the Attached Document List table.

Note: To cancel an attachment, click on the [Cancel] button; to close the

browser window, click on the [Exit Window] button.

13. Continue to add or delete attachments as needed, and then click on the [OK]

button.

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Figure 3-29: New attachment in the Attached Document List table

The Convert Paper Only Filer to Electronic Filer Confirmation Page opens. (Figure

3-30: EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page)

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Figure 3-30: EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page

14. Click on the [Submit] button to submit the Convert Paper Only Filer to

Electronic Filer request. A dialog box displays asking for confirmation. (Figure 331: EDGAR Convert to Electronic Filer, Continue Dialog Box) To submit the

request to EDGAR for processing, click on the [OK] button; to cancel the request,

click on the [Cancel] button.

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Figure 3-31: EDGAR Convert to Electronic Filer, “Continue” Dialog Box

Note: After you click the [OK] button, the Convert Paper Only Filer to Electronic

Filer request is submitted to the automated submission processing portion

of the EDGAR system. This is the start of the acceptance process; any

subsequent actions in this browser window will not affect this process.

The EFMW Convert Paper Only Filer to Electronic Filer Acknowledgment page

appears (Figure 3-32: EDGAR Convert Paper Only Filer to Electronic Filer

Acknowledgment Page). This page provides the Accession Number for the

submission - use this number when referring to this submission.

Figure 3-32: EDGAR Convert Paper Only Filer to Electronic

Filer Acknowledgment Page

15. Click on the [Exit Window] button to complete the process and close the

browser window.

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3.3.1.2 Authentication Documentation

The Convert Paper Only Filer request must be supplemented with an additional authentication

document to ensure that the request is authentic. The authentication document must be signed

and notarized, and include the following information:

CIK

Name associated with that CIK

Current Company Mailing Address

Contact Person

Contact Telephone Number

Signature of authorized person

Printed Name of Signature

Title of Person Signing

Acknowledgement accession number

Note: If the fax option is chosen, the authentication document must reach the SEC within two

business days of the Convert Paper Only Filer to Electronic Filer submission request. If the SEC

does not receive the fax within this period, they will reject the request and the requestor will need

to reapply.

3.3.1.3 Request Acceptance and Applicant Notification

After the SEC receives both the electronic Convert Paper Only Filer to Electronic Filer request

and the associated Authentication documentation, the SEC will authenticate the information

provided on the Convert Paper Only Filer to Electronic Filer request. A notification message

stating the SEC’s disposition of the request will be sent to the e-mail address provided in the

request. The disposition will be either ―accepted‖ or ―rejected.‖

If the request is accepted, the e-mail message will include but will not be limited to the following

information:

Text saying that the request was accepted by the SEC

Text stating that the specified passphrase was activated

Basic directions for how to generate EDGAR access codes

Instructions on how to review and update your company information (e.g., Business

Address) to ensure that it is accurate and up-to-date

The URL of the EDGAR Filer Management Website

If the request is rejected, the e-mail message will include but will not be limited to the following

information:

Text saying that the request was rejected by the SEC

The reason that the request was rejected

Basic instructions on how to resolve the issue

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3.3.2 New Serial Company

Note: The “applicant” is the company or individual who is required to file with the SEC,

not necessarily the person who is filling in the form (although it could be). The term

―requestor‖ is used to refer to the person who is filling in the form.

A serial company is created as a result of a ―parent‖ company filing a Form 424B6, using a serial

tag, with the SEC. When the 424B submission is accepted by the SEC, the serial company is

created in EDGAR and a [new] CIK is assigned. However, the act of creating the serial company

in EDGAR does not automatically result in EDGAR access for the new company: the new serial

company must request access to EDGAR. This section outlines the process for composing and

submitting an EDGAR access request using the EFMW when the applicant is a newly created

serial company.

Before beginning, ensure that you know the Central Index Key (CIK) of the applicant (it will be

specified in the notification message sent to the parent company by EDGAR after the SEC

accepts the Form 424B). If you do not know the CIK, you can look up the serial company by

name using the EDGAR Company Database at URL:

http://www.edgarcompany.sec.gov

and clicking the [Company Search] button. The CIK is one of the items returned by querying this

database.

Note: The EDGAR Company Database is updated nightly so it will be populated with the new

serial company’s CIK no earlier than the day after the 424B that created it is accepted.

3.3.2.1 Composing the New Serial Company Access Request

The first step for composing an EDGAR access request is to bring up the EDGAR access request

data entry form. This is accomplished as follows:

1. Connect to the EFMW Welcome page. (Refer to Section 3.1.2, Accessing the

EDGAR Filer Management Website.)

2. Click on EDGAR Access for New Serial Companies in the menu bar.

3. A new browser window opens and the data entry page for the EDGAR access

request appears (Figure 3-33: EDGAR Access for New Serial Companies Page).

4. Refer to Section 3.2.2.1, Data Entry Conventions, for the standards used on all

of the EFMW pages.

―424B‖ is a shorthand reference for Forms 424B1, 424B2, 424B3, 424B4, 424B5, 424B6, and 424B7.

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Figure 3-33: EDGAR Access for New Serial Companies Page

5. Enter the required data (CIK, passphrase and e-mail address)

Refer to Section 3.2.4, Defining a Passphrase, for a more detailed description of

the passphrase. For security reasons, the passphrase must be at least eight

characters in length and contain at least one digit and one of the following

characters:{@, #, *, $}.

6. Click on the [Submit Serial Company Request] button near the bottom of the

page when you are satisfied with the data that you entered.

A dialog box appears (Figure 3-34: EDGAR New Serial Company Access,

―Continue‖ Dialog) asking you to confirm that you want to submit the request.

If you do not want to submit the request, click the [Cancel] button and the

dialog box will disappear; otherwise, click the [OK] button.

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Figure 3-34: EDGAR New Serial Company Access, “Continue” Dialog

Note: After you click the [OK] button, the EDGAR Access for New Serial

Companies request is submitted to the automated submission processing

portion of the EDGAR system. This is the start of the acceptance process;

your subsequent actions in this browser window will not affect this

process. However, the acceptance process cannot be completed until you

submit Authentication documentation to the SEC. Refer to Section 4.1.1.2,

Authentication Documentation, for more information.

The EFMW EDGAR Access for New Serial Companies Acknowledgment page

appears (Figure 3-35: EDGAR Access for New Serial Companies

Acknowledgment Page). This page provides the Accession Number for the

submission - use this number in the future when referring to this submission.

Figure 3-35: EDGAR Access for New Serial Companies Acknowledgment Page

Note: The Accession Number is a unique code assigned

to your Form ID submission. It has a format of:

9999999996-[Year]-[Sequence Number]

Click the [Print Window] button near the bottom of the page to print this page

for your records.

Once this page is printed, you may use it to satisfy the SEC’s

authentication requirements.

7. Click the [Exit Window] button to finish the process by closing the browser

window.

No confirming dialog box is displayed - the browser window is just closed.

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3.3.2.2 Authentication Documentation

The EDGAR Access for New Serial Companies request must be supplemented with additional

verification to help ensure that the request is authentic. Accordingly, the filer is required to file

with the SEC in paper by fax within two business days after electronically filing the request a

notarized document, manually signed by the filer over its printed or typed signature that includes

the information identified here and confirms the authenticity of the request. If we do not receive

the fax within this period, we will reject the request and the requestor will need to reapply. The

authentication documentation should include the following information:

CIK

Name associated with that CIK

Name of the contact person for purposes of this request

Acknowledgement accession number

Contact person of the parent company on database

Contact telephone number of the parent company on database

Accession number of the 424B filing that created the serial company

Printed or typed signature of authorized person

3.3.2.3 E-mail Notification of Acceptance or Rejection

After the SEC receives both the electronic EDGAR Access for New Serial Companies request

and the associated Authentication documentation, the SEC will authenticate the information

provided on the EDGAR Access for New Serial Companies request. A notification message

stating the SEC’s disposition of the request will be sent to the e-mail address provided in the

request. The disposition will be either ―accepted‖ or ―rejected.‖

If the request is accepted, the e-mail message will include but will not be limited to the following

information:

Text saying that the request was accepted by the SEC

Text stating that the specified passphrase was activated

Basic directions for how to generate EDGAR access codes

The URL of the EDGAR Filer Management Website

If the request is rejected, the e-mail message will include but will not be limited to the following

information:

Text saying that the request was rejected by the SEC

The reason that the request was rejected

Basic instructions on how to resolve the issue

3.4

Creating an Asset Backed Securities Issuing Entity

Request Asset-Backed Securities (ABS) Issuing Entities Creation allows an Asset-Backed

Securities Depositor to request the creation of up to 100 related Issuing Entities. The depositor

must have a SIC code 6189 in order to initiate this request. Note: It is advisable to limit the

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number of companies specified in any one request. If there is a problem with the appropriateness

of one of the names of the Issuing Entities, your request may be rejected. If this happens, then

you must resubmit your entire request.

Once you have logged into EDGAR and accessed the Retrieve/Edit Company and Submission

Data page, you can prepare a request to create ABS Issuing Entities:

1. Login to EDGAR.

2. When you reach the EDGAR Welcome page, click on Retrieve/Edit Data.

3. Figure 3-36: Retrieve/Edit Data Page appears and prompts you for your CIK

and CCC information:

 Enter your CIK in the CIK field and press [Tab].

 Enter your CCC in the CCC field.

 Click on the [Continue] button.

Figure 3-36: Retrieve/Edit Data Page

Figure 3-37: Retrieve/Edit Company and Submission Data Page appears.

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Figure 3-37: Retrieve/Edit Company and Submission Data Page

4. Click on Request Asset-Backed Securities (ABS) Issuing Entities Creation. The

Add ABS Issuing Entities page appears as shown in Figure 3-38: Add ABS

Issuing Entities Page.

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Figure3-38: Add ABS Issuing Entities Page

5. For each Issuing Entity to be created you must provide the following

information:

 Company Name

Note: The ―Company Name‖ must be in English! Also, the value that

you enter will be conformed to meet EDGAR standards. These

standards can be accessed by clicking on the link in the note above the

Company Name field.



E-mail Address

Re-enter E-mail Address

Passphrase

Note:



Your passphrase must be eight (8) characters long and must

contain at least one digit and one of the following characters: @,

#, *, or $. Please remember the passphrase as you type, as the

passphrase will not be displayed.

Re-enter Passphrase

On this screen, required fields are indicated by an asterisk (*). If you do not fill in

all required fields, you will be prompted with an error upon submission. If you

want to cancel the changes, click on the [Cancel] button at any time. If you do

cancel your request then you will lose all data you entered in the request.

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6. Once you have completed the required information you can either add another

company by clicking on the [Add Another Company] button or you can go on to

the next step by clicking on the [OK] button.

7. When you click on the [OK] button the ―Request ABS Issuing Entities Creation

Information‖ page will be displayed showing each requested company with its

conformed name and e-mail address as shown in Figure 3-39: Request ABS

Issuing Entities Creation Information Page.

Figure3-39: Request ABS Issuing Entities Creation Information Page

8. From here you can choose to continue to add companies to your request, modify

one of your entries that you entered as part of this request, delete one of your

entries that you entered as part of this request, print your requested entries, or

submit your request. Please note that requested information is not saved until

you verify and submit your request. To verify and submit your request, click on

the [Verify/Submit] button. When you click on the [Verify/Submit] button a

Request ABS Issuing Entities Creation Confirmation screen will be displayed as

shown in Figure 3-40: Request ABS Issuing Entities Creation Confirmation

Page.

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Figure 3-40: Request ABS Issuing Entities Creation Confirmation Page

9. Carefully review your requested information, then either click on the

[Confirm/Submit] button to submit your request or click on the [Continue Edit]

button to return to the Request ABS Issuing Entities Creation Information

screen. Note: Intentional misstatements or omissions of facts constitute federal

criminal violations. See 18 U.S.C.1001.

10. When you click on the [Confirm/Submit] button the Request ABS Issuing

Entities Creation Result screen will be displayed with the EDGAR accession

number of your request displayed as shown in Figure 3-41: Request ABS

Issuing Entities Creation Result Page.

Figure3-41: Request ABS Issuing Entities Creation Result Page

11. SEC’s Branch of Filer Support staff will review your request. They can reject

any requested name if it is deemed unacceptable.

Once Filer Support processes your request EDGAR will send a notification message to

your e-mail address and to the e-mail address of each requested Issuing Entity. If your

request was accepted then the notification message would contain the CIK associated with

each requested Issuing Entity name along with instructions on how the Issuing Entities can

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generate their EDGAR access codes. If your request was rejected then the notification

message will contain the reason why your request was rejected. You must re-submit

another request to create Asset-Backed Securities Issuing Entities addressing the issue in

which the initial request was rejected and including all of the Issuing Entities and

associated information that were entered on the initial request.

3.5

Examples of Notification Messages

This section contains examples of the notification messages that EDGAR will send to the

applicant/filer in response to a Form ID application, a Convert Paper Only Filer to Electronic

Filer request and an EDGAR Access for New Serial Companies request. For each type of

submission, examples of both an acceptance message and a rejection message are provided.

These messages will be sent to the e-mail address specified by the requestor or to the filer’s email address of record. If they are associated with a valid CIK, they will also be posted to the

EDGAR Filing and OnlineForms/XML Websites (the rejection message for a Form ID

application will never be posted to these websites as a CIK does not exist for the applicant).

Note: None of the data contained in these messages is real; it merely represents the type of data

that would typically be contained in the message. Do not attempt to use any of this data

with the EDGAR system.

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3.5.1 Form ID Application Messages

Figure 3-42: EDGAR Form ID Application Notification, Accepted

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Figure 3-43: EDGAR Form ID Application Notification, Rejected

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3.5.2 Convert Paper Only Filer to Electronic Filer Request

Figure 3-44: EDGAR Convert to Electronic Filer Notification, Accepted

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Figure 3-45: EDGAR Convert to Electronic Filer Notification, Rejected

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3.5.3 EDGAR Access for New Serial Companies Request

Figure 3-46: EDGAR New Serial Access Notification, Accepted

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Figure 3-47: EDGAR New Serial Access Notification, Rejected

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GENERATING EDGAR ACCESS CODES

There are two methods for generating access codes on the EDGAR system. The first is to

generate all of the codes when the EDGAR system has accepted your application for access.

Generally, there are three situations when this process is used:

For a new electronic filer.

For an electronic filer who has forgotten their EDGAR access codes.

For an electronic filer who wants to change EDGAR access codes for security

purposes.

For an electronic filer whose password has expired.

Section 4.1, Generating All EDGAR Access Codes, explains generating a complete set of access

codes. If your Form ID application for EDGAR access has not been accepted by the SEC, please

refer to Section 3.2, New SEC Filer: Applying for EDGAR Access. If you are an existing filer

and would like to change individual codes, either your CCC or Password, Section 4.1.3,

Changing your CCC or Password, explains this process. Finally, some filers who have not

logged onto the EDGAR system since the origination of passphrases may be asked to create a

passphrase for the first time. Please see Section 4.1.4, Creating a Passphrase for the First Time,

for details.

The second method of generating access codes is to generate them individually. In Section 4.1.1,

Requesting an EDGAR Passphrase, the process for requesting an EDGAR passphrase is

described.

4.1

Generating All EDGAR Access Codes

This section describes how to generate a complete set of EDGAR access codes (PMAC,

password, and CCC). To perform this function, the filer must have a current, valid CIK and

passphrase.

You cannot obtain individual access codes using the EFMW, only a complete set. However, the

EDGAR Filing and OnlineForms/XML Websites allow you to generate just a new password (if

you know the filer’s PMAC) or just a new CCC (if you know the filer’s password). Please see

later subsections for these details.

As long as a filer’s EDGAR access codes are appropriately protected and kept current, this

capability is not often needed. (The password expires yearly; the PMAC and CCC do not

expire.)

Before beginning, ensure that you know the Central Index Key (CIK) of the filer. (It will be

specified in the notification message that was sent when the filer’s electronic Form ID

application was accepted). If you do not know the CIK, you can look up the filer name in the

EDGAR Company Database at URL:

http://www.edgarcompany.sec.gov

If you enter the Company Name and click the [Company Search] button to query the database,

the CIK is one of the items returned.

You must also know the filer’s passphrase. (The passphrase was specified in connection with the

electronic Form ID application, on an Update Passphrase request, on a Convert Paper Only Filer

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to Electronic Filer request, or on an EDGAR Access for New Serial Companies request).

The first step in generating a set of EDGAR access codes is to open the EDGAR Generate

Access Codes data entry form. This is accomplished as follows:

1. Connect to the EFMW Welcome page. (Refer to Section 3.1.2, Accessing the

EDGAR Filer Management Website.)

2. Click on Generate Access Codes (New/Replacement) in the menu bar.

3. A new browser window opens and the Generate Access Codes

(New/Replacement) page appears (Figure 4-1: EDGAR Generate Access Codes

(New/Replacement) Page).

4. Refer to Section 3.2.2.1, Data Entry Conventions, for the standards used on all

of the EFMW pages.

Figure 4-1: EDGAR Generate Access Codes (New/Replacement) Page

5. Enter the required data (CIK and Passphrase).

6. Click on the [Generate Access Codes] button near the bottom of the page.

A dialog box appears (Figure 4-2: EDGAR Generate Access Codes, ―Continue‖

Dialog) asking you to confirm that you want to submit the request. If you do not

want to submit the request, click the [Cancel] button and the dialog box will

disappear; otherwise, click the [OK] button.

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Figure 4-2: EDGAR Generate Access Codes, “Continue” Dialog

If you clicked the [OK] button, the EFMW Generate Access Codes

Acknowledgment page appears (Figure 4-3: EDGAR Generate Access Codes

Acknowledgment Page). This page provides the filer’s CIK and a set of new

EDGAR access codes that are associated with that CIK. You should remember

these codes, after you close this page there is no way to recover them – if

you forget them, you will need to generate a new set.

Figure 4-3: EDGAR Generate Access Codes Acknowledgment Page

Note: The CIK and EDGAR access codes specified in Figure 4-3 are examples

only; do not attempt to use these codes with EDGAR!

7. Click the [Exit Window] button to close the browser window and finish the

process.

No confirming dialog box is displayed – the browser window is just closed.

4.1.1 Requesting an EDGAR Passphrase

This section describes how to request a new EDGAR passphrase for:

A filer who has forgotten their passphrase.

A filer who wants to change a passphrase for security purposes.

Note that this capability is not needed as long as a filer’s passphrase and EDGAR access codes

are appropriately protected and kept current (the password expires yearly; the passphrase, PMAC

and CCC do not expire).

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4.1.1.1 Composing the New Passphrase Request

The first step for composing an EDGAR passphrase request is to bring up the EDGAR

passphrase request data entry form. This is accomplished as follows:

1. Connect to the EFMW Welcome page. (Refer to Section 3.1.2, Accessing the

EDGAR Filer Management Website.)

2. Click on Update Passphrase in the menu bar.

3. A new browser window opens and the data entry page for the Update

Passphrase page appears (Figure 4-4: EDGAR Update Passphrase Page).

Refer to Section 3.2.2.1, Data Entry Conventions, for the standards used on all

of the EFMW pages, including this one.

Figure 4-4: EDGAR Update Passphrase Page

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4. Enter the required data (CIK and passphrase) and a reason for making the

request (optional).

Refer to Section 3.2.4, Defining a Passphrase, for a more detailed description

of the passphrase. For security reasons, the passphrase must be at least eight

characters in length and contain at least one digit and one of the following

characters:{@, #, *, $}.

The Reason for Request data entry field is optional and allows you to enter

free-form text explaining why the filer needs a new passphrase. This allows

you to provide information that may help the SEC process your request.

5. Click on the [Update Passphrase] button near the bottom of the page when you

are satisfied with the data that you entered.

A dialog box appears (Figure 4-5: EDGAR Update Passphrase, ―Continue‖

Dialog) asking you to confirm that you want to submit the request. If you do not

want to submit the request, click the [Cancel] button and the dialog box will

disappear; otherwise, click the [OK] button.

Figure 4-5: EDGAR Update Passphrase, “Continue” Dialog

Note:

After you click the [OK] button, the EDGAR Update Passphrase

request is submitted to the automated submission processing portion of

the EDGAR system. This is the start of the acceptance process; your

subsequent actions in this browser window will not affect this process.

However, the acceptance process cannot be completed until you

submit authentication documentation to the SEC – refer to Section

4.1.1.2, Authentication Documentation, for more information.

The EFMW EDGAR Update Passphrase Acknowledgment page appears

(Figure 4-6: EDGAR Update Passphrase Acknowledgment Page). This page

provides the Accession Number for the submission, which uniquely identifies

the submission and is used when referencing the submission.

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Figure 4-6: EDGAR Update Passphrase Acknowledgment Page

Click the [Print Window] button near the bottom of the page to print this page

for your records. Once this page is printed, you may use it to satisfy the SEC’s

authentication requirements.

6. Click the [Exit Window] button to finish the process by closing the browser

window.

An ―are you sure‖ dialog box is not displayed; the browser window is just

closed.

4.1.1.2 Authentication Documentation

The Update Passphrase request must be supplemented with additional verification to help ensure

that the request is authentic. Accordingly, the filer is required to file with the SEC in paper by

fax within two business days after electronically filing the request a notarized document,

manually signed by the filer over its printed or typed signature, that includes the information

identified here and confirms the authenticity of the request. If we do not receive the fax within

this period, we will reject the request and the requestor will need to reapply. The authentication

documentation should include the following information:

CIK

Name associated with that CIK

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Name of the contact person for purposes of this request

Acknowledgement accession number

Contact person

Contact telephone number

Manual signature of authorized person

Printed name of authorized person

Title of authorized person

4.1.1.3 E-mail Acceptance or Rejection Notification

After the SEC receives both the electronic EDGAR Update Passphrase request and the

associated authentication documentation, the SEC will authenticate the information provided on

the EDGAR Update Passphrase request. A notification message stating the SEC’s disposition

of the request will be sent to the e-mail address provided in the request. The disposition will be

either ―accepted‖ or ―rejected.‖

If the request is accepted, the e-mail message will include but will not be limited to the following

information:

Text stating that the request was accepted by the SEC

Text stating that the specified passphrase was activated

Basic directions for how to generate EDGAR access codes

The URL of the EDGAR Filer Management Website

If the request is rejected, the e-mail message will include but will not be limited to the following

information:

Text saying that the request was rejected by the SEC

The reason that the request was rejected

Basic instructions on how to resolve the issue

These messages will be sent to filer’s e-mail address of record. If they are associated with a valid

CIK, they will also be posted to the EDGAR Filing and OnlineForms/XML Websites.

Note: None of the data contained in these messages is real; it merely represents the type of data

that would typically be contained in the message. Do not attempt to use any of this data

with the EDGAR system.

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4.1.2 Update Passphrase Request

Figure 4-7: EDGAR Update Passphrase Notification, Accepted

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Figure 4-8: EDGAR Update Passphrase Notification, Rejected

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4.1.3 Changing your CCC or Password

Usually, changing all of your access codes will not be required. A more routine procedure would

be to change either your password or CCC. Your password allows you access to the EDGAR

systems, including all websites. You should not share this password with anyone outside your

company. It is appropriate to change your password under the following circumstances:

Key staff who held the password are no longer employed by your company

You are concerned that your password has been given to outsiders

Your company policies require the routine update of the password at intervals other

than required by EDGAR.

The CCC allows you the flexibility to permit others to file on your behalf, usually filing agents.

It is prudent to change this code after another party submits each filing. This is especially

important if you use more than one filing agent. If you do not follow this policy or do not use

more than one agent, then at the very least, the code needs to be refreshed if you change filing

agents. The integrity of this code is your responsibility; please do not give this code to anyone

who does not need to use it on your behalf.

Once on the main EDGAR Welcome page, if you need to change your access codes, click on

Retrieve/Edit Data.

The Change Company Password or CCC option has a page for you to select either of two options

as shown in Figure 4-9: Change Company Password or CCC Page:

Change Password

Change CCC (CIK Confirmation Code)

Click on the Change Company Password or CCC option on the Retrieve/Edit Data page, and this

page will appear.

Figure 4-9: Change Company Password or CCC Page

Your EDGAR password is good for only twelve (12) months. Be sure you change your password

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on the EDGAR Filing Website before it expires.

4.1.3.1 Changing Your Password

1. Click on the Change Password link Change Company or CCC page.

Figure 4-10: Change Company Password

Note:

Your password must contain eight characters with at least one letter, one

number, and one of the following characters: @, #, *, $.

2. When the Change Password page appears, enter the company’s CIK, Old

Password, New Password, Confirm the New Password, and Password

Modification Access Code (PMAC).

3. Click on the [Change Password] button.

Figure 4-11: Change Password Results Page

Note: All CCCs and passwords are case-sensitive and must be entered correctly.

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4.1.3.2 Changing Your CCC (CIK Confirmation Code)

You can change your CCC at anytime.

To change your CCC:

1. Click on the Change CCC link on the Change Company or CCC page.

2. Enter your CIK, Password, new CCC, and Confirm New CCC.

3. Click on the [Change CCC] button.

Figure 4-12: Change CCC (CIK Confirmation Code) Page

Note: Your CCC must contain eight characters with at least one letter, one number, and one

of the following characters: @, #, *, $.

The Change CCC Results page appears, confirming your CCC change. This change is

effected immediately on the EDGAR Filing Website. If you exit the site and try to login

again, you must use the new CCC.

Figure 4-13: Change CCC Results Page

If you mistype your CIK or CCC, you may see the Invalid CIK/CCC error screen. Click

the [Back] button on your browser and enter it again. If you are still having problems,

please call Filer Support at (202) 551-8900 for help.

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4.1.4 Creating a Passphrase for the First Time

When logging into any of the EDGAR websites, if your CIK and password are valid and you

have a passphrase, the Welcome page appears. Some filers, who have not logged into the system

for a long time, may find that they have not yet created a passphrase since the introduction of this

process on the EDGAR system. Filers will only have to follow this process once; however, the

EDGAR system will not let you proceed until the passphrase has been created. The first screen

you will see is shown in Figure 4-14: The EDGAR Create Passphrase Page.

Figure 4-14: The EDGAR Create Passphrase Page

1. To define a passphrase, type it in the data entry fields provided. (The passphrase

is not displayed and it is an important security code: typing it twice ensures that

no typographical errors occur during entry.)

2. Enter your existing PMAC (doing so verifies that you have the right to define a

passphrase). If you have forgotten your PMAC, contact our Filer Support Staff

at (202) 551-8900 for help.

3. Click the [Create Passphrase] button. If your new passphrase is in the correct

format (it must be in the same format as the PMAC) and the PMAC is valid for

the CIK, the Create Passphrase Results page is displayed. (You will be informed

of any errors in the data entered and will be required to correct them before you

can proceed.)

Figure 4-15: The EDGAR Create Passphrase Results Page

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4. Click the [Continue to EDGAR Welcome] button. The Welcome page appears.

Figure 4-16: The EDGAR Welcome Page (Top)

Notes:

If you mistype your password, EDGAR considers it an invalid password and access to

EDGAR is denied.

If you accidentally mistype the CIK or password, you can press the [Back] button to

return to the Login page, and try again.

If your CIK and password do not match those saved in the database, you will see an

Invalid Login page. If you find you are getting the Invalid Login page and your CIK

and password are entered correctly, please contact Filer Support at (202) 551-8900

for help.

Additional error messages you may see are Password Login Expiration messages.

There are two different types of messages: Login Password to Expire Soon or Login

Password Expired. If your password expires soon or if your password has expired

within the last 10 days, EDGAR allows you to create a new password using your

PMAC. If you have a passphrase, you can get a new set of EDGAR access codes

(including a password) using the EDGAR Filer Management Website – even if your

password has been expired for more than 10 days. If you need assistance, contact our

Filer Support Staff at (202) 551-8900 for help.

The passphrase is a security code and is used to generate EDGAR access codes. You

must define a passphrase before you can access any of the EDGAR capabilities.

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MAINTENANCE OF COMPANY DATA

Once you have obtained your access codes and are a registered EDGAR filer, you should

maintain your company data. This chapter will help you by illustrating the process of

maintaining your data.

5.1

To enter or edit your company information, change your password or CCC, or check the status of

a submission, you will need to login to EDGAR:

1. Connect to the Internet.

2. Go to the EDGAR Gateway: http://www.portal.edgarfiling.sec.gov

3. Click on the Are you an EDGARLink Online filer or would you like to create a

new Asset-Backed Securities Issuing Entity? link.

4. The EDGAR Filing Website login page is displayed where you must enter your

access data.

5. Click in the CIK field and enter your CIK.

6. Press [Tab] and enter your password.

7. This is your login password, not your CCC, or PMAC. Your password is casesensitive.

8. Click the [Login to EDGAR] button.

9. The Create Passphrase page appears if your CIK and password are valid and

you do not have a passphrase. Refer to Section 4.1.4, Creating a Passphrase for

the First Time, if you are asked to create a passphrase.

10. If your CIK and password are valid and you have a passphrase, the Welcome

page appears.

5.2

Accessing Submission and Company Information

1. When you reach the EDGAR Filing Website Welcome page, click on

Retrieve/Edit Data in the menu on the left side of the page under the category

―Information Exchange‖.

2. The Retrieve/Edit Data page appears and prompts you for your CIK and CCC

information:

 Enter your CIK in the CIK field and press [Tab].

 Enter your CCC in the CCC field.

 Click on the [Continue] button.

This page verifies that you have access to retrieve or edit information on the EDGAR system.

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Figure 5-1: Retrieve/Edit Data Page

The next screen is the Retrieve/Edit Company and Submission Data page, which is shown in

Figure 5-2: Retrieve/Edit Company and Submission Data Page. You can access the following

functions from this page by clicking on the [Continue] button:

Retrieve Submission Information

Retrieve Company Information

Retrieve Module/Segment Information

Retrieve Return Copies

Enter Series and Classes (Contracts) Information

Request Asset-Backed Securities (ABS) Issuing Entities Creation

Change Company Password or CCC

Enter Another CIK/CCC

You can use any of these functions to update your company information, CCC, or password via

the EDGAR Filing Website.

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Figure 5-2: Retrieve/Edit Company and Submission Data Page

5.3

Retrieve Company Information

Another feature in EDGAR is the ability to retrieve and update your company information from

the EDGAR Filing Website. (From EDGAR's perspective, every CIK belongs to a filing entity

generally referred to as ―company.‖ In this case, each reporting owner is a ―company.‖) Once

you have logged into EDGAR and accessed the Company and Submission Information Retrieval

page, you can retrieve your company information:

1. Click on Retrieve Company Information. The Company Information page

appears.

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Figure 5-3: Company Information Page

Scroll down this page to review the company information EDGAR has stored. If any of this

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information is incorrect, you can change it by using the [Edit Company Information] button at

the bottom. Note that only the information pertinent to you based upon your filer attributes (Filer

Type and Company/Individual indicator) will be displayed. For example, if you are a ―Filing

Agent‖ or ―Training Agent‖ the Filer Information section will not be displayed.

Note: You cannot change your CIK.

You can also print this page using your browser’s print function for future reference.

For general company queries (including wildcard searches) please search the EDGAR Company

database (http://www.edgarcompany.sec.gov).

5.4

Edit Company Information

It is the obligation of the registrant to keep the company information on EDGAR current

and valid. All changes to your company information are made immediately except for changes

to your company's name. Our Filer Support staff needs to review any change to your company's

name to ensure that it is appropriate.

Once you have logged into EDGAR and accessed the Company and Submission Information

Retrieval page, you can edit your company information:

1. Scroll to the bottom and click on the [Edit Company Information] button. The

Edit Company Information page appears.

 Note that only the information pertinent to you based upon your filer

attributes (Filer Type and Company/Individual indicator) will be

displayed. For example, if you are a ―Filing Agent‖ or ―Training

Agent‖ the Filer Information section will not be displayed.

 On this screen, required fields are indicated by an asterisk (*). If you

do not fill in all required fields, you will be prompted with an error

upon submission.

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Figure 5-4: Edit Company Information Page

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2. Click in the field you want to edit and change the information.

 If you want to change your Company Name, the company name may

be modified by the software to meet the EDGAR conformance

standards. These standards can be accessed by clicking on the link in

the note above the Company Name field. Note that you will be

prompted with these changes before you actually submit them.

 If you want to change one of your addresses to be the same as your

Mailing Address, select the ―same as‖ checkbox next to the

appropriate address section. This will clear out the address currently in

that section and make it the same as your mailing address upon

submission.

3. When finished, click on the [Submit Changes] button.

4. Your changes appear on the Edit Company Information Confirmation page. If

your company name is conformed, a pop-up dialog indicating your entered

company name and the EDGAR conformed company name will appear as a

warning.

5. Confirm the changes by clicking on the [Confirm Company Changes] button at

the bottom of the page.

Figure 5-5: Edit Company Information Confirmation Page



If you want to cancel the changes, click on the [Cancel Changes]

button or click on the browser's [Back] button.

6. The Edit Company Information Acknowledgment page appears and confirms

your changes. All changes to your company information are made immediately

except for changes to your company's name. Filer Support staff will review any

changes to your company’s name. Filer Support can reject any name change if it

is deemed unacceptable. If your proposed name change is rejected, you will

receive a suspense notification message; otherwise you will receive an

acceptance notification message.

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Figure 5-6: Edit Company Information Acknowledgment Page

If you want to return to the Retrieve/Edit Company and Submission data page,

click on the [Return to Retrieve/Edit Company and Submission Data Menu]

button at the bottom of the Edit Company Information Acknowledgment page.

Note: Changes to your company information are not disseminated until a live

filing is made.

5.4.1 Series and Classes (Contracts) Information

Investment company filers are responsible for keeping their Series and Classes (Contracts)

information up-to-date using the Enter Series and Classes (Contracts) Information screen. The

Commission requires certain investment companies (referred to as S/C Funds in this discussion)

to update series and class (contract) information as required upon specified events, such as name

changes, deactivations, liquidations, mergers, or other events resulting in the elimination or

merger of a series or class or deregistration of the S/C Fund. The following sections provide

more details.

5.4.1.1 Series and Classes (Contracts) Information Page

Series and class (contract) identifiers are created and their names are established on certain

registration statement and pre and post effective amendment filings specified in EDGAR Filer

Manual Volume II. The Series and Classes (Contracts) Information page provides S/C Funds a

mechanism to keep their information up-to-date in support of SEC rules adopted in Release 338590 (July 18, 2005) [70-FR4358], ―Rulemaking for EDGAR System.‖ We recommend that you

refer to the SEC rules releases in conjunction with this section.

In the release, the Commission states that inclusion of identifiers for series and class (contract)

are part of the official filing and stresses that it is important for S/C Funds to keep their

information up-to-date:

―We are amending this definition to provide that the electronic identification of

investment company type and inclusion of identifiers for series and class (or contract,

in the case of separate accounts of insurance companies), as we are requiring under

Rule 313 of Regulation S-T, will be deemed part of the official filing. On and after

the Mandatory Series/Class (Contract) Identification Date, failure of a S/C Fund to

include correctly the required identifiers will mean that a filing for that series and/or

class (or contract) has not been made. We also stress that it is important for S/C

Funds to keep their information up-to-date, including updating in a timely manner

when a series and/or class (contract) deactivates. If a S/C Fund does not do so, we

will assume that the S/C Fund is delinquent in reporting for a series or class

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(contract).‖

The investment companies (S/C Funds) that need to keep their information up-to-date are filers

whose last registration statement (excluding registrations on Form N-14) and/or post-effective

amendment was filed on:

Form N-1A (Mutual Fund)

Form N-3 (Separate Account registered as Open-End Management Investment

Company)

Form N-4 (Variable Annuity UIT Separate Account)

Form N-6 (Variable Life UIT Separate Account)

The adopting release outlines the implementation of the requirements to electronically collect

and utilize series and class (contract) information. Obtaining identifiers for series and classes via

a filing is outlined in Volume II. S/C Funds will enter information using the Series and Classes

(Contracts) Information page to update series and class (contract) information as required upon

specified events, such as name changes, deactivations, liquidations, mergers, or other events

resulting in the elimination or merger of a series or class or deregistration of the S/C Fund.

After a new class (contract) is identified on a substantive filing, and it receives a ticker symbol,

the filer must use the Series and Classes (Contracts) information page to update the class

(contract) information with the ticker symbol.

After a merger involving a series or class (contract) becomes effective, it is the responsibility of

the target S/C Fund to update the status for the series or class (contract) to 'Merged' (i.e., inactive

due to merger) after the last EDGAR filing is made for the target.

For series or classes (contracts) that are no longer offered, go out of existence, or deregister after

the last EDGAR filing for the series/ or class (contract) has been made, it is the responsibility of

the S/C Fund to update status the for the series of class (contract) to 'Inactive'.

5.4.1.2 Navigating to the Series and Classes (Contracts) Information Page

You can get to the Series and Classes (Contracts) Information page to enter series and classes

(contracts) information from the Retrieve/Edit Company and Submission Data page. Figure

5-2: Retrieve/Edit Company and Submission Data Page, on the EDGAR Filing Website

(https://www.edgarfiling.sec.gov). These steps will get you to the page:

1. Login to EDGAR. (See Section 5.1, Login to EDGAR, if you need detailed

instructions.)

2. Click on Retrieve/Edit Data under the category ―Information Exchange‖ on the

EDGAR menu on the left side of the EDGAR Welcome page.

3. The Retrieve/Edit Data page (Figure 5-7: Retrieve/Edit Data Page) appears and

prompts you for your CIK and CCC information. This CIK is the one with

which the series and classes (contracts) entered later will be associated. Steps:

 Enter your CIK in the CIK field and press [Tab].

 Enter your CCC in the CCC field.

 Click on the [Continue] button.

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Figure 5-7: Retrieve/Edit Data Page

4. Figure 5-8: Retrieve/Edit Company and Submission Data Page, appears. Click

on the Enter Series and Classes (Contracts) Information option to get to the page

that supports the entry of series and class data.

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Figure 5-8: Retrieve/Edit Company and Submission Data Page

5.4.1.3 Enter Series and Classes (Contracts) Information Page

Only S/C Funds will need to enter series and class (contract) information. S/C Funds are filers

whose last registration statement (excluding registrations on Form N-14) and /or post-effective

amendment filing was on one of the following forms:

Form N-1A

Form N-3

Form N-4

Form N-6

If your investment company is already known in EDGAR as filing on one of the forms indicated,

EDGAR will display the Series and Classes (Contracts) Information page shown in Figure 5-10:

Series and Classes (Contracts) Information Page. If EDGAR does not know the Investment

Company Type or the type is not an S/C Funds type, then Figure 5-9: Not a Series and Classes

(Contracts) Investment Company, will appear.

Since you are not an S/C Funds type, click on the [Close Window] button. You are not required

to submit series and class (contract) information.

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Figure 5-9: Not a Series and Classes (Contracts) Investment Company

5.4.1.4 Series and Classes (Contracts) Information Page Overview

Figure 5-10: Series and Classes (Contracts) Information Page, is the central page you will use to

build the data for series and classes (contracts). Most buttons on this page will cause subsequent

pages to be displayed to collect information. As the information is collected, you will return to

this page where the new information is displayed. The page has two sections:

The first section is used to display your Investment Company Type Information.

The second section is used to collect updated series and class (contract) information.

The first section of the Series and Classes (Contracts) Information page provides the

following function:

Modify Company Type

The second section of the Series and Classes (Contracts) Information page provides the

following functions:

Viewing series and class (contract) information

Modifying series and class (contract) information

Deleting series and class (contract) information (un-submitted items only)

Printing the page

Verifying/submitting series and class (contract) information

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As you update your series and class (contract) data, it will be displayed as blue text. After all the

information has been collected, you can have it verified and submitted by pressing the

[Verify/Submit Changes] button.

Figure 5-10: Series and Classes (Contracts) Information Page

Note: Updated data appears blue in color.

The following section describes each button function on the Series and Classes (Contracts)

Information page.

[Modify Company Type] Button

The [Modify Company Type] button can be used to change the Investment Company Type.

When the button is clicked, the Edit Investment Company Type page displays (see Figure 5-11:

Edit Investment Company Type Page).

Figure 5-11: Edit Investment Company Type Page

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To change your Investment Company Type:

Click on the Investment Company Type dropdown. The selections are as follows:

Form N-1A Filer (Mutual Fund)

Form N-3 Filer (Separate Account registered as Open-End Management

Investment Company)

Form N-4 Filer (Variable Annuity UIT Separate Account)

Form N-6 Filer (Variable Life UIT Separate Account)

Form N-1 Filer (Open-End Separate Account with No Variable Annuities)

Form N-2 Filer (Closed-End Investment Company)

Form N-5 Filer (Small Business Investment Company)

Form S-1 or S-3 Filer (Face Amount Certificate Company)

Form S-6 Filer (UIT, Non-Insurance Product)

Scroll down the list and select your new ICT by clicking on it.

Click OK to accept the selection and return to the Series and Classes (Contracts)

Information page.

Click [Cancel] to cancel your selection and return to the Series and Classes

(Contracts) Information page.

[Modify] Button

The [Modify] button can be used to modify either a series or class (contract).

To select a series, click on the radio button at the left of the series.

To select a class, click on the radio button at the left of the class (contract).

Next, click the [Modify] button.

When the button is clicked, checks are made to see if the selected series or class (contract) can

be modified, based on:

Investment Company Type

Whether any series or class (contract) is selected

If a class (contract) is selected, whether the corresponding series status is Active

To modify a class (contract) for a series with a status of Inactive, the series must first be

modified to make the status Active.

If a series can be modified, the Edit Series page described in Section 5.4.1.4.1, Edit Series Page,

is displayed. If a class can be modified, the Edit Class (Contract) page described in Section

5.4.1.4.2, Edit Class (Contract) Page, is displayed.

[Print] Button

The [Print] button provides a mechanism for you to print your data in landscape mode.

[Verify/Submit Changes] Button

The [Verify/Submit Changes] button is used to verify the changes and transmit the data into the

EDGAR system.

When the button is clicked, checks are made to see if the series and class (contract) information

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is correct:

If there is more than one series with an Active status, you will be asked to review the

series names to be sure they are appropriate.

If there is a series with more than one class (contract) with an Active class status, you

will be asked to review the class (contract) names to be sure they are appropriate.

After you have confirmed the series and class (contract) information is correct, the Series and

Classes (Contracts) Information Edit Confirmation page is displayed. It is shown in Section

5.4.1.4.3, Series and Classes (Contracts) Information Edit Confirmation Page.

5.4.1.4.1

Edit Series Page

The Edit Series page appears when a series is selected and the [Modify] button is clicked on the

Series and Classes (Contracts) Information page. The page is shown in Figure 5-11: Edit Series

Page. You will use the page to change a Series Name and/or its status.

Figure 5-12: Edit Series Page

Note: ―*‖ indicates a required field.

To Edit the Series information:

1. Edit the Series Name as necessary

2. If displayed, click on the appropriate Series Status selection indicator

3. When the entry is complete, click on the [OK] button.

Note: If the Series Status is changed to Active, the status of all Classes (Contracts) for the

Series will also be set to Active. The status change will be blocked for SEC review and

may be suspended.

Note: If the Series Status is changed from Active to Inactive, the status of all Classes

(Contracts) for the Series will also be set to Inactive. Any changes to the Series Name

and any previous changes to Class (Contract) Name and Ticker Symbol of the Series in

this session will revert to values assigned prior to the current session. These values will

be listed on the Series and Classes (Contracts) Information page.

Note: For a status to be changed to Merged, the original status must be Active. If the Series

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Status is changed to Merged, the status of all Classes (Contracts) for the Series will also

be set to Merged. Any changes to the Series Name and any previous changes to Class

(Contract) Name and Ticker Symbol of the Series in this session will revert to values

assigned prior to the current session. These values will be listed on the Series and Classes

(Contracts) Information page.

When the [OK] button is clicked, the following data is validated:

Series Name must be entered

Series Name cannot be used for more than one series of the Company

If the data is correct, you are returned to the Series and Classes (Contracts) Information page and

the updated data is displayed. If the data is not valid, you will have the opportunity to change the

data or cancel the function.

5.4.1.4.2

Edit Class (Contract) Page

The Edit Class (Contract) page appears when a class (contract) is selected and the [Modify]

button is clicked on the Series and Classes (Contracts) Information page.

The Edit Class (Contract) page is used to change a Class (Contract) Name, Ticker Symbol,

and/or the Class (Contract) status. Figure 5-12: Edit Class (Contract) Page shows the page, as it

will appear.

Figure 5-13: Edit Class (Contract) Page

Note: ―*‖ indicates a required field.

To Edit the Class (Contract) information:

Edit the Class (Contract) Name as necessary

Edit the Ticker Symbol as necessary

If displayed, click on the appropriate Class (Contract) Status selection symbol

Click on the [OK] button.

Note: If the Class (Contract) Status is changed to Active, the status change will be blocked for

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SEC review and may be suspended.

Note: For a status to be changed to Merged, the original status must be Active.

If the Class (Contract) is the only one for an Active Series, then its status cannot be changed to

Inactive because an Active Series must have at least one Active Class (Contract). If you change

the series status to Inactive then the class status will automatically be changed to Inactive.

If the Class (Contract) is not the only remaining class for an Active Series and the Class

(Contract) Status is changed from Active to Inactive, any previous changes to Class (Contract)

Name and Ticker Symbol in this session will be reverted to original values.

When the [OK] button is clicked, the following data is validated:

Class (Contract) Name must be filled in

Class (Contract) Name cannot be used for more than one class of the Series

Class Ticker Symbol cannot be a duplicate for the Company

If the data is correct, you are returned to the Series and Classes (Contracts) Information page

with the updated data displayed. If the data is not valid you will have the opportunity to change

the data or cancel the function.

5.4.1.4.3

Series and Classes (Contracts) Information Edit Confirmation Page

The Series and Classes (Contracts) Information Edit Confirmation page is displayed when you

click on the [Verify/Submit Changes] button on the Series and Classes (Contracts) Information

page.

Figure 5-14: Series and Classes (Contracts) Information Edit Confirmation Page

Figure 5-13: Series and Classes (Contracts) Information Edit Confirmation Page, shows the page

as it appears after all updates to your series and class (contract) data have been validated but

prior to transmission to EDGAR. This gives you a final chance to review your series and class

(contract) data. Use this page to review and confirm all changes you made. Click on the

[Continue Edit] button to continue making additional changes. We recommend that you create a

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printed copy of your series and class (contract) data to keep for your records. Click the [Print]

button to print this page. After your successful review, click the [Confirm/Submit Changes]

button to transmit the information to EDGAR.

Figure 5-15: Series and Classes (Contracts) Information Edit Confirmation Page

The successful transfer of the data to EDGAR will be shown on the Series and Classes

(Contracts) Information Edit Result page as shown in Figure 5-16: Series and Classes (Contracts)

Information Edit Confirmation Page. This confirms that EDGAR has received your updated

series and class (contract) information. EDGAR will deliver a notification of this change to your

e-mail address on file. Click the [Close Window] button to close the window.

Figure 5-16: Series and Classes (Contracts) Information Edit Result Page

If you click on the [Verify/Submit Changes] button on the Series and Classes (Contracts)

Information page and make no changes, the page shown in Figure 5-16: Series and Classes

(Contracts) Information Edit Confirmation Page, will be displayed stating, ―No changes have

been detected.‖ You will see a button to return to the Series and Classes (Contracts) Information

page.

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Figure 5-17: Series and Classes (Contracts) Information Edit Confirmation Page

5.4.1.4.4

Series and Class Notification

Figure 5-17: Series and Class Notification, Modified Items, shows a sample of the notification

resulting from the modification of existing series and class data.

As with acceptance/suspense messages you receive for filings, EDGAR will deliver these

notifications to your e-mail address on file (you may also view this notification using the

Retrieve Submission Information option on the Retrieve/Edit Company and Submission Data

page shown in Figure 5-1: Retrieve/Edit Data Page, and described in Section 5.2, Accessing

Submission and Company Information). Note that the form type of the Series and Classes

(Contracts) update transmission is SCUPDAT. Each notification provides a summary of the

changes.

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Figure 5-18: Series and Class Notification, Modified Items

5.5

Logging in with a Different CIK

As you navigate through the Submission and Company Information page, the information you

retrieve is limited to your login CIK. If you have more than one CIK you can change to an

alternative CIK:

1. From the Figure 5-2: Retrieve/Edit Company and Submission Data Page, click

on Enter Another CIK/CCC. The Figure 5-1: Retrieve/Edit Data Page login

page appears, Figure 5-1.

2. Enter your CIK and CCC and click on the [Continue] button.

You can then access or edit all information associated with that CIK.

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6.1

INTRODUCTION TO FILING ON EDGAR

Preparation and Submission

After you have completed your application to submit filings on EDGAR, you will be ready for

the filing process. The SEC provides a number of tools to help you with this process. The

method you use to submit your filing will depend on the form type you need to submit. The tools

and detailed instructions for their use are covered in Volume II of this manual. General

information about the tools and transmission methods is outlined in the following section. This

information is intended as an introduction. Please refer to EDGAR Filer Manual Volume II

before you submit a filing.

For EDGARLink Online, we recommend that you use Internet Explorer 7.0 through 8.0 or

Firefox 3.5 or greater.

The other EDGAR Filing Websites only work with Internet Explorer version 5.0 or later. You

can also use Netscape version 7.0 or later, but certain help functions may be limited with this

browser. The use of browsers is discussed in Section 2.3, Introduction to Web Browsers.

Note: The EDGAR Filing Website is not compatible with Netscape version 6.0.

Once you have completed your registration as a filer on the EDGAR system and have obtained

your access codes, to submit EDGAR filing you must:

Obtain EDGAR-compatible hardware (computer equipment) and software, see

Section 2.5, EDGAR Hardware and Software Requirements.

Secure an ISP for access to the Internet

Properly prepare and maintain documents and software, see EDGAR Filer Manual

Volume II.

6.2

EDGARLink Online Forms

6.2.1 Creating an EDGARLink Online Filing

EDGARLink Online can be accessed from the EDGAR Filing Website at:

https://www.edgarfiling.sec.gov.

Note: Please remember to enter https. You will not be able to access the EDGAR Filing

Website without the ―s‖ designation.

EDGARLink Online allows you to prepare and transmit a number of submission types. (See

Volume II of this manual for details as to which specific submission types.) The main content of

these submissions consists of attached documents one of which is the form itself. You should

create the documents first and then ―build‖ the submission using the online application.

When preparing your submission using EDGARLink Online, you will use a browser. Once you

enter all of the information needed and have attached your documents, you will submit it directly

from EDGARLink Online.

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6.2.1.1 EDGARLink Online Data Gathering Model

All online submissions will follow the same basic model. EDGARLink Online will:

Allow you to select the specific submission type that you want to assemble and submit to the

SEC, e.g. Form 8-K, Form 24F-2NT, Form F-1.

Allow you to provide general submission information, i.e., contact name, phone number, email address, and Return Copy information.

Allow you to provide additional e-mail addresses to receive Filer Notification messages.

Allow you to provide all of the necessary information required by the SEC rules on an

appropriate data gathering form.

Allow you to verify the information on the form.

Allow you to upload attachments, i.e. cover letters, exhibits, or correspondence.

Allow you to review and confirm your information in the context of the form you are filing

and then print the submission for your records.

Allow you to transmit the reviewed submission to EDGAR for processing.

The following are important notes to consider when preparing a submission using EDGARLink

Online:

You can exit the window at any time to discard your work in progress and start over.

All filings designated as live that you prepare and submit online are considered to be

live EDGAR submissions. Once you transmit an online prepared submission that has been

designated as live, it will be automatically processed by EDGAR; and if accepted by

EDGAR immediately disseminated to the public.

6.2.1.2 Submitting an EDGARLink Online Form

When you create an EDGARLink Online Form, the preparation and transmission processes flow

together in a single browser session. You may save your online submissions to your local drive

and transmit them later. The software will guide you through the process. When you are certain

that the data you have entered is correct, then use the [SUBMIT] button to send in your

submission.

6.2.2 Additional Filing Transmission Methods for EDGAR Filings

Most filers will use the EDGAR Filing Website to submit their filings. Another option is to

connect using a Leased Line. This method is commonly used by bulk filers, and arrangements

must be made to set up each user. Refer to EDGAR Filer Manual Volume II, EDGAR Filing.

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6.3

Online XML Forms

6.3.1 Creating an Online XML Form

The OnlineForms/XML Website is no different than most other websites that you now visit. It

uses the same browser-based application software and transmission methods as the other sites

and you probably will be able to submit filings to EDGAR from the website with little or no

changes in your hardware or software configurations. You can access the OnlineForms/XML

Website at: https://www.onlineforms.edgarfiling.sec.gov.

Note: Please remember to enter https. You will not be able to access the OnlineForms/XML

Website without the "s" designation.

We require that your browser supports Java script.

This website was established in order to make it easier for filers and their agents to submit

ownership and other required electronic filings. The XML Forms website software will use

the filer-provided information to prepare an XML tagged ownership primary document that

can be verified and printed by the filer and then transmitted to EDGAR for processing. Once

EDGAR has accepted the submission it will disseminate the header in tagged Standard

General Markup Language (SGML) and the primary document in tagged XML.

Note: You may only create and submit one Form submission at a time. If you are filing on

behalf of a company's officers and directors you must create a separate form for EACH

officer and director.

6.3.1.1 OnlineForms/XML Data Gathering Model

All online submissions will follow the same basic model. The OnlineForms/XML Website will:

Allow you to choose the type of submission to prepare, i.e. Assemble Ownership

Submission.

Allow you to select the specific ownership form type that you want to assemble and

submit to the SEC, i.e., Form 3, Form 4, Form 5.

Allow you to provide general submission information, i.e., contact name, phone

number, e-mail address, and Return Copy information.

Allow you to provide additional e-mail addresses to receive Filer Notification

messages.

Allow you to provide all of the necessary information required by the SEC rules on

an appropriate data gathering form.

Allow you to provide your signature and signature date.

Allow you to verify the information on the form.

Allow you to edit reporting owner address on the form where necessary.

Allow you to upload attachments, i.e. cover letters, exhibits, or correspondence.

Allow you to review and confirm your information in the context of the form you are

filing and then print the submission for your records.

Allow you to transmit the reviewed submission to EDGAR for processing.

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The following are important notes to consider when preparing a submission using the

OnlineForms/XML Website:

There is no capability to save work in progress so it is important for you to have all of

the information necessary to complete the form before you begin to assemble your

submission online.

You can exit the window at any time to discard your work in progress and start over.

All filings that you prepare and submit online are considered to be live EDGAR

submissions. Once you transmit an online prepared submission it will be

automatically processed by EDGAR; and, if accepted by EDGAR, immediately

disseminated to the public.

The maximum size of your submission must not exceed 100 MB.

6.3.2 Transmitting an Online XML Form

Unlike other form types, when you create an Online Form, the preparation and transmission

processes flow together in a single browser session. Since you cannot save your online

submissions, you must transmit them immediately after their preparation. The software will

guide you through the process. When you are certain that the data you have entered is correct,

then use the [Transmit Submission] button to send in your submission.

6.4

Filer-Constructed Technical Filing Specifications

The SEC recognizes that there are cases when filers will want to prepare their own submissions

without the use of the software developed by the SEC. There are companies that develop value

added software for the preparation and submission of EDGAR filings. Many times a subsection

of the filing community will find this software desirable and the programs may include

capabilities beyond that of the SEC provided software. Some filers may also want to develop

their own interface to larger computer systems that will deliver tagged form output ready for

submission. Other filers may want to develop their own tagged output without the aid of

computer programs or interfaces. We call all of these types of filings ―Filer-Constructed‖.

(Please note that previously these filings were referred to as ―reduced content‖ filings. Since

their content is actually the same as filings produced by any of the EDGAR Filer software

programs, we are updating the name used to refer to these filings to Filer-Constructed.)

To facilitate this type of filing content development, we publish technical specifications. This

allows companies to create software or form output compatible with the EDGAR system. The

SEC does not provide support services for this type of development, but will keep the technical

documentation up-to-date to coincide with EDGAR releases. We recognize that we cannot

always provide the amount of lead time that development firms would like to create or modify

their software, but we will publish these technical specifications as soon as possible in a draft

format.

PLEASE NOTE: Draft EDGAR Technical Specifications posted before Commission

approval of potential regulatory changes in a release are provided as a service to our

filing community to assist filers, agents, and software developers in preparing for

potential changes the staff anticipates. Since this is a draft specification, the SEC retains

the right to change any part of the specification before the release is made final. The

changes outlined in the technical specifications will note the date that these changes, if

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regulatory changes are approved, are scheduled to take effect. The schedule is subject to

change. The final version of the technical specification will be made available on or

about the release date on the SEC's public website.

Because of their limited audience, these documents are produced separately from the EDGAR

Filer Manual. Also, the production schedule may not follow that of the Filer Manual. Most filers

will not use these documents. Only those companies with technical skill sets and understanding

needed to produce software that creates submissions or Filer-Constructed documents should

utilize these manuals.

6.4.1 XML Form Type Technical Specification

Online filings are produced in XML format. The XML Technical Specification is comprised of a

number of documents, each specifying the format for a specific submission type or a small group

of related submission types. For example, the document describing Section 16 Forms is called

the Section 16 Forms XML Technical Specification. Form types that are XML formatted include

the content of the paper form within the main, primary document. Thus a Technical Specification

for one form type is considerably larger than that of an EDGARLink Online Filer-Constructed

XML form, which would include header information only. Also, many companies may produce a

single or limited number of forms in this format. In this case, delivering all of the forms in a

single document might make the information for a single form type more difficult to find.

Packaging the Technical Specifications for all XML form types in a single document would

produce an extremely large document that would take considerable time to download and would

be difficult to use. Thus we feel separate form packaging is desirable.

Since XML is a tagged format, the document includes a description of all of the tags and the

allowable content and format of the data elements. In this type of submission, the form type is

made up of XML content. The technical specification reflects this aspect and describes all of the

form content in a tagged structure. The technical specification also includes the details on how to

include additional document content such as cover letters and correspondence. Attached

documents must be MIMed and must be surrounded by tags that define the content as an attached

document.

6.4.2 Transmitting XML Form Types

After you prepare your Filer-Constructed submissions, you can submit them using the website

pages for transmitting filings. XML Filer-Constructed filings can be submitted using the

OnlineForms/XML Website (https://www.onlineforms.edgarfiling.sec.gov) and using the

EDGAR Filing Website (https://www.edgarfiling.sec.gov). Directions on the website guide you

to select the file to be transmitted using the standard Microsoft browse function. If you have a

third party application that uses low-level HTTPS software to transmit filings, you will need to

have your EDGAR interface integrity inspected often. The SEC cannot guarantee that EDGAR

website pages will remain constant; therefore, developers of these applications must be prepared

to update this interface whenever a new EDGAR release is installed.

August 2011

6-5

EDGAR Filer Manual (Volume I)

APPENDIX A. GLOSSARY OF COMMONLY USED TERMS, ACRONYMS, AND

ABBREVIATONS

ACCEPTANCE

MESSAGE

Notification from the SEC that an electronic submission has met

the minimum filing requirements and been accepted by EDGAR.

If the submitter or filer has an Internet electronic mail (e-mail)

address, the acceptance messages are sent by e-mail to that

account. Acceptance messages are also sent to all Internet e-mail

addresses on the Notification page.

ACCEPTANCE

REVIEW

Procedural checks performed by EDGAR to determine whether a

filing meets certain minimum filing requirements. The

requirements may relate to the composition and completeness of

the submission package, as well as to the particular type of filing

being made.

ACCEPTED

The term that describes a filing that has successfully passed

acceptance review.

ACCESSION NUMBER

A unique number generated by the EDGAR system for each

electronic submission. Accession numbers are reported to

submitters and filers in the acceptance and suspense messages.

Assignment of an accession number does not mean that EDGAR

has acc

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