Filer Manual – Volume I

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General Information

VERSION 28

July 2017

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.

July 2017

EDGAR Filer Manual (Volume I)

Updates

On July 17, the following changes will be made to the EDGAR Filer Manual as part of EDGAR

Release 17.2:

•

Effective September 1, 2017, large accelerated and accelerated filers filing Forms S-1, S-3,

S-4, S-8, S-11, F-1, F-3, F-4, F-10, SF-1, and SF-3 under the Securities Act; and Forms 10,

10-K, 10-Q, 8-K, 20-F, and 10-D under the Exchange Act will be required to submit these

forms in HTML and include a hyperlink to each exhibit listed in the exhibit index of these

filings, including exhibits that are incorporated by reference. Non-accelerated filers and

smaller reporting companies that submit filings in ASCII will not need to comply with these

requirements until September 1, 2018. The compliance date for any Form 10-D filing that

will require a hyperlink to an exhibit filed with Form ABS-EE will be delayed until the staff

completes programming changes to EDGAR. These changes will allow Form 10-D filers to

include the Form 10-D and Form ABS-EE in a single submission so that the required exhibit

hyperlinks can be created at the time the Form 10-D is filed. The Commission will publish a

notice in the Federal Register and on the Commission’s website (SEC.gov) announcing the

compliance date for those Form 10-D filings. See Chapter 5 (Constructing Attached

Documents and Document Types) of the “EDGAR Filer Manual, Volume II: EDGAR

Filing.”

•

Submission form types D and D/A will be updated to remove the reference to “Rule 505” in

Item 6: Federal Exemption(s) and Exclusion(s) Claimed. The “Terms of Submission” in the

Signature and Submission screen will be updated to replace the references to “relying on

Regulation D” and “Rule 505(b)(2)(iii)” with “relying on Rule 504 or Rule 506” and “Rule

504(b)(3)”, respectively. The Total Offering Amount in “Item 13: Offering and Sales

Amounts” will increase from a maximum of $1,000,000 to $5,000,000 if any “Rule 504”

item is selected on submission form types D and D/A. See Chapter 8 (Preparing and

Transmitting Online Submissions) and Appendix A (Messages Reported By EDGAR) of the

“EDGAR Filer Manual, Volume II: EDGAR Filing.”

•

In Release 33-10332 (82 FR 17545) adopted March 31, 2017, the Commission made changes

of inflation adjustments and other technical amendments to Title I & II of the JOBS Act.

Among the technical changes was the revision to Commission forms, to provide registrants

with the opportunity to designate whether they are an Emerging Growth Company and

inform the Commission as to whether the registrant has elected not to use the extended

transition period for complying with any new or revised financial accounting standards. We

will revise the following EDGARLink Online submission form types to reflect the two

optional fields: S-1, S-1/A, S-3, S-3/A, S-4, S-4/A, S-8, S-11, S-11/A, F-1, F-1/A, F-3, F3/A, F-4, F-4/A, 10-12B, 10-12B/A, 10-12G, 10-12G/A, 8-K, 8-K/A, 8-K12B, 8-K12B/A, 8K12G3, 8-K12G3/A, 8-K15D5, 8-K15D5/A, 10-Q, 10-Q/A, 10-QT, 10-QT/A, 10–K, 10–

K/A, 10–KT, 10–KT/A, 20–F, 20–F/A, 20FR12B, 20FR12B/A, 20FR12G, 20FR12G/A, 40F, 40-F/A, 40FR12B, 40FR12B/A, 40FR12G, and 40FR12G/A. See Chapter 7 (Preparing

and Transmitting EDGARLink Online Submissions) of the “EDGAR Filer Manual, Volume

II: EDGAR Filing.”

•

In the same release, the Commission adopted a five-year inflation adjustment to the

maximum offering amount for exempt crowdfunding transactions as implemented by the

Commission in Regulation Crowdfunding to reflect the increase in the maximum offering

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EDGAR Filer Manual (Volume I)

amount from $1,000,000 to $1,070,000. See Chapter 8 (Preparing and Transmitting Online

Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

•

EDGAR will be updated to allow broker-dealers to indicate whether the filing period is one

full year or not on submission form type 17HACON. Submission form type 17HACON will

require broker-dealers to attach an “ORGCHART” document to submission form type

17HACON even if the field “No material changes have occurred since last filed” is selected.

See Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer

Manual, Volume II: EDGAR Filing.”

•

An Instructions menu icon will be added to the filer interface in the top-right corner for

submission form types X-17A-5 and X-17A-5/A, which provides instructions on how to file

broker-dealer annual reports through EDGAR. See Chapter 8 (Preparing and Transmitting

Online Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

•

Filers will be able to register via submission form type N-1A using their existing Series and

Classes (Contracts) without having to provide “dummy” new Series and Classes (Contracts).

See Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions) of the

“EDGAR Filer Manual, Volume II: EDGAR Filing.”

•

Transfer Agent form submissions created using the filer interface are limited to a maximum

of 100 document attachments. Also, the revision clarifies that the maximum size of a

Transfer Agent submission, including all attached documents, may not exceed 200 MB. See

Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer Manual,

Volume II: EDGAR Filing.”

•

Chapter 5, Section 5.2.5.9 of the "EDGAR Filer Manual, Volume II: EDGAR Filing" was

revised to remove duplicate HTML tags. Chapter 6, section 6.12.7 of the "EDGAR Filer

Manual, Volume II: EDGAR Filing" was revised to clarify that start/end labels should not be

used on duration-type facts. See Chapter 5 (Constructing Attached Documents and

Document Types) and Chapter 6 (Interactive Data) of the “EDGAR Filer Manual, Volume II:

EDGAR Filing.”

Release 17.2 will also introduce changes to the following Technical Specifications:

•

The ABS-EE schema will be updated with the following changes:

o RMBS, 1(m)(21)(xi) postModificationARMPaymentRecastFrequency will be

changed from decimal format to integer format, with a maximum length of eight

digits.

o The maximum integer length will increase from two digits to eight digits for the

following Asset Class Items:



Item 1(c)(29)(iv), initialFixedRatePeriodHybridARMNumber



Item 1(c)(29)(xxi), HELOCDrawNumber



Item 1(m)(21)(iv), postModificationInterestResetNumber



Item 1(m)(21)(xx), postModificationARMInterestRateTeaserNumber



Item 1(m)(21)(xxi), postModificationARMPaymentTeaserNumber



Item 1(m)(22)(i), postModificationInterestOnlyTermNumber

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

Item 3(c)(9), originalInterestOnlyTermNumber



Item 3(c)(12), gracePeriodNumber



Item 3(j)(2), paymentExtendedNumber



Item 4(c)(8), gracePeriod



Item 4(j)(2), leaseExtended

For more information, see the updated "EDGAR ABS XML Technical Specification"

document available on the SEC's Public Website

(https://www.sec.gov/info/edgar/tech-specs).

•

EDGAR will no longer provide support for the US-GAAP-2015, EXCH-2015, CURRENCY2014, and COUNTRY-2013 taxonomies. Please see

https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete list of supported

standard taxonomies.

EDGAR Release 17.2 will also implement a number of other changes that do not impact the

EDGAR Filer Manual, which are detailed in the Release Notes.

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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 ........................................................................................... 2-4

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

3.1

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

3.1.1

3.1.2

3.1.3

3.2

Accessing the EDGAR Gateway ............................................................................................................ 3-4

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

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

New SEC Filer: Applying for EDGAR Access ............................................................ 3-9

3.2.1

3.2.2

3.2.3

3.2.4

3.2.5

3.2.6

3.3

Overview ................................................................................................................................................ 3-9

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

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

Defining a Passphrase ........................................................................................................................... 3-29

Authentication Documentation ............................................................................................................. 3-33

Application Acceptance and Applicant Notification ............................................................................ 3-34

Current SEC Filer: Applying for EDGAR Access.................................................... 3-34

3.3.1

3.3.2

Current Paper Only Filer ...................................................................................................................... 3-34

New Serial Company ............................................................................................................................ 3-43

3.4

Creating an Asset Backed Securities Issuing Entity ................................................. 3-49

3.5

Examples of Notification Messages ............................................................................ 3-55

3.5.1

3.5.2

3.5.3

Form ID Application Messages ............................................................................................................ 3-56

Convert Paper Only Filer to Electronic Filer Request .......................................................................... 3-58

EDGAR Access for New Serial Companies Request ........................................................................... 3-60

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

4.1.4

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

Update Passphrase Request .................................................................................................................. 4-18

Changing your CCC or Password ......................................................................................................... 4-20

Creating a Passphrase for the First Time .............................................................................................. 4-23

EDGAR Filer Manual (Volume I)

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

5.1

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

5.2

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

5.3

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

5.4

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

5.4.1

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

5.5

Request Return of Unused Funds............................................................................... 5-21

5.6

View Fee Account Information ................................................................................... 5-24

5.6.1

5.6.2

5.7

View Account Balance and Amount of Last Deposit ........................................................................... 5-24

View Account Activity Statement ........................................................................................................ 5-24

Logging in with a Different CIK................................................................................. 5-27

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

6.3

6.3.1

6.3.2

6.4

6.4.1

6.4.2

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

Online XML Forms........................................................................................................ 6-2

Creating an Online XML Form .............................................................................................................. 6-2

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

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

XML Form Type Technical Specification .............................................................................................. 6-4

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

APPENDIX A. GLOSSARY OF COMMONLY USED TERMS,

ACRONYMS, AND ABBREVIATIONS.......................................................... A-1

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

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

EDGAR Filer Manual (Volume I)

July 2017

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).

July 2017

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EDGAR Filer Manual (Volume I)

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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

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EDGAR Filer Manual (Volume I)

•

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

quotation marks around them:

“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 and italicized:

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

EDGAR Filer Manual (Volume I)

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July 2017

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

Internet Explorer (IE) and Google Chrome browsers comply with Secure Socket Layer (SSL)

communications that you will use to reach the EDGAR websites. Which browser you use is a

personal preference. This section covers some functions that are innate to browsers and how your

browser should be set up. You should be aware that there might be subtle differences if you are

using IE or Google Chrome.

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EDGAR Filer Manual (Volume I)

Google Chrome Menu Bar

Internet Explorer Menu Bar

Figure 2-1: Browser Menu Bars

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 biggest differences between the browsers are visual elements, such as

buttons, menu options, and the location of preference settings. In addition, browsers behave

differently in how they save or download files.

To change default Google Chrome download/save settings, select “Settings” from the icon at the

top right corner of the browser with the “Customize and control Google Chrome” help message;

this will cause the “Settings” tab to open in the same browser window. In the “Settings” tab,

click [Show advanced settings]. Under “Downloads,” select the “Ask where to save each file

before downloading” check box. Choosing this setting prompts you for a location each time you

save or download a file. 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.

IE and Google Chrome are the supported browsers for the EDGAR Filing Website, EDGAR

Filer Management, and EDGAR OnlineForms Management websites.

When you log in 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. We recommend that you do not use multiple

browser windows or tabs when working on EDGAR. Otherwise, information from one window

may impact information on other window(s) causing EDGAR applications to potentially function

incorrectly. If you want to use multiple windows when working on EDGAR, you must select

“New Session” (for IE) from the “File” menu. This creates a new browser session that will not

share information with the existing session.

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 along with a notarized authentication document. If you do not attach the

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July 2017

required notarized authentication document as a PDF, 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 log in to EDGAR, transmit submissions, run company queries,

update your company information, or change your password/CCC (CIK Confirmation Code).

2.5

EDGAR Hardware and Software Requirements

The following list states the recommended system requirements:

•

PC with the following:

o 500+ MHz processor

o All Microsoft supported Windows desktop operating systems up to Windows 7

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

problems

o 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:

o 1.28 GB MHz processor or higher

o 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:

o EDGAR Filing Website: Vendor supported versions of Internet Explorer and Google

Chrome are the recommended browsers.

o Other EDGAR websites: A version of Internet Explorer with 128-bit cipher strength

is the recommended browser. Java should be enabled in the browser. These websites

also work well with Google Chrome.

•

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.

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EDGAR Filer Manual (Volume I)

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. The exception will be that the Corporation Finance

Filer Support office will be closed from 9:00 A.M. to 10:00 A.M. on the last Wednesday of each

month.

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

Management at (202) 551-8900.

For Substantive questions, contact your Division or Office

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

contact the division or office 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.

The exception will be that the Corporation Finance Filer Support office will be closed from 9:00

A.M. to 10:00 A.M. on the last Wednesday of each month.

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 Trading and Markets:

For help with short sale filings, contact the Office of Interpretation and Guidance in the

Division of Trading and Markets inquiry line: (202) 551-5777.

Division of Investment Management:

For help with Form 13F, 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 13F, N-SAR and 24F-2), call

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

o 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).

o 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).

Office of Municipal Securities:

For help with the municipal advisor registration forms (Forms MA, MA-I, MA-NR, and

MA-W), contact the Office of Municipal Securities at (202) 551-5680.

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July 2017

Office of Credit Ratings:

For help with Form NRSRO and reports filed pursuant to Rule 17g-3 under the Exchange

Act, contact the Office of Credit Ratings by e-mail at NRSROsubmissions@sec.gov or by

phone at (212) 336-9080.

July 2017

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EDGAR Filer Manual (Volume I)

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BECOMING AN EDGAR FILER

3.1

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,

training agent, or any other applicant type. 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. A notarized authentication document must be attached to your Form ID application or

your Convert Paper Only Filer to Electronic Filer application. Filers who are updating their

passphrase must attach the required notarized documentation to their Update Passphrase request.

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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 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.

•

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 case-sensitive, 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.

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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, “Generating EDGAR

Access Codes.”

•

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, “Generating EDGAR

Access Codes.” 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, 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.)

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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.

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).

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This page functions as a gateway to all EDGAR websites. Additionally, this page

provides links to download the Filer Manual, read up on the latest SEC regulatory

activity, and view guidance for filers and FAQs. Therefore, we recommend 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 the link that says, ‘Would you like to become a new filer

or generate new access codes’.

The 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:

1. Connect to the Internet.

2. Go to the EFMW

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

The EFMW Home page appears (see 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.

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Figure 3-2: EDGAR Filer Management Home Page

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

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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

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

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•

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.

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

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

passphrase 3, 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,’ you 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

or 424H 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 ‘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.

“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.

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

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Figure 3-5: EFMW General Help Page

3.1.3.3

Frequently Asked Questions

Click ‘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

The SEC will not accept a Form ID application without the authentication document, and

the Form ID application will not be accepted in paper format. Access to EDGAR will not

be granted to a potential new filer until both parts (submission of Form ID and the

authentication document) have been completed.

The Form ID application is created and transmitted electronically. A notarized authentication

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

Electronic Filer. The notarized authentication document can be prepared in one of two ways:

•

Complete the electronic Form ID application and print the “Form ID Application

Confirmation” page. Have it signed and notarized and this document will serve as the

authentication document.

•

Complete and print the Form ID that is found on the SEC’s Public Site, then have it

signed and notarized. This document will serve as the authentication document.

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Scan the notarized document, save it as a PDF (Portable Document Format) file, attach it to the

Form ID application, and electronically submit it to the Commission.

Filers who are updating their passphrase must attach their notarized authentication document to

their Update Passphrase request.

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

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

•

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 print the “Form ID Application Confirmation” page to serve as the

authentication document

•

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.

•

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).

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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.

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 e-mail

addresses at hand.

•

Scan the completed, signed, and notarized Form ID application along with any other

attachments, such as a cover letter or exhibit, save them in the correct format and have

the file names identified 4.

The first step for composing a Form ID application is to bring up the Form ID 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 ‘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 (see Figure 3-6: EDGAR Apply for EDGAR Access (New) Page (Top)).

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

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

not accepted.

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

The Form ID data entry page has five distinct sections:

Applicant Information

Basic information about the applicant type and classification of the applicant, as a

company or individual that wishes to file with the SEC.

Note: ‘Filing Agent’ applicant type must be used ONLY by a financial printer, law firm, or

other person, which will be using these access codes to send a filing or portion of a filing

on behalf of a filer.

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 EDGAR-related

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.

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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 sections that are required are based upon these filer

attributes and are specified in Table 3–1: EDGAR Form ID Data Entry Block, Sections.

Table 3–1: EDGAR Form ID Data Entry Block, Sections

Applicant

Information

Filer

Information

Contact

Information

Account

Information

Signature

Information

Filer (Company)

Yes

Filer (Individual)

Yes

Filing Agent (Company)

Yes

Filing Agent (Individual)

Yes

Funding Portal (Company)

Yes

Funding Portal (Individual)

Yes

Institutional Investment

Manager (Form 13F Filer)

(Company)

Yes

Institutional Investment

Manager (Form 13F Filer)

(Individual)

Yes

Investment Company,

Business Development

Company or Insurance

Company Separate

Account (Company)

Yes

Large Trader (Company)

Yes

Large Trader (Individual)

Yes

Municipal Advisor

(Company)

Yes

Municipal Advisor

(Individual)

Yes

Nationally Recognized

Statistical Rating

Organization (Company)

Yes

Nationally Recognized

Statistical Rating

Organization (Individual)

Yes

Applicant Type

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Filer

Information

Contact

Information

Account

Information

Signature

Information

Non-Investment Company

Applicant under the

Yes

Investment Company Act of

1940 (Company)

Yes

Non-Investment Company

Applicant under the

Yes

Investment Company Act of

1940 (Individual)

Yes

Security-Based Swap Data

Repository (Company)

Yes

Security-Based Swap Data

Repository (Individual)

Yes

Security-Based Swap

Dealer and Major SecurityBased Swap Participant

(Company)

Yes

Security-Based Swap

Dealer and Major SecurityBased Swap Participant

(Individual)

Yes

Security-Based Swap

Execution Facility

(Company)

Yes

Security-Based Swap

Execution Facility

(Individual)

Yes

Training Agent (Company)

Yes

Training Agent (Individual)

Yes

Transfer Agent (Company)

Yes

Transfer Agent (Individual)

Yes

Applicant Type

Applicant

Information

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.

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.

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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.

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. 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 lost 5. When the page is first displayed, the filer attributes are set to {“Filer”

and “Company”}. Select either the “JOBS Act §106” or “Foreign Private Issuer Policy” radio

button to indicate that you are submitting an access code request to be able to submit draft

registration statements or select the “Regulation A” radio button to indicate that you are

requesting access codes to submit draft offering statements. Refer to Chapter 7 in Volume II of

the EDGAR Filer Manual for more information on draft registration statements and draft

offering statements.

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).

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.

Data in the sections that are common to the filer attributes settings will be preserved; however, data that exists in a

section that is not needed based upon the new filer attribute setting is lost. For example, Filer (Company) requires

the entry of Filer Information – if you switch the filer attributes to Filer (Individual), any Filer Information that you

may have entered is lost.

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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. 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

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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. 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,

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.

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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. 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).

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. 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 the scanned, notarized authentication document in PDF format

•

Upload any additional attachments

•

Define a passphrase

•

Submit the completed Form ID application

Note: The maximum size of a Form ID submission, including all attachments, must not exceed 200

MB.

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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.

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

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

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).

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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).



Print the page, which must then be signed and notarized to serve as the authentication

document.



Upload/delete attachments.



Define a passphrase.

4. Click the [Print Window] button near the bottom of the page to print the authentication

document. The printed document must be signed and notarized.

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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 3-14:

EDGAR Form ID Application Confirmation Page (Top)).

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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

re-verified; if errors remain, your updated Form ID application with any errors is displayed

(Figure 3-12: 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 must include a notarized authentication document in PDF format. The

application can include other attachments such as a cover letter or Power of Attorney. To

assemble the Form ID submission (i.e., associate any attachments with your Form ID

application), you must upload them to EDGAR.

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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.

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

2. 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.) For example, the completed and printed Form ID

application must be signed, notarized, and scanned as a PDF document ready for upload.

Optional attachments such as a cover letter or a Power of Attorney must be in ASCII or

HTML format.

Notes:

(1) Scanned, notarized Form ID authentication document should be attached as

CORRESP document type.

(2) Document attachments must conform to the following standards:

 The document file name must be in lower case and no longer than 32 characters in

length. The name must start with a letter (a-z) and not contain spaces. File names

may contain digits (0-9), up to one period (.), one hyphen (-), and one underscore

(_) character.

 The PDF document attachment must not contain active content (Actions,

embedded JavaScript, etc.), external references (Destinations, Hyperlinks, etc.),

and passwords or document security controls. Refer to Chapter 5, Section 5.2, of

Volume II of the Filer Manual for EDGAR standards on document formats.

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

Page).

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3. 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

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

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

delete and click 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.

5. 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.

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3.2.4

Defining a Passphrase

The passphrase is an 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 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: {@, #, *, $}.

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

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3.2.4.1 Submitting a Form ID Application

You are ready to submit the Form ID application to the SEC once you have completed the Form

ID application, added the required notarized authentication document and any additional

attachments, and specified a passphrase.

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

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 (scanned PDF) 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.

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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

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

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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; 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.

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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

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. This can be done in two ways:

•

Complete the electronic Form ID application and print the “Form ID Application Confirmation”

page.

•

Complete and print the Form ID that is found on the SEC’s Public Site.

Have the printed form signed and notarized and this document will serve as the authentication

document. Scan the notarized document, save it as a PDF (Portable Document Format) file,

attach it to the Form ID application, and electronically submit it to the Commission.

The authentication document must include the following information:

•

Signature of Authorized Person

Printed Name of Signature

Title of Person Signing

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•

Notary Signature and Seal

3.2.6

Application Acceptance and Applicant Notification

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

documentation, the SEC will authenticate the request. 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 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:

3.3

•

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

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:

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

Management Website.”)

2. Click ‘Convert Paper Only Filer to Electronic Filer’ in the menu bar.

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).

Refer to Section 3.2.2.1, “Data Entry Conventions,” for the standards used on all of the

EFMW pages.

4. 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: @, #, *, $.

5. Click 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

6. Click the [Print Window] button near the bottom of the page to print the authentication

document. The printed document must be signed and notarized.

7. Scan the authentication 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.

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Note: The document for uploading must be in PDF format. 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.

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

Attachment Page). This page is used to manage the attachment associated with your EDGAR

access request.

Figure 3-27: EDGAR Upload/Delete Attachment Page

8. To add an attachment, click 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

9. Click the [Browse] button to select the attachment. Only a PDF document can be uploaded.

The document must have the .pdf file extension.

To cancel an attachment, click the [Cancel] button; to close the browser window, click the

[Exit Window] button.

Note: The Type field defaults to CORRESP and it is non-editable. Refer to Section 3.2.3.2,

“Assembling the Form ID Submission” for EDGAR standards on document

attachments.

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

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

the Attached Document List table.

11. Continue to add or delete the attachment as needed, and then click the [OK] button. Only one

authentication attachment is allowed.

Note: The maximum size of a Convert Paper Only Filer to Electronic Filer submission,

including the attachment, must not exceed 200 MB.

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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 (Bottom))

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

12. Click the [Submit] button (Figure 3-30: EDGAR Convert Paper Only Filer to Electronic Filer

Confirmation Page (Bottom)) to submit the Convert Paper Only Filer to Electronic Filer

request.

A dialog box displays asking for confirmation. (Figure 3-31: EDGAR Convert to Electronic

Filer, “Continue” Dialog Box). To submit the request to EDGAR for processing, click the

[OK] button; to cancel the request, click the [Cancel] button.

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

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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

13. Click 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

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 attached authentication documentation, the SEC will authenticate the 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 424B 6 or 424H using

a serial tag, with the SEC. When the 424B or 424H 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 or 424H). 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 or 424H that created it is accepted.

3.3.2.1 Composing the New Serial Company Access Request

To compose a new serial company access request, 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 ‘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).

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, 424B7, and 424B8.

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Figure 3-33: EDGAR Access for New Serial Companies Page

4. 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:{@, #, *, $}.

5. Click the [Continue] button near the bottom of the page when you are satisfied with the data

that you entered.

The EDGAR Access for New Serial Companies Confirmation page appears. (Figure 3-34:

EDGAR Access for New Serial Companies Confirmation Page). This page serves as the

authentication document for the process.

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Figure 3-34: EDGAR Access for New Serial Companies Confirmation Page

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6. Click the [Print Window] button near the bottom of the page to print the authentication

document for the process. The printed document must be signed and notarized.

7. Scan the authentication document and save it in PDF format. Then, click the [Upload/Delete

Attachment] button on the EDGAR Access for New Serial Companies Confirmation page.

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

document to the SEC; refer to Section 3.3.2.2, “Authentication Documentation,” for

more information.

The EDGAR Upload/Delete Attachment page opens. (Figure 3-35: EDGAR Upload/Delete

Attachment Page). This page is used to manage the attachment associated with your EDGAR

request.

Figure 3-35: EDGAR Upload/Delete Attachment Page

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

Attachment page opens. (Figure 3-36: EDGAR Upload Attachment Page).

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Figure 3-36: EDGAR Upload Attachment Page

9. Click the [Browse] button to select the attachment. Only one document can be uploaded and

the document must have the .pdf file extension.

Note: The Type field for the document defaults to CORRESP and is non-editable. Refer to

Section 3.2.3.2, “Assembling the Form ID Submission,” for EDGAR standards on

document attachments.

To cancel an attachment, click the [Cancel] button; to close the browser window, click the

[Exit Window] button.

10. Enter a description for the attachment and click the [Upload] button. The EDGAR

Upload/Delete Attachment page opens and the new attachment is displayed in the Attached

Document List table.

11. Continue to add or delete the attachment as needed, and then click the [OK] button. The

EDGAR Access for New Serial Companies Confirmation page appears.

12. Click the [Submit] button to submit the New Serial Company Access request.

A dialog box appears (Figure 3-37: EDGAR New Serial Company Access, “Continue”

Dialog) asking you to confirm that you want to submit the request. To submit the request to

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

button.

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Figure 3-37: 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.

The EFMW EDGAR Access for New Serial Companies Acknowledgment page appears

(Figure 3-38: 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 3-38: EDGAR Access for New Serial Companies Acknowledgment Page

Note: The Accession Number is a unique code assigned to your submission. It has a format

of: 9999999996-[Year]-[Sequence Number].

13. Click the [Exit Window] button to complete the process and close the browser window.

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3.3.2.2 Authentication Documentation

The EDGAR Access for New Serial Companies 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

•

Name of the contact person for purposes of this request

•

Contact person of the parent company on database

•

Contact telephone number of the parent company on database

•

Accession number of the 424B or 424H 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 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:

3.4

•

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

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. A depositor,

regardless of its SIC code value, can initiate the request.

Note: It is advisable to limit the 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.

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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 ‘Retrieve/Edit Data’.

3. Figure 3-39: 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 the [Continue] button.

Figure 3-39: Retrieve/Edit Data Page

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Figure 3-40: Retrieve/Edit Company and Submission Data Page appears.

Figure 3-40: Retrieve/Edit Company and Submission Data Page

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4. Click ‘Request Asset-Backed Securities (ABS) Issuing Entities Creation’. The Add ABS

Issuing Entities page appears, as shown in Figure 3-41: Add ABS Issuing Entities Page.

Figure 3-41: Add ABS Issuing Entities Page

5. For each Issuing Entity to be created, you must provide the following information:

 Company Name:

Note: This “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 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 the [Add Another Company] button; or, you can go on to the next step by clicking

the [OK] button.

7. When you click 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 3-42: Request ABS Issuing Entities Creation Information Page

Figure 3-42: 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 the [Verify/Submit] button. When you click the [Verify/Submit]

button a Request ABS Issuing Entities Creation Confirmation screen will be displayed as

shown in Figure 3-43: Request ABS Issuing Entities Creation Confirmation Page.

Figure 3-43: Request ABS Issuing Entities Creation Confirmation Page

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9. Carefully review your requested information, then either click the [Confirm/Submit] button

to submit your request or click 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 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 3-44: Request ABS Issuing Entities Creation Result Page.

Figure 3-44: 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.

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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 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

e-mail address on 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 3-45: EDGAR Form ID Application Notification, Accepted

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Figure 3-46: EDGAR Form ID Application Notification, Rejected

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3.5.2

Convert Paper Only Filer to Electronic Filer Request

Figure 3-47: EDGAR Convert to Electronic Filer Notification, Accepted

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Figure 3-48: EDGAR Convert to Electronic Filer Notification, Rejected

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3.5.3

EDGAR Access for New Serial Companies Request

Figure 3-49: EDGAR New Serial Access Notification, Accepted

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Figure 3-50: 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

to Electronic Filer request, or on an EDGAR Access for New Serial Companies request).

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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 ‘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 the [Generate Access Codes] button near the bottom of the page.

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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.

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.

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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.

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, although filers may elect to periodically update the passphrase for

security reasons).

4.1.1.1 Composing the New Passphrase Request

To compose a new passphrase request, you must either generate a Security Token or submit an

Update Passphrase (manual) request. Generating your own Security Token is the most efficient

method and should be chosen if the filer’s email contact information on file in EDGAR is

current.

4.1.1.1.1

Generating a Security Token

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

Management Website.”)

2. Click ‘Update Passphrase’ in the menu bar.

Figure 4-4: EFMW Welcome Page Menu

3. A new browser window opens (Figure 4-5: EDGAR Update Passphrase Page). Click the first

hyperlink “Request security token to update passphrase.”

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NOTE: If you have already received a security token that is still valid and would like to navigate

directly to the “Update Passphrase Continuation” screen, please select the second

hyperlink “Received a security token via email” on the “Update Passphrase” screen.

Generating the security token is the standard method to update your passphrase. Use the

"Update Passphrase (manual)" method only if the email contact information on record in

EDGAR is incorrect. If you choose this method, it may take over 48 hours to process the

request. Please select the third hyperlink on the “Update Passphrase” screen to follow the

manual process of updating your passphrase.

Figure 4-5: EDGAR Update Passphrase Page

4. Upon clicking the first hyperlink, the data entry page for “Update Passphrase –

Request Security Token" appears (Figure 4-6: EDGAR Update Passphrase – Request

Security Token Page).

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Figure 4-6: EDGAR Update Passphrase – Request Security Token Page

5. Enter your ‘CIK’ and ‘Reason for Update’ on the “Update Passphrase – Request

Security Token” page. The “Reason for Update” data entry field is optional and

allows you to enter free-form text explaining why the filer needs a new passphrase.

6. Click the [Continue] button at the bottom of the page.

7. EDGAR generates a Security Token and sends it to the EDGAR contact email

address on record.

NOTE: A Security Token will become invalid under the following conditions:

• 60 minutes pass from the time a Security Token was generated

• Another Security Token was issued for the same CIK

• The Security Token has already been used.

An example email is shown in Figure 4-7: EDGAR Security Token Email.

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Figure 4-7: EDGAR Security Token Email

8. To enter in the Security Token, either proceed to the next page (Figure 4-8: EDGAR

Update Passphrase Continuation Page) or click the link in the email to continue with

the passphrase update process. Alternatively, click the “Received a security token via

email” hyperlink on the “Update Passphrase” page. If you have not received an email

within 10 minutes, proceed to Step 1 of the “Update Passphrase Request” process

(See Section 4.1.1.1.2).

9. The “Update Passphrase Continuation” page will be displayed (Figure 4-8: EDGAR

Update Passphrase Continuation Page). Re-enter the CIK, select the checkbox “I have

received the Security Token within the last 60 minutes,” enter in the Security Token

as indicated in the email, enter in a “New Passphrase,” and then re-enter in the

passphrase again in the “Re-enter New Passphrase” fields. 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: {@, #, *, $}.

10. If the Security Token is invalid, the system will display the following error message:

“The Security Token has either expired or is no longer the most recent token issued

for CIK XXX. Please click the “Exit Window” button and then go to the “Update

Passphrase” screen to request a new Security Token.”

11. Click the [Submit] button.

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Figure 4-8: EDGAR Update Passphrase Continuation Page

12. A message will be displayed asking if you want to continue (Figure 4-9: EDGAR

Update Passphrase, “Continue” Dialog). Click the [OK] button.

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Figure 4-9: EDGAR Update Passphrase, “Continue” Dialog

13. An “Update Passphrase Acknowledgment” screen is displayed (Figure 4-10:

EDGAR Update Passphrase Acknowledgment Page) indicating the accession number

of the transaction and stating that a confirmation email will be sent to the filer’s

address on file.

Figure 4-10: EDGAR Update Passphrase Acknowledgment Page

4.1.1.1.2

Update Passphrase (Manual) Request

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

EDGAR Filer Management Website.”)

2. Click ‘Update Passphrase’ in the menu bar.

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Figure 4-11: EFMW Welcome Page Menu

3. A new browser window opens (Figure 4-12: EDGAR Update Passphrase Page).

Figure 4-12: EDGAR Update Passphrase Page

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4. Click the “Update passphrase (manual)” link. This will take you to the “Update

Passphrase Information” screen (Figure 4-13: Update Passphrase Information).

Figure 4-13: EDGAR Update Passphrase Information

5. Select “Yes” as a response to the question, “The applicant or the applicant’s

authorized representative must sign the application. Do you have this authority?”

Note: If you select “No” as a response, the system will display the following error

message and not permit you to continue with the update passphrase process:

“You are not authorized to submit this request. Please contact an authorized person

to update the passphrase.”

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6. 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 Update” data entry field is optional and allows you to enter freeform text explaining why the filer needs a new passphrase. This allows you to provide

information that may help the SEC process your request.

7. Click the [Continue] button near the bottom of the page after entering the data. The

“Update Passphrase Confirmation” page appears (Figure 4-14: EDGAR Update

Passphrase Confirmation Page).

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Figure 4-14: EDGAR Update Passphrase Confirmation Page

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

authentication document. This information should be used in preparing the

Authentication Document (see Section 4.1.1.2).

9. If you are acting as a Power of Attorney (POA) of the company, provide a POA that

is manually signed by an authorized agent of the company.

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10. Scan the authentication document, and the POA if it applies, and save them both in

PDF format. Then, click the [Upload/ Delete Attachments] button on the Update

Passphrase Confirmation page.

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

authentication document to the SEC; refer to Section 4.1.1.2, “Authentication

Documentation,” for more information.

The EDGAR Upload/Delete Attachment(s) page opens (Figure 4-15: EDGAR

Upload/Delete Attachment(s) Page). This page is used to manage the attachment(s)

associated with your EDGAR access request.

Figure 4-15: EDGAR Upload/Delete Attachment(s) Page

11. To add the attachment(s), click the [Upload Attachment] button. The EDGAR Upload

Attachment page opens (Figure 4-16: EDGAR Upload Attachment Page).

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Figure 4-16: EDGAR Upload Attachment Page

12. Click the [Browse] button to select the attachment. The attachment(s) must have the

.pdf file extension.

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

3.2.3.2, “Assembling the Form ID Submission,” for EDGAR standards on

document attachments.

13. Enter a description for the attachment and click the [Upload] button. The EDGAR

Upload/Delete Attachment(s) page opens and the new attachment is displayed in the

Attached Documents List table.

To cancel an attachment, click the [Cancel] button; to close the browser window,

click the [Exit Window] button.

14. Continue to add or delete the attachment(s) as needed, and then click the [OK] button.

The “Update Passphrase Confirmation” page appears.

15. Click the [Submit] button to submit the Update Passphrase request.

A dialog box displays asking for confirmation appears (Figure 4-17: EDGAR Update

Passphrase, “Continue” Dialog). To submit the request to EDGAR for processing,

click the [OK] button; to cancel the request, click the [Cancel] button.

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Figure 4-17: 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.

The EFMW EDGAR Update Passphrase Acknowledgment page appears (Figure

4-18: EDGAR Update Passphrase Acknowledgment Page). This page provides the

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

submission.

Figure 4-18: EDGAR Update Passphrase Acknowledgment Page

16. Click the [Exit Window] button to complete the process and close the browser

window.

4.1.1.2 Authentication Documentation

The Update Passphrase 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

•

Name of the contact person for purposes of this request

•

Contact person

•

Contact telephone number

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•

Contact email address

•

Manual signature of authorized person

•

Printed name of authorized person

•

Title of authorized person

•

Signature

•

Signature Date

•

Name of Notary (must be different from contact person)

•

Notary seal (in jurisdictions that use notary seals)

If the request is for a company, the authentication document must be on company letterhead. If

the request is for an individual, the filer may provide the information on non-company letterhead

or use the print out that can be generated on the EDGAR Update Passphrase Confirmation Page

(Figure 4-14: EDGAR Update Passphrase Confirmation Page).

4.1.1.3 E-mail Acceptance or Rejection Notification

After the SEC receives both the electronic EDGAR Update Passphrase request and the attached

authentication documentation, the SEC will authenticate the 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 4-19: EDGAR Update Passphrase Notification, Accepted

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Figure 4-20: 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

‘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 4-21: Change Company Password or CCC Page:

•

Change Password

•

Change CCC (CIK Confirmation Code)

Click the ‘Change Company Password or CCC’ option on the Retrieve/Edit Data page, and this

page will appear.

Figure 4-21: Change Company Password or CCC Page

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Your EDGAR password is good for only twelve (12) months. Be sure you change your password

on the EDGAR Filing Website before it expires.

4.1.3.1 Changing Your Password

1. Click the ‘Change Password’ link on the Change Company Password or CCC page.

Figure 4-22: 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 the [Change Password] button.

Figure 4-23: 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 the ‘Change CCC’ link on the Change Company Password or CCC page.

2. Enter your CIK, Password, new CCC, and Confirm New CCC.

3. Click the [Change CCC] button.

Figure 4-24: 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

Figure 4-25: Change CCC Results Page

If you mistyped 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 4-26: The EDGAR Create Passphrase Page.

Figure 4-26: 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 4-27: The EDGAR Create Passphrase Results Page

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4. Click the [Continue to EDGAR Welcome] button. The Welcome page displayed is

based on the website that you initially logged on to.

Figure 4-28 shows the EDGAR OnlineForms Management Website Welcome page.

Figure 4-28: 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) 5518900 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:

5. Connect to the Internet.

6. Go to the EDGAR Gateway: http://www.portal.edgarfiling.sec.gov.

7. Click the ‘Are you an EDGARLink Online filer or would you like to create a new

Asset-Backed Securities Issuing Entity?’ link.

8. The EDGAR Filing Website login page is displayed where you must enter your

access data.

9. Click in the CIK field and enter your CIK.

10. Press [Tab] and enter your password.

11. This is your login password, not your CCC, or PMAC. Your password is casesensitive.

12. Click the [Login to EDGAR] button.

13. 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.

14. 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 ‘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 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 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



Request Return of Unused Funds



Retrieve Balance Information



View Account Activity Statement



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:

3. Click ‘Retrieve Company Information’. The Company Information page appears.

Scroll down this page to review the company information EDGAR has stored.

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Figure 5-3: Company Information Page

If any of this 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.

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Note: You cannot change your CIK.

You can 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.

Note: Filers that are registered as Broker-Dealers cannot update their company information

(except for e-mail address) through the ‘Retrieve/Edit Data’ link on the EDGAR Filing

Website. Instead, they must submit a Form BD/A (Amendment) to CRD to update their

company information. The Form BD/A filing will automatically update the company

information in EDGAR, and thereafter the new company address information will be

pre-populated into the applicable address fields on future EDGAR submissions.

Once you have logged into EDGAR and accessed the Company and Submission Information

Retrieval page, you can edit your company information:

4. Scroll to the bottom and click 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.



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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 (Top)

5. 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.

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Figure 5-5: Edit Company Information Page (Middle)



If you want to change one of your addresses to be the same as your Mailing

Address, select the “same as” check box 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.

Figure 5-6: Edit Company Information Page (Bottom)

Note: The “Address of Principal Executive Offices” section will be populated with

the data provided on the most recently filed DOS, DOS/A, 1-A, 1-A/A, or 1-A

POS submission for the CIK and CCC provided on the “Retrieve/Edit Data”

page.

6. When finished, click the [Submit Changes] button.

7. Your changes appear on the Company Information Edit 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.

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8. Confirm the changes by clicking the [Confirm Company Changes] button at the

bottom of the page.

Figure 5-7: Company Information Edit Confirmation Page



If you want to cancel the changes, click the [Cancel Changes] button or click on

the browser's [Back] button.

9. The Edit Company Information Results 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.

Figure 5-8: Edit Company Information Results Page

If you want to return to the Retrieve/Edit Company and Submission data page, click

the [Return to Retrieve/Edit Company and Submission Data Menu] button at the

bottom of the Edit Company Information Results 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 de-registration of the S/C Fund. The following sections provide

more details.

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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

33-8590 (July 18, 2005) [70-FR43558], “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 (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 de-registration 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.

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For series or classes (contracts) that are no longer offered, go out of existence, or de-register 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 the status 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 ‘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 5-9: 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.

 Enter your CIK in the CIK field and press [Tab].



Enter your CCC in the CCC field.



Click the [Continue] button.

Figure 5-9: Retrieve/Edit Data Page

4. Figure 5-10: Retrieve/Edit Company and Submission Data Page, appears. Click 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 5-10: 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 5-12:

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 5-11: Not a Series and Classes

(Contracts) Investment Company will appear.

Since you are not an S/C Funds type, click the [Close Window] button. You are not required to

submit series and class (contract) information.

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Figure 5-11: Not a Series and Classes (Contracts) Investment Company

5.4.1.4 Series and Classes (Contracts) Information Page Overview

Figure 5-12: 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

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.

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Figure 5-12: Series and Classes (Contracts) Information Page

Note: Updated data appears in blue.

The following section describes each button function on the Series and Classes (Contracts)

Information page.

[Modify Company] Button

The [Modify Company] button can be used to change the Investment Company Type.

When the button is clicked, the Edit Investment Company Type page displays (see Figure 5-13:

Edit Investment Company Type Page).

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Figure 5-13: Edit Investment Company Type Page

To change your Investment Company Type:

•

Click on the Investment Company Type drop down list. The selections are as follows:

Form N-1 Filer (Open-End Separate Account with No Variable Annuities)

Form N-1A Filer (Mutual Fund)

Form N-2 Filer (Closed-End Investment Company)

Form N-3 Filer (Separate Account registered as Open-End Management Investment

Company)

Form N-4 Filer (Variable Annuity UIT Separate Account)

Form N-5 Filer (Small Business Investment Company)

Form N-6 Filer (Variable Life UIT Separate Account)

Form S-1 or S-3 Filer (Face Amount Certificate Company)

Form S-6 Filer (UIT, Non-Insurance Product)

No longer an Investment Company Type in the selection list

•

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 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

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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

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 5-14: Edit Series

Page. You will use the page to change a Series Name and/or its status.

Figure 5-14: Edit Series Page

Note: “*” indicates a required field.

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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 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

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.

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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 5-15: Edit Class (Contract) Page shows the page as it

will appear.

Figure 5-15: 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 the [OK] button.

Note: If the Class (Contract) Status is changed to Active, the status change will be blocked for

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

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•

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 the [Verify/Submit Changes] button on the Series and Classes (Contracts) Information

page.

Figure 5-16: Series and Classes (Contracts) Information Edit Confirmation Page

Figure 5-16: 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 the [Continue

Edit] button to continue making additional changes. We recommend that you create a 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.

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Figure 5-17: 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 5-18. 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 5-18: Series and Classes (Contracts) Information Edit Result Page

If you click the [Verify/Submit Changes] button on the Series and Classes (Contracts)

Information page and make no changes, the page shown in Figure 5-19: 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 5-19: Series and Classes (Contracts) Information Edit Confirmation Page

5.4.1.4.4

Series and Class Notification

Figure 5-20: 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 5-20: Series and Class Notification, Modified Items

5.5

Request Return of Unused Funds

Filers must request a return of unused account funds via the EDGAR Filing Website.

Once you have logged into EDGAR and accessed the Retrieve/Edit Company and Submission

Data page, you can request for a return of unused funds:

1. Click the ‘Request Return of Unused Funds’ link. The Select the Method of Payment

page displays (Figure 5-21: Method of Payment Selection Page).

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Figure 5-21: Method of Payment Selection Page

2. Select whether you would like a return of your unused funds in the form of a check

payment or a wire transfer.

3. Click the [Submit] button. The Request Return of Unused Funds page displays.

Alternatively

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This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.