Filer Manual – Volume II
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Filer Manual – Volume II
EDGAR Filing
VERSION 72
December 2024
EDGAR Filer Manual (Volume II)
i
December 2024
Notice
Comply with the requirements of the EDGAR Filer Manual when making electronic filings with
the SEC. See Rule 301 of Regulation S-T.
The EDGAR Filer Manual consists of two volumes. EDGAR Filer Manual, Volume I: “General
Information,” includes the requirements for becoming an EDGAR filer and maintaining EDGAR
company information. EDGAR Filer Manual, Volume II: “EDGAR Filing,” sets forth the
process to submit an online filing.
For up-to-date information regarding filing-related topics, consult the following EDGAR
websites:
•
Information for EDGAR Filers (https://www.sec.gov/info/edgar.shtml)
•
EDGAR Gateway to submit filings (https://www.portal.edgarfiling.sec.gov)
•
EDGAR Company Database (https://www.edgarcompany.sec.gov)
EDGAR® and EDGARLink® are registered trademarks of the SEC. 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, please do not include social security numbers in
filings submitted to the Commission.
EDGAR Filer Manual (Volume II)
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December 2024
Updates
On December 16, 2024, EDGAR Release 24.4 will introduce the following changes:
•
On October 13, 2023, the SEC adopted new Rule 13f-2 and related Form SHO to provide
greater transparency through the publication of short sale-related data to investors and
other market participants. Under Rule 13f-2, an institutional investment manager
(“Manager”) that meets certain prescribed reporting thresholds will report certain short
position and short activity data for certain equity securities on Form SHO. A Manager
will file Form SHO using either a fillable web form available on EDGAR, or its own
software tool that utilizes a Form SHO-specific XML. The Commission will thereafter
anonymize, aggregate, and publish certain data collected from the forms received.
EDGAR will be updated in accord with this new rule. See Short Position and Short
Activity Reporting by Institutional Investment Managers, Release No. 34-98738 (Oct. 13,
2023). See also Chapters 8.2.41 and 8.2.42 of EDGAR Filer Manual 24.4, Vol. II.
•
On July 1, 2024, the Commission adopted Registration for Index-Linked Annuities and
Registered Market Value Adjustment Annuities; Amendments to Form N-4 for IndexLinked Annuities, Registered Market Value Adjustment Annuities, and Variable
Annuities; Other Technical Amendments. The Rule requires registered index-linked
annuities and registered market value adjustment annuities (collectively, “non-variable
annuities”) to register on Form N-4 and pay their fees on Form 24F-2. The following
changes will be made to allow filers to comply with the new requirements:
o EDGAR will be modified to automatically accept initial N-4 submissions from
Securities Act of 1933 Act (“1933 Act”)-only filers. Upon acceptance, EDGAR
will assign a new 1933 Act File Number (333-) to the submission.
o EDGAR will no longer require registrants with an investment company type of N4 to have an Investment Company Act of 1940 file number (811-) in order to
make N-VPFS filings. N-VPFS filings made by non-variable annuities will be
accepted by EDGAR as long as the filer has a 1933 Act File Number.
o Three new exhibits will be available to Form N-4 filers:
▪ EX-99.4p PWR ATTY
▪ EX-99.4q ACCT LTR
▪ EX-99.4r HISTORIC
o EDGAR will be updated to accept the 2024Q4 version of the Variable Insurance
Products (“VIP”) XBRL taxonomy, which incorporates new disclosure
requirements on Form N-4 for non-variable annuities.
o The Form 24F-2 online application and XML schema will be modified to include
updates to Form 24F-2 introduced by the Rule. After the date of this EDGAR
release, all Form 24F-2 filers will need to comply with the updated requirements.
Submissions created using earlier versions of the schema will be suspended.
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Additionally, online form filers will be unable to restore a Form 24F-2 created
and saved prior to the release date and will be prompted to create a new filing.
o Descriptive text throughout the EDGAR Filer Manual will be updated to clarify
that certain submission types and EDGAR functionality previously only used by
investment companies will now also apply to non-variable annuities. See, for
example, Chapter 3.1 of the EDGAR Filer Manual 24.4, Vol. II.
See Registration for Index-Linked Annuities and Registered Market Value Adjustment
Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market
Value Adjustment Annuities, and Variable Annuities; Other Technical Amendments,
Release No. 33-11294 (July 1, 2024).
•
In October 2023, the Commission adopted amendments that require beneficial ownership
reports on Schedules 13D and 13G be filed using a structured, machine-readable data
language. EDGAR is being updated to replace the HTML and ASCII filing formats for
Schedules 13D and 13G, with an XML-based filing format. See Modernization of
Beneficial Ownership Reporting, Release No. 33-11253 (Oct. 10, 2023).
•
The Filer Manual Volume II will be updated to remove screenshots from Chapters 5 and
7 that duplicate instructions provided in the text.
•
The title of Chapter 3 of the Filer Manual Volume II will be clarified to include reference
to submission types and as amended will read “Index to Forms and Submission Types”.
EDGAR Filer Manual (Volume II)
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December 2024
TABLE OF CONTENTS
PREFACE ..................................................................................................................................... X
Do you need to file through EDGAR? .......................................................................................................... x
Rules Governing Forms and Filing Information ........................................................................................... x
1.
INTRODUCTION TO VOLUME II................................................................................ 1-1
1.1
1.1.1
Organization of this Manual ......................................................................................................... 1-1
Conventions Used in the Filer Manual ......................................................................................... 1-1
2.
QUICK GUIDE TO EDGAR FILING ............................................................................ 2-1
2.1
2.1.1
2.1.2
2.1.3
2.2
2.3
2.3.1
2.3.2
2.3.3
2.3.4
2.4
EDGAR Filing Process ................................................................................................................. 2-1
Using EDGARLink Online ........................................................................................................... 2-2
EDGAR Online Forms Website.................................................................................................... 2-3
After a Submission is Filed ........................................................................................................... 2-3
Filing Checklist ............................................................................................................................. 2-3
General Information for Filers ...................................................................................................... 2-5
Hours of Operation ....................................................................................................................... 2-5
Introduction to Web Browsers ...................................................................................................... 2-5
Accessing EDGAR ....................................................................................................................... 2-7
Getting Help with EDGAR ........................................................................................................... 2-7
EDGAR Gateway and Websites ................................................................................................... 2-8
3.
INDEX TO FORMS AND SUBMISSION TYPES ......................................................... 3-1
3.1
3.2
Alpha/Numeric.............................................................................................................................. 3-2
Electronic Form Types by Act .................................................................................................... 3-33
4.
FILING FEE INFORMATION ........................................................................................ 4-1
4.1
4.2
4.3
4.4
4.5
4.5.1
4.5.2
4.5.3
4.6
4.6.1
4.6.2
4.6.3
4.6.4
4.7
4.7.1
4.8
Where to Pay Filing Fees .............................................................................................................. 4-1
How to Send Filing Fees to U.S. Bank ......................................................................................... 4-2
How to Send Filing Fees Using Pay.gov ...................................................................................... 4-2
How to View Fee Account Information........................................................................................ 4-3
How to Request a Return of Unused Funds .................................................................................. 4-4
1933 Act Filings by Corporations ................................................................................................. 4-5
1934 Act Filings............................................................................................................................ 4-6
1933 and 1940 Act Filings by Investment Companies and Registered Non-Variable Annuities . 4-6
How to Calculate a Filing Fee ...................................................................................................... 4-6
1933 Act Filings............................................................................................................................ 4-6
1934 Act Filings............................................................................................................................ 4-7
1939 Act Filings............................................................................................................................ 4-7
Example of Fee Calculation for 24F-2NT .................................................................................... 4-7
Offsetting Fees .............................................................................................................................. 4-8
Offsetting Fees Example ............................................................................................................... 4-8
Common Problems ....................................................................................................................... 4-9
5.
CONSTRUCTING ATTACHED DOCUMENTS AND DOCUMENT TYPES .......... 5-1
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5.1
5.1.1
5.1.2
5.2
5.2.1
5.2.2
5.2.3
5.2.4
5.2.5
5.3
5.3.1
5.3.2
5.3.3
5.4
5.4.1
5.4.2
Introduction ................................................................................................................................... 5-1
File Naming Standards .................................................................................................................. 5-1
Statutory Signatures ...................................................................................................................... 5-1
Document Formats ........................................................................................................................ 5-3
ASCII Documents ......................................................................................................................... 5-3
HTML ......................................................................................................................................... 5-14
PDF ............................................................................................................................................. 5-27
Reserved...................................................................................................................................... 5-30
Inline XBRL Documents ............................................................................................................ 5-30
Preparing or Referencing Module and Segment Documents ...................................................... 5-41
Module and Segment Naming .................................................................................................... 5-42
Types of Modules and Segments ................................................................................................ 5-43
Maintaining Modules and Segments ........................................................................................... 5-45
Document Types in EDGAR ...................................................................................................... 5-47
Non-Public and Confidential ...................................................................................................... 5-47
Exhibits ....................................................................................................................................... 5-48
6.
INTERACTIVE DATA ..................................................................................................... 6-1
6.1
6.1.1
6.1.2
6.1.3
6.2
6.2.1
6.2.2
6.3
6.4
6.5
6.6
Set Definitions .............................................................................................................................. 6-1
Submission Sets ............................................................................................................................ 6-1
Entity Sets ..................................................................................................................................... 6-3
Instance Types .............................................................................................................................. 6-4
Taxonomy Entry Points ................................................................................................................ 6-6
Entry Point Name and URL Conventions ..................................................................................... 6-6
Standard Taxonomies.................................................................................................................... 6-7
Instance Types and Standard Taxonomies .................................................................................... 6-8
Attachment types ........................................................................................................................ 6-10
Restrictions on EDGAR Modules ............................................................................................... 6-11
Errors, Suspension, and Rendering ............................................................................................. 6-12
7.
PREPARING AND TRANSMITTING EDGARLINK ONLINE SUBMISSIONS .... 7-1
7.1
7.1.1
7.1.2
7.2
7.2.1
7.2.2
7.3
7.3.1
7.3.2
7.3.3
7.3.4
7.3.5
7.3.6
Introduction ................................................................................................................................... 7-1
Using the EDGAR Filing Website ................................................................................................ 7-2
Information on Headers ................................................................................................................ 7-8
Creating an EDGARLink Online Submission .............................................................................. 7-8
Accessing the EDGARLink Online Submission .......................................................................... 7-8
Viewing the Fee Rate .................................................................................................................. 7-10
Preparing Your EDGARLink Online Submission ...................................................................... 7-10
Submission .................................................................................................................................. 7-10
EDGARLink Online Submission Preparation Map .................................................................... 7-13
The EDGARLink Online Main Page .......................................................................................... 7-16
The EDGARLink Online Attached Documents List Page .......................................................... 7-38
The EDGARLink Online Notification Information Page ........................................................... 7-44
The EDGARLink Online Module/Segment Page ....................................................................... 7-45
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7.3.7
7.3.8
7.3.9
7.3.10
7.3.11
7.3.12
7.3.13
7.3.14
7.3.15
7.4
7.4.1
7.4.2
7.4.3
7.4.4
7.4.5
7.4.6
7.5
7.6
7.6.1
7.6.2
7.6.3
7.6.4
7.7
7.7.1
7.7.2
7.8
7.8.1
7.9
The EDGARLink Online Series/Classes (Contracts) Information Page..................................... 7-48
The EDGARLink Online Fee Offset Information Page.............................................................. 7-56
The EDGARLink Online Offerings & Fees Page ....................................................................... 7-57
Preparing an Inline XBRL filing fees exhibit (EX-FILING FEES) ........................................... 7-66
Combining Form Types in a Single Submission ........................................................................ 7-76
Module and Segment Submissions ............................................................................................. 7-79
Correspondence Submissions and Documents ........................................................................... 7-80
Bulk Filing .................................................................................................................................. 7-81
CERT Submissions ..................................................................................................................... 7-82
Validating Your Submission ....................................................................................................... 7-82
Field Validation .......................................................................................................................... 7-82
Document Validation .................................................................................................................. 7-83
Submission Validation ................................................................................................................ 7-83
Editing Your Submission ............................................................................................................ 7-84
Submission Errors ....................................................................................................................... 7-84
Document Errors ......................................................................................................................... 7-84
Saving Your Submission............................................................................................................. 7-84
Transmissions to EDGAR........................................................................................................... 7-85
Transmitting Single Submissions ............................................................................................... 7-85
Transmitting Modules and Segments.......................................................................................... 7-85
Transmitting Bulk Filings ........................................................................................................... 7-85
Test Submissions ........................................................................................................................ 7-86
Disseminating Draft Submissions ............................................................................................... 7-86
Disseminating Draft Registration Statements ............................................................................. 7-86
Disseminating Draft Offering Statements ................................................................................... 7-87
EDGAR Filing Website Help ..................................................................................................... 7-88
EDGARLink Online Help........................................................................................................... 7-88
Common Problems ..................................................................................................................... 7-88
8.
PREPARING AND TRANSMITTING ONLINE SUBMISSIONS .............................. 8-1
8.1
8.1.1
8.1.2
8.1.3
8.1.4
8.1.5
8.1.6
8.1.7
8.1.8
8.1.9
8.1.10
8.1.11
8.1.12
8.1.13
EDGAR Online Forms Website – Online Filing Preparation ....................................................... 8-2
Online Forms Data Gathering Model ........................................................................................... 8-2
Navigating EDGAR – Logging into EDGAR Online Forms Website ......................................... 8-3
EDGAR Online Forms Menu Options .......................................................................................... 8-5
Creating an Online Section 16 Ownership Submission ................................................................ 8-6
File Form 144 Submission .......................................................................................................... 8-14
Completing a Form 144 Submission........................................................................................... 8-14
File Form D Submission ............................................................................................................. 8-18
Basic Information for Form D Submission ................................................................................. 8-18
Completing an Online Form D Submission ................................................................................ 8-20
File Schedule 13D ....................................................................................................................... 8-28
Completing a Schedule 13D ....................................................................................................... 8-29
Completing a Schedule 13G Submission .................................................................................... 8-37
Common Ownership Problems ................................................................................................... 8-46
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8.2
8.2.1
8.2.2
8.2.3
8.2.4
8.2.5
8.2.6
8.2.7
8.2.8
8.2.9
8.2.10
8.2.11
8.2.12
8.2.13
8.2.14
8.2.15
8.2.16
8.2.17
8.2.18
8.2.19
8.2.20
8.2.21
8.2.22
8.2.23
8.2.24
8.2.25
8.2.26
8.2.27
8.2.28
8.2.29
8.2.30
8.2.31
8.2.32
8.2.33
8.2.34
8.2.35
8.2.36
8.2.37
8.2.38
8.2.39
8.2.40
8.2.41
EDGAR Filing Website .............................................................................................................. 8-48
EDGAR Filing Website Menu Options ...................................................................................... 8-48
General Information on Online Forms ........................................................................................ 8-49
File Regulation A Forms ............................................................................................................. 8-50
Completing a Regulation A Submission ..................................................................................... 8-52
File Form C ................................................................................................................................. 8-72
Completing a Form C Submission .............................................................................................. 8-74
File Form Funding Portal ............................................................................................................ 8-83
Completing a Form Funding Portal Submission ......................................................................... 8-84
File Form 13H Submission ......................................................................................................... 8-94
Completing a Form 13H Submission .......................................................................................... 8-96
File Form 13F ........................................................................................................................... 8-101
Completing a Form 13F Submission ........................................................................................ 8-101
File Form 13F Confidential Treatment Request ....................................................................... 8-107
Completing a Form 13F Confidential Treatment Request Submission .................................... 8-107
File Municipal Advisor Forms .................................................................................................. 8-112
Completing a Municipal Advisor Form Submission ................................................................ 8-113
File Form SDR .......................................................................................................................... 8-135
Completing a Form SDR Submission ....................................................................................... 8-137
File SBS Entity Forms .............................................................................................................. 8-145
Completing an SBS Entity Submission .................................................................................... 8-146
Completing a Form X-17A-5 Part III Submission .................................................................... 8-167
File Form 17-H ......................................................................................................................... 8-173
Completing a Form 17-H Submission ...................................................................................... 8-173
Transfer Agent Forms ............................................................................................................... 8-178
Completing a Transfer Agent Form .......................................................................................... 8-181
Form N-CEN............................................................................................................................. 8-193
Completing a Form N-CEN ...................................................................................................... 8-197
Form ATS-N ............................................................................................................................. 8-225
Completing Form ATS-N ......................................................................................................... 8-228
Form 24F-2 ............................................................................................................................... 8-247
Completing a Form 24F-2......................................................................................................... 8-248
File Form N-PX ........................................................................................................................ 8-258
Completing a Form N-PX Submission ..................................................................................... 8-259
File Form N-PX Confidential Treatment Request .................................................................... 8-269
Completing a Form N-PX Confidential Treatment Request Submission ................................. 8-269
File Form N-CR ........................................................................................................................ 8-279
Completing a Form N-CR Submission ..................................................................................... 8-279
File Forms SBSEF, SBSEF-CCO, SBSEF-FIN-QTR, and SBSEF-FIN-REQ ......................... 8-290
Completing Form SBSEF ......................................................................................................... 8-292
Completing Form SHO ............................................................................................................. 8-303
File Form SHO.......................................................................................................................... 8-311
9.
FILER-CONSTRUCTED XML SUBMISSIONS ........................................................... 9-1
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9.1
9.2
9.2.1
9.2.2
9.2.3
Filer-Constructed XML Technical Specifications ........................................................................ 9-1
Transmitting XML Submissions ................................................................................................... 9-1
Transmit XML as a Test Submission............................................................................................ 9-2
Transmit XML as a Live Submission ........................................................................................... 9-3
Transmission Status ...................................................................................................................... 9-5
APPENDIX A MESSAGES REPORTED BY EDGAR ..................................................... A-1
APPENDIX B RESERVED .................................................................................................... B-I
APPENDIX C EDGAR SUBMISSION TYPES .................................................................. C-1
APPENDIX D REFERENCE COPIES OF FORMS .......................................................... D-1
APPENDIX E AUTOMATED CONFORMANCE RULES FOR EDGAR DATA FIELDS
......................................................................................................................... E-1
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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”). This manual explains how you can file electronically with the SEC.
The SEC accepts electronic submissions through the Internet. EDGAR will disseminate that
information and you may view electronically submitted filings through commercial
dissemination services by using the SEC’s Public Website (https://www.sec.gov/search-filings).
Filings are also available for Web site viewing and printing in the Commission's Public
Reference Room, 100 F Street NE, Washington, DC 20549, on official business days between
the hours of 10:00 a.m. and 3:00 p.m.
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 way 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 can find Regulation S-T in the Code of Federal Regulations
(17 CFR Part 232). You will also find Regulation S-T under the Division of Corporation Finance
area on the SEC’s Public Website (https://www.sec.gov/about/divisions-offices/divisioncorporation-finance/rules-regulations-schedules). Regulation S-T is also available for Web site
viewing and printing in the Commission's Public Reference Room, 100 F Street NE,
Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m.
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INTRODUCTION TO VOLUME II
1.
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, 5.6.1).
The chapters of this volume primarily refer to the preparation of EDGAR submissions. When we
reference EDGARLink Online, we are referencing the online application used to assemble
EDGAR submissions online through EDGAR Filing Website.
The following outline shows you where to find information in this volume.
CHAPTER 1 – Introduction
CHAPTER 2 – Quick Guide to EDGAR Filing
CHAPTER 3 – Index to Forms
CHAPTER 4 – Filing Fee Information
CHAPTER 5 – Constructing Attached Documents and Document Types
CHAPTER 6 – Interactive Data
CHAPTER 7 – Preparing and Transmitting EDGARLink Online Submissions
CHAPTER 8 – Preparing and Transmitting Online Submissions
CHAPTER 9 – Filer-Constructed XML Submissions
APPENDICES:
A Messages Reported by EDGAR
This appendix provides information on acceptance, suspension, and EDGAR error messages,
including all HTML/PDF error messages.
B Reserved
Reserved
C EDGAR Submission Types
This appendix provides a list of submission templates and the submission types within each
submission template. It also contains sample submission template information.
D Reference Copies of Forms
This appendix provides information on https://www.sec.gov/submit-filings/forms-index where
reference copies of forms can be viewed, downloaded, and printed.
E Automated Conformance Rules for EDGAR Data Fields
EDGAR recognizes specific values for certain fields in each submission template. This appendix
provides information about the values you must provide in the specified format.
1.1.1
Conventions Used in the Filer Manual
As you read in this volume you should notice attributes assigned to certain types of text:
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EDGAR Filer Manual (Volume II)
•
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:
•
•
•
Titles of check, dialog, and list boxes, fields, functions, options, processes, queries, reports,
pages, tables, and windows appear in title case:
•
•
•
•
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:
•
•
•
“Test Filing” radio button
From the “Edit” menu, select “Copy”
“Busy” status
Directories and file names appear in bold text:
•
•
•
Submission Type list box
Name field
Company Information query
Menus, menu options, radio buttons, and statuses appear in title case and have double
quotation marks around them:
•
•
•
•
Press [Enter]
Click [Module/Segment]
<ALT-TAB>
<CTRL-C>
Internet Hyperlinks appear underlined:
EDGAR Portal (sec.gov)
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EDGAR Filer Manual (Volume II)
QUICK GUIDE TO EDGAR FILING
2.
2.1 EDGAR Filing Process
This section is designed for the novice filer to explain the filing process and some of the terms
that we will use throughout this manual. If you are familiar with EDGAR, then proceed to the
index to find your submission type.
A filer must use the EDGAR system when they have a filing obligation that requires an
electronic form. They can also choose to use an electronic form for certain form types that may
also be prepared in paper format. Increasingly, fewer forms are permitted via paper filing. All
rules regarding which forms must be submitted electronically are found in Regulation S-T,
General Rules and Regulations for Electronic Filings. A copy of this rule is available on the
SEC’s Public Website at https://www.sec.gov/about/divisions-offices/division-corporationfinance/rules-regulations-schedules.
The EDGAR system is comprised of a number of large computers that receive filings submitted
by entities. An entity is one that files with the SEC. Entities may be unique companies that make
Securities Act filings or individuals who make filings like Form 3 or 4. There are thousands of
filings submitted to the EDGAR system each day. The system processes the filings according to
rules defined by the SEC. Finally, if the documents are public, it transmits them to parties
outside the SEC. Since there is a single internal SEC system processing these filings, filers must
follow certain rules in preparing their filings so that they can be processed correctly.
Once you know the Code of Federal Regulations (CFR) Form Type/Schedule/Rule that you must
submit electronically as determined by the SEC Rules, you must determine the electronic
submission type. On the EDGAR system, the submission is the envelope for all of the content
you are sending in a single transmission. The submission type may tell the SEC and others
viewing the filing something about the filing itself. For example, a Form 15 can have submission
types of 15-12G and 15-15D. The different submission types are used by filers who have a filing
obligation under different sections of the act. For example, the 15-12G filer would have
registered a class of securities under Section 12(b) or 12(g).
EDGAR filings may consist of a number of documents, both primary and secondary. The
primary document is the document that contains the information required by the SEC for the
CFR Form Type/Schedule/Rule being submitted. Examples of the primary document include
documents like the 10-Q, 8-K, S-1, N-8A, or POS AMI. Many times filers want or need to
supplement their primary document with other documents. These are called secondary
documents. Secondary documents most commonly include cover letters or correspondence,
although correspondence documents may be sent in as primary documents in a correspondence
submission type. Sometimes filings can also include exhibits which have a number and/or letter
designator, whose content is defined by the SEC. These exhibits can include things like a
company charter, power of attorney, or underwriting agreements.
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EDGAR Filer Manual (Volume II)
All primary and secondary documents must be in certain standard electronic formats to be
accepted by the EDGAR system. The EDGAR system accepts ASCII, HTML, XML and, in
some cases, XBRL or PDF primary documents. If you include graphics in your HTML
document, then you must also include the .jpg and .gif files that contain your graphics. Two other
document formats can be used as unofficial copies: PDF1 and, in some cases, XBRL. You must
follow all of the rules outlined in this manual with regard to formatting these documents
regardless of the tool you use to prepare and transmit your submission.
2.1.1
Using EDGARLink Online
EDGARLink Online is an internet based online application. Filers can create a submission by
entering header data and attaching filing documents in a single session. You must log in to the
EDGAR Filing Website and indicate which form you would like to complete.
Once you have all of your documents prepared, you can assemble your EDGARLink Online
submission. Select the submission form type that you would like to file and you will be presented
with questions and fields that need to be completed. This data will be added to your submission
content and is commonly called the header or supplemental data.
EDGARLink Online allows you to indicate whether the submission should be considered a live
or test filing. A TEST filing allows you to make sure that the submission is correct by checking
all of the assembled documents and applying EDGAR processing steps like determining the fee
and checking your security codes. For a test submission, fees will not be deducted, the filing will
not be disseminated, and your filing will not be considered an official filing.
Submission contact information may be used by the Filer Support Branches or the SEC divisions
or offices if there is an issue with your filing. Including this information allows us to get in touch
with you quickly. Using the Notification Information page of the submission, you may add
multiple e-mail addresses where you would like a notification message sent. Using other pages
of the submissions, you may add secondary documents and provide fee information. You may
save your filing to your local computer. As a final step, you must transmit the submission in the
same Internet session.
PDFs will qualify as an “official” document if they comply with specified criteria. Please refer to Section 5.2.3 –
PDF for more information.
1
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2.1.2
EDGAR Online Forms Website
The EDGAR Online Forms Website tool is an Internet based online application. Filers can create
an Ownership form by entering primary document data and the header data in a single session.
You must log in to the EDGAR Online Forms Website and indicate which form you would like
to complete. Answer all of the questions. All filings assembled on this site are considered live, so
please be careful as you enter information.
You will be able to review and correct information before you send it to the EDGAR system.
Similar to EDGARLink Online submissions, you may include e-mail addresses for filing
notifications. As a final step, you must transmit the submission in the same Internet session.
2.1.3
After a Submission is Filed
After you transmit your submission, the EDGAR system will provide you with an accession
number. The accession number is a unique number that identifies your submission, which
consists of (in sequential order):
•
ten digits, which are the CIK of the entity that logged in to submit the filing.
•
two digits, which define the current year.
•
final set of digits, which are assigned sequentially to the login CIK starting with one on
the first business day of each year. It is important to use this number when reviewing the
status of your filing or consulting with SEC divisions.
After transmitting your submission, you may check on its status, and review e-mail notifications.
In addition, if requested, you will receive messages via e-mail. The notification messages, which
are identical to those you can retrieve via the Internet, include both the status of the submission
and detailed error messages. EDGAR will either accept or suspend your filing. Acceptance
means that the filing meets all of the EDGAR processing rules and, if live, the filing will be
disseminated. Suspended means that the filing contains serious errors that you must correct. You
can correct the errors and resubmit the filing. A suspended filing will not be disseminated nor
will fees be deducted from your account.
When the EDGAR system has completed the processing of your submission, if it is live and
public, it will be transmitted electronically to a number of third parties. (Certain non-public
documents will not be immediately disseminated but may be subsequently disseminated if they
meet certain criteria.) Dissemination can often occur within seconds of your transmission.
Private companies may post your filing on their websites for public use of their subscribers. The
filings are also posted on the SEC’s Public Website.
2.2 Filing Checklist
Please consult the following filing checklist in Table 2-1 to assist you with your filing. The
checklist does not address all aspects of filing. Please consult the more detailed sections of the
Filer Manual for specific guidance.
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Table 2-1: Filing Checklist
Step
Activity
Completion
1
Check that you have access codes for the EDGAR system. If not,
follow procedures in the EDGAR Filer Manual, Volume I, General
Information, to obtain codes.
2
Review your company data on EDGAR to determine that it is
up-to-date. If you are an Investment Company or registered nonvariable annuity with existing series and classes (contracts), review
your series and class information to insure that names, status and
ticker symbols are up-to-date before you submit a filing. New series
and classes (contracts) are to be added via a filing. Details are in the
EDGAR Filer Manual, Volume I, General Information.
Note: This data is used in creating header data in some filings and
filing data in other types of filings. It is your responsibility to keep your
company information current.
3
Determine the submission type you need to file and then find it in the
indexes in Chapter 3, “Index to Forms and Submission Types.” This
chapter will help you identify the website that should be used to
prepare and submit your filing.
4
If your filing requires a fee, ensure that the funds are available in your
account. See Chapter 4, “Filing Fee Information.”
5
Create documents that will be attached to the submission. See
Chapter 5, “Constructing Attached Documents and Document Types.”
Note: If you are using the EDGAR Online Forms Website, you do not
need to create the primary document.
EDGAR
Filing
Website 6 &
7
Access the EDGAR Filing Website and select the form type that you
want to submit. See Chapter 7 for completing an EDGARLink Online
Submission or Section 8.2 in Chapter 8 for completing an Online
Form using the EDGAR Filing Website. Skip to step 8.
EDGAR
Online Forms
Website 6 &
7
Access the EDGAR Online Forms Website and enter your form data.
See Chapter 8 for details. Transmit after data entry and verification.
Skip to step 10.
8
Transmit a test submission to the EDGAR system. For EDGARLink
Online submissions, see Section 7.6.4, “Test Submissions;” for XML
submissions, see Section 9.2.1, “Transmit XML as a Test
Submission.”
9
Review your acceptance/suspense message to determine if changes
are required. See Section 10.5, “Submission Information” for
instructions.
10
Transmit a live submission to the EDGAR system. Make sure that a
live file is created by having the live button clicked. For more details,
refer to Section 7.6, “Transmissions to EDGAR” or Section 9.2.2,
“Transmit XML as a Live Submission.”
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Step
11
Activity
Completion
Review your acceptance/suspense message. If necessary, correct
errors and file again. See Section 10.5, “Submission Information” for
instructions on reviewing your acceptance/suspense message.
2.3 General Information for Filers
The SEC encourages all current and prospective EDGAR filers to visit the Filer Support and
Resources page available on SEC.gov at EDGAR - Information for Filers. This webpage
provides helpful introductory information, including “How Do I” guides available at How Do I?
with step-by-step instructions concerning filing on EDGAR and a Glossary of commonly used
terms, acronyms and abbreviations available at Glossaryof Commonly Used Terms, Acronyms
and Abbreviations.
Filers who are unable to find an answer to their question on the above webpage may contact Filer
Support. Filer Support is available for general filing and technical information or assistance.
You can reach Filer Support Staff at (202) 551-8900, Monday through Friday, except federal
holidays, from 9 a.m. to 5:30 p.m. ET. Filer Support voicemail is available during off hours.
2.3.1
Hours of Operation
EDGAR is available for filings and changes to company information each business day, Monday
through Friday, from 6:00 A.M. to 10:00 P.M., Eastern Time. Transmissions to EDGAR
submitted before 10:00 P.M. Eastern Time will be processed. EDGAR is unavailable after 10:00
P.M. Eastern Time and all transmissions after that time will have to be submitted the next
business day.
2.3.2
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.
2.3.2.1 Browser Differences
Microsoft Edge and Google Chrome browsers (current versions) may be used 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 Microsoft Edge or Google Chrome.
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
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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.
Microsoft Edge and Google Chrome are the supported browsers for the EDGAR Filing Website,
EDGAR Filer Management, and EDGAR Online Forms Management websites.
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 Microsoft Edge) from
the “File” menu. This creates a new browser session that will not share information with the
existing session.
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2.3.3
Accessing EDGAR
To access EDGAR, you must have EDGAR access codes. New filers and filers who want to file
in another capacity (e.g., filing agent, training agent, or non-variable annuity filer) must use
Form ID to apply for EDGAR access codes. The Form ID application must be filed
electronically through the EDGAR Filer Management Website and include a notarized
authentication document in PDF format. If you do not attach the required notarized
authentication document as a PDF to Form ID, we cannot accept your application. Details of this
process are covered in Volume I. 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 or CCC (CIK Confirmation Code).
2.3.4
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. The staff responds
to general EDGAR questions like how to become a filer, the Form ID process, how to get to the
websites, how to update filer information, filing of forms, and header tags. Filer Support is
available each business day from 9:00 A.M. to 5:30 P.M. Eastern Time. Filer Support voicemail
will be available during off hours.
For general fee information, contact our Fee Account Services Branch in the Office of Financial
Management at (202) 551-8900.
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 during normal business hours 9:00 A.M. to
5:30 P.M., Eastern Time.
Division of Corporation Finance:
Filers that have substantive questions related to filings reviewed by the Division of
Corporation Finance should contact the appropriate Division office based on the area of
concern. See Division Office.
Filers that have an issue with a submitted and accepted document should follow the
relevant procedures found at https://www.sec.gov/submit-filings/filer-supportresources/how-do-i-guides.
Division of Trading and Markets:
For help with Form ATS-N filings, Form 13H, or Form CF, contact the Division of
Trading and Markets at TradingAndMarkets@sec.gov or (202) 551-5777.
For help with Forms SBSE, SBSE-A, SBSE-BD, SBSE-C, SBSE-W, and
SBSE-CCO-RPT, contact the Division of Trading and Markets at
TradingAndMarkets@sec.gov or (202) 551-5777.
For help with filing Form X-17A-5 Part III electronically, please review the instructions
for the Electronic Filing of Broker-Dealer Annual Reports.
For help with filing Form 17-H, please review the instructions for the Electronic Filing of
Form 17-H.
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Division of Investment Management:
For institutional investment manager filings on Form 13F or Form N-PX, call the IM
Chief Counsel’s Office inquiry line at: (202) 551-6825.
For investment company filings, call the IM EDGAR inquiry line: (202) 551-6989.
For questions concerning post-acceptance corrections and withdrawals, first review
“Correct, withdraw, or delete a filing” in EDGAR—Information for Filers, How Do I.
For questions concerning series and classes (contracts), first read our notice, Series and
Class (Contract) Notice and FAQ’s or call the IM EDGAR inquiry line at (202)
551-6989.
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.
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.
2.4 EDGAR Gateway and Websites
The SEC maintains a number of websites and URLs to support the filing process. As we have
developed more sites and URLs, it has become more complicated for filers to find the correct
location for any single activity. To alleviate this problem, we developed the EDGAR Gateway to
act as an interface between all EDGAR websites and URLs. By choosing the link that describes
what you want to do, you can connect to the correct resource to accomplish your task. You can
reach the EDGAR Gateway by using the following URL:
https://www.portal.edgarfiling.sec.gov
You can use links on this URL to access the websites or URLs. If you only remember one
EDGAR website, this is the one to remember. The other EDGAR websites and/or URLs as well
as their uses are as follows:
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URL
Name
https://www.edgarfiling.sec.gov
Prepare and transmit EDGARLink Online Form filings
Prepare and transmit Regulation A Forms, Regulation
Crowdfunding Forms, Form 13H, Form 13F, Form ATS-N, Form
SDR, Security-based Swap Entity Form filings, Form X-17A-5
Part III, Form 17-H, Municipal Advisor Form filings, Transfer
Agent Forms, Form N-CEN, Form 24F-2, Form N-PX, Form
13F-CTR, Form N-PX CTR, Form N-CR, and Form SBSEF.
Transmit XML Filer-Constructed Submissions
Updates of Entity Information
Filing Status and E-mail Notifications
View the Fee Rate Table
EDGAR Filing Website
https://www.onlineforms.edgarfiling.sec.gov
Prepare and transmit Ownership filings
Prepare and transmit Form 144 filings
Prepare and transmit Form D Filings
Prepare and transmit Schedule 13D Filings
Prepare and transmit Schedule 13G Filings
Transmit XML Filer-Constructed Submissions
Updates of Entity Information
Filing Status and E-mail Notifications
EDGAR Online Forms Website
https://www.filermanagement.edgarfiling.sec.gov
Apply for EDGAR Access (New)
Generate Access Codes (New/Replacement)
Update Passphrase
Apply for EDGAR Access: Applicants With a CIK but Without
EDGAR Access Codes (formerly “Convert Paper Only Filer To
Electronic Filer”)
EDGAR Access for New Serial Companies
Download the Filer Manual
EDGAR Filer Management
Website
https://www.edgarcompany.sec.gov
Public Access to company information
EDGAR Company Database
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URL
Name
https://www.sec.gov
Access to filings
Information on Existing Rules
Information on Proposed Rules
Download the Filer Manual
Frequently Asked Questions
Download Filer-Constructed Technical Specifications
SEC’s Public Website
Please note that there may be more than one URL or website to help you with a single task. For
example, there are two URLs where you can change entity data and download the Filer Manual.
Please be very careful in linking to the websites. Some are preceded by https: and you will not be
allowed access to a secure site without this designator. You should use the Favorites feature built
into Microsoft Edge to store the URLs for the sites you use frequently.
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3. INDEX TO FORMS AND SUBMISSION TYPES
As a filer, you will first need to determine whether you must meet your filing obligation via
EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for
Electronic Filings, outline which filings are mandated as electronic. This means that they must be
filed on EDGAR unless there is a case for Temporary or Continuing Hardship. (The rules for
each form and hardship exemptions may differ, so please see the regulation for specific
information.) Once you determine the form you need to file is electronic, then you need to
identify the submission type to use. For each submission type, there are specific tools that you
can use.
As the EDGAR system has evolved using new technologies, tools have been added, changed,
and sometimes updated. There is no longer a single tool for preparing an EDGAR submission.
Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic
submission types easily if all you know is the submission form type. Included in the last two
columns is detailed information about the tools that are used to create and/or assemble the filing.
The second index is easiest to use if you are more comfortable looking up your submission type
by Act.
Before using the indexes, it is important to understand the difference between the Code of
Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission
Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of
the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form
variations filers use on the electronic filing system to fulfill their filing obligation. For example,
the paper Form 15 is implemented on EDGAR as a number of different submission types
including: 15-12G and 15-15D. The last three digits represent the section of the 34 Act under
which the filer is obligated to file periodic reports.
Using either Index, find the submission type, check that the description of the form matches your
understanding of the purpose of the form, and identify the tool that should be used to create the
form. The options in this column are EDGARLink Online, EDGAR Filing Website, EDGAR
Filing Website Online Forms and Online Forms. There is a section in this manual describing in
detail each of these tools. Chapter 7, “Preparing and Transmitting EDGARLink Online
Submissions,” describes EDGARLink Online. Chapter 8, “Preparing and Transmitting Online
Submissions,” describes online submissions using the EDGAR Online Forms Website and
EDGAR Filing Website. The column entitled Filer-Constructed Technical Specifications should
only be used by filers who want to create their submissions without the use of EDGAR tools on
the EDGAR Filing Website. These Technical Specifications are available on the SEC’s Public
Website. The Technical Specifications are delivered separately and are not part of the Filer
Manual.
Note: In Section 3.1, “Alpha/Numeric” for simplicity we include both the initial form and the
associated amendment in the Submission Type column.
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3.1 Alpha/Numeric
Submission Type
Tool/
Template
Number
Description
Filer-Constr
ucted Form
Spec.
1-A, 1-A/A
Offering statement under Regulation A
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-A POS
Post-qualification amendment to a 1-A offering
statement
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-A-W, 1-A-W/A
Withdrawal of offering statement under Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-E, 1-E/A
Notification under Regulation E by small business
investment companies and business development
companies.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-E AD, 1-E AD/A
Sales material filed pursuant to Rule 607 under
Regulation E.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-K, 1-K/A
Annual Report Pursuant to Regulation A
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-SA, 1-SA/A
Semiannual Report Pursuant to Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-U, 1-U/A
Current Report pursuant to Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-Z, 1-Z/A
Exit Report under Regulation A
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-Z-W, 1-Z-W/A
Withdrawal of Exit Report under Regulation A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
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Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
253G1
Reflects information previously omitted from the
offering circular in reliance on Rule 253(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G2
Reflects information that constitutes a substantive
EDGARLink
change from or addition to the information set forth in Online
the last offering circular
EDGARLink
Online XML
Technical
Specification
253G3
Reflects information covered in both 253G1 and
253G2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G4
Reflects information covered in 253G1, 253G2 or
253G3 that is not being timely filed
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
2-E, 2-E/A
Report of sales of securities pursuant to Rule 609
under Regulation E.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-12B, 10-12B/A
Initial general form for registration of a class of
securities pursuant to Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-12G, 10-12G/A
Initial general form for registration of a class of
securities pursuant to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-D, 10-D/A
Periodic distribution reports by asset-backed issuers
pursuant to Rule 13a-17 or 15d-17
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-K, 10-K/A
Annual report pursuant to Section 13 and 15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-KT, 10-KT/A
Transition report pursuant to Rule 13a-10 or 15d-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10-Q, 10-Q/A
Quarterly report pursuant to Section 13 or 15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
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Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
10-QT, 10-QT/A
Transition report pursuant to Rule 13a-10 or 15d-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
11-K, 11-K/A
Annual report of employee stock purchase, savings
and similar plans
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
11-KT, 11-KT/A
Transition report pursuant to rule 13a-10 or 15d-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
13F-CTR,
13F-CTR/A
Form 13F Confidential Treatment Request filed by
institutional managers
EDGAR
Filing
Website
Online Forms
EDGAR
Form 13F
XML
Technical
Specification
13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings Report filed by
institutional managers
EDGAR
Filing
Website
Online Forms
EDGAR
Form 13F
XML
Technical
Specification
13F-NT, 13F-NT/A
Initial Quarterly Form 13F Notice Report filed by
institutional managers
EDGAR
Filing
Website
Online Forms
EDGAR
Form 13F
XML
Technical
Specification
13H, 13H-Q,
13H-A, 13H-I,
13H-R, 13H-T
Large Trader Registration Information Required of
Large Traders Pursuant to the Securities Exchange
Act of 1934 and Rule 13h-1 Thereunder. Initial Filing
(13H), Amended Filing (13H-Q), Annual Filing
(13H-A), Inactive Status (13H-I), Reactivated Status
(13H-R), and Termination Filing (13H-T)
EDGAR
N/A
Filing
Website
Online Forms
144, 144/A
Notice for proposed sale of securities under Rule 144 Online Forms
where the issuing company is subject to the reporting
requirements of Section 13 or 15(d) of the Exchange
Act
EDGAR
Form 144
XML
Technical
Specification
15-12G, 15-12G/A
Notice of termination of registration of a class of
securities under Section 12(b) and 12(g)
EDGARLink
Online XML
Technical
Specification
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Online
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Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
15-15D, 15-15D/A
Notice of suspension of duty to file reports pursuant
to Section 13 and 15(d) of the Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15F-12B,
15F-12B/A
Notice of termination by a Foreign Private Issuer of a EDGARLink
class of equity securities under Section 12(b)
Online
EDGARLink
Online XML
Technical
Specification
15F-12G,
15F-12G/A
Notice of termination of a foreign private issuer’s
registration of a class of securities under Section
12(g).
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
15F-15D,
15F-15D/A
Notice of a foreign private issuer’s suspension of
duty to file reports pursuant to Section 13 and 15(d)
of the Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
17AD-27, 17AD27/A
Annual report pursuant to Rule 17Ad-27
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
17HACON,
17HACON/A
Confidential broker dealer annual 17-H report
EDGAR
Filing
Website
Online Forms
EDGAR
Form 17-H
XML
Technical
Specification
17HQCON,
17HQCON/A
Confidential broker dealer quarterly 17-H report
EDGAR
Filing
Website
Online Forms
EDGAR
Form 17-H
XML
Technical
Specification
18-12B, 18-12B/A
Form for initial registration of securities of foreign
governments or political subdivisions pursuant to
Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18-12G, 18-12G/A
Form for initial registration of securities of foreign
governments or political subdivisions thereof
pursuant to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
18-K, 18-K/A
Annual report for foreign governments and political
subdivisions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-5
EDGAR Filer Manual (Volume II)
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
20-F, 20-F/A
Annual and transition report of foreign private issuers EDGARLink
pursuant to Section 13 or 15(d)
Online
EDGARLink
Online XML
Technical
Specification
20FR12B,
20FR12B/A
Form for initial registration of a class of securities of
foreign private issuers pursuant to Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20FR12G,
20FR12G/A
Form for initial registration of a class of securities of
foreign private issuers pursuant to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
24F-2NT,
24F-2NT/A
Annual notice of securities sold pursuant to Rule 24f- EDGAR
2 under the Investment Company Act of 1940 or
Filing
Rule 456(e) under the Securities Act of 1933
Website
Online Forms
EDGAR
Form 24F-2
Technical
Specification
Document
25, 25/A
Notification filed by issuer to voluntarily withdraw a
class of securities from listing and registration on a
national securities exchange
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
25-NSE, 25-NSE/A Notification filed by national security exchange to
report the removal from listing and registration of
matured, redeemed or retired securities
Distributed to
National
Securities
Exchanges
only
Distributed to
National
Securities
Exchanges
only
3, 3/A
Initial statement of beneficial ownership of securities
Online Forms EDGAR
Ownership
XML
Technical
Specification
305B2, 305B2/A
Application for designation of a new trustee under
the Trust Indenture Act
EDGARLink
Online
4, 4/A
Statement of changes in beneficial ownership of
securities
Online Forms EDGAR
Ownership
XML
Technical
Specification
40-6B, 40-6B/A
Application under the Investment Company Act by
and/or Investment Advisers Act an employees’
securities company
EDGARLink
Online
Submission Type
December 2024
Description
3-6
EDGARLink
Online XML
Technical
Specification
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
40-17F1,
40-17F1/A
Initial certificate of accounting of securities and
EDGARLink
similar investments in the custody of management
Online
investment companies filed pursuant to Rule 17f-1 of
the Investment Company Act of 1940 filed on Form
N-17F-1
EDGARLink
Online XML
Technical
Specification
40-17F2,
40-17F2/A
Initial certificate of accounting of securities and
EDGARLink
similar investments in the custody of management
Online
investment companies filed pursuant to Rule 17f-2 of
the Investment Company Act of 1940 filed on Form
N-17F-2
EDGARLink
Online XML
Technical
Specification
40-17G, 40-17G/A
Fidelity bond filed pursuant to Rule 17g1(g)(1) of the
Investment Company Act of 1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-17GCS,
4017GCS/A
Filings of claim or settlement pursuant to rule
17g-1(g)(1)(2) or (3) of the Investment Company Act
of 1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-24B2,
40-24B2/A
Filing of sales literature pursuant to Rule 24b2 under
the Investment Company Act of 1940
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-33, 40-33/A
Copies of all stockholder derivative actions filed with EDGARLink
a court against an investment company or an affiliate Online
thereof pursuant to Section 33 of the Investment
Company Act of 1940
EDGARLink
Online XML
Technical
Specification
40-8B25
Document or report
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-8F-2, 40-8F-2/A Initial application for de-registration pursuant to
Investment Company Act Rule 0-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-APP, 40-APP/A Applications under the Investment Company Act
and/or Investment Advisers Act other than those
reviewed by Office of Insurance Products
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-F, 40-F/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
December 2024
Description
Annual reports filed by certain Canadian issuers
pursuant to Section 15(d) and Rule 15d-4
3-7
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
40FR12B,
40FR12B/A
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(b) of the
1934 Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40FR12G,
40FR12G/A
Registration of a class of securities of certain
Canadian issuers pursuant to Section 12(g) of the
1934 Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
40-OIP, 40-OIP/A
Applications under the Investment Company Act
EDGARLink
and/or Investment Advisers Act reviewed by Office of Online
Insurance Products
EDGARLink
Online XML
Technical
Specification
424A
Prospectus filed pursuant to Rule 424(a)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B1
Prospectus filed pursuant to Rule 424(b)(1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B2
Prospectus filed pursuant to Rule 424(b)(2)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B3
Prospectus filed pursuant to Rule 424(b)(3)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B4
Prospectus filed pursuant to Rule 424(b)(4)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B5
Prospectus filed pursuant to Rule 424(b)(5)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B7
Prospectus filed pursuant to Rule 424(b)(7)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B8
Prospectus filed pursuant to Rule 424(b)(8)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-8
EDGAR Filer Manual (Volume II)
Submission Type
424H, 424H/A
Description
Preliminary Prospectus filed pursuant to Rule 424(h)
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
425
Filing under Securities Act Rule 425 of certain
prospectuses and communications in connection
with business combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424I
Prospectus filed pursuant to Rule 424(i)(1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
485APOS
Post-effective amendment filed pursuant to
Securities Act Rule 485(a) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
485BPOS
Post-effective amendment filed pursuant to
Securities Act Rule 485(b) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
485BXT
Post-effective amendment filed pursuant to
Securities Act Rule 485(b)(1)(iii) to designate a new
effective date for a post-effective amendment
previously filed pursuant to Securities Act Rule
485(a) (this filing cannot be submitted as a 1940 Act
only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
486APOS
Post-effective amendment to filing filed pursuant to
Securities Act Rule 486(a) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
486BPOS
Post-effective amendment to filing filed pursuant to
Securities Act Rule 486(b) (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
486BXT
Post-effective amendment filed pursuant to
Securities Act Rule 486(b)(1)(iii) to designate a new
effective date for a post-effective amendment
previously filed pursuant to Securities Act Rule
486(a) (this filing cannot be submitted as a 1940 Act
only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
487
Pre-effective pricing amendment filed pursuant to
Securities Act Rule 487
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-9
EDGAR Filer Manual (Volume II)
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
497
Definitive materials filed under paragraph (a), (b), (c), EDGARLink
(d), (e) or (f) of Securities Act Rule 497
Online
EDGARLink
Online XML
Technical
Specification
497AD
Filing by certain investment companies of Securities
Act Rule 482 advertising in accordance with
Securities Act Rule 497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497H2
Filings made pursuant to Rule 497(h)(2)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497J
Certification of no change in definitive materials
under paragraph (j) of Securities Act Rule 497
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
497K
Summary Prospectus for certain open-end
EDGARLink
management investment companies filed pursuant to Online
Securities Act Rule 497(k)
EDGARLink
Online XML
Technical
Specification
497VPI
Initial summary prospectus for variable contracts and EDGARLink
non-variable annuities (as defined in Rule 405 of the Online
Securities Act) filed pursuant to Securities Act Rule
497(k)
EDGARLink
Online XML
Technical
Specification
497VPSUB
Substitution-related supplement and correspondence EDGARLink
for variable contracts filed pursuant to the
Online
Commission Statement on Insurance Product Fund
Substitution Applications
EDGARLink
Online XML
Technical
Specification
497VPU
Updating summary prospectus for variable contracts EDGARLink
and non-variable annuities (as defined in Rule 405 of Online
the Securities Act) filed pursuant to Securities Act
EDGARLink
Online XML
Technical
Specification
5, 5/A
Annual statement of changes in beneficial ownership Online Forms EDGAR
of securities
Ownership
XML
Technical
Specification
6-K, 6-K/A
Current report of foreign issuer pursuant to Rules
13a-16 and 15d-16 Amendments
Submission Type
December 2024
Description
3-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
Form for the registration / listing of a class of
EDGARLink
securities on a national securities exchange pursuant Online
to Section 12(b)
EDGARLink
Online XML
Technical
Specification
Submission Type
8-A12B, 8-A12B/A
Description
8-A12G, 8-A12G/A Form for registration of a class of securities pursuant
to Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K, 8-K/A
Current report filing
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K12B, 8-K12B/A
Notification that a class of securities of successor
issuer is deemed to be registered pursuant to
Section 12(b)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K12G3,
8-K12G3/A
Notification that a class of securities of successor
issuer is deemed to be registered pursuant to
Section 12(g)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-K15D5,
8-K15D5/A
Notification of assumption of duty to report by
successor issue under Section 15(d)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ABS-15G,
Asset-backed securities report pursuant to Section
15G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Form for Submission of Electronic Exhibits in
asset-backed securities offerings
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification,
ABS-15G/A
ABS-EE,
ABS-EE/A
EDGAR ABS
XML
Technical
Specification
ANNLRPT,
ANNLRPT/A
Periodic Development Bank filing, submitted annually EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
APP WD,
Withdrawal of an application for exemptive or other
relief from the federal securities laws
EDGARLink
Online XML
Technical
Specification
APP WD/A
December 2024
3-11
EDGARLink
Online
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
ARS, ARS/A
Annual report to security holders
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
ATS-N
Initial Form ATS-N (Rule 304(a)(1)(i))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N/CA
Correcting Amendment (Rule 304(a)(2)(i)(C))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N/MA
Material Amendment (Rule 304(a)(2)(i)(A))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N/OFA
Order Display and Fair Access Amendment (Rule
304(a)(2)(i)(D))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N/UA
Updating Amendment (Rule 304(a)(2)(i)(B))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N-C
Notice of Cessation (Rule 304(a)(3))
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
ATS-N-W
Withdrawal of Form ATS-N filing
EDGAR
Filing
Website
EDGAR
Form ATS-N
XML
Technical
Specification
AW
Withdrawal of amendment to a registration statement EDGARLink
filed under the Securities Act
Online
December 2024
3-12
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
EDGARLink
Online XML
Technical
Specification
AW WD
Withdrawal of a request for withdrawal of an
amendment to a registration statement
EDGARLink
Online
BULK
Bulk Submission
EDGARLink
Online
C, C/A
Offering Statement
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-W
Offering Statement Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C/A-W
Amendment to Offering Statement Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-U
Progress Update
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-U-W
Progress Update Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-AR, C-AR/A
Annual Report
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-AR-W
Annual Report Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-AR/A-W
Amendment to Annual Report Withdrawal
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C-TR
Termination of Reporting
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
December 2024
3-13
EDGAR Filer Manual (Volume II)
Submission Type
Tool/
Template
Number
Description
C-TR-W
Termination of Reporting Withdrawal
CB, CB/A
Notification form filed in connection with certain
EDGARLink
tender offers, business combinations and rights
Online
offerings, in which the subject company is a foreign
private issuer of which less than 10% of its securities
are held by U.S. persons
EDGARLink
Online XML
Technical
Specification
CERT
Certification by an exchange approving securities for
listing
EDGARLink
Online
N/A
CFPORTAL,
CFPORTAL/A
Application for registration of funding portal
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
CFPORTAL-W
Withdrawal of the funding portal’s registration
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
CORRESP
A correspondence can be sent as a document with
another submission type or can be sent as a
separate submission.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
D, D/A
Official notice of an offering of securities that is made Online Forms
without registration under the Securities Act in
reliance on an exemption provided by Regulation D
and Section 4(a)(5) under the Act.
EDGAR
Form D XML
Technical
Specification
DEF 14A
Definitive proxy statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEF 14C
Definitive information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-14
EDGAR
Filing
Website
Filer-Constr
ucted Form
Spec.
EDGAR
Form C XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
DEFA14A
Definitive additional proxy soliciting materials
including Rule 14(a)(12) material. Note: Submission
type DEFA14A can be filed as part of Form 8-K. For
filers subject to 8-K filing requirements, we
recommend the use of the 8-K combined form type
as the easiest method for fulfilling your filing
requirement for both forms.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFA14C
Definitive additional information statement materials
including Rule 14(a)(12) material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14A
Definitive proxy statement in connection with
contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14C
Definitive information statement - contested
solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFM14A
Definitive proxy statement relating to a merger,
acquisition, or disposition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFM14C
Definitive information statement relating to merger or
acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFN14A
Definitive proxy statement filed by non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFR14A
Definitive revised proxy soliciting materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFR14C
Definitive revised information statement materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEL AM
Separately filed delaying amendment under
Securities Act Rule 473 to delay effectiveness of a
1933 Act registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-15
EDGAR Filer Manual (Volume II)
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
DFAN14A
Definitive additional proxy soliciting materials filed by
non-management including Rule 14(a)(12) material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DFRN14A
Revised definitive proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DOS, DOS/A
Non-public draft offering statement under Regulation
A
EDGAR
Filing
Website
N/A
DOSLTR
Draft Offering Statement Letter
EDGARLink
Online
N/A
DRS, DRS/A
Draft registration statement submitted by Emerging
Growth Company under Securities Act Section 6(e)
or by Foreign Private Issuer under Division of
Corporation Finance policy
EDGARLink
Online
N/A
DRSLTR
Correspondence Related to Draft Registration
Statement
EDGARLink
Online
N/A
DSTRBRPT,
DSTRBRPT/A
Distribution of primary obligations Development Bank EDGARLink
report
Online
EDGARLink
Online XML
Technical
Specification
F-1, F-1/A
Registration statement for securities of certain
foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10, F-10/A
Registration statement for securities of certain
Canadian issuers under the Securities Act of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10EF
Auto effective registration statement for securities of
certain Canadian issuers under the Securities Act of
1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10POS
Post-effective amendment to a F-10EF registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form F-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
December 2024
3-16
EDGAR Filer Manual (Volume II)
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
F-3, F-3/A
Registration statement for specified transactions by
certain foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3ASR
Automatic shelf registration statement of securities of EDGARLink
well-known seasoned issuers
Online
EDGARLink
Online XML
Technical
Specification
F-3D
Registration statement for dividend or interest
EDGARLink
reinvestment plan securities of foreign private issuers Online
EDGARLink
Online XML
Technical
Specification
F-3DPOS
Post-Effective amendment to a F-3D registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form F 3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4, F-4/A
Registration statement for securities issued by
foreign private issuers in certain business
combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form F 4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6 POS
Post-effective amendment to a F-6EF registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6, F-6/A
Registration statement for American Depositary
Receipts representing securities of certain foreign
private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6EF
Auto effective registration statement for American
Depositary Receipts representing securities of
certain foreign private issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7 POS
Post-effective amendment to a F-7 registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
December 2024
3-17
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
F-7, F-7/A
Registration statement for securities of certain
Canadian issuers offered for cash upon the exercise
of rights granted to existing security holders under
the Securities Act of 1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8 POS
Post-effective amendment to a F-8 registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8, F-8/A
Registration statement for securities of certain
Canadian issuers to be issued in exchange offers or
a business combination under the Securities Act of
1933
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-80, F-80/A
Registration of securities of certain Canadian issuers EDGARLink
to be issued in exchange offers or a business
Online
combination under the Securities Act of 1933
EDGARLink
Online XML
Technical
Specification
F-80POS
Post-effective amendment to a F-80 registration
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-N, F-N/A
Notification of the appointment of an agent for
service by certain foreign institutions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
FWP
Filing under Securities Act Rules 163/433 of free
writing prospectuses
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-X, F-X/A
For appointment of agent for service of process by
issuers registering securities
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
IRANNOTICE
Notice of disclosure filed in Exchange Act quarterly
and annual reports pursuant to Section 219 of the
Iran Threat Reduction and Syria Human Rights Act
of 2012 and Section 13(r) of the Exchange Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
MA, MA-A, MA/A
Municipal Advisor registration required pursuant to
Section 15B(a)(2) of the Securities Exchange Act of
1934 and the Rules Thereunder. Application for
Municipal Advisor Registration (MA), Annual Update
of Municipal Advisor Registration (MA-A), and
Amendment of a Prior Application for Registration
(MA/A)
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
December 2024
3-18
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
MA-I, MA-I/A
Information Regarding Natural Persons Who Engage EDGAR
in Municipal Advisory Activities, and Amendment of a Filing
Previously Submitted Form MA-I
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MA-W
Notice of Withdrawal from Registration as a
Municipal Advisor
EDGAR
Filing
Website
Online Forms
EDGAR
Form MA
XML
Technical
Specification
MODULE
Module Submission
EDGARLINK EDGARLink
Online
Online XML
Technical
Specification
N-14 8C,
N-14 8C/A
Initial registration statement filed on Form N14 by
closed-end investment company (business
combinations)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-14, N-14/A
Initial registration statement filed on Form N14 for
open-end investment company, including those filed
with automatic effectiveness under Rule 488
(business combinations)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-14MEF
A new registration statement filed on Form N14 by
EDGARLink
closed end investment companies filed under
Online
Securities Act Rule 462(b) of up to an additional 20%
of securities for an offering that was registered on
Form N-14
EDGARLink
Online XML
Technical
Specification
N-18F1, N-18F1/A
Initial notification of election pursuant to Rule 18f-1
filed on Form N-18F-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-1A, N-1A/A
Initial registration statement filed on Form N1A for
open-end management investment companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-2, N-2/A
Initial filing of a registration statement on Form N-2
for closed-end investment companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-2ASR
Automatic shelf registration statement on Form N-2
for well-known seasoned issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-19
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
N-2 POSASR
Post-effective amendment to an automatic shelf
registration statement on Form N-2 for well-known
seasoned issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C-2,
N-23C-2/A
Notice by closed-end investment companies of
intention to call or redeem their own securities under
Investment Company Act Rule 23c-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C3A,
N23C3A/A
Notification of periodic repurchase offer Filed
pursuant to Rule 23c-3(b) only
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C3B,
N23C3B/A
Filing pursuant to Rule 23c-3(c) only on Form
N-23C-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-23C3C,
N23C3C/A
Filing pursuant to Rule 23c-3(b) and (c) on Form
N-23C-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-27D-1,
N-27D-1/A
Accounting for segregated trust accounts on Form
N-27D-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-2MEF
A new registration statement on Form N-2 filed under EDGARLink
Securities Act Rule 462(b) by closed-end investment Online
companies of up to an additional 20% of securities
for an offering that was registered on Form N-2
EDGARLink
Online XML
Technical
Specification
N-3, N-3/A
Initial registration statement on Form N-3 for
separate accounts (management investment
companies)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-30B-2
Periodic and interim reports mailed to investment
EDGARLink
company shareholders (other than annual and
Online
semi-annual reports mailed to shareholders pursuant
to Rule 30e-1)
EDGARLink
Online XML
Technical
Specification
N-30D, N-30D/A
Initial annual and semi-annual reports mailed to
investment company shareholders pursuant to Rule
30e-1 (other than those required to be submitted as
part of Form NCSR.)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-4, N-4/A
Initial registration statement on Form N-4 for
EDGARLink
registered variable annuities issued by separate
Online
accounts (unit investment trusts) and registered nonvariable annuities as defined in Rule 405 of the
Securities Act
EDGARLink
Online XML
Technical
Specification
December 2024
3-20
EDGAR Filer Manual (Volume II)
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
N-5, N-5/A
Registration statement for small business investment EDGARLink
companies
Online
EDGARLink
Online XML
Technical
Specification
N-54A, N-54A/A
Notification of election by business development
companies filed on Form N-54A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-54C, N-54C/A
Notification of withdrawal by business development
companies filed on Form N-54C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-6, N-6/A
Registration statement for separate accounts (unit
investment trusts)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-6F, N-6F/A
Notice of intent by business development companies EDGARLink
to elect to be subject to Sections 55 through 65 of
Online
the 1940 Act filed on Form N-6F
EDGARLink
Online XML
Technical
Specification
N-8A, N-8A/A
Initial notification of registration under Section 8(a)
filed on Form N-8A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-8B-2, N-8B-2/A
Initial registration statement for unit investment trusts EDGARLink
filed on Form N-8B-2
Online
EDGARLink
Online XML
Technical
Specification
N-8B-3, N-8B-3/A
Initial registration statement for periodic payment
plans filed on Form N-8B-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-8B-4, N-8B-4/A
Initial registration statement for face-amount
certificate companies filed on Form N-8B-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-8F, N-8F/A
Application for deregistration made on Form N-8F
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-CEN, N-CEN/A
Annual Report for Registered Investment Companies EDGAR
Filing
Website
Online Forms
EDGAR
Form N-CEN
XML
Technical
Specification
Submission Type
December 2024
Description
3-21
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
N-CR, N-CR/A
Current Report of Money Market Fund Material
Events
EDGAR
Filing
Website
Online Forms
EDGAR
Form N-CR
XML
Technical
Specification
N-CSR, N-CSR/A
Certified annual shareholder report of registered
management investment companies filed on Form
N-CSR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-CSRS,
N-CSRS/A
Certified semi-annual shareholder report of
registered management investment companies filed
on Form N-CSR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-MFP2/A
Monthly Schedule of Portfolio Holdings of Money
Market Funds on Form N-MFP
N/A
EDGAR
Form
N-MFP2
XML
Technical
Specification
N-MFP3,
N-MFP3/A
Monthly Schedule of Portfolio Holdings of Money
Market Funds on Form N-MFP (Effective June 11,
2024)
N/A
EDGAR
Form
N-MFP3
XML
Technical
Specification
NPORT-EX,
Portfolio Holdings Exhibit to Form N-PORT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Monthly Portfolio Investments Report on Form
N-PORT (Non-Public)
N/A
EDGAR
Form
N-PORT
XML
Technical
Specification
Monthly Portfolio Investments Report on Form
N-PORT (Public)
N/A
EDGAR
Form
N-PORT
XML
Technical
Specification
Annual Report of Proxy Voting Record filed on Form
N-PX
EDGAR
Filing
Website
Online Forms
EDGAR
Form N-PX
Technical
Specification
NPORT-EX/A
NPORT-NP,
NPORT-NP/A
NPORT-P,
NPORT-P/A
N-PX, N-PX/A
December 2024
3-22
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
N-PX CTR,
N-PX CTR/A
Form N-PX Confidential Treatment Request
EDGAR
Filing
Website
Online Forms
EDGAR
Form N-PX
Technical
Specification
N-RN,
N-RN/A
Current Report for Registered Management
Investment Companies and Business Development
Companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NRSRO-UPD
Form NRSRO – Update of Registration for Nationally EDGARLink
Recognized Statistical Rating Organizations
Online
EDGARLink
Online XML
Technical
Specification
NRSRO-CE,
NRSRO-CE/A
Form NRSRO – Annual Certification for Nationally
Recognized Statistical Rating Organizations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NRSRO-FR,
NRSRO-FR/A
Annual Financial/Other Reports for Nationally
Recognized Statistical Rating Organizations, as
required by Rule 17g-3 (Non-Public)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NRSRO-WCLS
Form NRSRO – Withdrawal from Credit Rating Class EDGARLink
for Nationally Recognized Statistical Rating
Online
Organizations
EDGARLink
Online XML
Technical
Specification
NRSRO-WREG
Form NRSRO – Withdrawal from Registration as
Nationally Recognized Statistical Rating
Organization
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 10-K,
NT 10-K/A
Notice under Rule 12b25 of inability to timely file all
or part of a Form 10-K or 10-KT
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 10-D,
NT 10-D/A
Notice under Rule 12b25 of inability to timely file all
or part of a Form 10-D
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 10-Q,
NT 10-Q/A
Notice under Rule 12b25 of inability to timely file all
or part of a form 10-Q
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 11-K,
NT 11-K/A
Notice under Rule 12b25 of inability to timely file all
or part of a form 11-K
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-23
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
NT 15D2,
NT 15D2/A
Notice under Rule 12b25 of inability to timely file a
special report pursuant to Section 15d-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT 20-F,
NT 20-F/A
Notice under Rule 12b25 of inability to timely file all
or part of an annual report of form 20-F
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT-NCEN,
Notice under Exchange Act Rule 12b-25 of inability
to timely file Form N-CEN
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT-NCSR,
NTNCSR/A
Notice under Exchange Act Rule 12b-25 of inability
to timely file Form N-CSR (annual or semi-annual
report)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
N-VP,
Notice Document for Certain Variable Contracts
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Financial statements for variable contracts and
registered non-variable annuities as defined in Rule
405 of the Securities Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS 8C
Post-effective amendment filed under the 1933 Act
only or under both the 1933 and 1940 Acts pursuant
to Section 8(c) of the 1933 Act by closed-end
investment companies (this filing cannot be
submitted as a 1940 Act only filing)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS AM
Post-effective amendment to a registration statement EDGARLink
that is not immediately effective upon filing
Online
EDGARLink
Online XML
Technical
Specification
POS AMI
Post-effective amendment (for filings made under the EDGARLink
1940 Act only)
Online
EDGARLink
Online XML
Technical
Specification
POSASR
Post-effective Amendment to an automatic shelf
registration statement on Form S-3ASR or Form
F-3ASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS EX
Post-effective amendment filed solely to add exhibits
to a registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
NT-NCEN/A
N-VP/A
N-VPFS,
N-VPFS/A
December 2024
3-24
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
POS462B
Post-effective amendment to Securities Act Rule
462(b) registration statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS462C
Post-effective amendment to a registration statement EDGARLink
filed under Rule 462(c)
Online
EDGARLink
Online XML
Technical
Specification
PRE 14A
Preliminary proxy statement not related to a
contested matter or merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRE 14C
Preliminary information statement not related to a
contested matter or merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREC14A
Preliminary proxy statement in connection with
contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREC14C
Preliminary information statements - contested
solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREM14A
Preliminary proxy statement relating to a merger,
acquisition, or disposition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREM14C
Preliminary information statements relating to merger EDGARLink
or acquisition
Online
EDGARLink
Online XML
Technical
Specification
PREN14A
Preliminary proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRER14A
Preliminary revised proxy soliciting materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRER14C
Preliminary revised information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-25
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
PRRN14A
Revised preliminary proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PX14A6G
Notice of exempt solicitation
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PX14A6N
Notice of exempt solicitation for the purpose of
determining whether to solicit proxies, consents, or
authorizations in opposition to a proposed roll-up
transaction filed pursuant to Rule 14a6(g) of the
Securities Exchange Act of 1934
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
QRTLYRPT,
QRTLYRPT/A
Periodic Development Bank filing, submitted
quarterly
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW
Registration Withdrawal Request
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW WD
Withdrawal of a Registration Withdrawal Request
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1, S-1/A
General form of registration statement for all
companies including face-amount certificate
companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11, S-11/A
Registration statement for securities to be issued by
real estate companies
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-11
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-20, S-20/A
Registration statement for standardized options
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-26
EDGAR Filer Manual (Volume II)
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
S-3, S-3/A
Registration statement for specified transactions by
certain issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3ASR
Automatic shelf registration statement of securities of EDGARLink
well-known seasoned issuers
Online
EDGARLink
Online XML
Technical
Specification
S-3D
Automatically effective registration statement for
securities issued pursuant to dividend or interest
reinvestment plans
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3DPOS
Post-effective amendment to a S-3D registration
statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4 POS
Post-effective amendment to a S-4EF registration
statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4, S-4/A
Registration of securities issued in business
combination transactions
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4EF
Auto effective registration statement for securities
issued in connection with the formation of a bank or
savings and loan holding company in compliance
with General Instruction G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-6, S-6/A
Initial registration statement filed on Form S-6 for unit EDGARLink
investment trusts
Online
EDGARLink
Online XML
Technical
Specification
S-8
Initial registration statement for securities to be
offered to employees pursuant to employee benefit
plans
EDGARLink
Online XML
Technical
Specification
Submission Type
December 2024
3-27
EDGARLink
Online
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
S-8 POS
Post-effective amendment to a S-8 registration
statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-B, S-B/A
Registration statement for securities of foreign
governments and subdivisions thereof under the
Securities Act of 1933 (Schedule B)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-BMEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form S-B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SBSE, SBSE/A
Application for Registration of Security-based Swap
EDGAR
Dealers and Major Security-based Swap Participants Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-A,
SBSE-A/A
Application for Registration of Security-based Swap
Dealers and Major Security-based Swap Participants
that are Registered or Registering with the
Commodity Futures Trading Commission as a Swap
Dealer or Major Swap Participant
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-BD,
SBSE-BD/A
Application for Registration of Security-based Swap
EDGAR
Dealers and Major Security-based Swap Participants Filing
that are Registered Broker-dealers
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-C
Certifications for Registration of Security-based
Swap Dealers and Major Security-based Swap
Participants
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-W
Request for Withdrawal from Registration as a
EDGAR
Security-based Swap Dealer or Major Security-based Filing
Swap Participant
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSE-DISPUTE
NOTICE,
Security-Based Swap Entity Valuation Dispute Notice EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SBS DISPUTE
NOTICE/A
December 2024
3-28
EDGAR Filer Manual (Volume II)
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
Chief Compliance Officer's Annual Compliance
SBSE-CCO-RPT/A Report of Security-Based Swap Dealer or Major
Security-Based Swap Participant pursuant to Rule
15Fk-1
EDGAR
Filing
Website
Online Forms
EDGAR SBS
Entity Forms
XML
Technical
Specification
SBSEF, SBSEF/A
Application for Registration as Security-based Swap
Execution Facility (SBSEF) and Amendment to
Application for Registration as SBSEF (SBSEF/A)
EDGAR
Filing
Website
Online Forms
EDGAR
SBSEF XML
Technical
Specification
SBSEF-W
Request for Withdrawal of Application for SBSEF
Registration
EDGAR
Filing
Website
Online Forms
EDGAR
SBSEF XML
Technical
Specification
SBSEF-V
Request for Vacation of SBSEF Registration
EDGAR
Filing
Website
Online Forms
EDGAR
SBSEF XML
Technical
Specification
SBSEF-CCO-RPT, SBSEF Chief Compliance Officer’s Annual
EDGARLink
Compliance
Report
and
Amendment
to
SBSEF
Chief
Online
SBSEF-CCOCompliance
Officer’s
Annual
Compliance
Report
RPT/A
EDGARLink
Online XML
Technical
Specification
SBSEF-FIN-QTR, SBSEF Quarterly Financial Resource Report and
SBSEF-FIN-QTR/A Amendment to SBSEF Quarterly Financial Resource
Report
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SBSEF-FIN-REQ,
SBSEF-FINREQ/A
SBSEF Financial Resource Report Submitted
Pursuant to Commission Request and Amendment
to SBSEF Financial Resource Report Submitted
Pursuant to Commission Request
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 13D/A
Schedule filed to report acquisition of beneficial
ownership of 5% or more of a class of equity
securities (HTML/ASCII format)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
Description
SBSE-CCO-RPT,
SCHEDULE 13D,
Schedule filed to report acquisition of beneficial
SCHEDULE 13D/A ownership of 5% or more of a class of equity
securities (XML format)
SC 13E1,
SC 13E1/A
December 2024
Online Forms EDGAR
SCHEDULE
13D XML
Technical
Specification
Schedule 13-E1 statement of issuer required by Rule EDGARLink
13e-1
Online
3-29
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Submission Type
SC 13E3,
SC 13E3/A
Description
Schedule filed to report going private transactions
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SCHEDULE 13G, Schedule filed to report acquisition of beneficial
SCHEDULE 13G/A ownership of 5% or more of a class of equity
securities by passive investors and certain
institutions (XML format)
Online Forms EDGAR
SCHEDULE
13G XML
Technical
Specification
SC 14D9,
SC 14D9/A
Tender offer solicitation/recommendation statements
filed under Rule 14d-9
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 14F1,
SC 14F1/A
Statement regarding change in majority of directors
pursuant to Rule 14f-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 14N, SC 14N/A Information filed by certain nominating shareholders
(pursuant to Section 240 14n-1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC 14N-S,
SC 14N-S/A
Solicitation in connection with the formation or
attempted formation of a Rule 14a-11 nominating
shareholder group or solicitation in connection with a
Rule 14a-11 nomination
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC TO-C
Written communication relating to an issuer or third
party tender offer
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC TO-I,
SC TO-I/A
Issuer tender offer statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC TO-T,
SC TO-T/A
Third party tender offer statement
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC13E4F,
SC13E4F/A
Issuer tender offer statement filed pursuant to Rule
13(e)(4) by foreign issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-30
EDGAR Filer Manual (Volume II)
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
SC14D1F,
SC14D1F/A
Third party tender offer statement filed pursuant to
Rule 14d-1(b) by foreign issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC14D9C
Written communication by the subject company
relating to a third party tender offer
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SC14D9F,
SC14D9F/A
Solicitation/recommendation statement pursuant to
Section 14(d)(4) of the Securities Exchange Act of
1934 and Rules 14d-1(b) and 14e-2(c) by foreign
issuers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SD, SD/A
Specialized Disclosure Report filed pursuant to
EDGARLink
Section 1502 of the Dodd-Frank Wall Street Reform Online
and Consumer Protection Act relating to the use of
conflict minerals (Rule 13p-1); or to provide an
annual report of payments to foreign governments for
resource extraction activities (Rule 13q-1)
EDGARLink
Online XML
Technical
Specification
SDR, SDR/A,
SDR-A
Security-based swap data repository registration
pursuant to the Securities Exchange Act of 1934.
Application for Registration as Security-based Swap
Data Repository (SDR), Interim Amendment to
Application for Registration as Security-based Swap
Data Repository (SDR/A), and Annual Amendment to
Application for Registration as Security-based Swap
Data Repository (SDR-A)
EDGAR
Filing
Website
Online Forms
EDGAR SDR
XML
Technical
Specification
SDR-CCO,
Annual Compliance Report and Financial Report for
a Security-based Swap Data Repository
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SDR-W
Application for Withdrawal from Registration as
Security-based Swap Data Repository
EDGAR
Filing
Website
Online Forms
EDGAR SDR
XML
Technical
Specification
SF-1, SF-1/A
General form of registration statement for all issuers
of asset-backed securities
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-1MEF
A new registration statement filed under Securities
Act Rule 462(b) to add securities to a prior related
effective registration statement filed on Form SF-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
SDR-CCO/A
December 2024
3-31
EDGAR Filer Manual (Volume II)
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
SF-3, SF-3/A
Shelf registration statement for qualified offerings of
asset-backed securities
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-3MEF
A new registration statement filed under Rule 462(b)
to add securities to a prior related effective
registration statement filed on Form SF-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SH-ER, SH-ER/A
Weekly Form SH Entries Report Filed by Institutional EDGARLink
Investment Managers
Online
SH-ER
Information
Table XML
Technical
Specification
SH-NT, SH-NT/A
Weekly Form SH Notice Report Filed by Institutional
Investment Managers
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SHO, SHO/A
Short Position and Short Activity Reporting by
Institutional Investment Managers
EDGAR
Filing
Website
Online Forms
EDGAR
Form SHO
XML
Technical
Specification
SP 15D2,
SP 15D2/A
Special Financial Report filed under Rule 15d-2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SPDSCL
Specialized Disclosure
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SUPPL
Voluntary supplemental material filed pursuant to
EDGARLink
Section 11(a) of the Securities Act of 1933 by foreign Online
issuers
EDGARLink
Online XML
Technical
Specification
T-1, T-2
Note - Forms T-1 and T-2 are not filed as
stand-alone submission types on the EDGAR
system. They are filed as EX-25 (or EX-25/A when
amended) to registration statements.
No info blank cell
No info blank
cell
T-3, T-3/A
Initial application for qualification of trust indentures
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission Type
December 2024
3-32
EDGAR Filer Manual (Volume II)
Submission Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
T-6, T-6/A
Application for determination of eligibility of a foreign
person to act as institutional trustee filed pursuant to
Section 310(a)(1) of the Trust Indenture Act of 1939
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
TA-1, TA-1/A
Application for registration as a transfer agent filed
pursuant to the Securities Exchange Act of 1934
EDGAR
Filing
Website
Online Forms
EDGAR
Form TA
XML
Technical
Specification
TA-2, TA-2/A
Annual report of transfer agent activities filed
pursuant to the Securities Exchange Act of 1934
EDGAR
Filing
Website
Online Forms
EDGAR
Form TA
XML
Technical
Specification
TA-W
Notice of withdrawal from registration as transfer
agent filed pursuant to the Securities Exchange Act
of 1934
EDGAR
Filing
Website
Online Forms
EDGAR
Form TA
XML
Technical
Specification
UNDER, UNDER/A Initial undertaking to file reports
EDGARLink
Template 3
XFDL
Technical
Specification
X-17A-5,
X-17A-5/A
EDGAR
Filing
Website
Online Forms
EDGAR
Form
X-17A-5 XML
Technical
Specification
Information Required of Brokers and Dealers
Pursuant to Section 17 of the Securities Exchange
Act of 1934 and Rules 17a-5 and 17a-12 thereunder
3.2 Electronic Form Types by Act
This index will allow you to use the filing type to identify the EDGAR submission type and
finally the tool or template you can use to either create or assemble the filing. Each of the tools
and templates are covered in detail in separate sections of this document. The final column
should only be used by filers or software developers who construct filings outside of the SEC
supplied tools. Filer-Constructed Technical Specifications are available on the SEC’s Public
Website. Please refer to these sites to determine if your version of the tool, template, or
document is correct.
Note: Tools, templates, and documents will no longer be marked with a version number relating
to a software release. Some tools may be specific to submission types that remain the
same through several releases, instead of being updated with each new release. Therefore
each tool, template and manual will now be marked with its own version number, specific
to that particular item. You can find the most current versions on the website from which
the tools, templates, and manuals are downloaded. Be sure to verify that you have the
current version before filing.
Issuers are advised that filings with the submission types listed below will receive a “Filing
December 2024
3-33
EDGAR Filer Manual (Volume II)
Date” identical to the EDGAR “Received Date” even if received after 5:30 P.M. Eastern time,
which is different than normal filings. In addition these filings will be disseminated until 10:00
P.M. Eastern time. Normally filings received after 5:30 P.M. Eastern time will receive a filing
date of the next business day and will not be disseminated until the next business day.
The following submission types will receive a filing date identical to the EDGAR “Received
Date” and will be disseminated until 10:00 P.M. Eastern time: 3, 3/A, 4, 4/A, 5, 5/A, 144, 144/A,
F-1MEF, F-3MEF, F-4MEF, N-14MEF, N-2MEF, POS 462B, S-11MEF, S-1MEF, S-3MEF,
S-4MEF, S-BMEF, SC 13D/A, SCHEDULE 13D, SCHEDULE 13D/A, SCHEDULE 13G,
SCHEDULE 13G/A.
You should submit any fee payment certification that you are making for the above-listed
submission types, pursuant to Rule 3a(c), using the “CORRESP” submission type.
Electronic Form Types by Act
List of Tables
Table 3-1: Securities Act Submission Types Accepted by EDGAR ......................................... 3-35
Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant
to Section 14 Submission Types Accepted by EDGAR ............................................................ 3-54
Table 3-3: Securities Exchange Act – Registration and Report Submission Types Accepted by
EDGAR ...................................................................................................................................... 3-59
Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR ................................ 3-80
Table 3-5: Investment Company Submission Types Accepted by EDGAR ............................. 3-84
Table 3-6: Development Bank Submission Types Accepted by EDGAR ............................... 3-108
Table 3-7: Correspondence Submission Types........................................................................ 3-109
December 2024
3-34
EDGAR Filer Manual (Volume II)
Table 3-1: Securities Act Submission Types Accepted by EDGAR
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
1-A
Offering Statement under Regulation A
1-A
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-A
Pre-qualification amendment for offering
statement under Regulation A
1-A/A
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-A POS
Post-qualification amendment to a 1-A
offering statement
1-A POS
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-A-W
Withdrawal of offering statement under
Regulation A
1-A-W
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-A-W
Amendment to a withdrawal of offering
statement under Regulation A
1-A-W/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-K
Annual Report Pursuant to Regulation A
1-K
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-K
Amendment to Annual Report Pursuant to
Regulation A
1-K/A
EDGAR
Filing
Website
EDGAR REG
A XML
Technical
Specification
1-SA
Semiannual Report Pursuant to
Regulation A
1-SA
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-SA
Amendment to Semiannual Report
Pursuant to Regulation A
1-SA/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-U
Current Report pursuant to Regulation A
1-U
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-35
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
1-U
Amendment to Current Report pursuant to
Regulation A
1-U/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-Z
Exit Report under Regulation A
1-Z
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-Z
Amendment to Exit Report under
Regulation A
1-Z/A
EDGAR
Filing
Website
EDGAR
REG A XML
Technical
Specification
1-Z-W
Withdrawal of Exit Report under
Regulation A
1-Z-W
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
1-Z-W
Amendment to a withdrawal of Exit Report
under Regulation A
1-Z-W/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G1
Reflects information previously omitted
from the offering circular in reliance on
Rule 253(b)
253G1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G2
Reflects information that constitutes a
substantive change from or addition to the
information set forth in the last offering
circular
253G2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G3
Reflects information covered in both
253G1 and 253G2
253G3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
253G4
Reflects information covered in 253G1,
253G2, or 253G3 that is not being timely
filed
253G4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
C
Offering Statement
C
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Offering Statement Withdrawal
C-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
December 2024
3-36
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
C
Amendment to Offering Statement
C/A
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Amendment to Offering Statement
Withdrawal
C/A-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Progress Update
C-U
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Progress Update Withdrawal
C-U-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Annual Report
C-AR
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Amendment to Annual Report
C-AR/A
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Annual Report Withdrawal
C-AR-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Amendment to Annual Report Withdrawal
C-AR/A-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Termination of Reporting
C-TR
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
C
Termination of Reporting Withdrawal
C-TR-W
EDGAR
Filing
Website
EDGAR
Form C XML
Technical
Specification
December 2024
3-37
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
CFPORTAL
Initial application of funding portal
CFPORTAL
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
CFPORTAL
Amendment to registration, including a
successor registration
CFPORTAL/A
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
CFPORTAL
Withdrawal of the funding portal’s
registration
CFPORTAL-W
EDGAR
Filing
Website
EDGAR
Form
CFPORTAL
XML
Technical
Specification
D
Official notice of an offering of securities
that is made without registration under the
Securities Act in reliance on an exemption
provided by Regulation D and Section
4a(5) under the Act
D
Online Forms
N/A
D
Amendment
D/A
Online Forms
N/A
DOS
Non-public draft offering statement under
Regulation A
DOS
EDGAR
Filing
Website
N/A
DOS
Non-public draft pre-qualification
amendment for offering statement under
Regulation A
DOS/A
EDGAR
Filing
Website
N/A
DOS
Draft Offering Statement Letter
DOSLTR
EDGARLink
Online
N/A
DRS
Draft registration statement submitted by
Emerging Growth Company under
Securities Act Section 6(e) or by Foreign
Private Issuer under Division of
Corporation Finance policy
DRS
EDGARLink
Online
N/A
DRS
Amended Draft Registration Statement
DRS/A
EDGARLink
Online
N/A
DRS
Correspondence Related to Draft
Registration Statement
DRSLTR
EDGARLink
Online
N/A
December 2024
3-38
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
F-1
Registration statement for securities of
certain foreign private issuers
F-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1
Pre-effective amendment
F-1/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form F-1
F-1MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-1MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Registration statement for specified
transactions by certain foreign private
issuers
F-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Pre-Effective amendment
F-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Automatic shelf registration statement of
securities of well-known seasoned issuers
F-3ASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Post-effective Amendment to an
automatic shelf registration statement on
Form S-3ASR or Form F-3ASR
POSASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3
Registration statement for dividend or
interest reinvestment plan securities of
foreign private issuers
F-3D
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-39
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
F-3
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
F-3DPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission
Type
Description
Post-Effective amendment to a
F-3D registration
F-3MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form F-3
F-3MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-3MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4
Registration statement for securities
issued by foreign private issuers in certain
business combination transactions
F-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4
Pre-effective amendment
F-4/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form F-4
F-4MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-4MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6
Registration statement for American
Depositary Receipts representing
securities of certain foreign private issuers
F-6
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6
Pre-effective amendment
F-6/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-40
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
F-6
Auto effective registration statement for
American Depositary Receipts
representing securities of certain foreign
private issuers
F 6EF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-6
Post-effective amendment to a F-6EF
registration
F-6 POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7
Registration statement for securities of
certain Canadian issuers offered for cash
upon the exercise of rights granted to
existing security holders under the
Securities Act of 1933
F-7
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7
Pre-effective amendment
F-7/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-7
Post-effective amendment to a F-7
registration
F-7 POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8
Registration statement for securities of
certain Canadian issuers to be issued in
exchange offers or a business
combination under the Securities Act of
1933
F-8
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8
Pre-effective amendment
F-8/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-8
Post-effective amendment to a F-8
registration
F-8 POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10
Registration statement for securities of
certain Canadian issuers under the
Securities Act of 1933
F-10
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10
Pre-effective amendment
F-10/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-41
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
F-10
Auto effective registration statement for
securities of certain Canadian issuers
under the Securities Act of 1933
F-10EF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-10
Post-effective amendment to a
F10EF registration
F-10POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-80
Registration of securities of certain
Canadian issuers to be issued in
exchange offers or a business
combination under the Securities Act of
1933
F-80
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-80
Pre-effective amendment
F-80/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1
General form of registration statement for
all companies including face-amount
certificate companies
S-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1
Pre-effective amendment
S-1/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form S-1
S-1MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-1MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Registration statement for specified
transactions by certain issuers
S-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-42
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
S-3
Pre-effective amendment
S-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Automatic shelf registration statement of
securities of well-known seasoned issuers
S-3ASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Post-effective Amendment to an
automatic shelf registration statement on
Form S-3ASR or Form F-3ASR
POSASR
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Automatically effective registration
statement for securities issued pursuant
to dividend or interest reinvestment plans
S-3D
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3
Post-effective amendment to a
S-3DPOS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3D registration statement
S-3MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form S-3
S-3MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-3MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4
Registration of securities issued in
business combination transactions
S-4
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4
Pre-effective amendment
S-4/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-43
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
S-4
Auto effective registration statement for
securities issued in connection with the
formation of a bank or savings and loan
holding company in compliance with
General Instruction G
S-4EF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4
Post-effective amendment to a S-4EF
registration statement
S-4 POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form S-4
S-4MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-4MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-8
Initial registration statement for securities
to be offered to employees pursuant to
employee benefit plans
S-8
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-8
Post-effective amendment to a S-8
registration statement
S-8 POS
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11
Registration statement for securities to be
issued by real estate companies
S-11
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11
Pre-effective amendment
S-11/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-11MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form S-11
S-11MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-44
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
S-11MEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-20
Registration statement for standardized
options
S-20
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-20
Pre-effective amendment
S-20/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-20
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-B
Registration statement for securities of
foreign governments and subdivisions
thereof under the Securities Act of 1933
(Schedule B)
S-B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-B
Pre-effective amendment
S-B/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-B
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-BMEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form S-B
S-BMEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
S-BMEF
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS462B
Post-effective amendment to Securities
Act Rule 462(b) registration statement
POS462B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-45
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
POS462C
Post-effective amendment to a
registration statement filed under Rule
462(c)
POS462C
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS AM
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
POS EX
Post-effective amendment filed solely to
add exhibits to a registration statement
POS EX
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-1
General form of registration statement for
all issuers of asset-backed securities
SF-1
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-1
Pre-effective amendment to an SF-1
registration statement
SF-1/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-1
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-1MEF
A new registration statement filed under
Securities Act Rule 462(b) to add
securities to a prior related effective
registration statement filed on Form SF-1
SF-1MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-3
Shelf registration statement for qualified
offerings of asset-backed securities
SF-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-3
Pre-effective amendment to an SF-3
registration statement
SF-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-3
Post-effective amendment to a
registration statement that is not
immediately effective upon filing
POS AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SF-3MEF
A new registration statement filed under
Rule 462(b) to add securities to a prior
related effective registration statement
filed on Form SF-3
SF-3MEF
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-46
EDGAR Filer Manual (Volume II)
Prospectus Filed Pursuant to Rule 424
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
424A
Prospectus filed pursuant to Rule 424(a)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B1
Prospectus filed pursuant to Rule 424(b)(1)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B2
Prospectus filed pursuant to Rule 424(b)(2)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B3
Prospectus filed pursuant to Rule 424(b)(3)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B4
Prospectus filed pursuant to Rule 424(b)(4)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B5
Prospectus filed pursuant to Rule 424(b)(5)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B7
Prospectus filed pursuant to Rule 424(b)(7)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424B8
Prospectus filed pursuant to Rule 424(b)(8)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424H
Preliminary Prospectus filed pursuant to Rule
424(h)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
424H/A
Amendment to Preliminary Prospectus filed
pursuant to Rule 424(h)
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-47
EDGAR Filer Manual (Volume II)
Submission
Type
424I
Description
Prospectus filed pursuant to Rule 424(i)(1)
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Free Writing Prospectus
Submissio
n Type
FWP
December 2024
Tool/ Template
Number
Description
Filing under Securities Act Rules 163/433 of
free writing prospectuses
3-48
EDGARLink
Online
Filer-Constr
ucted Form
Spec.
EDGARLink
Online XML
Technical
Specification
EDGAR Filer Manual (Volume II)
Certification by an exchange approving securities for listing
CFR Form/
Schedule/
Rule
CERT
Description
Certification by an exchange approving
securities for listing
Submission
Type
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
CERT
EDGARLink
Online
N/A
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
Filings Pursuant to the Trust Indenture Act
CFR Form/
Schedule/
Rule
Submission
Type
Description
305B2
Application for designation of a new trustee
under the Trust Indenture Act
305B2
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
305B2
Amendment
305B2/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
T-3
Initial application for qualification of trust
indentures
T-3
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
T-3
Pre-effective amendment
T-3/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
T-6
Application for determination of eligibility of a
foreign person to act as institutional trustee
filed pursuant to Section 310(a)(1) of the
Trust Indenture Act of 1939
T-6
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
T-6
Pre-effective amendment
T-6/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Note: Forms T-1 and T-2 are not filed as stand-alone submission types on the EDGAR system.
They are filed as EX-25 (or EX-25/A when amended) to registration statements.
December 2024
3-49
EDGAR Filer Manual (Volume II)
Filings Pursuant to Rule 144
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
144
Notice for proposed sale of securities under
Rule 144 where the issuing company is
subject to the reporting requirements of
Section 13 or 15(d) of the Exchange Act
144
Online
Forms
EDGAR
Form 144
XML
Technical
Specification
144
Amendment to Form 144
144/A
Online
Forms
EDGAR
Form 144
XML
Technical
Specification
December 2024
3-50
EDGAR Filer Manual (Volume II)
Miscellaneous Filings
CFR Form/
Schedule/
Rule
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
APP WD
Withdrawal of an application for exemptive or
other relief from the federal securities laws
APP WD
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
APP WD
Amendment
APP WD/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEL AM
Separately filed delaying amendment under
Securities Act Rule 473 to delay
effectiveness of a 1933 Act registration
statement
DEL AM
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
UNDER
Initial undertaking to file reports
UNDER
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
UNDER
Amendment
UNDER/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SUPPL
Voluntary supplemental material filed
pursuant to Section 11(a) of the Securities
Act of 1933 by foreign issuers
SUPPL
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW
Registration Withdrawal Request
RW
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
RW WD
Withdrawal of a Registration Withdrawal
Request
RW WD
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
AW
Withdrawal of amendment to a registration
statement filed under the Securities Act
AW
EDGARLink
Online
Specification
EDGARLink
Online XML
Technical
Specification
AW WD
Withdrawal of a request for withdrawal of an
amendment to a registration statement
AW WD
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-51
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
425
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
425
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission
Type
Description
Filing under Securities Act Rule 425 of
certain prospectuses and communications in
connection with business combination
transactions
Note: Form 425 can be filed as part of Form
8-K. For filers subject to 8-K filing
requirements, we recommend the use of the
8-K combined form type as the easiest
method for fulfilling your filing requirement for
both forms
F-X
For appointment of agent for service of
process by issuers registering securities (if
filed on Form F-8, F-9, F-10 or F-80, or
registering securities or filing periodic reports
on Form 40-F, or by any person filing certain
tender offer documents, or by any person
acting as trustee with respect to securities
registered on form F-7, F-8, F-9 or F-10
F-X
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-X
Amendment
F-X/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-N
Notification of the appointment of an agent
for service by certain foreign institutions
F-N
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
F-N
Amendment
F-N/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
SPDSCL
Specialized Disclosure
SPDSCL
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-52
EDGAR Filer Manual (Volume II)
Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed
Pursuant to Section 14 Submission Types Accepted by EDGAR
Preliminary Proxy Soliciting Materials
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
PREM14A
Preliminary proxy statement relating to a
merger, acquisition, or disposition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREC14A
Preliminary proxy statement in connection
with contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREN14A
Preliminary proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRE 14A
Preliminary proxy statement not related to
a contested matter or merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
Submission
Type
Preliminary Information Statements
Submission
Type
Description
PREM14C
Preliminary information statements
relating to merger or acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PREC14C
Preliminary information statements –
contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRE 14C
Preliminary information statement not
related to a contested matter or
merger/acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-53
EDGAR Filer Manual (Volume II)
Revised Preliminary Materials
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
PRER14A
Preliminary revised proxy soliciting
materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRRN14A
Revised preliminary proxy statement filed
by non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PRER14C
Preliminary revised information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-54
EDGAR Filer Manual (Volume II)
Definitive Materials (Proxy Materials)
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
DEFM14A
Definitive proxy statement relating to a
merger, acquisition, or disposition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14A
Definitive proxy statement in connection
with contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFN14A
Definitive proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DFRN14A
Revised definitive proxy statement filed by
non-management
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFR14A
Definitive revised proxy soliciting materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFA14A
Definitive additional proxy soliciting
materials including Rule 14(a)(12) material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Note: Submission type DEFA14A can be
filed as part of Form 8-K. For filers subject
to 8-K filing requirements, we recommend
the use of the 8-K combined form type as
the easiest method for fulfilling your filing
requirement for both forms
DFAN14A
Definitive additional proxy soliciting
materials filed by non-management
including Rule 14(a)(12) material
Note: Submission type DFAN14A can be
filed as part of Form 8-K. For filers subject
to 8-K filing requirements, we recommend
the use of the 8-K combined form type as
the easiest method for fulfilling your filing
requirement for both forms
DEF 14A
December 2024
Definitive proxy statements
3-55
EDGAR Filer Manual (Volume II)
Submission
Type
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
PX14A6G
Notice of exempt solicitation
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
PX14A6N
Notice of exempt solicitation for the
purpose of determining whether to solicit
proxies, consents, or authorizations in
opposition to a proposed roll-up
transaction filed pursuant to Rule 14a6(g)
of the Securities Exchange Act of 1934
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
December 2024
3-56
EDGAR Filer Manual (Volume II)
Definitive Materials (Information Statements)
Description
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
DEFM14C
Definitive information statement relating to
merger or acquisition
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFC14C
Definitive information statement –
contested solicitations
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEF 14C
Definitive information statements
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFA14C
Definitive additional information statement
materials including Rule 14(a)(12)
material
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
DEFR14C
Definitive revised information statement
materials
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
Submission
Type
December 2024
3-57
EDGAR Filer Manual (Volume II)
Table 3-3: Securities Exchange Act – Registration and
Report Submission Types Accepted by EDGAR
Registration Statements
CFR Form/
Schedule/
Rule
Description
Submission
Type
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
8-A
Form for the registration / listing of a class of
securities on a national securities exchange
pursuant to Section 12(b)
8-A12B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-A
Amendment
8-A12B/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-A
Form for registration of a class of securities
pursuant to Section 12(g)
8-A12G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
8-A
Amendment
8-A12G/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10
Initial general form for registration of a class
of securities pursuant to Section 12(b)
10-12B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10
Amendment
10-12B/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10
Initial general form for registration of a class
of securities pursuant to Section 12(g)
10-12G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
10
Amendment
10-12G/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
13H
Large Trader Registration Information
Required of Large Traders Pursuant to the
Securities Exchange Act of 1934 and Rule
13h-1 Thereunder
13H
EDGAR
N/A
Filing
Website
Online Forms
December 2024
3-58
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Description
Submission
Type
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
13H
Amended Filing
13H-Q
EDGAR
N/A
Filing
Website
Online Forms
13H
Annual Filing
13H-A
EDGAR
N/A
Filing
Website
Online Forms
13H
Inactive Status
13H-I
EDGAR
N/A
Filing
Website
Online Forms
13H
Reactivated Status
13H-R
EDGAR
N/A
Filing
Website
Online Forms
13H
Termination Filing
13H-T
EDGAR
N/A
Filing
Website
Online Forms
17AD-27
Annual report pursuant to rule 17AD-27
17AD-27
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
17AD-27
Amendment to annual report pursuant to rule 17AD-27/A
17AD-27
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20-F
Form for initial registration of a class of
securities of foreign private issuers pursuant
to Section 12(b)
20FR12B
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20-F
Amendment
20FR12B/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20FR12G
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20-F
December 2024
Form for initial registration of a class of
securities of foreign private issuers pursuant
to Section 12(g)
3-59
EDGAR Filer Manual (Volume II)
CFR Form/
Schedule/
Rule
Description
Submission
Type
Tool/
Template
Number
Filer-Constr
ucted Form
Spec.
20FR12G/A
EDGARLink
Online
EDGARLink
Online XML
Technical
Specification
20-F
Amendment
40-F
Registration of a class of securities of certain 40FR12B
Canadian issuers pursuant to Section 12(b)
of the 1934 Act
EDGARLink
Online
EDGARLink
Online XML
Technical
Specificatio
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