# Filer Manual – Volume I > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/agency%3Asec%3Acaa15121bd4bd7ce ## Record - **Collection:** Agency decision - **Document type:** Agency decision ## Text Filer Manual – Volume I General Information VERSION 24 December 2015 Notice Use this EDGAR® Filer Manual when making electronic filings with the United States Securities and Exchange Commission (SEC or “Commission”). See Rule 301 of Regulation S-T. The EDGAR Filer Manual consists of three volumes. EDGAR Filer Manual (Volume I) General Information introduces the requirements for becoming an EDGAR Filer and maintaining EDGAR company information. EDGAR Filer Manual (Volume II) EDGAR Filing illustrates the process to submit an online filing. EDGAR Filer Manual (Volume III) N-SAR Supplement is a guide for preparing electronic submissions of Form N-SAR. For up-to-date information regarding filing-related topics, consult the following EDGAR websites: • Information for EDGAR Filers (http://www.sec.gov/info/edgar.shtml) • EDGAR Gateway to submit filings (http://www.portal.edgarfiling.sec.gov) • EDGAR Company Database (http://www.edgarcompany.sec.gov) EDGAR® and EDGARLink® are registered trademarks of the Securities and Exchange Commission. EDGARLite™ is a trademark of the Securities and Exchange Commission. All other product brand names mentioned in this Filer Manual are trademarks or registered trademarks of their respective holders. To protect the privacy of our filing community, filers are asked not to include social security numbers in filings submitted to the Commission. December 2015 EDGAR Filer Manual (Volume I) Updates On December 14, 2015, EDGAR Release 15.4 will introduce the following changes: • Broker-dealers will now be able to submit Form X-17A-5 Part III in electronic format using the following submission form types: o X-17A-5 (Annual Reports) o X-17A-5/A (Amendment to Annual Reports) These submission form types can be accessed by clicking the “File X-17A-5 Part III” link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for X-17A-5 and X-17A-5/A by following the “EDGAR Form X-17A-5 XML Technical Specification” document located on the SEC’s Public Website (http://www.sec.gov/info/edgar.shtml). Form X-17A-5 Part III will continue to be accepted in paper format. Submission form types X-17A-5 and X-17A-5/A will include the “Request Confidentiality” check box to allow applicants to request confidential treatment for each attached document that is not required to be made public. EDGAR will not disseminate the attached documents of the submission that are designated as confidential. • Pursuant to Regulation Crowdfunding, EDGAR will be updated to include the following new submission form types: o C: Offering Statement o C-W: Offering Statement Withdrawal o C-U: Progress Update o C-U-W: Progress Update Withdrawal o C/A: Amendment to Offering Statement o C/A-W: Amendment to Offering Statement Withdrawal o C-AR: Annual Report o C-AR-W: Annual Report Withdrawal o C-AR/A: Amendment to Annual Report o C-AR/A-W: Amendment to Annual Report Withdrawal o C-TR: Termination of Reporting o C-TR-W: Termination of Reporting Withdrawal Issuers can access these submission form types from the “Regulation Crowdfunding” link on the EDGAR Filing Website. Additionally, issuers may construct XML submissions for these submission form types by following the “EDGAR Form C XML Technical Specification” document located on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml). • In connection with amendments to the rules governing money market mutual funds (or “money market funds”) under the Investment Company Act of 1940, the following changes will be made: December 2015 EDGAR Filer Manual (Volume I) o EDGAR will be updated to include two new submission types – N-MFP1 and N-MFP1/A – to incorporate the amendments to Form N-MFP adopted by the Commission on July 23, 2014. o These two new submission types will be accepted from the EDGAR Filing Website via filer-constructed XML submissions, as described in the Form N-MFP1 XML Technical Specification available on the SEC's Public Website.  EDGAR will only accept TEST submissions for submission form types N-MFP1 and N-MFP1/A until April 14, 2016.  Beginning April 14, 2016 submission form types N-MFP1 and N-MFP1/A will be accepted as LIVE submissions.  Filers will be prevented from submitting existing submission form type N-MFP beginning April 14, 2016. o EDGAR will be updated to automatically disseminate money market fund information upon acceptance of the N-MFP1 and N-MFP1/A submissions. • EDGAR will be updated to disseminate raw and rendered XBRL documents. The rendered XBRL documents will be displayed as human-readable documents. • EDGAR will be updated to accept negative values for the following fields in Item 1 of submission form types 1-A, 1-A/A, 1-A POS, DOS, and DOS/A: o Total Assets o Total Stockholders’ Equity o Total Liabilities and Equity On January 25, 2016, EDGAR Release 16.0.1 will introduce the following changes: • Filers will now be able to select the new “Funding Portal” Applicant Type when completing the process to apply for EDGAR access (New) on the EDGAR Filer Management Website. • Pursuant to the Regulation Crowdfunding rule, Funding Portals will be able to register with the Commission, amend their registration and withdraw from their registration, using the following new submission form types: o CFPORTAL - Form Funding Portal: Initial application of funding portal o CFPORTAL/A - Form Funding Portal/A: Amendment to registration, including a successor registration o CFPORTAL-W - Form Funding Portal-W: Withdrawal of the funding portal’s registration These submission form types can be accessed by clicking the “Regulation Crowdfunding” link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for CFPORTAL, CFPORTAL/A, and CFPORTAL-W by following the “EDGAR Form CFPORTAL XML Technical Specification” document located on the SEC’s Public Website (http://www.sec.gov/info/edgar.shtml). EDGAR Filer Manual (Volume I) December 2015 Table of Contents 1. INTRODUCTION TO VOLUME I ............................................................ 1-1 1.1 Organization of this Manual ......................................................................................... 1-1 1.2 Conventions Used in this Manual ................................................................................. 1-1 2. GENERAL INFORMATION FOR FILERS ............................................. 2-1 2.1 How to Obtain the EDGAR Filer Manual ................................................................... 2-1 2.2 Hours of Operation ........................................................................................................ 2-1 2.3 Introduction to Web Browsers ..................................................................................... 2-1 2.3.1 Browser Differences ............................................................................................................................... 2-1 2.4 Accessing EDGAR ......................................................................................................... 2-3 2.5 EDGAR Hardware and Software Requirements ........................................................ 2-3 2.6 Getting Help with EDGAR ........................................................................................... 2-4 3. BECOMING AN EDGAR FILER .............................................................. 3-1 3.1 3.1.1 3.1.2 3.1.3 3.2 3.2.1 3.2.2 3.2.3 3.2.4 3.2.5 3.2.6 3.3 3.3.1 3.3.2 Getting Ready ................................................................................................................. 3-1 Accessing the EDGAR Gateway ............................................................................................................ 3-4 Accessing the EDGAR Filer Management Website ............................................................................... 3-5 Navigating the EDGAR Filer Management Website (EFMW) .............................................................. 3-7 New SEC Filer: Applying for EDGAR Access ............................................................ 3-9 Overview ................................................................................................................................................ 3-9 Application (Form ID) .......................................................................................................................... 3-11 Assembling and Submitting the Form ID Application ......................................................................... 3-20 Defining a Passphrase ........................................................................................................................... 3-29 Authentication Documentation ............................................................................................................. 3-33 Application Acceptance and Applicant Notification ............................................................................ 3-34 Current SEC Filer: Applying for EDGAR Access.................................................... 3-34 Current Paper Only Filer ...................................................................................................................... 3-34 New Serial Company ............................................................................................................................ 3-43 3.4 Creating an Asset Backed Securities Issuing Entity ................................................. 3-49 3.5 Examples of Notification Messages ............................................................................ 3-55 3.5.1 3.5.2 3.5.3 Form ID Application Messages ............................................................................................................ 3-56 Convert Paper Only Filer to Electronic Filer Request .......................................................................... 3-58 EDGAR Access for New Serial Companies Request ........................................................................... 3-60 4. GENERATING EDGAR ACCESS CODES .............................................. 4-1 4.1 4.1.1 4.1.2 4.1.3 4.1.4 Generating All EDGAR Access Codes ......................................................................... 4-1 Requesting an EDGAR Passphrase ........................................................................................................ 4-4 Update Passphrase Request .................................................................................................................. 4-11 Changing your CCC or Password ......................................................................................................... 4-13 Creating a Passphrase for the First Time .............................................................................................. 4-16 December 2015 i EDGAR Filer Manual (Volume I) 5. MAINTENANCE OF COMPANY DATA ................................................. 5-1 5.1 Login to EDGAR ............................................................................................................ 5-1 5.2 Accessing Submission and Company Information ..................................................... 5-1 5.3 Retrieve Company Information.................................................................................... 5-3 5.4 Edit Company Information........................................................................................... 5-5 5.4.1 Series and Classes (Contracts) Information ............................................................................................ 5-8 5.5 Request Return of Unused Funds............................................................................... 5-21 5.6 View Fee Account Information ................................................................................... 5-24 5.6.1 5.6.2 5.7 View Account Balance and Amount of Last Deposit ........................................................................... 5-24 View Account Activity Statement ........................................................................................................ 5-24 Logging in with a Different CIK................................................................................. 5-27 6. INTRODUCTION TO FILING ON EDGAR ............................................ 6-1 6.1 Preparation and Submission ......................................................................................... 6-1 6.2 EDGARLink Online Forms .......................................................................................... 6-1 6.2.1 6.3 6.3.1 6.3.2 6.4 6.4.1 6.4.2 Creating an EDGARLink Online Filing ................................................................................................. 6-1 Online XML Forms........................................................................................................ 6-2 Creating an Online XML Form .............................................................................................................. 6-2 Transmitting an Online XML Form ....................................................................................................... 6-3 Filer-Constructed Technical Filing Specifications...................................................... 6-4 XML Form Type Technical Specification .............................................................................................. 6-4 Transmitting XML Form Types ............................................................................................................. 6-5 APPENDIX A. GLOSSARY OF COMMONLY USED TERMS, ACRONYMS, AND ABBREVIATIONS.......................................................... A-1 APPENDIX B. FREQUENTLY ASKED QUESTIONS ..................................B-1 APPENDIX C. AUTOMATED NAME CONFORMANCE RULES ............ C-1 EDGAR Filer Manual (Volume I) ii December 2015 Preface Welcome to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system of the U.S. Securities and Exchange Commission (SEC). EDGAR provides an electronic filing process for filers and filing agents submitting documents under the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, and the Investment Company Act of 1940 (collectively, “Acts”). When you have determined that you have a requirement to file electronically on EDGAR, you must follow a specified process. The first step of this process, applying to be an electronic filer, is covered in this manual. The EDGAR system has built in a number of safeguards that require you to complete a formal application process before you can access most of the EDGAR Filer websites. After you complete that process, you will be able to generate new or replacement access codes that allow you to start filing on the system. These codes also provide access to other sites that allow you to create certain types of filings, or to update your company information. The two EDGAR Filer Manuals are designed to help you follow this process. The first volume of this manual covers the application process and outlines how to keep your company data, which is stored in EDGAR, up-to-date. The second volume helps you understand the tools provided by the SEC for constructing and transmitting electronic submissions. The SEC accepts electronic submissions through the Internet. EDGAR will disseminate that information and you may view electronically submitted filings in the SEC’s Public Reference Room in Washington, DC, through commercial dissemination services, or by using the SEC’s website on the World Wide Web (http://www.sec.gov). Do you need to file through EDGAR? Whether or not you need to submit filings on EDGAR will depend on the form type(s) you are required to submit. For those requirements, refer to Regulation S-T, Rule 101 [Mandated Electronic Submissions and Exceptions]. Rules Governing Forms and Filing Information EDGAR provides you with an electronic means to submit information to us. It does not change the content of what you submit. Regulation S-T mandates electronic submissions of filings by all domestic and foreign registrants. Regulation S-T also provides the general requirements and procedures for electronic filing. You may find copies of Regulation S-T in the Federal Register and the Code of Federal Regulations (17 CFR Part 232) in our Public Reference Rooms. You will also find Regulation S-T under the Division of Corporation Finance area on the SEC’s website (http://www.sec.gov) under Forms and Associated Regulations, EDGAR. Please see the EDGAR Filer Manual Volume II for a detailed listing of laws and releases that affect electronic filing. You may obtain copies of this material from our SEC website (http://www.sec.gov). December 2015 iii EDGAR Filer Manual (Volume I) Blank Page 1. INTRODUCTION TO VOLUME I 1.1 Organization of this Manual This volume is divided into chapters and appendices. The paragraphs and subparagraphs are numbered for easy reference (e.g., 1.2, 3.6.1). The chapters of this volume primarily refer to the process of registering as an electronic filer on EDGAR and maintaining your company information. The following outline shows you where to find information in this volume. An index is also provided at the end of this document. CHAPTER 1 – Introduction CHAPTER 2 – General Information for Filers CHAPTER 3 – Becoming an EDGAR Filer CHAPTER 4 – Generating EDGAR Access Codes CHAPTER 5 – Maintenance of Company Data CHAPTER 6 – Introduction to Filing on EDGAR APPENDICES: A Glossary of Commonly Used Terms, Acronyms, and Abbreviations This glossary contains terms, acronyms, and abbreviations used in the Filer Manual. B Frequently Asked Questions Answers to some of the questions asked most frequently by EDGAR filers. C Automated Name Conformance Rules for Company and Individual Entity Names Appendix C explains the conformance rules that will be automatically applied to company and Individual Entity Names entered in the EDGAR system. 1.2 Conventions Used in this Manual As you read this volume you should notice attributes assigned to certain types of text: • Instructions to press a key on a keyboard or click a button or tab on the screen appear in square brackets and in title case: Press [Enter] Click [Module/Segment] • Titles of check, dialog, and list boxes, fields, functions, options, processes, queries, reports, pages, tables, and windows appear in title case: Submission Type list box Name field Company Information query Return Copy check box • Menus, menu options, radio buttons, and statuses appear in title case and have double quotation marks around them: December 2015 1-1 EDGAR Filer Manual (Volume I) “Test Filing” radio button From the “Edit” menu, select “Copy” “Busy” status • Directories and file names appear in bold text: The C:\temp directory r10q-630.txt (the file saved in ASCII) • Keystroke combinations appear between less-than and greater-than brackets and in upper case: • Internet Hyperlinks appear underlined and italicized: https://www.filermanagement.edgarfiling.sec.gov EDGAR Filer Manual (Volume I) 1-2 December 2015 2. GENERAL INFORMATION FOR FILERS 2.1 How to Obtain the EDGAR Filer Manual You can download the latest version of the Filer Manual from our website (http://www.sec.gov) under “Information for EDGAR Filers.” The Filer Manual is also available in HTML format on the EDGAR Filing Website (https://www.edgarfiling.sec.gov). You can also purchase the latest version of the EDGAR Filer Manual from Thomson Financial, formerly Disclosure, Inc., at the following address: ATTN: Thomson Financial Public Reference Room US Securities and Exchange Commission 100 F Street, NE Room 1580 Washington, DC 20549 Or, call Thomson Financial at one of the following numbers: (800) 638-8241 (301) 951-1350 2.2 Hours of Operation EDGAR accepts new filer applications, new filings, and changes to filer data each business day, Monday through Friday, from 6:00 A.M. to 10:00 P.M., Eastern Time. Transmissions started but not completed by 10:00 p.m. Eastern Time may be canceled, and you may have to re-submit on the next business day. 2.3 Introduction to Web Browsers The EDGAR system uses web-based technology to make submitting filings easier and faster. Web browsers read code called Hypertext Mark-up Language (HTML). Many people have become familiar with HTML since they have used the Internet. We use a browser as an integral part of EDGAR, providing our interface to the EDGAR Filing Website. 2.3.1 Browser Differences Internet Explorer (IE) version 8.0 and Firefox version 24.x browsers comply with Secure Socket Layer (SSL) communications that you will use to reach the EDGAR websites. Which browser you use is a personal preference. This section covers some functions that are innate to browsers and how your browser should be set up. You should be aware that there might be subtle differences if you are using IE or Firefox. December 2015 2-1 EDGAR Filer Manual (Volume I) Firefox Menu Bar Internet Explorer Menu Bar Figure 2-1: Browser Menu Bars Browsers have very similar navigation functions: [Back], [Forward], [Stop], and [Reload] buttons, Current Address Location fields, as well as buttons for performing other functions such as printing and saving. The biggest differences between the browsers are visual elements, such as buttons, menu options, and the location of preference settings. In addition, browsers behave differently in how they save or download files. If you don't set up your preferences in Firefox to prompt you for the location, Firefox will automatically download the files to a default location. To change default Firefox download/save settings, select “Options” from the “Tools” menu. In the Options dialog box, click the [General] tab. Under “Downloads,” select the “Always ask me where to save files” radio button and click [OK]. 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. Internet Explorer 8.0 and Firefox 24.x are the supported browsers for the EDGAR Filing Website, EDGAR Filer Management, and EDGAR OnlineForms Management websites. If you use an IE version greater than 8, you can change the browser and/or document mode settings to 8.0. Please refer to Microsoft Internet Explorer documentation for information on document mode settings and backward compatibility. When you log in to an EDGAR website, please read the Welcome Page. It contains updated information about EDGAR, including filing requirements, system changes, new versions of software tools, and other related information. We recommend that you do not use multiple browser windows or tabs when working on EDGAR. Otherwise, information from one window may impact information on other window(s) causing EDGAR applications to potentially function incorrectly. If you want to use multiple windows when working on EDGAR, you must select “New Session” (for IE) or “New Private Window” (for Firefox) from the “File” menu depending on your browser choice. This creates a new browser session that will not share information with the existing session. EDGAR Filer Manual (Volume I) 2-2 December 2015 2.4 Accessing EDGAR To access EDGAR, a filer must have EDGAR access codes. If you are a new filer or an existing filer who wants to file in another capacity (e.g., become a filing agent or training agent), you must use Form ID to apply for EDGAR access codes. You do this by completing and submitting an electronic Form ID along with a notarized authentication document. If you do not attach the required notarized authentication document as a PDF, we cannot process your application. Details of this process are covered in other sections of this manual. Once you have obtained your access codes, you will be ready to log in to EDGAR, transmit submissions, run company queries, update your company information, or change your password/CCC (CIK Confirmation Code). 2.5 EDGAR Hardware and Software Requirements The following list states the recommended system requirements: • PC with the following: o 500+ MHz processor o All Microsoft supported Windows desktop operating systems up to Windows 7 o 128 MB of RAM recommended; less may cause program or system performance problems o Local Hard Drive with sufficient capacity for submission preparation and transfer (this capacity depends upon the size of the total documents needed for the submission) • For those using EDGARLink Online for the creation of more document intensive submissions, the following PC recommendation applies: o 1.28 GB MHz processor or higher o 1 GB or more of RAM; less may cause program or system performance problems • Monitor (color recommended, but not required) • Printer (recommended, but not required) • Internet browsers: o EDGAR Filing Website: Internet Explorer 8.0 is the recommended browser. The EDGAR Filing Website also works well with Firefox version 24.x. o Other EDGAR websites: Internet Explorer 8.0 with 128-bit cipher strength is the recommended browser. Java should be enabled in the browser. These websites also work well with Firefox 24.x. • Word processing or spreadsheet applications having the option to save documents as standard ASCII or HTML text • Internet access If you have questions about your PC configuration, check with the manufacturer. December 2015 2-3 EDGAR Filer Manual (Volume I) 2.6 Getting Help with EDGAR For Procedural and Technical questions, contact Filer Support. You can reach our Filer Support Branches in the Divisions at (202) 551-8900. These offices respond to general EDGAR questions like how to become a filer, the form ID process, how to get to the websites, how to update filer information, filing of forms, and header tags. Filer Support is available each business day from 9:00 A.M. to 5:30 P.M. Eastern Time. Filer Support voicemail will be available during off hours. The exception will be that the Corporation Finance Filer Support office will be closed from 9:00 A.M. to 10:00 A.M. on the last Wednesday of each month. For general fee information, contact our Fee Account Services Branch in the Office of Financial Management at (202) 551-8900. For Substantive questions, contact your Division or Office For filing content, rule interpretations, filing date adjustments, and hardship exemption requests, contact the division or office that reviews the filing, the Division of Corporation Finance or Investment Management, during normal business hours 9:00 A.M. to 5:30 P.M., Eastern Time. The exception will be that the Corporation Finance Filer Support office will be closed from 9:00 A.M. to 10:00 A.M. on the last Wednesday of each month. Division of Corporation Finance: For help with filings reviewed by the Division of Corporation Finance, contact the Office of Information Technology in the Division of Corporation Finance at (202) 551-3600. Division of Trading and Markets: For help with short sale filings, contact the Office of Interpretation and Guidance in the Division of Trading and Markets inquiry line: (202) 551-5777. Division of Investment Management: For help with Form 13F, call the IM Chief Counsel inquiry line: (202) 551-6865. For help with Form N-SAR or Form 24F-2, call the N-SAR/24F-2 inquiry line: (202) 551-6703. For help with investment company filings (except Forms 13F, N-SAR and 24F-2), call the IM EDGAR inquiry line: (202) 551-6989. o For questions concerning post-acceptance corrections and withdrawals, first please read our notice, “IM EDGAR Post-Acceptance Corrections” on the Information for EDGAR Filers web page (http://www.sec.gov/info/edgar.shtml). o For questions concerning series and classes (contracts), first read our notice, “Series and Class (Contract) Notice and FAQ’s,” on the Information for EDGAR Filers web page (http://www.sec.gov/info/edgar.shtml). Office of Municipal Securities: For help with the municipal advisor registration forms (Forms MA, MA-I, MA-NR, and MA-W), contact the Office of Municipal Securities at (202) 551-5680. EDGAR Filer Manual (Volume I) 2-4 December 2015 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. December 2015 2-5 EDGAR Filer Manual (Volume I) Blank Page 3. 3.1 BECOMING AN EDGAR FILER Getting Ready To automate the process of submitting a Form ID application, the SEC has developed the EDGAR Filer Management Website (EFMW). At this website a potential filer can file the Form ID application, generate access codes (new/replacement), update a passphrase (required security code), convert from a paper only filer to an electronic filer, and obtain access codes for serial companies. You can access this website directly through its Uniform Resource Locator (URL): https://www.filermanagement.edgarfiling.sec.gov or through our EDGAR Gateway. The EDGAR Gateway allows you to navigate between the multiple EDGAR websites more easily. It is located at: http://www.portal.edgarfiling.sec.gov. It is strongly recommended that you bookmark this website or add it to the Favorites list in your browser. This section describes the process that a new filer must follow to gain access to EDGAR. It also describes how to access the EDGAR Gateway and EFMW. For the EFMW, it covers the functionality that it provides, including how to create and submit a Form ID application electronically. Before you can use the EDGAR system, you must submit a Form ID application to be accepted as an EDGAR filer. (Refer to Section 3.2, “New SEC Filer: Applying for EDGAR Access,” for more information. If you wish to create an Asset-Backed Securities Issuing Entity, refer to Section 3.4, “Creating an Asset Backed Securities Issuing Entity.”) An EDGAR filer can be a registrant, a third-party non-registrant filer, a transfer agent, a third-party agent filing for another individual or entity, or a training agent. EDGAR filers may send submissions on their own behalf or use a filing agent. Training agents may only send test submissions. A duly authorized person, such as a partner, president, treasurer, corporate secretary, officer, or director, must sign the Form ID. Section 16 filers may have someone with their power of attorney sign the Form ID. Filing agents such as financial printers cannot sign this Form on behalf of the issuer unless they are specifically authorized to do so in writing on behalf of the issuer or Section 16 filer. The documentation should accompany the Form ID. As an applicant for EDGAR access codes, you must indicate whether you are a filer, filing agent, training agent, or any other applicant type. If you plan to file on EDGAR in more than one capacity, a separate Form ID must be completed and submitted for each capacity. For example, if you want to make EDGAR submissions as a registrant, and as a filing agent, and as a training agent, you must submit a separate Form ID for each filing capacity. You will receive three separate sets of CIKs and access codes. It is mandatory to include the registrant’s Tax Identification Number (TIN) to establish domestic companies. This is for companies only, not individuals. If you do not have your TIN when you submit your initial Form ID, you may add it to the EDGAR database by going to the EDGAR Filing Website and adding it to your company’s information. You must file your Form ID application electronically via the EDGAR Filer Management Website. A notarized authentication document must be attached to your Form ID application or your Convert Paper Only Filer to Electronic Filer application. Filers who are updating their passphrase must attach the required notarized documentation to their Update Passphrase request. December 2015 3-1 EDGAR Filer Manual (Volume I) Intentional misstatements or omissions of facts constitute federal criminal violations. See 18 U.S.C. 1001. Section 3.2, “New SEC Filer: Applying for EDGAR Access,” contains instructions on how to do this. You can print various EDGAR-related forms (e.g., Form TH, Form SE) from the www.sec.gov website. You can also request additional copies from the SEC’s Publications Office by calling (202) 551-4040, or by making a written request to the following address: ATTN: Publications Branch US Securities and Exchange Commission Mail Stop L610 100 F Street, NE Washington, DC 20549 You may contact Filer Support at (202) 551-8900 if you require additional information. After we accept your Form ID application, you will receive instructions on how to obtain the following four access codes: • CIK – Central Index Key: The CIK is a number that we assign to each entity that submits filings to us. Use of the CIK allows us to differentiate between filing entities with similar names. A CIK is used to identify all filers, both EDGAR and non-EDGAR. Individuals should use their own CIK number and password each time they logon to EDGAR, even if their filings relate to different registrants. Using the CIK to Login and Identify Submitter Registrants: The CIK is the one EDGAR access code that is available to the public. In EDGAR, the CIK is used with a password for login identification (sometimes referred to as a login CIK). This identifies the submitter, which could be a registrant, a non-registrant, a filing agent, or a training agent. The CIK is also used with the CCC in submission headers to identify the registrant. The CIK is a permanent identifier; you may not change it. You can login to EDGAR using any valid CIK-password combination. The login CIK will be part of the unique identifier for the submission. • CCC – CIK Confirmation Code: The CCC is a code of eight characters having at least one number (0-9) and at least one special character (@, #, $, *). The CCC is case-sensitive and you must use it exactly as created, either in upper or lower case. Because the CCC is case-sensitive, if you use lower case letters when the CCC is created or changed, you must use lower case letters when entering the CCC in submission headers. To avoid confusion, we do not use the number 1 (one), the lower-case letter “l” (el), the number 0 (zero), or the capital letter O (oh) in assigning codes. We suggest that you also avoid using these numbers and letters when changing your CCC. You will need both a CIK and its corresponding CCC to submit a filing. EDGAR Filer Manual (Volume I) 3-2 December 2015 Releasing the CCC To Filing Agents and Financial Printers: If you use a filing agent, you may release the CCC to your agent because you must include a CCC in your submission. When a third-party agent submits a filing for you, the agent uses its own login CIK and password to establish authorization to make a submission. However, the agent must use your CIK and CCC in your submission in order to identify you as the entity for which the submission is being made. Changing Your CCC: We recommend that you change your CCC after a third-party filing agent has used it for a submission on your behalf. This will prevent the filing agent from inadvertently making unauthorized filings using your access codes. (This can occur if a filing agent does not carefully check the codes it uses in a filing prior to submitting it). You may also want to change your CCC for security purposes. You will find procedures for changing the CCC in Chapter 4, “Generating EDGAR Access Codes.” • Password: The password is a code of eight characters having at least one number (0-9) and at least one special character (@, #, $, *). The password is case-sensitive and you must use it exactly as created, either in upper or lower case. You use it in combination with a CIK to identify the entity making a submission. This entity may be you, or a filing agent, or the law firm who files on your behalf. Since a CIK is public information, a second, confidential code is necessary to ensure that whoever is sending a submission to EDGAR is authorized to do so. You must enter both a CIK and a password to access EDGAR. The CIK is public and you may give it and the CCC to your agent to make submissions on your behalf, but you should hold the password in strictest confidence. Changing Your Password: We encourage you to change your password frequently, at least annually. You will find procedures for changing a password in Chapter 4, “Generating EDGAR Access Codes.” To change a password, you must use a Password Modification Authorization Code (PMAC). Your password will expire 12 months after it was created or last changed. If you are locked out of EDGAR because your password has expired, you may generate a new set of EDGAR access codes (PMAC, password, CCC) via the EDGAR Filer Management Website using your passphrase. If you have also forgotten your passphrase, you must request a new passphrase (also via the EDGAR Filer Management Website) before you can generate a new password. A request for a new passphrase must be accompanied by authentication documentation, and it must be accepted by the SEC, so be sure to keep your password up to date. (Refer to Section 4.1, “Generating All EDGAR Access Codes,” for instructions on how to generate a new set of EDGAR access codes and how to request a new passphrase.) December 2015 3-3 EDGAR Filer Manual (Volume I) PMAC – Password Modification Authorization Code: You must use the PMAC to authorize a change of password. The PMAC is a code of eight characters having at least one number (0-9) and at least one special character (@, #, $, *). The PMAC is case-sensitive and you must enter it exactly as created. It is a very private code, and only one or two persons in an organization should know this code. If you misplace or have forgotten your PMAC, you may generate a new set of EDGAR access codes (CCC, password, PMAC) via the EDGAR Filer Management Website (https://www.filermanagement.edgarfiling.sec.gov) using your passphrase. The CIK is public and you may give it and the CCC to your agent to make submissions on your behalf, but you should hold the PMAC in strictest confidence. Part of the process of submitting an electronic Form ID application is to specify an EDGAR passphrase. • Passphrase: The passphrase is used to generate a set of EDGAR access codes (PMAC, password, CCC). The passphrase follows the PMAC formatting and usage rules (see PMAC). Because it can be used to generate the EDGAR access codes, the passphrase is a very sensitive code that should be strictly controlled. Access to it within your organization should be extremely limited. As mentioned previously, requesting a new passphrase must be done via the EDGAR Filer Management Website, it must be accompanied by manually signed and notarized authentication documentation, and it must be accepted by the SEC. (Refer to Section 4.1, “Generating All EDGAR Access Codes,” for instructions on how to generate a new set of EDGAR access codes and how to request a new passphrase.) The SEC does not keep these codes on file. It is the responsibility of the individual designated as the Contact for EDGAR on the Form ID to provide these codes to the EDGAR filing parties, and to keep the codes secure. Section 16 filers must provide their EDGAR codes to their EDGAR contact at each of the companies for which they are insiders if the companies are going to file on their behalf. Only ONE set of EDGAR codes will be valid for each individual, so it is essential that all relevant companies be given the codes. Only one Form ID should be submitted for a registrant or an individual applicant. Note: To protect the integrity and security of the data you send, you must limit the number of people who know your CCC, password, and PMAC. 3.1.1 Accessing the EDGAR Gateway Any potential filer can access any of the EDGAR websites by using the EDGAR Gateway into the EDGAR system. Please execute the following procedure: 1. Connect to the Internet. 2. Go to the EDGAR Gateway. http://www.portal.edgarfiling.sec.gov The EDGAR Gateway page appears (see Figure 3-1: EDGAR Gateway Page). EDGAR Filer Manual (Volume I) 3-4 December 2015 This page functions as a gateway to all EDGAR websites. Additionally, this page provides links to download the Filer Manual, read up on the latest SEC regulatory activity, and view guidance for filers and FAQs. Therefore, we recommend that you bookmark this page or add it to the Favorites list in your browser. 3. Read the questions and determine which one identifies what you want to accomplish. If you are a new filer, click the link that says, ‘Would you like to become a new filer or generate new access codes’. The Welcome page for the EDGAR Filer Management Website will appear. Figure 3-1: EDGAR Gateway Page 3.1.2 Accessing the EDGAR Filer Management Website Another way to access the EFMW is to go directly to the website by executing the following procedure: 1. Connect to the Internet. 2. Go to the EFMW https://www.filermanagement.edgarfiling.sec.gov The EFMW Home page appears (see Figure 3-2: EDGAR Filer Management Home Page). This page functions as a gateway to the website. 3. Click the [Press Here to Begin] button. The EFMW Welcome page appears (Figure 3-3: EDGAR Filer Management Welcome Page (Top)). This page provides access to the electronic Form ID application and other capabilities provided by the EFMW. December 2015 3-5 EDGAR Filer Manual (Volume I) Figure 3-2: EDGAR Filer Management Home Page Figure 3-3: EDGAR Filer Management Welcome Page (Top) EDGAR Filer Manual (Volume I) 3-6 December 2015 3.1.3 Navigating the EDGAR Filer Management Website (EFMW) Once you access the EFMW, an option menu appears on the left-hand side of the browser window. This menu allows you to navigate easily through the EFMW without having to return to a menu page. This menu is broken down into two different sections: • Filer Management • Support Figure 3-4: EFMW Welcome Page Menu Note that clicking ‘Home’ merely redisplays the EFMW Welcome page. This menu item exists for consistency with other EDGAR websites (such as the OnlineForms/XML Website) and to support future functionality. Please note that the links open pop-up windows, so users should not disable pop-up displays. 3.1.3.1 Filer Management In the Filer Management section, there are five links: • Apply for EDGAR Access (New) • Generate Access Codes (New/Replacement) • Update Passphrase • Convert Paper Only Filer to Electronic Filer • EDGAR Access for New Serial Companies By clicking ‘Applying for EDGAR Access (New)’, you can create a Form ID application and submit it to the SEC for acceptance. A Form ID application is typically submitted by: • A [potential] filer who has not previously filed with the SEC in any media or December 2015 3-7 EDGAR Filer Manual (Volume I) A current filer who needs to file in a new capacity 1 Acceptance of a Form ID application results in the creation of a new Central Index Key (CIK) 2. • For more details, please refer to Section 3.2, “New SEC Filer: Applying for EDGAR Access.” When you click ‘Generate Access Codes (New/Replacement)’ and enter your CIK and your passphrase 3, you are presented with EDGAR access codes (for an existing CIK) that are needed to perform common “filing” activities. (These EDGAR access codes are the Password Modification Authorization Code [PMAC], the password, and the CIK Confirmation Code [CCC]). For more details, please refer to Section 4.1, “Generating All EDGAR Access Codes.” By clicking ‘Update Passphrase,’ you can create a request for a new passphrase and submit it to the SEC for review and acceptance. This capability allows an existing EDGAR filer who has forgotten or wants to change his or her passphrase to get a new passphrase. With a new passphrase, the filer can regenerate the PMAC, password, and CCC. For more details, please refer to Section 4.1.1, “Requesting an EDGAR Passphrase.” By clicking ‘Convert Paper Only Filer to Electronic Filer,’ you can create a request for EDGAR access and submit it to the SEC for review and acceptance. This capability allows the filer to file electronically with the SEC in the future. For more details, please refer to Section 3.3.1, “Current Paper Only Filer.” By clicking ‘EDGAR Access for New Serial Companies,’ you can create a request for EDGAR access for a new serial company and submit it to the SEC for review and acceptance. This capability allows a serial company that was previously created via the submittal of a form 424B or 424H filing to specify a passphrase for access to EDGAR (after the request has been accepted by the SEC, the serial company can use the passphrase to get the access codes [PMAC, password, and CCC] that are needed to file with EDGAR). For more details, please refer to Section 4.1.1, “Requesting an EDGAR Passphrase.” 3.1.3.2 Support In the Support section, there are two links: • General Help • Frequently Asked Questions 3.1.3.2.1 General Help If you need help while using the EFMW on the Internet, click ‘General Help’ from the menu to bring up the General Help page (Figure 3-5: EFMW General Help Page) that displays a list of help topics. When you click on a topic, you are shown information or additional links to specify the type of assistance you need. 1 “Capacity” in this context is one of the following: filer, filing agent or training agent. It refers to the applicant, not the person filling out the form. 2 The CIK is a number that is assigned to each entity (company or individual) that submits filings to the SEC. Use of the CIK allows us to differentiate between filing entities with similar names. A CIK is used to identify all filers, both EDGAR and non-EDGAR. 3 The EDGAR passphrase is a security code that is used to generate a set of EDGAR access codes. EDGAR Filer Manual (Volume I) 3-8 December 2015 Figure 3-5: EFMW General Help Page 3.1.3.3 Frequently Asked Questions Click ‘Frequently Asked Questions’ (FAQ) to open the EFMW Frequently Asked Questions page. The FAQ page answers the questions about the EFMW that have been asked most often. You may find the answers helpful while using the EFMW. Click on the hyperlink topic to display the answer in the lower portion of the window. 3.2 New SEC Filer: Applying for EDGAR Access This section walks you through the process of applying for access to EDGAR for applicants who are new to filing with the SEC or who need to file with the SEC in a new role (e.g., filing agent or training agent). Filers who have previously filed with the SEC on paper and who need to begin filing electronically should follow the instructions in Section 3.3.1, “Current Paper Only Filer.” New serial companies that need EDGAR access should follow the instructions in Section 3.3.2, “New Serial Company.” 3.2.1 Overview The process of applying for access to EDGAR consists of two parts as follows: • Composing and submitting a Form ID • Submitting Authentication documentation The SEC will not accept a Form ID application without the authentication document, and the Form ID application will not be accepted in paper format. Access to EDGAR will not be granted to a potential new filer until both parts (submission of Form ID and the authentication document) have been completed. The Form ID application is created and transmitted electronically. A notarized authentication document must accompany your Form ID application or your request to convert from a Paper to Electronic Filer. The notarized authentication document can be prepared in one of two ways: • Complete the electronic Form ID application and print the “Form ID Application Confirmation” page. Have it signed and notarized and this document will serve as the authentication document. • Complete and print the Form ID that is found on the SEC’s Public Site, then have it signed and notarized. This document will serve as the authentication document. December 2015 3-9 EDGAR Filer Manual (Volume I) Scan the notarized document, save it as a PDF (Portable Document Format) file, attach it to the Form ID application, and electronically submit it to the Commission. Filers who are updating their passphrase must attach their notarized authentication document to their Update Passphrase request. (Refer to Section 3.2.5, “Authentication Documentation,” for details.) Within the context of a Form ID, the EFMW will: • Allow you to provide all of the necessary information required by the SEC rules on an appropriate data gathering form (Form ID) • Allow you to provide your signature and signature date • Allow you to verify the information on the form • Allow you to edit information on the form where necessary • Allow you to print the “Form ID Application Confirmation” page to serve as the authentication document • Allow you to upload attachments (i.e., cover letters, exhibits, or correspondence) • Allow you to attach the Notarized Authentication PDF Form ID document • Allow you to review and confirm your information and then print the submission for your records Remember, the Form ID is a legal document. Consider these important notes when composing your Form ID using the EFMW: • Intentional misstatements or omissions of facts constitute federal criminal violations. See 18 U.S.C.1001. • Submission of a Form ID with missing required information will be considered incomplete and will not be accepted – all required fields must be completed. • There is no capability to save work in progress, so it is important for you to have all of the information necessary to complete the form before you begin to assemble your submission online. • You can exit the window at any time to discard your work in progress and start over. • Only one applicant per Form ID is allowed (however, a method is provided to make it easier to submit multiple Form ID applications from the same browser window). EDGAR Filer Manual (Volume I) 3-10 December 2015 3.2.2 Application (Form ID) This section outlines the process for composing a Form ID application using the EFMW and then transmitting the submission to EDGAR for processing. Before beginning, gather all required information. Be especially sure to do the following: • Determine the correct filer attributes: applicant type and company/individual indicator. • Ensure that you have identified the necessary contacts (for both EDGAR matters and for accounting and billing information). • Ensure that you have proper and valid postal addresses, telephone numbers and e-mail addresses at hand. • Scan the completed, signed, and notarized Form ID application along with any other attachments, such as a cover letter or exhibit, save them in the correct format and have the file names identified 4. The first step for composing a Form ID application is to bring up the Form ID data entry form. This is accomplished as follows: 1. Connect to the EFMW Welcome page (refer to Section 3.1.2, “Accessing the EDGAR Filer Management Website”). 2. Click ‘Apply for EDGAR Access (New)’ in the menu bar. 3. A new browser window opens and the data entry page for the Form ID application appears (see Figure 3-6: EDGAR Apply for EDGAR Access (New) Page (Top)). 4. Enter the Form ID data, described in the following subsections. 4 ASCII (*.txt file extension), HTML (*.htm file extension) and PDF attachments are accepted; graphic formats are not accepted. December 2015 3-11 EDGAR Filer Manual (Volume I) Figure 3-6: EDGAR Apply for EDGAR Access (New) Page (Top) The Form ID data entry page has five distinct sections: Applicant Information Basic information about the applicant type and classification of the applicant, as a company or individual that wishes to file with the SEC. Note: The ‘Filing Agent’ applicant type must be used only by a financial printer, law firm, or any other person to send a filing or portion of a filing on behalf of a filer. Filer Information Additional information about the applicant when the applicant is a company. Contact for EDGAR Information, Inquiries and Access Codes Information about the person who is the applicant’s point of contact for EDGAR-related information and queries. Contact for SEC Account Information and Billing Invoices Information about the person who is the applicant’s point of contact for “financial” information and queries. EDGAR Filer Manual (Volume I) 3-12 December 2015 Signature Information Typed signature of the applicant, the authorized representative of an applicant that is not an individual or the individual authorized to sign by the individual applicant or authorized representative. Note that the information to be entered is not the same for all applicants and that the data entry page is customized based upon the values of the filer attributes (Applicant Type and Company/Individual indicator). The sections that are required are based upon these filer attributes and are specified in Table 3–1: EDGAR Form ID Data Entry Block, Sections. Table 3–1: EDGAR Form ID Data Entry Block, Sections Applicant Information Filer Information Contact Information Account Information Signature Information Filer (Company) Yes Yes Yes Yes Yes Filer (Individual) Yes No Yes Yes Yes Filing Agent (Company) Yes Yes Yes Yes Yes Filing Agent (Individual) Yes No Yes Yes Yes Funding Portal (Company) Yes Yes Yes Yes Yes Funding Portal (Individual) Yes No Yes Yes Yes Institutional Investment Manager (Form 13F Filer) (Company) Yes Yes Yes Yes Yes Institutional Investment Manager (Form 13F Filer) (Individual) Yes No Yes Yes Yes Investment Company, Business Development Company or Insurance Company Separate Account (Company) Yes Yes Yes Yes Yes Large Trader (Company) Yes Yes Yes Yes Yes Large Trader (Individual) Yes No Yes Yes Yes Municipal Advisor (Company) Yes Yes Yes Yes Yes Municipal Advisor (Individual) Yes No Yes Yes Yes Nationally Recognized Statistical Rating Organization (Company) Yes Yes Yes Yes Yes Nationally Recognized Statistical Rating Organization (Individual) Yes No Yes Yes Yes Applicant Type December 2015 3-13 EDGAR Filer Manual (Volume I) Applicant Information Filer Information Contact Information Account Information Signature Information Non-Investment Company Applicant under the Investment Company Act of 1940 (Company) Yes Yes Yes Yes Yes Non-Investment Company Applicant under the Investment Company Act of 1940 (Individual) Yes No Yes Yes Yes Security-Based Swap Data Repository (Company) Yes Yes Yes Yes Yes Security-Based Swap Data Repository (Individual) Yes No Yes Yes Yes Security-Based Swap Dealer and Major SecurityBased Swap Participant (Company) Yes Yes Yes Yes Yes Security-Based Swap Dealer and Major SecurityBased Swap Participant (Individual) Yes No Yes Yes Yes Security-Based Swap Execution Facility (Company) Yes Yes Yes Yes Yes Security-Based Swap Execution Facility (Individual) Yes No Yes Yes Yes Training Agent (Company) Yes No Yes No Yes Training Agent (Individual) Yes No Yes No Yes Transfer Agent (Company) Yes Yes Yes Yes Yes Transfer Agent (Individual) Yes No Yes Yes Yes Applicant Type 3.2.2.1 Data Entry Conventions The following are some basic EFMW data entry conventions: • • • • In Internet Explorer, disabled fields are read-only and are colored gray. An asterisk to the right of the label name indicates a required field. (For example, “Mailing Street 1 *” is a required field.) Press the [Tab] key to move from field to field. (For this purpose, field level help counts as a field.) Field level help is available by clicking on the label. EDGAR Filer Manual (Volume I) 3-14 December 2015 • The [Exit Window] button will close the current data entry session and return to the EFMW Welcome page. Any data entered or attachments uploaded will be discarded. 3.2.2.2 Data Entry Details Some significant details about the entry of the information on the Form ID application are described in the following sections. For each data portion of the data entry page there is a section and an associated screen shot. 3.2.2.2.1 Applicant Information The Applicant Information section of the Form ID application is the first data entry section that is displayed on the page. This information is to be supplied by all applicants. The filer attributes are the first items in this section (before the Name of Applicant/Individual) and are critical to the data entry process as they control the data entry fields that are available on the page. It is recommended that the filer attributes be specified before any other data and that an effort is made to ensure that they are correct: changing them after data has been entered in other fields may result in data being lost 5. When the page is first displayed, the filer attributes are set to {“Filer” and “Company”}. Select either the “JOBS Act §106” or “Foreign Private Issuer Policy” radio button to indicate that you are submitting an access code request to be able to submit draft registration statements or select the “Regulation A” radio button to indicate that you are requesting access codes to submit draft offering statements. Refer to Chapter 7 in Volume II of the EDGAR Filer Manual for more information on draft registration statements and draft offering statements. The Name of Applicant or Name of Individual is the first data entry field after the filer attributes. The difference between the two is that the Name of Applicant is used for companies only and consists of a single component, while the Name of Individual is used for individuals only and consists of four components, one each for Last Name, First Name, Middle Name, and Suffix. As stated on the web page, the Name will be conformed according to the EDGAR standards. (See APPENDIX C, AUTOMATED NAME CONFORMANCE RULES, for details of these conformance rules.) These standards may be viewed online by clicking the link in the Note above the data entry field. The process of automatic name conformance cannot be turned off or otherwise prevented or avoided by the requestor or applicant. The Mailing Address is required and must be entered for all applicants. However, it may also be used for other addresses on the Form ID application (as described in the appropriate sections). The TIN is required whenever the applicant is a Company. However, a company that has applied for but has not yet received a TIN must enter “00-0000000” (zeroes). Remember to update your TIN when it is received. You must use the EDGAR Filing or OnlineForms/XML website’s Edit Company Information capability to update the TIN in EDGAR. The TIN is not needed for Individuals and cannot be entered (the entry of a Social Security Number [SSN] is not required and is not supported). Note: The “applicant” is the company or individual who is required to file with the SEC, 5 Data in the sections that are common to the filer attributes settings will be preserved; however, data that exists in a section that is not needed based upon the new filer attribute setting is lost. For example, Filer (Company) requires the entry of Filer Information – if you switch the filer attributes to Filer (Individual), any Filer Information that you may have entered is lost. December 2015 3-15 EDGAR Filer Manual (Volume I) not necessarily the person who is filling in the form (although it could be). The term “requestor” is used to refer to the person who is filling in the form. Figure 3-7: EDGAR Form ID Page, Applicant Information EDGAR Filer Manual (Volume I) 3-16 December 2015 3.2.2.2.2 Filer Information The Filer Information section of the Form ID application is the second data entry section that is displayed on the page. This information can be supplied only for applicants that are companies. The “Doing Business As” Name is optional. If the filer is a foreign filer, an optional Foreign Name data entry field is also available. This name is intended for the name of the company in a non-English language but using only the subset of the standard ASCII (text) character set that is supported by EDGAR. The requestor must either explicitly enter the information required for the Business Address or check the “Business address same as mailing address” box. If the “Business address same as mailing address” box is checked, EDGAR will copy the Mailing Address information to the Business Address fields before submitting the Form ID application (this action is not immediate). When this box is checked, the Business Address data entry fields are disabled (grayed out with Internet Explorer). Figure 3-8: EDGAR Form ID Page, Filer Information December 2015 3-17 EDGAR Filer Manual (Volume I) 3.2.2.2.3 Contact for EDGAR Information The Contact for EDGAR Information, Inquiries, and Access Codes section of the Form ID application is the third data entry section that is displayed on the page. This information must be supplied for all applicants. The Contact Address is required if any part of the address is different from the Mailing Address. If the Contact Address is identical to the Mailing Address, the requestor may check the “Contact address same as mailing address” box and EDGAR will copy the Mailing Address information to the Contact Address fields before submitting the Form ID application. When this box is checked, the Contact Address data entry fields are disabled (grayed out with Internet Explorer). The E-Mail Address is critical to communications between the applicant and EDGAR and its validity is critical to success. This is because notifications (messages) are sent from EDGAR to this e-mail address. For example, an e-mail notification is sent to the applicant after his or her Form ID application is processed by the SEC – if the application is rejected, there is no other way for the SEC to contact the applicant. (Subsequent notifications may be retrieved from the EDGAR Filing or OnlineForms/XML websites). Figure 3-9: EDGAR Form ID Page, Contact for EDGAR Information Note that our rules require that you keep this information current. After your Form ID application is accepted and you have your EDGAR access codes, you can use the Edit Company Information capability of the EDGAR Filing or OnlineForms/XML websites to update this information as required. EDGAR Filer Manual (Volume I) 3-18 December 2015 3.2.2.2.4 Contact for SEC Account Information The Contact for SEC Account Information and Billing Invoices section of the Form ID application is the fourth data entry section that is displayed upon the page. This information is to be supplied for all Filers and Filing Agents. The Contact Address is required if any part of the address is different from the Mailing Address. If the Contact Address is identical to the Mailing Address, the requestor may check the “Contact address same as mailing address” box and EDGAR will copy the Mailing Address information to the Contact Address fields before submitting the Form ID application. When this box is checked, the Contact Address data entry fields are disabled (grayed out with Internet Explorer). Figure 3-10: EDGAR Form ID Page, Contact for SEC Account Information 3.2.2.2.5 Signature The Signature Information section of the Form ID application is the fifth data entry section that is displayed upon the page. This information is to be supplied for all applicants. If the applicant is a company, a duly authorized person - such as a partner, president, treasurer, corporate secretary, officer, or director - must sign the Form ID application. Individuals may have someone with their power of attorney sign the Form ID application. Filing agents such as financial printers cannot sign this form on behalf of the issuer unless they are specifically authorized to do so in writing. The written documentation must be attached to the Form ID application. Refer to Section 3.2.3.2, “Assembling the Form ID Submission.” The Signature that is entered is the text equivalent of the signer’s manual legal signature. For example, if Tobias Alowicious Smith uses “T. A. Smith” as his legal signature, the requestor would enter “T. A. Smith” in this data entry field. Note that the Signature is for the applicant, the authorized representative of an applicant that is not an individual, or the individual authorized to sign by the individual applicant or authorized representative, which is not necessarily the person who is filling in the form (although they could be the same). The Title/Position is required only when the applicant is a company. December 2015 3-19 EDGAR Filer Manual (Volume I) Figure 3-11: EDGAR Form ID Page, Signature Information 3.2.3 Assembling and Submitting the Form ID Application After you have entered all of the required data on the Form ID application, you are ready to complete the process and submit the Form ID application to the SEC for acceptance. You must do the following to finish the process: • Correct any errors • Upload the scanned, notarized authentication document in PDF format • Upload any additional attachments • Define a passphrase • Submit the completed Form ID application Note: The maximum size of a Form ID submission, including all attachments, must not exceed 200 MB. EDGAR Filer Manual (Volume I) 3-20 December 2015 3.2.3.1 Verifying the Form ID Application Note: The figures in this section all contain sample data. Each figure represents the type of data that can be entered on the Form ID application. The figures are provided as examples of what you will see; your data will be different. The next step in the process is to complete the Form ID data entry phase. This is accomplished as follows: 1. Click the [Continue] button (Figure 3-11: EDGAR Form ID Page, Signature Information). EDGAR validates the format and syntax of the information that you provided in the Form ID application (you are responsible for confirming the accuracy of all information submitted in the Form). If there are errors in the information provided (such as missing required fields), your Form ID application with the errors highlighted will be displayed (Figure 3-12: EDGAR Form ID, Errors (Top)). Follow the instructions on the screen to correct the errors, and then click the [Continue] button. Your updated Form ID application will be revalidated; if errors remain, your updated Form ID application with any errors is displayed. You must correct all errors to proceed past this point. For example, the following errors are marked in Figure 3-12:  Mailing State/Country is missing (required field)  December 2015 Phone [Telephone Number] is not in the correct format 3-21 EDGAR Filer Manual (Volume I) Figure 3-12: EDGAR Form ID, Errors (Top) 2. If there are no errors in your Form ID application and the name conformance process changes your Name, a dialog box appears (Figure 3-13: EDGAR Form ID, Conformed Name Dialog). EDGAR Filer Manual (Volume I) 3-22 December 2015 The dialog box gives you the conformed Name of Applicant that will be used when your Form ID application is submitted. Click the [OK] button in the Conformed Name dialog box after you have reviewed the information. Figure 3-13: EDGAR Form ID, Conformed Name Dialog 3. The EFMW Form ID Application Confirmation page appears (Figure 3-14: EDGAR Form ID Application Confirmation Page (Top) and Figure 3-15: (Bottom)). This page allows you to review the information that will be sent to EDGAR after you submit this Form ID application. It also provides a way for you to:  Edit any incorrect information (except for the conformed Name of Applicant).  Print the page, which must then be signed and notarized to serve as the authentication document.  Upload/delete attachments.  Define a passphrase. 4. Click the [Print Window] button near the bottom of the page to print the authentication document. The printed document must be signed and notarized. December 2015 3-23 EDGAR Filer Manual (Volume I) Figure 3-14: EDGAR Form ID Application Confirmation Page (Top) If you want to change any of the data displayed on the EFMW Form ID Application Confirmation page, click the [Edit Form ID] button in the middle of the page (Figure 3-14: EDGAR Form ID Application Confirmation Page (Top)). EDGAR Filer Manual (Volume I) 3-24 December 2015 Figure 3-15: EDGAR Form ID Application Confirmation Page (Bottom) The EFMW Form ID application page appears (Figure 3-16: EDGAR Form ID Application Edit (Top)), prefilled with the data from your original Form ID application. Change any of the data that you want, and then click the [Continue] button. Your updated Form ID application will be re-verified; if errors remain, your updated Form ID application with any errors is displayed (Figure 3-12: EDGAR Form ID, Errors (Top)). December 2015 3-25 EDGAR Filer Manual (Volume I) Figure 3-16: EDGAR Form ID Application Edit (Top) 3.2.3.2 Assembling the Form ID Submission The Form ID application must include a notarized authentication document in PDF format. The application can include other attachments such as a cover letter or Power of Attorney. To assemble the Form ID submission (i.e., associate any attachments with your Form ID application), you must upload them to EDGAR. EDGAR Filer Manual (Volume I) 3-26 December 2015 1. If you want to add or delete an attachment, click the [Upload/Delete Attachments] button in the middle of the page (Figure 3-15: EDGAR Form ID Application Confirmation Page (Bottom)). The EFMW Upload/Delete Attachment(s) page appears (Figure 3-17: EDGAR Form ID Upload/Delete Attachment(s) Page). This page displays a table of the uploaded attachments and allows you to manage the attachments associated with your Form ID application. Figure 3-17: EDGAR Form ID Upload/Delete Attachment(s) Page 2. To add an attachment, click the [Upload Attachment] button. (Any attachments you plan to include should already have been prepared and saved in the appropriate format prior to assembling your Form ID submission.) For example, the completed and printed Form ID application must be signed, notarized, and scanned as a PDF document ready for upload. Optional attachments such as a cover letter or a Power of Attorney must be in ASCII or HTML format. Notes: (1) Scanned, notarized Form ID authentication document should be attached as CORRESP document type. (2) Document attachments must conform to the following standards:  The document file name must be in lower case and no longer than 32 characters in length. The name must start with a letter (a-z) and not contain spaces. File names may contain digits (0-9), up to one period (.), one hyphen (-), and one underscore (_) character.  The PDF document attachment must not contain active content (Actions, embedded JavaScript, etc.), external references (Destinations, Hyperlinks, etc.), and passwords or document security controls. Refer to Chapter 5, Section 5.2, of Volume II of the Filer Manual for EDGAR standards on document formats. December 2015 3-27 EDGAR Filer Manual (Volume I) The Upload Attachment page appears (Figure 3-18: EDGAR Form ID Upload Attachment Page). 3. Enter the appropriate information in the data entry fields, and then click the [Upload] button (to return to the Upload/Delete Attachment(s) page without uploading an attachment, click the [Cancel] button). The EFMW Upload/Delete Attachment(s) page appears (Figure 3-17: EDGAR Form ID Upload/Delete Attachment(s) Page) with your new attachment displayed in the table. Figure 3-18: EDGAR Form ID Upload Attachment Page 4. To delete an attachment, select the radio button to the left of the attachment you wish to delete and click the [Delete Attachment] button. The selected attachment will be discarded and its entry in the table on the Upload/Delete Attachment(s) page will be removed. 5. Continue to add or delete attachments until you are satisfied, and then click the [OK] button to return to the Form ID Application Confirmation page. EDGAR Filer Manual (Volume I) 3-28 December 2015 3.2.4 Defining a Passphrase The passphrase is an EDGAR security code that is used to generate (or regenerate) the EDGAR access codes needed to make filings via EDGAR with the SEC. The passphrase is not used to log on to the EDGAR Filing or OnlineForms/XML websites. The passphrase allows a filer to generate a new set of EDGAR access codes if/when they are forgotten. (Refer to Section 4.1.1, “Requesting an EDGAR Passphrase,” for more information.) It is important to remember that the passphrase and the EDGAR access codes are not assigned to the requestor of the Form ID, but to the applicant. The last step prior to submitting your Form ID application to the SEC is to specify a passphrase. Please remember your passphrase. For security reasons, it cannot be recovered after the Form ID application window has been exited. Note: Defining a passphrase must be the last step before submitting a Form ID application to the SEC. If you enter a passphrase and then click the [Edit Form ID] or [Upload/Delete Attachments] button, the passphrase is discarded. This sequence of steps helps ensure the security of the passphrase. 1. To specify your passphrase, enter it in the data entry fields near the bottom of the Form ID Application Confirmation page (Figure 3-19: EDGAR Form ID Application Confirmation Page (Bottom)). For security reasons, your passphrase must be eight characters in length and contain at least one digit and one of the following characters: {@, #, *, $}. Figure 3-19: EDGAR Form ID Application Confirmation Page (Bottom) December 2015 3-29 EDGAR Filer Manual (Volume I) 3.2.4.1 Submitting a Form ID Application You are ready to submit the Form ID application to the SEC once you have completed the Form ID application, added the required notarized authentication document and any additional attachments, and specified a passphrase. Consider this step carefully: You cannot easily retract the Form ID application after it has been submitted. If you decide that you do not want to submit the Form ID application, close the browser window by clicking the [Exit Window] button at the bottom of the Form ID Application Confirmation page. If you close the window, all of the data that you have entered on the Form ID application and any attachments will be discarded. 1. To submit your Form ID application, click the [Submit Form ID] button at the bottom of the Form ID Application Confirmation page (Figure 3-19: EDGAR Form ID Application Confirmation Page (Bottom)). A dialog box appears (Figure 3-20: EDGAR Form ID, Submittal Dialog) asking you to confirm that you want to submit the Form ID application. If you do not want to submit it, click the [Cancel] button and the dialog box will disappear; otherwise, click the [OK] button to submit the Form ID application to the SEC. Figure 3-20: EDGAR Form ID, Submittal Dialog Note: After you click the [OK] button, the Form ID application is submitted to the automated submission processing portion of the EDGAR system. This is the start of the acceptance process; your subsequent actions in this browser window will not affect this process. However, the acceptance process for your Form ID cannot be completed until your authentication document (scanned PDF) has been reviewed by the Branch of Filer Support. Refer to Section 3.2.5, “Authentication Documentation,” for more information. The EFMW Form ID Application Acknowledgment page appears (Figure 3-21: EDGAR Form ID Application Acknowledgment Page). This page provides the Accession Number for the submission (use this number when referring to this submission) and lists the Form ID information that was submitted). Note: The Accession Number is a unique code assigned to your Form ID submission. It has a format of: 9999999996-[Year]-[Sequence Number] Click the [Print Window] button near the bottom of the page to print this page to make a copy for your records. EDGAR Filer Manual (Volume I) 3-30 December 2015 Figure 3-21: EDGAR Form ID Application Acknowledgment Page 2. Click the [Exit Window] button near the bottom of the Form ID Application Acknowledgment page to finish the process by closing the browser window. December 2015 3-31 EDGAR Filer Manual (Volume I) A dialog box appears (Figure 3-22: EDGAR Form ID, Exit Window Dialog) asking you to confirm that you want to exit the browser window. If you do not want to exit, click the [Cancel] button and the dialog box will disappear; otherwise, click the [OK] button and the browser window will be closed and the previously entered Form ID information and any attachments (documents) will be discarded. Figure 3-22: EDGAR Form ID, Exit Window Dialog 3.2.4.2 Starting Another Form ID Application If you would like to start another Form ID application, directly from the Form ID Application Acknowledgment page, click one of the buttons provided for this purpose near the bottom of the page (Figure 3-21: EDGAR Form ID Application Acknowledgment Page). 3.2.4.2.1 Create New, Blank Form ID This option returns you to the Form ID Application page (in the same browser window) and deletes all of the data that you had previously entered. Use this capability when you need to submit another Form ID application for a company or person whose information is different from that previously entered. 1. Click the [Create New, Blank Form ID] button near the bottom of the Form ID Application Confirmation page. A dialog box appears (Figure 3-23: EDGAR Form ID, New Blank Form Dialog) warning you that the previously entered Form ID information and any attachments (documents) will be cleared if you continue. If this is not your desire, click the [Cancel] button on the dialog box. Figure 3-23: EDGAR Form ID, New Blank Form Dialog If you would like to start a new, blank Form ID application, click the [OK] button on the dialog box. The EFMW Apply for EDGAR Access (New) page appears in the same browser window without any of the previously entered data. Follow the previous instructions (Section 3.2, “New SEC Filer: Applying for EDGAR Access”) to compose and submit this new Form ID application. EDGAR Filer Manual (Volume I) 3-32 December 2015 3.2.4.2.2 Create New, Pre-filled Form ID After submitting one Form ID application, the Create New, Pre-Filled Form ID option returns you to the Form ID Application page (in the same browser window) and prefills all of the data entry fields with the data that you had previously entered, except for the Name of Applicant or Name of Individual (as appropriate). Use this capability when you need to submit another Form ID application for a company or person whose information is materially the same as that previously entered. 1. Click the [Create New, Pre-filled Form ID] button near the bottom of the Form ID Application Confirmation page. A dialog box appears (Figure 3-24: EDGAR Form ID, New Pre-filled Form Dialog) warning you that the previously entered Form ID information and any attachments (documents) will be retained if you continue. If this is not your desire, click the [Cancel] button on the dialog box. Figure 3-24: EDGAR Form ID, New Pre-filled Form Dialog If you would like to start a new, prefilled Form ID application, click the [OK] button on the dialog box. The EFMW Apply for EDGAR Access (New) page appears in the same browser window with all of the previously entered data except for the Name (which is empty). Follow the previous instructions (Section 3.2, “New SEC Filer: Applying for EDGAR Access”) for composing and submitting this new Form ID application. 3.2.5 Authentication Documentation The Form ID application must be supplemented with additional verification to help ensure that the application is authentic. Accordingly, the applicant is required to attach a manually signed, notarized, and scanned PDF file to their electronic Form ID. This can be done in two ways: • Complete the electronic Form ID application and print the “Form ID Application Confirmation” page. or • Complete and print the Form ID that is found on the SEC’s Public Site. Have the printed form signed and notarized and this document will serve as the authentication document. Scan the notarized document, save it as a PDF (Portable Document Format) file, attach it to the Form ID application, and electronically submit it to the Commission. The authentication document must include the following information: • • Signature of Authorized Person Printed Name of Signature December 2015 3-33 EDGAR Filer Manual (Volume I) • • 3.2.6 Title of Person Signing Notary Signature and Seal Application Acceptance and Applicant Notification After the SEC receives both the electronic Form ID application and the attached authentication documentation, the SEC will authenticate the request. A notification message stating the SEC’s disposition of the application will be sent to the e-mail address provided in the “Contact for EDGAR Information” part of the Form ID. The disposition will be either “accepted” or “rejected.” If the application was accepted, the e-mail message will include but will not be limited to the following information: • Text saying that the Form ID was accepted by the SEC • The new Central Index Key [CIK] • Basic directions for how to generate EDGAR access codes • The URL of the EDGAR Filer Management Website If the application was rejected, the e-mail message will include but will not be limited to the following information: • Text saying that the Form ID was rejected by the SEC • The reason that the application was rejected • Basic instructions on how to resolve the issues 3.3 Current SEC Filer: Applying for EDGAR Access This section explains the process of applying for access to EDGAR for applicants who are currently filing with the SEC, unless they seek to file in a different capacity (e.g., “individual,” “filing agent,” or “training agent”). Other filers should follow the instructions in Section 3.2, “New SEC Filer: Applying for EDGAR Access.” 3.3.1 Current Paper Only Filer Note: The “applicant” is the company or individual who is required to file with the SEC, not necessarily the person who is filling in the form (although it could be). The term “requestor” is used to refer to the person who is filling in the form. This section outlines the process for composing and submitting an EDGAR access request using the EFMW when the applicant currently makes paper filings (only) with the SEC and wants to start to file electronically. Before beginning, ensure that you know the Central Index Key (CIK) of the applicant. If you do not know the CIK, you can look up the applicant by name by connecting to the EDGAR Company Database at URL http://www.edgarcompany.sec.gov and clicking the [Company Search] button. The CIK is one of the items returned by querying this database. EDGAR Filer Manual (Volume I) 3-34 December 2015 3.3.1.1 Converting from Paper to Electronic Filer To convert from a Paper Only Filer to an Electronic Filer, you must submit the EDGAR access request. This is accomplished as follows: 1. Connect to the EFMW Welcome page. (Refer to Section 3.1.2, “Accessing the EDGAR Filer Management Website.”) 2. Click ‘Convert Paper Only Filer to Electronic Filer’ in the menu bar. 3. A new browser window opens with the data entry page for the EDGAR access request (Figure 3-25: EDGAR Convert Paper Only Filer to Electronic Filer Page). Refer to Section 3.2.2.1, “Data Entry Conventions,” for the standards used on all of the EFMW pages. 4. Enter the required data (CIK, passphrase and e-mail address). Refer to Section 3.2.4, “Defining a Passphrase,” for more detailed description of the passphrase. For security reasons, the passphrase must be eight characters in length and contain at least one digit and one of the following characters: @, #, *, $. 5. Click the [Continue] button near the bottom of the page after entering the data. Figure 3-25: EDGAR Convert Paper Only Filer to Electronic Filer Page December 2015 3-35 EDGAR Filer Manual (Volume I) The EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page opens (Figure 3-26. EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page). This page serves as the authentication document for the process. Figure 3-26: EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page EDGAR Filer Manual (Volume I) 3-36 December 2015 6. Click the [Print Window] button near the bottom of the page to print the authentication document. The printed document must be signed and notarized. 7. Scan the authentication document and save it in PDF format. Then, click the [Upload/Delete Attachments] button on the Convert Paper Only Filer to Electronic Filer Confirmation Page. Note: The document for uploading must be in PDF format. The acceptance process cannot be completed until you submit the authentication document to the SEC; refer to Section 3.3.1.2, “Authentication Documentation,” for more information. The EDGAR Upload/Delete Attachment Page opens (Figure 3-27: EDGAR Upload/Delete Attachment Page). This page is used to manage the attachment associated with your EDGAR access request. Figure 3-27: EDGAR Upload/Delete Attachment Page 8. To add an attachment, click the [Upload Attachment] button. The EDGAR Upload Attachment page opens (Figure 3-28: EDGAR Upload Attachment Page). December 2015 3-37 EDGAR Filer Manual (Volume I) Figure 3-28: EDGAR Upload Attachment Page 9. Click the [Browse] button to select the attachment. Only a PDF document can be uploaded. The document must have the .pdf file extension. To cancel an attachment, click the [Cancel] button; to close the browser window, click the [Exit Window] button. Note: The Type field defaults to CORRESP and it is non-editable. Refer to Section 3.2.3.2, “Assembling the Form ID Submission” for EDGAR standards on document attachments. 10. Enter a description for the attachment, and click the [Upload] button. The EDGAR Upload/Delete Attachment Page opens and the new attachment is displayed in the Attached Document List table. 11. Continue to add or delete the attachment as needed, and then click the [OK] button. Only one authentication attachment is allowed. Note: The maximum size of a Convert Paper Only Filer to Electronic Filer submission, including the attachment, must not exceed 200 MB. EDGAR Filer Manual (Volume I) 3-38 December 2015 Figure 3-29: New attachment in the Attached Document List table The Convert Paper Only Filer to Electronic Filer Confirmation Page opens. (Figure 3-30: EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page (Bottom)) December 2015 3-39 EDGAR Filer Manual (Volume I) Figure 3-30: EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page (Bottom) 12. Click the [Submit] button (Figure 3-30: EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page (Bottom)) to submit the Convert Paper Only Filer to Electronic Filer request. A dialog box displays asking for confirmation. (Figure 3-31: EDGAR Convert to Electronic Filer, “Continue” Dialog Box). To submit the request to EDGAR for processing, click the [OK] button; to cancel the request, click the [Cancel] button. Figure 3-31: EDGAR Convert to Electronic Filer, “Continue” Dialog Box EDGAR Filer Manual (Volume I) 3-40 December 2015 Note: After you click the [OK] button, the Convert Paper Only Filer to Electronic Filer request is submitted to the automated submission processing portion of the EDGAR system. This is the start of the acceptance process; any subsequent actions in this browser window will not affect this process. The EFMW Convert Paper Only Filer to Electronic Filer Acknowledgment page appears (Figure 3-32: EDGAR Convert Paper Only Filer to Electronic Filer Acknowledgment Page). This page provides the Accession Number for the submission - use this number when referring to this submission. Figure 3-32: EDGAR Convert Paper Only Filer to Electronic Filer Acknowledgment Page 13. Click the [Exit Window] button to complete the process and close the browser window. December 2015 3-41 EDGAR Filer Manual (Volume I) 3.3.1.2 Authentication Documentation The Convert Paper Only Filer request must be supplemented with an additional authentication document to ensure that the request is authentic. The authentication document must be signed and notarized, and include the following information: • CIK • Name associated with that CIK • Current Company Mailing Address • Contact Person • Contact Telephone Number • Signature of authorized person • Printed Name of Signature • Title of Person Signing 3.3.1.3 Request Acceptance and Applicant Notification After the SEC receives both the electronic Convert Paper Only Filer to Electronic Filer request and the attached authentication documentation, the SEC will authenticate the request. A notification message stating the SEC’s disposition of the request will be sent to the e-mail address provided in the request. The disposition will be either “accepted” or “rejected.” If the request is accepted, the e-mail message will include but will not be limited to the following information: • Text saying that the request was accepted by the SEC • Text stating that the specified passphrase was activated • Basic directions for how to generate EDGAR access codes • Instructions on how to review and update your company information (e.g., Business Address) to ensure that it is accurate and up-to-date • The URL of the EDGAR Filer Management Website If the request is rejected, the e-mail message will include but will not be limited to the following information: • Text saying that the request was rejected by the SEC • The reason that the request was rejected • Basic instructions on how to resolve the issue EDGAR Filer Manual (Volume I) 3-42 December 2015 3.3.2 New Serial Company Note: The “applicant” is the company or individual who is required to file with the SEC, not necessarily the person who is filling in the form (although it could be). The term “requestor” is used to refer to the person who is filling in the form. A serial company is created as a result of a “parent” company filing a Form 424B 6 or 424H using a serial tag, with the SEC. When the 424B or 424H submission is accepted by the SEC, the serial company is created in EDGAR and a [new] CIK is assigned. However, the act of creating the serial company in EDGAR does not automatically result in EDGAR access for the new company: the new serial company must request access to EDGAR. This section outlines the process for composing and submitting an EDGAR access request using the EFMW when the applicant is a newly created serial company. Before beginning, ensure that you know the Central Index Key (CIK) of the applicant (it will be specified in the notification message sent to the parent company by EDGAR after the SEC accepts the Form 424B or 424H). If you do not know the CIK, you can look up the serial company by name using the EDGAR Company Database at URL: http://www.edgarcompany.sec.gov and clicking the [Company Search] button. The CIK is one of the items returned by querying this database. Note: The EDGAR Company Database is updated nightly so it will be populated with the new serial company’s CIK no earlier than the day after the 424B or 424H that created it is accepted. 3.3.2.1 Composing the New Serial Company Access Request To compose a new serial company access request, bring up the EDGAR access request data entry form. This is accomplished as follows: 1. Connect to the EFMW Welcome page. (Refer to Section 3.1.2, “Accessing the EDGAR Filer Management Website.”) 2. Click ‘EDGAR Access for New Serial Companies’ in the menu bar. 3. A new browser window opens and the data entry page for the EDGAR access request appears (Figure 3-33: EDGAR Access for New Serial Companies Page). Refer to Section 3.2.2.1, “Data Entry Conventions,” for the standards used on all of the EFMW pages. 6 “424B” is a shorthand reference for Forms 424B1, 424B2, 424B3, 424B4, 424B5, 424B6, 424B7, and 424B8. December 2015 3-43 EDGAR Filer Manual (Volume I) Figure 3-33: EDGAR Access for New Serial Companies Page 4. Enter the required data (CIK, passphrase and e-mail address) Refer to Section 3.2.4, “Defining a Passphrase,” for a more detailed description of the passphrase. For security reasons, the passphrase must be at least eight characters in length and contain at least one digit and one of the following characters:{@, #, *, $}. 5. Click the [Continue] button near the bottom of the page when you are satisfied with the data that you entered. The EDGAR Access for New Serial Companies Confirmation page appears. (Figure 3-34: EDGAR Access for New Serial Companies Confirmation Page). This page serves as the authentication document for the process. EDGAR Filer Manual (Volume I) 3-44 December 2015 Figure 3-34: EDGAR Access for New Serial Companies Confirmation Page December 2015 3-45 EDGAR Filer Manual (Volume I) 6. Click the [Print Window] button near the bottom of the page to print the authentication document for the process. The printed document must be signed and notarized. 7. Scan the authentication document and save it in PDF format. Then, click the [Upload/Delete Attachment] button on the EDGAR Access for New Serial Companies Confirmation page. Note: The acceptance process cannot be completed until you submit the authentication document to the SEC; refer to Section 3.3.2.2, “Authentication Documentation,” for more information. The EDGAR Upload/Delete Attachment page opens. (Figure 3-35: EDGAR Upload/Delete Attachment Page). This page is used to manage the attachment associated with your EDGAR request. Figure 3-35: EDGAR Upload/Delete Attachment Page 8. To add an attachment, click the [Upload Attachment] button. The EDGAR Upload Attachment page opens. (Figure 3-36: EDGAR Upload Attachment Page). EDGAR Filer Manual (Volume I) 3-46 December 2015 Figure 3-36: EDGAR Upload Attachment Page 9. Click the [Browse] button to select the attachment. Only one document can be uploaded and the document must have the .pdf file extension. Note: The Type field for the document defaults to CORRESP and is non-editable. Refer to Section 3.2.3.2, “Assembling the Form ID Submission,” for EDGAR standards on document attachments. To cancel an attachment, click the [Cancel] button; to close the browser window, click the [Exit Window] button. 10. Enter a description for the attachment and click the [Upload] button. The EDGAR Upload/Delete Attachment page opens and the new attachment is displayed in the Attached Document List table. 11. Continue to add or delete the attachment as needed, and then click the [OK] button. The EDGAR Access for New Serial Companies Confirmation page appears. 12. Click the [Submit] button to submit the New Serial Company Access request. A dialog box appears (Figure 3-37: EDGAR New Serial Company Access, “Continue” Dialog) asking you to confirm that you want to submit the request. To submit the request to EDGAR for processing, click the [OK] button; to cancel the request, click the [Cancel] button. December 2015 3-47 EDGAR Filer Manual (Volume I) Figure 3-37: EDGAR New Serial Company Access, “Continue” Dialog Note: After you click the [OK] button, the EDGAR Access for New Serial Companies request is submitted to the automated submission processing portion of the EDGAR system. This is the start of the acceptance process; your subsequent actions in this browser window will not affect this process. The EFMW EDGAR Access for New Serial Companies Acknowledgment page appears (Figure 3-38: EDGAR Access for New Serial Companies Acknowledgment Page). This page provides the Accession Number for the submission - use this number in the future when referring to this submission. Figure 3-38: EDGAR Access for New Serial Companies Acknowledgment Page Note: The Accession Number is a unique code assigned to your submission. It has a format of: 9999999996-[Year]-[Sequence Number]. 13. Click the [Exit Window] button to complete the process and close the browser window. EDGAR Filer Manual (Volume I) 3-48 December 2015 3.3.2.2 Authentication Documentation The EDGAR Access for New Serial Companies must be supplemented with an additional authentication document to ensure that the request is authentic. The authentication document must be signed and notarized, and include the following information: • CIK • Name associated with that CIK • Name of the contact person for purposes of this request • Contact person of the parent company on database • Contact telephone number of the parent company on database • Accession number of the 424B or 424H filing that created the serial company • Printed or typed signature of authorized person 3.3.2.3 E-mail Notification of Acceptance or Rejection After the SEC receives both the electronic EDGAR Access for New Serial Companies request and the associated authentication documentation, the SEC will authenticate the request. A notification message stating the SEC’s disposition of the request will be sent to the e-mail address provided in the request. The disposition will be either “accepted” or “rejected.” If the request is accepted, the e-mail message will include but will not be limited to the following information: • Text saying that the request was accepted by the SEC • Text stating that the specified passphrase was activated • Basic directions for how to generate EDGAR access codes • The URL of the EDGAR Filer Management Website If the request is rejected, the e-mail message will include but will not be limited to the following information: 3.4 • Text saying that the request was rejected by the SEC • The reason that the request was rejected • Basic instructions on how to resolve the issue Creating an Asset Backed Securities Issuing Entity Request Asset-Backed Securities (ABS) Issuing Entities Creation allows an Asset-Backed Securities Depositor to request the creation of up to 100 related Issuing Entities. The depositor must have a SIC code 6189 in order to initiate this request. Note: It is advisable to limit the number of companies specified in any one request. If there is a problem with the appropriateness of one of the names of the Issuing Entities, your request may be rejected. If this happens, then you must resubmit your entire request. December 2015 3-49 EDGAR Filer Manual (Volume I) Once you have logged into EDGAR and accessed the Retrieve/Edit Company and Submission Data page, you can prepare a request to create ABS Issuing Entities: 1. Login to EDGAR. 2. When you reach the EDGAR Welcome page, click ‘Retrieve/Edit Data’. 3. Figure 3-39: Retrieve/Edit Data Page appears, and prompts you for your CIK and CCC information:  Enter your CIK in the CIK field and press [Tab].  Enter your CCC in the CCC field.  Click the [Continue] button. Figure 3-39: Retrieve/Edit Data Page EDGAR Filer Manual (Volume I) 3-50 December 2015 Figure 3-40: Retrieve/Edit Company and Submission Data Page appears. Figure 3-40: Retrieve/Edit Company and Submission Data Page December 2015 3-51 EDGAR Filer Manual (Volume I) 4. Click ‘Request Asset-Backed Securities (ABS) Issuing Entities Creation’. The Add ABS Issuing Entities page appears, as shown in Figure 3-41: Add ABS Issuing Entities Page. Figure 3-41: Add ABS Issuing Entities Page 5. For each Issuing Entity to be created, you must provide the following information:  Company Name: Note: This “Company Name” must be in English! Also, the value that you enter will be conformed to meet EDGAR standards. These standards can be accessed by clicking on the link in the note above the Company Name field.  E-mail Address  Re-enter E-mail Address  Passphrase Note: Your passphrase must be eight (8) characters long and must contain at least one digit and one of the following characters: @, #, *, or $. Please remember the passphrase as you type, as the passphrase will not be displayed.  Re-enter Passphrase On this screen, required fields are indicated by an asterisk (*). If you do not fill in all required fields, you will be prompted with an error upon submission. If you want to cancel the changes, click the [Cancel] button at any time. If you do cancel your request then you will lose all data you entered in the request. EDGAR Filer Manual (Volume I) 3-52 December 2015 6. Once you have completed the required information you can either add another company by clicking the [Add Another Company] button; or, you can go on to the next step by clicking the [OK] button. 7. When you click the [OK] button the “Request ABS Issuing Entities Creation Information” page will be displayed showing each requested company with its conformed name and e-mail address as shown in Figure 3-42: Request ABS Issuing Entities Creation Information Page Figure 3-42: Request ABS Issuing Entities Creation Information Page 8. From here you can choose to continue to add companies to your request, modify one of your entries that you entered as part of this request, delete one of your entries that you entered as part of this request, print your requested entries, or submit your request. Please note that requested information is not saved until you verify and submit your request. To verify and submit your request, click the [Verify/Submit] button. When you click the [Verify/Submit] button a Request ABS Issuing Entities Creation Confirmation screen will be displayed as shown in Figure 3-43: Request ABS Issuing Entities Creation Confirmation Page. December 2015 3-53 EDGAR Filer Manual (Volume I) Figure 3-43: Request ABS Issuing Entities Creation Confirmation Page 9. Carefully review your requested information, then either click the [Confirm/Submit] button to submit your request or click the [Continue Edit] button to return to the Request ABS Issuing Entities Creation Information screen. Note: Intentional misstatements or omissions of facts constitute federal criminal violations. See 18 U.S.C.1001. 10. When you click the [Confirm/Submit] button, the Request ABS Issuing Entities Creation Result screen will be displayed with the EDGAR accession number of your request displayed as shown in Figure 3-44: Request ABS Issuing Entities Creation Result Page. Figure 3-44: Request ABS Issuing Entities Creation Result Page 11. SEC’s Branch of Filer Support staff will review your request. They can reject any requested name if it is deemed unacceptable. EDGAR Filer Manual (Volume I) 3-54 December 2015 Once Filer Support processes your request EDGAR will send a notification message to your e-mail address and to the e-mail address of each requested Issuing Entity. If your request was accepted then the notification message would contain the CIK associated with each requested Issuing Entity name along with instructions on how the Issuing Entities can generate their EDGAR access codes. If your request was rejected then the notification message will contain the reason why your request was rejected. You must re-submit another request to create Asset-Backed Securities Issuing Entities addressing the issue in which the initial request was rejected and including all of the Issuing Entities and associated information that were entered on the initial request. 3.5 Examples of Notification Messages This section contains examples of the notification messages that EDGAR will send to the applicant/filer in response to a Form ID application, a Convert Paper Only Filer to Electronic Filer request and an EDGAR Access for New Serial Companies request. For each type of submission, examples of both an acceptance message and a rejection message are provided. These messages will be sent to the e-mail address specified by the requestor or to the filer’s e-mail address on record. If they are associated with a valid CIK, they will also be posted to the EDGAR Filing and OnlineForms/XML websites (the rejection message for a Form ID application will never be posted to these websites as a CIK does not exist for the applicant). Note: None of the data contained in these messages is real; it merely represents the type of data that would typically be contained in the message. Do not attempt to use any of this data with the EDGAR system. December 2015 3-55 EDGAR Filer Manual (Volume I) 3.5.1 Form ID Application Messages Figure 3-45: EDGAR Form ID Application Notification, Accepted EDGAR Filer Manual (Volume I) 3-56 December 2015 Figure 3-46: EDGAR Form ID Application Notification, Rejected December 2015 3-57 EDGAR Filer Manual (Volume I) 3.5.2 Convert Paper Only Filer to Electronic Filer Request Figure 3-47: EDGAR Convert to Electronic Filer Notification, Accepted EDGAR Filer Manual (Volume I) 3-58 December 2015 Figure 3-48: EDGAR Convert to Electronic Filer Notification, Rejected December 2015 3-59 EDGAR Filer Manual (Volume I) 3.5.3 EDGAR Access for New Serial Companies Request Figure 3-49: EDGAR New Serial Access Notification, Accepted EDGAR Filer Manual (Volume I) 3-60 December 2015 Figure 3-50: EDGAR New Serial Access Notification, Rejected December 2015 3-61 EDGAR Filer Manual (Volume I) Blank Page 4. GENERATING EDGAR ACCESS CODES There are two methods for generating access codes on the EDGAR system. The first is to generate all of the codes when the EDGAR system has accepted your application for access. Generally, there are three situations when this process is used: • For a new electronic filer. • For an electronic filer who has forgotten their EDGAR access codes. • For an electronic filer who wants to change EDGAR access codes for security purposes. • For an electronic filer whose password has expired. Section 4.1, “Generating All EDGAR Access Codes,” explains generating a complete set of access codes. If your Form ID application for EDGAR access has not been accepted by the SEC, please refer to Section 3.2, “New SEC Filer: Applying for EDGAR Access.” If you are an existing filer and would like to change individual codes, either your CCC or Password, Section 4.1.3, “Changing your CCC or Password,” explains this process. Finally, some filers who have not logged onto the EDGAR system since the origination of passphrases may be asked to create a passphrase for the first time. Please see Section 4.1.4, “Creating a Passphrase for the First Time,” for details. The second method of generating access codes is to generate them individually. In Section 4.1.1, “Requesting an EDGAR Passphrase,” the process for requesting an EDGAR passphrase is described. 4.1 Generating All EDGAR Access Codes This section describes how to generate a complete set of EDGAR access codes (PMAC, password, and CCC). To perform this function, the filer must have a current, valid CIK and passphrase. You cannot obtain individual access codes using the EFMW, only a complete set. However, the EDGAR Filing and OnlineForms/XML websites allow you to generate just a new password (if you know the filer’s PMAC) or just a new CCC (if you know the filer’s password). Please see later subsections for these details. As long as a filer’s EDGAR access codes are appropriately protected and kept current, this capability is not often needed. (The password expires yearly; the PMAC and CCC do not expire.) Before beginning, ensure that you know the Central Index Key (CIK) of the filer. (It will be specified in the notification message that was sent when the filer’s electronic Form ID application was accepted). If you do not know the CIK, you can look up the filer name in the EDGAR Company Database at URL: http://www.edgarcompany.sec.gov If you enter the Company Name and click the [Company Search] button to query the database, the CIK is one of the items returned. You must also know the filer’s passphrase. (The passphrase was specified in connection with the electronic Form ID application, on an Update Passphrase request, on a Convert Paper Only Filer to Electronic Filer request, or on an EDGAR Access for New Serial Companies request). December 2015 4-1 EDGAR Filer Manual (Volume I) The first step in generating a set of EDGAR access codes is to open the EDGAR Generate Access Codes data entry form. This is accomplished as follows: 1. Connect to the EFMW Welcome page. (Refer to Section 3.1.2, “Accessing the EDGAR Filer Management Website.”) 2. Click ‘Generate Access Codes (New/Replacement)’ in the menu bar. 3. A new browser window opens and the Generate Access Codes (New/Replacement) page appears (Figure 4–1: EDGAR Generate Access Codes (New/Replacement) Page). 4. Refer to Section 3.2.2.1, “Data Entry Conventions,” for the standards used on all of the EFMW pages. Figure 4-1: EDGAR Generate Access Codes (New/Replacement) Page 5. Enter the required data (CIK and Passphrase). 6. Click the [Generate Access Codes] button near the bottom of the page. EDGAR Filer Manual (Volume I) 4-2 December 2015 A dialog box appears (Figure 4–2: EDGAR Generate Access Codes, “Continue” Dialog) asking you to confirm that you want to submit the request. If you do not want to submit the request, click the [Cancel] button and the dialog box will disappear; otherwise, click the [OK] button. Figure 4-2: EDGAR Generate Access Codes, “Continue” Dialog If you clicked the [OK] button, the EFMW Generate Access Codes Acknowledgment page appears (Figure 4–3: EDGAR Generate Access Codes Acknowledgment Page). This page provides the filer’s CIK and a set of new EDGAR access codes that are associated with that CIK. You should remember these codes, after you close this page there is no way to recover them – if you forget them, you will need to generate a new set. Figure 4-3: EDGAR Generate Access Codes Acknowledgment Page Note: The CIK and EDGAR access codes specified in Figure 4–3 are examples only; do not attempt to use these codes with EDGAR! 7. Click the [Exit Window] button to close the browser window and finish the process. No confirming dialog box is displayed—the browser window is just closed. December 2015 4-3 EDGAR Filer Manual (Volume I) 4.1.1 Requesting an EDGAR Passphrase This section describes how to request a new EDGAR passphrase for: • A filer who has forgotten their passphrase. • A filer who wants to change a passphrase for security purposes. This capability is not needed as long as a filer’s passphrase and EDGAR access codes are appropriately protected and kept current (the password expires yearly; the passphrase, PMAC and CCC do not expire). 4.1.1.1 Composing the New Passphrase Request To compose a new passphrase request, bring up the EDGAR passphrase request data entry form. This is accomplished as follows: 1. Connect to the EFMW Welcome page. (Refer to Section 3.1.2, “Accessing the EDGAR Filer Management Website.”) 2. Click ‘Update Passphrase’ in the menu bar. 3. A new browser window opens and the data entry page for the Update Passphrase page appears (Figure 4–4: EDGAR Update Passphrase Page). Refer to Section 3.2.2.1, “Data Entry Conventions,” for the standards used on all of the EFMW pages, including this one. EDGAR Filer Manual (Volume I) 4-4 December 2015 Figure 4-4: EDGAR Update Passphrase Page 4. Enter the required data (CIK and passphrase) and a reason for making the request (optional). Refer to Section 3.2.4, “Defining a Passphrase,” for a more detailed description of the passphrase. For security reasons, the passphrase must be at least eight characters in length and contain at least one digit and one of the following characters: {@, #, *, $}. The Reason for Request data entry field is optional and allows you to enter free-form text explaining why the filer needs a new passphrase. This allows you to provide information that may help the SEC process your request. December 2015 4-5 EDGAR Filer Manual (Volume I) 5. Click the [Continue] button near the bottom of the page after entering the data. The Update Passphrase Confirmation page appears (Figure 4-5: EDGAR Update Passphrase Confirmation Page). This page serves as the authentication document for the process. Figure 4-5: EDGAR Update Passphrase Confirmation Page 6. Click the [Print Window] button near the bottom of the page to print the authentication document. The printed document must be signed and notarized. EDGAR Filer Manual (Volume I) 4-6 December 2015 7. Scan the authentication document and save it in PDF format. Then, click the [Upload/ Delete Attachments] button on the Update Passphrase Confirmation page. Note: The acceptance process cannot be completed until you submit the authentication document to the SEC; refer to Section 4.1.1.2, “Authentication Documentation,” for more information. The EDGAR Upload/Delete Attachment page opens (Figure 4-6: EDGAR Upload/ Delete Attachment Page). This page is used to manage the attachment associated with your EDGAR access request. Figure 4-6: EDGAR Upload/Delete Attachment Page 8. To add an attachment, click the [Upload Attachment] button. The EDGAR Upload Attachment page opens (Figure 4-7: EDGAR Upload Attachment Page). December 2015 4-7 EDGAR Filer Manual (Volume I) Figure 4-7: EDGAR Upload Attachment Page 9. Click the [Browse] button to select the attachment. Only one document can be uploaded and the document must have the .pdf file extension. Note: The Type field defaults to CORRESP and it is non-editable. Refer to Section 3.2.3.2, “Assembling the Form ID Submission,” for EDGAR standards on document attachments. 10. Enter a description for the attachment and click the [Upload] button. The EDGAR Upload/Delete Attachment page opens and the new attachment is displayed in the Attached Document List table. To cancel an attachment, click the [Cancel] button; to close the browser window, click the [Exit Window] button. 11. Continue to add or delete the attachment as needed, and then click the [OK] button. The Update Passphrase Confirmation page appears. 12. Click the [Submit] button to submit the Update Passphrase request. A dialog box displays asking for confirmation appears (Figure 4-8: EDGAR Update Passphrase, “Continue” Dialog). To submit the request to EDGAR for processing, click the [OK] button; to cancel the request, click the [Cancel] button. EDGAR Filer Manual (Volume I) 4-8 December 2015 Figure 4-8: EDGAR Update Passphrase, “Continue” Dialog Note: After you click the [OK] button, the EDGAR Update Passphrase request is submitted to the automated submission processing portion of the EDGAR system. This is the start of the acceptance process; your subsequent actions in this browser window will not affect this process. The EFMW EDGAR Update Passphrase Acknowledgment page appears (Figure 4-9: EDGAR Update Passphrase Acknowledgment Page). This page provides the Accession Number for the submission; use this number when referring to this submission. Figure 4-9: EDGAR Update Passphrase Acknowledgment Page 13. Click the [Exit Window] button to complete the process and close the browser window. 4.1.1.2 Authentication Documentation The Update Passphrase request must be supplemented with an additional authentication document to ensure that the request is authentic. The authentication document must be signed and notarized, and include the following information: • CIK • Name associated with that CIK • Name of the contact person for purposes of this request • Contact person • Contact telephone number December 2015 4-9 EDGAR Filer Manual (Volume I) • Manual signature of authorized person • Printed name of authorized person • Title of authorized person 4.1.1.3 E-mail Acceptance or Rejection Notification After the SEC receives both the electronic EDGAR Update Passphrase request and the attached authentication documentation, the SEC will authenticate the request. A notification message stating the SEC’s disposition of the request will be sent to the e-mail address provided in the request. The disposition will be either “accepted” or “rejected.” If the request is accepted, the e-mail message will include but will not be limited to the following information: • Text stating that the request was accepted by the SEC • Text stating that the specified passphrase was activated • Basic directions for how to generate EDGAR access codes • The URL of the EDGAR Filer Management Website If the request is rejected, the e-mail message will include but will not be limited to the following information: • Text saying that the request was rejected by the SEC • The reason that the request was rejected • Basic instructions on how to resolve the issue These messages will be sent to filer’s e-mail address of record. If they are associated with a valid CIK, they will also be posted to the EDGAR Filing and OnlineForms/XML websites. Note: None of the data contained in these messages is real; it merely represents the type of data that would typically be contained in the message. Do not attempt to use any of this data with the EDGAR system. EDGAR Filer Manual (Volume I) 4-10 December 2015 4.1.2 Update Passphrase Request Figure 4-10: EDGAR Update Passphrase Notification, Accepted December 2015 4-11 EDGAR Filer Manual (Volume I) Figure 4-11: EDGAR Update Passphrase Notification, Rejected EDGAR Filer Manual (Volume I) 4-12 December 2015 4.1.3 Changing your CCC or Password Usually, changing all of your access codes will not be required. A more routine procedure would be to change either your password or CCC. Your password allows you access to the EDGAR systems, including all websites. You should not share this password with anyone outside your company. It is appropriate to change your password under the following circumstances: • Key staff who held the password are no longer employed by your company • You are concerned that your password has been given to outsiders • Your company policies require the routine update of the password at intervals other than required by EDGAR. The CCC allows you the flexibility to permit others to file on your behalf, usually filing agents. It is prudent to change this code after another party submits each filing. This is especially important if you use more than one filing agent. If you do not follow this policy or do not use more than one agent, then at the very least, the code needs to be refreshed if you change filing agents. The integrity of this code is your responsibility; please do not give this code to anyone who does not need to use it on your behalf. Once on the main EDGAR Welcome page, if you need to change your access codes, click ‘Retrieve/Edit Data’. The Change Company Password or CCC option has a page for you to select either of two options as shown in Figure 4-12: Change Company Password or CCC Page: • Change Password • Change CCC (CIK Confirmation Code) Click the ‘Change Company Password or CCC’ option on the Retrieve/Edit Data page, and this page will appear. Figure 4-12: Change Company Password or CCC Page December 2015 4-13 EDGAR Filer Manual (Volume I) Your EDGAR password is good for only twelve (12) months. Be sure you change your password on the EDGAR Filing Website before it expires. 4.1.3.1 Changing Your Password 1. Click the ‘Change Password’ link on the Change Company Password or CCC page. Figure 4-13: Change Compa [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/agency%3Asec%3Acaa15121bd4bd7ce. Public record. Not legal advice.