Filer Manual – Volume I
Agency decision
Ask Donna
What actually matters in this document.
Text
Filer Manual – Volume I
General Information
VERSION 35
January 2020
Notice
Use this EDGAR® Filer Manual when making electronic filings with the SEC. See Rule 301 of
Regulation S-T.
The EDGAR Filer Manual consists of two volumes. EDGAR Filer Manual (Volume I) General
Information 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.
For up-to-date information regarding filing-related topics, consult the following EDGAR
websites:
Information for EDGAR Filers (https://www.sec.gov/info/edgar.shtml)
EDGAR Gateway to submit filings (https://www.portal.edgarfiling.sec.gov)
EDGAR Company Database (https://www.edgarcompany.sec.gov)
EDGAR® and EDGARLink® are registered trademarks of the 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, please do not include social security numbers in
filings submitted to the Commission.
January 2020
EDGAR Filer Manual (Volume I)
Updates
On January 27, 2020, the following changes will be made to the EDGAR Filer Manual as part of
EDGAR Release 20.1:
Submission form types ATS-N, ATS-N/MA, ATS-N/UA, ATS-N/CA, and ATS-N/OFA
will be updated to display a text box when “No” is selected as a response to Item 16b.
See Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer
Manual, Volume II: EDGAR Filing.”
For more information, see the “EDGAR Form ATS-N XML Technical Specification”
document available at sec.gov (https://www.sec.gov/info/edgar/tech-specs).
Inline XBRL tag validation will be modified for certain submission form types as
described in Chapter 6 (Interactive Data) Sections 6.5.20, 6.5.21, and 6.5.40 of the
“EDGAR Filer Manual, Volume II: EDGAR Filing.”
Submission form types S-1, S-1/A, S-3, S-3/A, S-4, S-4/A, S-11, and S-11/A will be
updated to include the “Accelerated Filer Status” field.
For more information, see the “EDGARLink Online XML Technical Specification”
document available at sec.gov (https://www.sec.gov/info/edgar/tech-specs).
All SEC.gov websites, including EDGAR, will be upgraded to require Transport Layer
Security 1.2. After the upgrade, all SEC.gov domains will no longer accept connections
from systems and browsers using older security standards. Current versions of all major
browsers are TLS 1.2 compliant. Filers and other EDGAR users should consider
upgrading their browsers and systems to ensure continued ability to use EDGAR and to
connect to SEC.gov websites.
Currently, the final US GAAP 2020, SEC Reporting 2020, and SEC 2020 taxonomies are
expected to be added to the list of acceptable taxonomies in March 2020. When the taxonomies
are added, it will be announced in a subsequent release announcement.
Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete list of
supported standard taxonomies.
January 2020
EDGAR Filer Manual (Volume I)
Table of Contents
1. INTRODUCTION TO VOLUME I ............................................................ 1-1
1.1
Organization of this Manual ......................................................................................... 1-1
1.2
Conventions Used in this Manual ................................................................................. 1-1
2. GENERAL INFORMATION FOR FILERS ............................................. 2-1
2.1
How to Obtain the EDGAR Filer Manual ................................................................... 2-1
2.2
Hours of Operation ........................................................................................................ 2-1
2.3
Introduction to Web Browsers ..................................................................................... 2-1
2.3.1
Browser Differences ............................................................................................................................... 2-1
2.4
Accessing EDGAR ......................................................................................................... 2-2
2.5
EDGAR Hardware and Software Requirements ........................................................ 2-3
2.6
Getting Help with EDGAR ........................................................................................... 2-4
3. BECOMING AN EDGAR FILER .............................................................. 3-1
3.1
3.1.1
3.1.2
3.1.3
3.2
3.2.1
3.2.2
3.2.3
3.2.4
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 ......................................................................... 3-28
Application Acceptance and Applicant Notification ............................................................................ 3-35
Current SEC Filer: Applying for EDGAR Access.................................................... 3-36
Current Paper Only Filer ...................................................................................................................... 3-36
New Serial Company ............................................................................................................................ 3-45
3.4
Creating an Asset Backed Securities Issuing Entity ................................................. 3-51
3.5
Examples of Notification Messages ............................................................................ 3-57
3.5.1
3.5.2
3.5.3
Form ID Application Messages ............................................................................................................ 3-58
Convert Paper Only Filer to Electronic Filer Request .......................................................................... 3-60
EDGAR Access for New Serial Companies Request ........................................................................... 3-62
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 .................................................................................................................. 4-18
Changing your CCC or Password ......................................................................................................... 4-20
Creating a Passphrase for the First Time .............................................................................................. 4-22
5. MAINTENANCE OF COMPANY DATA ................................................. 5-1
January 2020
i
EDGAR Filer Manual (Volume I)
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
Logging in with a Different CIK................................................................................. 5-21
5.6
Filing Fees ..................................................................................................................... 5-22
5.6.1
5.6.2
5.6.3
View Account Balance and Amount of Last Deposit ........................................................................... 5-22
View Account Activity Statement ........................................................................................................ 5-22
Request Return of Unused Funds ......................................................................................................... 5-25
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
January 2020
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 (https://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 Rules, Regulations, and Schedules page on the SEC’s
website (https://www.sec.gov/divisions/corpfin/ecfrlinks.shtml) 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
(https://www.sec.gov/info/edgar/edmanuals.htm).
January 2020
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
January 2020
1-1
EDGAR Filer Manual (Volume I)
Menus, menu options, radio buttons, and statuses appear in title case and have double
quotation marks around them:
“Test Filing” radio button
From the “Edit” menu, select “Copy”
“Busy” status
Directories and file names appear in bold text:
The C:\temp directory
r10q-630.txt (the file saved in ASCII)
Keystroke combinations appear between less-than and greater-than brackets and in upper
case:
<ALT-TAB>
<CTRL-C>
Internet Hyperlinks appear underlined and italicized:
https://www.filermanagement.edgarfiling.sec.gov
EDGAR Filer Manual (Volume I)
1-2
January 2020
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
(https://www.sec.gov/info/edgar/edmanuals.htm). The Filer Manual is also available on the
EDGAR Filing Website (https://www.edgarfiling.sec.gov) under “General Help”.
2.2
Hours of Operation
EDGAR accepts new filer applications, new filings, and changes to filer data each business day,
Monday through Friday, from 6:00 A.M. to 10:00 P.M., Eastern Time. Transmissions started but
not completed by 10:00 p.m. Eastern Time may be canceled, and you may have to re-submit on
the next business day.
2.3
Introduction to Web Browsers
The EDGAR system uses web-based technology to make submitting filings easier and faster.
Web browsers read code called Hypertext Mark-up Language (HTML). Many people have
become familiar with HTML since they have used the Internet. We use a browser as an integral
part of EDGAR, providing our interface to the EDGAR Filing Website.
2.3.1
Browser Differences
Internet Explorer (IE) and Google Chrome browsers (current versions) comply with Transport
Layer Security (TLS) 1.2, and may be used to reach the EDGAR websites. Which browser you
use is a personal preference. This section covers some functions that are innate to browsers and
how your browser should be set up. You should be aware that there might be subtle differences if
you are using IE or Google Chrome.
January 2020
2-1
EDGAR Filer Manual (Volume I)
Google Chrome Menu Bar
Internet Explorer Menu Bar
Figure 2-1: Browser Menu Bars
Browsers have very similar navigation functions: [Back], [Forward], [Stop], and [Reload]
buttons, Current Address Location fields, as well as buttons for performing other functions such
as printing and saving. The biggest differences between the browsers are visual elements, such as
buttons, menu options, and the location of preference settings. In addition, browsers behave
differently in how they save or download files.
To change default Google Chrome download/save settings, select “Settings” from the icon at the
top right corner of the browser with the “Customize and control Google Chrome” help message;
this will cause the “Settings” tab to open in the same browser window. In the “Settings” tab,
click [Show advanced settings]. Under “Downloads,” select the “Ask where to save each file
before downloading” check box. Choosing this setting prompts you for a location each time you
save or download a file. For detailed information on your browser, see your browser’s user
manual or help function.
The browser window works similarly to all windows, in that it can be maximized, minimized,
and sized. The default menu bar contains buttons that help you navigate the Internet; however,
these buttons do not necessarily help you navigate EDGAR. For the purposes of logging into
EDGAR, downloading files, submitting filings and company queries, or updating company
information, these buttons do not apply. Some of the functions you can use are Bookmark, to
mark the EDGAR Login page for easy accessibility; Back, to correct, add, or remove criteria
from a query; and Security, to turn on or off your security functions.
IE and Google Chrome are the supported browsers for the EDGAR Filing Website, EDGAR
Filer Management, and EDGAR Online Forms Management websites.
When you log in to an EDGAR website, please read the Welcome Page. It contains updated
information about EDGAR, including filing requirements, system changes, new versions of
software tools, and other related information. We recommend that you do not use multiple
browser windows or tabs when working on EDGAR. Otherwise, information from one window
may impact information on other window(s) causing EDGAR applications to potentially function
incorrectly. If you want to use multiple windows when working on EDGAR, you must select
“New Session” (for IE) from the “File” menu. This creates a new browser session that will not
share information with the existing session.
2.4
Accessing EDGAR
To access EDGAR, a filer must have EDGAR access codes. If you are a new filer or an existing
filer who wants to file in another capacity (e.g., become a filing agent or training agent), you
must use Form ID to apply for EDGAR access codes. You do this by completing and submitting
an electronic Form ID along with a notarized authentication document. If you do not attach the
EDGAR Filer Manual (Volume I)
2-2
January 2020
required notarized authentication document as a PDF, we cannot process your application.
Details of this process are covered in other sections of this manual. Once you have obtained your
access codes, you will be ready to log in to EDGAR, transmit submissions, run company queries,
update your company information, or change your password/CCC (CIK Confirmation Code).
2.5
EDGAR Hardware and Software Requirements
The following list states the recommended system requirements:
PC with the following:
o 500+ MHz processor
o All Microsoft supported Windows desktop operating systems up to Windows 7
o 128 MB of RAM recommended; less may cause program or system performance
problems
o Local Hard Drive with sufficient capacity for submission preparation and transfer
(this capacity depends upon the size of the total documents needed for the
submission)
For those using EDGARLink Online for the creation of more document intensive
submissions, the following PC recommendation applies:
o 1.28 GB MHz processor or higher
o 1 GB or more of RAM; less may cause program or system performance problems
Monitor (color recommended, but not required)
Printer (recommended, but not required)
Internet browsers:
o EDGAR Filing Website: Vendor supported versions of Internet Explorer and Google
Chrome are the recommended browsers.
o Other EDGAR websites: A recent version of Internet Explorer supported by the
vendor is the recommended browser. (Java should be enabled in Internet Explorer.)
These EDGAR websites also work well with Google Chrome.
Word processing or spreadsheet applications having the option to save documents as
standard ASCII or HTML text
Internet access
If you have questions about your PC configuration, check with the manufacturer.
January 2020
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 staff at (202) 551-8900. The staff responds to general EDGAR
questions like how to become a filer, the Form ID process, how to get to the websites, how to
update filer information, filing of forms, and header tags. Filer Support is available each business
day from 9:00 A.M. to 5:30 P.M. Eastern Time. Filer Support voicemail will be available during
off hours.
For general fee information, contact our Fee Account Services Branch in the Office of Financial
Management at (202) 551-8900.
For Substantive questions, contact your Division or Office
For filing content, rule interpretations, filing date adjustments, and hardship exemption requests,
contact the division or office that reviews the filing, the Division of Corporation Finance or
Investment Management, during normal business hours 9:00 A.M. to 5:30 P.M., Eastern Time.
Division of Corporation Finance:
For help with filings reviewed by the Division of Corporation Finance, contact the
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.
For help with Form ATS-N filings, contact the Office of Market Supervision, in the
Division of Trading and Markets, inquiry line: (202) 551-5777.
Division of Investment Management:
For help with filings reviewed by the Division of Investment Management, see below.
For Form 13F, call the IM Chief Counsel inquiry line: (202) 551-6825.
For N-CEN or Form 24F-2, call the N-CEN/24F-2 inquiry line: (202) 551-6703.
For investment company filings (except Forms 13F, N-CEN and 24F-2), call the IM
EDGAR inquiry line: (202) 551-6989.
For questions concerning post-acceptance corrections and withdrawals, first please read
our notice, “IM EDGAR Post-Acceptance Corrections” under “Investment Management”
on the Guidance for Filers web page (https://www.sec.gov/info/edgar/guidance).
For questions concerning series and classes (contracts), first read our notice, “Series and
Class (Contract) Notice and FAQ’s” under “Investment Management” on the Guidance
for Filers web page (https://www.sec.gov/info/edgar/guidance).
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
January 2020
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.
January 2020
2-5
EDGAR Filer Manual (Volume I)
Blank Page
3.
BECOMING AN EDGAR FILER
3.1
Getting Ready
To automate the process of submitting a Form ID application, the SEC has developed the
EDGAR Filer Management Website (EFMW). At this website a potential filer can file the Form
ID application, generate access codes (new/replacement), update a passphrase (required security
code), convert from a paper only filer to an electronic filer, and obtain access codes for serial
companies. You can access this website directly through its Uniform Resource Locator (URL):
https://www.filermanagement.edgarfiling.sec.gov or through our EDGAR Gateway. The
EDGAR Gateway allows you to navigate between the multiple EDGAR websites more easily. It
is located at: https://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
when following the manual process.
January 2020
3-1
EDGAR Filer Manual (Volume I)
Section 19(a) of the Securities Act of 1933 (15 U.S.C. 77s(a)), sections 13(a) and 23(a) of the
Securities Exchange Act of 1934 (15 U.S.C. 78m(a) and 78w(a)), section 319 of the Trust
Indenture Act of 1939 (15 U.S.C. 77sss), and sections 30 and 38 of the Investment Company Act
of 1940 (15 U.S.C. 80a-29 and 80a-37) authorize solicitation of this information. We will use
this information to assign system identification to filers, filing agents, and training agents. This
will allow the Commission to identify persons sending electronic submissions and grant secure
access to the EDGAR system.
Intentional misstatements or omissions of facts constitute federal criminal violations. See 18
U.S.C. 1001.
You may contact Filer Support at (202) 551-8900 if you require additional information.
Form ID must be filed by all applicant types listed on the interface, or their agents to whom the
Commission previously has not assigned a Central Index Key (CIK) code to request access codes
to permit filing on EDGAR.
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.
Releasing the CCC To Filing Agents and Financial Printers:
EDGAR Filer Manual (Volume I)
3-2
January 2020
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 twelve 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 for the manual Update Passphrase process, 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.)
January 2020
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, 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.
https://www.portal.edgarfiling.sec.gov
The EDGAR Gateway page appears (see Figure 3-1: EDGAR Gateway Page).
This page functions as a gateway to all EDGAR websites. Additionally, this page
provides links to download the Filer Manual, read up on the latest SEC regulatory
EDGAR Filer Manual (Volume I)
3-4
January 2020
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:
4. Connect to the Internet.
5. 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.
6. 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.
January 2020
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
January 2020
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 Online Forms 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 ‘Apply 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
January 2020
3-7
EDGAR Filer Manual (Volume I)
A current filer who needs to file in a new capacity1
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
passphrase3, you are presented with EDGAR access codes (for an existing CIK) that are needed
to perform common “filing” activities. (These EDGAR access codes are the Password
Modification Authorization Code [PMAC], the password, and the CIK Confirmation Code
[CCC]). For more details, please refer to Section 4.1, “Generating All EDGAR Access Codes.”
By clicking ‘Update Passphrase,’ you can create a request for a new passphrase and submit it to
the SEC for review and acceptance. This capability allows an existing EDGAR filer who has
forgotten or wants to change his or her passphrase to get a new passphrase. With a new
passphrase, the filer can regenerate the PMAC, password, and CCC. For more details, please
refer to Section 4.1.1, “Requesting an EDGAR Passphrase.”
By clicking ‘Convert Paper Only Filer to Electronic Filer,’ you can create a request for EDGAR
access and submit it to the SEC for review and acceptance. This capability allows the filer to file
electronically with the SEC in the future. For more details, please refer to Section 3.3.1, “Current
Paper Only Filer.”
By clicking ‘EDGAR Access for New Serial Companies,’ you can create a request for EDGAR
access for a new serial company and submit it to the SEC for review and acceptance. This
capability allows a serial company that was previously created via the submittal of a form 424B
or 424H filing to specify a passphrase for access to EDGAR (after the request has been accepted
by the SEC, the serial company can use the passphrase to get the access codes [PMAC,
password, and CCC] that are needed to file with EDGAR). For more details, please refer to
Section 4.1.1, “Requesting an EDGAR Passphrase.”
3.1.3.2
Support
In the Support section, there are two links:
General Help
Frequently Asked Questions
3.1.3.2.1
General Help
If you need help while using the EFMW on the Internet, click ‘General Help’ from the menu to
bring up the General Help page (Figure 3-5: EFMW General Help Page) that displays a list of
help topics. When you click on a topic, you are shown information or additional links to specify
the type of assistance you need.
“Capacity” in this context is one of the following: filer, filing agent or training agent. It refers to the applicant, not
the person filling out the form.
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.
1
EDGAR Filer Manual (Volume I)
3-8
January 2020
Figure 3-5: EFMW General Help Page
3.1.3.3
Frequently Asked Questions
Click ‘Frequently Asked Questions’ (FAQ) to open the Form ID Frequently Asked Questions
page. The FAQ page answers the questions about Form ID that have been asked most often. You
may find the answers helpful while completing a Form ID application.
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 by completing the
electronic Form ID application and printing the Form ID Application by clicking [Print]. This
document must then be signed and notarized. 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.
Filers who are updating their passphrase must attach their notarized authentication document to
their Update Passphrase (manual) request.
January 2020
3-9
EDGAR Filer Manual (Volume I)
(Refer to 3.2.2.2.4 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 save and restore a partial or complete Form ID application to work on at a
later point in time
Allow you to print the Form ID application by clicking [Print] and then clicking ‘Current
Form’ 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.
You can save your work in progress and exit the Form ID at any time. You can then
restore a saved version on your computer to resume your work at a later point in time.
Only one applicant per Form ID is allowed. The Save functionality offers a way to restore
and submit multiple Form ID applications that are for applicants with similar information
but different names.
EDGAR Filer Manual (Volume I)
3-10
January 2020
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.
Determine if the filer is requesting access codes to submit draft registration or draft
offering statement.
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 identified4.
The first step for composing a Form ID application is to bring up the Form ID data entry form.
This is accomplished as follows:
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. The Apply for EDGAR Access page appears, allowing you to either begin a new
Form ID application or restore a previously saved version (see Figure 3-6: Apply for
EDGAR Access Page).
4. If you are filing a new Form ID application, click the “Application for EDGAR
Access” radio button.
5. If you want to continue working on a previously saved Form ID application, click the
“Continue with Saved Application for EDGAR Access” radio button.
Note: If you select this radio button, you will be prompted to upload a previously
saved file of a Form ID application. The maximum size of a Form ID file, including
all attachments, must not exceed 200 MB.
6. Once you select the appropriate option on the Apply for EDGAR Access page, click
[Next].
The Form ID: General Instructions page (see Figure 3-7: Form ID: General
Instructions) appears. This section provides general information to the applicant.
Upon reading the instructions, click the [Next] button.
7. 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.
January 2020
3-11
EDGAR Filer Manual (Volume I)
Figure 3-6: Apply for EDGAR Access Page
Figure 3-7: Form ID: General Instructions
EDGAR Filer Manual (Volume I)
3-12
January 2020
The Form ID application has seven distinct sections:
General Instructions
General instructions for applicants with regards to the Form ID application.
Application for EDGAR Access
Basic information about the applicant type and classification of the applicant, as a
company or individual that wishes to file with the SEC.
Note: ‘Filing Agent’ applicant type must be used ONLY by a financial printer, law firm, or
other person, which will be using these access codes to send a filing or portion of a filing
on behalf of a filer.
Filer Information
Additional information about the applicant when the applicant is a company.
Contact Information
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.
Documents
The signed and notarized Form ID application, along with any additional documentation
such as cover letters, exhibits, or correspondence, is uploaded.
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.
Add Passphrase
The passphrase is an EDGAR security code that is used to generate (or regenerate) the
EDGAR access codes necessary for making filings via EDGAR with the SEC. The
passphrase is not used to log on to the EDGAR Filing or Online Forms websites.
January 2020
3-13
EDGAR Filer Manual (Volume I)
Note that the information to be entered is not the same for all applicants and that the data entry
sections are 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 Sections.
Table 3–1: EDGAR Form ID Data Entry Sections
Application
for EDGAR
Access
Filer
Information
Contact
Information
Account
Information
Signature
Information
Clearing Agency
(Company)*
N/A
N/A
N/A
N/A
N/A
Clearing Agency
(Individual)*
N/A
N/A
N/A
N/A
N/A
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
Municipal Securities Dealer
N/A
(Company)*
N/A
N/A
N/A
N/A
Municipal Securities Dealer
N/A
(Individual)*
N/A
N/A
N/A
N/A
Applicant Type
EDGAR Filer Manual (Volume I)
3-14
January 2020
Application
for EDGAR
Access
Filer
Information
Contact
Information
Account
Information
Signature
Information
Nationally Recognized
Statistical Rating
Organization (Company)
Yes
Yes
Yes
Yes
Yes
Nationally Recognized
Statistical Rating
Organization (Individual)
Yes
No
Yes
Yes
Yes
Non-Investment Company
Applicant under the
Yes
Investment Company Act of
1940 (Company)
Yes
Yes
Yes
Yes
Non-Investment Company
Applicant under the
Yes
Investment Company Act of
1940 (Individual)
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
January 2020
3-15
EDGAR Filer Manual (Volume I)
*Note: “Clearing Agency” and “Municipal Securities Dealer” should not be selected as
Applicant Types. If either value is selected, then a pop-up window will display and change the
Applicant Type selection to “Filer” once the pop-up window is closed.
3.2.2.1 Data Entry Conventions
The following are some basic EFMW data entry conventions:
In the web browser, 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.
Field level help is available by hovering the cursor over the label.
The [Exit] button will close the current data entry session and return to the Apply for EDGAR
Access page. Any data entered or attachments uploaded will be discarded if you leave the data
entry session for Form ID without saving.
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
Application for EDGAR Access
The Application for EDGAR Access section of the Form ID application is the section that is
displayed on the Application for EDGAR Access page, directly after the General Instructions
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
lost5. When the page is first displayed, the filer attributes are set to {“Filer” and “Company”}. If
applicable, select the checkbox to indicate that you are requesting access codes to submit a draft
registration statement or draft offering statement. 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
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), the information in the Name
fields is lost.
EDGAR Filer Manual (Volume I)
3-16
January 2020
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.
Figure 3-8: EDGAR Form ID Page, Application for EDGAR Access (Individual)
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 Phone Number is required and must be entered for all applicants.
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 Online Forms 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).
January 2020
3-17
EDGAR Filer Manual (Volume I)
Note: The “applicant” is the company or individual who is required to file with the SEC, not
necessarily the person who is filling in the form (although it could be). The term “requestor”
is used to refer to the person who is filling in the form.
Figure 3-9: EDGAR Form ID Page, Application for EDGAR Access (Company)
3.2.2.2.2
Filer Information
The Filer Information section of the Form ID application is the data entry section that is
displayed on the Filer Information page. This information can be supplied only for applicants
that are companies.
EDGAR Filer Manual (Volume I)
3-18
January 2020
If an investment company filer is organized as a series company, the investment company may
enter the tax or federal identification number of any one of its constituent series.
The “Doing Business As” Name is optional. If the filer is a foreign filer, an optional Foreign
Name data entry field is also available. A “foreign issuer” is an entity so defined by Securities
Act of 1933 (15 U.S.C. 77a et seq.) Rule 405 (17 CFR 230.405) and the Securities Exchange Act
of 1934 (15 U.S.C. 78a et seq.) Rule 3b-4(b) (17 CFR 240.3b-4(b)).
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 use the Mailing Address information as the
Business Address. When this box is checked, the Business Address data entry fields are disabled
(grayed out in the web browser). If the filer’s fiscal year does not end on the same date each year
(e.g., falls on the last Saturday in December), the filer must enter the date the current fiscal year
will end.
Figure 3-10: EDGAR Form ID Page, Filer Information
January 2020
3-19
EDGAR Filer Manual (Volume I)
3.2.2.2.3
Contact Information
The Contact Information section of the Form ID application consists of two parts, and both
appear on the Contact Information page:
Contact for EDGAR Information, Inquiries, and Access Codes
Contact for SEC Account Information and Billing Invoices
Note: If the Applicant Type is ‘Training Agent’, then the “Contact for SEC Account Information
and Billing Invoices” section will not appear on the Contact Information page.
3.2.2.2.3.1 Contact for EDGAR Information, Inquiries, and Access Codes
The Contact for EDGAR Information, Inquiries, and Access Codes section of the Form ID
application is displayed on the Contact Information page. This information must be supplied for
all applicants. In this section, please identify the individual who should receive the access codes
and other EDGAR-related information.
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 use the Mailing Address information as
the Contact Address. When this box is checked, the Contact Address data entry fields are
disabled (grayed out with the web browser).
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 Online Forms websites).
EDGAR Filer Manual (Volume I)
3-20
January 2020
Figure 3-11: 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 Online Forms websites to update this
information as required.
3.2.2.2.3.2 Contact for SEC Account Information
The Contact for SEC Account Information and Billing Invoices section of the Form ID
application is the data entry section that is displayed on the Contact Information page. We will
use the contact information to process electronically fee payments and billings. If the address
changes, update it via the EDGAR Filing Website, or your account statements may be returned
to us as undeliverable.
This information is to be supplied for all Filers and Filing Agents.
January 2020
3-21
EDGAR Filer Manual (Volume I)
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 use the Mailing Address information as
the Contact Address. When this box is checked, the Contact Address data entry fields are
disabled (grayed out in the web browser).
The Contact Phone is required and must be entered for all applicants.
Figure 3-12: EDGAR Form ID Page, Contact for SEC Account Information
3.2.2.2.4
Documents
All applicants must upload a notarized copy of their completed online Form ID application to the
completed online form. The notarized copy must be uploaded through the Documents section of
the Form ID application located on the Attach Documents List page.
To comply with the requirement, applicants must:
First, complete online all required fields in the online Form ID application. Please note:
You will not able to print a black or incomplete form.
Save the completed online Form ID application on the EDGAR website by clicking the
Save button.
Select Print and verify that all information in the print preview screen is accurate.
Print the completed online Form ID application.
Provide the person whom the applicant wishes to serve as its authorized party for
EDGAR filings (filer’s authorized signatory) with the printed copy of the completed
online Form ID application.
EDGAR Filer Manual (Volume I)
3-22
January 2020
o The filer’s authorized signatory must sign the printed copy of the completed
online Form ID application in the presence of a notary public, and the document
must be notarized. The notarized document must include the following
information:
Signature of authorized person
Printed name of authorized person signing
Title of authorized person signing
Notary public seal and signature
Scan the notarized copy of the online Form ID application, and save it locally as a PDF
file. Attach the PDF of the notarized copy of the Form ID application to the applicant’s
saved online Form ID application. Refer to Section 3.2.3.2 for further instructions on how
to continue with a previously saved Form ID application.
Note: The maximum size of a Form ID submission, including all attachments, must not exceed
200 MB.
Figure 3-13: EDGAR Form ID Page, Authentication Document
Adding or Deleting a Document
To add or delete a document, follow the steps given below:
1. Click the [Add Document] button on the Attach Documents List page. The Select File
window is displayed.
2. Select the file you want to attach and click the [Open] button. The name of the
attached file is displayed in the “File Name” field.
3. Select the type of attachment from the Type drop-down list. The options available are
COVER, CORRESP, and EX-24.
January 2020
3-23
EDGAR Filer Manual (Volume I)
4. Optionally, provide additional information to further describe the document type in
the “Description” field.
5. If you want to add multiple attachments, repeat steps 1 through 4.
6. To delete a document, select the box adjacent to the document, and click the
[Delete Document] button. A window prompts you to confirm that you want to delete
the document. If you click the [Yes] button, EDGAR then removes the document
from the submission.
Notes:
(1) The scanned, notarized Form ID authentication document must be attached as a
CORRESP document type.
(2) Optional attachments such as a cover letter or a Power of Attorney must be in ASCII
or HTML format.
(3) You may only attach a maximum of 10 COVER documents, 100 CORRESP, and 500
EX-24 documents (for a combined total of 610 documents).
(4) Document attachments must conform to the following standards:
The document file name must be in lower case and not more than 32 characters in
length, including the extension. 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, and must have an extension of .htm,
.txt, or .pdf.
The PDF document attachment must not contain active content (Actions,
embedded JavaScript, etc.), external references (Destinations, Hyperlinks, etc.),
and passwords or document security controls.
Note: Form ID authentication PDFs may be saved as image-only documents.
Refer to Chapter 5, Section 5.2.3, of Volume II of the Filer Manual for EDGAR
standards on PDF documents.
EDGAR Filer Manual (Volume I)
3-24
January 2020
Figure 3-14: EDGAR Form ID Page, Documents
Validating a Document
Applicants can validate one or more documents for errors by using the Doc Validation function.
1. Attach documents to the Form ID application as described above.
2. Select the check box adjacent to each document and click the [Validate Document]
button. If there are errors in the document, then the Errors field displays a value that
corresponds to the number of errors for each document. Proceed to step 3.
3. Click the value in the Errors field for the document that contains errors to view the
errors. A Document Validation window opens and lists the errors in the document.
4. Correct any document errors using the tool that created the document.
January 2020
3-25
EDGAR Filer Manual (Volume I)
Figure 3-15: Validating a Document
3.2.2.2.5
Signature
The Signature Information section of the Form ID application is the data entry section that is
displayed on the Signature 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.
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.
EDGAR Filer Manual (Volume I)
3-26
January 2020
Figure 3-16: EDGAR Form ID Page, Signature Information
3.2.2.2.6
Add 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 Online Forms 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 has been exited.
Note: If you save your Form ID application with the passphrase entered, and then restore the
submission, the passphrase will not be restored. You will need to re-enter your
passphrase in the restored Form ID application. Entering a passphrase must be the last
step before submitting a Form ID application to the SEC. This sequence of steps helps
ensure the security of the passphrase.
To specify your passphrase, enter it in the Add Passphrase page. For security reasons, your
passphrase must be eight characters in length and contain at least one digit and one of the
following characters: {@, #, *, $}.
January 2020
3-27
EDGAR Filer Manual (Volume I)
Figure 3-17: EDGAR Form ID Page, Add Passphrase
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)
3-28
January 2020
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. As you progress throughout the Form ID Application, EDGAR validates the information that
you provided. 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 3-18:
EDGAR Form ID, Errors). Follow the instructions on the screen to correct the errors, and
then your updated Form ID application will be revalidated; if errors still remain, your
updated Form ID application with any remaining errors is displayed.
For example, the following errors are marked in Figure 3-18:
Mailing State/Country is missing (required field)
Phone [Telephone Number] is not in the correct format
Figure 3-18: EDGAR Form ID, Errors
2. If there are no errors in the name of the Applicant, a dialog box appears (Figure 3-19:
EDGAR Form ID, Conformed Name Dialog). The conformance rules automatically apply
when Company and Individual Entity Names are entered and you navigated away from these
fields.
January 2020
3-29
EDGAR Filer Manual (Volume I)
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 3-19: EDGAR Form ID, Conformed Name Dialog
3. Click the [Print] button to display the authentication document.
4. Print, sign, and notarize the authentication document.
Figure 3-20: EDGAR Form ID Application Authentication Document (Top)
EDGAR Filer Manual (Volume I)
3-30
January 2020
Figure 3-21: EDGAR Form ID Application, Authentication Document (Bottom)
If you want to change any of the data displayed on the authentication document, go back to the
Form ID application and make the necessary change(s).
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. Refer to the instructions in Section 3.2.2.2.4,
“Documents”.
Note: Before you obtain the notarized authentication document, it is recommended that you save
your Form ID so that you do not lose any of your work.
To save your Form ID application:
1. Click [Save]. You will then be prompted with the following dialog box. Click
[Continue] to save the Form ID application. Click [Cancel] to return to the Form ID
application without saving.
January 2020
3-31
EDGAR Filer Manual (Volume I)
Figure 3-22: Save Dialog Box
2. Once you click [Continue], you will have the opportunity to save the application as a
file that you can restore at a later point.
To print your Form ID application:
1. Print the Form ID application using the “Print” function.
2. Sign and notarize the document.
3. Scan the notarized document as a PDF to be included with your submission.
To restore your Form ID application:
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. The Apply for EDGAR Access page appears.
4. Click the “Continue with Saved Application for EDGAR Access” radio button. You
will then have the option to browse for the appropriate file and upload it.
5. The restored file will then pre-populate with all of your previous information.
3.2.3.3 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, click the [Exit]
button at the top of the Form ID Application page to take you back to the Apply for EDGAR
Access Page. If you close the application without saving, 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] button at the top of the Form ID
application.
A dialog box appears (Figure 3-23: 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 [Transmit
LIVE Submission] button to submit the Form ID application to the SEC.
EDGAR Filer Manual (Volume I)
3-32
January 2020
Figure 3-23: EDGAR Form ID, Submittal Dialog
Note: After you click the [Transmit LIVE Submission] button, the Form ID application is
submitted to the automated submission processing portion of the EDGAR system.
EDGAR will give an indicator that the submission is in progress. 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 3.2.2.2.4, “Documents,” for more
information.
After you have clicked the [Transmit LIVE Submission] button, the EFMW Form ID
Application Acknowledgment page appears (Figure 3-24: EDGAR Form ID Application
Acknowledgment Page). This page provides the Accession Number for the submission (use
this number when referring to this submission).
Note: The Accession Number is a unique code assigned to your Form ID submission. It has
a format of: 9999999996-[Year]-[Sequence Number]
January 2020
3-33
EDGAR Filer Manual (Volume I)
Figure 3-24: EDGAR Form ID Application Acknowledgment Page
2. Click the [Exit] button on the Form ID Application Acknowledgment page to finish the
application process.
EDGAR Filer Manual (Volume I)
3-34
January 2020
3.2.3.4 Starting Another Form ID Application
Once you submit an application and exit, you can do one of the following:
Create a new, blank Form ID
Or
Create a new, pre-filled Form ID
3.2.3.4.1
Create New, Blank Form ID
1. Click ‘Apply for EDGAR Access (New)’ in the menu bar.
2. The Apply for EDGAR Access page appears. Click the “Application for EDGAR
Access” radio button.
3. Click [Next]
4. Follow the previous instructions (Section 3.2, “New SEC Filer: Applying for
EDGAR Access”) to compose and submit this new Form ID application.
3.2.3.4.2
Create New, Pre-filled Form ID
1. Click ‘Apply for EDGAR Access (New)’ in the menu bar.
2. The Apply for EDGAR Access page appears. Click the “Continue with Saved
Application for EDGAR Access” radio button.
Note: If you select this radio button, you will be prompted to upload a previously
saved file of a Form ID application (in .eis format only). The maximum size of a
Form ID file, including all attachments, must not exceed 200 MB.
3. Follow the previous instructions (Section 3.2, “New SEC Filer: Applying for
EDGAR Access”) to compose and submit this new Form ID application.
3.2.4
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]
January 2020
3-35
EDGAR Filer Manual (Volume I)
Basic directions for how to generate EDGAR access codes
The URL of the EDGAR Filer Management Website
If the application was rejected, the e-mail message will include but will not be limited to the
following information:
3.3
Text saying that the Form ID was rejected by the SEC
The reason that the application was rejected
Basic instructions on how to resolve the issues
Current SEC Filer: Applying for EDGAR Access
This section explains the process of applying for access to EDGAR for applicants who are
currently filing with the SEC, unless they seek to file in a different capacity (e.g., “individual,”
“filing agent,” or “training agent”). Other filers should follow the instructions in Section 3.2,
“New SEC Filer: Applying for EDGAR Access.”
3.3.1
Current Paper Only Filer
Note: The “applicant” is the company or individual who is required to file with the SEC, not
necessarily the person who is filling in the form (although it could be). The term “requestor” is
used to refer to the person who is filling in the form.
This section outlines the process for composing and submitting an EDGAR access request using
the EFMW when the applicant currently makes paper filings (only) with the SEC and wants to
start to file electronically. Before beginning, ensure that you know the Central Index Key (CIK)
of the applicant. If you do not know the CIK, you can look up the applicant by name by
connecting to the EDGAR Company Database at URL
https://www.edgarcompany.sec.gov
and clicking the [Company Database Search] button. The CIK is one of the items returned by
querying this database.
3.3.1.1 Converting from Paper to Electronic Filer
To convert from a Paper Only Filer to an Electronic Filer, you must submit the EDGAR access
request. This is accomplished as follows:
1. Connect to the EFMW Welcome page. (Refer to Section 3.1.2, “Accessing the EDGAR Filer
Management Website.”)
2. Click ‘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: @, #, *, $.
EDGAR Filer Manual (Volume I)
3-36
January 2020
5. Click the [Continue] button near the bottom of the page after entering the data.
Figure 3-25: EDGAR Convert Paper Only Filer to Electronic Filer Page
The EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page opens (Figure
3-26: EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page). This page
serves as the authentication document for the process.
January 2020
3-37
EDGAR Filer Manual (Volume I)
Figure 3-26: EDGAR Convert Paper Only Filer to Electronic Filer Confirmation Page
6. Click the [Print Window] button near the bottom of the page to print the authentication
document. The printed document must be signed and notarized.
7. Scan the authentication document and save it in PDF format. Then, click the [Upload/Delete
Attachments] button on the Convert Paper Only Filer to Electronic Filer Confirmation Page.
EDGAR Filer Manual (Volume I)
3-38
January 2020
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).
January 2020
3-39
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)
3-40
January 2020
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))
January 2020
3-41
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)
3-42
January 2020
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. EDGAR will give an indicator that the submission is in progress. 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.
January 2020
3-43
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)
3-44
January 2020
3.3.2
New Serial Company
Note: The “applicant” is the company or individual who is required to file with the SEC, not
necessarily the person who is filling in the form (although it could be). The term “requestor”
is used to refer to the person who is filling in the form.
A serial company is created as a result of a “parent” company filing a Form 424B6 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:
https://www.edgarcompany.sec.gov
and clicking the [Company Database 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.
January 2020
3-45
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)
3-46
January 2020
Figure 3-34: EDGAR Access for New Serial Companies Confirmation Page
January 2020
3-47
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)
3-48
January 2020
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.
January 2020
3-49
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. EDGAR will give an indicator that the submission is in progress. 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)
3-50
January 2020
3.3.2.2 Authentication Documentation
The EDGAR Access for New Serial Companies must be supplemented with an additional
authentication document to ensure that the request is authentic. The authentication document
must be signed and notarized, and include the following information:
CIK
Name associated with that CIK
Name of the contact person for purposes of this request
Contact person of the parent company on database
Contact telephone number of the parent company on database
Accession number of the 424B or 424H filing that created the serial company
Printed or typed signature of authorized person
3.3.2.3 E-mail Notification of Acceptance or Rejection
After the SEC receives both the electronic EDGAR Access for New Serial Companies request
and the associated authentication documentation, the SEC will authenticate the request. A
notification message stating the SEC’s disposition of the request will be sent to the e-mail
address provided in the request. The disposition will be either “accepted” or “rejected.”
If the request is accepted, the e-mail message will include but will not be limited to the following
information:
Text saying that the request was accepted by the SEC
Text stating that the specified passphrase was activated
Basic directions for how to generate EDGAR access codes
The URL of the EDGAR Filer Management Website
If the request is rejected, the e-mail message will include but will not be limited to the following
information:
3.4
Text saying that the request was rejected by the SEC
The reason that the request was rejected
Basic instructions on how to resolve the issue
Creating an Asset Backed Securities Issuing Entity
Request Asset-Backed Securities (ABS) Issuing Entities Creation allows an Asset-Backed
Securities Depositor to request the creation of up to 100 related Issuing Entities. A depositor,
regardless of its SIC code value, can initiate the request.
Note: It is advisable to limit the number of companies specified in any one request. If there is a
problem with the appropriateness of one of the names of the Issuing Entities, your request may
be rejected. If this happens, then you must resubmit your entire request.
January 2020
3-51
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)
3-52
January 2020
Figure 3-40: Retrieve/Edit Company and Submission Data Page appears.
Figure 3-40: Retrieve/Edit Company and Submission Data Page
January 2020
3-53
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)
3-54
January 2020
6. Once you have completed the required information you can either add another company by
clicking the [Add Another Company] button; or, you can go on to the next step by clicking
the [OK] button.
7. When you click the [OK] button the “Request ABS Issuing Entities Creation Information”
page will be displayed showing each requested company with its conformed name and e-mail
address as shown in Figure 3-42: Request ABS Issuing Entities Creation Information Page
Figure 3-42: Request ABS Issuing Entities Creation Information Page
8. From here you can choose to continue to add companies to your request, modify one of your
entries that you entered as part of this request, delete one of your entries that you entered as
part of this request, print your requested entries, or submit your request. Please note that
requested information is not saved until you verify and submit your request. To verify and
submit your request, click the [Verify/Submit] button. When you click the [Verify/Submit]
button a Request ABS Issuing Entities Creation Confirmation screen will be displayed as
shown in Figure 3-43: Request ABS Issuing Entities Creation Confirmation Page.
Figure 3-43: Request ABS Issuing Entities Creation Confirmation Page
January 2020
3-55
EDGAR Filer Manual (Volume I)
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)
3-56
January 2020
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 Online Forms 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.
January 2020
3-57
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)
3-58
January 2020
Figure 3-46: EDGAR Form ID Application Notification, Rejected
January 2020
3-59
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)
3-60
January 2020
Figure 3-48: EDGAR Convert to Electronic Filer Notification, Rejected
January 2020
3-61
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)
3-62
January 2020
Figure 3-50: EDGAR New Serial Access Notification, Rejected
January 2020
3-63
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 Online Forms 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:
https://www.edgarcompany.sec.gov
If you enter the Company Name and click the [Company Database 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).
January 2020
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
January 2020
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.
January 2020
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, although filers may elect to periodically update the passphrase for
security reasons).
4.1.1.1 Composing the New Passphrase Request
To compose a new passphrase request, you must either generate a Security Token or submit an
Update Passphrase (manual) request. Generating your own Security Token is the most efficient
method and should be chosen if the filer’s email contact information on file in EDGAR is
current.
4.1.1.1.1
Generating a Security Token
1. Connect to the EFMW Welcome page. (Refer to Section 3.1.2, “Accessing the EDGAR Filer
Management Website.”)
2. Click ‘Update Passphrase’ in the menu bar.
Figure 4-4: EFMW Welcome Page Menu
3. A new browser window opens (Figure 4-5: EDGAR Update Passphrase Page). Click the first
hyperlink “Request security token to update passphrase.”
EDGAR Filer Manual (Volume I)
4-4
January 2020
NOTE: If you have already received a security token that is still valid and would like to navigate
directly to the “Update Passphrase Continuation” screen, please select the second
hyperlink “Received a security token via email” on the “Update Passphrase” screen.
Generating the security token is the standard method to update your passphrase. Use the
"Update Passphrase (manual)" method only if the email contact information on record in
EDGAR is incorrect. If you choose this method, it may take over 48 hours to process the
request. Please select the third hyperlink on the “Update Passphrase” screen to follow the
manual process of updating your passphrase.
Figure 4-5: EDGAR Update Passphrase Page
4. Upon clicking the first hyperlink, the data entry page for “Update Passphrase –
Request Security Token" appears (Figure 4-6: EDGAR Update Passphrase – Request
Security Token Page).
January 2020
4-5
EDGAR Filer Manual (Volume I)
Figure 4-6: EDGAR Update Passphrase – Request Security Token Page
5. Enter your ‘CIK’ and ‘Reason for Update’ on the “Update Passphrase – Request
Security Token” page. The “Reason for Update” data entry field is optional and
allows you to enter free-form text explaining why the filer needs a new passphrase.
6. Click the [Continue] button at the bottom of the page.
7. EDGAR generates a Security Token and sends it to the EDGAR contact email
address on record.
NOTE: A Security Token will become invalid under the following conditions:
60 minutes pass from the time a Security Token was generated
Another Security Token was issued for the same CIK
The Security Token has already been used.
EDGAR Filer Manual (Volume I)
4-6
January 2020
An example email is shown in Figure 4-7: EDGAR Security Token Email.
Figure 4-7: EDGAR Security Token Email
8. To enter in the Security Token, either proceed to the next page (Figure 4-8: EDGAR
Update Passphrase Continuation Page) or click the link in the email to continue with
the passphrase update process. Alternatively, click the “Received a security token via
email” hyperlink on the “Update Passphrase” page. If you have not received an email
within 10 minutes, proceed to Step 1 of the “Update Passphrase Request” process
(See Section 4.1.1.1.2).
9. The “Update Passphrase Continuation” page will be displayed (Figure 4-8: EDGAR
Update Passphrase Continuation Page). Re-enter the CIK, select the checkbox “I have
received the Security Token within the last 60 minutes,” enter in the Security Token
as indicated in the email, enter in a “New Passphrase,” and then re-enter in the
passphrase again in the “Re-enter New Passphrase” fields. Refer to Section 3.2.4,
“Defining a Passphrase,” for a more detailed description of the passphrase. For
security reasons, the passphrase must be at least eight characters in length and contain
at least one digit and one of the following characters: {@, #, *, $}.
10. If the Security Token is invalid, the system will display the following error message:
“The Security Token has either expired or is no longer the most recent token issued
for CIK XXX. Please click the “Exit Window” button and then go to the “Update
Passphrase” screen to request a new Security Token.”
January 2020
4-7
EDGAR Filer Manual (Volume I)
11. Click the [Submit] button.
Figure 4-8: EDGAR Update Passphrase Continuation Page
12. A message will be displayed asking if you want to continue (Figure 4-9: EDGAR
Update Passphrase, “Continue” Dialog). Click the [OK] button.
EDGAR Filer Manual (Volume I)
4-8
January 2020
Figure 4-9: EDGAR Update Passphrase, “Continue” Dialog
13. An “Update Passphrase Acknowledgment” screen is displayed (Figure 4-10:
EDGAR Update Passphrase Acknowledgment Page) indicating the accession number
of the transaction and stating that a confirmation email will be sent to the filer’s
address on file.
Figure 4-10: EDGAR Update Passphrase Acknowledgment Page
4.1.1.1.2
Update Passphrase (Manual) Request
1. Connect to the EFMW Welcome page. (Refer to Section 3.1.2, “Accessing the
EDGAR Filer Management Website.”)
2. Click ‘Update Passphrase’ in the menu bar.
January 2020
4-9
EDGAR Filer Manual (Volume I)
Figure 4-11: EFMW Welcome Page Menu
3. A new browser window opens (Figure 4-12: EDGAR Update Passphrase Page).
Figure 4-12: EDGAR Update Passphrase Page
EDGAR Filer Manual (Volume I)
4-10
January 2020
4. Click the “Update passphrase (manual)” link. This will take you to the “Update
Passphrase Information” screen (Figure 4-13: Update Passphrase Information).
Figure 4-13: EDGAR Update Passphrase Information
5. Select “Yes” as a response to the question, “The applicant or the applicant’s
authorized representative must sign the application. Do you have this authority?”
January 2020
4-11
EDGAR Filer Manual (Volume I)
Note: If you select “No” as a response, the system will display the following error
message and not permit you to continue with the update passphrase process:
“You are not authorized to submit this request. Please contact an authorized person
to update the passphrase.”
6. Enter the required data (CIK and passphrase) and a reason for making the request
(optional). Refer to Section 3.2.4, “Defining a Passphrase,” for a more detailed
description of the passphrase. For security reasons, the passphrase must be at least
eight characters in length and contain at least one digit and one of the following
characters: {@, #, *, $}.
The “Reason for Update” data entry field is optional and allows you to enter freeform text explaining why the filer needs a new passphrase. This allows you to provide
information that may help the SEC process your request.
7. Click the [Continue] button near the bottom of the page after entering the data. The
“Update Passphrase Confirmation” page appears (Figure 4-14: EDGAR Update
Passphrase Confirmation Page).
EDGAR Filer Manual (Volume I)
4-12
January 2020
Figure 4-14: EDGAR Update Passphrase Confirmation Page
8. Click the [Print Window] button near the bottom of the page to print the
authentication document. This information should be used in preparing the
Authentication Document (see Section 4.1.1.2).
9. If you are acting as a Power of Attorney (POA) of the company, provide a POA that
is manually signed by an authorized agent of the company.
January 2020
4-13
EDGAR Filer Manual (Volume I)
10. Scan the authentication document, and the POA if it applies, and save them both in
PDF format. Then, click the [Upload/ Delete Attachments] button on the Update
Passphrase Confirmation page.
Note: The acceptance process cannot be completed until you submit the
authentication document to the SEC; refer to Section 4.1.1.2, “Authentication
Documentation,” for more information.
The EDGAR Upload/Delete Attachment(s) page opens. This page is used to manage
the attachment(s) associated with your EDGAR access request.
Figure 4-15: EDGAR Upload/Delete Attachment(s) Page
11. To add the attachment(s), click the [Upload Attachment] button. The EDGAR Upload
Attachment page opens (Figure 4-16: EDGAR Upload Attachment Page).
EDGAR Filer Manual (Volume I)
4-14
January 2020
Figure 4-16: EDGAR Upload Attachment Page
12. Click the [Browse] button to select the attachment. The attachment(s) must have the
.pdf file extension.
Note: The Type field defaults to CORRESP and it is non-editable. Refer to Section
3.2.3.2, “Assembling the Form ID Submission,” for EDGAR standards on
document attachments.
13. Enter a description for the attachment and click the [Upload] button. The EDGAR
Upload/Delete Attachment(s) page opens and the new attachment is displayed in the
Attached Documents List table.
To cancel an attachment, click the [Cancel] button; to close the browser window,
click the [Exit Window] button.
14. Continue to add or delete the attachment(s) as needed, and then click the [OK] button.
The “Update Passphrase Confirmation” page appears.
15. Click the [Submit] button to submit the Update Passphrase request.
A dialog box displays asking for confirmation appears (Figure 4-17: EDGAR Update
Passphrase, “Continue” Dialog). To submit the request to EDGAR for processing,
click the [OK] button; to cancel the request, click the [Cancel] button. EDGAR will
give an indicator that the submission is in progress.
January 2020
4-15
EDGAR Filer Manual (Volume I)
Figure 4-17: EDGAR Update Passphrase, “Continue” Dialog
Note: After you click the [OK] button, the EDGAR Update Passphrase request is
submitted to the automated submission processing portion of the EDGAR
system. This is the start of the acceptance process; your subsequent actions in
this browser window will not affect this process.
The EFMW EDGAR Update Passphrase Acknowledgment page appears (Figure
4-18: EDGAR Update Passphrase Acknowledgment Page). This page provides the
Accession Number for the submission; use this number when referring to this
submission.
Figure 4-18: EDGAR Update Passphrase Acknowledgment Page
16. Click the [Exit Window] button to complete the process and close the browser
window.
4.1.1.2 Authentication Documentation
The Update Passphrase request must be supplemented with an additional authentication
document to ensure that the request is authentic. The authentication document must be signed
and notarized, and include the following information:
CIK
Name associated with that CIK
Name of the contact person for purposes of this request
Contact person
Contact telephone number
EDGAR Filer Manual (Volume I)
4-16
January 2020
Contact email address
Manual signature of authorized person
Printed name of authorized person
Title of authorized person
Signature
Signature Date
Name of Notary (must be different from contact person)
Notary seal (in jurisdictions that use notary seals)
If the request is for a company, the authentication document must be on company letterhead. If
the request is for an individual, the filer may provide the information on non-company letterhead
or use the print out that can be generated on the EDGAR Update Passphrase Confirmation Page
(Figure 4-14: EDGAR Update Passphrase Confirmation Page).
4.1.1.3 E-mail Acceptance or Rejection Notification
After the SEC receives both the electronic EDGAR Update Passphrase request and the attached
authentication documentation, the SEC will authenticate the request. A notification message
stating the SEC’s disposition of the request will be sent to the e-mail address provided in the
request. The disposition will be either “accepted” or “rejected.”
If the request is accepted, the e-mail message will include but will not be limited to the following
information:
Text stating that the request was accepted by the SEC
Text stating that the specified passphrase was activated
Basic directions for how to generate EDGAR access codes
The URL of the EDGAR Filer Management Website
If the request is rejected, the e-mail message will include but will not be limited to the following
information:
Text saying that the request was rejected by the SEC
The reason that the request was rejected
Basic instructions on how to resolve the issue
These messages will be sent to filer’s e-mail address of record. If they are associated with a valid
CIK, they will also be posted to the EDGAR Filing and Online Forms 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.
January 2020
4-17
EDGAR Filer Manual (Volume I)
4.1.2
Update Passphrase Request
Figure 4-19: EDGAR Update Passphrase Notification, Accepted
EDGAR Filer Manual (Volume I)
4-18
January 2020
Figure 4-20: EDGAR Update Passphrase Notification, Rejected
January 2020
4-19
EDGAR Filer Manual (Volume I)
4.1.3
Changing your CCC or Password
Usually, changing all of your access codes will not be required. A more routine procedure would
be to change either your password or CCC. Your password allows you access to the EDGAR
systems, including all websites. You should not share this password with anyone outside your
company. It is appropriate to change your password under the following circumstances:
Key staff who held the password are no longer employed by your company
You are concerned that your password has been given to outsiders
Your company policies require the routine update of the password at intervals other than
required by EDGAR.
The CCC allows you the flexibility to permit others to file on your behalf, usually filing agents.
It is prudent to change this code after another party submits each filing. This is especially
important if you use more than one filing agent. If you do not follow this policy or do not use
more than one agent, then at the very least, the code needs to be refreshed if you change filing
agents. The integrity of this code is your responsibility; please do not give this code to anyone
who does not need to use it on your behalf.
Once on the main EDGAR Welcome page, if you need to change your access codes, click
‘Retrieve/Edit Data’.
The Change Company Password or CCC option has a page for you to select either of two options
as shown in Figure 4-21: Change Company Password or CCC Page:
Change Password
Change CCC (CIK Confirmation Code)
Click the ‘Change Company Password or CCC’ option on the Retrieve/Edit Data page, and this
page will appear.
Figure 4-21: Change Company Password or CCC Page
EDGAR Filer Manual (Volume I)
4-20
January 2020
Your EDGAR password is good for only twelve (12) months. Be sure you change your password
on the EDGAR Filing Website before it expires.
4.1.3.1 Changing Your Password
1. Click the ‘Change Password’ link on the Change Company Password or CCC page.
Figure 4-22: Change Company Password
Note: Your password must contain twelve characters with at least one letter, one
number, and one of the following characters: @, #, *, $.
2. When the Change Password page appears, enter the company’s CIK, Old Password,
New Password, Confirm the New Password, and Password Modification Access Code
(PMAC).
3. Click the [Change Password] button.
Figure 4-23: Change Password Results Page
Note: All CCCs and passwords are case-sensitive and must be entered correctly.
4.1.3.2 Changing Your CCC (CIK Confirmation Code)
You can change your CCC at anytime.
To change your CCC:
1. Click the ‘Change CCC’ link on the Change Company Password or CCC page.
2. Enter your CIK, Password, new CCC, and Confirm New CCC.
January 2020
4-21
EDGAR Filer Manual (Volume I)
3. Click the [Change CCC] button.
Figure 4-24: Change CCC (CIK Confirmation Code) Page
Note: Your CCC must contain eight characters with at least one letter, one number,
and one of the following characters: @, #, *, $.
The Change CCC Results page appears, confirming your CCC change. This change is
effected immediately on the EDGAR Filing Website. If you exit the site and try to
login again, you must use the new CCC.
Figure 4-25: Change CCC Results Page
4.1.4
If you mistyped your CIK or CCC, you may see the Invalid CIK/CCC error screen.
Click the [Back] button on your browser and enter it again. If you are still having
problems, please call Filer Support at (202) 551-8900 for help.
Creating a Passphrase for the First Time
When logging into any of the EDGAR websites, if your CIK and password are valid and you
have a passphrase, the Welcome page appears. Some filers, who have not logged into the system
for a long time, may find that they have not yet created a passphrase since the introduction of this
process on the EDGAR system. Filers will only have to follow this process once; however, the
EDGAR Filer Manual (Volume I)
4-22
January 2020
EDGAR system will not let you proceed until the passphrase has been created. The first screen
you will see is shown in Figure 4-26: The EDGAR Create Passphrase Page.
Figure 4-26: The EDGAR Create Passphrase Page
1. To define a passphrase, type it in the data entry fields provided. (The passphrase is
not displayed and it is an important security code: typing it twice ensures that no
typographical errors occur during entry.)
2. Enter your existing PMAC (doing so verifies that you have the right to define a
passphrase). If you have forgotten your PMAC, contact our Filer Support Staff at
(202) 551-8900 for help.
3. Click the [Create Passphrase] button. If your new passphrase is in the correct format
(it must be in the same format as the PMAC) and the PMAC is valid for the CIK, the
Create Passphrase Results page is displayed. (You will be informed of any errors in
the data entered and will be required to correct them before you can proceed.)
Figure 4-27: The EDGAR Create Passphrase Results Page
4. Click the [Continue to EDGAR Welcome] button. The Welcome page displayed is
based on the website that you initially logged on to.
Figure 4-28 shows the EDGAR Online Forms Management Website Welcome page.
January 2020
4-23
EDGAR Filer Manual (Volume I)
Figure 4-28: The EDGAR Welcome Page (Top)
Notes:
If you mistype your password, EDGAR considers it an invalid password and access to
EDGAR is denied.
If you accidentally mistype the CIK or password, you can press the [Back] button to
return to the Login page, and try again.
If your CIK and password do not match those saved in the database, you will see an
Invalid Login page. If you find you are getting the Invalid Login page and your CIK and
password are entered correctly, please contact Filer Support at (202) 551-8900 for help.
Additional error messages you may see are Password Login Expiration messages. There
are two different types of messages: Login Password to Expire Soon or Login Password
Expired. If your password expires soon or if your password has expired within the last 10
days, EDGAR allows you to create a new password using your PMAC. If you have a
passphrase, you can get a new set of EDGAR access codes (including a password) using
the EDGAR Filer Management Website – even if your password has been expired for
more than 10 days. If you need assistance, contact our Filer Support Staff at (202) 5518900 for help.
The passphrase is a security code and is used to generate EDGAR access codes. You
must define a passphrase before you can access any of the EDGAR capabilities.
EDGAR Filer Manual (Volume I)
4-24
January 2020
5.
MAINTENANCE OF COMPANY DATA
Once you have obtained your access codes and are a registered EDGAR filer, you should
maintain your company data. This chapter will help you by illustrating the process of
maintaining your data.
5.1
Login to EDGAR
To enter or edit your company information, change your password or CCC, or check the status of
a submission, you will need to login to EDGAR:
1. Connect to the Internet.
2. Go to the EDGAR Gateway: https://www.portal.edgarfiling.sec.gov.
3. Click the ‘Are you an EDGARLink Online filer or would you like to create a new
Asset-Backed Securities Issuing Entity?’ link.
4. The EDGAR Filing Website login page is displayed where you must enter your
access data.
5. Click in the CIK field and enter your CIK.
6. Press [Tab] and enter your password.
7. This is your login password, not your CCC, or PMAC. Your password is casesensitive.
8. Click the [Login to EDGAR] button.
9. The Create Passphrase page appears if your CIK and password are valid and you do
not have a passphrase. Refer to Section 4.1.4, “Creating a Passphrase for the First
Time,” if you are asked to create a passphrase.
10. If your CIK and password are valid and you have a passphrase, the Welcome page
appears.
5.2
Accessing Submission and Company Information
1. When you reach the EDGAR Filing Website Welcome page, click ‘Retrieve/Edit
Data’ in the menu on the left side of the page under the category “Information
Exchange”.
2. The Retrieve/Edit Data page appears and prompts you for your CIK and CCC
information:
Enter your CIK in the CIK field and press [Tab].
Enter your CCC in the CCC field.
Click the [Continue] button.
This page verifies that you have access to retrieve or edit information on the EDGAR
system.
January 2020
5-1
EDGAR Filer Manual (Volume I)
Figure 5-1: Retrieve/Edit Data Page
The next screen is the Retrieve/Edit Company and Submission Data page, which is
shown in Figure 5-2: Retrieve/Edit Company and Submission Data Page. You can
access the following functions from this page by clicking the [Continue] button:
Retrieve Submission Information
Retrieve Company Information
Retrieve Module/Segment Information
Enter Series and Classes (Contracts) Information
Request Asset-Backed Securities (ABS) Issuing Entities Creation
Request Return of Unused Funds
Retrieve Balance Information
View Account Activity Statement
Change Company Password or CCC
Enter Another CIK/CCC
You can use any of these functions to update your company information, CCC, or
password via the EDGAR Filing Website.
EDGAR Filer Manual (Volume I)
5-2
January 2020
Figure 5-2: Retrieve/Edit Company and Submission Data Page
5.3
Retrieve Company Information
Another feature in EDGAR is the ability to retrieve and update your company information from
the EDGAR Filing Website. (From EDGAR's perspective, every CIK belongs to a filing entity
generally referred to as “company.” In this case, each reporting owner is a “company.”) Once
you have logged into EDGAR and accessed the Company and Submission Information Retrieval
page, you can retrieve your company information:
3. Click ‘Retrieve Company Information’. The Company Information page appears.
Scroll down this page to review the company information EDGAR has stored.
January 2020
5-3
EDGAR Filer Manual (Volume I)
Figure 5-3: Company Information Page
If any of this information is incorrect, you can change it by using the [Edit Company
Information] button at the bottom. Note that only the information pertinent to you based upon
your filer attributes (Filer Type and Company/Individual indicator) will be displayed. For
example, if you are a “Filing Agent” or “Training Agent” the Filer Information section will not
be displayed.
EDGAR Filer Manual (Volume I)
5-4
January 2020
Note: You cannot change your CIK.
You can print this page using your browser’s print function for future reference.
For general company queries (including wildcard searches) please search the EDGAR Company
database (https://www.edgarcompany.sec.gov).
5.4
Edit Company Information
It is the obligation of the registrant to keep the company information on EDGAR current
and valid. All changes to your company information are made immediately except for changes
to your company's name. Our Filer Support staff needs to review any change to your company's
name to ensure that it is appropriate.
Note: Filers that are registered as Broker-Dealers cannot update their company information
(except for e-mail address) through the ‘Retrieve/Edit Data’ link on the EDGAR Filing
Website. Instead, they must submit a Form BD/A (Amendment) to CRD to update their
company information. The Form BD/A filing will automatically update the company
information in EDGAR, and thereafter the new company address information will be
pre-populated into the applicable address fields on future EDGAR submissions.
Once you have logged into EDGAR and accessed the Company and Submission Information
Retrieval page, you can edit your company information:
4. Scroll to the bottom and click the [Edit Company Information] button. The Edit
Company Information page appears.
Note that only the information pertinent to you based upon your filer attributes
(Filer Type and Company/Individual indicator) will be displayed. For example, if
you are a “Filing Agent” or “Training Agent” the Filer Information section will
not be displayed.
January 2020
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.
5-5
EDGAR Filer Manual (Volume I)
Figure 5-4: Edit Company Information Page (Top)
5. Click in the field you want to edit and change the information.
If you want to change your Company Name, the company name may be modified
by the software to meet the EDGAR conformance standards. These standards can
be accessed by clicking on the link in the note above the Company Name field.
Note that you will be prompted with these changes before you actually submit
them.
EDGAR Filer Manual (Volume I)
5-6
January 2020
Figure 5-5: Edit Company Information Page (Middle)
If you want to change one of your addresses to be the same as your Mailing
Address, select the “same as” check box next to the appropriate address section.
This will clear out the address currently in that section and make it the same as
your mailing address upon submission.
Figure 5-6: Edit Company Information Page (Bottom)
Note: The “Address of Principal Executive Offices” section will be populated with
the data provided on the most recently filed DOS, DOS/A, 1-A, 1-A/A, or 1-A
POS submission for the CIK and CCC provided on the “Retrieve/Edit Data”
page.
6. When finished, click the [Submit Changes] button.
7. Your changes appear on the Company Information Edit Confirmation page. If your
company name is conformed, a pop-up dialog indicating your entered company name
and the EDGAR conformed company name will appear as a warning.
January 2020
5-7
EDGAR Filer Manual (Volume I)
8. Confirm the changes by clicking the [Confirm Company Changes] button at the
bottom of the page. EDGAR will give an indicator that the submission is in progress.
Figure 5-7: Company Information Edit Confirmation Page
If you want to cancel the changes, click the [Cancel Changes] button or click on
the browser's [Back] button.
9. The Edit Company Information Results page appears and confirms your changes. All
changes to your company information are made immediately except for changes to
your company’s name. Filer Support staff will review any changes to your company’s
name. Filer Support can reject any name change if it is deemed unacceptable. If your
proposed name change is rejected, you will receive a suspense notification message;
otherwise you will receive an acceptance notification message.
Figure 5-8: Edit Company Information Results Page
If you want to return to the Retrieve/Edit Company and Submission data page, click
the [Return to Retrieve/Edit Company and Submission Data Menu] button at the
bottom of the Edit Company Information Results page.
Note: Changes to your company information are not disseminated until a live filing
is made.
5.4.1
Series and Classes (Contracts) Information
Investment company filers are responsible for keeping their Series and Classes (Contracts)
information up-to-date using the Enter Series and Classes (Contracts) Information screen. The
Commission requires certain investment companies (referred to as S/C Funds in this discussion)
to update series and class (contract) information as required upon specified events, such as name
changes, deactivations, liquidations, mergers, or other events resulting in the elimination or
merger of a series or class or de-registration of the S/C Fund. The following sections provide
more details.
EDGAR Filer Manual (Volume I)
5-8
January 2020
5.4.1.1 Series and Classes (Contracts) Information Page
Series and class (contract) identifiers are created and their names are established on certain
registration statement and pre and post effective amendment filings specified in EDGAR Filer
Manual Volume II. The Series and Classes (Contracts) Information page provides S/C Funds a
mechanism to keep their information up-to-date in support of SEC rules adopted in Release
33-8590 (July 18, 2005) [70-FR43558], “Rulemaking for EDGAR System.” We recommend that
you refer to the SEC rules releases in conjunction with this section.
In the release, the Commission states that inclusion of identifiers for series and class (contract)
are part of the official filing and stresses that it is important for S/C Funds to keep their
information up-to-date:
“We are amending this definition to provide that the electronic identification of
investment company type and inclusion of identifiers for series and class (or contract, in
the case of separate accounts of insurance companies), as we are requiring under Rule
313 of Regulation S-T, will be deemed part of the official filing. On and after the
Mandatory Series/Class (Contract) Identification Date, failure of a S/C Fund to include
correctly the required identifiers will mean that a filing for that series and/or class (or
contract) has not been made. We also stress that it is important for S/C Funds to keep
their information up-to-date, including updating in a timely manner when a series and/or
class (contract) deactivates. If a S/C Fund does not do so, we will assume that the S/C
Fund is delinquent in reporting for a series or class (contract).”
The investment companies (S/C Funds) that need to keep their information up-to-date are filers
whose last registration statement (excluding registrations on Form N-14) and/or post-effective
amendment was filed on:
Form N-1A (Mutual Fund)
Form N-3 (Separate Account Registered as Open-End Management Investment Company)
Form N-4 (Variable Annuity UIT Separate Account)
Form N-6 (Variable Life UIT Separate Account)
The adopting release outlines the implementation of the requirements to electronically collect
and utilize series and class (contract) information. Obtaining identifiers for series and classes via
a filing is outlined in Volume II. S/C Funds will enter information using the Series and Classes
(Contracts) Information page to update series and class (contract) information as required upon
specified events, such as name changes, deactivations, liquidations, mergers, or other events
resulting in the elimination or merger of a series or class or de-registration of the S/C Fund.
After a new class (contract) is identified on a substantive filing, and it receives a ticker symbol,
the filer must use the Series and Classes (Contracts) information page to update the class
(contract) information with the ticker symbol.
After a merger involving a series or class (contract) becomes effective, it is the responsibility of
the target S/C Fund to update the status for the series or class (contract) to ‘Merged’ (i.e.,
inactive due to merger) after the last EDGAR filing is made for the target.
January 2020
5-9
EDGAR Filer Manual (Volume I)
For series or classes (contracts) that are no longer offered, go out of existence, or de-register after
the last EDGAR filing for the series/ or class (contract) has been made, it is the responsibility of
the S/C Fund to update the status for the series of class (contract) to ‘Inactive’.
5.4.1.2 Navigating to the Series and Classes (Contracts) Information Page
You can get to the Series and Classes (Contracts) Information page to enter series and classes
(contracts) information from the Retrieve/Edit Company and Submission Data page (Figure 5-2:
Retrieve/Edit Company and Submission Data Page) on the EDGAR Filing Website
(https://www.edgarfiling.sec.gov.) These steps will get you to the page:
1. Login to EDGAR. (See Section 5.1, “Login to EDGAR,” if you need detailed
instructions.)
2. Click ‘Retrieve/Edit Data’ under the category “Information Exchange” on the
EDGAR menu on the left side of the EDGAR Welcome page.
3. The Retrieve/Edit Data page (Figure 5-9: Retrieve/Edit Data Page) appears and
prompts you for your CIK and CCC information. This CIK is the one with which the
series and classes (contracts) entered later will be associated.
Enter your CIK in the CIK field and press [Tab].
Enter your CCC in the CCC field.
Click the [Continue] button.
Figure 5-9: Retrieve/Edit Data Page
4. Figure 5-10: Retrieve/Edit Company and Submission Data Page, appears. Click the
‘Enter Series and Classes (Contracts) Information’ option to get to the page that
supports the entry of series and class data.
EDGAR Filer Manual (Volume I)
5-10
January 2020
Figure 5-10: Retrieve/Edit Company and Submission Data Page
5.4.1.3 Enter Series and Classes (Contracts) Information Page
Only S/C Funds will need to enter series and class (contract) information. S/C Funds are filers
whose last registration statement (excluding registrations on Form N-14) and /or post-effective
amendment filing was on one of the following forms:
Form N-1A
Form N-3
Form N-4
Form N-6
If your investment company is already known in EDGAR as filing on one of the forms indicated,
EDGAR will display the Series and Classes (Contracts) Information page shown in Figure 5-12:
Series and Classes (Contracts) Information Page. If EDGAR does not know the Investment
Company Type or the type is not an S/C Funds type, then Figure 5-11: Not a Series and Classes
(Contracts) Investment Company will appear.
January 2020
5-11
EDGAR Filer Manual (Volume I)
Since you are not an S/C Funds type, click the [Close Window] button. You are not required to
submit series and class (contract) information.
Figure 5-11: Not a Series and Classes (Contracts) Investment Company
5.4.1.4 Series and Classes (Contracts) Information Page Overview
Figure 5-12: Series and Classes (Contracts) Information Page is the central page you will use to
build the data for series and classes (contracts). Most buttons on this page will cause subsequent
pages to be displayed to collect information. As the information is collected, you will return to
this page where the new information is displayed. The page has two sections:
The first section is used to display your Investment Company Type Information.
The second section is used to collect updated series and class (contract) information.
The first section of the Series and Classes (Contracts) Information page provides the following
function:
Modify Company Type
The second section of the Series and Classes (Contracts) Information page provides the
following functions:
Viewing series and class (contract) information
Modifying series and class (contract) information
Deleting series and class (contract) information (un-submitted items only)
Printing the page
Verifying/submitting series and class (contract) information
EDGAR Filer Manual (Volume I)
5-12
January 2020
As you update your series and class (contract) data, it will be displayed as blue text. After all the
information has been collected, you can have it verified and submitted by pressing the
[Verify/Submit Changes] button.
Figure 5-12: Series and Classes (Contracts) Information Page
Note: Updated data appears in blue.
The following section describes each button function on the Series and Classes (Contracts)
Information page.
[Modify Company] Button
The [Modify Company] button can be used to change the Investment Company Type.
When the button is clicked, the Edit Investment Company Type page displays (see Figure 5-13:
Edit Investment Company Type Page).
January 2020
5-13
EDGAR Filer Manual (Volume I)
Figure 5-13: Edit Investment Company Type Page
To change your Investment Company Type:
Click on the Investment Company Type drop down list. The selections are as follows:
Form N-1 Filer (Open-End Separate Account with No Variable Annuities)
Form N-1A Filer (Mutual Fund)
Form N-2 Filer (Closed-End Investment Company)
Form N-3 Filer (Separate Account registered as Open-End Management Investment
Company)
Form N-4 Filer (Variable Annuity UIT Separate Account)
Form N-5 Filer (Small Business Investment Company)
Form N-6 Filer (Variable Life UIT Separate Account)
Form S-1 or S-3 Filer (Face Amount Certificate Company)
Form S-6 Filer (UIT, Non-Insurance Product)
No longer an Investment Company Type in the selection list
Scroll down the list and select your new ICT by clicking on it.
Click [OK] to accept the selection and return to the Series and Classes (Contracts)
Information page.
Click [Cancel] to cancel your selection and return to the Series and Classes (Contracts)
Information page.
[Modify] Button
The [Modify] button can be used to modify a series or class (contract):
To select a series, click on the radio button at the left of the series.
To select a class, click on the radio button at the left of the class (contract).
Next, click the [Modify] button.
When the button is clicked, checks are made to see if the selected series or class (contract) can be
modified, based on:
Investment Company Type
Whether any series or class (contract) is selected
If a class (contract) is selected, whether the corresponding series status is Active
EDGAR Filer Manual (Volume I)
5-14
January 2020
To modify a class (contract) for a series with a status of Inactive, the series must first be
modified to make the status Active.
If a series can be modified, the Edit Series page described in Section 5.4.1.4.1, “Edit Series
Page,” is displayed. If a class can be modified, the Edit Class (Contract) page described in
Section 5.4.1.4.2, “Edit Class (Contract) Page,” is displayed.
[Print] Button
The [Print] button provides a mechanism for you to print your data in landscape mode.
[Verify/Submit Changes] Button
The [Verify/Submit Changes] button is used to verify the changes and transmit the data into the
EDGAR system.
When the button is clicked, checks are made to see if the series and class (contract) information
is correct:
If there is more than one series with an Active status, you will be asked to review the
series names to be sure they are appropriate.
If there is a series with more than one class (contract) with an Active class status, you
will be asked to review the class (contract) names to be sure they are appropriate.
After you have confirmed the series and class (contract) information is correct, the Series and
Classes (Contracts) Information Edit Confirmation page is displayed. It is shown in Section
5.4.1.4.3, “Series and Classes (Contracts) Information Edit Confirmation Page.”
5.4.1.4.1
Edit Series Page
The Edit Series page appears when a series is selected and the [Modify] button is clicked on the
Series and Classes (Contracts) Information page. The page is shown in Figure 5-14: Edit Series
Page. You will use the page to change a Series Name and/or its status.
Figure 5-14: Edit Series Page
Note: “*” indicates a required field.
January 2020
5-15
EDGAR Filer Manual (Volume I)
To edit the Series information:
1. Edit the Series Name as necessary
2. If displayed, click on the appropriate Series Status selection indicator
3. When the entry is complete, click the [OK] button.
Note: If the Series Status is changed to Active, the status of all Classes (Contracts) for the
Series will also be set to Active. The status change will be blocked for SEC review and
may be suspended.
Note: If the Series Status is changed from Active to Inactive, the status of all Classes
(Contracts) for the Series will also be set to Inactive. Any changes to the Series Name
and any previous changes to Class (Contract) Name and Ticker Symbol of the Series in
this session will revert to values assigned prior to the current session. These values will
be listed on the Series and Classes (Contracts) Information page.
Note: For a status to be changed to Merged, the original status must be Active. If the Series
Status is changed to Merged, the status of all Classes (Contracts) for the Series will also
be set to Merged. Any changes to the Series Name and any previous changes to Class
(Contract) Name and Ticker Symbol of the Series in this session will revert to values
assigned prior to the current session. These values will be listed on the Series and Classes
(Contracts) Information page.
When the [OK] button is clicked, the following data is validated:
Series Name must be entered
Series Name cannot be used for more than one series of the Company
If the data is correct, you are returned to the Series and Classes (Contracts) Information page and
the updated data is displayed. If the data is not valid, you will have the opportunity to change the
data or cancel the function.
EDGAR Filer Manual (Volume I)
5-16
January 2020
5.4.1.4.2
Edit Class (Contract) Page
The Edit Class (Contract) page appears when a class (contract) is selected and the [Modify]
button is clicked on the Series and Classes (Contracts) Information page.
The Edit Class (Contract) page is used to change a Class (Contract) Name, Ticker Symbol,
and/or the Class (Contract) status. Figure 5-15: Edit Class (Contract) Page shows the page as it
will appear.
Figure 5-15: Edit Class (Contract) Page
Note: “*” indicates a required field.
To edit the Class (Contract) information:
1.
2.
3.
4.
Edit the Class (Contract) Name as necessary
Edit the Ticker Symbol as necessary
If displayed, click on the appropriate Class (Contract) Status selection symbol
Click the [OK] button.
Note: If the Class (Contract) Status is changed to Active, the status change will be blocked for
SEC review and may be suspended.
Note: For a status to be changed to Merged, the original status must be Active.
If the Class (Contract) is the only one for an Active Series, then its status cannot be changed to
Inactive because an Active Series must have at least one Active Class (Contract). If you change
the series status to Inactive then the class status will automatically be changed to Inactive.
If the Class (Contract) is not the only remaining class for an Active Series and the Class
(Contract) Status is changed from Active to Inactive, any previous changes to Class (Contract)
Name and Ticker Symbol in this session will be reverted to original values.
When the [OK] button is clicked, the following data is validated
Class (Contract) Name must be filled in
Class (Contract) Name cannot be used for more than one class of the Series
January 2020
5-17
EDGAR Filer Manual (Volume I)
Class Ticker Symbol cannot be a duplicate for the Company
If the data is correct, you are returned to the Series and Classes (Contracts) Information page
with the updated data displayed. If the data is not valid you will have the opportunity to change
the data or cancel the function.
5.4.1.4.3
Series and Classes (Contracts) Information Edit Confirmation Page
The Series and Classes (Contracts) Information Edit Confirmation page is displayed when you
click the [Verify/Submit Changes] button on the Series and Classes (Contracts) Information
page.
Figure 5-16: Series and Classes (Contracts) Information Edit Confirmation Page
Figure 5-16: Series and Classes (Contracts) Information Edit Confirmation Page, shows the page
as it appears after all updates to your series and class (contract) data have been validated but
prior to transmission to EDGAR. This gives you a final chance to review your series and class
(contract) data. Use this page to review and confirm all changes you made. Click the [Continue
Edit] button to continue making additional changes. We recommend that you create a printed
copy of your series and class (contract) data to keep for your records. Click the [Print] button to
print this page. After your successful review, click the [Confirm/Submit Changes] button to
transmit the information to EDGAR.
EDGAR Filer Manual (Volume I)
5-18
January 2020
Figure 5-17: Series and Classes (Contracts) Information Edit Confirmation Page
The successful transfer of the data to EDGAR will be shown on the Series and Classes
(Contracts) Information Edit Result page as shown in Figure 5-18. This confirms that EDGAR
has received your updated series and class (contract) information. EDGAR will deliver a
notification of this change to your e-mail address on file. Click the [Close Window] button to
close the window.
Figure 5-18: Series and Classes (Contracts) Information Edit Result Page
If you click the [Verify/Submit Changes] button on the Series and Classes (Contracts)
Information page and make no changes, the page shown in Figure 5-19: Series and Classes
(Contracts) Information Edit Confirmation Page, will be displayed stating, “No changes have
been detected.” EDGAR will give an indicator that the submission is in progress. You will see a
button to return to the Series and Classes (Contracts) Information page.
January 2020
5-19
EDGAR Filer Manual (Volume I)
Figure 5-19: Series and Classes (Contracts) Information Edit Confirmation Page
5.4.1.4.4
Series and Class Notification
Figure 5-20: Series and Class Notification, Modified Items, shows a sample of the notification
resulting from the modification of existing series and class data.
As with acceptance/suspense messages you receive for filings, EDGAR will deliver these
notifications to your e-mail address on file (you may also view this notification using the
Retrieve Submission Information option on the Retrieve/Edit Company and Submission Data
page shown in Figure 5-1: Retrieve/Edit Data Page, and described in Section 5.2, “Accessing
Submission and Company Information”). Note that the form type of the Series and Classes
(Contracts) update transmission is SCUPDAT. Each notification provides a summary of the
changes.
EDGAR Filer Manual (Volume I)
5-20
January 2020
Figure 5-20: Series and Class Notification, Modified Items
5.5
Logging in with a Different CIK
As you navigate through the Submission and Company Information page, the information you
retrieve is limited to your login CIK. If you have more than one CIK you can change to an
alternative CIK:
1. From the Retrieve/Edit Company and Submission Data page (Figure 5-2:
Retrieve/Edit Company and Submission Data Page), click ‘Enter Another CIK/CCC’.
The Retrieve/Edit Data login page (Figure 5-1: Retrieve/Edit Data Page) appears.
2. Enter your CIK and CCC and click the [Continue] button.
You can then access or edit all information associated with that CIK.
January 2020
5-21
EDGAR Filer Manual (Volume I)
5.6
Filing Fees
Filers can view their account balance and the amount of most recent deposit, via the EDGAR Filing
Website. The account balance may include any offsets used to pay for fees, as well as possible
refunds and deposits. Additionally, filers can view their account activity statement for the previous
12 months, one month at a time.
Note: The account information may take up to 24 hours from the date and time of the last
transaction to display updated information on the Balance Information page.
5.6.1
View Account Balance and Amount of Last Deposit
Once you have logged into EDGAR and accessed the Retrieve/Edit Company and Submission
Data page, you can view your balance information and amount of last deposit.
1. Click the ‘Retrieve Balance Information’ link. The Balance Information page (Figure
5-21: Balance Information Page) opens displaying the CIK, account balance, and last
deposit information for the filer.
Figure 5-21: Balance Information Page
5.6.2
2. View the account balance in the Account Balance field.
3. View the date and amount of the last deposit in the Date of Last Deposit and
Amount of Last Deposit fields.
View Account Activity Statement
Once you have logged into EDGAR and accessed the Retrieve/Edit Company and Submission
Data page, you can view your account activity statement for the previous 12 months, one month
at a time:
1. Click the ‘View Account Activity Statement’ link. The View Account Activity
Statement page opens (Figure 5-22: View Account Activity Statement Page).
EDGAR Filer Manual (Volume I)
5-22
January 2020
Figure 5-22: View Account Activity Statement Page
2. Select the statement period of the account activity statement from the Statement
Period field. You can select the period that you want to view from one of the 12
previous statement periods.
3. Click the [Submit Request] button. EDGAR will give an indicator that the submission
is in progress. The account activity statement for the selected period displays on the
Account Activity Statement page.
Figure 5-23: Account Activity Statement Page
January 2020
5-23
EDGAR Filer Manual (Volume I)
Table 5-1 contains a list of all the fields and descriptions available on the Account Activity
Statement page.
Table 5-1: A Description of Fields on the Account Activity Statement Page
Field
Period Ending
Description
Refers to the end period/date of the Account activity statement.
Account Number
The account number that identifies your account. This number
should be referenced when corresponding with the SEC.
Statement Period
Period of time covered by the statement – for example
10/1/2011 – 10/31/2011.
Beginning of Period
Field
Description
Due SEC
Total amount of funds due to the SEC at the beginning of the
statement period.
Available
Total amount of funds available at the beginning of the
statement period.
Current Activity
Field
Description
Payment Applied
Total amount of funds received during the statement period.
Includes corrections made during the statement period.
Filing Fees Incurred
Total filing fees incurred during the statement period. Includes
adjustments made during the statement period.
End of Period
Field
Description
Due SEC
Total balance owed to the SEC at the end of the statement
period.
Total balance of funds available at the end of the statement
period.
A detailed listing of account transactions and corrections made
during the statement period.
The date the transaction was posted to your account. This
This text is long and has been trimmed here. Open the source document for the complete record.
This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.