The Online Forms Management Website will guide you through the process. When you are certain that the data you have entered is correct, then use the Transmit Submission button to send in your submission. There are companies that develop value-added software for the preparation and submission of EDGAR filings.
Many times a subsection of the filing community will find this software desirable and the programs may include capabilities beyond those provided by EDGAR. Some filers may also want to develop their own interface to larger computer systems that will deliver tagged form output ready for submission. Other filers may want to develop their own tagged files without the aid of computer programs or interfaces.
We call all of these types of submissions filer-constructed. To facilitate this type of filing content development, the SEC publishes technical specifications that allow companies to create software or format output compatible with the EDGAR system. The SEC does not provide support services for this type of development, but keeps the technical documentation up-to-date to coincide with EDGAR releases.
While we cannot always provide the amount of lead time that development firms would like to create or modify their software, we publish these technical specifications in a draft format thirty days prior to the actual upgrade.
Draft EDGAR technical specifications—posted before Commission approval of potential regulatory changes in a release—are provided as a service to our filing community to assist filers, agents, and software developers in preparing for potential changes the SEC staff anticipates. Since these are draft specifications, the SEC retains the right to change any part of the specification before the release is made final.
The changes outlined in the technical specifications will note the date that these changes, if related regulations are approved, are scheduled to take effect. The schedule is subject to change. The final versions of the technical specifications are made available on or shortly after the release date on the SEC. Most filers will not use the technical specifications. Only those companies with technical skill sets and understanding needed to produce software that creates submissions or filer-constructed documents should utilize these manuals.
Online filings are produced in XML format. The XML Technical Specification is comprised of a number of documents, each specifying the format for a specific submission type or a small group of related submission types. The specification includes a description of all of the tags and the allowable content and format of the data elements.
In this type of submission, the form type is made up of XML content. The technical specification reflects this aspect and describes all of the form content in a tagged structure. The technical specification also includes the details on how to encode and attach additional document content such as cover letters and correspondence.
After you prepare your filer-constructed submissions, you can submit them using the EDGAR website pages for transmitting filings. Directions on these websites guide you to select the file to be transmitted. To the right of the page, find the Submission Types field and select the desired submission type s. Click the Go to Form button. Click on the Documents tab at upper left.
The name of your file will appear in the File Name field. You must indicate the type e. You may also delete and view each document you attach using the buttons on the top of the Documents page.
You may add multiple email addresses where you would like notification messages sent e. Validate your attachment for errors by selecting the check box corresponding to the attachment and clicking on the Document Validation button. Click the value in the Errors field of each validated document to view validation errors if any. EDGAR will automatically validate your submission information. Error messages will be shown in red and display a red X icon next to the field names to indicate which fields contain invalid information.
For further information. The Filer Technical Support team is also available Monday through Friday except federal holidays , a. If using a Windows operating system select Start from the Task Bar typically located in the lower left corner of the screen. In the Search programs and files field, enter Notepad. Type the following tags in Notepad exactly as they appear in the example below please note that you should enter your own title of the document in the Title section.
Please note that this method retains a table's content; however, the table structure is not preserved. Apostrophes and smart quotations are sometimes marked as invalid characters because other fonts can create a slanted apostrophe that ASCII cannot recognize.
So it is important to use Courier or Courier New to make sure the apostrophe is not slanted. Formatting such as bold face, underlining, italics, special characters or symbols, automatic pagination, headers or footers, and print fonts are not part of the standard ASCII character set and therefore are not recognized by EDGAR. Certain word processing software programs will convert apostrophes and quotation marks to smart quotes and replace hyphens with en and em dashes.
It is helpful to open the document in NotePad—a simple text editor included in Microsoft Windows—in order to reference the line numbers and specific invalid characters detected by EDGAR. Open the plain text document in Notepad, delete the invalid characters, and replace with valid characters. The following step-by-step guide is provided to assist filers in preparing and attaching an organizational chart to Form 13H. A document that consists of scanned images of text cannot be read by EDGAR because the content represents a graphic, not searchable text.
In addition, the organizational chart cannot contain excessive formatting or validation errors will result. The steps to assemble a simple organizational chart, save it as a PDF, and use the text recognition feature in Adobe are as follows.
After you have completed your organizational chart and ensured it does not contain excessive formatting, save it in Microsoft Word. Rename and save your file as an Adobe PDF, keeping in mind the following file name restrictions:. Return to the Form ID application. Select the Documents tab and upload the scanned PDF. Click Submit. Click in the form on the first page and a snapshot will be taken of that page. You will receive a message that the area has been copied.
Go back to Adobe Reader and repeat Step 2 on the second page. Paste the second page into Word after the first page. The information table should have exactly 12 columns with corresponding column headers as depicted below. Data input errors will cause subsequent schema validation errors when the table is exported to XML.
To avoid data input errors, please ensure the following:. Please note that the method for extracting the files to a folder varies depending on the zip software. Select the link to the compressed folder at the bottom of the page to download and save the 13F XML Technical Specification file.
Browse to locate the saved schema file in the Extract Compressed Zipped Folders window and select Extract. The Main Tabs option should be selected under the drop down listed under Customize Ribbon. The following instructions and corresponding images display the options in Excel ; please consult other resources if you have another version of Excel. Select ns1:informationTable to highlight the map. Select the highlighted XML map by clicking the parent cell, ns1:informationTable.
Hold the mouse down to drag the highlighted map to the A1 cell Name of Issuer. The information table will be highlighted as depicted below. Save the XML file to your desktop or desired location. The address bar on the top displays where the XML document will be exported. XML files can be saved in different locations by clicking different folders on the top, left-hand side of the application. The saved online form will be saved to the Downloads folder and will have an.
If you would like to save the form, select the Save button. You will be able to save the form to your computer so that you may use the Continue with a Saved Form option within the Type of Filing selection. Subscribe to receive our latest news and announcements in your inbox.
Search SEC. Securities and Exchange Commission. If you continue to experience issues, you may need to contact your system administrator for further assistance with internal firewall security setting issues. Clear browser history, cache, and cookies Certain browser history, cache, and cookies files stored on your local computer may cause an error when loading the EDGAR filing websites.
To ensure proper loading of these websites, you may need to clear previous stored files from your computer. This will allow pop-ups to come up when using Google Chrome. Using Internet Explorer—clear autocompleted data and disable the autocomplete feature How to clear autocomplete data 1 Click on the Tools menu icon in Internet Explorer, which is the gear at top right of screen. Using Internet Explorer—disable the pop-up blocker 1 In Internet Explorer, click on the Tools menu icon, which is the gear at top right of screen.
This message may appear when there is an active form open in a separate window or if the form window was not properly closed using the exit button. If you see a discontinued login session or timeout message, close your browser, then reopen the browser and start a new session.
If the issue persists, you may need to configure your browser see above for instructions and also clear your browser history and cookies. Multiple login attempts may trigger a session timeout, locking you out of the site.
Wait minutes and then try to login again. If you are timed out because you have forgotten your password or your password has expired, you must reset your password refer to Understand and utilize EDGAR CIKs, passphrases, and access codes for instructions. You need to change your access codes for security i. You may: Update company information. Change company password or CCC. Retrieve submission information. Retrieve return copies.
Request creation of asset-backed securities ABS issuing entities. Enter series and classes contracts information. Request return of unused funds. Retrieve balance information. View account activity statement. Transmit submissions. You may transmit single or bulk filings.
Assemble and submit Regulation D Form D forms. What website is used to file the electronic Form D? There are five 5 different significant pieces of information associated with each EDGAR filer account: 1. The CIK: Is made available to the public. Allows the SEC to differentiate between filing entities with similar names. Is a permanent identifier; it may not be changed and never expires. Regarding training agents —training agents may only send test submissions.
Is case-sensitive and you must use it exactly as created, either upper case or lower case. Never expires. Is a very sensitive code that should be strictly controlled; access to it within your organization should be extremely limited. Never expires, but can be changed by the filer at any time by using your PMAC.
Can be re-generated at any time by using your passphrase. Can be changed at any time by using your PMAC. Expires annually from the date you created it or was last changed so please ensure you change your password annually via the EDGAR Filing Website.
Is a very private code, and only one or two persons in an organization should know it. Generating access codes—new and replacement You should generate new access codes if you: Are you a new filer; Forgot your password or your password has expired; Forgot one or all of your access codes PMAC, CCC, and password ; or Would like to generate new access codes for security purposes. Click Generate Access Codes from the menu options. It is recommended that you print this window and store the codes in a safe location.
It may be helpful to include the date you generated these codes as the password expires annually see below for how to update your password.
Updating the passphrase—security token process. Use only if you have access to the email on file. Sends a security token—used to generate a new passphrase—to the email on file. Is instantaneous and does not require a waiting period of 2 business days.
Follow these steps to submit an update passphrase request through the security token process. On the left-hand side menu, click the Update Passphrase option. A new window will pop up with three options.
Select Continue. Within the next few minutes, an email—containing your security token—will be sent to the address on file with the CIK. Manually type the security token number into the box marked Security Token. Now create your new passphrase, which must be exactly eight 8 characters, all lowercase. It also must contain one of the four 4 special characters listed, at least one number, and at least one letter.
Type the passphrase again to confirm and then submit. The system will return an accession number to confirm your passphrase has been updated. Updating the passphrase—manual update process. Use only if the email on file is not current or is missing, or if you are otherwise unable to use the security token process.
Requires a signed and notarized attachment. Requires a manual review and can take a waiting period of 2 business days. Follow these steps to submit an update passphrase request through the manual update process. Type the passphrase again to confirm.
The system will then display what the form will look like upon printing. Click Print Window. If necessary, make any adjustments to the contact information by manually crossing it out and replacing it with legible handwriting or text. The SEC will use the contact name and phone number to call the individual and confirm the passphrase update, so please ensure you are listing the relevant individual.
Once access codes are generated, this information can be changed by updating your company information. This form must be manually signed by an authorized person and notarized, and a power of attorney must also be included if necessary. The notary seal or stamp must be clearly visible. Scan in the document s if necessary and save as a.
Next click OK. The system will then take you to a page where you will then click Submit. The system will return an accession number to confirm that your passphrase request has been submitted for manual review. Record the accession number for future reference. Wait business days for the SEC to approve your request. You may also call Filer Technical Support to check on the status , Option 3. A third-party filing agent has submitted filings on your behalf.
Enter CIK and password. Select Change CCC. Enter CIK number. Enter Password. Enter new CCC. Confirm new CCC. Changing the password The EDGAR password expires annually, 12 months after it was created or last changed, and must be changed before the expiration date.
Follow these steps: Enter CIK and password. Select Change Password. Enter old password. Enter new password twice. Enter PMAC. Sharing access codes You should limit the number of people with whom you share your access codes to protect the data submitted. The filing agent applicant type must be used only by a financial printer, law firm, or other person, who will be using the access codes to submit a filing or portion of a filing on behalf of a filer.
Indicate whether you are filing for an individual person or a company. The following are definitions for each of the applicant types. Clearing Agency —Any person that is a "clearing agency" as defined in Section 3 a 23 of the Securities Exchange Act of , as amended. See 15 U. Filer —Any person or company on whose behalf an electronic filing is made that is not otherwise covered by another applicant type. Filing Agent —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.
Funding Portal —A broker acting as an intermediary in a transaction involving the offer or sale of securities offered and sold in reliance on Section 4 a 6 of the Securities Act, that does not: 1 offer investment advice or recommendations; 2 solicit purchases, sales or offers to buy the securities displayed on its platform; 3 compensate employees, agents, or other persons for such solicitation or based on the sale of securities displayed or referenced on its platform; or 4 hold, manage, possess, or otherwise handle investor funds or securities.
Municipal Advisor —Any person that is a "municipal advisor" as defined in Section 15B e 4 of the Securities Exchange Act of , as amended. Municipal Securities Dealer —Any person that is a "municipal securities dealer" as defined in Section 3 a 30 of the Securities Exchange Act of , as amended. Nationally Recognized Statistical Rating Organization —Any person that is a "nationally recognized statistical rating organization" as defined in Section 3 a 62 of the Securities Exchange Act of , as amended.
Non-Investment Company Applicant under the Investment Company Act of —Any person submitting an application for an order seeking an exemption under the Investment Company Act of , as amended. Security-Based Swap Data Repository —Any person that is a "security-based swap data repository" as defined in Section 3 a 75 of the Securities Exchange Act of , as amended.
Security-Based Swap Dealer and Major Security-Based Swap Participant —Any person that is a "security-based swap dealer" or a "major security-based swap participant" as each term is defined in Sections 3 a 71 and 67 of the Securities Exchange Act of , as amended. Security-Based Swap Execution Facility —A trading system or platform that is a "security-based swap execution facility" as defined in Section 3 a 77 of the Securities Exchange Act of , as amended.
Training Agent —Any person that will be sending only test filings in conjunction with training other persons. Transfer Agent —Any person that is a "transfer agent" as defined in Section 3 a 25 of the Securities Exchange Act of , as amended. On this page you may also: Add additional ABS issuing entities to the request; Modify the name, email address, or passphrase of any ABS issuing entity listed on the request; or Delete an ABS issuing entity from the request.
Scroll through the submission type list, select H, and click Go to Form. File names for the authenticatiing PDF must adhere to all of the following restrictions: 32 characters or less, including the file extension. All characters must be lowercase. File name must start with a letter a-z and not contain spaces. May contain digits May have up to one period. Generate access codes 1. Check the Adding New radio button. After submission, an acceptance notice sent to the email address on file will list the new IDs.
They cannot be selected by the filer. Where do I make changes to ID information? The Series and Classes Contracts Information page will appear. This is the page where you can edit your information. The Edit Investment Company Type page will appear. Select the correct investment company type from the drop-down list. Click OK to accept the selection or click Cancel to cancel your selection. To modify series and class contract information: Select the radio button next to the series or class contract you want to update.
Click Modify. A new page will appear where you can edit your series or class contract. Enter the updated information. Click OK to accept the changes or click Cancel to cancel the changes.
All updated information will be displayed in blue text. Repeat the above steps for each item you want to update. Otherwise you can select Continue Edit to go back to the editing page.
Below is a discussion of each status: Active —Series and classes contracts will automatically receive an active status upon creation in EDGAR. Except in certain limited circumstances, filers should not change a status from inactive or merged to active. A change in status to active will be blocked for SEC review and may be suspended. Inactive —Series or classes contracts that are no longer offered, go out of existence, or de-register should change their status to Inactive after the last EDGAR filing for the series or class contract has been made.
For a status to be changed to merged, the original status must be active. Please note: If a series status is changed, all the associated classes contracts will automatically be updated with the same status. All active series must have at least one active class. If the class is the only one for an active series, then its status cannot be changed to inactive.
If you change the series status to inactive then the class status will automatically be changed to inactive. Please note: A series or class contract name cannot be blank.
Two series regardless of status within the same filer cannot have identical names. A class contract name cannot be used for more one class of the series. Ticker symbols cannot be a duplicate for the filer. Each line must not exceed 80 characters including spaces.
The font must be Courier or Courier New, font size Make the margins at least 1 inch on the right and left. HTML header tags—what are they? Organizational charts If you choose to attach a document consisting of an organizational chart to your H filing, it must be uploaded as a readable PDF document with scanned images that have been parsed for character recognition to pass EDGAR validation.
Printing If you would like to print a form prior to submitting, click the print button in the form and choose a blank form or the current form with your form data. Saving form data. The Company Information page will appear. Editing company information Click the Edit Company Information button at the bottom of the page. Click on the field you want to edit and update that information. If this is the case, a pop-up dialog box indicating the company name you entered as well as the EDGAR conformed company name will appear to inform you that the name you entered was modified.
You will be informed of any changes made by the software once you submit your changes. To cancel the changes, click the Cancel Changes button or click on the browser's back button. The Edit Company Information Results page will then appear confirming your changes.
You can then access or edit all information associated with that CIK. Company information changes to the mailing address, contact person, state of incorporation, etc. This process may take a few minutes. Company name changes, however, must be reviewed and accepted by our Filer Support staff to ensure that any change to a company's name is appropriate. If your proposed name change is rejected, you will receive a suspension notification message; otherwise you will receive an acceptance notification message.
Once accepted, the updated name will not appear on SEC. Determining filing fee rate. Learning about filing fee options choose the Filing Fee Registrants tab. Paying fees by wire transfer Fedwire. Viewing your account balance, amount of last deposit, and account activity. Note that 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. Calculating fees. Using the Registration Fee Estimator. Amending a filing.
Avoiding incorrectly used form types related to filing fees. Requesting a refund. Learning about filing fee Fedwire tags and terminology and the answers to frequently asked questions. Filers should be prepared to correct the following matters through corrective disclosure--in other words, by filing a correction or amendment to the incorrect filing, or, if applicable, withdrawing a duplicate filing: To correct the submission type.
If a filing is submitted using the wrong submission type, the filer should refile the document using the correct submission type. To correct the file number. If a filing includes an incorrect file number, a filer may refile the document with the correct file number.
To correct other information in a filing. If a filing is made containing incorrect text, the filer may refile the document with the correct information. Staff will not make pre- or post-acceptance changes to the text of filings. In a request for header information changes, please provide the following information: The name and CIK of the company; The accession number of the filing that is the subject of the request; The EDGAR submission type of the filing that is the subject of the request; Identification of the specific error; Identification of the correct information that the filer should have used; and An affirmative request that we change the submission to correct the information.
You should receive emails for every filing submitted using your CIK if you have set up your company information properly. The email should include The accession number received after submitting the request to EDGAR; and A name, email address, and phone number for the person the SEC should contact regarding the request. The SEC generally processes filing date adjustment requests within business days of receipt. The request must include all of the following: The reason s that the hardware and software necessary to submit electronically is not available without unreasonable burden and expense; A description of the burden and expense that would be involved to employ alternative means to make the electronic submission; The reasons for not submitting electronically the document or group of documents; and A justification for the requested time period.
The description field is optional. Browse for the PDF document from your computer and add it. If document format errors exist—indicated by a red number in the Errors column—click on the red number to see a list of those errors. Return to your original document before upload and correct the document errors; then upload the corrected document. Be sure to validate the document again, as described above, to ensure all errors were corrected.
If you need assistance please contact Filer Technical Support at , option 3. You may validate the attached copy of your document by selecting the Doc Validation button at the top of the Documents tab.
Provide general submission information, including a CIK, contact name, phone number, and email address. Provide additional email addresses to receive filer notification messages. Provide all of the necessary information required by the SEC rules that form, such as reporting period end date or reporting file number. Provide your signature and signature date.
Verify the information on the form. If relevant, edit reporting owner address on the form where necessary. Upload attachments, i. Review and confirm your information in the context of the form you are filing and then print the submission for your records.
For example, if you are filing ownership forms on behalf of a company's officers and directors, you must create a separate form for EACH officer and director. For ownership form types, there is no capability to save work in progress , so it is important for you to have all of the information necessary to complete the form before you begin to assemble your submission online.
You can exit the window at any time to discard your work in progress and start over. The maximum size of your submission must not exceed MB. Transmitting an online XML form When you create an online form, the preparation and transmission processes are combined in a single browser session. Filer-constructed submissions The SEC recognizes that there are cases when filers will want to prepare their own submissions without the use of the EDGAR filer interface.
Transmitting filer-constructed submissions After you prepare your filer-constructed submissions, you can submit them using the EDGAR website pages for transmitting filings. Company Filings. All companies, foreign and domestic, are required to file registration statements, periodic reports, and other forms electronically through the U. Anyone can access and download this information for free or query it through a variety of EDGAR public searches.
Download only what you need and please moderate requests to minimize server load. SEC reserves the right to limit request rates to preserve fair access for all users. See our Internet Security Policy for our current rate request limit. The SEC does not allow botnets or automated tools to crawl the site. Any request that has been identified as part of a botnet or an automated tool outside of the acceptable policy will be managed to ensure fair access for all users. Paper copies of filing documents prior to may be available by filing a Freedom of Information Act request.
EDGAR accepts new filer applications, new filings, and changes to filer data each business day, Monday through Friday, from a. Indexes incorporating the current business day's filings are updated nightly starting about p.
Some filing submissions that begin after p. ET—or p. Filings are sometimes authorized by SEC staff for removal or correction for a variety of reasons at the filer's request including, but not limited to, the document was submitted for the wrong filer, the document was a duplicate of a previously filed document, the document in its current form was unreadable, or the document contained sensitive information. Corrections processed during a given business day will be incorporated in the indexes built that evening.
However, removals processed on subsequent business days will not be reflected in any previous daily, feed, or oldload index. The full and quarterly index files are rebuilt weekly, early on Saturday mornings, so that any post-acceptance correction PAC deletes or updates are incorporated.
Indexes to all public filings are available from Q3 through the present and located in the following browsable directories:.
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