Still need help? The Filer Technical Support team is available Monday through Friday except federal holidays , from a. ET at , option 3. You should be aware that there might be subtle differences if you are using Google Chrome or IE. We also require that your browser supports JavaScript. Enable JavaScript on your browser if not currently enabled. While this feature makes filling out similar forms in the future quicker and easier, it may cause issues with editing form data in EDGAR.

Follow the steps below if you are unable to edit the data on your form because there is data already filled in from a previous filing. The Filer Technical Support team is available Monday through Friday except federal holidays , a. ET, , option 3. EDGAR is available for filing from a. ET, Monday through Friday, except federal holidays.

ET will be processed. EDGAR is unavailable for filing after p. ET and all transmissions after that time will have to be submitted the next business day.

Please be sure to use the correct website for your filing needs. If you as an individual, another individual whom you represent, or a company that you represent wants to begin filing electronically with EDGAR, you must fill out the Form ID online and follow the accompanying instructions, including uploading a notarized copy of the form. Access for new serial companies. Transmit ownership forms. Transmit XML submissions.

Submit filer-constructed XML submissions assembled offline. Please note that there is a common error you may encounter when your pop-up blocker is enabled.

After you select the type of filing and select the Next button, instead of the form opening you will see an error message stating there is currently a Form D in progress. Or you could be re-routed to the Online Forms Filer News page. To address this error, make sure to disable your pop-up blocker before selecting File Form D from the main menu. If the Form D still does not open in a new window:. The Filer Technical Support team is available to respond to procedural and technical questions about filings from a.

ET, Monday through Friday except federal holidays. There are five 5 different significant pieces of information associated with each EDGAR filer account:. It is used with a password for login identification and identifies the submitter—which could be a registrant, a non-registrant, a filing agent, or a training agent. If you already have a CIK but have forgotten, misplaced, or otherwise want to change it, you may look it up by searching for your company name using the EDGAR company search.

Regarding broker-dealers —a broker-dealer does not request a new CIK. Regarding filing agents —filing agents do not submit filings under the filing agent CIK. The passphrase:. A CCC:. Use of the CCC in submission headers. 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 the submission.

We suggest that you also avoid using these numbers and letters when changing your CCC. Releasing the CCC to filing agents and financial printers —if you use a filing agent, you may release the CCC to your agent because you must include a CCC in your submission. When a third-party agent submits a filing for you, the agent uses its own login CIK and password to establish authorization to make a submission.

However, the agent must use your CIK and CCC in your submission in order to identify you as the entity for which the submission is being made. Changing your CCC —we recommend that you change your CCC after a third-party filing agent has used it for a submission on your behalf. This will prevent the filing agent from inadvertently making unauthorized filings using your access codes. This can occur if a filing agent does not carefully check the codes it uses in a filing prior to submitting it.

You may also want to change your CCC for security purposes. Although your CIK is public and you may give it and the CCC to your agent to make submissions on your behalf, you should hold your password in strictest confidence. Please note that as of September , passwords have changed from an eight 8 to a twelve 12 character format.

Your 8-character password created before this time will still be valid until its expiration date. We suggest you change it to 12 characters when prompted. A password modification authorization code PMAC that allows you to change your password. To protect the integrity and security of the data you send, you must limit the number of people who know your access codes. The SEC does not keep these codes on file. Only one Form ID should be submitted for a registrant or an individual applicant.

Retain a record of your assigned CIK. The three access codes are:. If you have forgotten your passphrase, you will need to submit a request to update your passphrase in order to generate new access codes.

The passphrase should be strictly controlled by your organization as it allows you to generate new access codes for your filing entity.

Please do not call Filer Support asking to retrieve or reset your access codes. This request can be made through either the security token or manual update processes. The EDGAR password expires annually, 12 months after it was created or last changed, and must be changed before the expiration date. To change your password, you must have a valid password modification authorization code PMAC.

Follow these steps:. 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.

In this case, your request for a new passphrase must follow the Updating the passphrase—manual update process described above, which requires the submission of a signed and notarized authenticating document.

So be sure to keep your password up to date. You should limit the number of people with whom you share your access codes to protect the data submitted. Applicant refers to the individual or company that needs to file with the SEC. Thus, if you represent an individual or company, the applicant is not you but rather the individual or company that you represent. It is important to review the Applicant Types drop-down list and select the appropriate type.

If none of the filer types apply to the individual or company who will be making submissions using the new central index key CIK number, then select filer.

Please note these definitions are meant to facilitate the correct selection of Applicant Type and are not intended to amend or otherwise change any provision of the federal securities laws or the regulations promulgated thereunder. To the extent that a definition cross-references a particular statute, such definition shall also include any rules or regulations promulgated by the SEC further refining the statutory definition.

The sections that are required are based upon these filer attributes and are specified in the table below. Applicant Type. Filer Company. Filer Individual. Filing Agent Company. Filing Agent Individual. Funding Portal Company. Funding Portal Individual. Large Trader Company. Large Trader Individual. Municipal Advisor Company. Municipal Advisor Individual. Training Agent Company. Training Agent Individual. Transfer Agent Company. Transfer Agent Individual. If either value is selected, then EDGAR will display a pop-up window and change the Applicant Type selection to Filer once the pop-up window is closed.

Please note that additional instructions and guidance are provided within the online Form ID application itself. Paper Form ID applications are not accepted. More information about the notarization process is included below. When can I submit my Form ID application? You may submit your Form ID and authenticating document from a. If you submit a Form ID transmission before p.

ET, it will be processed. ET, a Form ID transmission after that time will have to be submitted the next business day. Please be aware that if an applicant seeks to make submissions on EDGAR in more than one capacity—filer, filing agent for another individual or company, transfer agent, training agent, municipal advisor, large trader, or other applicant type—the applicant must submit a Form ID for each capacity in which it will submit filings, indicating the filing capacity on the Form ID.

The SEC will issue a separate set of access codes to the applicant for each capacity. These six steps illustrate the process you will need to follow in submitting the electronic Form ID application. Before beginning your application, you should gather all required information as detailed below. You will then be taken to the following screen.

After selecting this button, you will be prompted to upload your previously saved Form ID application. You must complete all required fields—those fields with an asterisk to the right of the labeled field name.

If you submit a Form ID that is missing information in the required fields, the application will be considered incomplete and cannot be submitted.

You may access additional instructions within the Form ID application itself by hovering over the different field label names. On the top of the page, indicate the applicant type and whether the applicant is an individual or company.

You should review the drop-down list of applicant types carefully and be sure to select the appropriate applicant type. If none of the applicant types apply to the individual or company applicant that will use the central index key CIK number, then select filer. Please make sure that you review the Understand and utilize EDGAR applicant types guidance so that you select the correct applicant type.

When entering the applicant name, please be aware that EDGAR may modify the applicant name you enter to conform to the following standards. You may wish to avoid EDGAR making these modifications by omitting these issues from the applicant name you enter.

You must have the Form ID application signed by an authorized individual of the company and notarized. The signed and notarized copy of your Form ID is referred to as the authenticating document, which helps protect filers by ensuring that Form ID submissions on their behalf are authentic and legitimate. Foreign filers who do not have access to a U. The application can also include other attachments such as a cover letter or a power of attorney.

Scan your authenticating document if necessary and save it locally as a PDF file. You will have the option to browse for the appropriate file and upload it. The restored file will then pre-populate with all of your previous information. Follow the same process described above to attach a power of attorney POA document and any additional documents such as cover letters, exhibits, or correspondence.

Attachments must conform to the file naming standards listed above and must have an extension of. To view the errors, 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. Correct any document errors using the tool that created the document. Create your passphrase by entering it in the Add Passphrase page shown above. A message will appear confirming that you wish to proceed with the submission. Only one applicant per Form ID is allowed. Invalid file name. This error message refers specifically to the file name, not the file path where the document is located that is sometimes visible in EDGAR when a filer uploads their document.

This error message is generated when the PDF contains unrecognizable text. Make sure the PDF document does not contain any active content embedded JavaScript , external references destinations, hyperlinks, etc. If you continue to receive the error, open the document in Adobe and complete the steps below to reformat the PDF as an image. The name you have selected is a duplicate of an existing name.

If your company name matches the CIK assigned to another entity, resubmit the Form ID with a memo at the top of the form declaring that your company is a new, unique entity that is not affiliated with the other company CIK.

Include a description such as the state of incorporation to distinguish your company. The Filer Technical Support team is available Monday through Friday, except federal holidays, a.

On this page you may also:. On this page, you have another opportunity to edit the information for the requested issuing entities or to cancel the request.

A screen will appear confirming your submission, including the accession number of that submission. Refer to that accession number if contacting Filer Support regarding this submission.

What happens next? If it is determined that any of the names of the issuing entities is not appropriate, the entire request may be rejected. If this occurs, you must resubmit the entire request for all requested issuing entities. See Generate Access Codes instructions below. To do so, they must check the box on Form H that asks if the filing relates to a serial company. Check the Serial? Please note that the Serial? If there are any co-registrants, enter the CIK, CCC, and file number information for those co-registrants at the bottom of the page.

Attach your H document and any other attachments, then transmit the submission. You should thereafter receive a notification at the email address on file in EDGAR when the submission has been accepted. The confirmation screen provides the accession number of the submission. Create a passphrase and enter an email address where confirmation will be sent then click the Continue button. The document must be signed by an authorized individual of the company—for example, the CEO, CFO, partner, corporate secretary, officer, director, or treasurer—and notarized.

Referred to as the authenticating document, this signed and notarized document helps protect filers by ensuring that submissions on their behalf are authentic and legitimate. Scan the signed, notarized authenticating document if necessary and save as a PDF file.

You are now ready to generate access codes. Then click the Generate Access Codes button. When the request has been confirmed, an acknowledgment page will display the new set of EDGAR access codes. The access codes will only be displayed once, so you must record them prior to exiting the acknowledgment page.

Filer Support will not have access to these codes. When making a substantive filing to add new series and classes contracts , IDs can be obtained in the following manner:. Each notification provides a summary of the changes. Investment company type changes —Filers can use the site to change their investment company type.

Changes to an investment company type are not automatic. A notice will be sent to the email on file when the review is complete. Status changes —Filers can use the site to change an operational status from active to inactive or merged. An ID can also have its status returned to active note that this is rare.

The SEC. If you have any doubt or confusion over which form you should file, please consult your lawyer or federal securities law advisor.

You may submit the PDF version of your filing as an unofficial document attachment to your assembled submission. Your file submission size—including all attached documents—must not exceed MB for all form types except: If your document attachment is larger than the size limit, split the document into two or more documents. The header tag element of your HTML document represents a container for introductory content.

The tagging language is a powerful data representation method that enhances the method of displayed public information. If you are amending a previous filing, enter your CIK and CCC—as well as the accession number of the submission—to populate the existing data. Many EDGAR filings include attached documents that are labeled according to their content; these are known as exhibits.

You must accurately and clearly label all of your exhibits. If you have multiple exhibits of a certain type for example, three different Exhibits 99 , then you must name them sequentially as they should be considered for example, Exhibit 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.

Step-by-step instructions are available at Prepare, save, and attach an org chart. 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. Printing errors such as opening a blank form may be due to configuration issues. The form may also be printed after it has been submitted, reviewed, and disseminated on SEC. You can save a form in progress on your computer by using the save button.

The form will be saved as an. Make sure you save this file with the same name and. As an EDGAR filer, you have provided the EDGAR system with certain information about yourself or your company, including the filer's current name, mailing address, email address, telephone number, and the person whom we may contact with questions about a filing.

If your information is not entered accurately, or kept current, the SEC staff may not be able to expeditiously communicate with you regarding the status of your filings.

The contact for SEC account Information and billing invoices is used to process electronically fee payments and billings. If the address changes and is not updated, your account statements may be returned to the SEC as undeliverable. In other words, if your filer attribute is Filing Agent, the Filer Information section will not be displayed. Click the Edit Company Information button at the bottom of the page. The Edit Company Information page will appear. If you do not complete all required fields, you will receive an error message upon submission.

When finished, click the Submit Changes button. The Company Information Edit Confirmation page will appear. Companies and Other Filers. You can also search for all SEC-registered companies in a particular state. Or you can search for all companies with a specific SIC code. Once you've found the company you want, you can limit the search results by date for example, "Prior to " or by the type of filing for example, "K". Latest Filings. If you want to retrieve a paper filing, please refer to our Fast Answer: Requesting Public Documents.

Tip: For best results when using the Simple search syntax, use lower-case only and make use of phrase delimiters commas, "and", "or", etc. For example, to search on "Washington Energy" and "Utility", use the keyphrase washington energy and utility. Current Events Analysis. Variable Insurance Products. Effectiveness Notices. Each directory and all child subdirectories contain three files to assist in automated crawling of these directories.

Note that these are not visible through directory browsing. Each feed and oldloads directory and all child subdirectories contain three files to assist in automated crawling of these directories:. The index paths link to the raw text version of the complete disseminated filing content, for example:. All the documents submitted for a given filing will be in this directory:.

Accession number: In the example above, is the accession number, a unique identifier assigned automatically to an accepted submission by EDGAR.

The first set of numbers is the CIK of the entity submitting the filing. This could be the company or a third-party filer agent. The next two numbers 15 represent the year. The last series of numbers represent a sequential count of submitted filings from that CIK.

The count is usually, but not always, reset to zero at the start of each calendar year. Each CIK directory and all child subdirectories contain three files to assist in automated crawling of these directories.