Prior to submitting documents to the EDGAR system a filer needs to register with the SEC. This is accomplished by completing and submitting a Form ID to the SEC. Upon approval of the Form ID the filer will be permitted to create the required filing codes. These codes enable the filer to submit documents to the SEC via EDGAR.
How do I register a company or insider as an EDGAR filer?
These steps should only be followed if you are a new filer. Once complete you will receive the required filing codes.
To prevent double registration seach for the company or insider on the EDGAR system. If results are not found, continue with the steps below. If results are found obtain the company or insider's filing codes as opposed to registering a second time with EDGAR.
Open the Filer Management web site.
Click the "Press Here to Begin" button and then click on the "Apply for EDGAR Access (New)" link in the resulting menu.
Complete and submit the resulting Form ID. You will be asked to create a passphrase; please make note of this passphrase as you will need to use it later when generating your codes.
Once the Form ID has been submitted electronically, use the "print screen" option to print out a copy of the Form ID.
Sign and notarize the printed Form ID and fax it to the SEC at 202-504-2474.
Upon receiving both the Form ID and notarized document, the SEC will approve the application and email the instructions and information needed to create filing codes. This email will be sent to the email address provided in the Form ID. Please note it may take several days until the application is approved.
Once the acceptance email has been received, open the Filer Management web site, click on "Generate Access Codes (New/Replacement)" and submit the form using the passphrase you created and the CIK code provided in the email from the SEC. The registration process will then be complete.
How does the Form ID authentication procedure work?
The Form ID application must be supplemented with additional verification to help ensure that the application is authentic. Accordingly, the applicant is required to file with the SEC in paper by fax within two business days before or after electronically filing Form ID a notarized document, manually signed by the applicant over its typed signature, that includes the information contained in the Form ID filed or to be filed and confirms the authenticity of the Form ID. If the SEC does not receive the fax within this period, it will reject the application and the applicant will need to reapply.
After both the electronic Form ID application and the associated authentication documentation are received by the SEC, the SEC will review and accept or reject the information provided on the Form ID. This is a manual process that is not immediate and that may require a day or more to complete.
A notification message stating the SEC’s disposition of the application will be sent to the e-mail address provided in the "Contact for EDGAR Information" part of the Form ID. The disposition will be either "accepted" or "rejected."
If the application was accepted, the e-mail message will include but will not be limited to the following information:
- Text saying that the Form ID was accepted by the SEC
- The new Central Index Key [CIK]
- Basic directions for how to generate EDGAR access codes
- The URL of the EDGAR Filer Management web site
If the application was rejected, the e-mail message will include but will not be limited to the following information:
- Text saying that the submission was rejected by the SEC
- The reason that the application was rejected
- Basic instructions on how to resolve the issues
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