Procedures for Broker-Dealers to Obtain EDGAR Access Credentials for Submission of X-17A-5 Part III Annual Reports and Amendments

A broker-dealer can obtain EDGAR login credentials as follows:

  • Use a web browser to navigate to the EDGAR Filer Management website: https://www.filermanagement.edgarfiling.sec.gov/
  • On the navigation bar on the left, click ”Convert Paper Only Filer to Electronic Filer”
  • You will be asked to enter the following:
    • CIK — the firm’s existing CIK must be entered
      If the CIK is unknown, the EDGAR Search function can be used to find it:
      http://www.sec.gov/edgar/searchedgar/companysearch.html. If the firm has multiple CIK numbers, it must use the CIK number associated with its FOCUS Reports (the firm’s File Number will begin with 008) on EDGAR.
    • Passphrase — select a passphrase that will be specific to you. While it is recommended that the alphabetic portion be all lowercase, the requirements are that the passphrase must be 8 characters long and must contain at least one digit and one of the following characters: @, #, *, or $
    • Email Address — this is the email address where confirmation will be sent.
  • Once you enter the above information and click “Continue,” you will see a confirmation page.
    PRINT the Confirmation page, and have it signed by an Officer of the Firm
    Have the signed page NOTARIZED
    SCAN the signed, notarized confirmation page to a PDF file
  • Re-enter the EDGAR Filer Management website and select the same option as before: “Convert Paper Only Filer to Electronic Filer.” Re-enter the CIK, Passphrase and Email address as explained in the steps above and select “Continue.”
  • There will now be an option to UPLOAD the scanned document. Click to UPLOAD, then SUBMIT.
  • SEC staff will review the request, and there is a 24- to 48-hour turn-around time for processing.

The following resources are available for assistance as needed:

  • EDGAR Filer Manual — Volume I, Section 3 (“Becoming an EDGAR Filer”); sub-section 3.3.1, (“Current Paper Only Filer”) contains detailed instructions, including screen shots, for obtaining log-in credentials. As of December 2015, this subsection was located at page 3-34 of Volume I of the EDGAR Filer Manual. A link to the current version of Volume I of the EDGAR Filer Manual is available at http://www.sec.gov/info/edgar/edmanuals.htm.
  • EDGAR Filer Technical Support via Phone: 202-551-8900, Option # 3 (technicians are available live from 9:00 am-5:30 pm EST Monday-Friday).
  • EDGAR Filer Technical Support via eMail: filertechunit@sec.gov.