Procedures to Obtain EDGAR Access for Submission of Form X-17A-5 Part III Annual Reports

A broker-dealer or a security-based swap dealer or major security-based swap participant for which there is no prudential regulator (“stand-alone SBSE”) must have electronic access to its EDGAR account to submit Form X-17A-5 Part III annual reports and amendments to the SEC.

• An EDGAR account is identified by a unique number assigned by EDGAR known as the Central Index Key or “CIK” number. The terms “EDGAR account,” “EDGAR CIK account,” “CIK account,” and “CIK” all have the same meaning.

If a broker-dealer or stand-alone SBSE has multiple CIKs, it must file annual reports on the CIK associated with its annual reports on EDGAR (the file number will begin with 008 or 026).

Prior Electronic Filer That Has Lost Access Codes

If a filer has filed electronically on its CIK account on EDGAR in the past but cannot locate its current EDGAR access codes, the filer can reset those codes. Consult How Do I Understand and Utilize EDGAR CIKs, Passphrases, and Access Codes.

No Prior Electronic Filing on EDGAR Account

If the filer does not have electronic access to its EDGAR account and has not previously filed electronically on EDGAR, complete and submit a Form ID application for access on the EDGAR Filer Management website.

• Follow the requirements of the EDGAR Filer Manual, Volume I, the instructions that accompany Form ID, and How Do I Prepare and Submit my Form ID Application.

Complete and submit Form ID as soon as possible to allow sufficient time for staff review and processing of the application prior to the requirement to file.

• Please refer to How Do I Prepare and Submit my Form ID Application for current Form ID processing times and plan accordingly.

Account administrators listed on Form ID need Login.gov individual account credentials to log into the EDGAR Filer Management website to manage the filer’s EDGAR account. Use the same email address on Form ID, for Login.gov individual account credentials, and to log into EDGAR.

• Refer to How Do I Obtain Login.gov Individual Account Credentials or view the Obtaining Individual Account Credentials video on the SEC YouTube channel.

Immediately upon obtaining Login.gov individual account credentials, account administrators should log into the EDGAR Filer Management website to confirm they can access the dashboard.

If Form ID is granted, the SEC will send an email to the account administrators listed on Form ID.

Account administrators manage the filer’s account on the dashboard, including by adding users, account administrators and technical administrators, if needed, and delegating authority to file to a filing agent, for example, if they wish to do so.

• Refer to the instructional video Overview of the EDGAR Filer Management dashboard on the SEC’s YouTube channel, as well as How Do I Understand EDGAR Next Roles and How Do I Invite, Remove, and Change the Roles of Individuals.

EDGAR Next Changes

Broker-Dealers and Stand-Alone SBSEs Must Comply with EDGAR Next

The SEC adopted changes to EDGAR filer access and account management known as EDGAR Next in September 2024. Please refer to the EDGAR Next webpage on SEC.gov for information about EDGAR Next.

Filing on EDGAR Through the EDGAR Filing Websites

As of September 15, 2025, the compliance date for EDGAR Next, the filer’s account must be in compliance with EDGAR Next in order to file on EDGAR. To make a filing for a filer whose EDGAR account is in compliance with EDGAR Next, you must also:

(1) Have individual account credentials from Login.gov 

• For information about Login.gov credentials, consult How Do I Obtain Login.gov Individual Account Credentials or view the Obtaining individual account credentials video on the SEC YouTube channel.

(2) Be an authorized account administrator or user for the filer’s EDGAR account or an account administrator or user for a delegated entity of the filer’s EDGAR account.

• The account administrator(s) for the filer’s EDGAR account must invite you as a user or account administrator for the filer’s EDGAR account, or delegate filing permissions to an EDGAR account for which you are a user or account administrator. For more information, see How Do I Invite, Remove, and Change the Roles of Individuals. 

Filing on EDGAR Through the EDGAR Application Programming Interface

If the filer’s EDGAR account is in compliance with EDGAR Next, you may choose to file through the EDGAR Submission Application Programming Interface (API). See Overview of EDGAR APIs and the API Development Toolkit for more information about EDGAR Next APIs.

• To submit a filing through an API for a filer whose EDGAR account is in compliance with EDGAR Next, you must also meet the following requirements:

1. Have individual account credentials for EDGAR from Login.gov.

• For information about Login.gov credentials, consult How Do I Obtain Login.gov Individual Account Credentials or view the Obtaining individual account credentials video on the SEC YouTube channel.

2. Be an account administrator or user for the filer’s EDGAR account (and that account must have an active filer API token), or an account administrator or user for a delegated entity of the filer’s EDGAR account (and that account must have an active filer API token).

   The account administrators for the filer’s EDGAR account must invite you as a user or account administrator for the EDGAR account, or delegate filing permissions to an EDGAR account for which you are a user or account administrator. For more information, see How Do I Invite, Remove, and Change the Roles of Individuals.

3. Present a user API token that you generated on the dashboard, and
4. Present a valid filer API token representing your filer or filing agent (delegated entity).

See the following How Do I’s: Understand EDGAR Next Roles, Invite, Remove, and Change the Roles of Individuals, Understand EDGAR APIs, and Create and Manage Filer and User API Tokens.