U.S. Securities & Exchange Commission
SEC Seal
Home | Previous Page
U.S. Securities and Exchange Commission

EDGAR Filer Help Sheet

Filing Preparation Issues

ASCII Conversion

After saving your document in ASCII format, do not re-save it in your word processor (the usual procedure when exiting a document in most programs). Saving the document a second time will usually result in the document's being saved back to its original word processing format, making it unusable as an EDGAR filing.

Submitters are encouraged to verify that their word processing software package creates accurate ASCII output by using the EDGARLink® error check option (after assembling a filing) or by submitting a test filing requesting an electronic return copy.

Tags in the Filing

Table tags indicate to the EDGAR system that the material enclosed by the tags may be up to 132 characters wide for ASCII files; their use is optional when the material is 80 characters wide or less.

Creating a Submission

Filers should be as careful and explicit as possible in choosing EDGAR form types for their submissions especially for registration statements. Special attention should also be paid to making amendments with the "/A" designation. See Volume II, Part 3 of the Manual for a list of form types and EDGAR submission equivalents. If you have questions, consult the appropriate Division EDGAR contacts.

Segments and Modules

If a filer wishes to use the Module or Segment feature of the EDGAR system, the owner of the login CIK (either the filer or the filing agent) must be an E-mail subscriber. For co-registrants, the CIK of the registrant that had the electronic mail account would be used as the login CIK for the actual filing if modules or segments were to be used.

Segments are good for one live filing, but if that filing is suspended, each segment has another 6 business days to be used again. If the segment was not actually used in a filing (reference error), its expiration date is not reset.

N-SAR Filings

After preparing your N-SAR filing and using EDGARLink to assemble the answer file, run the EDGARLink error checking routine to uncover possible suspension errors. Although some errors, such as CIK/CCC mismatch, can be detected only by EDGAR itself, others, such as failure to use the N-SAR error check, would be detected by EDGARLink.

Fee Payment Methods

When filing fees are required for a specific form type, they must be paid in accordance with the provisions of the Lockbox Rule (Rule 3a of the Commission's Rules of Practice) as effective April 26, 1993.

Each Filer should use its CIK number as its account number to provide for electronic transfer of funds. The CIK number must be supplied with the payment to permit proper assignment of funds.

Expected fee payment methods for electronic filings are listed in the table below. Domestic registrants must pay fees via the lockbox, either by check or wire transfer.

Table of Fee Payment Methods
OPTION PROCEDURE
Delivery to
Lockbox
For USPS remittances, send money order, certified check, or cashier's check to the SEC account 152307768324
 
Securities & Exchange Commission
P.O. Box 979081
St. Louis, MO 63197-9000
 
The following address can be used for common carriers such as FedEx, Airborne, DHL and UPS.
 
U.S. Bank
Government Lockbox 979081
1005 Convention Plaza
SL-MO-C2-GL
St. Louis, MO 63101
Fedwire (Wire
specifics of wire
Transfer)
to
Lockbox
Contact your bank about specifics of wire
transfers.

Send fee to the SEC Account 850000001001 at the U.S. Bank, ABA number 021030004

    NOTE:
    1. Filing fees with respect to domestic registrants must be paid via lockbox (either by check or wire transfer) whether the filing is made electronically or in paper pursuant to a hardship exemption.

    2. Include the Payor's CIK (Corporate Account Number) on all fee payments. When paying fees, one payment can be used to pay for several filings provided that the <PAYOR> tag is used to indicate from which account the funds are coming. Law firms acting as filing agents, for instance, use this method: they pay for the fees for all their clients, then bill the individual clients. The law firm in this case would be the <PAYOR>.

For time-sensitive Securities Act filings, registrants are advised to use wire transfer since the EDGAR system will be able to detect the fee promptly after it arrives at the lockbox. Fees that are mailed or delivered to the lockbox will not be relayed to the EDGAR system until 2 p.m. Eastern time each business day.

Hours of EDGAR Operation and Delivery Addresses

The hours of operation for submitting filings by direct transmission to the EDGAR system are 6:00 a.m.-10:00 p.m. weekdays, excluding Federal holidays. The EDGAR system is not in operation on weekends.

NOTE: Actual paper filings should be submitted to the SEC Headquarters address, not to the Operations Center:

SEC Headquarters
100 F Street, NE
Washington, DC 20549

Staff Assistance Available on Using EDGAR System

Staff in the Branches of Filer Support and Filer Technical Support are available to assist filers each business day from 9:00 a.m. to 5:30 p.m. Eastern Time. The Branches of Filer Support and Filer Technical Support may be reached at (202) 551-8900. The Branches of Filer Support and Filer Technical Support will help filers with most problems having to do with the EDGAR system, such as understanding procedures, communications, correcting suspended filings, and obtaining access to EDGAR.

For more information about the EDGAR rules, see the outline, "Electronic Filing and the EDGAR System: A Regulatory Overview," which is on the Commission's website under the EDGAR News link in the EDGAR Database section.

Other Filer Support Issues

Receipt of the accession number assigned by the EDGAR system does not mean that your submission has been accepted or even that your transmission to the SEC has been successfully completed. It only means that the connection has been established and the filing transmission has begun.

The acceptance date is not the same as the official filing date. If a filing is submitted after 5:30 Eastern Time, it will not be deemed filed with the SEC until the following business day (except for the "T+3" filings, made pursuant to Rule 462(b) and Section 16 filings, which will receive the date of the actual filing). If you have any questions about your filing's acceptance date, consult the electronic acceptance message; these messages state the official filing date.

 

http://www.sec.gov/info/edgar/besttips.htm


Modified: 04/30/2013