Complete Annual Confirmation for an EDGAR Account

Who Performs Annual Confirmation for the Filer?

Any one of the filer’s account administrators can complete annual confirmation for the filer.

When is Annual Confirmation Due?

Annual confirmation is due by the end of the quarter the filer selects as their ongoing confirmation deadline: March 31, June 30, September 30, or December 31 (or the next business day if the date falls upon a weekend or holiday when EDGAR is not operating).

The due date for the filer’s annual confirmation is displayed at the top of a filer’s dashboard.

Beginning six weeks prior to the confirmation due date, EDGAR will send account administrators reminder emails and dashboard notifications.

Delegated entities such as filing agents can check their client filers’ confirmation due dates through the View filer account information API (see Overview of EDGAR APIs and the EDGAR API Development Toolkit.).

Can an Account Administrator Perform Confirmation Earlier than the Quarter-end Due Date?

An account administrator need not wait until the deadline to confirm. An account administrator may choose to perform confirmation at an earlier date within the quarter when confirmation is due.

Additionally, an account administrator may choose to perform confirmation on any date in a quarter earlier than the quarter of the current deadline, thereby changing the quarter when confirmation is due going forward. Confirmation in an earlier quarter will result in a confirmation deadline one year after the end of the quarter in which the early confirmation occurred. For example, if a December 31 confirmation deadline were selected by the account administrator for the initial annual confirmation, but the account administrator submitted the confirmation for the following year in August, the filer’s annual confirmation deadline for the next year would be September 30 (or the next business day, if the date fell upon a weekend or holiday when EDGAR was not operating).

How Does the Account Administrator Perform Annual Confirmation?

The account administrator must carefully review all information for the relevant filer and ensure its accuracy before performing annual confirmation. The instructions below illustrate how an account administrator may carefully review information on the dashboard and perform annual confirmation.

1. Log into the EDGAR Filer Management dashboard with Login.gov individual account credentials and complete multifactor authentication.
2. Navigate to My Accounts. Select the relevant filer to display that filer’s dashboard.
   
   

3. On the filer dashboard, note the different sections that each contain information relevant to the filer.
   
   

4. Select Account Details at the top of the filer dashboard.
   
   Review all information in the pop-up box and ensure it is accurate. Correct any information that is incorrect. To correct information about the company or individual, see Maintain and Update Company Information. To correct the company website, click on the pencil icon next to the website address, correct the address, and select the check mark. A pop-up message will display indicating whether the changes were successfully completed.
   

5. Next, navigate to Manage Individuals. Expand the accordion and review all information for each authorized individual and ensure its accuracy. Correct any information that is inaccurate.
   
   

6. Navigate to Manage Delegations and User Groups. Expand the accordion and review all information for each authorized CIK and user group and ensure its accuracy. See Manage Delegations/User Groups to correct any information that is inaccurate.
   
   

7. Navigate to the Manage Filer API Token if you have active filer API tokens. Expand the accordion, review all information for each token and its expiration date.
   
   

8. After reviewing, correcting inaccurate information, if necessary, and ensuring the accuracy of all information on the dashboard, select Annual Confirmation at the top-center of the filer dashboard.
   
   

9. Carefully read the two prompts, displayed in the examples below, and select accurate responses.

If you select “I CONFIRM ON BEHALF OF THE FILER,” a message will appear to indicate that annual confirmation was successfully completed. EDGAR will also send emails to the filer’s account administrators indicating that annual confirmation was successfully completed.

On the filer’s dashboard, the next annual confirmation date displayed will reflect the quarter-end date one year from the current quarter (either March 31, June 30, September 30, or December 31 of the relevant year).

What if a Filer Fails to Complete Annual Confirmation by the Due Date?

If a filer fails to perform annual confirmation prior to the due date, the filer will have a 3-month grace period in which to complete confirmation and during which the filer’s account administrators will receive daily reminders on the dashboard and in emails. During the 3-month grace period, filers will maintain EDGAR access, the ability to make submissions, and the ability to take actions on the filer’s account as they had previously.

If the filer fails to complete annual confirmation by the end of the 3-month grace period, the filer’s account will be deactivated. The filer will be required to re-apply for access to file on EDGAR on Form ID. If SEC staff grants the Form ID, the filer will continue to have the same EDGAR account number/CIK previously assigned and the account’s filing history will be preserved. The filer’s account administrators listed on Form ID will be able to access the filer’s dashboard to manage the filer’s account, however, all individuals previously on the account will no longer be authorized and all prior delegations will no longer be effective. The account administrators listed on Form ID must re-invite any users, technical administrators, and additional account administrators to the filer’s account, and reissue delegation invitations, if relevant.