Understand EDGAR Next Roles

Account Administrator

An account administrator is an individual that the filer authorizes on the EDGAR Filer Management dashboard (dashboard) to manage its EDGAR account and make filings on EDGAR on the filer’s behalf.

Account administrators can:

• Add and remove individuals from the filer’s account;
• Perform annual confirmation;
• Delegate authority to file to other CIKs;
• Generate or create custom CIK confirmation codes (CCCs); and
• Create user groups.

Filers must authorize and maintain at least two account administrators, except a filer that is an individual or “single-member company” must authorize and maintain at least one account administrator.

• A single-member company is defined as a company that only has a single individual who acts as the sole equity holder, director, and officer (or, in the case of an entity without directors and officers, holds position(s) performing similar activities as a director and officer).

• A filer can have a maximum of 20 account administrators.

EDGAR will by default designate the first account administrator listed on Form ID, or an existing filer’s enrollment, as the filer’s EDGAR point of contact (POC). SEC staff uses the EDGAR POC email address to contact the filer for information. The filer, through its account administrator, may change its EDGAR POC thereafter on the dashboard. See How Do I Invite, Remove, and Change the Roles of Individuals. Commission staff may contact the filer’s other account administrators if, for example, the EDGAR POC cannot be reached or is nonresponsive. Other than acting as a central point of contact, the EDGAR POC will not differ in any other respect from other account administrators.

For additional guidance, view the Overview of account administrator role video.

User

A user is an individual that the filer authorizes on the dashboard to make submissions on EDGAR on the filer’s behalf.

• Users can view the filer’s CCC listed on the dashboard.
• All functions that can be performed by users can also be performed by account administrators, therefore, an account administrator cannot also be a user.

• There is no minimum number of users (because account administrators can make submissions on behalf of the filer).

• A filer can have a maximum of 500 users.

Technical Administrator

A technical administrator is an individual that the filer authorizes on the dashboard to manage the technical aspects of the filer’s connection to the EDGAR Application Programming Interfaces (APIs) on the filer’s behalf.

Account administrators can:

• Technical administrators generate and manage filer API tokens.
• Filers that opt to connect to the EDGAR APIs must authorize, through their account administrators, at least two technical administrators, who will serve as the SEC staff’s points of contact regarding the filer’s use of the APIs.
  • If the filer arranges to use its delegated entity’s API connections and the delegated entity is in compliance with the requirement to authorize at least two technical administrators, the filer is not required to authorize its own technical administrators and generate a filer API token itself.
• A filer can have a maximum of 20 technical administrators. This matches the limit for account administrators, so a filer that wishes their technical administrators to also be account administrators can do so.

Account Administrator Authorization of Users, Technical Administrators and Additional Account Administrators

An account administrator, acting on behalf of the filer, may authorize and de-authorize individuals as users, technical administrators, and/or additional account administrators for the filer. For more information, see How Do I Invite, Remove, and Change the Roles of Individuals.

This process is illustrated in diagram 1 below.;

Diagram 1 - Authorization of Individual Roles

Delegated Administrators and Delegated Users

A filer’s account administrators may delegate authority to file on behalf of the filer to another CIK (which may belong to a filing agent, law firm, broker-dealer, or other entity that will be filing on the delegating filer’s behalf). The account administrators at the delegated entity CIK automatically become delegated administrators with regards to that delegation. Those delegated administrators can determine which of their users will be delegated users who can make filings with regards to that delegation.

Delegated users will not count as part of the 500-user limit on the dashboard for the delegating filer.

If delegated administrators want all of their users to become delegated users with respect to a filer, a delegated administrator can check a box on the dashboard to automatically authorize all users at the delegated entity as delegated users for the filer. Alternately, delegated administrators will be able to authorize a subset of the delegated entity’s users as delegated users; authorize all of the delegated entity’s users as delegated users for the filer; or not authorize any delegated users (because the delegated administrators will be able to file on behalf of the filer).

Diagram 2 shows how delegation works.​ In this diagram, Filer A (the delegating filer) is delegating to Filer B (the delegated entity). The account administrators for Filer B are delegated administrators with regards to that delegation. Those delegated administrators can file on behalf of Filer A and can also authorize users from Filer B to become delegated users who can file on behalf of Filer A.​ No individual from Filer A can see or take any action on Filer B’s dashboard, and no individual from Filer B can see or taken any action on Filer A’s dashboard.

Diagram 2 - Delegation

Summary of Functions for Each Role

An individual may have multiple roles at the same filer.

• An account administrator can perform all of the functions of a user plus manage the filer’s account. Consequently, it is unnecessary for an account administrator to also be a user for that filer. Thus, for any given filer, an account administrator cannot also be a user.
• An account administrator can also be a technical administrator.
• A technical administrator can also be a user or an account administrator.
• An individual may have different roles for different filers. There are no restrictions in terms of roles across filers. For example, an account administrator at one filer can be a user at another filer. Those filers may or may not be related entities. Also, for example, an individual may be an account administrator for Filer 1 and a technical administrator for Filer 2, and Filer 1 and Filer 2 may be unrelated entities.