SEC EDGAR Filer Codes

SEC breaks down FY 2014 Enforcement Results, Highlights

Publisher: ComplianceWeek
Author: Bruce Carton
 

Last week, the SEC issued a press release summarizing its enforcement results for the agency’s fiscal year 2014, which ended September 30th of this year.

The SEC emphasized it filed a record 755 enforcement actions in 2014. Listed below are some of the highlights.

  • Charges against more than 135 parties with violations relating to reporting and disclosure, including Bank of America Corporation; Fifth Third Bancorp; Diamond Foods Inc.; five executives and finance professionals from collapsed law firm Dewey & LeBouef LLP; AgFeed Industries Inc.; and CVS Caremark Corp.;
  • First-ever actions under a rule requiring firms to establish adequate risk controls before providing customers with market access (Knight Capital Americas LLC, and Wedbush Securities Inc.);
  • Significant enforcement actions against the New York Stock Exchange and brokerage subsidiaries for their failure to comply with exchange rules;

For full details on the rest of the highlights, please click here.

By : Securex /October 23, 2014 /Compliance, General EDGAR filing, SEC EDGAR Filer Codes, SEC Forms, SEC News and Public Statement, Securites Law /0 Comment Read More

“Municipal Advisor” Applicant Type added to SEC Form ID Application

The SEC has added an additional Applicant Type, ‘Municipal Advisor,’ when completing the process to apply for SEC EDGAR Filer Access.

Filers may prepare and submit their Form ID applications directly through the Online EDGAR Filing website. As always, Securex is here to assist you in successfully meeting your filing requirements. Feel free to contact the Securex EDGAR filing team if you have any questions or if you require assistance with your filings. For Municipal Advisors that require assistance with the Form ID process please download our SEC Form ID Worksheet (Word format): Securex Form ID Worksheet and contact us at 877-SEC-FILE (877-732-3453).

By : Securex /December 01, 2011 /EDGAR filing conversion tips and shortcuts, General EDGAR filing, Marketforms.com, SEC EDGAR Filer Codes, SEC Forms /0 Comment Read More

How to apply for SEC EDGAR Filer Codes

A new SEC EDGAR Filer (Registrant) must complete a Form ID Application online with the SEC. The EDGAR Filer Management website will allow you to create a Form ID and submit it for authorization to the SEC.

Upon acceptance, the SEC will send a unique CIK number via e-mail. You then must return to the Filer Management site and use the supplied CIK number and the passphrase you created during the initial application to create your EDGAR access codes. Once you have your access codes, you may use EDGAR to begin electronically filing.

The EDGAR system is available to receive Form ID requests from 6:00 a.m. – 10:00 p.m. Eastern Time on business days.

In order to request EDGAR codes you will need to have the following information:

 

  • Individual or Company name, address and telephone number.  NOTE: Individual Names may not contain any punctuation. All names must be in English.
  • EDGAR contact person information name, address, telephone number and email address (this is the person who will receive any test or live filings acceptance confirmation emails and the filer’s contact for any EDGAR problems that could arise).
  • SEC accounting contact person information name, address and telephone number (this is the person who will be responsible for any billing or fees for the filer that the SEC would need to contact).
  • The signature information will require the name and title of the individual who has authority for the filer.
  • A passphrase which is an eight-character, case sensitive code that requires the use of one numeric character and at least one special character (*, #, @, $) – it is created by the person making the application . It is important to write the passphrase down, if this code is misplaced it can not be retrieved and another electronic application will required. 

Creating EDGAR profile and codes (Form ID Application):

Visit https://www.filermanagement.edgarfiling.sec.gov/ and click on “Press Here to Begin”. Click on “Apply for EDGAR Access (New)” and begin by completing the information as requested on the online form. You will need to choose one of the following from the drop down menu at the beginning of the application form page – “Filer”, “Filing Agent”, “Training Agent” or “Transfer Agent”. Most companies and individuals are applying for filer codes so they may submit filings to the SEC and should choose “Filer”. Complete the information fields and confirm all your information before you click on the “Continue” button at the bottom of the page. The name of the applicant is subject to conformance according to EDGAR specifications. As a result, the name that you enter may be conformed by EDGAR. If this occurs, you will be shown an alert when the “Form ID Application Confirmation” screen is initially presented (after pressing the “Continue >>” button). For your review, your “conformed” applicant name will be displayed in the “Conformed Name of Applicant” field on the “Form ID Application Confirmation” screen.

The next step is to print the Form ID Application and have it notarized. The notarized document them must be faxed to the Filer Support department of the SEC at 202-504-2474 or 703-914-4240 in order to finalize the application. In general, if the notarized Form ID is not received by the SEC via fax within 2-3 business days they will suspend the application. In the event your application is suspended, you will have to reapply for Filer Codes again by using the EDGAR Filer Management. 

If you require assistance with a Form ID application process or prefer to have us do it for you, please contact our EDGAR Filing Service Bureau at 877-732-3453 option 1.

Contact Securex.

By : Securex /March 17, 2009 /General EDGAR filing, SEC EDGAR Filer Codes, SEC Forms /0 Comment Read More