SEC Forms

SEC adopts instructions for submitting draft registration statementments

On May 11, 2012, the SEC’s Division of Corporation Finance issued Instructions on how to submit confidential draft registration statements to the SEC.

Until confidential drafts can be submitted via the EDGAR system, companies must submit draft registration statements to the SEC in a text searchable PDF format via a secure e-mail system. The SEC will also use the secure e-mail system to send comment letters and companies must use this system to submit their response letters to the SEC. Before submitting a draft registration statement, a company must first create its secure e-mail account on system setup by the SEC. Information on how to setup the secure e-mail account are available here: http://www.sec.gov/divisions/corpfin/cfannouncements/cfsecureemailinstructions.pdf

Updates on the divisions policy under the JOBS Act is available at: http://www.sec.gov/divisions/corpfin/cfannouncements/secureemail.htm

By : Securex /June 12, 2012 /General EDGAR filing, SEC Forms, SEC News and Public Statement /0 Comment Read More

Reminder: SEC and EDGAR are closed Monday, January 16 for Martin Luther King Day

The SEC will be closed on Monday, January 16, 2012 in observance of Martin Luther King Day. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system.

Filings submitted after 5:30pm EST, Friday January 13, 2012, will be disseminated Tuesday January 17, 2012 at 6:00am and receive a January 17, 2012 filing date.

The following Form Types are exceptions and are accepted by EDGAR until 10:00pm ET Friday, January 13, 2012, receiving a same day filing date.

  • Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
  • CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at https://www.securexfilings.com/securex-calendar-and-filing-tools/

By : Securex /January 14, 2012 /General EDGAR filing, SEC EDGAR Filing Deadlines, SEC Forms /0 Comment Read More

Reminder: SEC and EDGAR are closed Monday, January 2 for New Year

Happy New Year from all of us at Securex!

The SEC will be closed on Monday, January 2, 2012 for the New Year. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system. Filings submitted after 5:30pm EST, Friday December 30, 2011 will be disseminated Tuesday January 3, 2012 at 6:00am and receive a January 3, 2012 filing date.

The following Form Types are exceptions and are accepted by EDGAR until 10:00pm ET Friday, Friday December 30, 2011, receiving a same day filing date.

  • Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
  • CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at https://www.securexfilings.com/securex-calendar-and-filing-tools/

By : Securex /January 01, 2012 /General EDGAR filing, SEC EDGAR Filing Deadlines, SEC Forms /0 Comment Read More

Reminder: SEC and EDGAR are closed Monday, December 26, 2011 for Christmas

Happy Holidays from all of us at Securex!

The SEC will be closed on Monday, December 26, 2011 for the Christmas holiday. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system. Filings submitted after 5:30pm EST, Friday December 23 will be disseminated Tuesday December 27, 2011 at 6:00am and receive a December 27, 2011 filing date.

The following Form Types are exceptions and are accepted by EDGAR until 10:00pm ET Friday, December 23, 2011, receiving a same day filing date.

  • Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
  • CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at https://www.securexfilings.com/securex-calendar-and-filing-tools/

By : Securex /December 23, 2011 /General EDGAR filing, Marketforms.com, SEC EDGAR Filing Deadlines, SEC Forms /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

Form 13H – New Rule 13h-1 requires large investment advisers to register with the SEC

The Securities and Exchange Commission (SEC) recently adopted a new rule (Rule 13h-1) which requires filing of Form 13H.

This new rule is of interest to investment advisers because it requires “large traders” to register by filing new Form 13H with the SEC. Once firms initial Form 13H is filed, the SEC will assign each large trader an identification number (LTID), which the large trader must then provide to its registered broker-dealers. Rule 13h-1 becomes effective October 3, 2011, and large traders will have until December 1, 2011, to file Form 13H.

The final rule is available at: http://www.sec.gov/rules/final/2011/34-64976.pdf

Securex, as a full service financial printer and SEC filing agent, is able to assist your firm with filing Form 13H with the SEC. Please contact us at 877-SEC-FILE for assistance.

By : Securex /October 12, 2011 /General EDGAR filing, SEC Forms, SEC News and Public Statement /0 Comment Read More

EDGAR Hours of Operation

We often receive questions about EDGAR filing deadlines and the cut off to receive same day date stamps on filings.

The following is a summary of general EDGAR hours of operation:

The EDGAR system hours of operation for submitting files are 6:00am to 10:00pm Eastern Time, weekdays, excluding Federal Holidays.  EDGAR filings must occur by 5:30pm ET (when the SEC officially ends its business day) to receive the same-day filing date. Filings submitted between 5:30pm and 10pm will receive the next business day’s date.

Three types of filings are not subject to the 5:30 p.m. cutoff and will receive a filing date identical to the received date up to 10 p.m.  These three exceptions are:

  • Section 16 beneficial ownership reports on Forms 3, 4 and 5; and
  • correspondence filings (e.g., comment response letters and requests for acceleration of effectiveness).

A list of common SEC filing deadlines is available at https://www.securexfilings.com/securex-calendar-and-filing-tools/

 

By : Securex /September 28, 2011 /EDGAR filing conversion tips and shortcuts, General EDGAR filing, Marketforms.com, SEC EDGAR Filing Deadlines, SEC Forms /0 Comment Read More

Marketforms – The simplest way to file Section 16 Forms 3, 4 and 5

Marketforms.com is the newest EDGAR related service offered by Securex to assist public company executives and shareholders with their SEC reporting requirements.

Using a secure, web-based solution, clients are now able to complete, review and file Section 16 report (Forms 3, 4 and 5) securely online in minutes all within an environment that is familiar and easy to navigate.

Marketforms.com is the easiest way to file your Section 16 filings. We are the only solution in the industry that looks like the actual SEC filing so whether you are a first time filer or an experienced filing agent, our site is simple and easy to use while ensuring you submit EDGAR compliant data.

Our features include:

Real-time EDGAR validation: We tell you if a non-Edgar compliant entry has been made as soon as its entered with our patent pending real time validation engine.

Advanced footnote manager: Footnotes can be complicated. Not if you’re using marketforms.com. Our footnote manager makes adding, editing, deleting and re-ordering your footnotes a breeze.

Time saving clone feature: Do you have multiple derivative or non-derivative entries that are similar? Simply enter the first one, click on “Clone Row” and we’ll copy that row as many times as you require. Then simply edit the fields that haV changed. Simple and fast.

Dashboard: Our dashboard lets you view of all of your outstanding filings making it easy for you to know whether your filing is EDGAR compliant and even simpler for you to edit, download, Test or Live file your submissions.

No contracts:

We offer two forms of pricing. No contracts to sign, no minimums. Cancel at any time.

Visit www.marketforms.com for more information or to schedule a live demo.

Additional information available at: www.securexfilings.com/section-16-filings/

By : Securex /September 22, 2011 /EDGAR filing conversion tips and shortcuts, Marketforms.com, SEC Forms /0 Comment Read More

Marketforms.com New way to file Section 16 reports

Marketforms.com, is changing the way  SEC Section 16 forms are filed.

During our last stage of private testing, we are are looking for filers that would like  a free 30 day trial in exchange for feedback on the usability of marketforms.com. Please email us if you are interested in filing Section 16 reports faster and easier than anything you have used before.

By : Securex /July 14, 2011 /EDGAR filing conversion tips and shortcuts, General EDGAR filing, Marketforms.com, SEC Forms /0 Comment Read More