Steps to filing a document

 

Here is a quick overview of how to file a document:

 

1. From the main SEC Publisher screen, select File-to-SEC.

 

2. Select the Form Type of the document you want to publish. The Type of forms supported can be found in the List of Supported Filing Forms.

 

 

 

3. Select the HTML, ASCII, and/or attachment files you want to include for the filing and click on ‘Continue’.

 

4. The File-to-SEC module will load up with your selected documents already added to it. Simply fill out the EDGAR Submission Information, as noted in red (i.e. CIK, CCC, SROS, etc.). If the CIK Library has already been set up, click on Retrieve > Retrieve CIK and select the appropriate entry to populate the CIK, CCC, SROS, etc. (see ‘The CIK and Series/Class Libraries’ for more information).

 

5. The entry properties of each file needs to be set. This is accomplished under the Management View section on the right side of the window:

a.     Click on a file to highlight it.

 

b.    Right-click the selected file to access the context menu.

 

c.     Choose the entry properties button and assign a file type (i.e. 10-Q, 10-K, S-1, graphic, etc.).

 

d.    Make sure you do this for all files under Management View. To quickly set the file type of more than one file of the same type, first click on one of the files, then CTRL-click to select other files individually, or shift-click to select a consecutive group of files.

 

6. The Filing Agent’s EDGAR data needs to be configured. This information rarely changes, except for the SEC Password, which needs to be updated annually. Click the File > Preferences button to open the Application Settings window. In the Application Settings window, click EDGAR and fill in your CIK, CCC, and Password information and click verify.  For more information on setting the CIK, CCC, or Password under EDGAR in the Application Settings, please see ‘SEC EDGAR Filing Agent Settings.

 

7. Once you have completed the steps above and double checked your filing, click the Validate button under the Submission tab to validate the files.

 

8. Once your document is ready to be filed, click File > File Test to submit a test filing or File > File Live to submit a live filing. We recommend that you do a test filing first to ensure that there are no errors before filing live.

 

9. Once you have submitted the file to SEC, you can Exit/Quit from the File-to-SEC module to return to the main SEC Publisher screen.