EDGAR

The EDGAR tab contains options for setting up filer information and the locations for certain EDGAR submission functions, such as the ‘Mailbox’ and ‘Library’.

1.     Filing Agent

The Filing Agent area contains the information for filing to the SEC. The numbers entered here will be used for logging into the SEC to transmit filings and should be the numbers of the agent performing the filing. For more information on setting the CIK, CCC, or Password under EDGAR in the Application Settings, please see ‘SEC EDGAR Filing Agent Settings.

 

a.     CIK

The CIK of the filing agent.

 

b.    CCC

The CCC of the filing agent.

 

c.     Password

The password of the filing agent.

 

d.    Verify

Verify that the CIK, CCC and password are a valid combination. This button will log onto the SEC’s website only for the purposes of ensuring that the CIK, CCC, and password are valid. If one or more of the values entered into the Filing Agent fields are invalid, a warning will appear instructing you to correct the issue. If the values are valid, a message will appear informing you that the CIK, CCC and password were successfully used to log into and out of the SEC’s website.  An Internet connection is required when using the Verify function.

 

2.     Locations

Options for setting the locations for the data files used by certain EDGAR functions.

 

a.     Mailbox

The location of the Global Mailbox. This location can be a network location. Enter a location or browse to the desired folder using the Browse button. Multiple Mailbox locations can be created. Browsing to an existing Mailbox will use the mail messages in that Mailbox to populate the Mailbox tab in the Information View. If no location is set, the File-to-SEC module will prompt you to create a mailbox at a default location in the program directory when the Get Mail function is first activated.

Click the Browse button to open the standard Windows Browse dialog, through which the location can be set.

b.    Library

The location of the File-to-SEC libraries. This location can be a network location. Enter a location or browse to the desired folder using the Browse button. Multiple Library locations can be created. Browsing to an existing Library location will use the entries in that location to populate the Libraries. If no location is set, the File-to-SEC module will prompt you to create the libraries at a default location in the program directory when either the Series/Class Library or the CIK Library is first accessed.

Click the Browse button to open the standard Windows Browse dialog, through which the location can be set.

c.     Fee Rate Table

Contains the location of the SEC Fee Rate Table. The Download button will automatically download a copy of the Fee Rate Table into a default location within the program directory. An Internet connection is necessary to download the Fee Rate Table.

 

3.     Submissions

Options that pertain to submitting a filing to the SEC.

 

a.     User Confirmation Required to Send Test Filings

When selected, this option will prompt you for confirmation before a Test filing is sent to the SEC.

 

b.    Refresh Project Dependencies

This option should remain checked (default), unless otherwise directed by SEC Publisher Support.

 

4.     Mailbox

Options that pertain to the Get Mail function.

 

a.     Save in Submission Folder

Set the Get Mail function to save a copy of the mail messages from the SEC in the folder of the submitted filing. If no Mailbox location is set, these mail messages will appear in the Mailbox tab of the Information View but will not be retained when the application is closed, and no other users will be able to read or view such mail messages from their Mailbox.

 

b.    Start Check Mail After Submitting

Automatically start the Get Mail function after a submission is sent to the SEC.

 

c.     Use Global Mailbox

Use a mailbox that can be accessed by multiple users. All mail messages will be downloaded to the global mailbox when a filing is transmitted to the SEC. When this option is checked, additional options will become available. If Save in Submission Folder is also checked, a copy of the mail message will be saved to both the Mailbox location and the submission’s folder location.

 

d.    Delete Removed Messages

Delete a mail message from the Mailbox permanently if the accession notice has already been removed from the SEC’s server when you choose to remove an entry from the Mailbox. Removing entries from the Mailbox is accomplished through a pop-up menu.