The transmission process may encounter some errors when communicating with the SEC’s server. Such errors will be displayed in the Status bar area on the Submit page. Errors may include the following:
1. Improper response from server
This error message indicates that the transmission of the filing failed for an unknown reason.
2. Failed
This error message will appear if File-to-SEC is disconnected from the SEC server during the transmission. This may occur if the request times out.
3. Failed - unable to obtain session number
This error will occur if File-to-SEC is unable to obtain a session number from the SEC server and most likely indicates that the SEC server is down.
4. Could not connect
This message indicates that File-to-SEC is unable to connect to the SEC server. If this message appears, you should check their internet connection.
5. Login failed. Invalid login.
This message indicates that either the CIK or password (or both) use to submit the filing are invalid. If this message appears, you should check that the password and CIK are correctly entered, are valid and have not expired.
If errors are encountered during transmission, it is recommended that you try again after ensuring that File-to-SEC is able to communicate via the internet.
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