SEC EDGAR Filing Codes
SEC EDGAR filing codes are used to submit documents to the EDGAR system in addition to accessing online tools and web sites. These codes are created and provided when a company or insider registers with the SEC as an EDGAR filer. Newsfile Corp. is available to assist filers register with the SEC EDGAR system and file documents on their behalf. Contact us for more information.
The CIK and CCC codes are used to make submissions to the SEC on behalf a filer. We will require these codes before we can file documents on your behalf.
CIK (Central Index Key)
The CIK is a unique, public number that is assigned to each entity that submits filings to the SEC. Use of the CIK allows the SEC to differentiate between filing entities with similar names.
CCC (CIK Confirmation Code)
The CCC is a code used in combination with the CIK to submit a filing via EDGAR. The CCC is eight characters having at least one number (0-9) and at least one special character (@, #, $, *). The CCC is also case-sensitive and must be entered exactly as created, in lower case.
As the CIK code is public, this second, confidential code is necessary to ensure that whoever is sending a submission to EDGAR is authorized to do so. It is used in combination with a CIK to log into the web sites for submitting filings and Section 16 reports (Forms 3, 4, and 5). The password is a code of eight characters having at least one number (0-9) and at least one special character (@, #, $, *). The password is also case-sensitive and must be entered exactly as created, in lower case. The password is meant to be a private code and should be held in strictest confidence.
You must use the PMAC to authorize a change of password. The PMAC is a code of eight characters having at least one number (0-9) and at least one special character (@, #, $, *). The PMAC is case-sensitive and must be entered exactly as created, in lower case. The PMAC is meant to be a private code and should be held in strictest confidence.
The passphrase permits an EDGAR filer to use the Filer Management web site to manage all of its filing codes. The passphrase was added to the EDGAR system on April 26, 2004. As such those submitting Form IDs on or after April 26, 2004 will define a passphrase. Those who submitted a Form ID prior to April 26, 2004 will not have a passphrase defined initially. If you do not need to change your EDGAR filing codes and are not actually submitting documents to EDGAR yourself you do not need to define a passphrase. If you do need to define a passphrase, view our FAQs on this topic at the bottom of this page.
The Verisign Passcode enables you to request and configure a certificate from Verisign, EDGAR's certification authority. A certificate works like an electronic "pass card" that verifies your identity when filing with EDGAR. Your certificate contains your name, a serial number, expiration dates, a copy of the SEC's certificate (used for encrypting and decrypting messages), and Verisign's digital signature. Verisign's signature allows the SEC to verify that the certificate is authentic.
Certificates, while optional, provide you with an upgraded level of assurance that your submission is transmitted as you intended.
Filing Code FAQs
The following are FAQs related to SEC filing codes.
I have lost my filing codes. How can I obtain new ones?
If you are registered with the SEC as an EDGAR filer you have filing codes; they were forwarded to you at the time of registration. If you cannot locate your filing codes then you need to use the Filer Management web site in conjunction with your passphrase to generate new ones.
How can I change my current filing codes?
This can be accomplished by using the Filer Management web site in conjunction with your passphrase.
I need to reset my filing codes but do not have my passphrase. What should I do?
The passphrase was added to the EDGAR system on April 26, 2004. All those who registered as EDGAR filers on or after this date will have a passphrase defined. Those who registered as EDGAR filers prior to April 26, 2004 will have no passphrase defined.
As there are several ways to resolve this please follow the steps below:
If you have:
- Registered with the SEC prior to April 26, 2004
- Never created a passphrase
- Know your CIK and password
Open the EDGAR filing web site and login. Prior to loading the main menu you will be asked to create a passphrase. Create the passphrase, log off of the web site, and you're set. If you are told your password has expired please use the steps below.
If you have:
- Created a passphrase and forgotten it
- Registered with the SEC prior to April 26, 2004 and forgotten/misplaced your EDGAR password
- Have your password but discover it has expired
Open the Filer Management web site, click the "Press Here to Begin" button and then the "Update Passphrase" option in the resulting menu. Type in your CIK, your new passphrase, and a reason for requesting a new one. Print out the resulting acceptance screen and clearly write the following information on the print out:
- Contact Name
- Phone Number
- Fax Number
- Position with the company (if applicable)
- Typed signature
- Actual signature
Have this document notarized and faxed to the SEC for processing at 202-504-2474.
The SEC will process your request and send an acceptance message to the email address in their records for the CIK provided. If no email address was originally defined for the CIK or the email account is no longer active, call the EDGAR support line at 202-942-8900 the next business day to see if the change in passphrase has been accepted. Once confirmation has been received either via email or phone, visit the Filer Management web site and use the CIK and passphrase to generate new filing codes.