When preparing to file your first document via the EDGAR system you will probably have many questions. We have assembled a list of Frequently Asked Questions based on a culmination of questions asked by our clients over the years.
Should you have additional questions, please contact us and we will ensure that you receive answers as quickly as possible.
Please view the contact page.
Please visit the EDGAR overview page.
Before you can file with the EDGAR system you must register as an EDGAR filer and create the required filing codes. This is accomplished by submitting a Form ID to the SEC. Form IDs are submitted electronically; visit our page on Form IDs to learn more. Once you have successfully registered and have created your filing codes, we will require your CIK and CCC codes in order to submit a filing for you.
Please view our EDGAR filing process.
Please visit the EDGAR overview page and read our value proposition.
Yes. You can obtain a copy of the latest EDGAR Filing Manual from the SEC web site. Be forewarned however that the EDGAR Filing Manual is contained in three volumes and conversion of documents into an EDGAR acceptable format and filing is not as straight forward as it first appears.
Please view our section on EDGAR filing codes.
Please view our section on EDGAR filing codes.
Please view our section on EDGAR filing codes.
Please view our section on EDGAR filing codes.
Mailing and contact information can be updated online via the EDGAR filing web site. This includes:
Note that the SEC needs to approve name changes and that it will not show up online until your next filing. If filing codes need to be updated, the client should use the Filer Management web site.
* To update the SIC code associated with a company you will need to speak to a representative from the SEC's legal division. Call the EDGAR support line at 202-942-8900 for more information.
This could be a very serious problem if the filing does not contain errors that would cause EDGAR to suspend the filing. Once a public filing is accepted by EDGAR, it is immediately disseminated. In order for a filing to be removed from the website the filing company must write a letter on their company letterhead to the SEC requesting and giving reasons for the removal.
The quickest way for you to find out if your filing was accepted or suspended is to use the SEC Filing website. We will also forward a copy of the email confirmation from the SEC to you.
An EDGAR submission can be no larger than 100 MBs (megabytes) in size. Most filings will never come close to exceeding this limit.
According to the EDGAR filer manual a submission may include a maximum of 612 documents in the following combination:
Please visit our section titled forms and templates.
The process of EDGARization into either ASCII or HTML format is very labour intensive. The time needed to convert a document depends on the skills used by the creator of the original document. As an approximation of the time required, estimate a conversion rate of 10 pages per hour. For example, a Form 10QSB consisting of approximately 25 pages will take anywhere from 2-4 hours to put into an acceptable format. If a PDF file is to accompany the official EDGAR filing, allow more time for that production and also be prepared to proof not only the ASCII or HTML file, but the PDF file as well as paper documents. A filing accepted by the SEC after 17:30 EST (14:30 PST) will receive the next business day’s date.
Visit the SEC site to find out.
Please visit our section titled SEC EDGAR Hours of Operation, Deadlines, and Holidays.
Yes. It will be necessary to request the format you prefer for the main document and all exhibits. For efficiency and cost containment, the format should be decided before the start of conversion. View our EDGAR filing process to learn more.
Please see our section titled HTML vs. ASCII.
Please see our section titled HTML vs. ASCII.
Please see our section titled HTML vs. ASCII.
Please see our section titled HTML vs. ASCII.
Please see our section titled HTML vs. ASCII.
For an indeterminate amount of time. In a recent release, SEC officials stated that they "expect to require HTML for most filings as soon as practicable, so we encourage filers to use it and gain experience with this format..."
PDF stands for Portable Document Format. Documents in PDF must be viewed using the Adobe Acrobat Reader. It is a proprietary standard, set forth by the Adobe Corporation, for conveying graphic/multi-media-intensive document information across multiple platforms. EDGAR accepts documents in PDF format as unofficial copies of documents contained in the submission. The unofficial PDF document must be filed with its official counterpart (HTML or ASCII). If you wish to file a PDF version later, it must accompany an amendment of the official filing. The only exception to this is when filing a non-public correspondence document for an SEC examiner. The redlined PDF alone may be sent in the “CORRESP” document or submission.
Please see our page on SEC XBRL.
Yes. The HTML EDGAR version is Web-ready; however, due to the limitations imposed by the SEC for the EDGAR system, the document is not formatted as richly as it might be if it were produced without the restrictions of EDGAR/HTML coding.
Please click here for instructions on opening and viewing an EDGAR filed .txt file.
Yes you can. Each complete document must be in one format only, but a submission may contain a combination of HTML, ASCII and PDF documents.
Newsfile can process many different document formats, including paper, word-processing, spreadsheet and desktop publishing. We can also process documents already in EDGAR ASCII, HTML, or PDF format, but due to the SEC's file format restrictions, they may not be SEC compliant requiring lengthier processing and higher cost.
If you request to review the documents before filing we will send them to you prior to submission. Reviewing ensures that the documents meet your expectations and that the filing timeline is met. Authorization to transmit must be given once the filing is reviewed.
Please visit our section titled HTML vs. ASCII.
Yes. Section 232.304 of Regulation S-T states the restrictions of submitting graphics with EDGAR filings. Key points include:
As stated in a recent press release, the SEC has noticed that a number of filers have converted their financial tables, tables reporting executive compensation, stock options, insider reports, proxies and in some case entire text pages into JPGs which form part or all of the required SEC filing. This is totally off-side. All of these items are required to be in searchable text or table format in HTML or ASCII. They may not appear solely as a JPG. The Securities and Exchange Commission takes the view that the filing is not officially filed until an ASCII or HTML version of all required items have been filed.
An amendment is an alteration to a previously submitted EDGAR filing. Amendments are usually made in response to a request by the SEC reviewer.
There are two options available. As your filing agent we can a) EDGARize and file the amended document, or b) simply make the amendments to the previously filed document and then re-file it. EDGARizing the amended document (option a) will take more time and ultimately be more costly. If you like, we can also highlight the amended sections of the document using the SEC redlining feature (discussed below).
The EDGAR system makes use of a special redlining feature. Sections of your submission text that have been redlined will be highlighted for the SEC reviewer in bold magenta color in order to differentiate that section of text from other non-redlined sections. This is particularly useful if wish to alert the SEC reviewer of the amended areas of your document.
The redlining feature can be activated by surrounding the submission text in question with the ASCII or SGML <R> tags. Although this tag is not supported by common browsers and HTML 3.2, the SEC reviewers utilize special software that highlights the sections of your submission text marked with the redline tags in bold magenta color in order to differentiate that section of text from other non-redlined sections.
If you wish to review a redlined document prior to filing we will make the <R> </R> tags visible in the browser. Although we can't simulate what the SEC reviewer will see, you will be able to determine what areas of the document will be highlighted in bold magenta color.
The redline tags within the HTML document are not disseminated to the public; only the SEC reviewer will see them. Each redline tag character will be replaced by a blank character (' ') before the submission is disseminated. The blanks will not be visible from the browser but will be visible in the HTML source code.
Please visit our section titled EDGAR filing fees.
Please visit our section titled EDGAR filing fees.
Please visit our section titled EDGAR filing fees.
Please visit our section titled EDGAR filing fees.
Please visit our section titled EDGAR filing fees.