How To Upload Edgar Sec To Moody's

EDGAR filer information < How do I? < Ready and submit my Form ID application

Jump to sections:

• Footstep 1—admission grade ID
• Footstep ii—complete application
• Step 3—save and impress Form ID
• Step 4—sign and notarize
• Footstep 5—relieve as a PDF and upload
• Step half dozen—submit

Individuals or companies requesting access to EDGAR must consummate online on the EDGAR Filer Management website a form known equally the Uniform Application for Access Codes or Form ID. Newspaper Form ID applications are not accepted.

In improver, those requesting access to EDGAR must take the Form ID application signed past an authorized individual of the visitor, and notarized. That certificate must then exist uploaded to EDGAR in support of the Class ID application.  More data about the notarization process is included below.

When can I submit my Class ID application?Y'all may submit your Form ID and authenticating document from 6:00 a.m. until 10:00 p.thou. ET, Monday through Friday, except federal holidays. If you submit a Form ID manual before 10:00 p.k. ET, it will be processed. As EDGAR is unavailable for filing afterwards 10:00 p.grand. ET, a Form ID transmission subsequently that time volition have to exist submitted the next business 24-hour interval. Note that EDGAR allows you to save and restore a partial or complete Form ID application to work on at a later point in time.

Please be aware that if an applicant seeks to make submissions on EDGAR in more one chapters—filer, filing amanuensis for another individual or company, transfer agent, training agent, municipal counselor, large trader, or other bidder type—the bidder must submit a Grade ID for each capacity in which information technology will submit filings, indicating the filing chapters on the Form ID. The SEC volition issue a separate set of access codes to the applicant for each capacity. Each entity required to file on EDGAR must have its own central index key (CIK) number.

• Paper filers with the SEC, and other filers who already possess a CIK and wish to begin filing electronically on EDGAR, must ready and submit the Class ID application. These filers need to enter their existing CIK equally directed when they click on Employ for EDGAR Access: Applicants With a CIK but Without EDGAR Access Codes (formerly Convert Paper Just Filer to Electronic Filer). Sure sections of the Grade ID will be pre-populated with information currently in EDGAR for the CIK entered. Filers cannot right erroneous information pre-populated on the Grade ID when completing the awarding; filers must wait until afterward the Form ID application is accepted by EDGAR to correct the information by using the "Recollect/Edit Data" hyperlink on the EDGAR Filing Website. Filers registered every bit broker-dealers must correct any data other than their email address past submitting a Form BD/A (subpoena to Form BD) to FINRA's Spider web CRD/Gateway system. See Apply for EDGAR admission—applicants with a CIK but no access codes (formerly Convert Newspaper Only Filer to Electronic Filer) for additional data.
• New series companies that need EDGAR admission should follow the instructions in Create and obtain EDGAR access for asset-backed securities (ABS) issuing entities.

These six steps illustrate the process yous will need to follow in submitting the electronic Class ID awarding. Before beginning your application, you should gather all required information as detailed below.

Step 1—access Form ID

• If you lot are starting a new application for admission and practise not have a CIK, click on Utilize for EDGAR Admission (New) to access the Grade ID awarding.

Y'all will so exist taken to the following screen. If resuming work on an application you previously started, click on Keep with Saved Awarding for EDGAR Admission. After selecting this button, you lot volition be prompted to upload your previously saved Form ID application.

• If you are starting a new application and already take a CIK, click on Apply for EDGAR Admission: Applicants With a CIK but Without EDGAR Admission Codes (formerly Convert Paper Just Filer to Electronic Filer). You volition and then be taken to the post-obit screen to enter your CIK and access the Form ID application.

• If y'all are resuming piece of work on an awarding you previously started, click on Go along with Saved Application for EDGAR Admission. If you select this button, you will be prompted to upload your previously saved Grade ID awarding.

Stride 2—consummate application

You must consummate all required fields—those fields with an asterisk to the right of the labeled field name. If you submit a Class ID that is missing information in the required fields, the awarding will exist considered incomplete and cannot exist submitted.

Y'all may access additional instructions within the Form ID application itself by hovering over the different field characterization names.

Bidder information

On the top of the folio, betoken the applicant blazon and whether the applicant is an individual or company. You should review the drop-down list of bidder types carefully and be sure to select the appropriate applicant type. If none of the applicant types employ to the individual or company applicant that will use the central alphabetize key (CIK) number, so select filer. Delight make sure that y'all review the Empathise and employ EDGAR applicant types guidance then that you select the correct applicant type.

Filing a confidential submission?

Some companies may submit a typhoon registration argument (DRS) or draft offer argument (DOS) to the SEC for confidential, not-public review. If you lot intend to submit a DRS or DOS for confidential review past SEC staff, marking the check box for "Access codes will be used to submit draft registration or draft offering argument."

• Filers who authorize to submit draft offering statements under Regulation A must prepare and submit their draft offering statements using submission form types DOS and DOS/A.
• Issuers may submit correspondence related to draft registration statements or draft offer statements using the submission type draft registration statement letter or draft offering statement letter (DRSLTR or DOSLTR).
• Instructions on how to file a DRS and amendments can be found in the EDGAR Filer Manual Volume 2, Section 7, Preparing and Transmitting EDGARLINK Online Submissions. The DRS form is filed through the EDGAR Filing Website. Frequently asked questions regarding apply of the process for emerging growth companies—every bit defined in the Jumpstart Our Business organization Startups Act—are likewise bachelor.

Applicant name

• The name of the applicant should be entered, in the instance of a company, as specified in its charter.
• The proper name must be in English and cannot exceed 150 characters.
• Upper case and lower case letters are allowed, too equally digits 0-9.
• EDGAR accepts the following standard ASCII (text) characters: &- \ , / ! # $ ( ) : ; = @ ` { | } .

When inbound the applicant proper noun, please be aware that EDGAR may modify the bidder name you enter to adjust to the following standards. You may wish to avoid EDGAR making these modifications past omitting these problems from the bidder name you lot enter.

• Only single spaces are allowed. EDGAR will automatically replace any embedded sequences of two or more spaces with a single space. Multiple consecutive leading or trailing blank spaces will also exist replaced with a single space.
• EDGAR will remove the following words if they are the first word of the name—A, An, The.
• EDGAR will catechumen the following words in a company name to their capitalized abbreviation:
• Company will be changed to CO.
• Corporation will be changed to CORP.
• Incorporated and incorporation will be changed to INC.
• And will be changed to &.
• Limited volition be changed to LTD as long as the word limited does non announced as the outset word in the company name or is not followed by the word partnership.

Note that these text elimination and commutation rules are example-insensitive.

Please also be aware of the standards EDGAR will utilize for individual applicant names.

• Individual applicant names must use the format "last, outset, centre." Individuals should include their complete eye proper noun to avoid the potential for a duplicate name error. Punctuation is not permitted for individual names, except for hyphenated names.
• EDGAR volition convert inferior to JR and senior to SR.

Tax identification number (TIN)

• The filer'due south taxation or federal identification number is the number issued by the Internal Revenue Service. This information is required for companies, not individuals. Accordingly, DO NOT ENTER A SOCIAL SECURITY NUMBER.
• If you practise not have a TIN, enter 00-0000000.
• Foreign issuers that do not have a revenue enhancement or federal identification number should enter 00-0000000.
• If you are in the process of applying for a Tin when you request EDGAR admission, you may update the TIN information after your Form ID has been accustomed and y'all have access codes. Updates can be made by accessing the EDGAR Filing Website and selecting the Retrieve/Edit Data option.

Filer data

• Complete the Filer Data section only if the applicant is a company.
• The Doing Business organisation as "Name" is an optional field.
• If your company proper noun is not in English, y'all may enter the company name in the Foreign Name field. Annotation that foreign symbols are not permitted, and yous may only enter the standard ASCII character gear up noted higher up.
• If the filer's fiscal yr does not end on the same date each year (e.g., falls on the last Saturday in December), enter the engagement the electric current financial year will end.

Contact for EDGAR information, inquiries, and access codes

• All applicants must complete this department.
• The email address you provide in this section is used by EDGAR to communicate acceptance or rejection of your submission, the accession number, EDGAR access codes, notifications about the condition of the filings you submit, and other EDGAR-related data.
• Note that our rules require you to keep this information electric current.

Contact for SEC account information and billing invoices

• All applicants must consummate this section.
• Yous should identify in this section the individual who should receive business relationship data and/or billing invoices from the SEC and who can respond questions such as those regarding account activity statements, account receivable messages, refund questions, and dormant account notifications.
• If this information changes at any fourth dimension in the future, you must update it via the Retrieve/Edit Data link on the EDGAR Filing Website or your account statements may be returned to the SEC as undeliverable.
• Note that filers registered equally banker-dealers must submit a Grade BD/A (amendment to Course BD) to FINRA's CRD/Gateway system to correct any visitor data other than the email address.

Signature

• All applicants must complete this section.
• Enter the name and title of the person who volition sign the Form ID.
• If the applicant is a company, a duly authorized individual (such every bit a CEO, CFO, partner, corporate secretarial assistant, officer, director, or treasurer) must sign the Form ID.
• Individuals—including Department 16 filers—may take a power of attorney sign the Form ID on their behalf. If the Class ID is signed past someone in the capacity of power of attorney (POA), then the POA documentation must accompany the notarized Form ID application.

Footstep iii—save and print Grade ID

• Save the completed Form ID in EDGAR by clicking the Relieve button located at the summit of the folio.
• After you have saved the awarding, impress the Form ID by selecting the Print icon at the top of the Course ID folio. You can verify that all information is authentic through the print preview screen.

Step four—sign and notarize

You must have the Form ID application signed by an authorized individual of the visitor and notarized. The signed and notarized copy of your Course ID is referred to equally the authenticating document, which helps protect filers by ensuring that Form ID submissions on their behalf are authentic and legitimate.

The authenticating document must include the following information:

• Signature of authorized individual
• Printed name of authorized individual who signed the document
• Title of authorized individual who signed the document
• Notary signature and seal. The notary cannot exist the same as the contact person. For information concerning electronic or remote online notarization, come across Volume I of the EDGAR Filer Manual.

Strange filers who practise not have admission to a U.South. notary public may use the foreign local equivalent of a notary public or obtain notarization by a remote online notary recognized by the law of any state or territory in the U.South. or the District of Columbia.

This authenticating certificate must be fastened to the electronic Form ID filing in PDF format. The awarding can also include other attachments such every bit a cover letter of the alphabet or a power of attorney.

Stride v—save as a PDF and upload

ane. Scan your authenticating document if necessary and save information technology locally every bit a PDF file. Note that Form ID authenticating PDFs may exist saved as image-simply documents.

File names for the Form ID authenticating PDF must adhere to all of the following restrictions:

• 32 characters or less, including the file extension.
• All characters must be lowercase.
• File proper name must starting time with a letter (a-z) and not incorporate spaces.
• May contain digits 0-9.
• May have upwards to one menses (.), one hyphen (-), and one underscore character (_).

ii. Return to the Form ID application to upload your Form ID authenticating PDF to EDGAR.

3. Select the Continue with Saved Application for EDGAR Access radio push button to retrieve your saved Course ID application.

four. You will have the option to browse for the advisable file and upload it. The restored file will so pre-populate with all of your previous information.

v. Select the Documents tab and upload your authenticating document's PDF file.

6. Select CORRESP for Type.

seven. Click on the Add Document button and then Side by side to motility to the signature screen.

Follow the same process described to a higher place to attach a ability of chaser (POA) certificate and any additional documents such as cover letters, exhibits, or correspondence. Attachments must adjust to the file naming standards listed above and must have an extension of .htm, .txt, or .pdf.

• PDF attachments must not contain active content (actions, embedded JavaScript, etc.), external references (destinations, hyperlinks, etc.), and passwords or document security controls. Refer to Affiliate five, Section 5.ii.iii, Volume II of the Filer Transmission for EDGAR standards on PDF documents.
• You lot may but attach a maximum of 10 Embrace documents, 100 CORRESP, and 500 EX-24 documents (for a combined full of 610 documents). The maximum size of a Form ID submission, including all attachments, must not exceed 200 MB.

EDGAR provides a Validate Document function should you want to check your document(s) for errors. If there are errors in the document, the ERRORS field will display the number of errors for each document. To view the errors, click the value in the Errors field for the document that contains errors to view the errors. A Document Validation window opens and lists the errors in the document. Correct whatsoever document errors using the tool that created the document.

Access to EDGAR volition not be granted to a potential new filer until the applicant has completed both the online Course ID, uploaded the authenticating document, and the applicant's Form ID has been accepted by the SEC.

Step 6—submit

The last pace prior to submitting your Form ID application to the SEC is to create a passphrase, which is a security lawmaking you will use to generate your EDGAR access codes. Without a passphrase you volition not be able to access any of EDGAR's filing capabilities.

Create your passphrase by entering it in the Add Passphrase folio (shown above). For security reasons, your passphrase must be eight characters in length and contain at to the lowest degree ane digit and one of the post-obit characters: {@, #, *, $}.

• Please record your passphrase and maintain it securely for future use. For security reasons, your passphrase cannot be recovered later on you exit the Form ID application.
• If you lot salve your Class ID awarding with the passphrase entered, and then restore the submission, the passphrase volition not be restored. You lot will need to re-enter your passphrase in the restored Form ID application. Inbound a passphrase must be the last footstep before submitting a Form ID application—this sequence of steps helps ensure the security of the passphrase.

Y'all may submit your Form ID and authenticating certificate from 6:00 a.m. until ten:00 p.m. ET, Monday through Fri, except federal holidays. If you submit a Course ID manual before 10:00 p.thousand. ET, it will be processed. Equally EDGAR is unavailable for filing after ten:00 p.m. ET, a Course ID transmission after that time will take to be submitted the next business day. Annotation that EDGAR allows you to relieve and restore a partial or complete Form ID application to work on at a afterward betoken in time.

To submit your completed Form ID application, click SUBMIT (illustrated above). A message volition appear confirming that you wish to proceed with the submission. Click Transmit Live Submission.

• Record your accretion number ( 9999999996-**-******), a unique number generated by EDGAR for each electronic submission. Although this number does not mean that EDGAR has accepted your submission, information technology is a reference number that tin can be used to inquire about the status of your application. In one case your Class ID has been accepted or suspended, you will receive a confirmation email with that accession number.
• Notation that the EXIT button will close the electric current data entry session and return you to the Apply for EDGAR Access folio. Any data entered or attachments uploaded will be discarded if you leave the data entry session for Form ID without saving.

Only ane bidder per Form ID is allowed. EDGAR'southward Relieve functionality offers a way to restore and submit multiple Form ID applications that are for applicants with similar data just different names.

What happens next?

• SEC staff requires at least ii business days (excluding federal holidays) to process Grade ID applications.
• Once candy yous will receive an email confirming that EDGAR has either accepted or rejected your submission. The electronic mail will contain an accretion number, which is a unique number generated by EDGAR for each electronic submission. Refer to the accession number when following up with the SEC almost this submission. An accession number only confirms receipt of the submission, not that the submission was accepted and processed by EDGAR.
• If EDGAR detects an error within your submission, you will receive an email stating that your Course ID was suspended. The message will state the specific error that caused the submission not to meet the minimum filing requirements. Please prepare the errors and resubmit the Form ID application.
• If the company proper name is a duplicate of an existing name, EDGAR volition notify yous by e-mail after you submit the Class ID application. Beginning, ensure that at that place is non already a CIK assigned to your company name by searching the EDGAR Company Database. If your company name matches the CIK assigned to another entity, resubmit the Form ID with a memo at the top of the class declaring that your company is a new, unique entity that is not affiliated with the other company CIK. Include a description such as the state of incorporation to distinguish your company.

Mutual error letters generated during the Form ID procedure

Invalid file name. This error message refers specifically to the file name, not the file path where the certificate is located that is sometimes visible in EDGAR when a filer uploads their document.

• To comply with EDGAR'south file naming standards, the file proper noun must be in all lower case messages and/or digits without any spaces. The name must be 32 characters or less and brainstorm with a letter (not a number). More than i hyphen, underscore or flow will result in an invalid file proper name.
• Ensure you have correctly named the file and rename information technology if necessary.

Invalid PDF tag/your PDF contains unrecognizable text. This error message is generated when the PDF contains unrecognizable text. First, verify the file proper name adheres to the file naming standards listed above and CORRESP is selected for file type. Make certain the PDF document does not contain whatever active content (embedded JavaScript), external references (destinations, hyperlinks, etc.), or passwords/document security controls.

If yous continue to receive the error, open up the document in Adobe and complete the steps below to reformat the PDF as an image.

• In Adobe Acrobat—select File > Impress. In the printer window, select Adobe PDF or whatever other PDF printer from the printer list and select Advanced. In Advanced Impress Setup, click the box Print equally Image and select OK. Select Impress. The Relieve As window will appear; make sure you lot relieve the document inside the file proper noun guidelines and include a digit or alphabetic character that is distinct from the previous file name (to ensure you select the nearly current PDF to upload). Return to the Form ID application and resubmit the course with the new, reformatted PDF.
• In Adobe Reader—open up the file > select Edit and Have a Snapshot. Click on the kickoff folio and a snapshot will be taken of the folio. A message will appear stating that the surface area has been copied.
• Open up MS Word, select File, and select New, then paste the image and the commencement folio will announced in MS Word. Echo this process and paste the second page in discussion after the first page (if necessary). Salvage the file as an Adobe PDF. Return to the Form ID application and resubmit the grade with the new, reformatted PDF.

The name you have selected is a duplicate of an existing name. Outset, ensure that in that location is non already a CIK assigned to your company name past using the EDGAR Company Database. If your company name matches the CIK assigned to some other entity, resubmit the Form ID with a memo at the top of the class declaring that your company is a new, unique entity that is not affiliated with the other visitor CIK. Include a description such as the state of incorporation to distinguish your visitor.

Submitting a Course ID because you lot are required to electronically file a Course three, four or v?

Find out more information about such filings at Section 16 Electronic Reporting Oftentimes Asked Questions.

Source: https://www.sec.gov/page/edgar-how-do-i-prepare-and-submit-my-form-id-application

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