SEC EDGAR Registration Process Form ID

SEC EDGAR Registration:

What you need to know about the Form ID

 

Before April 26, 2004, when the SEC launched the Filer Management website, paper Form ID applications were faxed to the SEC for processing. This is no longer the practice. The electronic document submission of Form IDs was facilitated to improve the process and make digital records easier.

Remember that you won’t be able to get EDGAR filing access codes without first registering with the SEC. Because the SEC will no longer accept paper Form IDs, online registration with the SEC is required in order to get full access to the EDGAR system. To accomplish this, applicant must submit a scan copy of an application (Form ID) to the SEC. After the Form ID has been accepted the filer is now allowed to generate the required filing access codes that let him or her to submit documents to the SEC or change entity information in SEC by using EDGAR system.

Uniform Application For Access Codes To File On Edgar

Uniform Application For Access Codes To File On EDGAR

All applicant types listed on this Form or their agents must file a Form ID. Click here to download.

Company or insider registration as an EDGAR filer process?

Take note that applying for access codes is required for new filers only, this is because access codes are required for each filer and are issued only once for each entity or individual. Registering as an EDGAR filer can be done by following steps below:
  1. In order to avoid double registration, search the company or insider name on the EDGAR system. If the company or insider is not listed in the results, continue with the steps that follow. If results are found, make sure that you were not registered as EDGAR filer before or, if you were registered before, and Access Codes were missing, make necessary actions to obtain an existing Access Codes.
  2. Go to the the Filer Management web site.
  3. Click the “Press Here to Begin” and then the “Apply for EDGAR Access (New)” link in the menu located in top left side of the webpage.
  4. Select the “Application for EDGAR Access” button and click “Next”.
  5. Complete all required fields of the online Form ID Application by entering information on each of the following sections and pressing “Next” or “Previous” if necessary.
  6. Save the Form ID by click “Save”, to ensure that an information is not lost and can be restored to continue an application later as needed.
  7. Click “Print” and use preview to review the form and make necessary changes (if any). Print the Form ID to create a hard copy of the document for notarization.
  8. Notarize the signature of authorized person. Form ID must include signature of authorized person with printed name, title of person signing, and Notary signature and seal.
  9. Scan the notarized Form ID and save it as a PDF file (Adobe Acrobat software required). File namemust be lowercase and no longer than 32 characters long.
  10. Attach scan copy in PDF format to the Form ID online application (restore Form ID from the file saved in step 6) by click “Add Document”. Select CORRESP as type of attachment from the Type drop-down list and type in Description field – “Form ID”. To make sure that the document is free from errors, click “Validate Document”. If there are no errors the value in the ERRORS field will be ‘0’.
  11. Use Signature section to type signature of the applicant and enter Date and Title.
  12. Create and enter passphrase. The passphrase is an EDGAR security code that is used to generate (or regenerate) the new set of EDGAR access codes. The passphrase is not used to log on to the EDGAR system or Online Forms websites. The passphrase must be 8 characters long and must contain at least one digit and one of the following characters: @, #, *, or $.  IMPORTANT: Remember the Passphrase at this step. The passphrase will be needed to generate new codes once the Form ID application will be approved by the SEC, as well as generate replacement codes in the future.
  13. Submit the application by click “SUBMIT”. You will receive a confirmation pop-up screen with option to “Transmit LIVE Submission”. Click “Transmit LIVE Submission”, and The Form ID Application Acknowledgement screen will pop-up with confirmation that an application was successfully received by SEC and an accession number. Make a note of accession number, as it is your reference number for any enquiries regarding this application.
  14. When the acceptance email has been received, open the Filer Management website and click on “Generate Access Codes (New/Replacement).” Submit the form using the passphrase created and the CIK provided in the email from the SEC. After which, the registration process will be completed.

If you have any questions regarding the status of your Form ID application, reference the accession number when contacting the SEC Filer Support. Filer Support can be reached at (202) 551-8900 Option 4.

 

How the Form ID authentication procedure work?

After the SEC receives online Form ID application, it will begin the review process. Please note that it may take several days until the application can be fully processed and accepted.

The applicant will then receive a notice (sent to the email provided in the “Contact for EDGAR Information” part of the Form ID) whether the application was accepted or rejected.

If your application was accepted by the SEC, you will receive an email message with the following information:

  • A message saying that your application has been accepted by the SEC
  • Your new Central Index Key (CIK)
  • Instructions telling you how you can generate EDGAR access codes
  • The URL of the EDGAR Filer Management website

Now, you can open the Filer Management website and click on “Generate Access Codes (New/Replacement).” Submit the form using the passphrase created on step 12 and the CIK provided in the email from the SEC. You will receive a confirmation pop-up screen with new set of Access Codes, after which, the registration process will be completed.

Remember that since the SEC reserves the right to refuse approval, you may also get an email stating that your application has been rejected. This email will contain the following:

  • A message saying that your application has been rejected by the SEC
  • Why your application was rejected by the SEC
  • Instructions on how to resolve the issue

The good news is that you may still resubmit Form ID after you have addressed issues indicated in SEC email message.

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