> **EDGAR^^ Filer Manual\
> Volume I**
>
> **General Information**

![](media/image1.wmf){width="4.489583333333333in"
height="2.2291666666666665in"}\
Version 1

September 2005

**Notice**

Use this EDGAR^®^ Filer Manual when making electronic filings with the
United States Securities and Exchange Commission (SEC or
\"Commission\"). See Rule 301 of Regulation S-T.

The EDGAR Filer Manual consists of three volumes. EDGAR Filer Manual
(Volume I) General Information introduces the requirements for becoming
an EDGAR Filer and maintaining EDGAR company information. EDGAR Filer
Manual (Volume II) EDGAR Filing illustrates the process to submit an
online filing. EDGAR Filer Manual (Volume III) N-SAR Supplement is a
guide for preparing electronic submissions of Form N-SAR.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

For up-to-date information regarding filing-related topics, consult the
following EDGAR websites:

-   Information for EDGAR Filers
    ([*http://www.sec.gov/info/edgar.shtml*](http://www.sec.gov/info/edgar.shtml))

-   EDGAR Gateway to submit filings
    ([*http://www.portal.edgarfiling.sec.gov*](http://www.portal.edgarfiling.sec.gov/))

-   EDGAR Company Database
    ([*http://www.edgarcompany.sec.gov*](http://www.edgarcompany.sec.gov/)).

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

EDGAR^®^ and EDGARLink^®^ are registered trademarks of the Securities
and Exchange Commission. All other product brand names mentioned in this
Filer Manual are trademarks or registered trademarks of their respective
holders.

**Note:** New EDGAR software releases include modifications to the
EDGARLink software and EDGAR submission templates. Please download,
install, and use the new EDGARLink software and submission templates to
ensure that submissions will be processed successfully.

As of this version, all of the volumes of the EDGAR Filer Manual are
re-baselined at Version One. They no longer follow the EDGAR release
version numbers, and may not be updated for each release. In addition,
former Volume II N-SAR Supplement is changed to Volume III N-SAR
Supplement. Filers should consult the EDGAR Filing Website, the EDGAR
OnlineForms/XML Website, and the SEC's Public Website to determine the
current version of the documents. Current version numbers of each of the
documents will be posted and updated documents will be highlighted as
"NEW".

Table of Contents

[1. INTRODUCTION 1-1](#introduction)

[1.1 Organization of this Manual 1-1](#organization-of-this-manual)

[1.2 Conventions Used in this Manual
1-1](#conventions-used-in-this-manual)

[2. GENERAL INFORMATION FOR FILERS 2-1](#general-information-for-filers)

[2.1 How to Obtain the EDGAR Filer Manual
2-1](#how-to-obtain-the-edgar-filer-manual)

[2.2 Hours of Operation 2-1](#hours-of-operation)

[2.3 Introduction to Web Browsers 2-1](#introduction-to-web-browsers)

[2.3.1 Browser Differences 2-1](#browser-differences)

[2.4 Accessing EDGAR 2-2](#accessing-edgar)

[2.5 EDGAR Hardware and Software Requirements
2-3](#edgar-hardware-and-software-requirements)

[2.6 Getting Help with EDGAR 2-3](#getting-help-with-edgar)

[3. BECOMING AN EDGAR FILER 3-1](#becoming-an-edgar-filer)

[3.1 Getting Ready 3-1](#getting-ready)

[3.1.1 Accessing the EDGAR Gateway 3-5](#accessing-the-edgar-gateway)

[3.1.2 Accessing the EDGAR Filer Management Website
3-6](#accessing-the-edgar-filer-management-website)

[3.1.3 Navigating the EDGAR Filer Management Website (EFMW)
3-7](#navigating-the-edgar-filer-management-website-efmw)

[3.2 New SEC Filer: Applying for EDGAR Access
3-10](#new-sec-filer-applying-for-edgar-access)

[3.2.1 Overview 3-10](#overview)

[3.2.2 Application (Form ID) 3-11](#application-form-id)

[3.2.3 Assembling and Submitting the Form ID Application
3-20](#assembling-and-submitting-the-form-id-application)

[3.2.4 Defining a Passphrase 3-27](#defining-a-passphrase)

[3.2.5 Authentication Documentation 3-32](#authentication-documentation)

[3.2.6 Application Acceptance and Applicant Notification
3-33](#application-acceptance-and-applicant-notification)

[3.3 Current SEC Filer: Applying for EDGAR Access
3-33](#current-sec-filer-applying-for-edgar-access)

[3.3.1 Current Paper Only Filer 3-33](#current-paper-only-filer)

[3.3.2 New Serial Company 3-38](#new-serial-company)

[3.4 Creating an Asset Backed Securities Issuing Entity
3-42](#creating-an-asset-backed-securities-issuing-entity)

[3.5 Examples of Notification Messages
3-47](#examples-of-notification-messages)

[3.5.1 Form ID Application Messages 3-48](#form-id-application-messages)

[3.5.2 Convert Paper Only Filer to Electronic Filer Request
3-50](#convert-paper-only-filer-to-electronic-filer-request)

[3.5.3 EDGAR Access for New Serial Companies Request
3-52](#edgar-access-for-new-serial-companies-request)

[4. GENERATING EDGAR ACCESS CODES 4-1](#generating-edgar-access-codes)

[4.1 Generating All EDGAR Access Codes
4-1](#generating-all-edgar-access-codes)

[4.1.1 Requesting an EDGAR Passphrase
4-4](#requesting-an-edgar-passphrase)

[4.1.2 Update Passphrase Request 4-9](#update-passphrase-request)

[4.1.3 Changing your CCC or Password
4-11](#changing-your-ccc-or-password)

[4.1.4 Creating a Passphrase for the First Time
4-15](#creating-a-passphrase-for-the-first-time)

[5. MAINTENANCE OF COMPANY DATA 5-1](#maintenance-of-company-data)

[5.1 Login to EDGAR 5-1](#login-to-edgar)

[5.2 Accessing Submission and Company Information
5-1](#accessing-submission-and-company-information)

[5.3 Retrieve Company Information 5-3](#retrieve-company-information)

[5.4 Edit Company Information 5-5](#edit-company-information)

[5.4.1 Series and Classes (Contracts) Information
5-8](#series-and-classes-contracts-information)

[5.5 Logging in with a Different CIK
5-28](#logging-in-with-a-different-cik)

[6. INTRODUCTION TO FILING ON EDGAR
6-1](#introduction-to-filing-on-edgar)

[6.1 Filing Preparation and Submission
6-1](#filing-preparation-and-submission)

[6.2 EDGARLink Forms 6-1](#edgarlink-forms)

[6.2.1 Creating an EDGARLink Filing 6-1](#creating-an-edgarlink-filing)

[6.2.2 Transmitting an EDGARLink Filing
6-2](#transmitting-an-edgarlink-filing)

[6.2.3 Additional Filing Transmission Methods for EDGARLink Filings
6-2](#additional-filing-transmission-methods-for-edgarlink-filings)

[6.3 Online XML Forms 6-3](#online-xml-forms)

[6.3.1 Creating an Online XML Form 6-3](#creating-an-online-xml-form)

[6.3.2 Transmitting an Online XML Form
6-4](#transmitting-an-online-xml-form)

[6.4 Filer-Constructed Technical Filing Specifications
6-4](#filer-constructed-technical-filing-specifications)

[6.4.1 XFDL Technical Specification 6-5](#xfdl-technical-specification)

[6.4.2 XML Form Type Technical Specification
6-5](#xml-form-type-technical-specification)

[6.4.3 Transmitting XFDL and XML Form Types
6-6](#transmitting-xfdl-and-xml-form-types)

[APPENDIX A. Glossary of Commonly Used Terms, Acronyms, and
Abbreviations
A-1](#glossary-of-commonly-used-terms-acronyms-and-abbreviations)

[APPENDIX B. Frequently Asked Questions
B-1](#frequently-asked-questions-1)

[APPENDIX C. Automated Name Conformance Rules for Company and Individual
Entity Names
C-1](#automated-name-conformance-rules-for-company-and-individual-entity-names)

**Preface**

Welcome to the Electronic Data Gathering, Analysis, and Retrieval
(EDGAR) system of the U.S. Securities and Exchange Commission (SEC).
EDGAR provides an electronic filing process for filers and filing agents
submitting documents under the Securities Act of 1933, the Securities
Exchange Act of 1934, the Public Utility Holding Company Act of 1935,
the Trust Indenture Act of 1939, and the Investment Company Act of 1940
(collectively, \"Acts\").

When you have determined that you have a requirement to file
electronically on EDGAR, you must follow a specified process. The first
step of this process, applying to be an electronic filer, is covered in
this manual. The EDGAR system has built in a number of safeguards that
require you to complete a formal application process before you can
access most of the EDGAR Filer Websites. After you complete that
process, you will be able to generate new or replacement access codes
that allow you to start filing on the system. These codes also provide
access to other sites that allow you to create certain types of filings,
or to update your company information. The two EDGAR Filer Manuals are
designed to help you follow this process. The first volume of this
manual covers the application process and outlines how to keep your
company data, which is stored in EDGAR, up-to-date. The second volume
helps you understand the tools provided by the SEC for constructing and
transmitting electronic submissions.

The SEC accepts electronic submissions through the Internet or direct
dial transmissions. EDGAR will disseminate that information and you may
view electronically submitted filings on EDGAR workstations in the
SEC\'s Public Reference Room in Washington, DC, through commercial
dissemination services, or by using the SEC\'s website on the World Wide
Web (http://www.sec.gov).

**Do you need to file through EDGAR?**

Whether or not you need to submit filings on EDGAR will depend on the
form type(s) you are required to submit. For those requirements, refer
to Regulation S-T, Rule 101 \[Mandated Electronic Submissions and
Exceptions\].

**Rules Governing Forms and Filing Information**

EDGAR provides you with an electronic means to submit information to us.
**It does not change the content of what you submit.** Regulation S-T
mandates electronic submissions of filings by all domestic and foreign
registrants. Regulation S-T also provides the general requirements and
procedures for electronic filing. You may find copies of Regulation S-T
in the Federal Register and the Code of Federal Regulations (17 CFR Part
232) in our Public Reference Rooms. You will also find Regulation S-T
under the Division of Corporation Finance area on the SEC\'s website
(www.sec.gov) under Forms and Associated Regulations, EDGAR.

Please see the EDGAR Filer Manual Volume II for a detailed listing of
laws and releases that affect electronic filing. You may obtain copies
of this material from our SEC website (*www.sec.gov*).

# INTRODUCTION

## Organization of this Manual

This volume is divided into chapters and appendices. The paragraphs and
subparagraphs are numbered for easy reference (e.g., 1.2, 3.6.1).

The chapters of this volume primarily refer to the process of
registering as an electronic filer on EDGAR and maintaining your company
information.

The following outline shows you where to find information in this
volume. An index is also provided at the end of this document.

**CHAPTER 1 -- Introduction**

**CHAPTER 2 -- General Information for Filers**

**CHAPTER 3 -- Becoming an EDGAR Filer**

**CHAPTER 4 -- Generating EDGAR Access Codes**

**CHAPTER 5 -- Maintenance of Company Data**

**CHAPTER 6 -- Introduction to Filing on EDGAR**

**APPENDICES:**

**A Glossary of Commonly Used Terms, Acronyms, and Abbreviations**

This glossary contains terms, acronyms, and abbreviations used in the
Filer Manual.

**B Frequently Asked Questions**

Answers to some of the questions asked most frequeuntly by EDGAR filers.

**C Automated Name Conformance Rules for Company and Individual Entity
Names**

Appendix C explains the conformance rules that will be automatically
applied to Company and Individual Entity Names entered in the EDGAR
system.

## Conventions Used in this Manual

As you read this volume you should notice attributes assigned to certain
types of text:

-   Instructions to press a key on a keyboard or click a button on the
    screen appear in square brackets and in title case:

```{=html}
<!-- -->
```
-   Press \[Enter\]

-   Click \[Module/Segment\]

```{=html}
<!-- -->
```
-   Titles of check, dialog, and list boxes, fields, functions, options,
    processes, queries, reports, pages, tables, and windows appear in
    title case:

```{=html}
<!-- -->
```
-   Submission Type list box

-   Name field

-   Company Information query

-   Return Copy check box

```{=html}
<!-- -->
```
-   Menus, menu options, radio buttons, and statuses appear in title
    case and have double quotation marks around them:

```{=html}
<!-- -->
```
-   "Test Filing" radio button

-   From the "Edit" menu, select "Copy"

-   "Busy" status

```{=html}
<!-- -->
```
-   Directories and file names appear in bold text:

```{=html}
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```
-   The **C:\\temp** directory

-   Click on the **EDGARInstaller.exe** icon

```{=html}
<!-- -->
```
-   Keystroke combinations appear between less-than and greater-than
    brackets and in upper case:

```{=html}
<!-- -->
```
-   \<ALT-TAB\>

-   \<CTRL-C\>

```{=html}
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```
-   Internet Hyperlinks appear underlined:

```{=html}
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```
-   [Home]{.underline}

# GENERAL INFORMATION FOR FILERS

## How to Obtain the EDGAR Filer Manual

You can download the latest version of the Filer Manual from our website
(*www.sec.gov*) under "Information for EDGAR Filers." The Filer Manual
is also available in HTML format on the EDGAR Filing Website
(*https://www.edgarfiling.sec.gov*).

You can also purchase the latest version of the EDGAR Filer Manual from
Thomson Financial, formerly Disclosure, Inc., at the following address:

ATTN: Thomson Financial

Public Reference Room

US Securities and Exchange Commission

100 F Street, NE

Room 1580

Washington, DC 20549

Or, call Thomson Financial at one of the following numbers:

\(800\) 638-8241

\(301\) 951-1350

## Hours of Operation

EDGAR accepts new filer applications, new filings, and changes to filer
data each business day, Monday through Friday, from 6:00 a.m. to 10:00
p.m., Eastern Time. Transmissions started but not completed by 10:00
p.m. Eastern Time may be canceled, and you may have to re-submit on the
next business day.

## Introduction to Web Browsers

The EDGAR system uses web-based technology to make submitting filings
easier and faster. Web browsers read code called Hypertext Mark-up
Language (HTML). Many people have become familiar with HTML since they
have used the Internet. We use a browser as an integral part of EDGAR,
providing our interface to the EDGAR Filing Website.

### Browser Differences

There are two industry standard browsers currently in use today:
Netscape Navigator and Microsoft Internet Explorer (IE). The EDGAR
Filing Website does not support Netscape version 6.0. Both browsers
comply with Secure Socket Layer (SSL) communications that you will use
to reach the EDGAR Filing Website, and are easy to obtain. Which browser
you use is a personal preference. This section covers some functions
that are innate to browsers, how your browser should be set up, and the
differences between Netscape and IE. You should be aware that there
might be subtle differences if you are using IE or other versions of
Netscape.

![](media/image2.png){width="6.164583333333334in"
height="0.42986111111111114in"}

Netscape Menu Bar

![](media/image3.png){width="6.260416666666667in"
height="0.4444444444444444in"}

Internet Explorer Menu Bar

Figure 2‑1: Browser Menu Bars

Both browsers have very similar navigation functions: \[Back\],
\[Forward\], \[Stop\], and \[Reload\] buttons, Current Address Location
fields, as well as buttons for performing other functions such as
printing and saving. The largest difference between the two browsers is
button appearances and where to update the preference settings. For
detailed information on your browser, see your browser's user manual or
help function.

The browser window works similarly to all windows, in that it can be
maximized, minimized, and sized. The default menu bar contains buttons
that help you navigate the Internet; however, these buttons do not
necessarily help you navigate EDGAR. For the purposes of logging into
EDGAR, downloading files, submitting filings and company queries, or
updating company information, these buttons do not apply. Some of the
functions you can use are Bookmark, to mark the EDGAR Login page for
easy accessibility; Back, to correct, add, or remove criteria from a
query; and Security, to turn on or off your security functions.

When you login to an EDGAR website, please read the Welcome Page. It
contains updated information about EDGAR, including filing requirements,
system changes, new versions of software tools and submission templates,
and other related information.

## Accessing EDGAR

To access EDGAR, a filer must have EDGAR access codes. New filers and
filers who want to file in another capacity (e.g., filing agent or
training agent) must use Form ID to apply for EDGAR access codes. You
must file Form ID electronically and fax to the Commission an
accompanying manually signed and notarized authentication document. If
we do not receive your fax, we cannot process your application. Details
of this process are covered in other sections of this manual. Once you
have obtained your access codes, you will be ready to login to EDGAR,
download submission templates, transmit submissions, run company
queries, update your company information, or change your password/CCC
(CIK Confirmation Code).

## EDGAR Hardware and Software Requirements

The following list states the recommended system requirements:

-   PC with the following:

```{=html}
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```
-   500+ MHz processor

-   Windows 95 version B or higher, 98, 2000, NT, or XP

    **Note:** EDGARLink is not supported on Windows 95

-   128 MB of RAM recommended; less may cause program or system
    performance problems

-   Hard Drive with 100 MB of disk storage to install the software and
    20--30 MB of disk storage for submission preparation and transfer

```{=html}
<!-- -->
```
-   Monitor (color recommended, but not required)

-   Printer (recommended, but not required)

-   Internet browser: Netscape Navigator version 7.0 or higher or
    Internet Explorer version 5.0 or higher and supporting 128-bit
    cipher strength. Java should be enabled in the browser. EDGARLink
    and the EDGAR Filing Website **do not** support Netscape 6.0

-   Word processing or spreadsheet applications having the option to
    save documents as standard ASCII or HTML text

-   Internet or direct dial access through a telephone/data line and a
    modem/router. In some cases, you may need to use a PBX
    telephone/data line. If you are using a PBX line, you may need to
    modify the telephone number that is used for direct dial connections

-   We recommend you use the default settings during the EDGARLink
    install

If you have questions about your PC configuration, check with the
manufacturer.

## Getting Help with EDGAR 

For general filing and technical information or help, contact our Filer
Support Staff in the Office of Filings and Information Services.

Filer Support Staff can help you each business day from 7:00 a.m. to
7:00 p.m., Eastern Time. You can reach them at (202) 551-8900 for help.

# BECOMING AN EDGAR FILER

## Getting Ready

To automate the process of submitting a Form ID application, the SEC has
developed the EDGAR Filer Management Website (EFMW). At this website a
potential filer can file the Form ID application, generate access codes
(new/replacement), update a passphrase (required security code), convert
from a paper only filer to an electronic filer, and obtain access codes
for serial companies. You can access this website directly through its
Uniform Resource Locator (URL):
[*https://www.filermanagement.edgarfiling.sec.gov*](https://www.filermanagement.edgarfiling.sec.gov/)
or through our EDGAR Gateway. The EDGAR Gateway allows you to navigate
between the multiple EDGAR websites more easily. It is located at:
[*http://www.portal.edgarfiling.sec.gov*](http://www.portal.edgarfiling.sec.gov/).
It is strongly recommended that you bookmark this website or add it to
the Favorites list in your browser.

This section describes the process that a new filer must follow to gain
access to EDGAR. It also describes how to access the EDGAR Gateway and
EFMW. For the EFMW, it covers the functionality that it provides,
including how to create and submit a Form ID application electronically.

Before you can use the EDGAR system, you must submit a Form ID
application to be accepted as an EDGAR filer. (Refer to Section 3.2, New
SEC Filer: Applying for EDGAR Access, for more information. If you wish
to create an Asset-Backed Securities Issuing Entity, refer to Section
3.4, Creating an Asset Backed Securities Issuing Entity.) An EDGAR filer
can be a registrant, a third-party non-registrant filer, a third-party
agent filing for another individual or entity, or a training agent.
EDGAR filers may send submissions on their own behalf or use a filing
agent. Training agents may only send test submissions. **A duly
authorized person, such as a partner, president, treasurer, corporate
secretary, officer, or director, must sign the Form ID. Section 16
filers may have someone with their power of attorney sign the Form ID**.
Filing agents such as financial printers cannot sign this Form on behalf
of the issuer unless they are specifically authorized to do so in
writing on behalf of the issuer or Section 16 filer. The documentation
should accompany the Form ID.

As an applicant for EDGAR access codes, you must indicate whether you
are a filer, filing agent, or training agent as defined in Part I of the
Form ID General Instructions. If you plan to file on EDGAR in more than
one capacity, a separate Form ID must be completed and submitted for
each capacity. For example, if you want to make EDGAR submissions as a
registrant, and as a filing agent, and as a training agent, you must
submit a separate Form ID for each filing capacity. You will receive
three separate sets of CIKs and access codes.

It is mandatory to include the registrant's Tax Identification Number
(TIN) to establish domestic companies. This is for companies only, not
individuals. If you do not have your TIN when you submit your initial
Form ID, you may add it to the EDGAR database by going to the EDGAR
Filing Website and adding it to your company's information.

You must file your Form ID application electronically via the EDGAR
Filer Management Website, then you must fax the required manually signed
and notarized authentication documentation to the SEC. Intentional
misstatements or omissions of facts constitute federal criminal
violations. See 18 U.S.C. 1001.

Section 3.2, New SEC Filer: Applying for EDGAR Access, contains
instructions on how to do this. You can print various EDGAR-related
forms (e.g., Form TH, Form SE) from the *www.sec.gov* website. You can
also request additional copies from the SEC's Publications Office by
calling (202) 551-4040, or by making a written request to the following
address:

ATTN: Publications Branch

US Securities and Exchange Commission

Mail Stop L610

100 F Street, NE

Washington, DC 20549

You must fax the manually signed and notarized authentication
documentation associated with your electronic Form ID to the following
office:

US Securities and Exchange Commission

ATTN: Filer Support

\(202\) 504-2474

> **or**

\(703\) 914-4240

You may contact Filer Support at (202) 551-8900 if you require
additional information.

After we accept your Form ID application, you will receive instructions
on how to obtain the following four access codes:

-   CIK \-- Central Index Key:

    The CIK is a number that we assign to each entity that submits
    filings to us. Use of the CIK allows us to differentiate between
    filing entities with similar names. A CIK is used to identify all
    filers, both EDGAR and non-EDGAR. Individuals should use their own
    CIK number and password each time they logon to EDGAR, even if their
    filings relate to different registrants.

```{=html}
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```
-   Using the CIK to Login and Identify Submitter Registrants:

    The CIK is the one EDGAR access code that is available to the
    public. In EDGAR, the CIK is used with a password for login
    identification (sometimes referred to as a login CIK). This
    identifies the submitter, which could be a registrant, a
    non-registrant, a filing agent, or a training agent. The CIK is also
    used with the CCC in submission headers to identify the registrant.
    The CIK is a permanent identifier; you may not change it. You can
    login to EDGAR using any valid CIK-password combination. The login
    CIK will be part of the unique identifier for the submission.

```{=html}
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```
-   CCC \-- CIK Confirmation Code:

    The CCC is a code of eight characters having at least one number
    (0-9) and at least one special character (@, #, \$, \*). The CCC is
    case-sensitive and you must use it exactly as created, either in
    upper or lower case. Because the CCC is case-sensitive, if you use
    lower case letters when the CCC is created or changed, you must use
    lower case letters when entering the CCC in submission headers. To
    avoid confusion, we do not use the number 1 (one), the lower-case
    letter "l" (el), the number 0 (zero), or the capital letter O (oh)
    in assigning codes. We suggest that you also avoid using these
    numbers and letters when changing your CCC. You will need both a CIK
    and its corresponding CCC to submit a filing.

```{=html}
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```
-   Releasing the CCC To Filing Agents and Financial Printers:

    If you use a filing agent, you may release the CCC to your agent
    because you must include a CCC in your submission. When a
    third-party agent submits a filing for you, the agent uses its own
    login CIK and password to establish authorization to make a
    submission. However, the agent must use your CIK and CCC in your
    submission in order to identify you as the entity for which the
    submission is being made.

-   Changing Your CCC:

    We recommend that you change your CCC after a third-party filing
    agent has used it for a submission on your behalf. You may also want
    to change your CCC for security purposes. You will find procedures
    for changing the CCC in Chapter 4.

```{=html}
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```
-   Password:

    The password is a code of eight characters having at least one
    number (0-9) and at least one special character (@, #, \$, \*). The
    password is case-sensitive and you must use it exactly as created,
    either in upper or lower case. You use it in combination with a CIK
    to identify the entity making a submission. This entity may be you,
    or a filing agent, or the law firm who files on your behalf. Since a
    CIK is public information, a second, confidential code is necessary
    to ensure that whoever is sending a submission to EDGAR is
    authorized to do so. You must enter both a CIK and a password to
    access EDGAR. The CIK is public and you may give it and the CCC to
    your agent to make submissions on your behalf, but you should hold
    the password in strictest confidence.

```{=html}
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```
-   Changing Your Password:

    We encourage you to change your password frequently, at least
    annually. You will find procedures for changing a password in
    Chapter 4. To change a password, you must use a Password
    Modification Authorization Code (PMAC). **Your password will expire
    12 months after it was created or last changed.** If you are locked
    out of EDGAR because your password has expired, you may generate a
    new set of EDGAR access codes (PMAC, password, CCC) via the EDGAR
    Filer Management Website using your passphrase. If you have also
    forgotten your passphrase, you must request a new passphrase (also
    via the EDGAR Filer Management Website) before you can generate a
    new password. A request for a new passphrase must be accompanied by
    authentication documentation, and it must be accepted by the SEC, so
    be sure to keep your password up to date. (Refer to Section 4.1,
    Generating All EDGAR Access Codes, for instructions on how to
    generate a new set of EDGAR access codes and how to request a new
    passphrase.)

```{=html}
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```
-   PMAC \-- Password Modification Authorization Code:

    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 you must enter it exactly as created. It is a
    very private code, and only one or two persons in an organization
    should know this code. If you misplace or have forgotten your PMAC,
    you may generate a new set of EDGAR access codes (CCC, password,
    PMAC) via the EDGAR Filer Management Website
    ([https://www.filermanagement.edgarfiling.sec.gov](https://www.filermanagement.edgarfiling.sec.gov/))
    using your passphrase. The CIK is public and you may give it and the
    CCC to your agent to make submissions on your behalf, but you should
    hold the PMAC in strictest confidence.

    Part of the process of submitting an electronic Form ID application
    is to specify an EDGAR passphrase:

-   Passphrase:

    The passphrase is used to generate a set of EDGAR access codes
    (PMAC, password, CCC). The passphrase follows the PMAC formatting
    and usage rules (see PMAC). Because it can be used to generate the
    EDGAR access codes, the passphrase is a very sensitive code that
    should be strictly controlled. Access to it within your organization
    should be extremely limited. As mentioned previously, requesting a
    new passphrase must be done via the EDGAR Filer Management Website,
    it must be accompanied by manually signed and notarized
    authentication documentation, and it must be accepted by the SEC.
    (Refer to Section 4.1, Generating All EDGAR Access Codes, for
    instructions on how to generate a new set of EDGAR access codes and
    how to request a new passphrase.)

**The SEC does not keep these codes on file**. It is the responsibility
of the individual designated as the Contact for EDGAR on the Form ID to
provide these codes to the EDGAR filing parties, and to keep the codes
secure. Section 16 filers must provide their EDGAR codes to their EDGAR
contact at each of the companies for which they are insiders if the
companies are going to file on their behalf. Only ONE set of EDGAR codes
will be valid for each individual, so it is essential that all relevant
companies be given the codes. Only one Form ID should be submitted for a
registrant or an individual applicant.

**Note:** To protect the integrity and security of the data you send,
you must limit the number of people who know your CCC, password, and
PMAC.

### Accessing the EDGAR Gateway

Any potential filer can access any of the EDGAR Websites by using the
EDGAR Gateway into the EDGAR system. Please execute the following
procedure:

1.  Connect to the Internet.

2.  Go to the EDGAR Gateway

    [*http://www.portal.edgarfiling.sec.gov*](http://www.portal.edgarfiling.sec.gov/)

> The EDGAR Gateway page appears (see Figure 3-2: EDGAR Gateway Page).

This page functions as a gateway to all EDGAR Websites. As such, it is
strongly recommended that you bookmark this page or add it to the
Favorites list in your browser.

3.  Read the questions and determine which one identifies what you want
    to accomplish. If you are a new filer, click on the link that says,
    "Would you like to become a new filer or generate new access codes".

> The Website Welcome page for the EDGAR Filer Management Website will
> appear.

![](media/image4.png){width="6.5625in" height="3.5416666666666665in"}

Figure 3‑2: EDGAR Gateway Page

### Accessing the EDGAR Filer Management Website

Another way to access the EFMW is to go directly to the website by
executing the following procedure:

1.  Connect to the Internet.

2.  Go to the EFMW

    *[https://www.filermanagement.edgarfiling.sec.gov]{.underline}*

> The EFMW Home page appears (Figure 3-3: EDGAR Filer Management Home
> Page).
>
> This page functions as a gateway to the website.

3.  Click the \[Press Here to Begin\] button.

> The EFMW Welcome page appears (Figure 3-4: EDGAR Filer Management
> Welcome Page (Top)).
>
> This page provides access to the electronic Form ID application and
> other capabilities provided by the EFMW.

![](media/image5.png){width="6.497916666666667in"
height="4.107638888888889in"}

Figure 3‑3: EDGAR Filer Management Home Page

![](media/image6.png){width="5.99375in" height="3.6104166666666666in"}

Figure 3‑4: EDGAR Filer Management Welcome Page (Top)

### Navigating the EDGAR Filer Management Website (EFMW)

Once you access the EFMW, an option menu appears on the left-hand side
of the browser window. This menu allows you to navigate easily through
the EFMW without having to return to a menu page. This menu is broken
down into two different sections:

-   Filer Management

-   Support

![](media/image7.png){width="1.4465277777777779in"
height="3.0319444444444446in"}

Figure 3‑5: EFMW Welcome Page Menu

Note that clicking [Home]{.underline} merely redisplays the EFMW Welcome
page. This menu item exists for consistency with other EDGAR websites
(such as the OnlineForms/XML Website) and to support future
functionality. Please note that the links open pop-up windows, so users
should not disable pop-up displays.

#### Filer Management

In the Filer Management section, there are five links:

-   Apply for EDGAR Access (New)

-   Generate Access Codes (New/Replacement)

-   Update Passphrase

-   Convert Paper Only Filer to Electronic Filer

-   EDGAR Access for New Serial Companies

By clicking Applying for EDGAR Access (New), you can create a Form ID
application and submit it to the SEC for acceptance. A Form ID
application is typically submitted by:

-   A \[potential\] filer who has not previously filed with the SEC in
    any media

    *or*

-   A current filer who needs to file in a new capacity[^1]

Acceptance of a Form ID application results in the creation of a new
Central Index Key (CIK).[^2] For more details, please refer to Section
3.2, New SEC Filer: Applying for EDGAR Access.

When you click on [Generate Access Codes (New/Replacement)]{.underline}
and enter your CIK and your passphrase[^3], you are presented with EDGAR
access codes (for an existing CIK) that are needed to perform common
"filing" activities. (These EDGAR access codes are the Password
Modification Authorization Code \[PMAC\], the password, and the CIK
Confirmation Code \[CCC\]). For more details, please refer to Section
4.1, Generating All EDGAR Access Codes.

By clicking [Update Passphrase]{.underline}, you can create a request
for a new passphrase and submit it to the SEC for review and acceptance.
This capability allows an existing EDGAR filer who has forgotten or
wants to change his or her passphrase to get a new passphrase. With a
new passphrase, the filer can regenerate the PMAC, password, and CCC.
For more details, please refer to Section 4.1.1, Requesting an EDGAR
Passphrase.

By clicking [Convert Paper Only Filer to Electronic Filer]{.underline},
paper filers can create a request for EDGAR access and submit it to the
SEC for review and acceptance. This capability allows the filer to file
electronically with the SEC in the future. For more details, please
refer to Section 3.3.1, Current Paper Only Filer.

By clicking [EDGAR Access for New Serial Companies]{.underline}, you can
create a request for EDGAR access for a new serial company and submit it
to the SEC for review and acceptance. This capability allows a serial
company that was previously created via the submittal of a form 424B
filing to specify a passphrase for access to EDGAR (after the request
has been accepted by the SEC, the serial company can use the passphrase
to get the access codes \[PMAC, password, and CCC\] that are needed to
file with EDGAR). For more details, please refer to Section 4.1.1
Requesting an EDGAR Passphrase.

#### Support

In the Support section, there are two links:

-   General Help

-   Frequently Asked Questions

##### General Help

If you need help while using the EFMW on the Internet, click on [General
Help]{.underline} from the menu to bring up the General Help page
(Figure 3-6: EFMW General Help Page) that displays a list of help
topics. When you click on a topic, you are shown information or
additional links to specify the type of assistance you need.

![](media/image8.png){width="2.452777777777778in"
height="2.0381944444444446in"}

Figure 3‑6: EFMW General Help Page

#### Frequently Asked Questions

Click on [Frequently Asked Questions]{.underline} (FAQ) to open the EFMW
Frequently Asked Questions page. The FAQ page answers the questions
about the EFMW that have been asked most often. You may find the answers
helpful while using the EFMW. Click on the hyperlink topic to display
the answer in the lower portion of the window.

## New SEC Filer: Applying for EDGAR Access

This section walks you through the process of applying for access to
EDGAR for **applicants who are [new]{.underline} to filing with the SEC
or who need to file with the SEC in a new role (e.g., filing agent or
training agent).** Filers who have previously filed with the SEC on
paper and who need to begin filing electronically should follow the
instructions in Section 3.3.1, Current Paper Only Filer. New serial
companies that need EDGAR access should follow the instructions in
Section 3.3.2, New Serial Company.

### Overview

The process of applying for access to EDGAR consists of two parts as
follows:

-   Composing and submitting a Form ID

-   Submitting Authentication documentation

**[Access to EDGAR will not be granted to a potential new filer until
both parts have been completed. The SEC will not accept a Form ID
application until both documents have been received]{.underline}**. The
Form ID is created and transmitted electronically, **it will not be
accepted as a paper form.** The Authentication documentation is a
manually signed and notarized hardcopy document that is faxed to the
Office of Filings and Information Services, Branch of Filer Support.
(Refer to Section 3.2.5, Authentication Documentation, for details.)

Within the context of a Form ID, the EFMW will:

-   Allow you to provide all of the necessary information required by
    the SEC rules on an appropriate data gathering form (Form ID)

-   Allow you to provide your signature and signature date

-   Allow you to verify the information on the form

-   Allow you to edit information on the form where necessary

-   Allow you to upload attachments (i.e., cover letters, exhibits, or
    correspondence)

-   Allow you to review and confirm your information and then print the
    submission for your records

Remember, the Form ID is a legal document. Consider these important
notes when composing your Form ID using the EFMW:

-   Intentional misstatements or omissions of facts constitute federal
    criminal violations. See 18 U.S.C.1001.

-   Submission of a Form ID with missing required information will be
    considered incomplete and will not be accepted -- [all required
    fields must be completed]{.underline}.

-   There is no capability to save work in progress, so it is important
    for you to have all of the information necessary to complete the
    form before you begin to assemble your submission online.

-   You can exit the window at any time to discard your work in progress
    and start over.

-   Only one applicant per Form ID is allowed (however, a method is
    provided to make it easier to submit multiple Form ID applications
    from the same browser window).

### Application (Form ID)

This section outlines the process for composing a Form ID application
using the EFMW and then transmitting the submission to EDGAR for
processing.

**Note**: The instructions provided for the paper Form ID are pertinent
to the information that is entered on the electronic Form ID data entry
page. These instructions are available on the SEC website
*[http://www.sec.gov]{.underline}*.

Before beginning, gather all required information. Be especially sure to
do the following:

-   Determine the correct filer attributes: applicant type and
    company/individual indicator

-   Ensure that you have identified the necessary contacts (for both
    EDGAR matters and for accounting and billing information)

-   Ensure that you have proper and valid postal addresses, telephone
    numbers and e-mail addresses at hand

-   Prepare any attachments, such as a cover letter or exhibit, save
    them in the correct format and have the file names identified.[^4]

The first step for composing a Form ID application is to bring up the
Form ID data entry form. This is accomplished as follows:

1.  Connect to the EFMW Welcome page (refer to Section 3.1.2, Accessing
    the EDGAR Filer Management Website).

2.  Click on [Apply for EDGAR Access (New)]{.underline} in the menu bar.

3.  A new browser window opens and the data entry page for the Form ID
    application appears (Figure 3-7: EDGAR Apply for EDGAR Access (New)
    Page (Top)).

4.  Enter the Form ID data, described in the following subsections.

![](media/image9.png){width="5.964583333333334in" height="3.98125in"}

Figure 3‑7: EDGAR Apply for EDGAR Access (New) Page (Top)

The information on the Form ID data entry page is sectioned into five
parts:

Applicant Information

Basic information about the applicant, i.e., the company or individual
that wishes to file with the SEC.

Filer Information

Additional information about the applicant when the applicant is a
[company]{.underline}.

Contact for EDGAR Information, Inquiries and Access Codes

Information about the person who is the applicant's point of contact for
EDGAR-related information and queries.

Contact for SEC Account Information and Billing Invoices

Information about the person who is the applicant's point of contact for
"financial" information and queries.

Signature Information

Typed signature of the applicant, the authorized representative of an
applicant that is not an individual, or the individual authorized to
sign by the individual applicant or authorized representative.

Note that the information to be entered is not the same [for all
applicants]{.underline} and that the data entry page is
[customized]{.underline} based upon the values of the [filer
attributes]{.underline} (Applicant Type and Company/Individual
indicator). The "parts" that are required are based upon these filer
attributes are specified in Table 3-1: EDGAR Form ID, "Parts".

Table 3‑1: EDGAR Form ID, "Parts"

+-------------+----------+----------+----------+----------+----------+
| Applicant   | "Form    |          |          |          |          |
| Type        | ID" Data |          |          |          |          |
|             | Entry    |          |          |          |          |
|             | Block    |          |          |          |          |
+=============+==========+==========+==========+==========+==========+
|             | A        | Filer    | Contact  | Account  | S        |
|             | pplicant | Inf      | Inf      | Inf      | ignature |
|             | Inf      | ormation | ormation | ormation | Inf      |
|             | ormation |          |          |          | ormation |
|             |          | Part II  | Part III | Part IV  |          |
|             | Part I   |          |          |          | Part V   |
+-------------+----------+----------+----------+----------+----------+
| Filer       | Yes      | Yes      | Yes      | Yes      | Yes      |
| (Company)   |          |          |          |          |          |
+-------------+----------+----------+----------+----------+----------+
| Filer       | Yes      | No       | Yes      | No       | Yes      |
| (           |          |          |          |          |          |
| Individual) |          |          |          |          |          |
+-------------+----------+----------+----------+----------+----------+
| Filing      | Yes      | No       | Yes      | Yes      | Yes      |
| Agent       |          |          |          |          |          |
| (Company)   |          |          |          |          |          |
+-------------+----------+----------+----------+----------+----------+
| Filing      | Yes      | No       | Yes      | Yes      | Yes      |
| Agent       |          |          |          |          |          |
| (           |          |          |          |          |          |
| Individual) |          |          |          |          |          |
+-------------+----------+----------+----------+----------+----------+
| Training    | Yes      | No       | Yes      | No       | Yes      |
| Agent       |          |          |          |          |          |
| (Company)   |          |          |          |          |          |
+-------------+----------+----------+----------+----------+----------+
| Training    | Yes      | No       | Yes      | No       | Yes      |
| Agent       |          |          |          |          |          |
| (           |          |          |          |          |          |
| Individual) |          |          |          |          |          |
+-------------+----------+----------+----------+----------+----------+

#### Data Entry Conventions

The following are some basic EFMW data entry conventions:

-   In Internet Explorer, disabled fields are read-only and are colored
    gray. In Netscape, the field is read-only but is not displayed in
    gray.

-   An asterisk to the right of the label name indicates a required
    field. (For example, "Mailing Street 1 \*" is a required field.)

-   Press the \[Tab\] key to move from field to field. (For this
    purpose, field level help counts as a field.)

-   Field level help is available by clicking on the label.

-   The \[Exit Window\] button will close the current data entry session
    and return to the EFMW Welcome page. Any data entered or attachments
    uploaded will be discarded.

#### Data Entry Details

Some significant details about the entry of the information on the Form
ID application are described in the following sections. For each data
portion of the data entry page there is a section and an associated
screen shot. Note that the electronic Form ID application is modeled
after the paper Form ID and that any instructions regarding the data to
be entered in a field on the paper form are applicable to the electronic
form.

##### Applicant Information

The Applicant Information section of the Form ID application is the
first data entry section that is displayed on the page (equivalent to
Part I of the paper form). This information is to be supplied by all
applicants. The filer attributes are the first items in this section
(before the Name of Applicant/Individual) and are [critical]{.underline}
to the data entry process as they control the data entry fields that are
available on the page. It is recommended that the filer attributes be
specified before any other data and that an effort be made to ensure
that they are correct: changing them after data has been entered in
other fields may result in data being lost.[^5] When the page is first
displayed, the filer attributes are set to {"Filer" and "Company"}.

The Name of Applicant or Name of Individual is the first data entry
field after the filer attributes. The difference between the two is that
the Name of Applicant is used for companies only and consists of a
single component, while the Name of Individual is used for individuals
only and consists of four components, one each for Last Name, First
Name, Middle Name, and Suffix. As stated on the web page, the Name will
be conformed according to the EDGAR standards. (See Appendix CAPPENDIX
C, Automated Name Conformance Rules for Company and Individual Entity
Names, for details of these conformance rules.) These standards may be
viewed online by clicking the link in the Note above the data entry
field. The process of automatic name conformance [cannot]{.underline} be
turned off or otherwise prevented or avoided by the requestor or
applicant.

The Mailing Address is required and must be entered for all applicants.
However, it may also be used for other addresses on the Form ID
application (as described in the appropriate sections).

The TIN is required whenever the applicant is a Company. However, a
company that has applied for but has not yet received a TIN must enter
"00-0000000" (zeroes). Remember to update your TIN when it is received.
You must use the EDGAR Filing or OnlineForms/XML Website's Edit Company
Information capability to update the TIN in EDGAR. The TIN is not needed
for Individuals and cannot be entered (the entry of a Social Security
Number \[SSN\] is [not]{.underline} required and is not supported).

**Note: The "applicant" is the company or individual who is required to
file with the SEC, not [necessarily]{.underline} the person who is
filling in the form (although it could be).** The term "requestor" is
used to refer to the person who is filling in the form.

![](media/image10.png){width="6.491666666666666in" height="7.48125in"}

Figure 3‑8: EDGAR Form ID Page, Applicant Information

##### Filer Information

The Filer Information section of the Form ID application is the second
data entry section that is displayed on the page (equivalent to Part II
of the paper form). This information can be supplied [only]{.underline}
for applicants that are companies.

The "Doing Business As" Name is optional. If the filer is a foreign
filer, an optional Foreign Name data entry field is also available. This
name is intended for the name of the company in a non-English language
but using only the subset of the standard ASCII (text) character set
that is supported by EDGAR.

The requestor must either explicitly enter the information required for
the Business Address or check the "Business address same as mailing
address" box. If the "Business address same as mailing address" box is
checked, EDGAR will copy the Mailing Address information to the Business
Address fields [before submitting the Form ID application]{.underline}
(this action is not immediate). When this box is checked, the Business
Address data entry fields are disabled (grayed out with Internet
Explorer).

![](media/image11.png){width="6.492361111111111in"
height="3.6840277777777777in"}

Figure 3‑9: EDGAR Form ID Page, Filer Information

##### Contact for EDGAR Information

The Contact for EDGAR Information, Inquiries, and Access Codes section
of the Form ID application is the third data entry section that is
displayed on the page (equivalent to Part III of the paper form). This
information must be supplied for [all]{.underline} applicants.

The Contact Address is required if any part of the address is different
from the Mailing Address. If the Contact Address is identical to the
Mailing Address, the requestor may check the "Contact address same as
mailing address" box and EDGAR will copy the Mailing Address information
to the Contact Address fields before submitting the Form ID application.
When this box is checked, the Contact Address data entry fields are
disabled (grayed out with Internet Explorer).

The E-Mail Address is critical to communications between the applicant
and EDGAR and its validity is critical to success. This is because
notifications (messages) are sent from EDGAR to this e-mail address. For
example, an e-mail notification is sent to the applicant after his or
her Form ID application is processed by the SEC -- if the application is
rejected, there is no other way for the SEC to contact the applicant.
(Subsequent notifications may be retrieved from the EDGAR Filing or
OnlineForms/XML Websites).

![](media/image12.png){width="6.49375in" height="3.8993055555555554in"}

Figure 3‑10: EDGAR Form ID Page, Contact for EDGAR Information

Note that our rules require that you keep this information current.
After your Form ID application is accepted and you have your EDGAR
access codes, you can use the Edit Company Information capability of the
EDGAR Filing or OnlineForms/XML Websites to update this information as
required.

##### Contact for SEC Account Information

The Contact for SEC Account Information and Billing Invoices section of
the Form ID application is the fourth data entry section that is
displayed upon the page (equivalent to Part IV of the paper form). This
information is to be supplied for all Filers and Filing Agents.

The Contact Address is required if any part of the address is different
from the Mailing Address. If the Contact Address is identical to the
Mailing Address, the requestor may check the "Contact address same as
mailing address" box and EDGAR will copy the Mailing Address information
to the Contact Address fields before submitting the Form ID application.
When this box is checked, the Contact Address data entry fields are
disabled (grayed out with Internet Explorer).

![](media/image13.png){width="6.499305555555556in"
height="2.7708333333333335in"}

Figure 3‑11: EDGAR Form ID Page, Contact for SEC Account Information

##### Signature

The Signature Information section of the Form ID application is the
fifth data entry section that is displayed upon the page (equivalent to
Part V of the paper form). This information is to be supplied for all
applicants. If the applicant is a company, a duly authorized person -
such as a partner, president, treasurer, corporate secretary, officer,
or director - must sign the Form ID application. Individuals may have
someone with their power of attorney sign the Form ID application.
Filing agents such as financial printers cannot sign this form on behalf
of the issuer unless they are specifically authorized to do so in
writing. The written documentation must be attached to the Form ID
application. Refer to Section 3.2.3.2, Assembling the Form ID
Submission.

The Signature that is entered is the text equivalent of the signer's
manual legal signature. For example, if Tobias Alowicious Smith uses "T.
A. Smith" as his legal signature, the requestor would enter "T. A.
Smith" in this data entry field. Note that the Signature is for the
applicant, the authorized representative of an applicant that is not an
individual, or the individual authorized to sign by the individual
applicant or authorized representative, which is **not
[necessarily]{.underline} the person who is filling in the form
(although they could be the same)**.

The Title/Position is required only when the applicant is a company.

![](media/image14.png){width="6.491666666666666in"
height="2.7708333333333335in"}

Figure 3‑12: EDGAR Form ID Page, Signature Information

### Assembling and Submitting the Form ID Application

After you have entered all of the required data on the Form ID
application, you are ready to complete the process and submit the Form
ID application to the SEC for acceptance. You must do the following to
finish the process:

-   Correct any errors

-   Upload any attachments

-   Define a passphrase

-   Submit the completed Form ID application

#### Verifying the Form ID Application

**Note**: The figures in this section all contain sample data. Each
figure [represents]{.underline} the [type]{.underline} of data that can
be entered on the Form ID application. The figures are provided as
[examples]{.underline} of what you will see; your data will be
different.

The next step in the process is to complete the Form ID data entry
phase. This is accomplished as follows:

1.  Click the \[Continue\] button (Figure 3-12: EDGAR Form ID Page,
    Signature Information).

> EDGAR validates the format and syntax of the information that you
> provided in the Form ID application ([you]{.underline} are responsible
> for confirming the accuracy of all information submitted in the Form).
> If there are errors in the information provided (such as missing
> required fields), your Form ID application [with the errors
> highlighted]{.underline} will be displayed (Figure 3-13: EDGAR Form
> ID, Errors (Top)). Follow the instructions on the screen to correct
> the errors, and then click the \[Continue\] button. Your updated Form
> ID application will be revalidated; if errors remain, your updated
> Form ID application [with any errors]{.underline} is displayed. You
> must correct all errors to proceed past this point.
>
> For example, the following errors are marked in Figure 3-13:

-   Mailing State/Country is missing (required field)

-   Phone \[Telephone Number\] is not in the correct format

![](media/image15.png){width="6.4944444444444445in"
height="7.1715277777777775in"}

Figure 3‑13: EDGAR Form ID, Errors (Top)

2.  If there are no errors in your Form ID application and the name
    conformance process changes your Name, a dialog box appears (Figure
    3-14: EDGAR Form ID, Conformed Name Dialog).

> The dialog box gives you the conformed Name of Applicant that will be
> used when your Form ID application is submitted. Click the \[OK\]
> button in the Conformed Name dialog box after you have reviewed the
> information.

![](media/image16.png){width="4.53125in" height="1.53125in"}

Figure 3‑14: EDGAR Form ID, Conformed Name Dialog

3.  The EFMW Form ID Application Confirmation page appears (Figure 3-15:
    EDGAR Form ID Application Confirmation Page (Top)).

> This page allows you to review the information that will be sent to
> EDGAR after you submit this Form ID application. It also provides a
> way for you to edit any incorrect information (except for the
> conformed Name of Applicant), to upload/delete attachments and to
> define a passphrase.

![](media/image17.png){width="6.49375in" height="4.615277777777778in"}

Figure 3‑15: EDGAR Form ID Application Confirmation Page (Top)

If you want to change any of the data displayed on the EFMW Form ID
Application Confirmation page, click the \[Edit Form ID\] button in the
middle of the page (Figure 3-16: EDGAR Form ID Application Confirmation
Page (Middle)).

![](media/image18.png){width="6.4944444444444445in"
height="5.465277777777778in"}

Figure 3‑16: EDGAR Form ID Application Confirmation Page (Middle)

> The EFMW Form ID application page appears (Figure 3-17: EDGAR Form ID
> Application Edit (Top)), prefilled with the data from your original
> Form ID application. Change any of the data that you want, and then
> click the \[Continue\] button. Your updated Form ID application will
> be reverified; if errors remain, your updated Form ID application with
> any errors is displayed (Figure 3-13: EDGAR Form ID, Errors (Top)).

![](media/image19.png){width="6.499305555555556in" height="5.4625in"}

Figure 3‑17: EDGAR Form ID Application Edit (Top)

#### Assembling the Form ID Submission

The Form ID application may include attachments (such as a Power of
Attorney). To assemble the Form ID submission (i.e., associate any
attachments with your Form ID application), you must upload them to
EDGAR (if you do not need to associate attachments with your Form ID
application, skip this step).

1.  If you want to add or delete an attachment, click the
    \[Upload/Delete Attachments\] button in the middle of the page
    (Figure 3-16: EDGAR Form ID Application Confirmation Page (Middle)).

> The EFMW Upload/Delete Attachment(s) page appears (Figure 3-18: EDGAR
> Form ID Upload/Delete Attachment(s) Page). This page displays a table
> of the uploaded attachments and allows you to manage the attachments
> associated with your Form ID application.

![](media/image20.png){width="5.882638888888889in"
height="2.9034722222222222in"}

Figure 3‑18: EDGAR Form ID Upload/Delete Attachment(s) Page

> To add an attachment, click the \[Upload Attachment\] button ([any
> attachments you plan to include should already have been prepared and
> saved in the appropriate format prior to assembling your Form ID
> submission.]{.underline} ASCII \[\*.txt file extension\] and HTML
> \[\*.htm file extension\] are accepted; PDF and graphic formats are
> [not]{.underline} accepted). The Upload Attachment page appears
> (Figure 3-19: EDGAR Form ID Upload Attachment Page). Enter the
> appropriate information in the data entry fields, and then click the
> \[Upload\] button (to return to the Upload/Delete Attachment(s) page
> without uploading an attachment, click on the \[Cancel\] button). The
> EFMW Upload/Delete Attachment(s) page appears (Figure 3-18: EDGAR Form
> ID Upload/Delete Attachment(s) Page) with your new attachment
> displayed in the table.

![](media/image21.png){width="5.826388888888889in" height="3.7625in"}

Figure 3‑19: EDGAR Form ID Upload Attachment Page

> To delete an attachment, select the radio button to the left of the
> attachment you wish to delete and click on the \[Delete Attachment\]
> button. The selected attachment will be discarded and its entry in the
> table on the Upload/Delete Attachment(s) page will be removed.
>
> The EFMW Upload/Delete Attachment(s) page appears (Figure 3-18) with
> your new attachment displayed in the table. Continue to add or delete
> attachments until you are satisfied, and then click the \[OK\] button
> to return to the Form ID Application Confirmation page.

### Defining a Passphrase

The passphrase is a new EDGAR security code that is used to generate (or
regenerate) the EDGAR access codes needed to make filings via EDGAR with
the SEC. The passphrase is [not]{.underline} used to log on to the EDGAR
Filing or OnlineForms/XML Websites. The passphrase allows a filer to
generate a new set of EDGAR access codes if/when they are forgotten.
(Refer to Section 4.1.1, Requesting an EDGAR Passphrase, for more
information.)

It is important to remember that the passphrase and the EDGAR access
codes are not assigned to the [requestor]{.underline} of the Form ID,
but to the [applicant]{.underline}.

The last step prior to submitting your Form ID application to the SEC is
to specify a passphrase. Please remember your passphrase. For security
reasons, it cannot be recovered after the Form ID application window has
been exited.

**Note:** Defining a passphrase [must]{.underline} be the last step
before submitting a Form ID application to the SEC. If you enter a
passphrase and then click on the \[Edit Form ID\] or \[Upload/Delete
Attachments\] button, the passphrase is discarded. This sequence of
steps helps ensure the security of the passphrase.

1.  To specify your passphrase, enter it in the data entry fields near
    the bottom of the Form ID Application Confirmation page (Figure
    3-20: EDGAR Form ID Application Confirmation Page (Bottom)). For
    security reasons, your passphrase [must]{.underline} be eight
    characters in length and contain at least one digit and one
    character from the set {@, #, \*, \$}.

![](media/image22.png){width="5.751388888888889in" height="3.5in"}

Figure 3‑20: EDGAR Form ID Application Confirmation Page (Bottom)

#### Submitting a Form ID Application

After completing and editing your Form ID application, adding any
attachments and specifying a passphrase, you are ready to submit the
Form ID application to the SEC.

**Consider this step carefully**: You cannot easily retract the Form ID
application after it has been submitted. If you decide that you [do
not]{.underline} want to submit the Form ID application, close the
browser window by clicking the \[Exit Window\] button at the bottom of
the Form ID Application Confirmation page. [If you close the window, all
of the data that you have entered on the Form ID application and any
attachments will be discarded.]{.underline}

1.  To submit your Form ID application, click the \[Submit Form ID\]
    button at the bottom of the Form ID Application Confirmation page
    (Figure 3-20).

> A dialog box appears (Figure 3-21: EDGAR Form ID, Submittal Dialog)
> asking you to confirm that you want to submit the Form ID application.
> If you do [not]{.underline} want to submit it, click the \[Cancel\]
> button and the dialog box will disappear; otherwise, click the \[OK\]
> button to submit the Form ID application to the SEC.

![](media/image23.png){width="3.01875in" height="1.1534722222222222in"}

Figure 3‑21: EDGAR Form ID, Submittal Dialog

> **Note**: After you click the \[OK\] button, the Form ID application
> is submitted to the automated submission processing portion of the
> EDGAR system. This is the start of the acceptance process; your
> subsequent actions in this browser window will not affect this
> process. However, the acceptance process cannot be completed until you
> submit authentication documentation to the Office of Filings and
> Information Services, Branch of Filer Support. Refer to Section
> 4.1.1.2, Authentication Documentation, for more information.
>
> The EFMW Form ID Application Acknowledgment page appears (Figure 3-22:
> EDGAR Form ID Application Acknowledgment Page). This page provides the
> Accession Number for the submission (use this number when referring to
> this submission) and lists the Form ID information that was
> submitted).
>
> **Note**: The Accession Number is a unique code assigned to your Form
> ID submission. It has a format of: 9999999996-\[Year\]-\[Sequence
> Number\]

Click the \[Print Window\] button near the bottom of the page to print
this page to make a copy for your records and to use as your
Authentication documentation.

![](media/image24.png){width="6.493055555555555in"
height="3.682638888888889in"}

![](media/image25.png){width="6.498611111111111in"
height="3.2402777777777776in"}

Figure 3‑22: EDGAR Form ID Application Acknowledgment Page

2.  Click the \[Exit Window\] button near the bottom of the Form ID
    Application Confirmation page to finish the process by closing the
    browser window.

> A dialog box appears (Figure 3-23: EDGAR Form ID, Exit Window Dialog)
> asking you to confirm that you want to exit the browser window. If you
> do [not]{.underline} want to exit, click the \[Cancel\] button and the
> dialog box will disappear; otherwise, click the \[OK\] button and the
> browser window will be closed and the previously entered Form ID
> information and any attachments (documents) will be
> [discarded]{.underline}.

![](media/image26.png){width="2.6465277777777776in" height="1.15in"}

Figure 3‑23: EDGAR Form ID, Exit Window Dialog

#### Starting Another Form ID Application

If you would like to start another Form ID application, directly from
the Form ID Application Acknowledgment page, click one of the buttons
provided for this purpose near the bottom of the page (Figure 3-22:
EDGAR Form ID Application Acknowledgment Page).

##### Create New, Blank Form ID

This option returns you to the Form ID Application page (in the same
browser window) and deletes all of the data that you had previously
entered. Use this capability when you need to submit another Form ID
application for a company or person whose information is different from
that previously entered.

1.  Click the \[Create New, Blank Form ID\] button near the bottom of
    the Form ID Application Confirmation page.

> A dialog box appears (Figure 3-24: EDGAR Form ID, New Blank Form
> Dialog) warning you that the previously entered Form ID information
> and any attachments (documents) will be [cleared]{.underline} if you
> continue. If this is [not]{.underline} your desire, click the
> \[Cancel\] button on the dialog box.

![](media/image27.png){width="2.88125in" height="1.1409722222222223in"}

Figure 3‑24: EDGAR Form ID, New Blank Form Dialog

> If you would like to start a new, blank Form ID application, click the
> \[OK\] button on the dialog box. The EFMW Apply for EDGAR Access (New)
> page appears in the same browser window without any of the previously
> entered data. Follow the previous instructions (Section 3.2, New SEC
> Filer: Applying for EDGAR Access) to compose and submit this new Form
> ID application.

##### Create New, Pre-filled Form ID

After submitting one Form ID application, the Create New, Pre-Filled
Form ID option returns you to the Form ID Application page (in the same
browser window) and prefills all of the data entry fields with the data
that you had previously entered, [except for the Name of Applicant or
Name of Individual]{.underline} (as appropriate). Use this capability
when you need to submit another Form ID application for a company or
person whose information is materially the same as that previously
entered.

1.  Click the \[Create New, Pre-filled Form ID\] button near the bottom
    of the Form ID Application Confirmation page.

> A dialog box appears (Figure 3-25: EDGAR Form ID, New Pre-filled Form
> Dialog) warning you that the previously entered Form ID information
> and any attachments (documents) will be [retained]{.underline} if you
> continue. If this is [not]{.underline} your desire, click the
> \[Cancel\] button on the dialog box.

![](media/image28.png){width="2.9625in" height="1.1722222222222223in"}

Figure 3‑25: EDGAR Form ID, New Pre-filled Form Dialog

> If you would like to start a new, prefilled Form ID application, click
> the \[OK\] button on the dialog box. The EFMW Apply for EDGAR Access
> (New) page appears in the same browser window with all of the
> previously entered data except for the Name (which is empty). Follow
> the previous instructions (Section 3.2, New SEC Filer: Applying for
> EDGAR Access) for composing and submitting this new Form ID
> application.

### Authentication Documentation

The Form ID application must be supplemented with additional
verification to help ensure that the application is authentic.
Accordingly, the applicant is required to file with the SEC in paper by
fax within two business days before or after electronically filing Form
ID a manually signed and notarized document, manually signed by the
applicant over its typed signature, that includes the information
contained in the Form ID filed or to be filed and confirms the
authenticity of the Form ID. If we do not receive the fax within this
period, we will reject the application and the applicant will need to
reapply.

### Application Acceptance and Applicant Notification

After the SEC receives both the electronic Form ID application and the
associated authentication documentation, the SEC will review and accept
or reject the information provided on the Form ID. This is a manual
process that is not immediate and that may require a day or more to
complete.

A notification message stating the SEC's disposition of the application
will be sent to the e-mail address provided in the "Contact for EDGAR
Information" part of the Form ID. The disposition will be either
"accepted" or "rejected."

If the application was [accepted]{.underline}, the e-mail message will
include but will not be limited to the following information:

-   Text saying that the Form ID was accepted by the SEC

-   The new Central Index Key \[CIK\]

-   Basic directions for how to generate EDGAR access codes

-   The URL of the EDGAR Filer Management Website

If the application was [rejected]{.underline}, the e-mail message will
include but will not be limited to the following information:

-   Text saying that the Form ID was rejected by the SEC

-   The reason that the application was rejected

-   Basic instructions on how to resolve the issues

## Current SEC Filer: Applying for EDGAR Access

This section explains the process of applying for access to EDGAR for
**applicants who are [currently]{.underline} filing with the SEC**,
unless they seek to file in a different capacity (e.g., "individual,"
"filing agent," or "training agent"). Other filers should follow the
instructions in Section 3.2, New SEC Filer: Applying for EDGAR Access.

### Current Paper Only Filer

**Note: The "applicant" is the company or individual who is required to
file with the SEC, not [necessarily]{.underline} the person who is
filling in the form (although it could be).** The term "requestor" is
used to refer to the person who is filling in the form.

This section outlines the process for composing and submitting an EDGAR
access request using the EFMW when the [applicant currently makes paper
filings (only) with the SEC and wants to start to file
electronically]{.underline}. Before beginning, ensure that you know the
Central Index Key (CIK) of the applicant. If you do not know the CIK,
you can look up the applicant by name by connecting to the EDGAR Company
Database at URL

*[http://www.edgarcompany.sec.gov]{.underline}*

and clicking the \[Company Search\] button. The CIK is one of the items
returned by querying this database.

#### Converting from Paper to Electronic Filer

The first step for composing an EDGAR access request is to bring up the
EDGAR access request data entry form. This is accomplished as follows:

1.  Connect to the EFMW Welcome page. (Refer to Section 3.1.2, Accessing
    the EDGAR Filer Management Website.)

2.  Click on Convert Paper Only Filer to Electronic Filer in the menu
    bar.

3.  A new browser window opens and the data entry page for the EDGAR
    access request appears (Figure 3-26: EDGAR Convert Paper Only Filer
    to Electronic Filer Page).

> Refer to Section 3.2.2.1, Data Entry Conventions, for the standards
> used on all of the EFMW pages.

4.  Enter the required data (CIK, passphrase and e-mail address)

> Refer to Section 3.2.4, Defining a Passphrase, for more detailed
> description of the passphrase. For security reasons, the passphrase
> [must]{.underline} be eight characters in length and contain at least
> one digit and one character from the following list: @, #, \*, \$.

5.  Click on the \[Convert to Electronic\] button near the bottom of the
    page when you are satisfied with the data that you entered.

![](media/image29.png){width="6.497222222222222in"
height="6.260416666666667in"}

Figure 3‑26: EDGAR Convert Paper Only Filer to Electronic Filer Page

> A dialog box appears (Figure 3-27: EDGAR Convert to Electronic Filer,
> "Continue" Dialog) asking you to confirm that you want to submit the
> request. If you do [not]{.underline} want to submit the request, click
> the \[Cancel\] button and the dialog box will disappear; otherwise,
> click the \[OK\] button.

![](media/image30.png){width="3.022222222222222in"
height="1.1666666666666667in"}

Figure 3‑27: EDGAR Convert to Electronic Filer, "Continue" Dialog

> **Note**: After you click the \[OK\] button, the Convert Paper Only
> Filer to Electronic Filer request is submitted to the automated
> submission processing portion of the EDGAR system. This is the start
> of the acceptance process; your subsequent actions in this browser
> window will not affect this process. However, the acceptance process
> cannot be completed until you submit authentication documentation to
> the SEC -- refer to Section 3.3.1.2, Authentication Documentation, for
> more information.
>
> The EFMW Convert Paper Only Filer to Electronic Filer Acknowledgment
> page appears (Figure 3-28: EDGAR Convert Paper Only Filer to
> Electronic Filer Acknowledgment Page). This page provides the
> Accession Number for the submission - use this number when referring
> to this submission.

![](media/image31.png){width="6.493055555555555in"
height="2.5541666666666667in"}

Figure 3‑28: EDGAR Convert Paper Only Filer to Electronic Filer
Acknowledgment Page

> Click the \[Print Window\] button near the bottom of the page to print
> this page to make a copy for your records.

6.  Click the \[Exit Window\] button to complete the process by closing
    the browser window.

> No confirming dialog box is displayed - the browser window is just
> closed.
>
> Once this page is printed, you may use it to satisfy the SEC's
> authentication requirements.

#### Authentication Documentation

The Convert Paper Only Filer to Electronic Filer request must be
supplemented with additional verification to help ensure that the
request is authentic. Accordingly, the filer is required to file with
the SEC in paper by fax within two business days after electronically
filing the request a notarized document, manually signed by the filer
over its printed or typed signature, that includes the information
identified in this section and confirms the authenticity of the request.
If we do not receive the fax within this period, we will reject the
request and the requestor will need to reapply. The authentication
documentation should include the following information:

-   CIK

-   Name associated with that CIK

-   Name of the contact person for purposes of this request

-   Acknowledgement accession number

-   Contact person on database

-   Contact telephone number on database

-   Printed or typed signature of authorized person

#### Request Acceptance and Applicant Notification

After the SEC receives both the electronic Convert Paper Only Filer to
Electronic Filer request and the associated Authentication
documentation, the SEC will authenticate the information provided on the
Convert Paper Only Filer to Electronic Filer request. A notification
message stating the SEC's disposition of the request will be sent to the
e-mail address provided in the request. The disposition will be either
"accepted" or "rejected."

If the request is [accepted]{.underline}, the e-mail message will
include but will not be limited to the following information:

-   Text saying that the request was accepted by the SEC

-   Text stating that the specified passphrase was activated

-   Basic directions for how to generate EDGAR access codes

-   The URL of the EDGAR Filer Management Website

If the request is [rejected]{.underline}, the e-mail message will
include but will not be limited to the following information:

-   Text saying that the request was rejected by the SEC

-   The reason that the request was rejected

-   Basic instructions on how to resolve the issue

### New Serial Company

**Note: The "applicant" is the company or individual who is required to
file with the SEC, not [necessarily]{.underline} the person who is
filling in the form (although it could be).** The term "requestor" is
used to refer to the person who is filling in the form.

A serial company is created as a result of a "parent" company filing a
Form 424B[^6], using a serial tag, with the SEC. When the 424B
submission is accepted by the SEC, the serial company is created in
EDGAR and a \[new\] CIK is assigned. However, the act of creating the
serial company in EDGAR does [not]{.underline} automatically result in
EDGAR access for the new company: the new serial company must request
access to EDGAR. This section outlines the process for composing and
submitting an EDGAR access request using the EFMW when the [applicant is
a newly created serial company.]{.underline}

Before beginning, ensure that you know the Central Index Key (CIK) of
the applicant (it will be specified in the notification message sent to
the parent company by EDGAR after the SEC accepts the Form 424B). If you
do not know the CIK, you can look up the serial company by name using
the EDGAR Company Database at URL:

*[http://www.edgarcompany.sec.gov]{.underline}*

and clicking the \[Company Search\] button. The CIK is one of the items
returned by querying this database.

**Note**: The EDGAR Company Database is updated nightly so it will be
populated with the new serial company's CIK no earlier than the day
after the 424B that created it is accepted.

#### Composing the New Serial Company Access Request

The first step for composing an EDGAR access request is to bring up the
EDGAR access request data entry form. This is accomplished as follows:

1.  Connect to the EFMW Welcome page. (Refer to Section 3.1.2, Accessing
    the EDGAR Filer Management Website.)

2.  Click on EDGAR Access for New Serial Companies in the menu bar.

3.  A new browser window opens and the data entry page for the EDGAR
    access request appears (Figure 3-29: EDGAR Access for New Serial
    Companies Page).

> Refer to Section 3.2.2.1, Data Entry Conventions, for the standards
> used on all of the EFMW pages.

![](media/image32.png){width="6.491666666666666in"
height="6.317361111111111in"}

Figure 3‑29: EDGAR Access for New Serial Companies Page

4.  Enter the required data (CIK, passphrase and e-mail address)

> Refer to Section 3.2.4, Defining a Passphrase, for a more detailed
> description of the passphrase. For security reasons, the passphrase
> [must]{.underline} be at least eight characters in length and contain
> at least one digit and one character from the set {@, #, \*, \$}.

5.  Click on the \[Submit Serial Company Request\] button near the
    bottom of the page when you are satisfied with the data that you
    entered.

> A dialog box appears (Figure 3-30: EDGAR New Serial Company Access,
> "Continue" Dialog) asking you to confirm that you want to submit the
> request. If you do [not]{.underline} want to submit the request, click
> the \[Cancel\] button and the dialog box will disappear; otherwise,
> click the \[OK\] button.

![](media/image33.png){width="3.1625in" height="1.1625in"}

Figure 3‑30: EDGAR New Serial Company Access, "Continue" Dialog

> **Note**: After you click the \[OK\] button, the EDGAR Access for New
> Serial Companies request is submitted to the automated submission
> processing portion of the EDGAR system. This is the start of the
> acceptance process; your subsequent actions in this browser window
> will not affect this process. However, the acceptance process cannot
> be completed until you submit Authentication documentation to the SEC.
> Refer to Section 4.1.1.2, Authentication Documentation, for more
> information.
>
> The EFMW EDGAR Access for New Serial Companies Acknowledgment page
> appears (Figure 3-31: EDGAR Access for New Serial Companies
> Acknowledgment Page). This page provides the Accession Number for the
> submission - use this number in the future when referring to this
> submission.

![](media/image34.png){width="6.493055555555555in"
height="2.573611111111111in"}

Figure 3‑31: EDGAR Access for New Serial Companies Acknowledgment Page

> **Note**: The Accession Number is a unique code assigned to your Form
> ID submission. It has a format of:\
> 9999999996-\[Year\]-\[Sequence Number\]
>
> Click the \[Print Window\] button near the bottom of the page to print
> this page for your records.
>
> Once this page is printed, you may use it to satisfy the SEC's
> authentication requirements.

6.  Click the \[Exit Window\] button to finish the process by closing
    the browser window.

> No confirming dialog box is displayed - the browser window is just
> closed.

#### Authentication Documentation

The EDGAR Access for New Serial Companies request must be supplemented
with additional verification to help ensure that the request is
authentic. Accordingly, the filer is required to file with the SEC in
paper by fax within two business days after electronically filing the
request a notarized document, manually signed by the filer over its
printed or typed signature, that includes the information identified
here and confirms the authenticity of the request. If we do not receive
the fax within this period, we will reject the request and the requestor
will need to reapply. The authentication documentation should include
the following information:

-   CIK

-   Name associated with that CIK

-   Name of the contact person for purposes of this request

-   Acknowledgement accession number

-   Contact person of the parent company on database

-   Contact telephone number of the parent company on database

-   Accession number of the 424B filing that created the serial company

-   Printed or typed signature of authorized person

#### E-mail Notification of Acceptance or Rejection

After the SEC receives both the electronic EDGAR Access for New Serial
Companies request and the associated Authentication documentation, the
SEC will authenticate the information provided on the EDGAR Access for
New Serial Companies request. A notification message stating the SEC's
disposition of the request will be sent to the e-mail address provided
in the request. The disposition will be either "accepted" or "rejected."

If the request is [accepted]{.underline}, the e-mail message will
include but will not be limited to the following information:

-   Text saying that the request was accepted by the SEC

-   Text stating that the specified passphrase was activated

-   Basic directions for how to generate EDGAR access codes

-   The URL of the EDGAR Filer Management Website

If the request is [rejected]{.underline}, the e-mail message will
include but will not be limited to the following information:

-   Text saying that the request was rejected by the SEC

-   The reason that the request was rejected

-   Basic instructions on how to resolve the issue

## Creating an Asset Backed Securities Issuing Entity

Request Asset-Backed Securities (ABS) Issuing Entities Creation allows
an Asset-Backed Securities Depositor to request the creation of up to
100 related Issuing Entities. The depositor must have a SIC code 6189 in
order to initiate this request. **Note:** It is advisable to limit the
number of companies specified in any one request. If there is a problem
with the appropriateness of one of the names of the Issuing Entities,
your request may be rejected. If this happens, then you must resubmit
your entire request.

Once you have logged into EDGAR and accessed the Retrieve/Edit Company
and Submission Data page, you can prepare a request to create ABS
Issuing Entities:

1.  Login to EDGAR.

2.  When you reach the EDGAR Welcome page, click on Retrieve/Edit Data.

3.  Figure 3-32: Retrieve/Edit Data Page appears and prompts you for
    your CIK and CCC information:

-   Enter your CIK in the CIK field and press \[Tab\].

-   Enter your CCC in the CCC field.

-   Click on the \[Continue\] button.

![](media/image35.png){width="5.188888888888889in"
height="2.808333333333333in"}

Figure 3‑32: Retrieve/Edit Data Page

> Figure 3-33: Retrieve/Edit Company and Submission Data Page appears.

![](media/image36.png){width="6.4944444444444445in"
height="3.951388888888889in"}

Figure 3‑33: Retrieve/Edit Company and Submission Data Page

4.  Click on Request Asset-Backed Securities (ABS) Issuing Entities
    Creation. The Add ABS Issuing Entities page appears as shown in
    Figure 3-34: Add ABS Issuing Entities Page.

![](media/image37.png){width="6.5in" height="4.263888888888889in"}

Figure 3‑34: Add ABS Issuing Entities Page

5.  For each Issuing Entity to be created you must provide the following
    information:

-   Company Name

**Note:** The "Company Name" must be in English! Also, the value that
you enter will be conformed to meet EDGAR standards. These standards can
be accessed by clicking on the link in the note above the Company Name
field.

-   E-mail Address

-   Re-enter E-mail Address

-   Passphrase

**Note:** Your passphrase must be eight (8) characters long and must
contain at least one digit and one of the following characters: @, #,
\*, or \$. Please remember the passphrase as you type, as the passphrase
will not be displayed.

-   Re-enter Passphrase

On this screen, required fields are indicated by an asterisk (\*). If
you do not fill in all required fields, you will be prompted with an
error upon submission. If you want to cancel the changes, click on the
\[Cancel\] button at any time. If you do cancel your request then you
will lose all data you entered in the request.

6.  Once you have completed the required information you can either add
    another company by clicking on the \[Add Another Company\] button or
    you can go on to the next step by clicking on the \[OK\] button.

7.  When you click on the \[OK\] button the "Request ABS Issuing
    Entities Creation Information" page will be displayed showing each
    requested company with its conformed name and e-mail address as
    shown in Figure 3-35: Request ABS Issuing Entities Creation
    Information Page.

![](media/image38.png){width="6.493055555555555in"
height="3.061111111111111in"}

Figure 3‑35: Request ABS Issuing Entities Creation Information Page

8.  From here you can choose to continue to add companies to your
    request, modify one of your entries that you entered as part of this
    request, delete one of your entries that you entered as part of this
    request, print your requested entries, or submit your request.
    Please note that requested information is not saved until you verify
    and submit your request. To verify and submit your request, click on
    the \[Verify/Submit\] button. When you click on the
    \[Verify/Submit\] button a Request ABS Issuing Entities Creation
    Confirmation screen will be displayed as shown in Figure 3-36:
    Request ABS Issuing Entities Creation Confirmation Page.

![](media/image39.png){width="6.5in" height="3.09375in"}

Figure 3‑36: Request ABS Issuing Entities Creation Confirmation Page

9.  Carefully review your requested information, then either click on
    the \[Confirm/Submit\] button to submit your request or click on the
    \[Continue Edit\] button to return to the Request ABS Issuing
    Entities Creation Information screen. Note: Intentional
    misstatements or omissions of facts constitute federal criminal
    violations. See 18 U.S.C.1001.

10. When you click on the \[Confirm/Submit\] button the Request ABS
    Issuing Entities Creation Result screen will be displayed with the
    EDGAR accession number of your request displayed as shown in Figure
    3-37: Request ABS Issuing Entities Creation Result Page.

![](media/image40.png){width="6.5in" height="1.6958333333333333in"}

Figure 3‑37: Request ABS Issuing Entities Creation Result Page

11. SEC's Branch of Filer Support staff will review your request. They
    can reject any requested name if it is deemed unacceptable.

Once Filer Support processes your request EDGAR will send a notification
message to your e-mail address and to the e-mail address of each
requested Issuing Entity. If your request was accepted then the
notification message would contain the CIK associated with each
requested Issuing Entity name along with instructions on how the Issuing
Entities can generate their EDGAR access codes. If your request was
rejected then the notification message will contain the reason why your
request was rejected. You must re-submit another request to create
Asset-Backed Securities Issuing Entities addressing the issue in which
the initial request was rejected and including all of the Issuing
Entities and associated information that were entered on the initial
request.

## Examples of Notification Messages

This section contains examples of the notification messages that EDGAR
will send to the applicant/filer in response to a Form ID application, a
Convert Paper Only Filer to Electronic Filer request and an EDGAR Access
for New Serial Companies request. For each type of submission, examples
of both an acceptance message and a rejection message are provided.

These messages will be sent to the e-mail address specified by the
requestor or to the filer's e-mail address of record. If they are
associated with a valid CIK, they will also be posted to the EDGAR
Filing and OnlineForms/XML Websites (the rejection message for a Form ID
application will [never]{.underline} be posted to these websites as a
CIK does not exist for the applicant).

**Note**: [None]{.underline} of the data contained in these messages is
real; it merely [represents]{.underline} the [type]{.underline} of data
that would typically be contained in the message. [Do not]{.underline}
attempt to use any of this data with the EDGAR system.

### Form ID Application Messages

+-----------------------------------------------------------------------+
| THE FOLLOWING SUBMISSION HAS BEEN ACCEPTED BY THE U.S. SECURITIES AND |
| EXCHANGE COMMISSION.                                                  |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑NEWCIK** NUMBER OF DOCUMENTS: 1                       |
|                                                                       |
| RECEIVED DATE: 06-Aug-2004 08:53 ACCEPTED DATE: 06-Aug-2004 08:53     |
|                                                                       |
| TEST FILING: NO CONFIRMING COPY: NO                                   |
|                                                                       |
| ACCESSION NUMBER: 9999999996-03-001201                                |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE          |
| INQUIRIES.                                                            |
|                                                                       |
| REGISTRANT(S):                                                        |
|                                                                       |
| 1\. CIK: **1234567890 new**                                           |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑NEWCIK**                                              |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| **SUMMARY OF CHANGES:**                                               |
|                                                                       |
| **Your application for access to EDGAR has been accepted. Your CIK is |
| 1234567890.**                                                         |
|                                                                       |
| **Please connect to the EDGAR Form ID URL**                           |
|                                                                       |
| **https://www.filermanagement.edgarfiling.sec.gov**                   |
|                                                                       |
| **to generate EDGAR access codes using your CIK and passphrase.**     |
|                                                                       |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- NOTICE  |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--     |
|                                                                       |
| URGENT: Verify that all of your addresses on the EDGAR database are   |
|                                                                       |
| correct. An incorrect address in the EDGAR Accounting Contact Name    |
|                                                                       |
| and Address information may result in your Fee Account Activity       |
|                                                                       |
| Statement being returned to the SEC as undeliverable. Please correct  |
|                                                                       |
| outdated addresses via the EDGAR filing website.                      |
|                                                                       |
| The EDGAR system is available to receive and process filings from     |
|                                                                       |
| 6:00 a.m. to 10:00 p.m. Eastern Time on business days. Filer Support  |
|                                                                       |
| staff members are available to respond to requests for assistance     |
| from                                                                  |
|                                                                       |
| 7:00 a.m. to 7:00 p.m. Eastern Time.                                  |
|                                                                       |
| We strongly encourage you to visit the Filing Website at              |
|                                                                       |
| https://www.edgarfiling.sec.gov. You can download our current version |
|                                                                       |
| of the EDGARLink/Windows software and templates, the Filer Manual,    |
|                                                                       |
| receive on-line help, and access Frequently Asked Questions.          |
+-----------------------------------------------------------------------+

Figure 3‑38: EDGAR Form ID Application Notification, Accepted

+-----------------------------------------------------------------------+
| THE FOLLOWING SUBMISSION HAS BEEN REJECTED BY THE U.S. SECURITIES AND |
| EXCHANGE COMMISSION.                                                  |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑NEWCIK** NUMBER OF DOCUMENTS: 1                       |
|                                                                       |
| RECEIVED DATE: 06-Aug-2004 08:53 REJECTED DATE: 06-Aug-2004 08:53     |
|                                                                       |
| TEST FILING: NO CONFIRMING COPY: NO                                   |
|                                                                       |
| ACCESSION NUMBER: 9999999996-03-001201                                |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE          |
| INQUIRIES.                                                            |
|                                                                       |
| REGISTRANT(S):                                                        |
|                                                                       |
| 1\. CIK: None                                                         |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑NEWCIK**                                              |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| **SUMMARY OF CHANGES:**                                               |
|                                                                       |
| **Your application for access to EDGAR has been rejected by the SEC's |
| Office of Filer Support for the following reason:**                   |
|                                                                       |
| **Invalid Contact Data**                                              |
|                                                                       |
| **For further information, contact the SEC's Office of Filer Support  |
| at (202) 555-1234.**                                                  |
|                                                                       |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- NOTICE  |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--     |
|                                                                       |
| URGENT: Verify that all of your addresses on the EDGAR database are   |
|                                                                       |
| correct. An incorrect address in the EDGAR Accounting Contact Name    |
|                                                                       |
| and Address information may result in your Fee Account Activity       |
|                                                                       |
| Statement being returned to the SEC as undeliverable. Please correct  |
|                                                                       |
| outdated addresses via the EDGAR filing website.                      |
|                                                                       |
| The EDGAR system is available to receive and process filings from     |
|                                                                       |
| 6:00 a.m. to 10:00 p.m. Eastern Time on business days. Filer Support  |
|                                                                       |
| staff members are available to respond to requests for assistance     |
| from                                                                  |
|                                                                       |
| 7:00 a.m. to 7:00 p.m. Eastern Time.                                  |
|                                                                       |
| We strongly encourage you to visit the Filing Website at              |
|                                                                       |
| https://www.edgarfiling.sec.gov. You can download our current version |
|                                                                       |
| of the EDGARLink/Windows software and templates, the Filer Manual,    |
|                                                                       |
| receive on-line help, and access Frequently Asked Questions.          |
+-----------------------------------------------------------------------+

Figure 3‑39: EDGAR Form ID Application Notification, Rejected

### Convert Paper Only Filer to Electronic Filer Request

+-----------------------------------------------------------------------+
| THE FOLLOWING SUBMISSION HAS BEEN ACCEPTED BY THE U.S. SECURITIES AND |
| EXCHANGE COMMISSION.                                                  |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑CONVERT** NUMBER OF DOCUMENTS: 1                      |
|                                                                       |
| RECEIVED DATE: 06-Aug-2004 08:53 ACCEPTED DATE: 06-Aug-2004 08:53     |
|                                                                       |
| TEST FILING: NO CONFIRMING COPY: NO                                   |
|                                                                       |
| ACCESSION NUMBER: 9999999996-03-001201                                |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE          |
| INQUIRIES.                                                            |
|                                                                       |
| REGISTRANT(S):                                                        |
|                                                                       |
| 1\. CIK: 1234567890 existing                                          |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑CONVERT**                                             |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| **SUMMARY OF CHANGES:**                                               |
|                                                                       |
| **Your request for access to EDGAR has been accepted.**               |
|                                                                       |
| **Please connect to the EDGAR Form ID URL**                           |
|                                                                       |
| **https://www.filermanagement.edgarfiling.sec.gov**                   |
|                                                                       |
| **to generate EDGAR access codes using your CIK and passphrase.**     |
|                                                                       |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- NOTICE  |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--     |
|                                                                       |
| URGENT: Verify that all of your addresses on the EDGAR database are   |
|                                                                       |
| correct. An incorrect address in the EDGAR Accounting Contact Name    |
|                                                                       |
| and Address information may result in your Fee Account Activity       |
|                                                                       |
| Statement being returned to the SEC as undeliverable. Please correct  |
|                                                                       |
| outdated addresses via the EDGAR filing website.                      |
|                                                                       |
| The EDGAR system is available to receive and process filings from     |
|                                                                       |
| 6:00 a.m. to 10:00 p.m. Eastern Time on business days. Filer Support  |
|                                                                       |
| staff members are available to respond to requests for assistance     |
| from                                                                  |
|                                                                       |
| 7:00 a.m. to 7:00 p.m. Eastern Time.                                  |
|                                                                       |
| We strongly encourage you to visit the Filing Website at              |
|                                                                       |
| https://www.edgarfiling.sec.gov. You can download our current version |
|                                                                       |
| of the EDGARLink/Windows software and templates, the Filer Manual,    |
|                                                                       |
| receive on-line help, and access Frequently Asked Questions.          |
+-----------------------------------------------------------------------+

Figure 3‑40: EDGAR Convert to Electronic Filer Notification, Accepted

+-----------------------------------------------------------------------+
| THE FOLLOWING SUBMISSION HAS BEEN REJECTED BY THE U.S. SECURITIES AND |
| EXCHANGE COMMISSION.                                                  |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑CONVERT** NUMBER OF DOCUMENTS: 1                      |
|                                                                       |
| RECEIVED DATE: 06-Aug-2004 08:53 REJECTED DATE: 06-Aug-2004 08:53     |
|                                                                       |
| TEST FILING: NO CONFIRMING COPY: NO                                   |
|                                                                       |
| ACCESSION NUMBER: 9999999996-03-001201                                |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE          |
| INQUIRIES.                                                            |
|                                                                       |
| REGISTRANT(S):                                                        |
|                                                                       |
| 1\. CIK: 1234567890 existing                                          |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑CONVERT**                                             |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| **SUMMARY OF CHANGES:**                                               |
|                                                                       |
| **Your request for access to EDGAR has been rejected by the SEC's     |
| Branch of Filer Support for the following reason:**                   |
|                                                                       |
| **Duplicate Request**                                                 |
|                                                                       |
| **For further information, contact the SEC's Office of Filer Support  |
| at (202) 555-1234.**                                                  |
|                                                                       |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- NOTICE  |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--     |
|                                                                       |
| URGENT: Verify that all of your addresses on the EDGAR database are   |
|                                                                       |
| correct. An incorrect address in the EDGAR Accounting Contact Name    |
|                                                                       |
| and Address information may result in your Fee Account Activity       |
|                                                                       |
| Statement being returned to the SEC as undeliverable. Please correct  |
|                                                                       |
| outdated addresses via the EDGAR filing website.                      |
|                                                                       |
| The EDGAR system is available to receive and process filings from     |
|                                                                       |
| 6:00 a.m. to 10:00 p.m. Eastern Time on business days. Filer Support  |
|                                                                       |
| staff members are available to respond to requests for assistance     |
| from                                                                  |
|                                                                       |
| 7:00 a.m. to 7:00 p.m. Eastern Time.                                  |
|                                                                       |
| We strongly encourage you to visit the Filing Website at              |
|                                                                       |
| https://www.edgarfiling.sec.gov. You can download our current version |
|                                                                       |
| of the EDGARLink/Windows software and templates, the Filer Manual,    |
|                                                                       |
| receive on-line help, and access Frequently Asked Questions.          |
+-----------------------------------------------------------------------+

Figure 3‑41: EDGAR Convert to Electronic Filer Notification, Rejected

### EDGAR Access for New Serial Companies Request

+-----------------------------------------------------------------------+
| THE FOLLOWING SUBMISSION HAS BEEN ACCEPTED BY THE U.S. SECURITIES AND |
| EXCHANGE COMMISSION.                                                  |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑SERIAL** NUMBER OF DOCUMENTS: 1                       |
|                                                                       |
| RECEIVED DATE: 06-Aug-2004 08:53 ACCEPTED DATE: 06-Aug-2004 08:53     |
|                                                                       |
| TEST FILING: NO CONFIRMING COPY: NO                                   |
|                                                                       |
| ACCESSION NUMBER: 9999999996-03-001201                                |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE          |
| INQUIRIES.                                                            |
|                                                                       |
| REGISTRANT(S):                                                        |
|                                                                       |
| 1\. CIK: 1234567890 existing                                          |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑SERIAL**                                              |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| **SUMMARY OF CHANGES:**                                               |
|                                                                       |
| **Your request for access to EDGAR has been accepted.**               |
|                                                                       |
| **Please connect to the EDGAR Form ID URL**                           |
|                                                                       |
| **https://www.filermanagement.edgarfiling.sec.gov**                   |
|                                                                       |
| **to generate EDGAR access codes using your CIK and passphrase.**     |
|                                                                       |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- NOTICE  |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--     |
|                                                                       |
| URGENT: Verify that all of your addresses on the EDGAR database are   |
|                                                                       |
| correct. An incorrect address in the EDGAR Accounting Contact Name    |
|                                                                       |
| and Address information may result in your Fee Account Activity       |
|                                                                       |
| Statement being returned to the SEC as undeliverable. Please correct  |
|                                                                       |
| outdated addresses via the EDGAR filing website.                      |
|                                                                       |
| The EDGAR system is available to receive and process filings from     |
|                                                                       |
| 6:00 a.m. to 10:00 p.m. Eastern Time on business days. Filer Support  |
|                                                                       |
| staff members are available to respond to requests for assistance     |
| from                                                                  |
|                                                                       |
| 7:00 a.m. to 7:00 p.m. Eastern Time.                                  |
|                                                                       |
| We strongly encourage you to visit the Filing Website at              |
|                                                                       |
| https://www.edgarfiling.sec.gov. You can download our current version |
|                                                                       |
| of the EDGARLink/Windows software and templates, the Filer Manual,    |
|                                                                       |
| receive on-line help, and access Frequently Asked Questions.          |
+-----------------------------------------------------------------------+

Figure 3‑42: EDGAR New Serial Access Notification, Accepted

+-----------------------------------------------------------------------+
| THE FOLLOWING SUBMISSION HAS BEEN REJECTED BY THE U.S. SECURITIES AND |
| EXCHANGE COMMISSION.                                                  |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑SERIAL** NUMBER OF DOCUMENTS: 1                       |
|                                                                       |
| RECEIVED DATE: 06-Aug-2004 08:53 REJECTED DATE: 06-Aug-2004 08:53     |
|                                                                       |
| TEST FILING: NO CONFIRMING COPY: NO                                   |
|                                                                       |
| ACCESSION NUMBER: 9999999996-03-001201                                |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE          |
| INQUIRIES.                                                            |
|                                                                       |
| REGISTRANT(S):                                                        |
|                                                                       |
| 1\. CIK: 1234567890 existing                                          |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑SERIAL**                                              |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| **SUMMARY OF CHANGES:**                                               |
|                                                                       |
| **Your request for access to EDGAR has been rejected by the SEC's     |
| Branch of Filer Support for the following reason:**                   |
|                                                                       |
| **Other**                                                             |
|                                                                       |
| **CIK is incorrect (not for a Serial Company)**                       |
|                                                                       |
| **For further information, contact the SEC's Office of Filer Support  |
| at (202) 555-1234.**                                                  |
|                                                                       |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- NOTICE  |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--     |
|                                                                       |
| URGENT: Verify that all of your addresses on the EDGAR database are   |
|                                                                       |
| correct. An incorrect address in the EDGAR Accounting Contact Name    |
|                                                                       |
| and Address information may result in your Fee Account Activity       |
|                                                                       |
| Statement being returned to the SEC as undeliverable. Please correct  |
|                                                                       |
| outdated addresses via the EDGAR filing website.                      |
|                                                                       |
| The EDGAR system is available to receive and process filings from     |
|                                                                       |
| 6:00 a.m. to 10:00 p.m. Eastern Time on business days. Filer Support  |
|                                                                       |
| staff members are available to respond to requests for assistance     |
| from                                                                  |
|                                                                       |
| 7:00 a.m. to 7:00 p.m. Eastern Time.                                  |
|                                                                       |
| We strongly encourage you to visit the Filing Website at              |
|                                                                       |
| https://www.edgarfiling.sec.gov. You can download our current version |
|                                                                       |
| of the EDGARLink/Windows software and templates, the Filer Manual,    |
|                                                                       |
| receive on-line help, and access Frequently Asked Questions.          |
+-----------------------------------------------------------------------+

Figure 3‑43: EDGAR New Serial Access Notification, Rejected

# GENERATING EDGAR ACCESS CODES

There are two methods for generating access codes on the EDGAR system.
The first is to generate all of the codes when the EDGAR system has
accepted your application for access. Generally, there are three
situations when this process is used:

-   For a new electronic filer.

-   For an electronic filer who has forgotten their EDGAR access codes.

-   For an electronic filer who wants to change EDGAR access codes for
    security purposes.

-   For an electronic filer whose password has expired.

Section 4.1, Generating All EDGAR Access Codes, explains generating a
complete set of access codes. If your Form ID application for EDGAR
access has not been accepted by the SEC, please refer to Section 3.2,
New SEC Filer: Applying for EDGAR Access. If you are an existing filer
and would like to change individual codes, either your CCC or Password,
Section 4.1.3, Changing your CCC or Password, explains this process.
Finally, some filers who have not logged onto the EDGAR system since the
origination of passphrases may be asked to create a passphrase for the
first time. Please see Section 4.1.4, Creating a Passphrase for the
First Time, for details.

The second method of generating access codes is to generate them
individually. In Section 4.1.1, Requesting an EDGAR Passphrase, the
process for requesting an EDGAR passphrase is described.

## Generating All EDGAR Access Codes

This section describes how to generate a complete [set]{.underline} of
EDGAR access codes (PMAC, password, and CCC). To perform this function,
[the filer must have a current, valid CIK and passphrase.]{.underline}

[You cannot obtain individual access codes using the EFMW, only a
complete set.]{.underline} However, the EDGAR Filing and OnlineForms/XML
Websites allow you to generate just a new password (if you know the
filer's PMAC) or just a new CCC (if you know the filer's password).
Please see later subsections for these details.

As long as a filer's EDGAR access codes are appropriately protected and
kept current, this capability is not often needed. (The password expires
yearly; the PMAC and CCC do not expire.)

Before beginning, ensure that you know the Central Index Key (CIK) of
the filer. (It will be specified in the notification message that was
sent when the filer's electronic Form ID application was accepted). If
you do not know the CIK, you can look up the filer name in the EDGAR
Company Database at URL:

*[http://www.edgarcompany.sec.gov]{.underline}*

If you enter the Company Name and click the \[Company Search\] button to
query the database, the CIK is one of the items returned.

You must also know the filer's passphrase. (The passphrase was specified
in connection with the electronic Form ID application, on an Update
Passphrase request, on a Convert Paper Only Filer to Electronic Filer
request, or on an EDGAR Access for New Serial Companies request).

The first step in generating a set of EDGAR access codes is to open the
EDGAR Generate Access Codes data entry form. This is accomplished as
follows:

1.  Connect to the EFMW Welcome page. (Refer to Section 3.1.2, Accessing
    the EDGAR Filer Management Website.)

2.  Click on Generate Access Codes (New/Replacement) in the menu bar.

3.  A new browser window opens and the Generate Access Codes
    (New/Replacement) page appears (Figure 4-44: EDGAR Generate Access
    Codes (New/Replacement) Page).

> Refer to Section 3.2.2.1, Data Entry Conventions, for the standards
> used on all of the EFMW pages.

![](media/image41.png){width="6.493055555555555in"
height="4.588888888888889in"}

Figure 4‑44: EDGAR Generate Access Codes (New/Replacement) Page

4.  Enter the required data (CIK and Passphrase).

5.  Click on the \[Generate Access Codes\] button near the bottom of the
    page.

> A dialog box appears (Figure 4-45: EDGAR Generate Access Codes,
> "Continue" Dialog) asking you to confirm that you want to submit the
> request. If you do [not]{.underline} want to submit the request, click
> the \[Cancel\] button and the dialog box will disappear; otherwise,
> click the \[OK\] button.

![](media/image42.png){width="3.2020833333333334in"
height="1.0770833333333334in"}

Figure 4‑45: EDGAR Generate Access Codes, "Continue" Dialog

> If you clicked the \[OK\] button, the EFMW Generate Access Codes
> Acknowledgment page appears (Figure 4-46: EDGAR Generate Access Codes
> Acknowledgment Page). This page provides the filer's CIK and a set of
> new EDGAR access codes that are associated with that CIK. You should
> remember these codes, **after you close this page there is no way to
> recover them** -- if you forget them, you will need to generate a new
> set.

![](media/image43.png){width="6.5in" height="2.8333333333333335in"}

Figure 4‑46: EDGAR Generate Access Codes Acknowledgment Page

> **Note**: The CIK and EDGAR access codes specified in Figure 4-46 are
> [examples only; do not attempt to use these codes with
> EDGAR!]{.underline}

6.  Click the \[Exit Window\] button to close the browser window and
    finish the process.

> No confirming dialog box is displayed -- the browser window is just
> closed.

### Requesting an EDGAR Passphrase

This section describes how to request a new EDGAR passphrase for:

-   A filer who has forgotten their passphrase.

-   A filer who wants to change a passphrase for security purposes.

Note that this capability is not needed as long as a filer's passphrase
and EDGAR access codes are appropriately protected and kept current (the
password expires yearly; the passphrase, PMAC and CCC do not expire).

#### Composing the New Passphrase Request

The first step for composing an EDGAR passphrase request is to bring up
the EDGAR passphrase request data entry form. This is accomplished as
follows:

1.  Connect to the EFMW Welcome page. (Refer to Section 3.1.2, Accessing
    the EDGAR Filer Management Website.)

2.  Click on [Update Passphrase]{.underline} in the menu bar.

3.  A new browser window opens and the data entry page for the Update
    Passphrase page appears (Figure 4-47: EDGAR Update Passphrase Page).

> Refer to Section 3.2.2.1, Data Entry Conventions, for the standards
> used on all of the EFMW pages, including this one.

![](media/image44.png){width="6.495833333333334in"
height="6.479861111111111in"}

Figure 4‑47: EDGAR Update Passphrase Page

4.  Enter the required data (CIK and passphrase) and a reason for making
    the request (optional).

> Refer to Section 3.2.4, Defining a Passphrase, for a more detailed
> description of the passphrase. For security reasons, the passphrase
> [must]{.underline} be at least eight characters in length and contain
> at least one digit and one character from the set {@, #, \*, \$}.
>
> The Reason for Request data entry field is optional and allows you to
> enter free-form text explaining why the filer needs a new passphrase.
> This allows you to provide information that may help the SEC process
> your request.

5.  Click on the \[Update Passphrase\] button near the bottom of the
    page when you are satisfied with the data that you entered.

> A dialog box appears (Figure 4-48: EDGAR Update Passphrase, "Continue"
> Dialog) asking you to confirm that you want to submit the request. If
> you do [not]{.underline} want to submit the request, click the
> \[Cancel\] button and the dialog box will disappear; otherwise, click
> the \[OK\] button.
>
> ![](media/image45.png){width="3.1638888888888888in"
> height="1.132638888888889in"}

Figure 4‑48: EDGAR Update Passphrase, "Continue" Dialog

**Note**: After you click the \[OK\] button, the EDGAR Update Passphrase
request is submitted to the automated submission processing portion of
the EDGAR system. This is the start of the acceptance process; your
subsequent actions in this browser window will not affect this process.
However, the acceptance process cannot be completed until you submit
authentication documentation to the SEC -- refer to Section 4.1.1.2,
Authentication Documentation, for more information.

> The EFMW EDGAR Update Passphrase Acknowledgment page appears (Figure
> 4-49: EDGAR Update Passphrase Acknowledgment Page). This page provides
> the Accession Number for the submission, which uniquely identifies the
> submission and is used when referencing the submission.

![](media/image46.png){width="6.493055555555555in"
height="2.573611111111111in"}

Figure 4‑49: EDGAR Update Passphrase Acknowledgment Page

> Click the \[Print Window\] button near the bottom of the page to print
> this page for your records. Once this page is printed, you may use it
> to satisfy the SEC's authentication requirements.

6.  Click the \[Exit Window\] button to finish the process by closing
    the browser window.

> An "are you sure" dialog box is [not]{.underline} displayed; the
> browser window is just closed.

#### Authentication Documentation

The Update Passphrase request must be supplemented with additional
verification to help ensure that the request is authentic. Accordingly,
the filer is required to file with the SEC in paper by fax within two
business days after electronically filing the request a notarized
document, manually signed by the filer over its printed or typed
signature, that includes the information identified here and confirms
the authenticity of the request. If we do not receive the fax within
this period, we will reject the request and the requestor will need to
reapply. The authentication documentation should include the following
information:

-   CIK

-   Name associated with that CIK

-   Name of the contact person for purposes of this request

-   Acknowledgement accession number

-   Contact person on database

-   Contact telephone number on database

-   Printed or typed signature of authorized person

#### E-mail Acceptance or Rejection Notification

After the SEC receives both the electronic EDGAR Update Passphrase
request and the associated authentication documentation, the SEC will
authenticate the information provided on the EDGAR Update Passphrase
request. A notification message stating the SEC's disposition of the
request will be sent to the e-mail address provided in the request. The
disposition will be either "accepted" or "rejected."

If the request is [accepted]{.underline}, the e-mail message will
include but will not be limited to the following information:

-   Text stating that the request was accepted by the SEC

-   Text stating that the specified passphrase was activated

-   Basic directions for how to generate EDGAR access codes

-   The URL of the EDGAR Filer Management Website

If the request is [rejected]{.underline}, the e-mail message will
include but will not be limited to the following information:

-   Text saying that the request was rejected by the SEC

-   The reason that the request was rejected

-   Basic instructions on how to resolve the issue

These messages will be sent to filer's e-mail address of record. If they
are associated with a valid CIK, they will also be posted to the EDGAR
Filing and OnlineForms/XML Websites.

**Note**: [None]{.underline} of the data contained in these messages is
real; it merely [represents]{.underline} the [type]{.underline} of data
that would typically be contained in the message. [Do not]{.underline}
attempt to use any of this data with the EDGAR system.

### Update Passphrase Request

+-----------------------------------------------------------------------+
| THE FOLLOWING SUBMISSION HAS BEEN ACCEPTED BY THE U.S. SECURITIES AND |
| EXCHANGE COMMISSION.                                                  |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑PASSUPD** NUMBER OF DOCUMENTS: 1                      |
|                                                                       |
| RECEIVED DATE: 06-Aug-2004 08:53 ACCEPTED DATE: 06-Aug-2004 08:53     |
|                                                                       |
| TEST FILING: NO CONFIRMING COPY: NO                                   |
|                                                                       |
| ACCESSION NUMBER: 9999999996-03-001201                                |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE          |
| INQUIRIES.                                                            |
|                                                                       |
| REGISTRANT(S):                                                        |
|                                                                       |
| 1\. CIK: 1234567890 existing                                          |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑PASSUPD**                                             |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| **SUMMARY OF CHANGES:**                                               |
|                                                                       |
| **Your request for a new EDGAR passphrase has been accepted by the    |
| SEC's Branch of Filer Support. The requested passphrase is now active |
| in the EDGAR system.**                                                |
|                                                                       |
| **Please connect to the EDGAR Form ID URL**                           |
|                                                                       |
| **https://www.filermanagement.edgarfiling.sec.gov**                   |
|                                                                       |
| **to generate EDGAR access codes using your CIK and passphrase.**     |
|                                                                       |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- NOTICE  |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--     |
|                                                                       |
| URGENT: Verify that all of your addresses on the EDGAR database are   |
|                                                                       |
| correct. An incorrect address in the EDGAR Accounting Contact Name    |
|                                                                       |
| and Address information may result in your Fee Account Activity       |
|                                                                       |
| Statement being returned to the SEC as undeliverable. Please correct  |
|                                                                       |
| outdated addresses via the EDGAR filing website.                      |
|                                                                       |
| The EDGAR system is available to receive and process filings from     |
|                                                                       |
| 6:00 a.m. to 10:00 p.m. Eastern Time on business days. Filer Support  |
|                                                                       |
| staff members are available to respond to requests for assistance     |
| from                                                                  |
|                                                                       |
| 7:00 a.m. to 7:00 p.m. Eastern Time.                                  |
|                                                                       |
| We strongly encourage you to visit the Filing Website at              |
|                                                                       |
| https://www.edgarfiling.sec.gov. You can download our current version |
|                                                                       |
| of the EDGARLink/Windows software and templates, the Filer Manual,    |
|                                                                       |
| receive on-line help, and access Frequently Asked Questions.          |
+-----------------------------------------------------------------------+

Figure 4‑50: EDGAR Update Passphrase Notification, Accepted

+-----------------------------------------------------------------------+
| THE FOLLOWING SUBMISSION HAS BEEN REJECTED BY THE U.S. SECURITIES AND |
| EXCHANGE COMMISSION.                                                  |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑PASSUPD** NUMBER OF DOCUMENTS: 1                      |
|                                                                       |
| RECEIVED DATE: 06-Aug-2004 08:53 REJECTED DATE: 06-Aug-2004 08:53     |
|                                                                       |
| TEST FILING: NO CONFIRMING COPY: NO                                   |
|                                                                       |
| ACCESSION NUMBER: 9999999996-03-001201                                |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE          |
| INQUIRIES.                                                            |
|                                                                       |
| REGISTRANT(S):                                                        |
|                                                                       |
| 1\. CIK: 1234567890 existing                                          |
|                                                                       |
| COMPANY: ALLEN TEST & RAIN WATER CO INC                               |
|                                                                       |
| FORM TYPE: **ID‑PASSUPD**                                             |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| **SUMMARY OF CHANGES:**                                               |
|                                                                       |
| **Your request for a new EDGAR passphrase has been rejected by the    |
| SEC's Branch of Filer Support for the following reason:**             |
|                                                                       |
| **Unable to Contact Requester**                                       |
|                                                                       |
| **For further information, contact the SEC's Office of Filer Support  |
| at (202) 555-1234.**                                                  |
|                                                                       |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- NOTICE  |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--     |
|                                                                       |
| URGENT: Verify that all of your addresses on the EDGAR database are   |
|                                                                       |
| correct. An incorrect address in the EDGAR Accounting Contact Name    |
|                                                                       |
| and Address information may result in your Fee Account Activity       |
|                                                                       |
| Statement being returned to the SEC as undeliverable. Please correct  |
|                                                                       |
| outdated addresses via the EDGAR filing website.                      |
|                                                                       |
| The EDGAR system is available to receive and process filings from     |
|                                                                       |
| 6:00 a.m. to 10:00 p.m. Eastern Time on business days. Filer Support  |
|                                                                       |
| staff members are available to respond to requests for assistance     |
| from                                                                  |
|                                                                       |
| 7:00 a.m. to 7:00 p.m. Eastern Time.                                  |
|                                                                       |
| We strongly encourage you to visit the Filing Website at              |
|                                                                       |
| https://www.edgarfiling.sec.gov. You can download our current version |
|                                                                       |
| of the EDGARLink/Windows software and templates, the Filer Manual,    |
|                                                                       |
| receive on-line help, and access Frequently Asked Questions.          |
+-----------------------------------------------------------------------+

Figure 4‑51: EDGAR Update Passphrase Notification, Rejected

### Changing your CCC or Password 

Usually, changing all of your access codes will not be required. A more
routine procedure would be to change either your password or CCC. Your
password allows you access to the EDGAR systems, including all websites.
You should not share this password with anyone outside your company. It
is appropriate to change your password under the following
circumstances:

-   Key staff who held the password are no longer employed by your
    company

-   You are concerned that your password has been given to outsiders

-   Your company policies require the routine update of the password at
    intervals other than required by EDGAR.

The CCC allows you the flexibility to permit others to file on your
behalf, usually filing agents. It is prudent to change this code after
another party submits each filing. This is especially important if you
use more than one filing agent. If you do not follow this policy or do
not use more than one agent, then at the very least, the code needs to
be refreshed if you change filing agents. The integrity of this code is
your responsibility; please do not give this code to anyone who does not
need to use it on your behalf.

Once on the main EDGAR Welcome page, if you need to change your access
codes, click on Retrieve/Edit Data.

The Change Company Password or CCC option has a page for you to select
either of two options as shown in Figure 4-52: Change Company Password
or CCC Page:

-   Change Password

-   Change CCC (CIK Confirmation Code)

Click on the Change Company Password or CCC option on the Retrieve/Edit
Data page, and this page will appear.

![](media/image47.png){width="5.502777777777778in"
height="3.189583333333333in"}

Figure 4‑52: Change Company Password or CCC Page

Your EDGAR password is good for only twelve (12) months. Be sure you
change your password on the EDGAR Filing Website before it expires.

#### Changing Your Password

1.  Click on the Change Password link Change Company or CCC page.

    ![](media/image48.wmf)

    Figure 4‑53: Change Company Password

**Note:** Your password must contain eight characters with at least one
letter, one number, and one character from the following list: @, #, \*,
\$.

2.  When the Change Password page appears, enter the company's CIK, Old
    Password, New Password, Confirm the New Password, and Password
    Modification Access Code (PMAC).

3.  Click on the \[Change Password\] button.

    ![](media/image49.png){width="5.9319444444444445in"
    height="0.7166666666666667in"}

    Figure 4‑54: Change Password Results Page

**Note:** All CCCs and passwords are case-sensitive and must be entered
correctly.

#### Changing Your CCC (CIK Confirmation Code)

You can change your CCC at anytime.

To change your CCC:

1.  Click on the Change CCC link on the Change Company or CCC page.

2.  Enter your CIK, Password, new CCC, and Confirm New CCC.

3.  Click on the \[Change CCC\] button.

    ![](media/image50.png){width="5.502777777777778in"
    height="3.86875in"}

    Figure 4‑55: Change CCC (CIK Confirmation Code) Page

**Note:** Your CCC must contain eight characters with at least one
letter, one number, and one character from the following list: @, #, \*,
\$.

The Change CCC Results page appears, confirming your CCC change. This
change is effected immediately on the EDGAR Filing Website. If you exit
the site and try to login again, you must use the new CCC.

![](media/image51.png){width="5.511805555555555in" height="0.84375in"}

Figure 4‑56: Change CCC Results Page

If you mistype your CIK or CCC, you may see the Invalid CIK/CCC error
screen. Click the \[Back\] button on your browser and enter it again. If
you are still having problems, please call Filer Support at (202)
551-8900 for help.

### Creating a Passphrase for the First Time

When logging into any of the EDGAR websites, if your CIK and password
are valid and you [have]{.underline} a passphrase, [the Welcome page
appears]{.underline}. Some filers, who have not logged into the system
for a long time, may find that they have not yet created a passphrase
since the introduction of this process on the EDGAR system. Filers will
only have to follow this process once; however, the EDGAR system will
not let you proceed until the passphrase has been created. The first
screen you will see is shown in Figure 4-57: The EDGAR Create Passphrase
Page.

![](media/image52.png){width="5.770833333333333in" height="2.59375in"}

Figure 4‑57: The EDGAR Create Passphrase Page

1.  To define a passphrase, type it in the data entry fields provided.
    (The passphrase is not displayed and it is an important security
    code: typing it twice ensures that no typographical errors occur
    during entry.)

2.  Enter your existing PMAC (doing so verifies that you have the right
    to define a passphrase). If you have forgotten your PMAC, contact
    our Filer Support Staff at (202) 551-8900 for help.

3.  Click the \[Create Passphrase\] button. If your new passphrase is in
    the correct format (it must be in the same format as the PMAC) and
    the PMAC is valid for the CIK, the Create Passphrase Results page is
    displayed. (You will be informed of any errors in the data entered
    and will be required to correct them before you can proceed.)

![](media/image53.png){width="5.072916666666667in"
height="1.7534722222222223in"}

Figure 4‑15: The EDGAR Create Passphrase Results Page

4.  Click the \[Continue to EDGAR Welcome\] button. The Welcome page
    appears.

![](media/image54.png){width="5.488888888888889in"
height="3.3506944444444446in"}

Figure 4‑16: The EDGAR Welcome Page (Top)

**Notes**:

-   If you mistype your password, EDGAR considers it an invalid password
    and access to EDGAR is denied.

-   If you accidentally mistype the CIK or password, you can press the
    \[Back\] button to return to the Login page, and try again.

-   If your CIK and password do not match those saved in the database,
    you will see an Invalid Login page. If you find you are getting the
    Invalid Login page and your CIK and password are entered correctly,
    please contact Filer Support at (202) 551-8900 for help.

-   Additional error messages you may see are Password Login Expiration
    messages. There are two different types of messages: Login Password
    to Expire Soon or Login Password Expired. If your password expires
    soon or if your password has expired within the last 10 days, EDGAR
    allows you to create a new password using your PMAC. If you have a
    passphrase, you can get a new set of EDGAR access codes (including a
    password) using the EDGAR Filer Management Website -- even if your
    password has been expired for more than 10 days. If you need
    assistance, contact our Filer Support Staff at (202) 551-8900 for
    help.

-   The passphrase is a security code and is used to generate EDGAR
    access codes. You must define a passphrase before you can access any
    of the EDGAR capabilities.

# MAINTENANCE OF COMPANY DATA

Once you have obtained your access codes and are a registered EDGAR
filer, you should maintain your company data. This chapter will help you
by illustrating the process of maintaining your data.

## Login to EDGAR

To enter or edit your company information, change your password or CCC,
or check the status of a submission, you will need to login to EDGAR:

1.  Connect to the Internet or activate a dial-up networking connection.

2.  Go to the EDGAR Gateway:

    *http://www.portal.edgarfiling.sec.gov*

3.  Click on the Are you an EDGARLink filer or would you like to create
    a new Asset-Backed Securities Issuing Entity? link.

4.  The EDGAR Filing Website login page is displayed where you must
    enter your access data.

5.  Click in the CIK field and enter your CIK.

6.  Press \[Tab\] and enter your password.

    This is your login password, not your CCC, or PMAC. Your password is
    case-sensitive.

7.  Click the \[Login to EDGAR\] button.

8.  The Create Passphrase page appears if your CIK and password are
    valid and you do not have a passphrase. Refer to Section 4.1.4,
    Creating a Passphrase for the First Time, if you are asked to create
    a passphrase.

9.  If your CIK and password are valid and you have a passphrase, the
    Welcome page appears.

## Accessing Submission and Company Information

1.  When you reach the EDGAR Filing Website Welcome page, click on
    [Retrieve/Edit Data]{.underline}.

2.  The Retrieve/Edit Data page appears and prompts you for your CIK and
    CCC information:

-   Enter your CIK in the CIK field and press \[Tab\].

-   Enter your CCC in the CCC field.

-   Click on the \[Continue\] button.

This page verifies that you have access to retrieve or edit information
on the EDGAR system.

![](media/image35.png){width="5.188888888888889in"
height="2.808333333333333in"}

Figure 5‑58: Retrieve/Edit Data Page

The next screen is the Retrieve/Edit Company and Submission Data page,
which is shown in Figure 5-59: Retrieve/Edit Company and Submission Data
Page. You can access the following functions from this page by clicking
on the \[Continue\] button:

-   Retrieve Submission Information

-   Retrieve Company Information

-   Retrieve Module/Segment Information

-   Retrieve Return Copies

-   Enter Series and Classes (Contracts) Information

-   Request Asset-Backed Securities (ABS) Issuing Entities Creation

-   Change Company Password or CCC

-   Enter Another CIK/CCC

You can use any of these functions to update your company information,
CCC, or password via the EDGAR Filing Website.

![](media/image55.wmf){width="5.339583333333334in"
height="4.159722222222222in"}

Figure 5‑59: Retrieve/Edit Company and Submission Data Page

## Retrieve Company Information

Another feature in EDGAR is the ability to retrieve and update your
company information from the EDGAR Filing Website. (From EDGAR\'s
perspective, every CIK belongs to a filing entity generally referred to
as "company." In this case, each reporting owner is a "company.") Once
you have logged into EDGAR and accessed the Company and Submission
Information Retrieval page, you can retrieve your company information:

1.  Click on [Retrieve Company Information]{.underline}. The Company
    Information page appears.

![](media/image56.png){width="4.78125in" height="5.090277777777778in"}

![](media/image57.png){width="4.766666666666667in"
height="3.5104166666666665in"}

Figure 5‑60: Company Information Page

Scroll down this page to review the company information EDGAR has
stored. If any of this information is incorrect, you can change it by
using the \[Edit Company Information\] button at the bottom. Note that
only the information pertinent to you based upon your filer attributes
(Filer Type and Company/Individual indicator) will be displayed. For
example, if you are a "Filing Agent" or "Training Agent" the Filer
Information section will not be displayed.

**Note**: You cannot change your CIK.

You can also print this page using your browser's print function for
future reference.

For general company queries (including wildcard searches) please search
the EDGAR Company database (*http://www.edgarcompany.sec.gov*).

## Edit Company Information 

**It is the obligation of the registrant to keep the company information
on EDGAR current and valid**. All changes to your company information
are made immediately except for changes to your company\'s name. Our
Filer Support staff needs to review any change to your company\'s name
to ensure that it is appropriate.

Once you have logged into EDGAR and accessed the Company and Submission
Information Retrieval page, you can edit your company information:

1.  Scroll to the bottom and click on the \[Edit Company Information\]
    button. The Edit Company Information page appears.

-   Note that only the information pertinent to you based upon your
    filer attributes (Filer Type and Company/Individual indicator) will
    be displayed. For example, if you are a "Filing Agent" or "Training
    Agent" the Filer Information section will not be displayed.

-   On this screen, required fields are indicated by an asterisk (\*).
    If you do not fill in all required fields, you will be prompted with
    an error upon submission.

![](media/image58.png){width="4.088888888888889in" height="4.8625in"}

![](media/image59.png){width="4.088888888888889in"
height="3.745138888888889in"}

Figure 5‑61: Edit Company Information Page

2.  Click in the field you want to edit and change the information.

-   If you want to change your Company Name, the company name may be
    modified by the software to meet the EDGAR conformance standards.
    These standards can be accessed by clicking on the link in the note
    above the Company Name field. Note that you will be prompted with
    these changes before you actually submit them.

-   If you want to change one of your addresses to be the same as your
    Mailing Address, select the "same as" checkbox next to the
    appropriate address section. This will clear out the address
    currently in that section and make it the same as your mailing
    address upon submission.

3.  When finished, click on the \[Submit Changes\] button.

4.  Your changes appear on the Edit Company Information Confirmation
    page. If your company name is conformed, a pop-up dialog indicating
    your entered company name and the EDGAR conformed company name will
    appear as a warning.

5.  Confirm the changes by clicking on the \[Confirm Company Changes\]
    button at the bottom of the page.

![](media/image60.png){width="4.404861111111111in"
height="1.8909722222222223in"}

Figure 5‑62: Edit Company Information Confirmation Page

-   If you want to cancel the changes, click on the \[Cancel Changes\]
    button or click on the browser\'s \[Back\] button.

6.  The Edit Company Information Acknowledgment page appears and
    confirms your changes. All changes to your company information are
    made immediately except for changes to your company\'s name. Filer
    Support staff will review any changes to your company's name. Filer
    Support can reject any name change if it is deemed unacceptable. If
    your proposed name change is rejected, you will receive a suspense
    notification message; otherwise you will receive an acceptance
    notification message.

![](media/image61.png){width="4.404861111111111in"
height="1.4180555555555556in"}

Figure 5‑63: Edit Company Information Acknowledgment Page

> If you want to return to the Retrieve/Edit Company and Submission data
> page, click on the \[Return to Retrieve/Edit Company and Submission
> Data Menu\] button at the bottom of the Edit Company Information
> Acknowledgment page.

**Note:** Changes to your company information are not disseminated until
a live filing is made.

### Series and Classes (Contracts) Information

Investment company filers are responsible for entering Series and
Classes (Contracts) information using the Enter Series and Classes
(Contracts) Information screen in order to obtain Series and Class
(Contract) identifiers. The Commission is requiring the inclusion of
Series and Class (Contract) identifiers in designated future filings in
a future EDGAR Release scheduled for February 6, 2006. The following
sections provide more details.

#### Series and Classes (Contracts) Information Page

The Series and Classes (Contracts) Information page provides to certain
investment companies (referred to as S/C Funds in this discussion) a
mechanism to enter series and classes (contracts) information in order
to establish identifiers in support of SEC rules proposed in Release
33-8401 (Mar. 16, 2004) \[69 FR 13690\], and adopted in Release 33-8590
(July 18, 2005) \[70-FR4358\], "Rulemaking for EDGAR System." We
recommend that you refer to the SEC rules releases in conjunction with
this section. The releases describe the series and class (contract)
identification requirement process as follows (footnotes omitted):

"We are implementing the requirement for S/C funds to identify their
series and classes (contracts) by having all S/C Funds enter their
existing series and class (and contract) identification onto a special
section of the EDGAR Filing Web site (the Series and Classes (Contracts)
Information Page). Each S/C Fund will enter information for each of its
existing series and classes (or contracts) at this Web site page; each
will provide series names, class (or contract) names, and ticker
symbols, if any. After this information is entered, we will issue series
and class identifiers. These identifiers will be ten characters in
length (nine numbers preceded by an "S" for series identifiers and a "C"
for class (contract) identifiers) and will uniquely, and persistently,
identify each series and/or class (or contract). These identifiers will
be available to the public. Information filed with us containing these
identifiers will be searchable by the public and our staff using the
series and class (contract) identifiers and also using the series and
class (contract) names without the need for reference to the S/C Fund
issuing the series and/or class (contract). The information relating to
its series and classes (contracts), including their identifiers, will be
available to the S/C Fund quickly via e-mail notification following the
entering of information and at the EDGAR Filing Web site, from which the
S/C Fund may copy it as needed. The S/C Fund will also use the Series
and Classes (Contracts) Information Page to update series and class
(contract) information as required upon specified events, such as name
change and deactivation, liquidation, or other events resulting in the
elimination of a series or class or deregistration of the S/C Fund."

In the release, the Commission also states that these identifiers would
be part of the official filing:

"We are amending this definition to provide that the electronic
identification of investment company type and inclusion of identifiers
for series and class (or contract, in the case of separate accounts of
insurance companies), as we are requiring under Rule 313 of Regulation
S-T, will be deemed part of the official filing. On and after the
Mandatory Series/Class (Contract) Identification Date, failure of a S/C
Fund to include correctly the required identifiers will mean that a
filing for that series and/or class (or contract) has not been made. We
also stress that it is important for S/C Funds to keep their information
up-to-date, including updating in a timely manner when a series and/or
class (contract) deactivates. If a S/C Fund does not do so, we will
assume that the S/C Fund is delinquent in reporting for a series or
class (contract)."

The investment companies (S/C Funds) that need to enter series and class
(contract) information to obtain identifiers are filers whose last
registration statement statement (excluding registrations on Form N-14)
and/or post-effective amendment was filed on:

-   Form N-1A (Mutual Fund)

-   Form N-3 (Separate Account registered as Open-End Management
    Investment Company)

-   Form N-4 (Variable Annuity UIT Separate Account)

-   Form N-6 (Variable Life UIT Separate Account)

The adopting release outlines the implementation of the requirements to
electronically collect and utilize series and class (contract)
information. In the initial time period prior to February 6, 2006, all
existing S/C Funds need to obtain series and class (contract)
identifiers using the software functions described in this section. On
and after February 6, 2006, S/C Funds must provide the series and class
(contract) identifiers on specified filings; they will receive
identifiers for a new series and/or class (contract) at the time of the
substantive filing that adds the new series and/or class (contract).
This section describes the functions that support the initial period
prior to February 6, 2006. The software for the second period to support
providing the series and class (contract) identifiers on specified
filings will be implemented on February 6, 2006. We anticipate that,
when we implement the software for the second period, we will remove the
capability to change investment company type and to enter existing
series and classes to obtain identifiers on the Series and Classes
(Contracts) Information Page, after an overlapping time period. You will
still be able to update series and class (contract) information as
required upon specified events, such as name changes, deactivations,
liquidations, or other events resulting in the elimination of a series
or class or deregistration of the S/C Fund.

S/C Funds will enter Series and Classes (Contracts) information using
the Series and Classes (Contracts) Information page in order to obtain
series and class (contract) identifiers.

#### Navigating to the Series and Classes (Contracts) Information Page

You can get to the Series and Classes (Contracts) Information page to
enter series and classes (contracts) information from the Retrieve/Edit
Company and Submission Data page. See Figure 5-59: Retrieve/Edit Company
and Submission Data Page, on the EDGAR Filing Website
(*https://www.edgarfiling.sec.gov*). These steps will get you to the
page:

1.  Login to EDGAR. (See Section 5.1, Login to EDGAR, if you need
    detailed instructions.)

2.  Click on Retrieve/Edit Data under the category "Information
    Exchange" on the EDGAR menu on the left side of the EDGAR Welcome
    page.

3.  The Retrieve/Edit Data page (Figure 5-64: Retrieve/Edit Data Page)
    appears and prompts you for your CIK and CCC information. This CIK
    is the one with which the series and classes (contracts) entered
    later will be associated. Steps:

-   Enter your CIK in the CIK field and press \[Tab\].

-   Enter your CCC in the CCC field.

-   Click on the \[Continue\] button.

![](media/image35.png){width="6.489583333333333in"
height="3.7819444444444446in"}

Figure 5‑64: Retrieve/Edit Data Page

4.  Figure 5-65: Retrieve/Edit Company and Submission Data Page,
    appears. Click on the Enter Series and Classes (Contracts)
    Information option to get to the page that supports the entry of
    series and class data.

![](media/image62.wmf)

Figure 5‑65: Retrieve/Edit Company and Submission Data Page

#### Enter Series and Classes (Contracts) Information Page

Only S/C Funds will need to enter series and class (contract)
information. S/C Funds are filers whose last registration statement
(excluding registrations on Form N-14) and /or post-effective amendment
filing was on one of the following forms:

-   Form N-1A

-   Form N-3

-   Form N-4

-   Form N-6

If your investment company is already known in EDGAR as filing on one of
the forms indicated, EDGAR will display the Series and Classes
(Contracts) Information page shown in Figure 5-67, Series and Classes
(Contracts) Information Page. If EDGAR does not know the Investment
Company Type or the type is not an S/C Funds type, then Figure 5-66:
Enter Series and Classes (Contracts) Information Page, will appear.

If you are an S/C Funds type and Figure 5-66 appears, click on the
\[Continue If CIK Meets the Above Criteria\] button and the Series and
Classes (Contracts) Information page as shown in Figure 5-67 will
appear, where you can modify your company type.

If you are not an S/C Funds type, click on the \[Close Window\] button.
You are not required to submit series and class (contract) information.

![](media/image63.png){width="5.602083333333334in"
height="3.0520833333333335in"}

Figure 5‑66: Enter Series and Classes (Contracts) Information Page

#### Series and Classes (Contracts) Information Page Overview

Figure 5-67: Series and Classes (Contracts) Information Page, is the
central page you will use to build the data for series and classes
(contracts) and to obtain your identifiers. Most buttons on this page
will cause subsequent pages to be displayed to collect information. As
the information is collected, you will return to this page where the new
information is displayed. The page has two sections:

-   The first section is used to display and, if necessary, modify your
    Investment Company Type Information.

-   The second section is used to collect new and changed series and
    class (contract) information.

The second section of the Series and Classes (Contracts) Information
page provides the following functions:

-   Viewing entered series and class (contract) information

-   Adding new series or class (contract) information

-   Modifying series and class (contract) information

-   Deleting series and class (contract) information (un-submitted items
    only)

-   Printing the page

-   Verifying/submitting series and class (contract) information

When you are beginning to enter your series and class (contract) data,
there will be little or no information in this second section. After all
the information has been collected, you can have it verified and
submitted by pressing the \[Verify/Submit Changes\] button.

![](media/image64.png){width="5.790972222222222in"
height="4.534027777777778in"}

Figure 5‑67: Series and Classes (Contracts) Information Page

**Note:** Updated data appears blue in color.

The following section describes each button function on the Series and
Classes (Contracts) Information page.

**[\[Modify Company Type\] Button]{.underline}**

When the Series and Classes (Contracts) Information page first appears,
the current Investment Company Type on file with the SEC is displayed.
To update your company type, click the \[Modify Company Type\] button.
The Modify Investment Company page is described in Section 5.4.1.4.1,
Modify Company Type via Edit Investment Company Type Page.

**It is important that the Investment Company Type information be
correct.** If it is not, then access to other functions may be limited.
The buttons will be grayed out if you are not allowed to enter certain
kinds of data.

**[\[Add Series\] Button]{.underline}**

To add a new series, click the [\[]{.underline}Add Series\] button.
Please note that all of your existing series will be considered "new"
for purposes of initially obtaining identifiers. Also, please note that
each S/C Fund will be considered to have at least one series.

When the button is clicked, checks are made to see if a series can be
added based on Investment Company Type.

If your investment company type permits the addition of series and class
data, the Add Series page is displayed. See Section 5.4.1.4.2, Add
Series Page.

**[\[Add Class (Contract)\] Button]{.underline}**

To add a class (contract), you must first select the series to which it
will be added. Please note that every series will be considered to have
at least one class (contract).

To choose the series, click on the radio button on the left of the
series. The series status must be Active to make this selection. After
the series is chosen, then click the [\[]{.underline}Add Class
(Contract)\] button.

When the button is clicked, checks are made to see if a class (contract)
can be added, based on:

-   Investment Company Type

-   Whether any series is selected

-   Whether the selected series has a status of Active.

If a class can be added, then the Add Class (Contract) page is
displayed. See Section 5.4.1.4.3, Add Class (Contract) Page.

**[\[Modify\] Button]{.underline}**

The \[Modify\] button can be used to modify either a series or class
(contract).

-   To select a series, click on the radio button at the left of the
    series.

-   To select a class, click on the radio button at the left of the
    class (contract).

Next, click the [\[]{.underline}Modify\] button.

When the button is clicked, checks are made to see if the selected
series or class (contract) can be modified, based on:

-   Investment Company Type

-   Whether any series or class (contract) is selected

-   If a class (contract) is selected, whether the corresponding series
    status is Active

To modify a class (contract) for a series with a status of Inactive, the
series must first be modified to make the status Active.

If a series can be modified, the Edit Series page described in Section
5.4.1.4.4, Edit Series Page, is displayed. If a class can be modified,
the Edit Class (Contract) page described in Section 5.4.1.4.5, Edit
Class (Contract) Page, is displayed.

**[\[Delete\] Button]{.underline}**

The \[Delete\] button can only be used to delete series and classes
(contracts) **before they are transmitted** to the EDGAR system and
before identifiers have been assigned. The series and class (contract)
information for each session is not saved until you click on the button
\[Verify/Submit Changes\]. If an identifier has already been assigned to
the series or class (contract), then use the \[Modify\] button to change
the status to Inactive.

The \[Delete\] button can be used to delete either a series or class
(contract) based on the selection indicator.

-   To select a series, click on the radio button at the left of the
    series. All of its classes (contracts) will also be deleted.

-   To select a class (contract), click on the radio button at the left
    of the class. Note that each series must have at least one class;
    therefore, the last remaining class in the series cannot be deleted.

Next, click the [\[]{.underline}Delete\] button.

When the button is clicked, checks are made to see if a series or class
(contract) can be deleted, based on:

-   Investment Company Type

-   Whether any series or class (contract) is selected

-   Whether the series or class (contract) identifier has a value

-   If a class (contract) is selected, whether the corresponding series
    status is Active and at least one class (contract) remains.

**[\[Print\] Button]{.underline}**

The \[Print\] button provides a mechanism for you to print your data in
landscape mode.

**[\[Verify/Submit Changes\] Button]{.underline}**

The \[Verify/Submit Changes\] button is used to verify the changes and
transmit the data into the EDGAR system.

When the button is clicked, checks are made to see if the series and
class (contract) information is correct:

-   If there is more than one series with an Active status, you will be
    asked to review the series names to be sure they are appropriate.

-   If there is a series with more than one class (contract) with an
    Active class status, you will be asked to review the class
    (contract) names to be sure they are appropriate.

After you have confirmed the series and class (contract) information is
correct, the Series and Classes (Contracts) Information Edit
Confirmation page is displayed. It is shown in Section 5.4.1.4.6, Series
and Classes (Contracts) Information Edit Confirmation Page.

##### Modify Company Type via Edit Investment Company Type Page

The Edit Investment Company Type page (Figure 5-68: Edit Investment
Company Type Page) appears when the \[Modify Company Type\] button is
clicked on the Series and Classes (Contracts) Information page. It
provides a mechanism to change your company type.

![](media/image65.png){width="5.668055555555555in"
height="1.8277777777777777in"}

Figure 5‑68: Edit Investment Company Type Page

Click on the drop-down arrow to display the Investment Company Type
drop-down list to select one of the following company types:

-   Form N-1A Filers (Mutual Fund)

-   Form N-3 Filers (Separate Account registered as Open-End Management
    Investment Company)

-   Form N-4 Filers (Variable Annuity UIT Separate Account)

-   Form N-6 Filers (Variable Life UIT Separate Account)

-   No longer an Investment Company Type in the selection list

**Note:** Changing from "No longer an Investment Company Type in the
selection list" to any other investment company type will reset the
status of all series and their classes (contracts) to Active.

**Note:** Changing from any investment company type to "No longer an
Investment Company Type in the selection list" will make the following
modifications:

-   Set the status to Inactive on all series and classes (contracts)
    that already have an identifier assigned.

-   Delete all series and classes (contracts) previously entered in the
    session but not transmitted to EDGAR.

-   Inhibit updates to series or class (contract) information.

-   Revert any changes made to series and classes (contracts)
    information in the session to the value prior to the session.

Click on the \[OK\] button to complete your change. The Series and
Classes (Contracts) Information page with your changed Investment
Company Type will be displayed.

##### Add Series Page

The Add Series page appears when the \[Add Series\] button is clicked on
the Series and Classes (Contracts) Information page. It is shown in
Figure 5-69: Add Series Page, Initial.

The Add Series page is used to enter a new series. You may use your
company name as the Series Name by clicking on the "Use Company Name as
Series Name" box. N-4 and N-6 filers are limited to one "dummy" series
which will automatically have the same name as the N-4 or N-6 S/C Fund.
These funds enter the information for their contracts, and receive their
contract identifiers, at the class level.

The series for a "stand alone fund" without separate series will have
the same name as the fund itself, as will all N-4 and N-6 filers. These
are the only cases in which the series name should default to the
company name.

Each series must have at least one class (contract). Enter the Class
(Contract) Name. You may use the Series Name as the Class (Contract)
Name by clicking on the "Use Series Name as Class (Contract) Name" box.
Enter the Ticker Symbol if it is known.

A S/C Fund must enter a unique name for each of its series, i.e., a S/C
Fund may not enter duplicate series names for its own series (although
its series might have the same name(s) as the series of other S/C
Funds). For each of its series, the S/C Fund should enter the name by
which that series is most commonly known. For example, if the "Acme
Trust" complex has a series named the "Bond Fund" which is known and
marketed as "the Acme Bond Fund," the fund should enter the name "Acme
Bond Fund" as the name of the series.

A S/C Fund must enter a unique name for each of its classes (contracts)
existing under each series, i.e., a S/C Fund may not enter duplicate
class (contract) names for classes (contracts) of the same series. Most
class names are letters (e.g., Class A or Class B) or names such as
"Institutional" or "Retail." Insurance company separate accounts must
enter unique names for their contracts; if they currently have duplicate
names, then the separate account information should be added to the
contract name further identifying information, such as a number
indicating the date of the contract's creation or the Securities Act
file number issued to that contract.

A S/C Fund would also have a duty to update and keep current its series
and class (contract) information. For example, a filer would be required
to update its information via the Series and Classes (Contracts)
Information page for series and class (contract) name changes or
deactivation (if a series is never offered or no longer makes filings
because of merger, liquidation or other means of elimination or if the
S/C Fund has merged out of existence or deregistered). This capability
is provided in see Section 5.4.1.4.3, Add Class (Contract) Page, and
Section 5.4.1.4.4, Edit Series Page.

![](media/image66.png){width="5.649305555555555in"
height="3.098611111111111in"}

Figure 5‑69: Add Series Page, Initial

**Note:** "\*" indicates a required field.

Click on the \[OK\] button to add the new series to your Series and
Class Information page. Note! On subsequent Series, the "Use Company
Name as Series Name" and the "Use Series Name as Class (Contract) Name"
check boxes will not be available.

Multiple classes may be entered from the Add Series page via the \[Add
Another Class (Contract)\] button. Each time that the \[Add Another
Class (Contract)\] button is clicked, an auxiliary set of data entry
fields for a class is added to the Add Series page, below any existing
data entry fields. (See Figure 5-70: Add Series Page, Multiple Classes,
for an example with one additional set of data entry fields, i.e., after
the \[Add Another Class (Contract)\] button was clicked once.) If you
wish to delete one of the auxiliary sets of data entry fields for a
class, click the radio button to the left of the appropriate set of data
entry fields, then click the \[Delete Selected Class (Contract)\]
button.

When the \[OK\] button is clicked, all of the classes with a non-blank
Class (Contract) Name are processed.

![](media/image67.png){width="5.488194444444445in"
height="3.5701388888888888in"}

Figure 5‑70: Add Series Page, Multiple Classes

**Note:** "\*" indicates a required field.

When the \[OK\] button is clicked, the following data is validated
before you are returned to the Information page:

-   Series Name and at least the Default Class (Contract) Name must be
    entered

-   Series Name cannot be used for more than one series of the Company

-   Class (Contract) Name cannot be used for more than one class of the
    Series

-   Ticker Symbol cannot be a duplicate for the Company

If the entered data is valid, you are returned to the Series and Classes
(Contracts) Information Page with the entered data displayed. If the
entered data is not valid, you will have the opportunity to change the
data or cancel the function.

##### Add Class (Contract) Page

The Add Class (Contract) page appears when a series is selected and the
\[Add Class (Contract)\] button is clicked on the Series and Classes
(Contracts) Information page.

The Add Class (Contract) page is used to add additional Classes
(Contracts) to the selected Series. Figure 5-71: Add Class (Contract)
Page, Initial, shows the Add Class (Contract) page.

The class for a series without separate classes will have the same name
as the fund itself. This is the only case where the class name should
default to the series name.

![](media/image68.png){width="5.573611111111111in"
height="2.8222222222222224in"}

Figure 5‑71: Add Class (Contract) Page, Initial

**Note:** "\*" indicates a required field.

To add a Class (Contract):

1.  Enter the Class (Contract) Name

2.  If you have one, enter the Ticker Symbol for the Class

3.  Click on the \[OK\] button to add the new class to the selected
    series.

Multiple classes may be entered from the Add Class (Contract) page via
the \[Add Another Class (Contract)\] button. Each time that the \[Add
Another Class (Contract)\] button is clicked, an auxiliary set of data
entry fields for a class is added to the Add Class (Contract) page,
below any existing data entry fields. (See Figure 5-72: Add Class
(Contract) Page, Multiple Classes, for an example with one additional
set of data entry fields, i.e., after the \[Add Another Class
(Contract)\] button was clicked once.) If you wish to delete one of the
auxiliary sets of data entry fields for a class, click the radio button
to the left of the appropriate set of data entry fields, then click the
\[Delete Selected Class (Contract)\] button.

When the \[OK\] button is clicked, all of the classes with a non-blank
Class (Contract) Name are processed.

![](media/image69.png){width="5.488194444444445in"
height="3.220833333333333in"}

Figure 5‑72: Add Class (Contract) Page, Multiple Classes

**Note:** "\*" indicates a required field.

When the \[OK\] button is clicked, the following data is validated:

-   Class (Contract) Name must be entered

-   Class (Contract) Name cannot be used for more than one class of the
    Series

-   Ticker Symbol cannot be a duplicate for the Company

If the entered data is valid, then you are returned to the Series and
Classes (Contracts) Information page with the entered data displayed. If
the entered data is not valid, you will have the opportunity to change
the data or cancel the function.

##### Edit Series Page

The Edit Series page appears when a series is selected and the
\[Modify\] button is clicked on the Series and Classes (Contracts)
Information page. The page is shown in Figure 5-73: Edit Series Page.

You will use the page to change a Series Name and/or its status. Note
that if the selected series does not have a Series Identifier already
assigned, the Series Status radio buttons are not displayed.

![](media/image70.png){width="5.559027777777778in"
height="2.0277777777777777in"}

Figure 5‑73: Edit Series Page

**Note:** "\*" indicates a required field.

To Edit the Series information:

1.  Edit the Series Name as necessary

2.  If displayed, click on the appropriate Series Status selection
    indicator

3.  When the entry is complete, click on the \[OK\] button.

**Note:** If the Series Status is changed from Inactive to Active, the
status of all Classes (Contracts) for the Series will also be set to
Active.

**Note:** If the Series Status is changed from Active to Inactive, the
status of all Classes (Contracts) for the Series will also be set to
Inactive. If a Class (Contract) for the Inactivated Series does not have
a Class (Contract) Identifier, it will be deleted. In addition, any
changes to the Series Name and any previous changes to Class (Contract)
Name and Ticker Symbol of the Series in this session will revert to
values assigned prior to the current session. These values will be
listed on the Series and Classes (Contracts) Information page.

When the \[OK\] button is clicked, the following data is validated:

-   Series Name must be entered

-   Series Name cannot be used for more than one series of the Company

If the data is correct, you are returned to the Series and Classes
(Contracts) Information page and the updated data is displayed. If the
data is not valid, you will have the opportunity to change the data or
cancel the function.

##### Edit Class (Contract) Page

The Edit Class (Contract) page appears when a class (contract) is
selected and the \[Modify\] button is clicked on the Series and Classes
(Contracts) Information page.

The Edit Class (Contract) page is used to change a Class (Contract)
Name, Ticker Symbol, and/or the Class (Contract) status. Figure 5-74:
Edit Class (Contract) Page, shows the page, as it will appear when a
Series Identifier and a Class (Contract) Identifier have already been
assigned. Note that if the Class (Contract) Identifier has not already
been assigned, the Class (Contract) Status radio buttons will not be
displayed.

![](media/image71.png){width="5.563888888888889in" height="2.5375in"}

Figure 5‑74: Edit Class (Contract) Page

**Note:** "\*" indicates a required field.

To Edit the Class (Contract) information:

1.  Edit the Class (Contract) Name as necessary

2.  Edit the Ticker Symbol as necessary

3.  If displayed, click on the appropriate Class (Contract) Status
    selection symbol

4.  Click on the \[OK\] button.

If the Class (Contract) is the only one for an Active Series, then its
status cannot be changed to Inactive because an Active Series must have
at least one Active Class (Contract). If you change the series status to
Inactive then the class status will automatically be changed to
Inactive.

If the Class (Contract) is not the only remaining class for an Active
Series and the Class (Contract) Status is changed from Active to
Inactive, any previous changes to Class (Contract) Name and Ticker
Symbol in this session will be reverted to original values.

When the \[OK\] button is clicked, the following data is validated:

-   Class (Contract) Name must be filled in

-   Class (Contract) Name cannot be used for more than one class of the
    Series

-   Class Ticker Symbol cannot be a duplicate for the Company

If the data is correct, you are returned to the Series and Classes
(Contracts) Information page with the updated data displayed. If the
data is not valid you will have the opportunity to change the data or
cancel the function.

##### Series and Classes (Contracts) Information Edit Confirmation Page

The Series and Classes (Contracts) Information Edit Confirmation page is
displayed when you click on the \[Verify/Submit Changes\] button on the
Series and Classes (Contracts) Information page.

Figure 5-75: Series and Classes (Contracts) Information Edit
Confirmation Page, shows the page as it appears after all additions and
changes to your series and class (contract) data have been validated but
prior to transmission to EDGAR. This gives you a final chance to review
your series and class (contract) data. Use this page to review and
confirm all changes you made. Click on the \[Continue Edit\] button to
continue making additional changes. We recommend that you create a
printed copy of your series and class (contract) data to keep for your
records. Click the \[Print\] button to print this page. After your
successful review, click the \[Confirm/Submit Changes\] button to
transmit the information to EDGAR.

![](media/image72.png){width="5.7659722222222225in"
height="3.9520833333333334in"}

Figure 5‑75: Series and Classes (Contracts) Information Edit
Confirmation Page

The successful transfer of the data to EDGAR will be shown on the Series
and Classes (Contracts) Information Edit Result page as shown in Figure
5-76: Series and Classes (Contracts) Information Edit Result Page. This
confirms that EDGAR has received your updated series and class
(contract) information. EDGAR will deliver a notification of this change
to your e-mail address on file. Click the \[Close Window\] button to
close the window.

![](media/image73.png){width="5.759722222222222in"
height="1.7055555555555555in"}

Figure 5‑76: Series and Classes (Contracts) Information Edit Result Page

If you click on the \[Verify/Submit Changes\] button on the Series and
Classes (Contracts) Information page and make no changes, the page shown
in Figure 5-77: Series and Classes (Contracts) Information Edit
Confirmation Page -- No Changes, will be displayed stating, "No changes
have been detected." You will see a button to return to the Series and
Classes (Contracts) Information page.

![](media/image74.png){width="5.65625in" height="1.8777777777777778in"}

Figure 5‑77: Series and Classes (Contracts) Information Edit
Confirmation Page -- No Changes

##### Series and Class Notification

Figure 5-78: Series and Class Notification, New Items and Figure 5-79:
Series and Class Notification, Modified Items, show samples of the
notifications resulting from series and class activities. Figure 5-78 is
for the addition of new series and classes; Figure 5-79 is for the
modification of existing series and class data.

As with acceptance/suspense messages you receive for filings, EDGAR will
deliver these notifications to your e-mail address on file (you may also
view this notification using the [Retrieve Submission
Information]{.underline} option on the Retrieve/Edit Company and
Submission Data page shown in Figure 5-58: Retrieve/Edit Data Page, and
described in Section 5.2, Accessing Submission and Company Information).
Note that the form type of the Series and Classes (Contracts) update
transmission is SCUPDAT. Each notification provides a summary of the
"changes," including Series and Class (Contract) Identifiers for newly
entered items.

+-----------------------------------------------------------------------+
| Series and Class Notification, New Items                              |
+-----------------------------------------------------------------------+
| THE FOLLOWING SUBMISSION HAS BEEN ACCEPTED BY THE U.S. SECURITIES AND |
| EXCHANGE                                                              |
|                                                                       |
| COMMISSION.                                                           |
|                                                                       |
| COMPANY: BIG FUND TRUST CO                                            |
|                                                                       |
| FORM TYPE: SCUPDAT NUMBER OF DOCUMENTS: 1                             |
|                                                                       |
| RECEIVED DATE: 13-Sep-2004 09:45 ACCEPTED DATE: 13-Sep-2004 09:45     |
|                                                                       |
| TEST FILING: NO CONFIRMING COPY: NO                                   |
|                                                                       |
| ACCESSION NUMBER: 0000350001-04-017579                                |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| THE PASSWORD FOR LOGIN CIK 0000350001 WILL EXPIRE 01-Apr-2005 15:15.  |
|                                                                       |
| PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE          |
| INQUIRIES.                                                            |
|                                                                       |
| REGISTRANT(S):                                                        |
|                                                                       |
| 1\. CIK: 0000350001                                                   |
|                                                                       |
| COMPANY: BIG FUND TRUST CO                                            |
|                                                                       |
| FORM TYPE: SCUPDAT                                                    |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| CHANGE IN INVESTMENT COMPANY TYPE:                                    |
|                                                                       |
| OLD TYPE: Corporation                                                 |
|                                                                       |
| NEW TYPE: Mutual Fund                                                 |
|                                                                       |
| SUMMARY OF CHANGES:                                                   |
|                                                                       |
| CREATED THESE SERIES AND CLASSES (CONTRACTS):                         |
|                                                                       |
| 1\. SERIES ID: S000002112                                             |
|                                                                       |
| SERIES NAME: Series 1                                                 |
|                                                                       |
| CLASSES (CONTRACTS):                                                  |
|                                                                       |
| 1\. CLASS (CONTRACT) ID: C000000309                                   |
|                                                                       |
| CLASS (CONTRACT) NAME: Class A                                        |
|                                                                       |
| TICKER SYMBOL: BFTCA                                                  |
|                                                                       |
| 2\. CLASS (CONTRACT) ID: C000000310                                   |
|                                                                       |
| CLASS (CONTRACT) NAME: Class B                                        |
|                                                                       |
| TICKER SYMBOL: BFTCB                                                  |
|                                                                       |
| 2\. SERIES ID: S000002113                                             |
|                                                                       |
| SERIES NAME: Series 2                                                 |
|                                                                       |
| CLASSES (CONTRACTS):                                                  |
|                                                                       |
| 1\. CLASS (CONTRACT) ID: C000000311                                   |
|                                                                       |
| CLASS (CONTRACT) NAME: Class A                                        |
|                                                                       |
| TICKER SYMBOL: NO_VALUE                                               |
|                                                                       |
| 2\. CLASS (CONTRACT) ID: C000000312                                   |
|                                                                       |
| CLASS (CONTRACT) NAME: Class AA                                       |
|                                                                       |
| TICKER SYMBOL: NO_VALUE                                               |
|                                                                       |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- NOTICE  |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--     |
|                                                                       |
| URGENT: Verify that all of your addresses on the EDGAR database are   |
|                                                                       |
| correct. An incorrect address in the EDGAR Accounting Contact Name    |
|                                                                       |
| and Address information may result in your fee Account Activity       |
|                                                                       |
| Statement being returned to the SEC as undeliverable. Please correct  |
|                                                                       |
| outdated addresses via the EDGAR filing website.                      |
|                                                                       |
| The EDGAR system is available to receive and process filings from     |
|                                                                       |
| 6:00 a.m. to 10:00 p.m. Eastern Time on business days. Filer Support  |
|                                                                       |
| staff members are available to respond to requests for assistance     |
| from                                                                  |
|                                                                       |
| 7:00 a.m. to 7:00 p.m. Eastern Time.                                  |
|                                                                       |
| We strongly encourage you to visit the Filing Website at              |
|                                                                       |
| https://www.edgarfiling.sec.gov. You can download our current version |
|                                                                       |
| of the EDGARLink/Windows software and templates, the Filer Manual,    |
|                                                                       |
| receive on-line help, and access Frequently Asked Questions.          |
+-----------------------------------------------------------------------+

Figure 5‑78: Series and Class Notification, New Items

+-----------------------------------------------------------------------+
| Series and Class Notification, Modified Items                         |
+-----------------------------------------------------------------------+
| THE FOLLOWING SUBMISSION HAS BEEN ACCEPTED BY THE U.S. SECURITIES AND |
| EXCHANGE                                                              |
|                                                                       |
| COMMISSION.                                                           |
|                                                                       |
| COMPANY: BIG FUND TRUST CO                                            |
|                                                                       |
| FORM TYPE: SCUPDAT NUMBER OF DOCUMENTS: 1                             |
|                                                                       |
| RECEIVED DATE: 13-Sep-2004 09:56 ACCEPTED DATE: 13-Sep-2004 09:56     |
|                                                                       |
| TEST FILING: NO CONFIRMING COPY: NO                                   |
|                                                                       |
| ACCESSION NUMBER: 0000350001-04-017580                                |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| THE PASSWORD FOR LOGIN CIK 0000350001 WILL EXPIRE 01-Apr-2005 15:15.  |
|                                                                       |
| PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE          |
| INQUIRIES.                                                            |
|                                                                       |
| REGISTRANT(S):                                                        |
|                                                                       |
| 1\. CIK: 0000350001                                                   |
|                                                                       |
| COMPANY: BIG FUND TRUST CO                                            |
|                                                                       |
| FORM TYPE: SCUPDAT                                                    |
|                                                                       |
| FILE NUMBER(S):                                                       |
|                                                                       |
| 1\. None.                                                             |
|                                                                       |
| SUMMARY OF CHANGES:                                                   |
|                                                                       |
| CREATED THESE SERIES AND CLASSES (CONTRACTS):                         |
|                                                                       |
| 1\. SERIES ID: S000002114                                             |
|                                                                       |
| SERIES NAME: Series 3                                                 |
|                                                                       |
| CLASSES (CONTRACTS):                                                  |
|                                                                       |
| 1\. CLASS (CONTRACT) ID: C000000313                                   |
|                                                                       |
| CLASS (CONTRACT) NAME: Class A                                        |
|                                                                       |
| TICKER SYMBOL: BFTCZ                                                  |
|                                                                       |
| MODIFIED THESE CLASSES (CONTRACTS):                                   |
|                                                                       |
| 1\. CLASS (CONTRACT) ID: C000000312                                   |
|                                                                       |
| OLD NAME: Class AA                                                    |
|                                                                       |
| NEW NAME: Class B                                                     |
|                                                                       |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- NOTICE  |
| \-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--     |
|                                                                       |
| URGENT: Verify that all of your addresses on the EDGAR database are   |
|                                                                       |
| correct. An incorrect address in the EDGAR Accounting Contact Name    |
|                                                                       |
| and Address information may result in your fee Account Activity       |
|                                                                       |
| Statement being returned to the SEC as undeliverable. Please correct  |
|                                                                       |
| outdated addresses via the EDGAR filing website.                      |
|                                                                       |
| The EDGAR system is available to receive and process filings from     |
|                                                                       |
| 6:00 a.m. to 10:00 p.m. Eastern Time on business days. Filer Support  |
|                                                                       |
| staff members are available to respond to requests for assistance     |
| from                                                                  |
|                                                                       |
| 7:00 a.m. to 7:00 p.m. Eastern Time.                                  |
|                                                                       |
| We strongly encourage you to visit the Filing Website at              |
|                                                                       |
| https://www.edgarfiling.sec.gov. You can download our current version |
|                                                                       |
| of the EDGARLink/Windows software and templates, the Filer Manual,    |
|                                                                       |
| receive on-line help, and access Frequently Asked Questions.          |
+-----------------------------------------------------------------------+

Figure 5‑79: Series and Class Notification, Modified Items

## Logging in with a Different CIK

As you navigate through the Submission and Company Information page, the
information you retrieve is limited to your login CIK. If you have more
than one CIK you can change to an alternative CIK:

1.  From the Retrieve/Edit Company and Submission Data page, Figure
    5-59, click on [Enter Another CIK/CCC]{.underline}. The
    Retrieve/Edit Data login page appears, Figure 5-58.

2.  Enter your CIK and CCC and click on the \[Continue\] button.

You can then access or edit all information associated with that CIK.

# INTRODUCTION TO FILING ON EDGAR 

## Filing Preparation and Submission

After you have completed your application to submit filings on EDGAR,
you will be ready for the filing process. The SEC provides a number of
tools to help you with this process. The method you use to submit your
filing will depend on the form type you need to submit. The tools and
detailed instructions for their use are covered in Volume II of this
manual. General information about the tools and transmission methods is
outlined in the following section. This information is intended as an
introduction. Please refer to EDGAR Filer Manual Volume II before you
submit a filing.

The EDGAR Filing Websites only work with the two industry standard web
browsers. We recommend you use Internet Explorer version 5.0 or later.
You can also use Netscape version 7.0 or later, but certain help
functions may be limited with this browser. The use of browsers is
discussed in Section 2.3, Introduction to Web Browsers.

**Note:** The EDGAR Filing Website is [not]{.underline} compatible with
Netscape version 6.0.

Once you have completed your registration as a filer on the EDGAR system
and have obtained your access codes, to submit EDGAR filing you must:

-   Obtain EDGAR-compatible hardware (computer equipment) and software,
    see Section 2.5, EDGAR Hardware and Software Requirements.

-   Secure an ISP for access to the Internet, or configure your Windows
    OS and modem for direct dial (PPP).

-   Properly prepare and maintain documents and software, see EDGAR
    Filer Manual Volume II.

Depending on the filing preparation and transmission mechanism specified
for your submission type, you might also have to do the following:

-   Download EDGARLink software and EDGARLink templates; see EDGAR Filer
    Manual Volume II.

-   Install EDGARLink software on your PC; see EDGAR Filer Manual Volume
    II.

## EDGARLink Forms

### Creating an EDGARLink Filing

EDGARLink allows you to prepare and transmit a number of submissions
types. (See Volume II of this manual for details as to which specific
submissions types.) The main content of these submissions consists of
attached documents one of which is the form itself. Usually the filer
creates these documents first and then "builds" the submission through
the tool.

When you compile your submission using EDGARLink, you will use the
Template Viewer, a Windows application that is based on templates. Most
templates contain a large number of submission types. Volume II has an
index of submission types that will help you to determine which template
to use. These templates are what help you create and merge the different
parts of your submission. You can download these templates from the
EDGAR Filing Website to your PC and work with them without being
connected to the Internet or to EDGAR. These templates have fields where
you enter information, such as submission type, CIK, CCC, SROS,
document/module/segment file names, and e-mail addresses. There are a
number of templates based on the type of submission. Before transmitting
your submission, you should error-check it with EDGARLink and save it to
your PC hard drive. Once you enter all of the information needed and
attach your documents, it is ready for transmission to EDGAR. Filings
created using EDGARLink templates are usually submitted using the EDGAR
Filing Website.

### Transmitting an EDGARLink Filing

Use the EDGAR Filing Website to submit EDGARLink Filings. It is like
many other websites that you now visit, and uses the same browser-based
application software and transmission methods as those other sites. If
you can communicate with other websites, then you will probably be able
to reach EDGAR with little or no changes to your hardware or software
configurations. You can reach this website by using the EDGAR Filing
Website:
[*https://www.edgarfiling.sec.gov*](https://www.edgarfiling.sec.gov/) or
you can use the EDGAR Gateway at:
*[http://www.portal.edgarfiling.sec.gov](http://www.portal.edgarfiling.sec.gov/).*

**Note:** Please remember to enter **https**. You will not be able to
access the EDGAR Filing Website without the \"**s**\" designation.

We require that your browser supports Java script and we recommend that
you accept browser "cookies" when accessing this website. The EDGAR
website software contains functions that allow us to remind you if you
need to update your software depending upon the last time you visited
the EDGAR Filing Website. This information is recorded in your browser
cookies.

It is your decision as to the best means to access the Internet. EDGAR
accepts transmissions from any Internet source, so you can decide which
Internet Service Provider (ISP) best suits your needs.

### Additional Filing Transmission Methods for EDGARLink Filings 

Most filers will use the EDGAR Filing Website to submit their filings.
You may also connect to the Filer Website using direct dial
telecommunications lines via your modem. In using any of the
Windows-based operating systems, this is commonly referred to as direct
dial networking. You will setup Windows to use direct dial networking
using a Point-to-Point Protocol (PPP) application. You will also be
asked to provide a telephone number. To direct dial EDGAR, use
703-914-7140 as the telephone number. All EDGAR modems associated with
this telephone number are configured to accept direct dial
transmissions. When you use the direct dial option, your access is
restricted to EDGAR Filing Website links only.

The third option is to connect using a Leased Line. This method is
commonly used by bulk filers, and arrangements must be made to set up
each user. Refer to EDGAR Filer Manual Volume II, EDGAR Filing.

## Online XML Forms

### Creating an Online XML Form

The OnlineForms/XML Website is no different than most other websites
that you now visit. It uses the same browser-based application software
and transmission methods as the other sites and you probably will be
able to submit filings to EDGAR from the website with little or no
changes in your hardware or software configurations. You can access the
OnlineForms/XML Website at:
[*https://www.onlineforms.edgarfiling.sec.gov*](https://www.onlineforms.edgarfiling.sec.gov/).

**Note:** Please remember to enter **https**. You will not be able to
access the OnlineForms/XML Website without the \"**s**\" designation.

We require that your browser supports Java script.

This website was established in order to make it easier for filers and
their agents to submit ownership and other required electronic filings.
The XML Forms website software will use the filer-provided information
to prepare an XML tagged ownership primary document that can be verified
and printed by the filer and then transmitted to EDGAR for processing.
Once EDGAR has accepted the submission it will disseminate the header in
tagged Standard General Markup Language (SGML) and the primary document
in tagged XML.

**Note**: You may only create and submit one Form submission at a time.
If you are filing on behalf of a company\'s officers and directors you
must create a separate form for EACH officer and director.

#### OnlineForms/XML Data Gathering Model

All online submissions will follow the same basic model. The
OnlineForms/XML Website will:

-   Allow you to choose the type of submission to prepare, i.e. Assemble
    Ownership Submission.

-   Allow you to select the specific ownership form type that you want
    to assemble and submit to the SEC, i.e. Form 3, Form 4, Form 5.

-   Allow you to provide general submission information, i.e. contact
    name, phone number, e-mail address, and Return Copy information.

-   Allow you to provide additional e-mail addresses to receive Filer
    Notification messages.

-   Allow you to provide all of the necessary information required by
    the SEC rules on an appropriate data gathering form.

-   Allow you to provide your signature and signature date.

-   Allow you to verify the information on the form.

-   Allow you to edit reporting owner address on the form where
    necessary.

-   Allow you to upload attachments, i.e. cover letters, exhibits, or
    correspondence.

-   Allow you to review and confirm your information in the context of
    the form you are filing and then print the submission for your
    records.

-   Allow you to transmit the reviewed submission to EDGAR for
    processing.

The following are important notes to consider when preparing a
submission using the OnlineForms/XML Website:

-   There is no capability to save work in progress so it is important
    for you to have all of the information necessary to complete the
    form before you begin to assemble your submission online.

-   You can exit the window at any time to discard your work in progress
    and start over.

-   **All filings that you prepare and submit online are considered to
    be live EDGAR submissions**. Once you transmit an online prepared
    submission it will be automatically processed by EDGAR; and, if
    accepted by EDGAR, immediately disseminated to the public.

-   The maximum size of your submission must not exceed 100 MB.

### Transmitting an Online XML Form

Unlike other form types, when you create an Online Form, the preparation
and transmission processes flow together in a single browser session.
Since you cannot save your online submissions, you must transmit them
immediately after their preparation. The software will guide you through
the process. When you are certain that the data you have entered is
correct, then use the \[Transmit Submission\] button to send in your
submission.

## Filer-Constructed Technical Filing Specifications 

The SEC recognizes that there are cases when filers will want to prepare
their own submissions without the use of the software developed by the
SEC. There are companies that develop value added software for the
preparation and submission of EDGAR filings. Many times a subsection of
the filing community will find this software desirable and the programs
may include capabilities beyond that of the SEC provided software. Some
filers may also want to develop their own interface to larger computer
systems that will deliver tagged form output ready for submission. Other
filers may want to develop their own tagged output without the aid of
computer programs or interfaces. We call all of these types of filings
"Filer-Constructed". (Please note that previously these filings were
referred to as "reduced content" filings. Since their content is
actually the same as filings produced by any of the EDGAR Filer software
programs, we are updating the name used to refer to these filings to
Filer-Constructed.)

To facilitate this type of filing content development, we publish
technical specifications. This allows companies to create software or
form output compatible with the EDGAR system. The SEC does not provide
support services for this type of development, but will keep the
technical documentation up-to-date to coincide with EDGAR releases. We
recognize that we cannot always provide the amount of lead time that
development firms would like to create or modify their software, but we
will publish these technical specifications as soon as possible in a
draft format.

PLEASE NOTE: Draft EDGAR Technical Specifications posted before
Commission approval of potential regulatory changes in a release are
provided as a service to our filing community to assist filers, agents,
and software developers in preparing for potential changes the staff
anticipates. Since this is a draft specification, the SEC retains the
right to change any part of the specification before the release is made
final. The changes outlined in the technical specifications will note
the date that these changes, if regulatory changes are approved, are
scheduled to take effect. The schedule is subject to change. The final
version of the technical specification will be made available on or
about the release date on the SEC\'s public website.

Because of their limited audience, these documents are produced
separately from the EDGAR Filer Manual. Also, the production schedule
may not follow that of the Filer Manual. Most filers will not use these
documents. Only those companies with technical skill sets and
understanding needed to produce software that creates submissions or
Filer-Constructed documents should utilize these manuals.

### XFDL Technical Specification

EDGARLink filings are produced in a format called Extensible Forms
Description Language (XFDL). The XFDL Technical Specification is a
single document that defines the structure of all form types that are
produced by EDGARLink. Since XFDL is a tagged format, the document
includes a description of all of the tags and the allowable content and
format of the data elements. It also includes the specification for
including additional document content, which for this form type includes
the form itself. Attached documents must be MIMEd and must be surrounded
by tags that define the content as an attached document.

### XML Form Type Technical Specification

Online filings are produced in XML format. The XML Technical
Specification is comprised of a number of documents, each specifying the
format for a specific submission type or a small group of related
submission types. For example, the document describing Section 16 Forms
is called the Section 16 Forms XML Technical Specification. Form types
that are XML formatted include the content of the paper form within the
main, primary document. Thus a Technical Specification for one form type
is considerably larger than that of an XFDL form, which would include
header information only. Also, many companies may produce a single or
limited number of forms in this format. In this case, delivering all of
the forms in a single document might make the information for a single
form type more difficult to find. Packaging the Technical Specifications
for all XML form types in a single document would produce an extremely
large document that would take considerable time to download and would
be difficult to use. Thus we feel separate form packaging is desirable.

Since XML is a tagged format, the document includes a description of all
of the tags and the allowable content and format of the data elements.
In this type of submission, the form type is made up of XML content. The
technical specification reflects this aspect and describes all of the
form content in a tagged structure. The technical specification also
includes the details on how to include additional document content such
as cover letters and correspondence. Attached documents must be MIMed
and must be surrounded by tags that define the content as an attached
document.

### Transmitting XFDL and XML Form Types

After you prepare your Filer-Constructed submissions, you can submit
them using the website pages for transmitting filings. XFDL
Filer-Constructed filings can only be transmitted using the EDGAR Filing
Website (https://www.edgarfiling.sec.gov). XML Filer-Constructed filings
can only be submitted using the OnlineForms/XML Website
(https://www.onlineforms.edgarfiling.sec.gov). Directions on the website
guide you to select the file to be transmitted using the standard
Microsoft browse function. If you have a third party application that
uses low-level HTTPs software to transmit filings, you will need to
***have your EDGAR interface integrity inspected often*.** The SEC
cannot guarantee that EDGAR website pages will remain constant;
therefore, developers of these applications must be prepared to update
this interface whenever a new EDGAR release is installed.

######### Glossary of Commonly Used Terms, Acronyms, and Abbreviations

+------------------+---------------------------------------------------+
| **ACCEPTANCE     | Notification from the SEC that an electronic      |
| MESSAGE**        | submission has met the minimum filing             |
|                  | requirements and been accepted by EDGAR. If the   |
|                  | submitter or filer has an Internet electronic     |
|                  | mail (e-mail) address, the acceptance messages    |
|                  | are sent by e-mail to that account. Acceptance    |
|                  | messages are also sent to all Internet e-mail     |
|                  | addresses on the Notification page.               |
+------------------+---------------------------------------------------+
| **ACCEPTANCE     | Procedural checks performed by EDGAR to determine |
| REVIEW**         | whether a filing meets certain minimum filing     |
|                  | requirements. The requirements may relate to the  |
|                  | composition and completeness of the submission    |
|                  | package, as well as to the particular type of     |
|                  | filing being made.                                |
+------------------+---------------------------------------------------+
| **ACCEPTED**     | The term that describes a filing that has         |
|                  | successfully passed acceptance review.            |
+------------------+---------------------------------------------------+
| **ACCESSION      | A unique number generated by the EDGAR system for |
| NUMBER**         | each electronic submission. Accession numbers are |
|                  | reported to submitters and filers in the          |
|                  | acceptance and suspense messages. Assignment of   |
|                  | an accession number does not mean that EDGAR has  |
|                  | accepted your submission.                         |
+------------------+---------------------------------------------------+
| **ASCII**        | American Standard Code for Information            |
|                  | Interchange. The ASCII character code must be     |
|                  | used for asynchronous transmissions.              |
+------------------+---------------------------------------------------+
| **ASCII/SGML**   | This is our term for SGML documents in ASCII      |
|                  | format that differ from the HTML document format  |
|                  | that EDGAR also supports.                         |
+------------------+---------------------------------------------------+
| **ASYNCHRONOUS** | A method of data transmission.                    |
+------------------+---------------------------------------------------+
| **BROWSER**      | Commercially available software used in viewing   |
|                  | on the Internet. The most popular versions are    |
|                  | Netscape and Internet Explorer.                   |
+------------------+---------------------------------------------------+
| **CCC**          | CIK Confirmation Code.                            |
+------------------+---------------------------------------------------+
| **CENTRAL INDEX  | A unique number assigned by the SEC,              |
| KEY (CIK)**      | distinguishing the company or individual to which |
|                  | it is assigned. Used by EDGAR to identify either  |
|                  | a submitter (LOGIN CIK) or filer.                 |
+------------------+---------------------------------------------------+
| **CIK**          | Central Index Key                                 |
+------------------+---------------------------------------------------+
| **CIK            | An eight-character code that EDGAR uses in        |
| CONFIRMATION     | conjunction with the CIK to authenticate a filer. |
| CODE (CCC)**     |                                                   |
+------------------+---------------------------------------------------+
| **CONFIDENTIAL** | Refers to portions of documents omitted from      |
|                  | public filings pursuant to SEC rules (e.g., Rule  |
|                  | 406 under 1933 Act).                              |
+------------------+---------------------------------------------------+
| **CONFIRMING     | An electronic copy of a paper filing. The paper   |
| COPY**           | filing is considered to be the official copy and  |
|                  | the confirming copy is an electronic duplicate.   |
+------------------+---------------------------------------------------+
| **COOKIE**       | A unique string of letters and numbers that the   |
|                  | web server stores in a file on your hard drive.   |
|                  | This method is used by web designers to track     |
|                  | visitors to a website so the visitors do not have |
|                  | to enter the same information every time they     |
|                  | visit a new page or revisit the site.             |
+------------------+---------------------------------------------------+
| **CORRESPONDENCE | A submission type EDGAR participants may use to   |
| SUBMISSION**     | submit non-public information, generally          |
|                  | correspondence, to the SEC staff that is not      |
|                  | disseminated immediately. The SEC staff may       |
|                  | release all or portions of these documents        |
|                  | electronically if they relate to the staff's      |
|                  | review process. See SEC Press Release 2004-89,    |
|                  | "SEC Staff to Publicly Release Comment Letters    |
|                  | and Responses."                                   |
+------------------+---------------------------------------------------+
| **DATA FIELD**   | An element in a submission template.              |
+------------------+---------------------------------------------------+
| **DATA TAG**     | An identifier that labels specific information    |
|                  | submitted to EDGAR. Data fields are created by    |
|                  | placing angle brackets on either side of a term.  |
|                  | An end data field is distinguishable from a begin |
|                  | data field by the \"/\" (virgule/slash)           |
|                  | immediately following the opening angle bracket   |
|                  | (\<). For example, the beginning and end of a     |
|                  | table would be signified by \<TABLE\> and         |
|                  | \</TABLE\>, respectively.                         |
+------------------+---------------------------------------------------+
| **DIRECT         | An electronic submission sent via a modem and     |
| TRANSMISSION**   | dial-up telephone or leased line or Internet.     |
+------------------+---------------------------------------------------+
| **DOCUMENT**     | Document is a generic term for the various forms, |
|                  | reports, schedules, exhibits, items of            |
|                  | correspondence, etc., that comprise filings and   |
|                  | other submissions. An electronic document         |
|                  | originating with a filer or agent can only be     |
|                  | sent as part of a submission. A document is a     |
|                  | discrete unit of text. One or more documents      |
|                  | comprise an electronic submission. Examples of    |
|                  | documents include a 1933 Act registration         |
|                  | statement, a 1934 Act Form 10-Q, or a cover       |
|                  | letter. Each exhibit is a separate document       |
|                  | within a submission.                              |
+------------------+---------------------------------------------------+
| **DOCUMENT       | A header used within an EDGAR submission to       |
| HEADER**         | indicate, by the appropriate use of tags and tag  |
|                  | values, the document type, and if desired, the    |
|                  | description of the document. EDGARLink constructs |
|                  | document headers for each separate document       |
|                  | contained within a submission.                    |
+------------------+---------------------------------------------------+
| **DOCUMENT       | Submissions received may consist of more than one |
| TYPE**           | document. For example, a Form 10-K, an exhibit,   |
|                  | and a cover letter constitute three separate      |
|                  | documents in one submission. Each document must   |
|                  | begin with a document header. A Form 10-K         |
|                  | submission must contain at least one document,    |
|                  | which is the Form 10-K.                           |
+------------------+---------------------------------------------------+
| **EDGAR**        | The SEC\'s Electronic Data Gathering, Analysis,   |
|                  | and Retrieval system for electronic filing.       |
+------------------+---------------------------------------------------+
| **EDGARLink for  | Filer assistance, pre-validation, and             |
| Windows**        | communications software package provided to       |
|                  | registered EDGAR filers by the SEC. Designed for  |
|                  | use with MS Windows 98, 2000, NT, and XP.         |
|                  | Referred to as EDGARLink.                         |
+------------------+---------------------------------------------------+
| **ELECTRONIC     | A person or entity whose required filings must be |
| FILER**          | submitted electronically.                         |
+------------------+---------------------------------------------------+
| **ELECTRONIC     | A document or series of documents submitted in    |
| FILING**         | electronic format, at least one of which is       |
|                  | required to be filed with the SEC pursuant to the |
|                  | federal securities laws.                          |
+------------------+---------------------------------------------------+
| **ELECTRONIC     | A form type header and all associated documents   |
| SUBMISSION**     | representing one or more filings that are         |
|                  | transmitted to the Commission in electronic       |
|                  | format. An electronic submission may also contain |
|                  | correspondence material and modules or segments.  |
|                  | The maximum size of your submission must not      |
|                  | exceed 100 MB.                                    |
+------------------+---------------------------------------------------+
| **E-MAIL**       | A regulated electronic mail service in EDGAR that |
|                  | provides for the delivery of acceptance and       |
|                  | suspense messages from the SEC via the Internet.  |
|                  |                                                   |
|                  | **Note:** EDGAR does not e-mail requested Return  |
|                  | Copies. You can download them from the EDGAR      |
|                  | Filing Website; see Volume II, EDGAR Filing.      |
+------------------+---------------------------------------------------+
| **ENTITY**       | A person or company that registers on the EDGAR   |
|                  | system for the purposes of electronic filing.     |
|                  | Each entity has its own Central Index Key. Some   |
|                  | legal entities may have more than one CIK if they |
|                  | serve in more than one filing role. For example,  |
|                  | if a filing agent also has an arm of the company  |
|                  | that does training and acts as a training agent.  |
+------------------+---------------------------------------------------+
| **FILE NUMBER**  | A number assigned by the SEC to registrations,    |
|                  | applications, and reports.                        |
+------------------+---------------------------------------------------+
| **FILER**        | A person or entity on whose behalf an electronic  |
|                  | filing is made.                                   |
+------------------+---------------------------------------------------+
| **FILING AGENT** | A financial printer, law firm, or other party     |
|                  | that will be sending filings on behalf of a       |
|                  | filer.                                            |
+------------------+---------------------------------------------------+
| **FILING TYPES** | A distinct type of submission that must be filed  |
|                  | pursuant to the federal securities laws (e.g.,    |
|                  | 1934 Act Form 10-K or a preliminary proxy         |
|                  | statement).                                       |
+------------------+---------------------------------------------------+
| **FORM ID**      | The electronic application used by new filing     |
|                  | entities to apply for access codes to file on     |
|                  | EDGAR, namely the CIK, Password, CCC, and PMAC.   |
|                  | The paper form is to be used as a reference when  |
|                  | applying for access codes to file on EDGAR or to  |
|                  | satisfy the SEC\'s authentication requirement.    |
+------------------+---------------------------------------------------+
| **FORM SE**      | A Form \"Separate Exhibit\" accompanies all       |
|                  | exhibits to electronic filings that are submitted |
|                  | in paper.                                         |
+------------------+---------------------------------------------------+
| **FORM TH**      | The form used to notify the Commission that the   |
|                  | filing is being made in paper pursuant to a       |
|                  | temporary hardship exemption, as specified by     |
|                  | Rule 201 of Regulation S-T.                       |
+------------------+---------------------------------------------------+
| **FORM TYPE**    | A distinct type of document that is required to   |
|                  | be filed pursuant to the federal securities laws, |
|                  | e.g., Form 10-K or S-1. Form types may have       |
|                  | several variants (e.g., an initial filing and an  |
|                  | amendment). For EDGAR, each variant is recognized |
|                  | by a specific name, referred to as a submission   |
|                  | type.                                             |
+------------------+---------------------------------------------------+
| **FTP**          | File Transfer Protocol.                           |
+------------------+---------------------------------------------------+
| **FWS**          | EDGAR Filing Website.                             |
+------------------+---------------------------------------------------+
| **GROUPED TAGS** | Tags (fields) that must appear together. The tags |
|                  | that must follow the lead tags are shown with the |
|                  | same number plus an alpha designation (e.g., 4,   |
|                  | 4a, etc.). When you use grouped tags, all of the  |
|                  | possible grouped tags may not apply to your       |
|                  | filing. You should only use applicable tags. See  |
|                  | Tag in this list of terms.                        |
|                  |                                                   |
|                  | **Note:** EDGARLink automatically groups and      |
|                  | places the XFDL tags in the submission together   |
|                  | as you fill in the submission template.           |
|                  | OnlineForms groups and places XML tags for both   |
|                  | the submission and the primary document.          |
+------------------+---------------------------------------------------+
| **HEADER**       | The basic information required to supplement each |
|                  | electronic submission and document submitted      |
|                  | through EDGAR. **Submission headers** provide     |
|                  | identifying information about the filing (e.g.,   |
|                  | the submission type of the principal document,    |
|                  | the identity of the electronic filer, and any fee |
|                  | data). **Document headers** identify each         |
|                  | document in an electronic submission.             |
|                  |                                                   |
|                  | **Note:** In EDGAR, XFDL tags are automatically   |
|                  | placed in the submission by using the submission  |
|                  | templates.                                        |
+------------------+---------------------------------------------------+
| **HTML**         | Hypertext Markup Language is a simple markup      |
|                  | language you can use to create documents that are |
|                  | portable from one platform to another. It         |
|                  | consists of tags that you use to describe data    |
|                  | elements within your submission.                  |
+------------------+---------------------------------------------------+
| **INTERNET**     | An electronic network of computers that transmits |
|                  | data. The SEC uses the Internet to provide access |
|                  | to its website and to transmit acceptance and     |
|                  | suspense notification messages.                   |
+------------------+---------------------------------------------------+
| **INTERNET       | Synonym for the e-mail address for filers with    |
| ADDRESS**        | Internet addresses.                               |
+------------------+---------------------------------------------------+
| **ISP**          | Internet Service Provider.                        |
+------------------+---------------------------------------------------+
| **LDAP**         | Lightweight Directory Access Protocol.            |
+------------------+---------------------------------------------------+
| **LEASED LINE**  | A private 56 kbps line into the SEC\'s Operations |
|                  | Center, allowing them to file XFDL Submissions    |
|                  | directly into EDGAR. (For more information, see   |
|                  | the Interface and Operational Specifications for  |
|                  | Leased Line Connections document.)                |
+------------------+---------------------------------------------------+
| **LOCKBOX**      | The term used to describe the arrangement with    |
|                  | the U.S. Treasury-designated depository to        |
|                  | collect and deposit checks, money orders, cash,   |
|                  | and wire transfers to an SEC account at the       |
|                  | depository.                                       |
+------------------+---------------------------------------------------+
| **MASTER         | In EDGAR, a segment, referred to as a subordinate |
| SEGMENT**        | segment, is a document (partial or whole) that is |
|                  | to be included into a submission once EDGAR has   |
|                  | processed it. The master segment is the final     |
|                  | submission you transmit to EDGAR that             |
|                  | incorporates all the previously submitted         |
|                  | subordinate segments.                             |
+------------------+---------------------------------------------------+
| **MODULAR        | In EDGAR, a modular submission is a document      |
| SUBMISSION**     | intended to be \"included,\" i.e., physically     |
|                  | incorporated, into another submission in a future |
|                  | submission. You can include modular submissions   |
|                  | in a filing by using special tags.                |
+------------------+---------------------------------------------------+
| **MODULE**       | A partial or complete document that is intended   |
|                  | to be included in an electronic submission.       |
|                  | Filers submit modules to EDGAR as module          |
|                  | documents in module submissions. Modules are      |
|                  | stored in a non-public data storage area of       |
|                  | EDGAR. Filers can incorporate them into multiple  |
|                  | subsequent submissions. Up to 10 modules may be   |
|                  | stored for a single CIK on EDGAR. Storage is      |
|                  | limited to a total of 1 megabyte per CIK, with a  |
|                  | maximum of 1 megabyte for a single module.        |
+------------------+---------------------------------------------------+
| **NESTED**       | Certain data fields that must appear together are |
|                  | \"nested\". In the tag example tables in Volume   |
|                  | II, EDGAR Filing, the lead fields are shown first |
|                  | in nested groupings. The fields that must follow  |
|                  | are shown with the same number plus an alpha      |
|                  | designation (e.g., 5, 5a, etc.) When you use      |
|                  | nested fields, not all of the possible nested     |
|                  | fields may apply to your situation. You should    |
|                  | only use the fields that apply. Certain nested    |
|                  | field sets also require an end field.             |
+------------------+---------------------------------------------------+
| **NON-PUBLIC**   | Information that is not immediately disseminated  |
|                  | publicly. Correspondence is non-public            |
|                  | information. However, the SEC staff may release   |
|                  | all or portions of these documents electronically |
|                  | if they relate to the staff's review process. See |
|                  | SEC Press Release 2004-89, "SEC Staff to Publicly |
|                  | Release Comment Letters and Responses."           |
+------------------+---------------------------------------------------+
| **N-SAR**        | Investment Management Semiannual Report.          |
+------------------+---------------------------------------------------+
| **PASSPHRASE**   | A security code used in conjunction with the CIK  |
|                  | to generate a set of EDGAR Access Codes. You must |
|                  | enter these two codes correctly to generate New   |
|                  | or Replacement EDGAR Access Codes. The passphrase |
|                  | is unique and distinct from the password. The     |
|                  | passphrase cannot be used to log in to any of the |
|                  | EDGAR websites.                                   |
+------------------+---------------------------------------------------+
| **PASSWORD**     | A unique, confidential code assigned to EDGAR     |
|                  | filers that must be used in conjunction with the  |
|                  | CIK number. You must enter these two codes        |
|                  | correctly to access EDGAR. You must use the       |
|                  | electronic Form ID to apply for a password.       |
+------------------+---------------------------------------------------+
| **PDF**          | Portable Document Format.                         |
+------------------+---------------------------------------------------+
| **PDN**          | Public Data Network.                              |
+------------------+---------------------------------------------------+
| **PMAC**         | Password Modification Authorization Code. An      |
|                  | eight-character code that authenticates a request |
|                  | to change a password.                             |
+------------------+---------------------------------------------------+
| **PPP**          | Point-to-Point Protocol.                          |
+------------------+---------------------------------------------------+
| **REGISTRANT**   | The issuer of securities for which a registration |
|                  | statement, report, proxy, or information          |
|                  | statement is filed.                               |
+------------------+---------------------------------------------------+
| **RETURN COPY**  | A copy of an accepted filing posted on the EDGAR  |
|                  | Filing Website and available to registrants and   |
|                  | co-registrants only.                              |
+------------------+---------------------------------------------------+
| **SCP**          | Secure Copy; see SSH.                             |
+------------------+---------------------------------------------------+
| **SEC**          | U.S. Securities and Exchange Commission.          |
+------------------+---------------------------------------------------+
| **SEGMENT**      | A portion of a filing, submitted separately,      |
|                  | which you may combine with other segments up to   |
|                  | six business days later to make a single complete |
|                  | filing.                                           |
+------------------+---------------------------------------------------+
| **SEGMENTED      | A submission comprised of segments submitted      |
| FILING**         | separately, and later combined at the direction   |
|                  | of the filer to make a single complete            |
|                  | submission.                                       |
+------------------+---------------------------------------------------+
| **SGML**         | Standard Generalized Mark-up Language.            |
+------------------+---------------------------------------------------+
| **SROs**         | Self-Regulatory Organizations.                    |
|                  |                                                   |
|                  | Example SROs are:                                 |
|                  |                                                   |
|                  | NYSE - New York Stock Exchange                    |
|                  |                                                   |
|                  | BSE - Boston Stock Exchange                       |
|                  |                                                   |
|                  | NASD - National Association of Securities Dealers |
|                  |                                                   |
|                  | See Volume II, EDGAR Filing, for a complete list. |
+------------------+---------------------------------------------------+
| **SSH**          | Secure Shell Protocol; a transport layer          |
|                  | protocol, which runs on top of TCP/IP and         |
|                  | provides a mechanism for secure file transfers    |
|                  | (SCP). A UNIX-based command interface and         |
|                  | protocol for securely getting access to a remote  |
|                  | computer.                                         |
+------------------+---------------------------------------------------+
| **SUBMISSION**   | A submission is the fundamental unit of           |
|                  | information that is transmitted to EDGAR for      |
|                  | receipt, validation, and acceptance. It is the    |
|                  | conveyance of a document or series of documents,  |
|                  | in electronic format, to the SEC via EDGAR.       |
+------------------+---------------------------------------------------+
| **SUBMISSION     | The specific name by which EDGAR recognizes the   |
| TYPE**           | variants of filings with the SEC (e.g., for Form  |
|                  | Type S-3, the registration statement relating to  |
|                  | dividend reinvestment plans, EDGAR recognizes the |
|                  | submission type S-3D.) Other examples include     |
|                  | modules and correspondence.                       |
+------------------+---------------------------------------------------+
| **SUSPENDED      | Filings that have not successfully passed EDGAR's |
| FILING**         | acceptance review are placed in a suspended       |
|                  | status indicating fatal flaws within the          |
|                  | submission. Suspended filings are deleted in six  |
|                  | business days. If an EDGAR filer receives notice  |
|                  | that a filing has been suspended, the fatal       |
|                  | errors must be corrected and the filing must be   |
|                  | re-transmitted. Suspended filings are not         |
|                  | publicly viewable and are deleted in six business |
|                  | days.                                             |
+------------------+---------------------------------------------------+
| **SUSPENSE       | Notification from the SEC that an electronic      |
| MESSAGE**        | submission has not met the minimum filing         |
|                  | requirements and been suspended by EDGAR. If the  |
|                  | filer has an Internet address on file, the        |
|                  | suspense messages are sent electronically to that |
|                  | Internet address. Suspense messages are also sent |
|                  | to all Internet addresses on the Notification     |
|                  | page.                                             |
+------------------+---------------------------------------------------+
| **TAG**          | EDGARLink automatically creates XFDL header tags  |
|                  | and XML header and document tags as you fill in   |
|                  | the templates. For XFDL submissions, some tags    |
|                  | may be used within documents. For XML             |
|                  | submissions, tags are used to define the primary  |
|                  | document. HTML documents can also contain tags.   |
|                  |                                                   |
|                  | A tag is an identifier that labels specific       |
|                  | information to EDGAR. You must place an angle     |
|                  | bracket on either side of a term to designate it  |
|                  | as a "begin" tag. An "end" tag also has angle     |
|                  | brackets but is distinguished by use of the \"/\" |
|                  | (virgule/slash) immediately following the opening |
|                  | angle bracket (\</). For example, the beginning   |
|                  | and end of a table are signified by \<TABLE\> and |
|                  | \</TABLE\>, respectively.                         |
+------------------+---------------------------------------------------+
| **TEST FILING**  | A submission made to EDGAR to test the ability to |
|                  | create a filing in an EDGAR-acceptable format.    |
|                  | Such filings are publicly available and are only  |
|                  | retained for two business days on the filing      |
|                  | database. EDGAR sends the results of a test       |
|                  | filing acceptance review to the filer via         |
|                  | acceptance or suspense messages. A test filing    |
|                  | cannot be changed to a live filing.               |
+------------------+---------------------------------------------------+
| **TRAINING       | A person or entity which sends only test filings  |
| AGENT**          | in conjunction with training other persons.       |
+------------------+---------------------------------------------------+
| **TRANSMISSION** | A set of one or more submissions sent             |
|                  | electronically to EDGAR during an on-line         |
|                  | session.                                          |
+------------------+---------------------------------------------------+
| **TRANSMISSION   | One of the three methods that you may use to      |
| METHOD**         | submit XFDL filings via EDGAR: Internet, direct   |
|                  | dial transmission (PPP), or Leased Line.          |
|                  | OnlineForms and filer constructed XML filings     |
|                  | utilize the Internet as the transmission method.  |
+------------------+---------------------------------------------------+
| **TYPE 1**       | A module or segment that contains a portion of a  |
|                  | document that is positioned within a submission   |
|                  | using the \<MODULE\> or \<SEGMENT\> tags.         |
+------------------+---------------------------------------------------+
| **TYPE 2**       | A module or segment that contains an entire       |
|                  | document, or documents, positioned at the end of  |
|                  | a submission much like an appendix.               |
+------------------+---------------------------------------------------+
| **URL**          | Uniform Resource Locator, also known as an        |
|                  | Internet address.                                 |
+------------------+---------------------------------------------------+
| **VALUE**        | Information that is supplied by the filer and     |
|                  | inserted in a data field. For example, the Name   |
|                  | data field would indicate the name of the person  |
|                  | to be contacted who could answer questions about  |
|                  | a particular filing.                              |
+------------------+---------------------------------------------------+
| **XBRL**         | Extensible Business Reporting Language            |
+------------------+---------------------------------------------------+
| **XFDL**         | Extended Forms Definition Language                |
+------------------+---------------------------------------------------+
| **XML**          | Extensible Markup Language                        |
+------------------+---------------------------------------------------+

######### Frequently Asked Questions

Since we opened the Operational EDGAR system for testing on May 1, 1991,
EDGAR filers have called Filer Support with a variety of questions about
EDGAR. Below are some of the more frequently asked questions and answers
that pertain to becoming a filer and maintaining company data.

  ----------------------------------------------------------------------------------------------------------------------------------
  **Questions**             **Answers**
  ------------------------- --------------------------------------------------------------------------------------------------------
  How do I reach any of the The easiest way to use the EDGAR system is to access the EDGAR Gateway at:
  EDGAR websites?           *[http://www.portal.edgarfiling.sec.gov](http://www.portal.edgarfiling.sec.gov/).* The EDGAR Gateway
                            will help you to determine which of the websites is the appropriate one for you to use based on your
                            response to a single question. It is strongly recommended that you bookmark this website or add it to
                            the Favorites list in your browser.

  How do I reach the EDGAR  You can reach this site by using the EDGAR Filer Management Website at:
  Filer Management Website? [*https://www.filermanagement.edgarfiling.sec.gov*](https://www.filermanagement.edgarfiling.sec.gov/).
                            Please bookmark this site the next time you visit it.

  How do I reach the EDGAR  You can reach this site by using the EDGAR Filing Website at:
  Filing Website?           [*https://www.edgarfiling.sec.gov*](https://www.edgarfiling.sec.gov/). Please bookmark this site the
                            next time you visit it.

  How do I reach the EDGAR  You can reach this site by using the EDGAR OnlineForms/XML Website at:
  OnlineForms/XML Website?  *[https://www.onlineforms.edgarfiling.sec.gov](https://www.onlineforms.edgarfiling.sec.gov/).* Please
                            bookmark this site the next time you visit it.

  Which Web browser shall I We recommend using one of the industry standard Web browsers, either Microsoft Internet Explorer 6.0 or
  use?                      later, or Netscape 7.0 or later. At this time, EDGAR does not support other browsers, including Netscape
                            6.0 and AOL.

  Where do I find the Form  You must apply for EDGAR access electronically using the EDGAR Filer Management Website at the following
  ID?                       address:
                            [https://www.filermanagement.edgarfiling.sec.gov](https://www.filermanagement.edgarfiling.sec.gov/). Use
                            the following website to find the Form ID: http://www.sec.gov/divisions/corpfin/forms/id.htm. However, a
                            paper Form ID will not be accepted.

  How do I change my        You may change your password at any time before it expires and within 10 days after the expiration date
  password?                 using the EDGAR Filing Website (https://www.edgarfiling.sec.gov). If both the password and the grace
                            period have expired, you may generate a new set of EDGAR access codes (including the password) using the
                            EDGAR Filer Management Website and your passphrase. If you have forgotten your passphrase, you must
                            request a new one before you can generate a new set of EDGAR access codes. (Refer to Section 4.1.3.1,
                            Changing Your Password, for more information.)

  How do I change my CCC?   You may change your CCC using the EDGAR Filing Website. Login to EDGAR using the EDGAR Filing Website,
                            click on Retrieve/Edit Data, and then click on Change Company Password or CCC. Please note that CCCs do
                            not expire.

  Can I change an expired   Yes, if you change it within 10 days of the expiration date. If both the password and the grace period
  password via the EDGAR    have expired, you must use your Passphrase to generate new access codes.
  Filing Website?           

  How do I change company   You may update company information using the EDGAR Filing Website or OnlineForms/XML Website by entering
  information?              company information on the Change Company Information page and submitting the changes to us. You must
                            provide the CIK and CCC for that company before you can change any information. Company information
                            changes are not retroactive for previous filings made by the company. You will not see the information
                            changes on the SEC Public website until the company submits its next live EDGAR filing.

  How quickly can I         The quickest way for you to find out if your filing was accepted or suspended is to use the EDGAR Filing
  determine whether my      Website. You can also read the messages EDGAR will send to your Internet e‑mail address.
  filing was accepted?      

  How do I check the status You can check the status of filings using the EDGAR Filing Website. Once you have logged into EDGAR and
  of a submission?          accessed the Company and Submission Information Retrieval page, you can access submission information
                            for your CIK. You must provide the CCC for the Login CIK or the Primary Filer/Filed-By CIK before you
                            can access any submission information.

  Can I download my Return  Return Copies are available for seven (7) business days. During that time, you can download more than
  Copy more than once?      once.
  ----------------------------------------------------------------------------------------------------------------------------------

######### Automated Name Conformance Rules for Company and Individual Entity Names 

These conformance rules will be automatically applied to Company and
Individual Entity Names entered in the EDGAR system.

The automated conformance process will be applied to Company Names when
they are entered on the EDGAR Filer Management Website or modified using
the Edit Company Information function. Values entered by the user will
be conformed and redisplayed, along with the original user entry, for
review and acceptance by the user.

C.1 Removal of Excess White Space

Leading and trailing blank spaces will be removed. Any embedded
sequences of two or more spaces will be replaced with a single space.

C.2 Punctuation Marks and Special Characters

EDGAR\'s character validation will allow the upper-case alphabet (A-Z;
ASCII 65-90), lower-case alphabet (a-z; ASCII 97-122), digits (0-9;
ASCII 48-57), and the following punctuation characters:

  ------------------------------------------------------------------------
  Char         Character Name                           ASCII Number
  ------------ ---------------------------------------- ------------------
               Space                                    32

  &            Ampersand                                38

  \-           Hyphen, dash                             45

  \\           Backward slash                           92

  /            Virgule, forward slash                   47

  !            Exclamation point                        40

  \#           Pound/number sign                        41

  \$           Dollar sign                              36

  (            Left parenthesis                         40

  )            Right parenthesis                        41

  ,            Comma                                    44

  .            Period                                   46

  :            Colon                                    58

               Semicolon                                59

  =            Equals sign                              61

  @            At sign                                  64

  \`           Back quote                               96

  {            Left brace                               123

  \|           Vertical bar                             124

  }            Right brace                              125
  ------------------------------------------------------------------------

Individuals should be conformed the same as company names, except that
the hyphen can remain for hyphenated names.

C.3 Word Delimiters

For evaluation of word-based processing rules, the \"word\" delimiter
will be a blank space or the start or end of the Company Name.
Punctuation characters will not be considered word delimiters (e.g.,
\"E-Trade\" would be considered a single word).

C.4 Text Eliminations

When the filer indicates that it is a Company (i.e., not an Individual),
if any of the following words are found as the first word of the name,
they will be removed. Checks for these words will be case insensitive.
The text elimination step will be performed before any text substitution
steps.

A

AN

THE

C.5 Text Substitutions

When performing the following text substitutions, checks for original
values will be case insensitive, but exact spelling will be required
(i.e., misspellings will not be detected). The values, which are
replaced as part of the substitution will be in, uppercase irrespective
of the case of the original word (e.g., Corporation would become CORP).
Text substitution steps will be performed after the text elimination
step.

When the filer indicates that he or she is a Company (i.e., not an
Individual):

1.  The following text substitutions will be applied to all words except
    the first:

  ---------------------------------- ------------------------------------
  [Original Value]{.underline}       [Conformed Value]{.underline}

  Company                            CO

  Corporation                        CORP

  Incorporated                       INC

  Incorporation                      INC

  And                                &
  ---------------------------------- ------------------------------------

2.  The following substitution will be applied if the word is neither
    the first in the name, nor is immediately followed by the word
    \"Partnership:\"

  ---------------------------------- ------------------------------------
  [Original Value]{.underline}       [Conformed Value]{.underline}

  Limited                            LTD
  ---------------------------------- ------------------------------------

When the filer indicates that he or she is an Individual, the following
text substitutions will be applied to the name suffix field (see
Sequencing of Individual Names, below).

  ---------------------------------- ------------------------------------
  [Original Value]{.underline}       [Conformed Value]{.underline}

  Junior                             JR

  Senior                             SR
  ---------------------------------- ------------------------------------

C.6 Sequencing of Individual Names

When the filer indicates that he or she is an Individual, he or she will
be prompted to enter his or her name in four separate name fields:
First, Middle, Last, and Suffix (e.g. Walter Hines Dill Junior). After
data entry, the fields will be combined in the sequence Last, First,
Middle, Suffix, separated by blank spaces (e.g. Dill Walter Hines JR)
and displayed in the Company Name data element.

Punctuation, except hyphens, will not be valid in the names of
individuals. If an individual wishes to use an initial in his or her
name, please do not use a period after the initial. For example, Walter
H Dill Junior would be valid but Walter H. Dill Junior would be invalid.
Similarly, Walter H Dill, Junior would be invalid.

INDEX

---A---

**ACCEPTANCE MESSAGE**, **A-1**

**ACCEPTANCE REVIEW**, **A-1**

**ACCEPTED**, **A-1**

**ACCESSION NUMBER**, **A-1**

Acronyms, A-1

Add Class (Contract) Page, 5-19

Add Series Page, 5-17

Applicant Information, 3-14

Application Acceptance and Applicant Notification, 3-33

Applying for EDGAR Access, Current SEC Filer, 3-33

**ASCII**, **A-1**

**ASCII/SGML**, **A-1**

Asset Backed Securities Issuing Entity, Creating, 3-42

**ASYNCHRONOUS**, **A-1**

Authentication Documentation, 3-32, 3-37, 3-41, 4-7

Automated Name Conformance Rules for Company and Individual Entity
Names, C-1

---B---

**BROWSER**, **A-1**

Browser Menu Bars, 2-2

---C---

**CCC**, **A-1**

CCC (CIK Confirmation Code), 3-3

**CCC** **(CIK CONFIRMATION CODE)**, **A-2**

CCC (CIK Confirmation Code), Changing Your, 4-13

CCC or Password, Changing your, 4-11

**CENTRAL INDEX KEY (CIK)**, **A-1**

CIK (Central Index Key), 3-2, **A-2**

CIK, Logging in with a Different, 5-28

Commonly Used Terms, A-1

Company Data, Maintenance of, 5-1

**CONFIDENTIAL**, **A-2**

**CONFIRMING COPY**, **A-2**

Contact for EDGAR Information, 3-17

Contact for SEC Account Information, 3-19

Conventions Used in this Manual, 1-1

Convert Paper Only Filer to Electronic Filer Request, 3-50

Converting from Paper to Electronic Filer, 3-34

**COOKIE**, **A-2**

**CORRESPONDENCE SUBMISSION**, **A-2**

---D---

Data Entry Conventions, 3-13

Data Entry Details, 3-14

**DATA FIELD**, **A-2**

**DATA TAG**, **A-2**

**DIRECT TRANSMISSION**, **A-2**

**DOCUMENT**, **A-3**

**DOCUMENT HEADER**, **A-3**

**DOCUMENT TYPE**, **A-3**

---E---

**EDGAR**, **A-3**

EDGAR Access Codes, Generating All, 4-1

EDGAR Access for New Serial Companies Request, 3-52

EDGAR Access, Applying for, New SEC Filer, 3-10

EDGAR Filer Management Website (EFMW), Navigating, 3-8

EDGAR Filer, Becoming an, 3-1

EDGAR, Accessing, 2-2

EDGAR, Login, 5-1

EDGARLink Filing, Creating an, 6-1

EDGARLink Filing, Transmitting, 6-2

EDGARLink Filings, Filing Transmission Methods for, Additional, 6-2

**EDGARLink for Windows**, **A-3**

EDGARLink Forms, 6-1

Edit Class (Contract) Page, 5-22

Edit Company Information, 5-5

Edit Series Page, 5-21

EFMW, 3-1

EFMW Frequently Asked Questions, 3-10

EFMW Help, 3-10

**ELECTRONIC FILER**, **A-3**

**ELECTRONIC FILING**, **A-3**

**ELECTRONIC SUBMISSION**, **A-3**

**E-MAIL**, **A-4**

E-mail Acceptance or Rejection Notification, 4-7

E-mail Notification of Acceptance or Rejection, 3-41

Enter Series and Classes (Contracts) Information Page, 5-11

**ENTITY**, **A-4**

---F---

**FILE NUMBER**, **A-4**

**FILER**, **A-4**

Filer Assistance, 2-3

Filer Information, 3-17

Filer Management, 3-8

Filer Management Website, 3-6

Filer Manual, 2-1

Filer-Constructed Technical Filing Specifications, 6-4

**FILING AGENT**, **A-4**

Filing Preparation and Submission, 6-1

**FILING TYPES**, **A-4**

**FORM ID**, **A-4**

Form ID Application Messages, 3-48

Form ID Application, Assembling and Submitting, 3-20

Form ID Application, Starting Another, 3-31

Form ID Application, Submitting, 3-28

Form ID Application, Verifying, 3-20

Form ID Submission, Assembling, 3-25

Form ID, Application, 3-11

Form ID, Create New, Blank, 3-31

Form ID, Create New, Pre-filled, 3-32

**FORM SE**, **A-4**

**FORM TH**, **A-4**

**FORM TYPE**, **A-4**

Frequently Asked Questions, B-1

**FTP**, **A-4**

**FWS**, **A-5**

---G---

Gateway, 3-5

General Information For Filers, 2-1

Generating EDGAR Access Codes, 4-1

Glossary, A-1

**GROUPED TAGS**, **A-5**

---H---

Hardware Requirements, 2-3

**HEADER**, **A-5**

Hours of Operation, 2-1

**HTML**, **A-5**

---I---

**INTERNET**, **A-5**

**INTERNET ADDRESS**, **A-5**

Introduction, 1-1

Introduction to Filing on EDGAR, 6-1

**ISP**, **A-5**

---L---

**LDAP**, **A-5**

**LEASED LINE**, **A-5**

**LOCKBOX**, **A-6**

---M---

**MASTER SEGMENT**, **A-6**

Modify Company Type via Edit Investment Company Type Page, 5-16

**MODULAR SUBMISSION**, **A-6**

**MODULE**, **A-6**

---N---

**NESTED**, **A-6**

New Serial Company Access Request, Composing, 3-38

**NON-PUBLIC**, **A-6**

Notification Messages, Examples, 3-47

**N-SAR**, **A-6**

---O---

Online XML Form, Creating, 6-3

Online XML Form, Transmitting, 6-4

Online XML Forms, 6-3

OnlineForms/XML Data Gathering Model, 6-3

Organization of this Manual, 1-1

---P---

Paper Only Filer, Current, 3-33

Passphrase, 3-4

**PASSPHRASE**, **A-6**

Passphrase Request, Composing New, 4-4

Passphrase, Creating for the First Time, 4-15

Passphrase, Defining, 3-27

Passphrase, Requesting, 4-4

Password, 3-3

**PASSWORD**, **A-7**

Password, Changing, 4-12

**PDF**, **A-7**

**PDN**, **A-7**

PMAC (Password Modification Authorization Code), 3-4

**PMAC (Password Modification Authorization Code)**, **A-7**

**PPP**, **A-7**

Punctuation Marks and Special Characters, C-1

---R---

**REGISTRANT**, **A-7**

Regulation S-T, i, **A-4**

Removal of Excess White Space, C-1

Request Acceptance and Applicant Notification, 3-37

Retrieve Company Information, 5-3

**RETURN COPY**, **A-7**

---S---

**SCP**, **A-7**

**SEC**, **A-7**

SEC's Publications Office, 3-2

**SEGMENT**, **A-7**

**SEGMENTED FILING**, **A-7**

Sequencing of Individual Names, C-3

Serial Company, New, 3-38

Series and Class Notification, 5-25

Series and Classes (Contracts) Information, 5-8

Series and Classes (Contracts) Information Edit Confirmation Page, 5-24

Series and Classes (Contracts) Information Page, 5-8

Series and Classes (Contracts) Information Page Overview, 5-12

Series and Classes (Contracts) Information Page, Navigating to the, 5-10

**SGML**, **A-7**

Signature, 3-19

Software Requirements, 2-3

**SRO**, **A-7**

**SSH**, **A-8**

**SUBMISSION**, **A-8**

Submission and Company Information, Accessing, 5-1

**SUBMISSION TYPE**, **A-8**

Support, 3-9

**SUSPENDED FILING**, **A-8**

**SUSPENSE MESSAGE**, **A-8**

---T---

**TAG**, **A-8**

**TEST FILING**, **A-9**

Text Eliminations, C-2

Text Substitutions, C-2

**TRAINING AGENT**, **A-9**

**TRANSMISSION**, **A-9**

**TRANSMISSION METHOD**, **A-9**

**TYPE 1**, **A-9**

**TYPE 2**, **A-9**

---U---

Update Passphrase Request, 4-9

**URL**, **A-9**

---V---

**VALUE**, **A-9**

---W---

Web Browsers, Differences, 2-1

Web Browsers, Introduction, 2-1

Word Delimiters, C-2

---X---

**XBRL**, **A-9**

**XFDL**, **A-9**

XFDL and XML Form Types, Transmitting, 6-6

XFDL Technical Specification, 6-5

**XML**, **A-9**

XML Form Type Technical Specification, 6-5

[^1]: "Capacity" in this context is one of the following: filer, filing
    agent or training agent. It refers to the applicant, not the person
    filling out the form.

[^2]: The CIK is a number that is assigned to each entity (company or
    individual) that submits filings to the SEC. Use of the CIK allows
    us to differentiate between filing entities with similar names. A
    CIK is used to identify all filers, both EDGAR and non-EDGAR.

[^3]: The EDGAR passphrase is a security code that is used to generate a
    set of EDGAR access codes.

[^4]: ASCII (\*.txt file extension) and HTML (\*.htm file extension)
    attachments are accepted; PDF and graphic formats are not accepted.

[^5]: Data in the "parts" that are common to the filer attributes
    settings will be preserved; however, data that exists in a "part"
    that is not needed based upon the new filer attribute setting is
    lost. For example, Filer (Company) requires the entry of Filer
    Information (Part II) -- if you switch the filer attributes to Filer
    (Individual), any Filer Information that you may have entered is
    lost.

[^6]: "424B" is a shorthand reference for Forms 424B1, 424B2, 424B3,
    424B4, 424B5, 424B6 and 424B7.