December 2020 3-1 EDGAR Filer Manual (Volume II)

3. INDEX TO FORMS

As a filer, you will first need to determine whether you must meet your filing obligation via 

EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for 

Electronic Filings, outline which filings are mandated as electronic. This means that they must be 

filed on EDGAR unless there is a case for Temporary or Continuing Hardship. (The rules for 

each form and hardship exemptions may differ, so please see the regulation for specific 

information.) Once you determine the form you need to file is electronic, then you need to 

identify the submission type to use. For each submission type, there are specific tools that you 

can use.

As the EDGAR system has evolved using new technologies, tools have been added, changed, 

and sometimes updated. There is no longer a single tool for preparing an EDGAR submission. 

Your guide to the tools is this index. The first index allows you to lookup EDGAR electronic 

submission types easily if all you know is the submission form type. Included in the last two 

columns is detailed information about the tools that are used to create and/or assemble the filing. 

The second index is easiest to use if you are more comfortable looking up your submission type 

by Act.

Before using the indexes, it is important to understand the difference between the Code of 

Federal Regulations (CFR) Form/Schedule/Rule column reference and the EDGAR Submission 

Type column. The index entries under the CFR Form/Schedule/Rule column refer to the titles of 

the actual Form, Schedule or Rule named in the CFR. The Submission Type refers to Form 

variations filers use on the electronic filing system to fulfill their filing obligation. For example, 

the paper Form 15 is implemented on EDGAR as a number of different submission types 

including: 15-12B, 15-12G, and 15-15D. The last three digits represent the section of the 34 Act 

under which the filer is obligated to file periodic reports.

Using either Index, find the submission type, check that the description of the form matches your 

understanding of the purpose of the form, and identify the tool that should be used to create the 

form. The options in this column are EDGARLink Online, and Online Forms. There is a section 

in this manual describing in detail each of these tools. Chapter 7, “Preparing and Transmitting 

EDGARLink Online Submissions,” describes EDGARLink Online. Chapter 8, “Preparing and 

Transmitting Online Submissions,” describes online submissions using the EDGAR Online

Forms Website and EDGAR Filing Website. The column entitled Filer-Constructed Technical 

Specifications should only be used by filers who want to create their submissions without the use 

of EDGAR tools. These Technical Specifications are available on the SEC’s Public Website. The 

Technical Specifications are delivered separately and are not part of the Filer Manual.

Note: In Section 3.1, “Alpha/Numeric” for simplicity we include both the initial form and the 

associated amendment in the Submission Type column.
EDGAR Filer Manual (Volume II) 3-2 December 2020

3.1 Alpha/Numeric

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

1-A, 1-A/A Offering statement under Regulation A EDGAR 

Filing 

Website

EDGAR 

REG A XML 

Technical 

Specification

1-A POS Post-qualification amendment to a 1-A offering 

statement

EDGAR 

Filing 

Website

EDGAR 

REG A XML 

Technical 

Specification

1-A-W, 1-A-W/A Withdrawal of offering statement under Regulation A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

1-E, 1-E/A Notification under Regulation E by small business 

investment companies and business development 

companies.

EDGARLink

Online

EDGARLink

Online XML 

Technical 

Specification 

1-E AD, 1-E AD/A Sales material filed pursuant to Rule 607 under 

Regulation E.

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

1-K, 1-K/A Annual Report Pursuant to Regulation A EDGAR 

Filing 

Website

EDGAR 

REG A XML 

Technical 

Specification

1-SA, 1-SA/A Semiannual Report Pursuant to Regulation A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

1-U, 1-U/A Current Report pursuant to Regulation A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

1-Z, 1-Z/A Exit Report under Regulation A EDGAR 

Filing 

Website

EDGAR REG 

A XML 

Technical 

Specification

1-Z-W, 1-Z-W/A Withdrawal of Exit Report under Regulation A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-3 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

253G1 Reflects information previously omitted from the 

offering circular in reliance on Rule 253(b)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

253G2 Reflects information that constitutes a substantive 

change from or addition to the information set forth in 

the last offering circular

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

253G3 Reflects information covered in both 253G1 and 

253G2

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

253G4 Reflects information covered in 253G1, 253G2 or 

253G3 that is not being timely filed

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

2-E, 2-E/A Report of sales of securities pursuant to Rule 609 

under Regulation E.

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10-12B, 10-12B/A Initial general form for registration of a class of 

securities pursuant to Section 12(b)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10-12G, 10-12G/A Initial general form for registration of a class of 

securities pursuant to Section 12(g)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10-D, 10-D/A Periodic distribution reports by asset-backed issuers 

pursuant to Rule 13a-17 or 15d-17

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10-K, 10-K/A Annual report pursuant to Section 13 and 15(d) EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10-KT, 10-KT/A Transition report pursuant to Rule 13a-10 or 15d-10 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10-Q, 10-Q/A Quarterly report pursuant to Section 13 or 15(d) EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 
EDGAR Filer Manual (Volume II) 3-4 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

10-QT, 10-QT/A Transition report pursuant to Rule 13a-10 or 15d-10 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

11-K, 11-K/A Annual report of employee stock purchase, savings 

and similar plans

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

11-KT, 11-KT/A Transition report pursuant to rule 13a-10 or 15d-10 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

13F-HR, 13F-HR/A Initial Quarterly Form 13F Holdings Report filed by 

institutional managers

EDGAR 

Filing 

Website 

Online Forms 

EDGAR 

Form 13F 

XML 

Technical 

Specification

13F-NT, 13F-NT/A Initial Quarterly Form 13F Notice Report filed by 

institutional managers

EDGAR 

Filing 

Website 

Online Forms 

EDGAR 

Form 13F 

XML 

Technical 

Specification

13H, 13H-Q, 

13H-A, 13H-I, 

13H-R, 13H-T

Large Trader Registration Information Required of 

Large Traders Pursuant to the Securities Exchange 

Act of 1934 and Rule 13h-1 Thereunder. Initial Filing 

(13H), Amended Filing (13H-Q), Annual Filing (13HA), Inactive Status (13H-I), Reactivated Status (13HR), and Termination Filing (13H-T)

EDGAR 

Filing 

Website 

Online Forms

N/A

144, 144/A Filing for proposed sale of securities under Rule 144 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

15-12B, 15-12B/A Notice of termination of registration of a class of 

securities under Section 12(b)

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

15-12G, 15-12G/A Notice of termination of registration of a class of 

securities under Section 12(g)

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

15-15D, 15-15D/A Notice of suspension of duty to file reports pursuant 

to Section 13 and 15(d) of the Act

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-5 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

15F-12B,

15F-12B/A

Notice of termination by a Foreign Private Issuer of a 

class of equity securities under Section 12(b)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

15F-12G, 

15F-12G/A

Notice of termination of a foreign private issuer’s 

registration of a class of securities under Section 

12(g).

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

15F-15D, 

15F-15D/A 

Notice of a foreign private issuer’s suspension of 

duty to file reports pursuant to Section 13 and 15(d) 

of the Act

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

17HACON, 

17HACON/A

Confidential broker dealer annual 17-H report EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form 17-H 

XML 

Technical 

Specification

17HQCON, 

17HQCON/A

Confidential broker dealer quarterly 17-H report EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form 17-H 

XML 

Technical 

Specification

18-12B, 18-12B/A Form for initial registration of securities of foreign 

governments or political subdivisions pursuant to 

Section 12(b)

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

18-12G, 18-12G/A Form for initial registration of securities of foreign 

governments or political subdivisions thereof 

pursuant to Section 12(g)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

18-K, 18-K/A Annual report for foreign governments and political 

subdivisions

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

20-F, 20-F/A Annual and transition report of foreign private issuers 

pursuant to Section 13 or 15(d)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

20FR12B, 

20FR12B/A

Form for initial registration of a class of securities of 

foreign private issuers pursuant to Section 12(b)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-6 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

20FR12G, 

20FR12G/A

Form for initial registration of a class of securities of 

foreign private issuers pursuant to Section 12(g)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

24F-2NT, 

24F-2NT/A

Rule 24F-2 notice filed on Form 24F-2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

25, 25/A Notification filed by issuer to voluntarily withdraw a 

class of securities from listing and registration on a 

national securities exchange

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

25-NSE, 25-NSE/A Notification filed by national security exchange to 

report the removal from listing and registration of 

matured, redeemed or retired securities

Distributed to 

National 

Securities 

Exchanges 

only

Distributed to 

National 

Securities 

Exchanges 

only

3, 3/A Initial statement of beneficial ownership of securities Online Forms EDGAR 

Ownership 

XML 

Technical 

Specification

305B2, 305B2/A Application for designation of a new trustee under 

the Trust Indenture Act

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

4, 4/A Statement of changes in beneficial ownership of 

securities

Online Forms EDGAR 

Ownership 

XML 

Technical 

Specification 

40-6B, 40-6B/A Application under the Investment Company Act by an 

employees’ securities company

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

40-17F1, 

40-17F1/A 

Initial certificate of accounting of securities and 

similar investments in the custody of management 

investment companies filed pursuant to Rule 17f-1 of 

the Investment Company Act of 1940 filed on Form 

N-17F-1

EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

40-17F2,

40-17F2/A 

Initial certificate of accounting of securities and 

similar investments in the custody of management 

investment companies filed pursuant to Rule 17f-2 of 

the Investment Company Act of 1940 filed on Form 

N-17F-2

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-7 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

40-17G, 40-17G/A Fidelity bond filed pursuant to Rule 17g1(g)(1) of the 

Investment Company Act of 1940

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

40-17GCS, 

4017GCS/A 

Filings of claim or settlement pursuant to rule 17g1(g)(1)(2) or (3) of the Investment Company Act of 

1940

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

40-24B2, 

40-24B2/A 

Filing of sales literature pursuant to Rule 24b2 under 

the Investment Company Act of 1940

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

40-33, 40-33/A Copies of all stockholder derivative actions filed with 

a court against an investment company or an affiliate 

thereof pursuant to Section 33 of the Investment 

Company Act of 1940

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

40-8B25 Document or report EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

40-8F-2, 40-8F-2/A Initial application for de-registration pursuant to 

Investment Company Act Rule 0-2

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

40-APP, 40-APP/A Applications under the Investment Company Act 

other than those reviewed by Office of Insurance 

Products

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

40-F, 40-F/A Annual reports filed by certain Canadian issuers 

pursuant to Section 15(d) and Rule 15d-4

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

40FR12B, 

40FR12B/A 

Registration of a class of securities of certain

Canadian issuers pursuant to Section 12(b) of the 

1934 Act

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

40FR12G, 

40FR12G/A 

Registration of a class of securities of certain 

Canadian issuers pursuant to Section 12(g) of the 

1934 Act

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

40-OIP, 40-OIP/A Applications under the Investment Company Act 

reviewed by Office of Insurance Products

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-8 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

424A Prospectus filed pursuant to Rule 424(a) EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

424B1 Prospectus filed pursuant to Rule 424(b)(1) EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

424B2 Prospectus filed pursuant to Rule 424(b)(2) EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

424B3 Prospectus filed pursuant to Rule 424(b)(3) EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

424B4 Prospectus filed pursuant to Rule 424(b)(4) EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

424B5 Prospectus filed pursuant to Rule 424(b)(5) EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

424B7 Prospectus filed pursuant to Rule 424(b)(7) EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

424B8 Prospectus filed pursuant to Rule 424(b)(8) EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

424H, 424H/A Preliminary Prospectus filed pursuant to Rule 424(h) EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

425 Filing under Securities Act Rule 425 of certain 

prospectuses and communications in connection 

with business combination transactions

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

485APOS Post-effective amendment filed pursuant to 

Securities Act Rule 485(a) (this filing cannot be 

submitted as a 1940 Act only filing)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-9 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

485BPOS Post-effective amendment filed pursuant to 

Securities Act Rule 485(b) (this filing cannot be 

submitted as a 1940 Act only filing)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

485BXT Post-effective amendment filed pursuant to 

Securities Act Rule 485(b)(1)(iii) to designate a new 

effective date for a post-effective amendment 

previously filed pursuant to Securities Act Rule 

485(a) (this filing cannot be submitted as a 1940 Act 

only filing)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

486APOS Post-effective amendment to filing filed pursuant to 

Securities Act Rule 486(a) (this filing cannot be 

submitted as a 1940 Act only filing)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

486BPOS Post-effective amendment to filing filed pursuant to 

Securities Act Rule 486(b) (this filing cannot be 

submitted as a 1940 Act only filing)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

486BXT Post-effective amendment filed pursuant to 

Securities Act Rule 486(b)(1)(iii) to designate a new 

effective date for a post-effective amendment 

previously filed pursuant to Securities Act Rule 

486(a) (this filing cannot be submitted as a 1940 Act 

only filing)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

487 Pre-effective pricing amendment filed pursuant to 

Securities Act Rule 487

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

497 Definitive materials filed under paragraph (a), (b), (c), 

(d), (e) or (f) of Securities Act Rule 497

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

497AD Filing by certain investment companies of Securities 

Act Rule 482 advertising in accordance with 

Securities Act Rule 497

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

497H2 Filings made pursuant to Rule 497(h)(2) EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

497J Certification of no change in definitive materials 

under paragraph (j) of Securities Act Rule 497

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-10 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

497K Summary Prospectus for certain open-end 

management investment companies filed pursuant to 

Securities Act Rule 497(k)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

497VPI Initial summary prospectus for variable contracts filed 

pursuant to Securities Act Rule 497(k)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

497VPU Updating summary prospectus for variable contracts 

filed pursuant to Securities Act Rule 497(k)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

5, 5/A Annual statement of changes in beneficial ownership 

of securities

Online Forms EDGAR 

Ownership 

XML 

Technical 

Specification

6-K, 6-K/A Current report of foreign issuer pursuant to Rules 

13a-16 and 15d-16 Amendments

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

8-A12B, 8-A12B/A Form for the registration / listing of a class of 

securities on a national securities exchange pursuant 

to Section 12(b)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

8-A12G, 8-A12G/A Form for registration of a class of securities pursuant 

to Section 12(g)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

8-K, 8-K/A Current report filing EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

8-K12B, 8-K12B/A Notification that a class of securities of successor 

issuer is deemed to be registered pursuant to 

Section 12(b)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

8-K12G3, 

8-K12G3/A 

Notification that a class of securities of successor 

issuer is deemed to be registered pursuant to 

Section 12(g)

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-11 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

8-K15D5, 

8-K15D5/A 

Notification of assumption of duty to report by 

successor issue under Section 15(d)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

ABS-15G, 

ABS-15G/A

Asset-backed securities report pursuant to Section 

15G

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

ABS-EE, 

ABS-EE/A

Form for Submission of Electronic Exhibits in assetbacked securities offeringsEDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification,

EDGAR ABS 

XML 

Technical 

Specification

ANNLRPT, 

ANNLRPT/A 

Periodic Development Bank filing, submitted annually EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

APP WD,

APP WD/A

Withdrawal of an application for exemptive or other 

relief from the federal securities laws

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

ARS, ARS/A Annual report to security holders EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

ATS-N Initial Form ATS-N (Rule 304(a)(1)(i)) EDGAR 

Filing 

Website

EDGAR 

Form ATS-N

XML 

Technical 

Specification

ATS-N/CA Correcting Amendment (Rule 304(a)(2)(i)(C)) EDGAR 

Filing 

Website

EDGAR 

Form ATS-N

XML 

Technical 

Specification

ATS-N/MA Material Amendment (Rule 304(a)(2)(i)(A)) EDGAR 

Filing 

Website

EDGAR 

Form ATS-N

XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-12 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

ATS-N/OFA Order Display and Fair Access Amendment (Rule 

304(a)(2)(i)(D))

EDGAR 

Filing 

Website

EDGAR 

Form ATS-N

XML 

Technical 

Specification

ATS-N/UA Updating Amendment (Rule 304(a)(2)(i)(B)) EDGAR 

Filing 

Website

EDGAR 

Form ATS-N

XML 

Technical 

Specification

ATS-N-C Notice of Cessation (Rule 304(a)(3)) EDGAR 

Filing 

Website

EDGAR 

Form ATS-N

XML 

Technical 

Specification

ATS-N-W Withdrawal of Form ATS-N filing EDGAR 

Filing 

Website

EDGAR 

Form ATS-N

XML 

Technical 

Specification

AW Withdrawal of amendment to a registration statement 

filed under the Securities Act

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

AW WD Withdrawal of a request for withdrawal of an 

amendment to a registration statement

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

BULK Bulk Submission EDGARLink 

Online

C, C/A Offering Statement EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C-W Offering Statement Withdrawal EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C/A-W Amendment to Offering Statement Withdrawal EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification
December 2020 3-13 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

C-U Progress Update EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C-U-W Progress Update Withdrawal EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C-AR, C-AR/A Annual Report EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C-AR-W Annual Report Withdrawal EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C-AR/A-W Amendment to Annual Report Withdrawal EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C-TR Termination of Reporting EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C-TR-W Termination of Reporting Withdrawal EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

CB, CB/A Notification form filed in connection with certain 

tender offers, business combinations and rights 

offerings, in which the subject company is a foreign 

private issuer of which less than 10% of its securities 

are held by U.S. persons

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

CERT Certification by an exchange approving securities for 

listing

EDGARLink 

Online

N/A

CFPORTAL, 

CFPORTAL/A

Application for registration of funding portal EDGAR 

Filing 

Website

EDGAR 

Form 

CFPORTAL 

XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-14 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

CFPORTAL-W Withdrawal of the funding portal’s registration EDGAR 

Filing 

Website

EDGAR 

Form 

CFPORTAL 

XML 

Technical 

Specification

CORRESP A correspondence can be sent as a document with 

another submission type or can be sent as a 

separate submission.

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

D, D/A Official notice of an offering of securities that is made 

without registration under the Securities Act in 

reliance on an exemption provided by Regulation D 

and Section 4(a)(5) under the Act.

Online Forms EDGAR

Form D XML 

Technical 

Specification

DEF 14A Definitive proxy statements EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DEF 14C Definitive information statements EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

DEFA14A Definitive additional proxy soliciting materials 

including Rule 14(a)(12) material. Note: Submission 

type DEFA14A can be filed as part of Form 8-K. For 

filers subject to 8-K filing requirements, we 

recommend the use of the 8-K combined form type 

as the easiest method for fulfilling your filing 

requirement for both forms.

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

DEFA14C Definitive additional information statement materials 

including Rule 14(a)(12) material

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DEFC14A Definitive proxy statement in connection with 

contested solicitations

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DEFC14C Definitive information statement - contested 

solicitations

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DEFM14A Definitive proxy statement relating to a merger, 

acquisition, or disposition

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-15 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

DEFM14C Definitive information statement relating to merger or 

acquisition

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DEFN14A Definitive proxy statement filed by non-management EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DEFR14A Definitive revised proxy soliciting materials EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

DEFR14C Definitive revised information statement materials EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

DEL AM Separately filed delaying amendment under 

Securities Act Rule 473 to delay effectiveness of a 

1933 Act registration statement

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DFAN14A Definitive additional proxy soliciting materials filed by 

non-management including Rule 14(a)(12) material

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

DFRN14A Revised definitive proxy statement filed by nonmanagement

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

DOS, DOS/A Non-public draft offering statement under Regulation 

A

EDGAR 

Filing 

Website

N/A

DOSLTR Draft Offering Statement Letter EDGARLink 

Online

N/A

DRS, DRS/A Draft registration statement submitted by Emerging 

Growth Company under Securities Act Section 6(e) 

or by Foreign Private Issuer under Division of 

Corporation Finance policy

EDGARLink 

Online

N/A

DRSLTR Correspondence Related to Draft Registration 

Statement

EDGARLink 

Online

N/A

DSTRBRPT, 

DSTRBRPT/A

Distribution of primary obligations Development Bank 

report

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-16 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

F-1, F-1/A Registration statement for securities of certain 

foreign private issuers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-10, F-10/A Registration statement for securities of certain 

Canadian issuers under the Securities Act of 1933

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-10EF Auto effective registration statement for securities of 

certain Canadian issuers under the Securities Act of 

1933

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-10POS Post-effective amendment to a F-10EF registration EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

F-1MEF A new registration statement filed under Rule 462(b) 

to add securities to a prior related effective 

registration statement filed on Form F-1

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-3, F-3/A Registration statement for specified transactions by 

certain foreign private issuers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-3ASR Automatic shelf registration statement of securities of 

well-known seasoned issuers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-3D Registration statement for dividend or interest 

reinvestment plan securities of foreign private issuers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-3DPOS Post-Effective amendment to a F-3D registration EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-3MEF A new registration statement filed under Rule 462(b) 

to add securities to a prior related effective 

registration statement filed on Form F 3

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

F-4 POS Post-effective amendment to a F-4EF registration EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-17 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

F-4, F-4/A Registration statement for securities issued by 

foreign private issuers in certain business 

combination transactions

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-4EF Auto effective registration statement for securities by 

certain foreign private issuers in connection with 

certain business combination transactions

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-4MEF A new registration statement filed under Rule 462(b) 

to add securities to a prior related effective 

registration statement filed on Form F 4

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

F-6 POS Post-effective amendment to a F-6EF registration EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-6, F-6/A Registration statement for American Depositary 

Receipts representing securities of certain foreign 

private issuers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

F-6EF Auto effective registration statement for American 

Depositary Receipts representing securities of 

certain foreign private issuers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-7 POS Post-effective amendment to a F-7 registration EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-7, F-7/A Registration statement for securities of certain 

Canadian issuers offered for cash upon the exercise 

of rights granted to existing security holders under 

the Securities Act of 1933

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-8 POS Post-effective amendment to a F-8 registration EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-8, F-8/A Registration statement for securities of certain 

Canadian issuers to be issued in exchange offers or 

a business combination under the Securities Act of 

1933

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-80, F-80/A Registration of securities of certain Canadian issuers 

to be issued in exchange offers or a business 

combination under the Securities Act of 1933

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-18 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

F-80POS Post-effective amendment to a F-80 registration EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

F-N, F-N/A Notification of the appointment of an agent for 

service by certain foreign institutions

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

FWP Filing under Securities Act Rules 163/433 of free 

writing prospectuses

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

F-X, F-X/A For appointment of agent for service of process by 

issuers registering securities

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification 

IRANNOTICE Notice of disclosure filed in Exchange Act quarterly 

and annual reports pursuant to Section 219 of the 

Iran Threat Reduction and Syria Human Rights Act 

of 2012 and Section 13(r) of the Exchange Act

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

MA, MA-A, MA/A Municipal Advisor registration required pursuant to 

Section 15B(a)(2) of the Securities Exchange Act of 

1934 and the Rules Thereunder. Application for 

Municipal Advisor Registration (MA), Annual Update 

of Municipal Advisor Registration (MA-A), and 

Amendment of a Prior Application for Registration 

(MA/A)

EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form MA 

XML 

Technical 

Specification

MA-I, MA-I/A Information Regarding Natural Persons Who Engage 

in Municipal Advisory Activities, and Amendment of a 

Previously Submitted Form MA-I

EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form MA 

XML 

Technical 

Specification

MA-W Notice of Withdrawal from Registration as a 

Municipal Advisor

EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form MA 

XML 

Technical 

Specification

MODULE Module Submission EDGARLINK 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-14 8C, 

N-14 8C/A 

Initial registration statement filed on Form N14 by 

closed-end investment company (business 

combinations)

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification 
December 2020 3-19 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

N-14, N-14/A Initial registration statement filed on Form N14 for 

open-end investment company, including those filed 

with automatic effectiveness under Rule 488 

(business combinations)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

N-14MEF A new registration statement filed on Form N14 by 

closed end investment companies filed under 

Securities Act Rule 462(b) of up to an additional 20% 

of securities for an offering that was registered on 

Form N-14

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

N-18F1, N-18F1/A Initial notification of election pursuant to Rule 18f-1 

filed on Form N-18F-1

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification 

N-1A, N-1A/A Initial registration statement filed on Form N1A for 

open-end management investment companies

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

N-2, N-2/A Initial filing of a registration statement on Form N-2 

for closed-end investment companies

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-2ASR Automatic shelf registration statement on Form N-2 

for well-known seasoned issuers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-2 POSASR Post-effective amendment to an automatic shelf 

registration statement on Form N-2 for well-known 

seasoned issuers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-23C-2, 

N-23C-2/A 

Notice by closed-end investment companies of 

intention to call or redeem their own securities under 

Investment Company Act Rule 23c-2

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-23C3A, 

N23C3A/A 

Notification of periodic repurchase offer Filed 

pursuant to Rule 23c-3(b) only

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

N-23C3B, 

N23C3B/A 

Filing pursuant to Rule 23c-3(c) only on Form 

N-23C-3

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-23C3C, 

N23C3C/A 

Filing pursuant to Rule 23c-3(b) and (c) on Form 

N-23C-3

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-20 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

N-27D-1, 

N-27D-1/A 

Accounting for segregated trust accounts on Form N27D-1EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

N-2MEF A new registration statement on Form N-2 filed under 

Securities Act Rule 462(b) by closed-end investment 

companies of up to an additional 20% of securities 

for an offering that was registered on Form N-2 

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

N-3, N-3/A Initial registration statement on Form N-3 for 

separate accounts (management investment 

companies)

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

N-30B-2 Periodic and interim reports mailed to investment 

company shareholders (other than annual and semiannual reports mailed to shareholders pursuant to 

Rule 30e-1)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

N-30D, N-30D/A Initial annual and semi-annual reports mailed to 

investment company shareholders pursuant to Rule 

30e-1 (other than those required to be submitted as 

part of Form NCSR.)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-4, N-4/A Initial registration statement on Form N-4 for 

separate accounts (unit investment trusts)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-5, N-5/A Registration statement for small business investment 

companies

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-54A, N-54A/A Notification of election by business development 

companies filed on Form N-54A

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-54C, N-54C/A Notification of withdrawal by business development 

companies filed on Form N-54C

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

N-6, N-6/A Registration statement for separate accounts (unit 

investment trusts)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

N-6F, N-6F/A Notice of intent by business development companies 

to elect to be subject to Sections 55 through 65 of 

the 1940 Act filed on Form N-6F

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-21 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

N-8A, N-8A/A Initial notification of registration under Section 8(a) 

filed on Form N-8A

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-8B-2, N-8B-2/A Initial registration statement for unit investment trusts 

filed on Form N-8B-2

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-8B-3, N-8B-3/A Initial registration statement for periodic payment 

plans filed on Form N-8B-3

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-8B-4, N-8B-4/A Initial registration statement for face-amount 

certificate companies filed on Form N-8B-4

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

N-8F, N-8F/A Application for deregistration made on Form N-8F EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-CEN, N-CEN/A Annual Report for Registered Investment Companies EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form N-CEN

XML

Technical 

Specification

N-CR, N-CR/A Current Report of Money Market Fund Material 

Events

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-CSR, N-CSR/A Certified annual shareholder report of registered 

management investment companies filed on Form NCSR

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-CSRS, 

N-CSRS/A 

Certified semi-annual shareholder report of 

registered management investment companies filed 

on Form N-CSR

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-LIQUID,

N-LIQUID/A

Current Report Open-End Management Investment 

Company Liquidity

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-22 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

N-MFP2,

N-MFP2/A

Monthly Schedule of Portfolio Holdings of Money 

Market Funds on Form N-MFP

N/A EDGAR 

Form NMFP2 XML 

Technical 

Specification

NPORT-EX,

NPORT-EX/A

Portfolio Holdings Exhibit to Form N-PORT EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NPORT-NP,

NPORT-NP/A

Monthly Portfolio Investments Report on Form NPORT (Non-Public)

N/A EDGAR 

Form NPORT XML 

Technical 

Specification

NPORT-P,

NPORT-P/A

Monthly Portfolio Investments Report on Form NPORT (Public)

N/A EDGAR 

Form NPORT XML 

Technical 

Specification

N-PX, N-PX/A Annual Report of Proxy Voting Record of Registered 

Management Investment Companies filed on Form 

N-PX

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-PX-CR, 

N-PX-CR/A

Annual Form N-PX Combination Report filed by 

institutional managers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-PX-FM, 

N-PX-FM/A

Annual Report of Proxy Voting Record of Registered 

Management Investment Companies that includes 

proxy votes institutional managers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-PX-NT, 

N-PX-NT/A

Annual Form N-PX Notice filed by institutional 

managers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-PX-VR, 

N-PX-VR/A

Annual Form N-PX Voting Report filed by institutional 

managers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

N-Q, N-Q/A Quarterly Schedule of Portfolio Holdings of 

Registered Management Investment Company filed 

on Form N-Q

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-23 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

NRSRO-UPD Form NRSRO – Update of Registration for Nationally 

Recognized Statistical Rating Organizations

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NRSRO-CE, 

NRSRO-CE/A

Form NRSRO – Annual Certification for Nationally 

Recognized Statistical Rating Organizations

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NRSRO-FR, 

NRSRO-FR/A

Annual Financial/Other Reports for Nationally 

Recognized Statistical Rating Organizations, as 

required by Rule 17g-3 (Non-Public)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NRSRO-WCLS Form NRSRO – Withdrawal from Credit Rating Class 

for Nationally Recognized Statistical Rating 

Organizations

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NRSRO-WREG Form NRSRO – Withdrawal from Registration as 

Nationally Recognized Statistical Rating 

Organization

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NT 10-K, 

NT 10-K/A 

Notice under Rule 12b25 of inability to timely file all 

or part of a Form 10-K, 10-KSB, or 10-KT

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NT 10-D, 

NT 10-D/A

Notice under Rule 12b25 of inability to timely file all 

or part of a Form 10-D

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NT 10-Q,

NT 10-Q/A 

Notice under Rule 12b25 of inability to timely file all 

or part of a form 10-Q or 10-QSB

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NT 11-K, 

NT 11-K/A

Notice under Rule 12b25 of inability to timely file all 

or part of a form 11-K

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NT 15D2, 

NT 15D2/A

Notice under Rule 12b25 of inability to timely file a 

special report pursuant to Section 15d-2

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NT 20-F, 

NT 20-F/A

Notice under Rule 12b25 of inability to timely file all 

or part of an annual report of form 20-F

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-24 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

NT-NCEN,

NT-NCEN/A

Notice under Exchange Act Rule 12b-25 of inability 

to timely file Form N-CEN

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

NT-NCSR, 

NTNCSR/A

Notice under Exchange Act Rule 12b-25 of inability 

to timely file Form N-CSR (annual or semi-annual 

report)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-VP,

N-VP/A

Notice Document for Certain Variable Contracts EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

N-VPFS,

N-VPFS/A

Financial Statements for Certain Variable Contracts EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

POS 8C Post-effective amendment filed under the 1933 Act 

only or under both the 1933 and 1940 Acts pursuant 

to Section 8(c) of the 1933 Act by closed-end 

investment companies (this filing cannot be 

submitted as a 1940 Act only filing)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

POS AM Post-effective amendment to a registration statement 

that is not immediately effective upon filing

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

POS AMI Post-effective amendment (for filings made under the 

1940 Act only)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

POSASR Post-effective Amendment to an automatic shelf 

registration statement on Form S-3ASR or Form F3ASR

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

POS EX Post-effective amendment filed solely to add exhibits 

to a registration statement

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

POS462B Post-effective amendment to Securities Act Rule 

462(b) registration statement

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

POS462C Post-effective amendment to a registration statement 

filed under Rule 462(c)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-25 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

PRE 14A Preliminary proxy statement not related to a 

contested matter or merger/acquisition

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

PRE 14C Preliminary information statement not related to a 

contested matter or merger/acquisition

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

PREC14A Preliminary proxy statement in connection with 

contested solicitations

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

PREC14C Preliminary information statements - contested 

solicitations

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

PREM14A Preliminary proxy statement relating to a merger, 

acquisition, or disposition

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

PREM14C Preliminary information statements relating to merger 

or acquisition

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

PREN14A Preliminary proxy statement filed by 

non-management 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

PRER14A Preliminary revised proxy soliciting materials EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

PRER14C Preliminary revised information statements EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

PRRN14A Revised preliminary proxy statement filed by nonmanagement

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

PX14A6G Notice of exempt solicitation EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 
EDGAR Filer Manual (Volume II) 3-26 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

PX14A6N Notice of exempt solicitation for the purpose of 

determining whether to solicit proxies, consents, or 

authorizations in opposition to a proposed roll-up 

transaction filed pursuant to Rule 14a6(g) of the 

Securities Exchange Act of 1934

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

QRTLYRPT, 

QRTLYRPT/A 

Periodic Development Bank filing, submitted 

quarterly 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

RW Registration Withdrawal Request EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

RW WD Withdrawal of a Registration Withdrawal Request EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-1, S-1/A General form of registration statement for all 

companies including face-amount certificate 

companies

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

S-11, S-11/A Registration statement for securities to be issued by 

real estate companies

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-11MEF A new registration statement filed under Rule 462(b) 

to add securities to a prior related effective 

registration statement filed on Form S-11

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

S-1MEF A new registration statement filed under Rule 462(b) 

to add securities to a prior related effective 

registration statement filed on Form S-1

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-20, S-20/A Registration statement for standardized options EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

S-3, S-3/A Registration statement for specified transactions by 

certain issuers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-3ASR Automatic shelf registration statement of securities of 

well-known seasoned issuers 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-27 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

S-3D Automatically effective registration statement for 

securities issued pursuant to dividend or interest 

reinvestment plans 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-3DPOS Post-effective amendment to a S-3D registration 

statement 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-3MEF A new registration statement filed under Rule 462(b) 

to add securities to a prior related effective 

registration statement filed on Form S-3 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-4 POS Post-effective amendment to a S-4EF registration 

statement 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-4, S-4/A Registration of securities issued in business 

combination transactions 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

S-4EF Auto effective registration statement for securities 

issued in connection with the formation of a bank or 

savings and loan holding company in compliance 

with General Instruction G 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-4MEF A new registration statement filed under Rule 462(b) 

to add securities to a prior related effective 

registration statement filed on Form S-4 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

S-6, S-6/A Initial registration statement filed on Form S-6 for unit 

investment trusts 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-8 Initial registration statement for securities to be 

offered to employees pursuant to employee benefit 

plans 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-8 POS Post-effective amendment to a S-8 registration 

statement 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

S-B, S-B/A Registration statement for securities of foreign 

governments and subdivisions thereof under the 

Securities Act of 1933 (Schedule B) 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 
EDGAR Filer Manual (Volume II) 3-28 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

S-BMEF A new registration statement filed under Rule 462(b) 

to add securities to a prior related effective 

registration statement filed on Form S-B 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SBSE, SBSE/A Application for Registration of Security-based Swap 

Dealers and Major Security-based Swap Participants

EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

SBSE-A, 

SBSE-A/A

Application for Registration of Security-based Swap 

Dealers and Major Security-based Swap Participants 

that are Registered or Registering with the 

Commodity Futures Trading Commission as a Swap 

Dealer or Major Swap Participant

EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

SBSE-BD, 

SBSE-BD/A

Application for Registration of Security-based Swap 

Dealers and Major Security-based Swap Participants

that are Registered Broker-dealers

EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

SBSE-C Certifications for Registration of Security-based 

Swap Dealers and Major Security-based Swap 

Participants

EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

SBSE-W Request for Withdrawal from Registration as a 

Security-based Swap Dealer or Major Security-based 

Swap Participant

EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

SC 13D, SC 13D/A Schedule filed to report acquisition of beneficial 

ownership of 5% or more of a class of equity 

securities 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SC 13E1, 

SC 13E1/A 

Schedule 13-E1 statement of issuer required by Rule 

13e-1 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SC 13E3,

SC 13E3/A 

Schedule filed to report going private transactions EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SC 13G, SC 13G/A Schedule filed to report acquisition of beneficial 

ownership of 5% or more of a class of equity 

securities by passive investors and certain 

institutions 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 
December 2020 3-29 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

SC 14D9, 

SC 14D9/A 

Tender offer solicitation/recommendation statements 

filed under Rule 14d-9 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

SC 14F1, 

SC 14F1/A 

Statement regarding change in majority of directors 

pursuant to Rule 14f-1 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

SC 14N, SC 14N/A Information filed by certain nominating shareholders 

(pursuant to Section 240 14n-1)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SC 14N-S, 

SC 14N-S/A

Solicitation in connection with the formation or 

attempted formation of a Rule 14a-11 nominating 

shareholder group or solicitation in connection with a 

Rule 14a-11 nomination

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SC TO-C Written communication relating to an issuer or third 

party tender offer 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SC TO-I, 

SC TO-I/A 

Issuer tender offer statement EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SC TO-T, 

SC TO-T/A 

Third party tender offer statement EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SC13E4F, 

SC13E4F/A 

Issuer tender offer statement filed pursuant to Rule 

13(e)(4) by foreign issuers 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SC14D1F, 

SC14D1F/A 

Third party tender offer statement filed pursuant to 

Rule 14d-1(b) by foreign issuers 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SC14D9C Written communication by the subject company 

relating to a third party tender offer 

EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

SC14D9F, 

SC14D9F/A 

Solicitation/recommendation statement pursuant to 

Section 14(d)(4) of the Securities Exchange Act of 

1934 and Rules 14d-1(b) and 14e-2(c) by foreign 

issuers 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 
EDGAR Filer Manual (Volume II) 3-30 December 2020

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

SD, SD/A Specialized Disclosure Report filed pursuant to 

Section 1502 of the Dodd-Frank Wall Street Reform 

and Consumer Protection Act relating to the use of 

conflict minerals (Rule 13p-1)

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SDR, SDR/A,

SDR-A

Security-based swap data repository registration 

pursuant to the Securities Exchange Act of 1934. 

Application for Registration as Security-based Swap 

Data Repository (SDR), Interim Amendment to 

Application for Registration as Security-based Swap 

Data Repository (SDR/A), and Annual Amendment to 

Application for Registration as Security-based Swap 

Data Repository (SDR-A)

EDGAR 

Filing 

Website 

Online Forms

EDGAR SDR 

XML 

Technical 

Specification

SDR-CCO, 

SDR-CCO/A

Annual Compliance Report and Financial Report for 

a Security-based Swap Data Repository

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SDR-W Application for Withdrawal from Registration as 

Security-based Swap Data Repository

EDGAR 

Filing 

Website 

Online Forms

EDGAR SDR 

XML 

Technical 

Specification

SF-1, SF-1/A General form of registration statement for all issuers 

of asset-backed securities

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SF-1MEF A new registration statement filed under Securities 

Act Rule 462(b) to add securities to a prior related 

effective registration statement filed on Form SF-1

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SF-3, SF-3/A Shelf registration statement for qualified offerings of 

asset-backed securities

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SF-3MEF A new registration statement filed under Rule 462(b) 

to add securities to a prior related effective 

registration statement filed on Form SF-3

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SH-ER, SH-ER/A Weekly Form SH Entries Report Filed by Institutional 

Investment Managers

EDGARLink 

Online

SH-ER 

Information 

Table XML 

Technical 

Specification

SH-NT, SH-NT/A Weekly Form SH Notice Report Filed by Institutional 

Investment Managers

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 
December 2020 3-31 EDGAR Filer Manual (Volume II)

Submission Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

SP 15D2, 

SP 15D2/A 

Special Financial Report filed under Rule 15d-2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SUPPL Voluntary supplemental material filed pursuant to 

Section 11(a) of the Securities Act of 1933 by foreign 

issuers 

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

T-1, T-2 Note - Forms T-1 and T-2 are not filed as standalone submission types on the EDGAR system. They 

are filed as EX-25 (or EX-25/A when amended) to 

registration statements. 

No info blank cell No info blank 

cell

T-3, T-3/A Initial application for qualification of trust indentures EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

T-6, T-6/A Application for determination of eligibility of a foreign 

person to act as institutional trustee filed pursuant to 

Section 310(a)(1) of the Trust Indenture Act of 1939

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

TA-1, TA-1/A Application for registration as a transfer agent filed 

pursuant to the Securities Exchange Act of 1934

EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form TA-1 

XML 

Technical 

Specification

TA-2, TA-2/A Annual report of transfer agent activities filed 

pursuant to the Securities Exchange Act of 1934

EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form TA-2 

XML 

Technical 

Specification

TA-W Notice of withdrawal from registration as transfer 

agent filed pursuant to the Securities Exchange Act 

of 1934

EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form TA-W 

XML 

Technical 

Specification 

UNDER, UNDER/A Initial undertaking to file reports EDGARLink 

Template 3 

XFDL 

Technical 

Specification 

X-17A-5,

X-17A-5/A

Information Required of Brokers and Dealers 

Pursuant to Section 17 of the Securities Exchange 

Act of 1934 and Rules 17a-5 and 17a-12 thereunder

EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form X-17A5 XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-32 December 2020

3.2 Electronic Form Types by Act

This index will allow you to use the filing type to identify the EDGAR submission type and 

finally the tool or template you can use to either create or assemble the filing. Each of the tools 

and templates are covered in detail in separate sections of this document. The final column 

should only be used by filers or software developers who construct filings outside of the SEC 

supplied tools. Filer-Constructed Technical Specifications are available on the SEC’s Public 

Website. Please refer to these sites to determine if your version of the tool, template, or 

document is correct.

Note: Tools, templates, and documents will no longer be marked with a version number relating 

to a software release. Some tools may be specific to submission types that remain the 

same through several releases, instead of being updated with each new release. Therefore 

each tool, template and manual will now be marked with its own version number, specific 

to that particular item. You can find the most current versions on the website from which 

the tools, templates, and manuals are downloaded. Be sure to verify that you have the 

current version before filing.

Issuers are advised that filings with the submission types listed below will receive a “Filing 

Date” identical to the EDGAR “Received Date” even if received after 5:30 P.M. Eastern time, 

which is different than normal filings. In addition these filings will be disseminated until 10:00 

P.M. Eastern time. Normally filings received after 5:30 P.M. Eastern time will receive a filing 

date of the next business day and will not be disseminated until the next business day.

The following submission types will receive a filing date identical to the EDGAR “Received 

Date” and will be disseminated until 10:00 P.M. Eastern time: 3, 3/A, 4, 4/A, 5, 5/A, F-1MEF, 

F-3MEF, F-4MEF, N-14MEF, N-2MEF, POS 462B, S-11MEF, S-1MEF, S-3MEF, S-4MEF, 

S-BMEF.

You should send any fee payment made for the above registration statements to the 

Commission's lockbox. Additionally, you should submit any fee payment certification that you 

are making for the above-listed submission types, pursuant to Rule 111(b), using the 

“CORRESP” submission type.
December 2020 3-33 EDGAR Filer Manual (Volume II)

Electronic Form Types by Act

List of Tables

Table 3-1: Securities Act Submission Types Accepted by EDGAR.........................................3-34

Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed Pursuant 

to Section 14 Submission Types Accepted by EDGAR............................................................3-53

Table 3-3: Securities Exchange Act – Registration and Report Submission Types Accepted by 

EDGAR......................................................................................................................................3-58

Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR................................3-78

Table 3-5: Investment Company Submission Types Accepted by EDGAR .............................3-82

Table 3-6: Development Bank Submission Types Accepted by EDGAR...............................3-106

Table 3-7: Correspondence Submission Types........................................................................3-107
EDGAR Filer Manual (Volume II) 3-34 December 2020

Table 3-1: Securities Act Submission Types Accepted by EDGAR

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

1-A Offering Statement under Regulation A 1-A EDGAR 

Filing 

Website

EDGAR REG 

A XML 

Technical 

Specification

1-A Pre-qualification amendment for offering 

statement under Regulation A

1-A/A EDGAR 

Filing 

Website

EDGAR REG 

A XML 

Technical 

Specification

1-A POS Post-qualification amendment to a 1-A 

offering statement

1-A POS EDGAR 

Filing 

Website

EDGAR REG 

A XML 

Technical 

Specification

1-A-W Withdrawal of offering statement under 

Regulation A

1-A-W EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

1-A-W Amendment to a withdrawal of offering 

statement under Regulation A

1-A-W/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

1-K Annual Report Pursuant to Regulation A 1-K EDGAR 

Filing 

Website

EDGAR REG 

A XML 

Technical 

Specification

1-K Amendment to Annual Report Pursuant to 

Regulation A

1-K/A EDGAR 

Filing 

Website

EDGAR REG 

A XML 

Technical 

Specification

1-SA Semiannual Report Pursuant to 

Regulation A

1-SA EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

1-SA Amendment to Semiannual Report 

Pursuant to Regulation A

1-SA/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

1-U Current Report pursuant to Regulation A 1-U EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-35 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

1-U Amendment to Current Report pursuant to 

Regulation A

1-U/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

1-Z Exit Report under Regulation A 1-Z EDGAR 

Filing 

Website

EDGAR 

REG A XML 

Technical 

Specification

1-Z Amendment to Exit Report under 

Regulation A

1-Z/A EDGAR 

Filing 

Website

EDGAR 

REG A XML 

Technical 

Specification

1-Z-W Withdrawal of Exit Report under 

Regulation A

1-Z-W EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

1-Z-W Amendment to a withdrawal of Exit Report 

under Regulation A

1-Z-W/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

253G1 Reflects information previously omitted 

from the offering circular in reliance on 

Rule 253(b)

253G1 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

253G2 Reflects information that constitutes a 

substantive change from or addition to the 

information set forth in the last offering 

circular

253G2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

253G3 Reflects information covered in both 

253G1 and 253G2

253G3 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

253G4 Reflects information covered in 253G1, 

253G2, or 253G3 that is not being timely 

filed

253G4 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

C Offering Statement C EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C Offering Statement Withdrawal C-W EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-36 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

C Amendment to Offering Statement C/A EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C Amendment to Offering Statement 

Withdrawal

C/A-W EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C Progress Update C-U EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C Progress Update Withdrawal C-U-W EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C Annual Report C-AR EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C Amendment to Annual Report C-AR/A EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C Annual Report Withdrawal C-AR-W EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C Amendment to Annual Report Withdrawal C-AR/A-W EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C Termination of Reporting C-TR EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification

C Termination of Reporting Withdrawal C-TR-W EDGAR 

Filing 

Website

EDGAR 

Form C XML 

Technical 

Specification
December 2020 3-37 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

CFPORTAL Initial application of funding portal CFPORTAL EDGAR 

Filing 

Website

EDGAR 

Form 

CFPORTAL 

XML 

Technical 

Specification

CFPORTAL Amendment to registration, including a 

successor registration

CFPORTAL/A EDGAR 

Filing 

Website

EDGAR 

Form 

CFPORTAL 

XML 

Technical 

Specification

CFPORTAL Withdrawal of the funding portal’s 

registration

CFPORTAL-W EDGAR 

Filing 

Website

EDGAR 

Form 

CFPORTAL 

XML 

Technical 

Specification

D Official notice of an offering of securities 

that is made without registration under the 

Securities Act in reliance on an exemption 

provided by Regulation D and Section 

4a(5) under the Act

D Online Forms N/A 

D Amendment D/A Online Forms N/A 

DOS Non-public draft offering statement under 

Regulation A

DOS EDGAR 

Filing 

Website

N/A

DOS Non-public draft pre-qualification 

amendment for offering statement under 

Regulation A

DOS/A EDGAR 

Filing 

Website

N/A

DOS Draft Offering Statement Letter DOSLTR EDGARLink 

Online

N/A

DRS Draft registration statement submitted by 

Emerging Growth Company under 

Securities Act Section 6(e) or by Foreign 

Private Issuer under Division of 

Corporation Finance policy

DRS EDGARLink 

Online

N/A

DRS Amended Draft Registration Statement DRS/A EDGARLink 

Online

N/A

DRS Correspondence Related to Draft 

Registration Statement

DRSLTR EDGARLink 

Online

N/A
EDGAR Filer Manual (Volume II) 3-38 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

F-1 Registration statement for securities of 

certain foreign private issuers

F-1 EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

F-1 Pre-effective amendment F-1/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-1 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-1MEF A new registration statement filed under 

Rule 462(b) to add securities to a prior 

related effective registration statement 

filed on Form F-1

F-1MEF EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

F-1MEF Post-effective amendment to Securities 

Act Rule 462(b) registration statement 

POS462B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-3 Registration statement for specified 

transactions by certain foreign private 

issuers

F-3 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-3 Pre-Effective amendment F-3/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

F-3 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

F-3 Automatic shelf registration statement of 

securities of well-known seasoned issuers 

F-3ASR EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-3 Post-effective Amendment to an 

automatic shelf registration statement on 

Form S-3ASR or Form F-3ASR 

POSASR EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

F-3 Registration statement for dividend or 

interest reinvestment plan securities of 

foreign private issuers 

F-3D EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-39 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

F-3 Post-Effective amendment to a 

F-3D registration 

F-3DPOS EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

F-3MEF A new registration statement filed under 

Rule 462(b) to add securities to a prior 

related effective registration statement 

filed on Form F-3 

F-3MEF EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

F-3MEF Post-effective amendment to Securities 

Act Rule 462(b) registration statement 

POS462B EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

F-4 Registration statement for securities 

issued by foreign private issuers in certain 

business combination transactions

F-4 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-4 Pre-effective amendment F-4/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-4 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-4 Auto effective registration statement for 

securities by certain foreign private 

issuers in connection with certain 

business combination transactions 

F-4EF EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-4 Post-effective amendment to a F-4EF 

registration 

F-4 POS EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-4MEF A new registration statement filed under 

Rule 462(b) to add securities to a prior 

related effective registration statement 

filed on Form F-4

F-4MEF EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

F-4MEF Post-effective amendment to Securities 

Act Rule 462(b) registration statement 

POS462B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-6 Registration statement for American 

Depositary Receipts representing 

securities of certain foreign private issuers 

F-6 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-40 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

F-6 Pre-effective amendment F-6/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-6 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink

Online

EDGARLink

Online XML 

Technical 

Specification 

F-6 Auto effective registration statement for 

American Depositary Receipts 

representing securities of certain foreign 

private issuers 

F 6EF EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

F-6 Post-effective amendment to a F-6EF 

registration 

F-6 POS EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-7 Registration statement for securities of 

certain Canadian issuers offered for cash 

upon the exercise of rights granted to 

existing security holders under the 

Securities Act of 1933

F-7 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

F-7 Pre-effective amendment F-7/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-7 Post-effective amendment to a F-7 

registration

F-7 POS EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-8 Registration statement for securities of 

certain Canadian issuers to be issued in 

exchange offers or a business 

combination under the Securities Act of 

1933

F-8 EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

F-8 Pre-effective amendment F-8/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-8 Post-effective amendment to a F-8 

registration 

F-8 POS EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-41 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

F-10 Registration statement for securities of 

certain Canadian issuers under the 

Securities Act of 1933 

F-10 EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

F-10 Pre-effective amendment F-10/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-10 Auto effective registration statement for 

securities of certain Canadian issuers 

under the Securities Act of 1933 

F-10EF EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

F-10 Post-effective amendment to a 

F10EF registration 

F-10POS EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

F-80 Registration of securities of certain 

Canadian issuers to be issued in 

exchange offers or a business 

combination under the Securities Act of 

1933 

F-80 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

F-80 Pre-effective amendment F-80/A EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

S-1 General form of registration statement for 

all companies including face-amount 

certificate companies 

S-1 EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

S-1 Pre-effective amendment S-1/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

S-1 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

S-1MEF A new registration statement filed under 

Rule 462(b) to add securities to a prior 

related effective registration statement 

filed on Form S-1 

S-1MEF EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 
EDGAR Filer Manual (Volume II) 3-42 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

S-1MEF Post-effective amendment to Securities 

Act Rule 462(b) registration statement 

POS462B EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

S-3 Registration statement for specified 

transactions by certain issuers 

S-3 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

S-3 Pre-effective amendment S-3/A EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

S-3 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

S-3 Automatic shelf registration statement of 

securities of well-known seasoned issuers 

S-3ASR EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

S-3 Post-effective Amendment to an 

automatic shelf registration statement on 

Form S-3ASR or Form F-3ASR 

POSASR EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

S-3 Automatically effective registration 

statement for securities issued pursuant 

to dividend or interest reinvestment plans 

S-3D EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

S-3 Post-effective amendment to a 

S-3D registration statement 

S-3DPOS EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

S-3MEF A new registration statement filed under 

Rule 462(b) to add securities to a prior 

related effective registration statement 

filed on Form S-3

S-3MEF EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

S-3MEF Post-effective amendment to Securities 

Act Rule 462(b) registration statement 

POS462B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

S-4 Registration of securities issued in 

business combination transactions 

S-4 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-43 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

S-4 Pre-effective amendment S-4/A EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

S-4 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

S-4 Auto effective registration statement for 

securities issued in connection with the 

formation of a bank or savings and loan 

holding company in compliance with 

General Instruction G 

S-4EF EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

S-4 Post-effective amendment to a S-4EF 

registration statement 

S-4 POS EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

S-4MEF A new registration statement filed under 

Rule 462(b) to add securities to a prior 

related effective registration statement 

filed on Form S-4

S-4MEF EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

S-4MEF Post-effective amendment to Securities 

Act Rule 462(b) registration statement 

POS462B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

S-8 Initial registration statement for securities 

to be offered to employees pursuant to 

employee benefit plans 

S-8 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

S-8 Post-effective amendment to a S-8

registration statement 

S-8 POS EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

S-11 Registration statement for securities to be 

issued by real estate companies

S-11 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

S-11 Pre-effective amendment S-11/A EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-44 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

S-11 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

S-11MEF A new registration statement filed under 

Rule 462(b) to add securities to a prior 

related effective registration statement 

filed on Form S-11 

S-11MEF EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

S-11MEF Post-effective amendment to Securities 

Act Rule 462(b) registration statement 

POS462B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

S-20 Registration statement for standardized 

options

S-20 EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

S-20 Pre-effective amendment S-20/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

S-20 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

S-B Registration statement for securities of

foreign governments and subdivisions 

thereof under the Securities Act of 1933 

(Schedule B)

S-B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

S-B Pre-effective amendment S-B/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

S-B Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

S-BMEF A new registration statement filed under 

Rule 462(b) to add securities to a prior 

related effective registration statement 

filed on Form S-B 

S-BMEF EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-45 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

S-BMEF Post-effective amendment to Securities 

Act Rule 462(b) registration statement 

POS462B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

POS462B Post-effective amendment to Securities 

Act Rule 462(b) registration statement 

POS462B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

POS462C Post-effective amendment to a 

registration statement filed under Rule 

462(c) 

POS462C EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

POS AM Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

POS EX Post-effective amendment filed solely to 

add exhibits to a registration statement 

POS EX EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

SF-1 General form of registration statement for 

all issuers of asset-backed securities

SF-1 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

SF-1 Pre-effective amendment to an SF-1 

registration statement

SF-1/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

SF-1 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing

POS AM EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

SF-1MEF A new registration statement filed under 

Securities Act Rule 462(b) to add 

securities to a prior related effective 

registration statement filed on Form SF-1

SF-1MEF EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

SF-3 Shelf registration statement for qualified 

offerings of asset-backed securities

SF-3 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-46 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

SF-3 Pre-effective amendment to an SF-3 

registration statement

SF-3/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

SF-3 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing

POS AM EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

SF-3MEF A new registration statement filed under 

Rule 462(b) to add securities to a prior 

related effective registration statement 

filed on Form SF-3

SF-3MEF EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-47 EDGAR Filer Manual (Volume II)

Prospectus Filed Pursuant to Rule 424

Submission 

Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

424A Prospectus filed pursuant to Rule 424(a) EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

424B1 Prospectus filed pursuant to Rule 424(b)(1) EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

424B2 Prospectus filed pursuant to Rule 424(b)(2) EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

424B3 Prospectus filed pursuant to Rule 424(b)(3) EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

424B4 Prospectus filed pursuant to Rule 424(b)(4) EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

424B5 Prospectus filed pursuant to Rule 424(b)(5) EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

424B7 Prospectus filed pursuant to Rule 424(b)(7) EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

424B8 Prospectus filed pursuant to Rule 424(b)(8) EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

424H Preliminary Prospectus filed pursuant to Rule 

424(h)

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

424H/A Amendment to Preliminary Prospectus filed 

pursuant to Rule 424(h)

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-48 December 2020

Free Writing Prospectus

Submission 

Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

FWP Filing under Securities Act Rules 163/433 of 

free writing prospectuses

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-49 EDGAR Filer Manual (Volume II)

Certification by an exchange approving securities for listing

CFR Form/ 

Schedule/

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

CERT Certification by an exchange approving 

securities for listing

CERT EDGARLink 

Online

N/A

Filings Pursuant to the Trust Indenture Act

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

305B2 Application for designation of a new trustee 

under the Trust Indenture Act

305B2 EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

305B2 Amendment 305B2/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

T-3 Initial application for qualification of trust 

indentures

T-3 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

T-3 Pre-effective amendment T-3/A EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

T-6 Application for determination of eligibility of a 

foreign person to act as institutional trustee 

filed pursuant to Section 310(a)(1) of the 

Trust Indenture Act of 1939 

T-6 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

T-6 Pre-effective amendment T-6/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

Note: Forms T-1 and T-2 are not filed as stand-alone submission types on the EDGAR system. 

They are filed as EX-25 (or EX-25/A when amended) to registration statements.
EDGAR Filer Manual (Volume II) 3-50 December 2020

Filings Pursuant to Rule 144

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

144 Filing for proposed sale of securities under 

Rule 144

144 EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

144 Amendment to Form 144 

Note: Form 144 may be filed electronically on 

a voluntary basis if the issuer of the 

securities is a public company.

144/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-51 EDGAR Filer Manual (Volume II)

Miscellaneous Filings

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

APP WD Withdrawal of an application for exemptive or 

other relief from the federal securities laws

APP WD EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

APP WD Amendment to Form APP WD APP WD/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DEL AM Separately filed delaying amendment under 

Securities Act Rule 473 to delay 

effectiveness of a 1933 Act registration 

statement

DEL AM EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

UNDER Initial undertaking to file reports UNDER EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

UNDER Amendment UNDER/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

SUPPL Voluntary supplemental material filed

pursuant to Section 11(a) of the Securities 

Act of 1933 by foreign issuers 

SUPPL EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

RW Registration Withdrawal Request RW EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

RW WD Withdrawal of a Registration Withdrawal 

Request 

RW WD EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

AW Withdrawal of amendment to a registration 

statement filed under the Securities Act

AW EDGARLink 

Online

Specification 

EDGARLink

Online XML 

Technical 

Specification

AW WD Withdrawal of a request for withdrawal of an 

amendment to a registration statement

AW WD EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 
EDGAR Filer Manual (Volume II) 3-52 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

425 Filing under Securities Act Rule 425 of 

certain prospectuses and communications in 

connection with business combination 

transactions

Note: Form 425 can be filed as part of Form 

8-K. For filers subject to 8-K filing 

requirements, we recommend the use of the 

8-K combined form type as the easiest 

method for fulfilling your filing requirement for 

both forms 

425 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-X For appointment of agent for service of 

process by issuers registering securities (if 

filed on Form F-8, F-9, F-10 or F-80, or 

registering securities or filing periodic reports 

on Form 40-F, or by any person filing certain 

tender offer documents, or by any person 

acting as trustee with respect to securities 

registered on form F-7, F-8, F-9 or F-10

F-X EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-X Amendment F-X/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

F-N Notification of the appointment of an agent 

for service by certain foreign institutions

F-N EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

F-N Amendment F-N/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 
December 2020 3-53 EDGAR Filer Manual (Volume II)

Table 3-2: Securities Exchange Act - Proxy Materials and Information Statements Filed 

Pursuant to Section 14 Submission Types Accepted by EDGAR

Preliminary Proxy Soliciting Materials

Submission 

Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

PREM14A Preliminary proxy statement relating to a 

merger, acquisition, or disposition

EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

PREC14A Preliminary proxy statement in connection 

with contested solicitations 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

PREN14A Preliminary proxy statement filed by 

non-management 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

PRE 14A Preliminary proxy statement not related to 

a contested matter or merger/acquisition 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

Preliminary Information Statements

Submission 

Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

PREM14C Preliminary information statements 

relating to merger or acquisition 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

PREC14C Preliminary information statements –

contested solicitations 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

PRE 14C Preliminary information statement not 

related to a contested matter or 

merger/acquisition 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-54 December 2020

Revised Preliminary Materials

Submission 

Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

PRER14A Preliminary revised proxy soliciting 

materials 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

PRRN14A Revised preliminary proxy statement filed 

by non-management 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

PRER14C Preliminary revised information statements EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 
December 2020 3-55 EDGAR Filer Manual (Volume II)

Definitive Materials (Proxy Materials)

Submission 

Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

DEFM14A Definitive proxy statement relating to a 

merger, acquisition, or disposition

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DEFC14A Definitive proxy statement in connection 

with contested solicitations 

EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

DEFN14A Definitive proxy statement filed by 

non-management

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DFRN14A Revised definitive proxy statement filed by 

non-management

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

DEFR14A Definitive revised proxy soliciting materials EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

DEFA14A Definitive additional proxy soliciting 

materials including Rule 14(a)(12) material 

Note: Submission type DEFA14A can be 

filed as part of Form 8-K. For filers subject 

to 8-K filing requirements, we recommend 

the use of the 8-K combined form type as 

the easiest method for fulfilling your filing 

requirement for both forms 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DFAN14A Definitive additional proxy soliciting

materials filed by non-management 

including Rule 14(a)(12) material 

Note: Submission type DFAN14A can be 

filed as part of Form 8-K. For filers subject 

to 8-K filing requirements, we recommend 

the use of the 8-K combined form type as 

the easiest method for fulfilling your filing 

requirement for both forms 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

DEF 14A Definitive proxy statements EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 
EDGAR Filer Manual (Volume II) 3-56 December 2020

Submission 

Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

PX14A6G Notice of exempt solicitation EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

PX14A6N Notice of exempt solicitation for the 

purpose of determining whether to solicit 

proxies, consents, or authorizations in 

opposition to a proposed roll-up 

transaction filed pursuant to Rule 14a6(g) 

of the Securities Exchange Act of 1934 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-57 EDGAR Filer Manual (Volume II)

Definitive Materials (Information Statements)

Submission 

Type Description

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

DEFM14C Definitive information statement relating to 

merger or acquisition 

EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

DEFC14C Definitive information statement –

contested solicitations 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DEF 14C Definitive information statements EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

DEFA14C Definitive additional information statement 

materials including Rule 14(a)(12) 

material 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

DEFR14C Definitive revised information statement 

materials 

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 
EDGAR Filer Manual (Volume II) 3-58 December 2020

Table 3-3: Securities Exchange Act – Registration and 

Report Submission Types Accepted by EDGAR

Registration Statements

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

8-A Form for the registration / listing of a class of 

securities on a national securities exchange 

pursuant to Section 12(b) 

8-A12B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

8-A Amendment 8-A12B/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

8-A Form for registration of a class of securities 

pursuant to Section 12(g) 

8-A12G EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

8-A Amendment 8-A12G/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10 Initial general form for registration of a class 

of securities pursuant to Section 12(b)

10-12B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

10 Amendment 10-12B/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10 Initial general form for registration of a class 

of securities pursuant to Section 12(g)

10-12G EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

10 Amendment 10-12G/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

13H Large Trader Registration Information 

Required of Large Traders Pursuant to the 

Securities Exchange Act of 1934 and Rule 

13h-1 Thereunder

13H EDGAR 

Filing 

Website

Online Forms

N/A
December 2020 3-59 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

13H Amended Filing 13H-Q EDGAR 

Filing 

Website 

Online Forms

N/A

13H Annual Filing 13H-A EDGAR 

Filing 

Website 

Online Forms

N/A

13H Inactive Status 13H-I EDGAR 

Filing 

Website 

Online Forms

N/A

13H Reactivated Status 13H-R EDGAR 

Filing 

Website 

Online Forms

N/A

13H Termination Filing 13H-T EDGAR 

Filing 

Website 

Online Forms

N/A

20-F Form for initial registration of a class of 

securities of foreign private issuers pursuant 

to Section 12(b) 

20FR12B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

20-F Amendment 

20FR12B/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

20-F Form for initial registration of a class of 

securities of foreign private issuers pursuant 

to Section 12(g)

20FR12G EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification

20-F Amendment 20FR12G/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

40-F Registration of a class of securities of certain 

Canadian issuers pursuant to Section 12(b) 

of the 1934 Act

40FR12B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-60 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

40-F Amendment 40FR12B/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

40-F Registration of a class of securities of certain 

Canadian issuers pursuant to Section 12(g) 

of the 1934 Act 

40FR12G EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

40-F Amendment 40FR12G/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

18 Form for initial registration of securities of 

foreign governments or political subdivisions 

pursuant to Section 12(b) 

18-12B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

18 Amendment 18-12B/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

18 Form for initial registration of securities of 

foreign governments or political subdivisions 

thereof pursuant to Section 12(g) 

18-12G EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

18 Amendment 18- 12G/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

MA Application for Municipal Advisor 

Registration

MA EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form MA 

XML 

Technical 

Specification

MA Annual Update of Municipal Advisor 

Registration

MA-A EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form MA 

XML 

Technical

Specification
December 2020 3-61 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

MA Amendment of a Prior Application for 

Registration

MA/A EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form MA 

XML 

Technical 

Specification

MA-I Information Regarding Natural Persons Who 

Engage in Municipal Advisory Activities

MA-I EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form MA 

XML 

Technical 

Specification

MA-I Amendment of a previously submitted Form 

MA-I

MA-I/A EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form MA 

XML 

Technical 

Specification

MA-W Notice of Withdrawal from Registration as a 

Municipal Advisor

MA-W EDGAR 

Filing 

Website 

Online Forms

EDGAR 

Form MA 

XML 

Technical 

Specification

See Rules 

15Fb1-1 

through 

15Fb6-2

Application for Registration of Securitybased Swap Dealers and Major Securitybased Swap Participants

SBSE EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

See Rules 

15Fb1-1 

through 

15Fb6-2

Amendment to an Application for 

Registration of Security-based Swap Dealers 

and Major Security-based Swap Participants

SBSE/A EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

See Rules 

15Fb1-1 

through 

15Fb6-2

Application for Registration of Securitybased Swap Dealers and Major Securitybased Swap Participants that are Registered 

or Registering with the Commodity Futures 

Trading Commission as a Swap Dealer or 

Major Swap Participant

SBSE-A EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

See Rules 

15Fb1-1 

through 

15Fb6-2

Amendment to an Application for

Registration of Security-based Swap Dealers

and Major Security-based Swap Participants

that are Registered or Registering with the 

Commodity Futures Trading Commission as 

a Swap Dealer or Major Swap Participant

SBSE-A/A EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-62 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

See Rules 

15Fb1-1 

through 

15Fb6-2

Application for Registration of Securitybased Swap Dealers and Major Securitybased Swap Participants that are Registered 

Broker-dealers

SBSE-BD EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

See Rules 

15Fb1-1 

through 

15Fb6-2

Amendment to an Application for 

Registration of Security-based Swap Dealers

and Major Security-based Swap Participants

that are Registered Broker-dealers

SBSE-BD/A EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

See Rules 

15Fb1-1 

through 

15Fb6-2

Certifications for Registration of Securitybased Swap Dealers and Major Securitybased Swap Participants

SBSE-C EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

See Rules 

15Fb1-1 

through 

15Fb6-2

Request for Withdrawal from Registration as

a Security-based Swap Dealer or Major 

Security-based Swap Participant

SBSE-W EDGAR 

Filing 

Website 

Online Forms

EDGAR SBS 

Entity Forms 

XML 

Technical 

Specification

SDR Application for Registration as Securitybased Swap Data RepositorySDR EDGAR 

Filing 

Website 

Online Forms

EDGAR SDR 

XML 

Technical 

Specification

SDR Interim Amendment to Application for 

Registration as Security-based Swap Data 

Repository

SDR/A EDGAR 

Filing 

Website 

Online Forms

EDGAR SDR 

XML 

Technical 

Specification

SDR Annual Amendment to Application for 

Registration as Security-based Swap Data 

Repository

SDR-A EDGAR 

Filing 

Website 

Online Forms

EDGAR SDR 

XML 

Technical 

Specification

SDR-W Application for Withdrawal from Registration 

as Security-based Swap Data Repository

SDR-W EDGAR 

Filing 

Website 

Online Forms

EDGAR SDR 

XML 

Technical 

Specification
December 2020 3-63 EDGAR Filer Manual (Volume II)

Annual, Quarterly, and Periodic Reports

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

ABS-EE Form for Submission of Electronic Exhibits 

in asset-backed securities offerings

ABS-EE EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification,

EDGAR ABS 

XML 

Technical 

Specification

ABS-EE Amendment to Form for Submission of 

Electronic Exhibits in asset-backed 

securities offerings

ABS-EE/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification,

EDGAR ABS 

XML 

Technical 

Specification

ARS Annual report to security holders ARS EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

ARS Amendment

Note: Use this submission type when 

furnishing the annual report to security 

holders for the information of the 

Commission pursuant to Rule 14a-3(c) or 

Rule 14c-3(b). Portions of the annual report 

to security holders filed with the 

Commission as part of a registration 

statement or periodic report should be filed 

as Exhibit 13, as provided by Item 601 of 

Regulation S-K and S-B.

ARS/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

IRANNOTICE Notice of disclosure filed in Exchange Act 

quarterly and annual reports pursuant to 

Section 219 of the Iran Threat Reduction 

and Syria Human Rights Act of 2012 and 

Section 13(r) of the Exchange Act

IRANNOTICE EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SD Specialized Disclosure Report filed 

pursuant to Section 1502 of the Dodd-Frank 

Wall Street Reform and Consumer 

Protection Act relating to the use of conflict 

minerals (Rule 13p-1)

SD EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-64 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

SD Amendment SD/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SDR-CCO Annual Compliance Report and Financial 

Report for a Security-based Swap Data 

Repository

SDR-CCO EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

SDR-CCO Amendment to Annual Compliance Report 

and Financial Report for a Security-based 

Swap Data Repository

SDR-CCO/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

X-17A-5 Annual Reports for a Broker-dealer 

pursuant to Section 17 of the Securities 

Exchange Act of 1934 and Rules 17a-5 and 

17a-12 thereunder

X-17A-5 EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

X-17A-5 XML 

Technical 

Specification

X-17A-5 Amendment to Annual Reports for a Brokerdealer pursuant to Section 17 of the 

Securities Exchange Act of 1934 and Rules

17a-5 and 17a-12 thereunder

X-17A-5/A EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

X-17A-5 XML 

Technical 

Specification

6-K Current report of foreign issuer pursuant to 

Rules 13a-16 and 15d-16 

6-K EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

6-K Amendments 6-K/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10-Q Quarterly report pursuant to Sections 13 or 

15(d)

10-Q EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

10-Q Amendment 10-Q/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10-Q Transition report pursuant to Rule 13a-10 or 

15d-10 

10-QT EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-65 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

10-K Annual report pursuant to Section 13 and 

15(d)

10-K EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

10-K Amendment 10-K/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10-K Transition report pursuant to Rule 13a-10 or 

15d-10

10-KT EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

10-K Amendment 10-KT/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

10-D Periodic distribution reports by assetbacked issuers pursuant to Rule 13a-17 or 

15d-17 

10-D EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

10-D Amendment 10-D/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

8-K Current report filing 8-K EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

8-K Amendment 8-K/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

8-K Notification that a class of securities of 

successor issuer is deemed to be 

registered pursuant to Section 12(b)

8-K12B EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

8-K Amendment 8-K12B/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-66 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

8-K Notification that a class of securities of 

successor issuer is deemed to be 

registered pursuant to Section 12(g) 

8-K12G3 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

8-K Amendment 8-K12G3/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

8-K Notification of assumption of duty to report 

by successor issue under Section 15(d) 

8-K15D5 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

8-K Amendment 8-K15D5/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

11-K Annual report of employee stock purchase, 

savings and similar plans

11-K EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

11-K Amendment 11-K/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

11-K Transition report pursuant to rule 13a-10 or 

15d-10 

11-KT EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

11-K Amendment 11-KT/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

18-K Annual report for foreign governments and 

political subdivisions 

18-K EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

18-K Amendment 18-K/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-67 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

20-F Annual and transition report of foreign 

private issuers pursuant to Section 13 or 

15(d)

20-F EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

20-F Amendment 20-F/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

40-F Annual report filed by certain Canadian 

issuers pursuant to Section 15(d) and Rule 

15d-4

40-F EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

40-F Amendment 40-F/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

12b-25 Notice under Rule 12b25 of inability to 

timely file all or part of a form 10-Q or 

10-QSB

NT 10-Q EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

12b-25 Amendment NT 10-Q/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

12b-25 Notice under Rule 12b25 of inability to 

timely file all or part of a form 10-K, 10-KSB, 

or 10-KT 

NT 10-K EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

12b-25 Amendment NT 10-K/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

12b-25 Notice under Rule 12b25 of inability to 

timely file all or part of a Form 10-D 

NT 10-D EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

12b-25 Amendment NT 10-D/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-68 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

12b-25 Notice under Rule 12b25 of inability to 

timely file all or part of a form 11-K

NT 11-K EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

12b-25 Amendment NT 11-K/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

12b-25 Notice under Rule 12b25 of inability to 

timely file a special report pursuant to 

Section 15d-2 

NT 15D2 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

12b-25 Amendment NT 15D2/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

12b-25 Notice under Rule 12b25 of inability to 

timely file all or part of an annual report of 

form 20-F 

NT 20-F EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

12b-25 Amendment NT 20-F/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

12b-25 Notice under Exchange Act Rule 12b-25 of 

inability to timely file Form N-CEN

NT-NCEN EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

12b-25 Amendment NT-NCEN/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

15 Notice of termination of registration of a 

class of securities under Section 12(b)

15-12B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

15 Amendment 15-12B/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-69 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

15 Notice of termination of registration of a 

class of securities under Section 12(g) 

15-12G EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

15 Notice of suspension of duty to file reports 

pursuant to Section 13 and 15(d) of the Act

15-15D EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

15 Amendment 15-15D/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

See Rule 

15d-2

Special Financial Report filed under Rule 

15d-2

SP 15D2 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

See Rule 

15d-2

Amendment SP 15D2/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

15F Notice of termination of a foreign private 

issuer’s registration of a class of securities 

under Section 12(b) 

15F-12B EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

15F Amendment 15F-12B/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

15F Notice of termination of a foreign private 

issuer’s registration of a class of securities 

under Section 12(g) 

15F-12G EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

15F Amendment 15F-12G/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

15F Notice of a foreign private issuer’s 

suspension of duty to file reports pursuant 

to Section 13 and 15(d) of the Act

15F-15D EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-70 December 2020

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

15F Amendment 15-15D/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

See Rules 

17h-1T and 

17h-2T

Confidential broker dealer annual 17-H 

report

17HACON EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

17-H XML 

Technical 

Specification

See Rules 

17h-1T and 

17h-2T

Amendment for confidential broker dealer 

annual 17-H report

17HACON/A EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

17-H XML 

Technical 

Specification

See Rules 

17h-1T and 

17h-2T

Confidential broker dealer quarterly 17-H

report

17HQCON EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

17-H XML 

Technical 

Specification

See Rules 

17h-1T and 

17h-2T

Amendment for confidential broker dealer 

quarterly 17-H report

17HQCON/A EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

17-H XML 

Technical 

Specification

Dodd-Frank Submission Types/Filings

CFR Form/ 

Schedule/

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

ABS-15G Asset-backed securities report pursuant to 

Section 15G

ABS-15G EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

ABS-15G Amendment ABS-15G/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-71 EDGAR Filer Manual (Volume II)

Nationally Recognized Statistical Rating Organization Submission Types/Filings

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

NRSRO Update of Registration for Nationally 

Recognized Statistical Rating Organizations

NRSROUPDEDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

NRSRO Annual Certification for Nationally 

Recognized Statistical Rating Organizations

NRSRO-CE EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

NRSRO Amendment to Annual Certification for 

Nationally Recognized Statistical Rating 

Organizations

NRSROCE/AEDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

NRSRO Withdrawal from Credit Rating Class for 

Nationally Recognized Statistical Rating 

Organizations

NRSROWCLSEDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

NRSRO Withdrawal from Registration as Nationally 

Recognized Statistical Rating Organization

NRSROWREGEDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

Rule 17g-3 Annual Financial/Other Reports for 

Nationally Recognized Statistical Rating 

Organizations, as required by Rule 17g-3 

(Non-Public)

NRSRO-FR EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

Rule 17g-3 Amendment to Annual Financial/Other 

Reports for Nationally Recognized Statistical 

Rating Organizations, as required by Rule 

17g-3 (Non-Public)

NRSROFR/AEDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-72 December 2020

Miscellaneous Submission Types/Filings

CFR Form/ 

Schedule/

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form 13F Initial Quarterly Form 13F Holdings 

Report filed by institutional managers

Initial Quarterly Form 13F Combination 

Report filed by institutional managers

13F-HR EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

13F XML 

Technical 

Specification

Form 13F Amendment 13F-HR/A EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

13F XML 

Technical 

Specification

Form 13F Initial Quarterly Form 13F Notice Report 

filed by institutional managers

13F-NT EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

13F XML 

Technical 

Specification

13F Amendment 13F-NT/A EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

13F XML 

Technical 

Specification

Form APP WD Withdrawal of an application for 

exemptive or other relief from the federal 

securities laws

APP WD

APP WD/A

EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

Form N-MFP2 Monthly Schedule of Portfolio Holdings of 

Money Market Funds on Form N-MFP

N-MFP2

N-MFP2/A

N/A EDGAR Form 

N-MFP2 XML 

Technical 

Specification

Form SH Weekly Form SH Entries Report Filed by 

Institutional Investment Managers

SH-ER EDGARLink 

Online

SH-ER 

Information 

table only:

SH-ER 

Information 

Table XML 

Technical 

Specification
December 2020 3-73 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form SH Amendment SH-ER/A EDGARLink 

Online

SH-ER/A 

Information 

table only:

SH-ER 

Information 

Table XML 

Technical 

Specification 

Form SH Weekly Form SH Notice Report Filed by 

Institutional Investment Managers

SH-NT EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

Form SH Amendment SH-NT/A EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

Form RW Registration Withdrawal Request RW EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

Form RW Withdrawal of a registration withdrawal 

statement

RW WD EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

Form AW Withdrawal of an amendment to a 

registration statement filed under the 

Securities Act

AW EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

Form AW Withdrawal of an amendment registration 

withdrawal statement

AW WD EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

Form 425 Filing under Securities Act Rule 425 of 

certain prospectuses and 

communications in connection with 

business combination transactions

Note: Form 425 can be filed as part of 

Form 8-K. For filers subject to 8K filing 

requirements, we recommend the use of 

the 8-K combined form type as the 

easiest method for fulfilling your filing 

requirement for both forms.

425 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-74 December 2020

CFR Form/ 

Schedule/

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form 25 Notification filed by issuer to voluntarily 

withdraw a class of securities from listing 

and registration on a national securities 

exchange 

25 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification

Form 25 Amendment 25/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form 25 Notification filed by national security 

exchange to report the removal from 

listing and registration of matured, 

redeemed or retired securities

25-NSE Distributed 

to National 

Securities 

Exchanges 

only

Distributed to 

National 

Securities 

Exchanges 

only

Form 25 Amendment 25-NSE/A Distributed 

to National 

Securities 

Exchanges 

only

Distributed to 

National 

Securities 

Exchanges 

only
December 2020 3-75 EDGAR Filer Manual (Volume II)

Section 16 Ownership Forms/Filings

CFR Form/ 

Schedule/

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form 3 Initial statement of beneficial ownership of 

securities

3 Online 

Forms

EDGAR 

Ownership 

XML 

Technical 

Specification

Form 3 Amendment 3/A Online 

Forms

EDGAR 

Ownership 

XML 

Technical 

Specification

Form 4 Statement of changes in beneficial 

ownership of securities

4 Online 

Forms

EDGAR 

Ownership 

XML 

Technical 

Specification

Form 4 Amendment 4/A Online 

Forms

EDGAR 

Ownership

XML 

Technical 

Specification

Form 5 Annual statement of changes in beneficial 

ownership of securities

5 Online 

Forms

EDGAR 

Ownership 

XML 

Technical 

Specification

Form 5 Amendment 5/A Online 

Forms

EDGAR 

Ownership 

XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-76 December 2020

Section 17A Transfer Agent Forms/Filings

CFR Form/ 

Schedule/

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

TA-1 Application for registration as a transfer 

agent filed pursuant to the Securities 

Exchange Act of 1934

TA-1 EDGAR 

Filing 

Website 

Online 

Forms

EDGAR TA-1 

XML 

Technical 

Specification

TA-1 Amendment TA-1/A EDGAR 

Filing 

Website 

Online 

Forms

EDGAR TA-1 

XML 

Technical 

Specification

TA-2 Annual report of transfer agent activities filed 

pursuant to the Securities Exchange Act of 

1934

TA-2 EDGAR 

Filing 

Website 

Online 

Forms

EDGAR TA-2

XML 

Technical 

Specification

TA-2 Amendment TA-2/A EDGAR 

Filing 

Website 

Online 

Forms

EDGAR TA-2

XML 

Technical 

Specification

TA-W Notice of withdrawal from registration as 

transfer agent filed pursuant to the Securities 

Exchange Act of 1934

TA-W EDGAR 

Filing 

Website 

Online 

Forms

EDGAR TA-W

XML 

Technical 

Specification
December 2020 3-77 EDGAR Filer Manual (Volume II)

NMS Stock ATSs

CFR Form/ 

Schedule/Rule Description Submission Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form ATS-N Initial Form ATS-N Rule (304(a)(1)(i)) ATS-N EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

ATS-N XML 

Technical 

Specification

Form ATS-N Material Amendment Rule 

(304(a)(2)(i)(A))

ATS-N/MA EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

ATS-N XML 

Technical 

Specification

Form ATS-N Updating Amendment Rule 

(304(a)(2)(i)(B))

ATS-N/UA EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

ATS-N XML 

Technical 

Specification

Form ATS-N Correcting Amendment Rule 

(304(a)(2)(i)(C))

ATS-N/CA EDGAR

Filing 

Website 

Online 

Forms

EDGAR Form 

ATS-N XML 

Technical 

Specification

Form ATS-N Order Display and Fair Access 

Amendment (Rule 304(a)(2)(i)(D))

ATS-N/OFA EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

ATS-N XML 

Technical 

Specification

Form ATS-N Notice of Cessation (Rule 304(a)(3)) ATS-N-C EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

ATS-N XML 

Technical 

Specification

Form ATS-N Withdrawal of Form ATS-N filing ATS-N-W EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

ATS-N XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-78 December 2020

Table 3-4: Williams Act Filing Submission Types Accepted by EDGAR

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Schedule 13D Schedule filed to report 

acquisition of beneficial 

ownership of 5% or more of a 

class of equity securities 

SC 13D EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

Schedule 13D Amendment SC 13D/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Schedule 13-E1 Schedule 13-E1 statement of 

issuer required by Rule 13e-1 

SC 13E1 EDGARLink 

Online 

EDGARLink

Online XML 

Technical 

Specification 

Schedule 13-E1 Amendment SC 13E1/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Schedule 13E-3 Schedule filed to report going 

private transactions 

SC 13E3 EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

Schedule 13E-3 Amendment SC 13E3/A EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

Schedule 13E4F Issuer tender offer statement 

filed pursuant to Rule 

13(e)(4) by foreign issuers 

SC13E4F EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification 

Schedule 13E4F Amendment SC13E4F/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Schedule 13G Schedule filed to report 

acquisition of beneficial 

ownership of 5% or more of a 

class of equity securities by 

passive investors and certain 

institutions 

SC 13G EDGARLink 

Online

EDGARLink

Online XML 

Technical 

Specification
December 2020 3-79 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Schedule 13G Amendment SC 13G/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Schedule 14A-11 Information filed by certain 

nominating shareholders 

(pursuant to Section 240 

14n-1)

SC 14N EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Schedule 14A-11 Amendment SC 14N/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Schedule TO-I Issuer tender offer statement SC TO-I EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Schedule TO-I Amendment SC TO-I/A EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification 

Schedule TO-T Third party tender offer 

statement

SC TO-T EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Schedule TO-T Amendment SC TO-T/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Schedule TO-C Written communication 

relating to an issuer or third 

party tender offer 

Note: Form Schedule TO-C 

can be filed as part of Form 

8-K. For filers subject to 8-K 

filing requirements, we 

recommend the use of the 

8-K combined form type as 

the easiest method for 

fulfilling your filing 

requirement for both forms 

SC TO-C EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification 
EDGAR Filer Manual (Volume II) 3-80 December 2020

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Schedule 14D1F Third party tender offer 

statement filed pursuant to 

Rule 14d-1(b) by foreign 

issuers 

SC14D1F EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

Schedule 14D1F Amendment SC14D1F/A EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

Schedule 14D9-C Written communication by the 

subject company relating to a 

third party tender offer 

SC14D9C EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Schedule 14D9 Tender offer solicitation / 

recommendation statements 

filed under Rule 14-d9 

SC 14D9 EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification 

Schedule 14D9 Amendment SC 14D9/A EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

Schedule 14D9F Solicitation/recommendation 

statement pursuant to 

Section 14(d)(4) of the 

Securities Exchange Act of 

1934 and Rules 14d-1(b) and 

14e-2(c) by foreign issuers

SC14D9F EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification 

Schedule 14D9F Amendment SC14D9F/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Schedule 14F-1 Statement regarding change 

in majority of directors 

pursuant to Rule 14f-1 

SC 14F1 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Schedule 14F-1 Amendment SC 14F1/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-81 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

CB Notification form filed in 

connection with certain 

tender offers, business 

combinations and rights 

offerings, in which the subject 

company is a foreign private 

issuer of which less than 10% 

of its securities are held by 

U.S. persons 

CB EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification 

CB Amendment CB/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-82 December 2020

Table 3-5: Investment Company Submission Types Accepted by EDGAR

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Forms S-1 & S-3 Registration statement for faceamount certificate companies 

No info blank 

cell

No info 

blank cell

No info blank 

cell

Forms S-1 & S-3 General form of registration 

statement for all companies 

including face-amount certificate 

companies 

S-1 EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

Forms S-1 & S-3 Pre-effective amendment S-1/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Forms S-1 & S-3 Registration statement for 

specified transactions by certain 

issuers including face-amount 

certificate companies 

S-3 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Forms S-1 & S-3 Pre-effective amendment S-3/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Forms S-1 & S-3 Post-effective amendment to a 

registration statement that is not 

immediately effective upon filing 

POS AM EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Forms S-1 & S-3 Definitive materials filed under 

paragraph (a), (b), (c), (d), (e) or 

(f) of Securities Act Rule 497 

497 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Forms S-1 & S-3 Certification of no change in 

definitive materials under 

paragraph (j) of Securities Act 

Rule 497 

497J EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-1A Registration statement for openend management investment 

companies 

No info blank 

cell

No info 

blank cell

No info blank 

cell

Form N-1A Initial registration statement filed 

on Form N-1A for open-end 

management investment 

companies 

N-1A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-83 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-1A Pre-effective amendment to a 

registration statement filed on 

Form N-1A for open-end 

management investment 

companies (this filing cannot be 

submitted as a 1940 Act only 

filing) 

N-1A/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-1A Post-effective amendment filed 

pursuant to Securities Act Rule 

485(a) (this filing cannot be 

submitted as a 1940 Act only 

filing)

485APOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-1A Post-effective amendment filed 

pursuant to Securities Act Rule 

485(b) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485BPOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-1A Post-effective amendment (for 

filings made under the 1940 Act 

only)

POS AMI EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-1A Post-effective amendment filed 

pursuant to Securities Act Rule 

485(b)(1)(iii) to designate a new 

effective date for a post-effective 

amendment previously filed 

pursuant to Securities Act Rule 

485(a) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485BXT EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form N-1A Definitive materials filed under 

paragraph (a), (b), (c), (d), (e) or 

(f) of Securities Act Rule 497 

497 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-1A Certification of no change in 

definitive materials under 

paragraph (j) of Securities Act 

Rule 497 

497J EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 498 Summary Prospectus for certain 

open-end management 

investment companies filed 

pursuant to Securities Act Rule 

497(k)

497K EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-84 December 2020

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Rule 498A Initial summary prospectus for 

variable contracts filed pursuant 

to Securities Act Rule 497(k)

497VPI EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 498A Updating summary prospectus 

for variable contracts filed 

pursuant to Securities Act Rule 

497(k)

497VPU EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Initial filing of a registration 

statement on Form N-2 for 

closed-end investment 

companies 

N-2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Pre-effective amendment to a 

registration statement on Form 

N-2 for closed-end investment 

companies (this filing cannot be 

submitted as a 1940 Act only 

filing) 

N-2/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Automatic shelf registration 

statement on Form N-2 for wellknown seasoned issuers

N-2ASR EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Post-effective amendment to an 

automatic shelf registration 

statement on Form N-2 for wellknown seasoned issuers

N-2 POSASR EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Post-effective amendment (for 

filings made under the 1940 Act 

only) 

POS AMI EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Post-effective amendment filed 

under the 1933 Act only or under 

both the 1933 and 1940 Acts 

pursuant to Section 8(c) of the 

1933 Act by closed-end 

investment companies (this filing 

cannot be submitted as a 1940 

Act only filing) 

POS 8C EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-85 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-2 Filing of a Form N-2 registration 

statement by closed-end 

investment companies pursuant 

to Securities Act Rule 486(a) for 

the purpose of registering 

additional shares of common 

stock

N-2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Post-effective amendment to 

filing filed pursuant to Securities 

Act Rule 486(a) (this filing cannot 

be submitted as a 1940 Act only 

filing)

486APOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Filing of a Form N-2 registration 

statement by closed-end 

investment companies pursuant 

to Securities Act Rule 486(b) for 

the purpose of registering 

additional shares of common 

stock

N-2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Post-effective amendment to 

filing filed pursuant to Securities 

Act Rule 486(b) (this filing cannot 

be submitted as a 1940 Act only 

filing)

486BPOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Post-effective amendment filed 

pursuant to Securities Act Rule 

486(b)(1)(iii) to designate a new 

effective date for a post-effective 

amendment previously filed 

pursuant to Securities Act Rule 

486(a) (this filing cannot be 

submitted as a 1940 Act only 

filing)

486BXT EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Definitive materials filed under 

paragraph (a), (b), (c), (d), (e) or 

(f) of Securities Act Rule 497 

497 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Certification of no change in 

definitive materials 

497J EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 
EDGAR Filer Manual (Volume II) 3-86 December 2020

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-2 A new registration statement on 

Form N-2 filed under Securities 

Act Rule 462(b) by closed-end 

investment companies of up to 

an additional 20% of securities 

for an offering that was 

registered on Form N-2

N-2MEF EDGARLink 

Online

EDGARLink 

Online XML

Technical 

Specification

Form N-2 Post-effective amendment to 

Securities Act Rule 462(b) 

registration statement 

POS462B EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Post-effective amendment to a 

registration statement filed under 

Securities Act Rule 462(c)

POS462C EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Post-effective amendment filed 

solely to add exhibits to a 

registration statement 

POS EX EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form N-2 Definitive materials filed under 

paragraph (a), (b), (c), (d), (e) or 

(f) of Securities Act Rule 497 

497 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-2 Filings made pursuant to Rule 

497(h)(2) 

497H2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-3 Initial registration statement on 

Form N-3 for separate accounts 

(management investment 

companies) 

N-3 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-3 Pre-effective amendment to a 

registration statement on Form 

N-3 for separate accounts 

(management investment 

companies) (this filing cannot be 

submitted as a 1940 Act only 

filing)

N-3/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-3 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(a) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485APOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-87 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-3 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(b) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485BPOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-3 Post-effective amendment (for 

filings made under the 1940 Act 

only) 

POS AMI EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-3 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(b)(1)(iii) to designate a new 

effective date for a post-effective 

amendment previously filed 

pursuant to Securities Act Rule 

485(a) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485BXT EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-3 Definitive materials filed under 

paragraph (a), (b), (c), (d), (e) or 

(f) of Securities Act Rule 497 

497 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-3 Certification of no change in 

definitive materials under 

paragraph (j) of Securities Act 

Rule 497 

497J EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-4 Initial registration statement on 

Form N-4 for separate accounts 

(unit investment trusts) 

N-4 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-4 Pre-effective amendment to a 

registration statement on Form 

N-4 for separate accounts (unit 

investment trusts) (this filing 

cannot be submitted as a 1940 

Act only filing)

N-4/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-4 Pre-effective pricing amendment 

filed pursuant to Securities Act 

Rule 487

487 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-4 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(a) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485APOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-88 December 2020

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-4 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(b) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485BPOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form N-4 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(b)(1)(iii) to designate a new 

effective date for a post-effective 

amendment previously filed 

pursuant to Securities Act Rule 

485(a) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485BXT EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-4 Post-effective amendment (for 

filings made under the 1940 Act 

only) 

POS AMI EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-4 Definitive materials filed under 

paragraph (a), (b), (c), (d), (e) or 

(f) of Securities Act Rule 497 

497 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-4 Certification of no change in 

definitive materials under 

paragraph (j) of Securities Act 

Rule 497 

497J EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-5 Registration statement for small 

business investment companies

N-5 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-5 Pre-effective amendment to a 

registration statement on Form 

N-5 for small business 

investment companies (this filing 

cannot be submitted as a 1940 

Act only filing)

N-5/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-5 Post-effective amendment (for 

filings made under the 1940 Act 

only)

POS AMI EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-89 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-5 Post-effective amendment filed 

under the 1933 Act only or under 

both the 1933 and 1940 Acts 

pursuant to Section 8(c) of the 

1933 Act by closed-end 

investment companies (this filing 

cannot be submitted as a 1940 

Act only filing)

POS 8C EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-5 Definitive materials filed under 

paragraph (a), (b), (c), (d), (e) or 

(f) of Securities Act Rule 497

497 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-5 Certification of no change in 

definitive materials under 

paragraph (j) of Securities Act 

Rule 497

497J EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-6 Registration statement for 

separate accounts (unit 

investment trusts) 

N-6 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form N-6 Pre-effective amendment to a 

registration statement filed on 

Form N-6 for separate accounts 

(unit investment trusts)

N-6/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form N-6 Pre-effective pricing amendment 

filed pursuant to Securities Act 

Rule 487

487 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-6 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(a) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485APOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form N-6 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(b) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485BPOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-90 December 2020

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-6 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(b)(1)(iii) to designate a new 

effective date for a post-effective 

amendment previously filed 

pursuant to Securities Act Rule 

485(a) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485BXT EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-6 Post-effective amendment (for 

filings made under the 1940 Act 

only) 

POS AMI EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-6 Definitive materials filed under 

paragraph (a), (b), (c), (d), (e) or 

(f) of Securities Act Rule 497 

497 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form N-6 Certification of no change in 

definitive materials under 

paragraph (j) of Securities Act 

Rule 497 

497J EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form S-6 Initial registration statement filed 

on Form S-6 for unit investment 

trusts 

S-6 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form S-6 Pre-effective amendment S-6/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form S-6 Pre-effective pricing amendment 

filed pursuant to Securities Act 

Rule 487

487 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form S-6 Initial undertaking to file reports UNDER EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form S-6 Amendment UNDER/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-91 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form S-6 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(a) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485APOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form S-6 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(b) (this filing cannot be 

submitted as a 1940 Act only 

filing)

485BPOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form S-6 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(b)(1)(iii) to designate a new 

effective date for a post-effective 

amendment previously filed 

pursuant to Securities Act Rule 

485(a) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485BXT EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form S-6 Definitive materials filed under 

paragraph (a), (b), (c), (d), (e) or 

(f) of Securities Act Rule 497 

497 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form S-6 Certification of no change in 

definitive materials under 

paragraph (j) of Securities Act 

Rule 497 

497J EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-14 Initial registration statement filed 

on Form N-14 for open-end 

investment company, including 

those filed with automatic 

effectiveness under Rule 488 

(business combinations) 

N-14 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-14 Pre-effective amendment N-14/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-14 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(a) (this filing cannot be 

submitted as a 1940 Act only 

filing)

485APOS

EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-92 December 2020

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-14 Post-effective amendment filed 

pursuant to Securities Act Rule 

485(b) (this filing cannot be 

submitted as a 1940 Act only 

filing) 

485BPOS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-14 Initial registration statement filed 

on Form N-14 by closed-end 

investment company (business 

combinations) 

N-14 8C EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-14 Pre-effective amendment N-14 8C/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-14 Post-effective amendment filed 

under the 1933 Act only or under 

both the 1933 and 1940 Acts 

pursuant to Section 8(c) of the 

1933 Act by closed-end 

investment companies (this filing 

cannot be submitted as a 1940 

Act only filing) 

POS 8C EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-14 Definitive materials filed under 

paragraph (a), (b), (c), (d), (e) or 

(f) of Securities Act Rule 497 

497 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-14 Certification of no change in 

definitive materials under 

paragraph (j) of Securities Act 

Rule 497 

497J EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-14 A new registration statement 

filed on Form N-14 by closed end 

investment companies filed 

under Securities Act Rule 462(b) 

of up to an additional 20% of 

securities for an offering that was 

registered on Form N-14

N-14MEF EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form N-14 Post-effective amendment to 

Securities Act Rule 462(b) 

registration statement

POS462B EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-14 Post-effective amendment to 

Securities Act Rule 462(c) 

registration statement 

POS462C EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-93 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-14 Definitive materials filed under 

paragraph (a), (b), (c), (d), (e) or 

(f) of Securities Act Rule 497 

497 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-94 December 2020

Miscellaneous Filings Under the Securities Act

CFR Form/ 

Schedule/ Rule

Description Submission

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Rule 425 Filing under Securities Act Rule 

425 of certain prospectuses and 

communications in connection 

with business combination 

transactions

Note: Form 425 can be filed as 

part of Form 8-K. For filers 

subject to 8-K filing 

requirements, we recommend 

the use of the 8-K combined 

form type as the easiest method 

for fulfilling your filing 

requirement for both forms 

425 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 473 Separately filed delaying 

amendment under Securities Act 

Rule 473 to delay effectiveness 

of a 1933 Act registration 

statement

DEL AM EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Rule 477 Withdrawal of an application for 

exemptive or other relief from the 

federal securities laws

APP WD EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 477 Withdrawal of an amendment to 

an application for exemptive or 

other relief from the federal 

securities laws

APP WD/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 477 Registration Withdrawal Request RW EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 477 Withdrawal of a request for 

withdrawal of a registration 

statement 

RW WD EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 477 Withdrawal of amendment to a 

registration statement filed under 

the Securities Act

AW EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 477 Withdrawal of a request for 

withdrawal of an amendment to a 

registration statement

AW WD EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-95 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Rule 482 Filing by certain investment 

companies of Securities Act Rule 

482 advertising in accordance 

with Securities Act Rule 497 

497AD EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Registration of Securities by Certain Investment Companies Pursuant to Rule 24F-2

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Rule 24F-2 Rule 24f-2 notice filed on Form 

24F-2

24F-2NT EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 24F-2 Amendment 24F-2NT/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Other Company Act Registration Statements

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-8A Initial notification of registration 

under Section 8(a) filed on Form 

N-8A 

N-8A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form N-8A Amendment N-8A/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-8B-2 Initial registration statement for 

unit investment trusts filed on 

Form N-8B-2 

N-8B-2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-8B-2 Amendment N-8B-2/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-8B-3 Initial registration statement for 

periodic payment plans filed on 

Form N-8B-3 

N-8B-3 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 
EDGAR Filer Manual (Volume II) 3-96 December 2020

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-8B-3 Amendment N-8B-3/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-8B-4 Initial registration statement for 

face-amount certificate 

companies filed on Form N-8B-4 

N-8B-4 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-8B-4 Amendment N-8B-4/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Submission Types for Business Development Companies

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-6F Notice of intent by business 

development companies to elect 

to be subject to Sections 55 

through 65 of the 1940 Act filed 

on Form N-6F 

N-6F EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-6F Amendment N-6F/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-54A Notification of election by 

business development 

companies filed on Form N-54A 

N-54A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-54A Amendment N-54A/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-54C Notification of withdrawal by 

business development 

companies filed on Form N-54C 

N-54C EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form N-54C Amendment N-54C/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-97 EDGAR Filer Manual (Volume II)

Other Investment Company Submission Types

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Rule 8b-25(a) Filing by investment company of 

application under Investment 

Company Act Rule 8b-25(a) 

requesting extension of time for 

filing certain information, 

document or report 

40-8B25 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form 17F-1 Initial certificate of accounting of 

securities and similar 

investments in the custody of 

management investment 

companies filed pursuant to Rule 

17f-1 of the Investment 

Company Act of 1940 filed on 

Form N-17F-1 

40-17F1 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Form 17F-1 Amendment 40-17F1/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form 17F-2 Initial certificate of accounting of 

securities and similar 

investments in the custody of 

management investment 

companies filed pursuant to Rule 

17f-2 of the Investment 

Company Act of 1940 filed on 

Form N-17F-2 

40-17F2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form 17F-2 Amendment 40-17F2/A EDGARLink 

Online

EDGARLink 

Online XML

Technical 

Specification

Rule 17g-1(g)(1) Fidelity bond filed pursuant to 

Rule 17g-1(g)(1) of the 

Investment Company Act of 

1940 

40-17G EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 17g-1(g)(1) Amendment 40-17G/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 17g-1(g)(2) 

or (3)

Filings of claim or settlement 

pursuant to rule 17g-1(g)(1)(2) or 

(3) of the Investment Company 

Act of 1940 

40-17GCS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-98 December 2020

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Rule 17g-1(g)(2)

or (3)

Amendment 40-17GCS/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 24b-2 Filing of sales literature pursuant 

to Rule 24b-2 under the 

Investment Company Act of 

1940 

40-24B2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 24b-2 Amendment 40-24B2/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

ICA Section 33 Copies of all stockholder 

derivative actions filed with a 

court against an investment 

company or an affiliate thereof 

pursuant to Section 33 of the 

Investment Company Act of 

1940

40-33 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

ICA Section 33 Amendment 

Note: May be filed electronically 

on a voluntary basis. 

40-33/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-18F-1 Initial notification of election 

pursuant to Rule 18f-1 filed on 

Form N-18F-1 

N-18F1 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-18F-1 Amendment N-18F1/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Rule 23c-2(b) Notice by closed-end investment 

companies of intention to call or 

redeem their own securities 

under Investment Company Act 

Rule 23c-2

N-23C-2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Rule 23c-2(b) Amendment N-23C-2/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-23C-3 Notification of periodic 

repurchase offer Filed pursuant 

to Rule 23c-3(b) only 

N-23C-3A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-99 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-23C-3 Amendment N-23C-3A/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-23C-3 Filing pursuant to Rule 23c-3(c) 

only on Form N-23C-3 

N-23C-3B EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-23C-3 Amendment N-23C-3B/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-23C-3 Filing pursuant to Rule 23c-3(b) 

and (c) on Form N-23C-3 

N-23C-3C EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-23C-3 Amendment N-23C3-C/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-27D-1 Accounting for segregated trust 

accounts on Form N-27D-1 

N-27D-1 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-27D-1 Amendment N-27D-1/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Adopting 

Release 

33-10765

Notice Document for Certain 

Variable Contracts

N-VP EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Adopting 

Release 

33-10765

Amendment to Notice Document 

for Certain Variable Contracts

N-VP/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Adopting 

Release 

33-10765

Financial Statements for Certain 

Variable Contracts

N-VPFS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Adopting 

Release 

33-10765

Amendment to Financial 

Statements for Certain Variable 

Contracts

N-VPFS/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-100 December 2020

Periodic Reports for Registered Investment Companies

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-CEN Annual Report for Registered 

Investment Companies

N-CEN EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

N-CEN 

Technical 

Specification

Form N-CEN Amendment N-CEN/A EDGAR 

Filing 

Website 

Online 

Forms

EDGAR Form 

N-CEN 

Technical 

Specification

Form N-CSR Certified annual shareholder 

report of registered management 

investment companies filed on 

Form N-CSR

N-CSR EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-CSR Amendment N-CSR/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-CSR Certified semi-annual 

shareholder report of registered 

management investment 

companies filed on Form NCSR 

N-CSRS EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-CSR Amendment N-CSRS/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-MFP2 Monthly Schedule of Portfolio 

Holdings of Money Market Funds 

on Form N-MFP

N-MFP2 N/A EDGAR Form 

N-MFP2 XML 

Technical 

Specification

Form N-MFP2 Amendment N-MFP2/A N/A EDGAR Form 

N-MFP2 XML 

Technical 

Specification

Form N-PORT Portfolio Holdings Exhibit to 

Form N-PORT

NPORT-EX EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-PORT Amendment NPORT-EX/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-101 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-PORT Monthly Portfolio Investments 

Report on Form N-PORT (NonPublic)

NPORT-NP N/A EDGAR Form 

N-PORT XML 

Technical 

Specification

Form N-PORT Amendment NPORTNP/AN/A EDGAR Form 

N-PORT XML 

Technical 

Specification

Form N-PORT Monthly Portfolio Investments 

Report on Form N-PORT 

(Public)

NPORT-P N/A EDGAR Form 

N-PORT XML 

Technical 

Specification

Form N-PORT Amendment NPORT-P/A N/A EDGAR Form 

N-PORT XML 

Technical 

Specification

Form N-PX Annual Report of Proxy Voting 

Record of Registered 

Management Investment 

Companies filed on Form N-PX 

N-PX EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-PX Amendment N-PX/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-PX Annual Form N-PX Combination 

Report filed by institutional 

managers

N-PX-CR EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-PX Amendment N-PX-CR/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-PX Annual Report of Proxy Voting 

Record of Registered 

Management Investment 

Companies that includes proxy 

votes institutional managers

N-PX-FM EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-PX Amendment N-PX-FM/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-102 December 2020

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-PX Annual Form N-PX Notice filed 

by institutional managers

N-PX-NT EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-PX Amendment N-PX-NT/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-PX Annual Form N-PX Voting 

Report filed by institutional 

managers

N-PX-VR EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-PX Amendment N-PX-VR/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-Q Quarterly Schedule of Portfolio 

Holdings of Registered 

Management Investment 

Company filed on Form N-Q 

N-Q EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-Q Amendment N-Q/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 12b-25 Notice under Exchange Act Rule 

12b25 of inability to timely file 

Form NCSR (annual or semiannual report)

NT-NCSR EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 12b-25 Amendment NT-NCSR/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 30b2-1 Initial annual and semi-annual 

reports mailed to investment 

company shareholders pursuant 

to Rule 30e-1 (other than those 

required to be submitted as part 

of Form N-CSR) 

N-30D EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 30b2-1 Amendment N-30D/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-103 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Rule 30b2-1 Periodic and interim reports 

mailed to investment company 

shareholders (other than annual 

and semi-annual reports mailed 

to shareholders pursuant to Rule 

30e-1) 

N-30B-2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Regulation E Filings

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Regulation E Notification under Regulation E 

by small business investment 

companies and business 

development companies filed on 

Form 1-E.

1-E EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Regulation E Amendment to a notification 

under Regulation E by small 

business investment companies 

and business development 

companies filed on Form 1-E

1-E/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Regulation E Sales material filed pursuant to 

Rule 607 under Regulation E

1-E AD EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Regulation E Amendment to sales material 

filed pursuant to Rule 607 under 

Regulation E

1-E AD/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Regulation E Report of sales of securities 

pursuant to Rule 609 under 

Regulation E filed on Form 2-E

2-E EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Regulation E Amendment of a report of sales 

of securities pursuant to Rule 

609 under Regulation E filed on 

Form 2-E

2-E/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Miscellaneous Investment Company Reports

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.
EDGAR Filer Manual (Volume II) 3-104 December 2020

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-CR Current Report of Money Market 

Fund Material Events

N-CR EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-CR Amendment N-CR/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-LIQUID Current Report Open-End 

Management Investment 

Company Liquidity

N-LIQUID EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-LIQUID Amendment N-LIQUID/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Application for an Order under the Investment Company Act

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Rule 0-2 Application under the Investment 

Company Act submitted 

pursuant to Investment Company 

Act Rule 0-2 reviewed by the 

Office of Insurance Products

40-OIP EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 0-2 Amendment to an application 

under the Investment Company 

Act submitted pursuant to 

Investment Company Act Rule 

0-2 reviewed by the Office of 

Insurance Products

40-OIP/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 0-2 Application under the Investment 

Company Act by an employees’ 

securities company submitted 

pursuant to Investment Company 

Act Rule 0-2

40-6B EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 0-2 Amendment to an application 

under the Investment Company 

Act by an employees’ securities 

company submitted pursuant to 

Investment Company Act Rule 

0-2 

40-6B/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
December 2020 3-105 EDGAR Filer Manual (Volume II)

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Rule 0-2 Application under the Investment 

Company Act submitted 

pursuant to Investment Company 

Act Rule 0-2 other than those 

reviewed by Office of Insurance 

Products

40-APP EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 0-2 Amendment to an application 

under the Investment Company 

Act submitted pursuant to 

Investment Company Act Rule 

0-2 other than those reviewed by

Office of Insurance Products

40-APP/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Application for Deregistration of Investment Companies

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Form N-8F Application for deregistration 

made on Form N-8F 

N-8F EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Form N-8F Amendment N-8F/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 0-2 Initial application for 

deregistration pursuant to 

Investment Company Act Rule 

0-2

40-8F-2 EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Rule 0-2 Amendment 40-8F-2/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification
EDGAR Filer Manual (Volume II) 3-106 December 2020

Table 3-6: Development Bank Submission Types Accepted by EDGAR

CFR Form/ 

Schedule/ 

Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

QRTLYRPT Periodic Development Bank 

filing, submitted quarterly 

QRTLYRPT EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

QRTLYRPT Amendment QRTLYRPT/ A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

ANNLRPT Periodic Development Bank 

filing, submitted annually 

ANNLRPT EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

ANNLRPT Amendment ANNLRPT/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

DSTRBRPT Distribution of primary 

obligations Development Bank 

report 

DSTRBRPT EDGARLink 

Online 

EDGARLink 

Online XML 

Technical 

Specification

DSTRBRPT Amendment DSTRBRPT/A EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification

Note: (1) These submission types are to be filed ONLY by the Development Banks. BW-2 and 

BW-3 submission types have been rescinded; please use QRTLYRPT, ANNLRPT, and 

DSTRBRPT Form Types.
December 2020 3-107 EDGAR Filer Manual (Volume II)

Table 3-7: Correspondence Submission Types

CFR Form/ 

Schedule/ Rule

Description Submission 

Type

Tool/ 

Template 

Number

FilerConstructed 

Form Spec.

Correspondence A correspondence can be sent 

as a document with another 

submission type or can be sent 

as a separate submission. 

Correspondence is not publicly 

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.” 

CORRESP EDGARLink 

Online

EDGARLink 

Online XML 

Technical 

Specification 

Correspondence 

Related to Draft 

Registration 

Statement

Letters to SEC staff regarding 

draft registration statements 

can either be included in the 

DRS submission as a COVER 

document or must be submitted 

as a separate DRSLTR 

submission. Filers should not 

submit correspondence to the 

staff using the CORRESP form 

type until they begin making 

public filings to complete their 

offerings. This allows the SEC 

staff to easily associate 

correspondence during the draft 

review with the draft registration 

statement.

DRSLTR EDGARLink 

Online

N/A

Draft Offering 

Statement Letter

Letters to SEC staff regarding 

draft offering statements can 

either be included in the DOS 

submission as a COVER 

document or must be submitted 

as a separate DOSLTR 

submission. Filers should not 

submit correspondence to the 

staff using the CORRESP form 

type until they begin making 

public filings to complete their 

offerings. This allows the SEC 

staff to easily associate 

correspondence during the draft 

review with the draft offering 

statement.

DOSLTR EDGARLink 

Online

N/A