Recommendations from Your EDGAR Expert
When you are looking forward to filing in EDGAR, you are looking
for a level of efficiency that makes your document 100% on time
and accurate. So here are some tips that will do exactly that.
CIK and CCC Numbers
Always be absolutely sure these numbers are available,
accurate and have been tested. Having them upfront will avoid any
last minute delays. Incorrect access codes are the number one cause
of suspended filings. If you do not already have these codes, contact
your RR Donnelley team or go to www.sec.gov/about/forms/formid.pdf.
Filing Fees
Pay early and make certain your fees are received by the
SEC prior to the EDGAR submission. Failure to do so will result
in the filing being suspended or rejected due to insufficient funds.
For in-depth information about filing fees, please click
here.
Review the Filing Process with Your RR Donnelley Team
By defining your needs upfront, we can align and keep the work synchronized.
This way, we’ll focus on the mechanics – so you can
focus on the parts of the compliance or transaction document where
you add the value.
Identify Exhibits Early in the Process
New or amended exhibits must be filed electronically. That’s
why – to minimize costs and avoid any last minute delays –
we recommend you identify your exhibits early in process so we can
convert them into EDGAR format well in advance of the planned file
date. This will avoid jeopardizing your deadline, and give you more
time to ensure the accuracy of your filing.
Provide US with Word Processing Files
Whenever possible, obtain from third parties the word processing
files that are to be EDGARized. This reduces the need to scan or
re-key documents that form part of the EDGAR submission. We further
recommend that you submit these as early in the process as possible
to avoid quick turnaround charges.
Identify any PDF Attachments
While PDF files are considered by the SEC as “unofficial,”
you may wish to consider submitting a PDF file, particularly if
your typeset document is style-intensive. PDF files are extremely
versatile because its appearance remains identical to the original
regardless of the end-user’s computer and printer equipment,
operating system or web browser.
Let us Know which Signatures to Conform
And remember, you are required to keep the manually executed
signature pages on file for a period of five years after the filing.
Proof your Documents Carefully
You are an important part of our sophisticated quality
control procedures. What should you look for when proofing an EDGAR
document – click here for our
top ten proofing questions.
Use EDGAR in HTML
Our extensive experience in filing EDGAR in HTML leads
us a definite conclusion – we recommend you use HTML instead
of ASCII. There is a clarity advantage of EDGAR HTML because it:
- Has clarity of style
- Is easier to read
- Catches the viewer’s eye
EDGAR HTML also allows a filer to benefit from opportunities not
available in ASCII, like:
- Including text design elements – boldface, italics, graphs
or photographs – that make the document easier to read.
- Adding hypertext links within the document, to other documents
within the filing and to other documents on the SEC website.
- Attaching an unofficial PDF file for any document that is a
part of the official filing – preserving the original appearance
of the document and facilitating dissemination via the Internet.
Note that PDF documents may also be included for ASCII documents.
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