Getting Started with EDGAR Filing

The Securities and Exchange Commission ("SEC") is responsible for tracking and enforcing the rules regarding information disclosure for public companies. The SEC requires filing of registration statements, periodic reports, and other forms electronically through the EDGAR filing system.

The following information provides an overview of the SEC's requirements and rules. For a comprehensive listing visit the SEC website. This sections outlines the procedure for becoming an EDGAR Filer, how to get EDGAR codes that allow you to file electronically, and defines what the codes allow the filer to accomplish.

Defining EDGAR

EDGAR stands for Electronic Data Gathering Analysis and Retrieval. The SEC allows your EDGAR document to file in three main formats: HTML; ASCII; and XML (Forms 3, 4 and 5). Additional file types that are sent to the SEC include graphic files in gif and jpeg, XBRL exhibits (certain financial exhibits allowed in the pilot program that are not official documents), and PDFs (unofficial filings). Click here for additional information on these formats.

Acquiring EDGAR Access Codes

To become an EDGAR Filer, you must first apply for EDGAR codes. This is done on-line at the SEC's Filer Management website.

You can find the instructions for the SEC Filer Management website in Becoming an EDGAR Filer (Volume I, Chapter 3 - SEC Filer Manual). Each person or entity that will file electronically with the SEC needs to apply for codes (Issuer, Officer, Director, 10% owner, etc.). During the on-line application process, the person applying for codes needs to create a Passphrase. The SEC then assigns four other access codes to that Passphrase (CIK, CCC, Password, and PMAC).

Defining EDGAR Access Codes

The Passphrase is used to generate all new access codes. It also allows you to reset your CCC, Password and PMAC in the event your security is compromised or when your Password has expired. Using this option replaces your CCC and Password; the CIK and Passphrase remain the same throughout your filing history. If you change your CCC, you must give your filing agent the new one. The Passphrase never expires.

The CIK, Central Index Key, is equivalent to an account number, it identifies the EDGAR Filer. Using the correct CIK is critical for a filing to be associated with the correct EDGAR Filer. Be sure to verify the CIK on your Merrill proof sent to you by Customer Service or before submitting your filing on our self-service Section16Direct system. The CIK always begins with leading zeros and must be ten numeric digits. Example: 0003456789. This number is available to the public.

The CCC is the CIK Confirmation Code. It is equivalent to a Personal Identification Number ("PIN"), and is confidential. The CCC allows a filing to be made on your behalf by a filing agent such as Merrill. Merrill must have a current CCC to send a filing to the SEC. The CCC must be eight characters. It is case sensitive and must contain at least one number and one special character (@, #, $, or *). The CCC never expires. It can be reset or replaced as described in the Passphrase section above.

The PMAC, Password Modification Access Code, is used to change the Password. It never expires. It is also confidential.

Please note that all of the codes except the CIK are eight characters and must include at least one number, one letter and one special character (@, #, $, or *). Example: xxx#4xxx. They are case sensitive. The CIK is public information. All other codes are confidential and are to be maintained by you. The only codes that Merrill Corporation requires to complete filings on your behalf are the CIK and CCC, which we keep in our records. You need to keep a record of all of your codes for future reference.