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7.
PREPARING AND TRANSMITTING EDGARLINK SUBMISSIONS
7.1 Introduction
EDGARLink allows you to prepare and transmit a number of submission types. The main
content of these submissions is made up of attached documents one of which is the form itself.
Usually the filer creates these documents first and then “builds” the submission through the tool.
In the EDGARLink application, headers are automatically created in XFDL when you enter filer
supplied information (values) into EDGAR-specified fields in the EDGARLink submission
template. When you create your submission using EDGARLink, you must enter information into
specified fields. Some fields are required, some fields are required when applicable, and some
fields are optional. Required fields have a yellow background. The EDGAR rules apply to both
mandatory/required and optional fields. Because EDGARLink automatically creates headers you
are no longer required to place header or document tags that are external to filing documents
before and after the body of your documents.
Just as EDGAR uses access codes to recognize you as a filer, EDGAR needs information to
accurately process the submission you are filing. For example, basic submission information
identifies the entity for whom the filing is being made, gives information on fees, and indicates
the type of document you are filing.
EDGARLink verifies that the information required for all submission validation has been
entered. For example, if the submission requires the indication of a time period for which you are
filing the report, EDGARLink verifies that you have provided a date in the Period field. For
more information on field, document, or submission validation; see Section 7.4 Validating Your
Submission. MESSAGES REPORTED BY EDGAR. APPENDIX A of this volume lists the
submission header fields that apply to each form that you file electronically. You must enter
information in all header fields designated as "required" in the submission or EDGAR will
suspend the filing.
When you compile your submission using EDGARLink, you will use the Template Viewer, a
Windows application that is based on templates. Most templates contain a large number of
submission types. These templates are what help you create and merge the different parts of your
submission. You can download these templates from the EDGAR Filing Website to your PC and
work with them without being connected to the Internet or to EDGAR. These templates have
fields where you enter information, such as submission type, CIK, CCC, SROS, document/
module/segment file names, and e-mail addresses. There are a number of templates based on the
types of submissions, like a 10-Q or SC 13G. Before transmitting your submission, you should
error check it with EDGARLink and save it to your PC hard drive. Once you enter all of the
information needed and attach your documents, it is ready for transmission to EDGAR. Filings
created using EDGARLink templates are usually submitted using the EDGAR Filing Website.
Specifically, the EDGARLink software helps you prepare, submit, and correct submissions by:
•
Formatting your submission information using XFDL. This formatting is needed to
process your submission in EDGAR. To manually create a submission in XFDL, see
Chapter 10, FILER-CONSTRUCTED XFDL/XML SUBMISSIONS.
•
Checking for formatting errors in the document and submission prior to transmitting
it to us. If you validate your documents and submissions with EDGARLink software
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before transmitting, you significantly reduce the chance of having your filing
suspended.
•
Assisting you in troubleshooting errors. EDGARLink provides a full screen text
viewer that allows you to identify errors in the submission and correct them.
Note: If there are errors in your submission document, you need to
incorporate your changes, save the document, and reattach it to
your submission document.
•
EDGARLink automatically compresses the filing to reduce storage space and
transmission time.
You can use the EDGAR Filing Website to submit EDGARLink Filings or you can use the
EDGAR Gateway which will direct you to the EDGAR Filing Website.
Note: Please remember to enter https. You will not be able to access the EDGAR Filing
Website without the "s" designation.
While the new EDGARLink works in tandem with the EDGAR Filing Website, the EDGAR
Filing Website provides the following attributes:
•
Accesses EDGAR’s features using the Internet or direct dial networking.
•
Provides submission transmission and template download capabilities.
•
Provides editing capabilities to your company information.
•
Provides submission notification messages.
•
Provides requested Return Copy download capabilities.
•
Allows filers to update their EDGAR Password.
To run a standard web browser and the EDGARLink application, you will need to use a 32-bit
version of the Windows operating system. Windows 95 version B or higher, 98, 2000, NT, or XP
meets this 32-bit standard (Note: EDGARLink is not supported on Windows 95). If your
operating system is something other than Windows, you may be able to access EDGAR using the
Windows emulator. However, the EDGARLink application was developed and is certified to run
on a PC-based Windows 32-bit platform and is not guaranteed to run correctly in a non-
Windows (i.e., Linux, Macintosh, or OS/2) session. If you have a proxy server or a firewall you
may experience problems downloading EDGARLink.
We require that your browser support Java script and we recommend that you accept browser
“cookies” when accessing this website. The EDGAR Filing Website software contains functions
that allow us to remind you if you need to update your software depending upon the last time you
visited the EDGAR Filing Website. This information is recorded in your browser cookies.
It is your decision as to the best means to access the Internet. EDGAR accepts transmissions
from any Internet source, so you can decide which Internet Service Provider (ISP) best suits your
needs.
Most filers will use the Internet website to submit EDGARLink filings. You may also connect to
the EDGAR Filer Website using direct dial telecommunications lines via your modem. In using
any of the Windows-based operating systems, this is commonly referred to as direct dial
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networking. You will setup Windows to use direct dial networking using a Point-to-Point
Protocol (PPP) application. You will also be asked to provide a telephone number. To direct dial
EDGAR, use 703-914-7140 as the telephone number. All EDGAR modems associated with this
telephone number are configured to accept the direct dial transmissions. When you use the direct
dial option, you are restricted to website links on the EDGAR Filing Website only.
The third option for submitting EDGARLink filings is to connect using a Leased Line. This
method is commonly used by bulk filers.
7.1.1 Using the EDGAR Filing Website
Later in this document will be step-by-step instructions for downloading EDGARLink software
and templates. To do this you will use the EDGAR Filing Website. Before you get started on this
process, read this section to get general information about this website. It will cover the basics
about using a browser and accessing the EDGAR Filing Website. Detailed information on the
screens is also included. To access the EDGAR Filing Website, either use the EDGAR Gateway
or follow the directions listed below to access the EDGAR Filing Website directly:
1. Connect to the Internet or activate a dial-up networking connection.
2. Go to the EDGAR Filing Website Login page.
3. Click in the CIK field and enter your CIK.
4. Press [Tab] and enter your password. This is your login password, not your
CCC, PMAC, or passphrase. Your password is case-sensitive. See the Notes
at the end of this section for more information about passwords.
5. Click the [Login to EDGAR] button.
6. If your CIK and password are valid and you have a passphrase, the Welcome
page appears. The Create Passphrase page appears if your CIK and password
are valid and you do not have a passphrase. See Volume I of this manual for
information on creating a passphrase.
We have placed information and menu links on the EDGAR Filing Website Home page, that
connect you to websites concerning filing and submission types, help files, SEC Rulemaking,
and fee information.
Note: If you are accessing the EDGAR Filing Website using direct dial (PPP), links to outside
websites will not work.
Once you login to EDGAR, an option menu appears on the left-hand side of the browser
window. This menu allows you to navigate easily through EDGAR without having to return to a
menu page. Figure 7-1: EDGAR Menu illustrates the menu.
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Figure 7-1: EDGAR Menu
Two additional functions will help you use the EDGAR Filing Website. The [Logoff] button
ends your EDGAR session. Clicking Home
brings you to the EDGAR Welcome page. From this
menu you can move back and forth between pages, find news, download software or template
updates, or get additional assistance.
This menu is broken down into three different sections:
•
Information Exchange
•
Downloads
•
Support
7.1.1.1 Information Exchange
In the Information Exchange section there are two links:
•
Transmit
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•
Retrieve/Edit Data
By clicking on Retrieve/Edit Data
, you can query company, filing, or module/segment
information, retrieve your Return Copies or change your password or CCC. The transmit link
allows you to transmit your EDGARLink filing to EDGAR.
7.1.1.2 Downloads
This subsection of the menu allows you to download the EDGARLink software, templates, and
fee rate table. Details for using this section are covered in Section 7.2, Installation.
Please be aware that the Update Information block on the EDGAR Filing Website Home page
alerts you to updates in the software or templates. It contains a list of updates either to new
submission types or to the EDGARLink software or templates. The date of these updates is
posted, as well as links to the information or files available to download.
7.1.1.3 Support
This menu section provides links to a number of resources that will assist you in the filing
process. In addition to general help, you can review topics like frequently asked questions, and
rule making.
7.1.1.3.1 General Web Help
If you need help while using EDGAR on the Internet, click on General Help
from the menu to
bring up the General Support Menu page that displays a list of help topics. See Figure 7-2:
General Help Page. When you click on a topic, you are shown information or additional links to
specify the type of assistance you need.
Figure 7-2: General Help Page
7.1.1.3.2 Frequently Asked Questions
Frequently Asked Questions
opens the EDGAR Frequently Asked Questions page. The FAQ
page includes different questions that have been asked most often. You may find the answers
helpful while using EDGAR and EDGARLink. Click on the hyperlink topic to display the
answer in the lower portion of the window.
7.1.1.3.3 SEC Rulemaking
The SEC Rulemaking link leads you to an area of the SEC’s Public Website that gives you up-
to-date rule information. You will get information about rules that have been proposed or
adopted, as well as other bulletins and notices.
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7.1.1.3.4 Fee Information
The Fees link in the EDGAR menu opens the EDGAR Fee Information page. This page contains
information on fee categories, amounts, forms, and the applied fees.
7.1.1.3.5 Unused Money Requests
This link directs you to the SEC’s Public Website page that displays instructions for requesting
unused monies. It also accesses an account statement example, which is similar to the statement
mailed to active SEC filers.
7.1.1.3.6 Company Search
This link opens the Company Search page and redirects your browser to the EDGAR Company
Database. From this website you can perform company searches through the EDGAR database
that is updated daily.
7.1.2 Information on Headers
Header information for your filing documents are still required in EDGAR, but you should not
add them if you use EDGARLink. By using EDGARLink, your header tags and information are
automatically placed in the correct nesting order and in the correct places within your
submission.
7.2 Installation
EDGARLink is a 32-bit based software program supported by Windows 98, 2000, NT, or XP
and is designed to help you prepare and transmit an electronic filing. You download the software
from our EDGAR Filing Website and install it on your computer. You can download the
software items from the EDGARLink Software Download page described in Section 7.2.1, Step
1 - Downloading the EDGARLink Software. You will also want to download templates for the
requested submission types you wish to file and the fee rate table.
7.2.1 Step 1 - Downloading the EDGARLink Software
After you click on EDGARLink Software
from the main EDGAR menu, the EDGARLink
Software Download page appears. This page provides a link to download the EDGARLink
software from the EDGAR Filing Website or to the SEC’s Public Website where you can
download N-SAR software.
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Figure 7-3: Software Download Page
Downloading the software is the first step in installing the EDGARLink software. To download
the software:
1. Click on the [Download EDGARLink] button. Filers who need to file N-SAR
submissions must download that application from the SEC’s Public Website.
2. The EDGARLink/Windows Download Confirmation page appears; click on
Download EDGARLink/Windows
.
Figure 7-4: EDGARLink/Windows Download Confirmation Page
3. The File Download window appears. (See Figure 7-5: File Download
Window.) Click on the [Save] button.
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Figure 7-5: File Download Window
4. The Save As window appears. (See Figure 7-6: Save As Window.) Choose the
location on your system to save the self-extracting executable file and click on
the [Save] button.
Figure 7-6: Save As Window
5. The Saving Progress window appears and displays the status (percentage) of
download. (See Figure 7-7: Saving Progress Window.)
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Figure 7-7: Saving Progress Window
While downloading, you can cancel the save by clicking on the [Cancel] button.
Notes: (1) New EDGAR releases include modifications to the EDGARLink software and
EDGAR submission templates. Please download, install, and use the new EDGARLink
software and submission templates to ensure that submissions will be processed
successfully.
(2) You should use the Windows Add/Remove Programs function to un-install any
previous version of the Template Viewer, JRE, and/or EDGARLink before installing the
new software. Please select "No" or "No to all" when prompted to remove any shared
files.
7.2.2 Step 2 - Installing on Your PC
Once you have downloaded EDGARLink software from the website, you are ready to install it
on your machine:
1. Close all applications.
2. Click on the [Start] button at the bottom of your Windows Desktop.
3. Click on the Run option.
4. Click on the [Browse] button.
5. Use the Browse window to find the EDGARInstaller.exe application.
6. Click on EDGARInstaller.exe and click on the [Open] button.
7. Click on the [OK] button. EDGARLink installs itself.
Note: If you do not want to use the above method of installing EDGARLink, you can also use
other methods to start the software installation:
•
Run the executables in a DOS window
•
Run the executable through Windows Explorer
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To do this you will need to open the directory where you downloaded the files and enter the
executable name in DOS or double-click the file in Windows Explorer.
The executable begins unpacking the software; the InstallShield window appears and walks you
through installing EDGARLink.
We recommend using the default directory settings. If you change the default directories you
may experience program or performance problems.
The EDGARLink Installer package installs a new PureEdge Viewer for Windows, version 6.0.
There are folders created when the viewer is installed,C:\Program Files\PureEdge\Viewer 6.0.
When you have completed your submission template, click on Transmit
to open the Transmit
Submission page. From this page you can transmit Live, Test, or Bulk filings.
7.2.2.1 Directory Structure
Once you install EDGARLink, you may want to create a folder on your desktop to place files,
such as blank submission templates. When you install EDGARLink, the following directory
structure is created automatically and filled with the files. EDGARLink adds three directories to
the Program Files directory on your hard drive. These directories are where the EDGARLink
files are stored:
•
PureEdge
Contained in the PureEdge directory is a single subdirectory, Viewer 6.0
that contains eleven subdirectories: ActiveX, API, extensions, help ,
Icons, JAWS, Marshaller, Modules, Plugin, Readme, and SSCE514,
which hold files necessary for the submission type template to run. The
Viewer 6.0 directory is where the EDGARLink template executable,
masqform.exe, as well as the license is located. The API subdirectory
contains the subdirectories and class files necessary for EDGARLink to
execute.
•
Java
Contained in the Java directory is the jre1.5.0_10 directory. The
jre1.5.0_10 directory contains the bin and lib subdirectories and all the
copyright, readme, and license files.
•
EDGAR
The EDGAR directory contains the EDGARLink subdirectory, which is
where the EDGARLink application shortcut, the EDGARLink icon, the
README.txt file, the JRE install application, the Integrity Check files,
and the Help directory containing the EDGARLink help files reside.
Warning: If you move or delete files and/or subdirectories, EDGARLink may not run correctly.
7.2.2.2 Version Verify
Occasionally there will be updates to the EDGARLink software. Notices are posted on the
EDGAR Home page as well as on the Download Software page.
Documents you may be interested
Documents you may be interested
