Submit Online Forms
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Jump to sections:
- Creating an online form
- Transmitting an online XML form
- Filer-constructed submissions
- EDGAR technical specifications
- XML form type technical specification
- Transmitting filer-constructed submissions
Creating an online form
The EDGAR Online Forms Management Website makes it easier for filers and their agents to submit electronic filings. It uses filer-provided information to prepare an XML-formatted primary (main) document that can be verified and printed by the filer and then transmitted to EDGAR for processing. Once EDGAR has accepted the submission, it will disseminate the header in tagged standard general markup language (SGML) and plain text, and the primary document in XML.
The Online Forms Website allows you to:
- Select the specific form type that you want to assemble and submit to the SEC.
- Provide general submission information, including a CIK, contact name, phone number, and email address.
- Provide additional email addresses to receive filer notification messages.
- Provide all of the necessary information required by the SEC rules that form, such as reporting period end date or reporting file number.
- Provide your signature and signature date. NOTE: EDGARLink Online does not currently support digital signatures.
- Verify the information on the form.
- If relevant, edit reporting owner address on the form where necessary.
- Upload attachments, i.e., cover letters, exhibits or correspondence.
- Review and confirm your information in the context of the form you are filing and then print the submission for your records.
- Transmit the reviewed submission to EDGAR for processing.
In using the Online Forms Website, please note:
- While EDGAR supports most browsers, we recommend using vendor-supported versions of Internet Explorer and Google Chrome
- You can only create and submit one form submission at a time. For example, if you are filing ownership forms on behalf of a company's officers and directors, you must create a separate form for EACH officer and director.
- For ownership form types, there is no capability to save work in progress , so it is important for you to have all of the information necessary to complete the form before you begin to assemble your submission online.
- You can exit the window at any time to discard your work in progress and start over.
- All filings that you prepare and submit online are considered to be live EDGAR submissions. Once you transmit an online prepared submission it will be automatically processed by EDGAR; and—if accepted by EDGAR—immediately disseminated to the public.
- The maximum size of your submission must not exceed 200 MB.
Transmitting an online XML form
When you create an online form, the preparation and transmission processes are combined in a single browser session. Since you cannot save your online submissions, you must transmit them immediately after their preparation. The Online Forms Management Website will guide you through the process. When you are certain that the data you have entered is correct, then use the Transmit Submission button to send in your submission.
Filer-constructed submissions
The SEC recognizes that there are cases when filers will want to prepare their own submissions without the use of the EDGAR filer interface. There are companies that develop value-added software for the preparation and submission of EDGAR filings. Many times a subsection of the filing community will find this software desirable and the programs may include capabilities beyond those provided by EDGAR. Some filers may also want to develop their own interface to larger computer systems that will deliver tagged form output ready for submission. Other filers may want to develop their own tagged files without the aid of computer programs or interfaces. We call all of these types of submissions filer-constructed.
EDGAR technical specifications
To facilitate this type of filing content development, the SEC publishes technical specifications that allow companies to create software or format output compatible with the EDGAR system. The SEC does not provide support services for this type of development, but keeps the technical documentation up-to-date to coincide with EDGAR releases. While we cannot always provide the amount of lead time that development firms would like to create or modify their software, we publish these technical specifications in a draft format thirty days prior to the actual upgrade.
Draft EDGAR technical specifications—posted before Commission approval of potential regulatory changes in a release—are provided as a service to our filing community to assist filers, agents, and software developers in preparing for potential changes the SEC staff anticipates. Since these are draft specifications, the SEC retains the right to change any part of the specification before the release is made final. The changes outlined in the technical specifications will note the date that these changes, if related regulations are approved, are scheduled to take effect. The schedule is subject to change.
The final versions of the technical specifications are made available on or shortly after the release date on the SEC.gov. Most filers will not use the technical specifications. Only those companies with technical skill sets and understanding needed to produce software that creates submissions or filer-constructed documents should utilize these manuals. Because of their limited audience, these documents are published separately from the EDGAR Filer Manual.
XML form type technical specification
Online filings are produced in XML format. The XML Technical Specification is comprised of a number of documents, each specifying the format for a specific submission type or a small group of related submission types. For example, the document describing Section 16 forms is called the EDGAR Ownership XML Technical Specification. The specification includes a description of all of the tags and the allowable content and format of the data elements. In this type of submission, the form type is made up of XML content. The technical specification reflects this aspect and describes all of the form content in a tagged structure. The technical specification also includes the details on how to encode and attach additional document content such as cover letters and correspondence.
Transmitting filer-constructed submissions
After you prepare your filer-constructed submissions, you can submit them using the EDGAR website pages for transmitting filings. XML filer-constructed filings can be submitted using the EDGAR Online Forms Management Website and using the EDGAR Filing Website. Directions on these websites guide you to select the file to be transmitted. If you have a third-party application that uses low-level HTTPS operations to transmit filings, you will need to have your EDGAR interface integrity inspected often. EDGAR does not have a documented application programming interface (API) per se, and the SEC cannot guarantee that EDGAR website pages will remain constant; therefore, developers of these applications must be prepared to update their interfaces whenever a new EDGAR release is installed.
Last Reviewed or Updated: April 6, 2023