Determine My EDGAR Applicant Type

An applicant is an entity or individual that seeks access to file on EDGAR to meet its federal securities law obligations. The applicant is the entity or individual for which the Form ID application for access is being submitted; it is not the person completing the Form ID application.

Applicant type refers to the nature of the entity or individual that seeks access to file on EDGAR.

You must select an applicant type in Part 1 of Form ID. Carefully review the explanation of applicant types below to determine which is most relevant to the entity or individual applying for EDGAR access:

• Filer—Any person or company on whose behalf an electronic filing is made that is not otherwise covered by another applicant type.
• Filing Agent—Any person or entity engaged in the business of making submissions on EDGAR on behalf of electronic filers.
  • This applicant type should only be selected by a financial printer, law firm, or other person that will use its EDGAR access codes to submit a filing or portion of a filing on behalf of an entity or individual filer.
  • A filing agent must indicate whether it is filing for an entity or individual (person) filer.
• Funding Portal—A broker acting as an intermediary in a transaction involving the offer or sale of securities offered and sold in reliance on Section 4 (6) of the Securities Act, that does not: (1) offer investment advice or recommendations; (2) solicit purchases, sales or offers to buy the securities offered or displayed on its website or portal; (3) compensate employees, agents, or other persons for such solicitation or based on the sale of securities displayed or referenced on its website or platform; (4) hold, manage, possess, or otherwise handle investor funds or securities.
• Institutional Investment Manager (Form 13F Filer)—Any person that is required to file a Form 13F under Section 13(f) of the Securities Exchange Act of 1934, as amended. (See 15 U.S.C. 78m(f)(6)(A)).
• Investment Company, Business Development Company or Insurance Company Separate Account—Any person that meets the definition of "investment company" in Section 3 of the Investment Company Act of 1940, as amended (See 15 U.S.C. 80a-3), or otherwise registers an offering of its securities on a registration form adopted by the Commission under such Act, including management companies, face-amount certificate companies, unit investment trusts, business development companies, and insurance company separate accounts (including any separate account which would be required to be registered under the Investment Company Act of 1940 except for the exclusion provided by Section 3(c)(11) of such Act and which files a registration statement on Form N-3 or Form N-4).
• Large Trader—Any person that is a "large trader" as defined by Rule 13h-1(a)(1) under the Securities Exchange Act of 1934, as amended (See 17 CFR 240.13h-1(a)(1)).
• Municipal Advisor—Any person that is a "municipal advisor" as defined in Section 15B(e)(4) of the Securities Exchange Act of 1934, as amended. (See 15 U.S.C. 78o-4(e)(4)).
• Nationally Recognized Statistical Rating Organization—Any credit rating agency that is a "nationally recognized statistical rating organization" as defined in Section 3(a)(62) of the Securities Exchange Act of 1934, as amended. (See 15 U.S.C. 78c(a)(62)).
• Non-Investment Company Applicant under the Investment Company Act of 1940—Any person submitting an application for an order seeking an exemption under the Investment Company Act of 1940, as amended. (See 15 U.S.C. 80a-2(a)(28)).
• Security-Based Swap Data Repository—Any person that is a "security-based swap data repository" as defined in Section 3(a)(75) of the Securities Exchange Act of 1934, as amended. (See 15 U.S.C. 78c(a)(75)).
• Security-Based Swap Dealer and Major Security-Based Swap Participant—Any person that is a "security-based swap dealer" or a "major security-based swap participant" as each term is defined in Sections 3(a)(71) and (67) of the Securities Exchange Act of 1934, as amended. (See 15 U.S.C. 78c(a)(71) and (67)).
• Security-Based Swap Execution Facility—A trading system or platform that is a "security-based swap execution facility" as defined in Section 3(a)(77) of the Securities Exchange Act of 1934, as amended. (See 15 U.S.C. 78c(a)(77)).
• Training Agent—Any person that will be sending only test filings in conjunction with training other persons.
• Transfer Agent—Any person that is a "transfer agent" as defined in Section 3(a)(25) of the Securities Exchange Act of 1934, as amended. (See 15 U.S.C. 78c(a)(25)).  

If none of the applicant types appears relevant to the entity or individual that will file on EDGAR, then select “Filer.”

Please note these definitions are provided to facilitate the correct selection of an applicant type on Form ID and are not intended to amend or otherwise change any provision of the federal securities laws or the regulations promulgated thereunder. To the extent that a definition cross-references a particular statute, such definition shall also include any rules or regulations promulgated by the SEC further refining the statutory definition.

For instructions and guidance regarding completion of Form ID, please see Form ID and instructions accessible on the dashboard of the EDGAR Filer Management website, the EDGAR Filer Manual, Volume I, and How Do I Prepare and Submit My Form ID.