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Get Your Filing Codes

Please note: To complete the application for filing codes you must submit a notarized, signed copy of the application or “authenticating document.”  You send this notarized document to the SEC by attaching a scanned PDF version.

Obtaining filing codes by submitting authenticating document by PDF attachment:

Go to: http://www.sec.gov/about/forms/formid.pdf. Print the paper version of the form.  Complete the form and sign the form in the presence of a notary public.  You must scan this signed, notarized form into your computer for attachment.

You will then go online to the SEC site and fill out the electronic form (it is necessary to fill this out electronically even though you filled it out on paper).

Go to: https://www.filermanagement.edgarfiling.sec.gov/

Once there:

  1. Click “Press Here to Begin”
  2. On the left hand side of the screen click on: “Apply for EDGAR Access (New)”
  3. Fill out the form (first choose “Individual” or “Company” as applicable).
  4. After filling out the form, to match the printed/scanned application, the next page will be a review of the information.
  5. After reviewing for accuracy, click on Upload/Delete Attachments and follow the instructions to upload your notarized form.
  6. At the bottom of that page you will choose a “passphrase.” Write down the passphrase you choose as it will be required later (and there is no way to retrieve this passphrase).

Once you have submitted the electronic form and attachment, the SEC will send an email to you (typically within 24 hours) which will have your CIK.  Your CIK is the number that identifies you when filing documents.  You will use the CIK and the passphrase you chose earlier to generate the remaining required filing codes.

Once you receive the email with your CIK, go back to https://www.filermanagement.edgarfiling.sec.gov/ …and complete the following steps:

  1. Click “Press Here to Begin”
  2. On the Left hand side, choose: “Generate Access Codes (New/ Replacement)”
  3. You will enter the new CIK and the Passphrase.
  4. The new codes will be generated.