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How Do I... Understand Automated Conformance Rules for EDGAR Data Fields
Oct. 10, 2023
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Values for some EDGAR data fields must be presented in a specific “conformed” format.
Find the automated conformance rules for the following data fields and topics below:
- 8-K and 1-U Items
- Self Regulatory Organizations (SROs)
- Submission and/or Document Type
- Relationship
- Period
- Date of Status
1. 8-K and 1-U Items
The various Form 8-K submissions require reporting of one or more specific events by specifying the Item Number for each reportable event. Table 1: Form 8-K Item Numbers for Reportable Events and Table 2: 1-U Item Numbers for Reportable Events specify the Item numbers to use for the reportable events.
Form 8-K submissions prior to August 23, 2004, used a different numbering scheme for the reportable events. Query commands for 8-K Items require both the new item number and the old number to be specified when searching for 8-K items reported before and after August 23, 2004. Table 1 specifies both the new and old item numbers. The table is divided into sections of related reportable events.
Table 1: Form 8-K Item Numbers for Reportable Events
| Item No. | Event Title | Item No. Prior to 8/23/04 | Event Title - Prior to 8/23/04 |
|---|---|---|---|
|
No info blank cell |
Section 1 – Registrant’s Business and Operations |
No info blank cell |
No info blank cell |
|
1.01 |
Entry into a Material Definitive Agreement |
No info blank cell |
No info blank cell |
|
1.02 |
Termination of a Material Definitive Agreement |
No info blank cell |
No info blank cell |
|
1.03 |
Bankruptcy or Receivership |
3 |
Bankruptcy or Receivership |
|
1.04 |
Mine Safety – Reporting of Shutdowns and Patterns of Violations |
No info blank cell |
No info blank cell |
|
1.05 |
Material Cybersecurity Incidents |
No info blank cell |
No info blank cell |
|
No info blank cell |
Section 2 – Financial Information |
No info blank cell |
No info blank cell |
|
2.01 |
Completion of Acquisition or Disposition of Assets |
2 |
Acquisition or Disposition of Assets |
|
2.02 |
Results of Operation and Financial Condition |
12 |
Results of Operations and Financial Condition |
|
2.03 |
Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement or a Registrant |
No info blank cell |
No info blank cell |
|
2.04 |
Triggering Events That Accelerate or Increase a Direct Financial Obligation under an Off-Balance Sheet Arrangement |
No info blank cell |
No info blank cell |
|
2.05 |
Cost Associated with Exit or Disposal Activities |
No info blank cell |
No info blank cell |
|
2.06 |
Material Impairments |
No info blank cell |
No info blank cell |
|
No info blank cell |
Section 3 - Securities and Trading Markets |
No info blank cell |
No info blank cell |
|
3.01 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing |
No info blank cell |
No info blank cell |
|
3.02 |
Unregistered Sales of Equity Securities |
No info blank cell |
No info blank cell |
|
3.03 |
Material Modifications to Rights of Security Holder |
No info blank cell |
No info blank cell |
|
No info blank cell |
Section 4 - Matters Related to Accountants and Financial Statements |
No info blank cell |
No info blank cell |
|
4.01 |
Changes in Registrant’s Certifying Accountant |
4 |
Changes in Registrant’s Certifying Accountant |
|
4.02 |
Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review |
No info blank cell |
No info blank cell |
|
No info blank cell |
Section 5 – Corporate Governance and Management |
No info blank cell |
No info blank cell |
|
5.01 |
Changes in Control of Registrant |
1 |
Changes in Control of Registrant |
|
5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers |
6 |
Resignations of Registrant’s Directors |
|
5.03 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year |
8 |
Change in Fiscal Year |
|
5.04 |
Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans |
11 |
Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans |
|
5.05 |
Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics |
10 |
Amendments to the Registrant’s Code of Ethics |
|
5.06 |
Change in Shell Company Status |
No info blank cell |
No info blank cell |
|
5.07 |
Submission of Matters to Vote of Security Holders |
No info blank cell |
No info blank cell |
|
5.08 |
Shareholder Nominations Pursuant to Exchange Act Rule 14a-11 |
No info blank cell |
No info blank cell |
|
No info blank cell |
Section 6 – Asset-Backed Securities |
No info blank cell |
No info blank cell |
|
6.01 |
ABS Information and Computational Material |
No info blank cell |
No info blank cell |
|
6.02 |
Change of Servicer or Trustee |
No info blank cell |
No info blank cell |
|
6.03 |
Change in Credit Enhancement or Other External Support |
No info blank cell |
No info blank cell |
|
6.04 |
Failure to Make a Required Distribution |
No info blank cell |
No info blank cell |
|
6.05 |
Securities Act Updating Disclosure |
No info blank cell |
No info blank cell |
|
6.06 |
Static Pool |
No info blank cell |
No info blank cell |
|
No info blank cell |
Section 7 – Regulation FD |
No info blank cell |
No info blank cell |
|
7.01 |
Regulation FD Disclosure |
9 |
Sales of equity securities pursuant to Regulation S |
|
No info blank cell |
Section 8 – Other Events |
No info blank cell |
No info blank cell |
|
8.01 |
Other Events |
5 |
Other Events |
|
No info blank cell |
Section 9 – Financial Statements and Exhibits |
No info blank cell |
No info blank cell |
|
9.01 |
Financial Statements and Exhibits |
7 |
Financial Statements and Exhibits |
|
(none) |
(not on list) |
13 |
Receipt of an Attorney’s Written Notice Pursuant to 17 CFR 205.3(d) |
Table 2: 1-U Item Numbers for Reportable Events
| 1-U Item No. | 1-U Event Title |
|---|---|
|
1 |
Fundamental Changes |
|
2 |
Bankruptcy or Receivership |
|
3 |
Material Modification to Rights of Security holders |
|
4 |
Changes in Issuer’s Certifying Accountant |
|
5 |
Non-reliance on Previously Issued Financial Statement or a Related Audit Report or Completed Interim Review |
|
6 |
Changes in Control of Issuer |
|
7 |
Departure of Certain Officers |
|
8 |
Certain Unregistered Sales of Equity Securities |
|
9.1 |
Other Events |
|
9.2 |
Other Events (quarterly financials) |
2. Self-Regulatory Organization (SROS)
SELF-REGULATORY ORGANIZATIONS – Values acceptable with the SROS data field.
| ORGANIZATION | VALUE |
|---|---|
|
American Stock Exchange |
AMEX |
|
New York Stock Exchange Archipelago |
ARCA |
|
Boston Stock Exchange |
BSE |
|
Chicago Board Options Exchange |
CBOE |
|
Chicago Stock Exchange |
CHX |
|
Financial Industry Regulatory Authority |
FINRA |
|
International Stock Exchange |
ISE |
|
National Association of Securities Dealers |
NASD |
|
National Stock Exchange |
NSX |
|
New York Stock Exchange |
NYSE |
|
Pacific Exchange, Inc. |
PCX |
|
Philadelphia Stock Exchange |
PHLX |
|
Not Applicable |
NONE |
3. Submission and/or Document Types
SUBMISSION AND/OR DOCUMENT TYPES – Values acceptable with the TYPE data field.
1. The following SUBMISSION TYPE data field values are acceptable:
| DESCRIPTION | VALUE |
|---|---|
|
EDGAR name of required submission |
Chapter 3 of Volume II of the EDGAR Filer Manual and the How Do I Understand EDGARLink Online Submission Types guide on SEC.gov |
|
Correspondence Submission (Template 4) |
CORRESP |
|
Modular Submission (Template 5) |
MODULE |
|
Segment Submission (Template 5) |
SEGMENT |
2. The following DOCUMENT TYPE data field values are acceptable:
|
DESCRIPTION |
VALUE |
|
Cover letter |
COVER |
|
Correspondence document |
CORRESP |
|
Graphic content in an HTML attachment |
GRAPHIC |
|
NASAA document |
EU-1 |
|
Type 1 Module or Segment document |
TYPE 1 |
|
Name of submission type you must file |
Chapter 3 of Volume II of the EDGAR Filer Manual and the How Do I Understand EDGARLink Online Submission Types guide on SEC.gov |
|
Exhibits under Regulations S-K for Investment Companies |
See examples of Document Type Values for Investment Company Exhibits for Certain Forms following these tables. |
3. The following DOCUMENT TYPE data field values are acceptable for exhibits under Regulations S-K and Regulations S-B. See examples of Document Type Values for Investment Company Exhibits for Certain Forms following this table. The Document Type Values for the XBRL Voluntary Financial Reporting Program on the EDGAR System is also shown following the examples for Investment Company Exhibits.
| Regulation S-K (229.601) DESCRIPTION | Regulation S-B (228.601) DESCRIPTION | VALUE |
|---|---|---|
|
(1) Underwriting agreement |
(1) Underwriting agreement |
EX-1 |
|
(2) Plan of acquisition, reorganization, arrangement, liquidation or succession |
(2) Plan of purchase, sale, reorganization, arrangement, liquidation or succession |
EX-2 |
|
(3) (i) Articles of incorporation |
(3) (i) Articles of Incorporation |
EX-3.(i) |
|
(ii) Bylaws |
(ii) Bylaws |
EX-3.(ii) |
|
(4) Instruments defining the rights of security holders, including indentures |
(4) Instruments defining the rights of security holders, including indentures |
EX-4 |
|
(5) Opinion re legality |
(5) Opinion on legality |
EX-5 |
|
(6) [Reserved] |
(6) No exhibit required |
No info blank cell |
|
(7) Correspondence from an independent accountant regarding non-reliance on a previously issued audit report or completed interim review |
(7) Correspondence from an independent accountant regarding non-reliance upon a previously issued audit report or completed interim review |
EX-7 |
|
(8) Opinion re tax matters |
(8) Opinion on tax matters |
EX-8 |
|
(9) Voting trust agreement |
(9) Voting trust agreement and amendments |
EX-9 |
|
(10) Material contracts |
(10) Material contracts |
EX-10 |
|
(11) Statement re computation of per share earnings |
(11) Statement re computation of per share earnings |
EX-11 |
|
(12) Statements re computation of ratios |
(12) No exhibit required |
EX-12 |
|
(13) Annual report to security holders, Form 10-Q and 10-QSB, or quarterly report to security holders1 |
(13) Annual report to security holders for the last fiscal year, Form 10-Q or 10-QSB or quarterly report to security holders1 |
EX-13 |
|
(14) Code of Ethics |
(14) Code of ethics |
EX-14 |
|
(15) Letter re unaudited interim financial information |
(15) Letter on unaudited interim financial information |
EX-15 |
|
(16) Letter re change in certifying accountant4 |
(16) Letter on change in certifying accountant4 |
EX-16 |
|
(17) Correspondence on departure of director |
(17) Letter on departure of director |
EX-17 |
|
(18) Letter re change in accounting principles |
(18) Letter on change in accounting principles |
EX-18 |
|
(19) Report furnished to security holders |
(19) Reports furnished to security holders |
EX-19 |
|
(20) Other documents or statements to security holders |
(20) Other documents or statements to security holders or any document incorporated by reference |
EX-20 |
|
(21) Subsidiaries of the registrant |
(21) Subsidiaries of the small business issuer |
EX-21 |
|
(22) Subsidiary guarantors and issuers of guaranteed securities and affiliates whose securities collateralize securities of the registrant |
(22) Published report regarding matters submitted to vote of security holders |
EX-22 |
|
(23) Consents of experts and counsel |
(23) Consents of experts and counsel |
EX-23 |
|
(24) Power of attorney |
(24) Power of attorney |
EX-24 |
|
(25) Statement of eligibility of trustee |
(25) Statement of eligibility of trustee |
EX-25; EX-25/A |
|
(26) Reserved |
(26) Reserved |
EX-26 |
|
(27) through (30) [Reserved] |
(27) through (30) [Reserved] |
No info blank cell |
|
(31) Rule 13a-14(a)/15d-14(a)Certifications |
(31) Rule 13a-14(a)/15d-14(a)Certifications |
EX-31 |
|
(32) Section 1350 Certifications |
(32) Section 1350 Certifications |
EX-32 |
|
(33) Report of compliance with servicing criteria for asset-backed securities |
(33) Report of compliance with servicing criteria for asset-backed securities |
EX-33 |
|
(34) Attestation report on assessment of compliance with servicing criteria for |
(34) Attestation report on assessment of compliance with servicing criteria for asset-backed securities |
EX-34 |
|
(35) Servicer compliance statement |
(35) Servicer compliance statement |
EX-35 |
|
(36) Depositor Certification for shelf offerings of asset-backed securities |
(36) Depositor Certification for shelf offerings of asset-backed securities |
EX-36 |
|
(95) Mine Safety Disclosure Exhibit |
(95) Mine Safety Disclosure Exhibit |
EX-95 |
|
(96) Mining Disclosure Exhibit |
(96) Mining Disclosure Exhibit |
EX-96 |
|
(99) Additional exhibits |
(99) Additional exhibits |
EX-99 |
|
(101) Interactive Data Documents |
(101) XBRL-Related Documents |
EX-101 |
|
(102) Asset Data File |
(102) Asset Data File |
EX-102 |
|
(103) Asset Related Document |
(103) Asset Related Document |
EX-103 |
|
(106) Static Pool |
(106) Static Pool |
EX-106 |
Other exhibit selections are as follows:
3.1. Document Type Values for Investment Company Exhibits for Forms N-1A and N-14:
| Form N-1A Exhibits | Form N-14 Exhibits |
|---|---|
|
EX-99.a CHARTER |
EX-99.1 CHARTER |
|
EX-99.b BYLAWS |
EX-99.2 BYLAWS |
|
EX-99.c HOLDERS RTS |
EX-99.3 VOTING TRUST |
|
EX-99.d ADVSR CONTR |
EX-99.4 ACQ AGREEMNT |
|
EX-99.e UNDR CONTR |
EX-99.5 HOLDERS RTS |
|
EX-99.f BONUS PROFIT |
EX-99.6 ADVSER CONTR |
|
EX-99.g CUST AGREEMT |
EX-99.7 DISTR CONTR |
|
EX-99.h OTH MAT CONT |
EX-99.8 O&D BENEFTS |
|
EX-99.i LEGAL OPININ |
EX-99.9 CUST CONTRCT |
|
EX-99.j OTHER OPININ |
EX-99.10 12B1 PLAN |
|
EX-99.k OMT FIN STAT |
EX-99.11 OPIN COUNSL |
|
EX-99.l INT CAP AGRE |
EX-99.12 TAX OPINION |
|
EX-99.m 12B-1 PLAN |
EX-99.12 REV RULING |
|
EX-99.n 18F-3 PLAN |
EX-99.13 OTH CONTRCT |
|
EX-99.p CODE ETH |
EX-99.14 OTH CONSENT |
|
EX-99.15 OTH FIN ST |
|
|
EX-99.16 PWR OF ATTY |
|
|
EX-99.17 (as approp) EX-FILING FEES |
3.2. Document Type Values for Investment Company Exhibits for Forms N-2 and N-6:
| Form N-2 Exhibits | Form N-6 Exhibits |
|---|---|
|
EX-99.2A CHARTER |
EX-99.a BD-DIR-RESOL |
|
EX-99.2B BYLAWS |
EX-99.b CUST-AGRMETS |
|
EX-99.2C VOTING TRST |
EX-99.c UNDER CONTRT |
|
EX-99.2D HOLDERS RTS |
EX-99.d CONTRACTS |
|
EX-99.2E DIV REIN PL |
EX-99.e APPLICATIONS |
|
EX-99.2F SUBSID DEBT |
EX-99.f DEP CERT/BYL |
|
EX-99.2G ADVSR CONTR |
EX-99.g REINS CONTRT |
|
EX-99.2H DISTR CONTR |
EX-99.h PARTIC AGREE |
|
EX-99.2I O&D BENEFTS |
EX-99.i ADMIN CONTRT |
|
EX-99.2J CUST CONTR |
EX-99.j OTH MAT CONT |
|
EX-99.2K OTH CONTRCT |
EX-99.k LEGAL OPININ |
|
EX-99.2L OPIN COUNSL |
EX-99.l ACTUARIAL OP |
|
EX-99.2M CNSNT SRVCE |
EX-99.m CALCULATION |
|
EX-99.2N OTH CONSENT |
EX-99.n OTH OPINIONS |
|
EX-99.2O OTH FIN ST |
EX-99.o OMITD FIN ST |
|
EX-99.2P STOCK LTR |
EX-99.p INIT CAP AGR |
|
EX-99.2Q RETRMT PLAN |
EX-99.q REDEEM EXEMP |
|
EX-99.2R CODE ETH EX-FILING FEES |
EX-99.r FORM OF ISP |
*Name of exhibit may vary depending on the specific content of the exhibit.
Note: You may include up to fourteen characters after the decimal point in the document type value.
3.3. Document Type Values for Investment Company Exhibits for Forms N-3 and N-4:
| Form N-3 Exhibits | Form N-4 Exhibits |
|---|---|
|
EX-99.3a BD-DIR-RESO |
EX-99.4a BD-DIR-RESO |
|
EX-99.3b BYLAWS |
EX-99.4b CUST-AGRMET |
|
EX-99.3c CUST-AGRMET |
EX-99.4c UNDER CONTR |
|
EX-99.3d ADVSR CONTR |
EX-99.4d CONTRACTS |
|
EX-99.3e UNDER CONTR |
EX-99.4e APPLICATION |
|
EX-99.3f CONTRACTS |
EX-99.4f DEP CERT/BY |
|
EX-99.3g APPLICATION |
EX-99.4g REINS CONTR |
|
EX-99.3h BYLAWS INS |
EX-99.4h PARTIC AGR |
|
EX-99.3i REINS CONTR |
EX-99.4i ADMIN CONTR |
|
EX-99.3j PROFIT SHAR |
EX-99.4j OTH MAT CON |
|
EX-99.3k ADMIN CONTR |
EX-99.4k LEGAL OPIN |
|
EX-99.3l OTH MAT CON |
EX-99.4l OTH OPINION |
|
EX-99.3m LEGAL OPIN |
EX-99.4m OMITD FIN |
|
EX-99.3n OTH OPINION |
EX-99.4n INIT CAP AG |
|
EX-99.3o OMITD FIN |
EX-99.4o FORM OF ISP |
|
EX-99.3p INIT CAP AG |
No info blank cell |
|
EX-99.3q CODE ETH |
No info blank cell |
|
EX-99.3r FORM OF ISP |
No info blank cell |
3.4. Document Type Values for Investment Company Exhibits For Filings Made on Forms N-8B-2 and S-6:
| PAR | FORM N-8b-2 | INSTR | FORM S-6 |
|---|---|---|---|
|
A |
EX-99.A1 INDNTR ORGN |
1 |
EX-99.A1 INDNTR ORGN |
|
No info blank cell |
EX-99.A2 INDNTR PMT |
No info blank cell |
EX-99.A2 INDNTR PMT |
|
No info blank cell |
EX-99.A3A DIST CONTR |
No info blank cell |
EX-99.A3A DIST CONTR |
|
No info blank cell |
EX-99.A3B DEALER AGR |
No info blank cell |
EX-99.A3B DEALER AGR |
|
No info blank cell |
EX-99.A3C SCH COMMIS |
No info blank cell |
EX-99.A3C SCH COMMIS |
|
No info blank cell |
EX-99.A4 OTHER AGRMT |
No info blank cell |
EX-99.A4 OTHER AGRMT |
|
No info blank cell |
EX-99.A5 FORM/SECRTY |
No info blank cell |
EX-99.A5 FORM/SECRTY |
|
No info blank cell |
EX-99.A6 CERT/BYLAWS |
No info blank cell |
EX-99.A6 CERT/BYLAWS |
|
No info blank cell |
EX-99.A7 INSR POLICY |
No info blank cell |
EX-99.A7 INSR POLICY |
|
No info blank cell |
EX-99.A8 DEPOSIT AGR |
No info blank cell |
EX-99.A8 DEPOSIT AGR |
|
No info blank cell |
EX-99.A9 OTHER CONTR |
No info blank cell |
EX-99.A9 OTHER CONTR |
|
No info blank cell |
EX-99.A10 PERIODC PP |
No info blank cell |
EX-99.A10 PERIODC PP |
|
No info blank cell |
EX-99.A11 CODE ETH |
2 |
EX-99.2 OPIN COUNSEL |
|
B |
EX-99.B1 NOTIC/SHLDR |
3 |
EX-99.3 OTHER FIN ST |
|
No info blank cell |
EX-99.B2 ANRPT/SHLDR |
4 |
EX-99.4 UNREG ISSUER |
|
C |
Dealer’s name & address |
No info blank cell |
Other consents required by Instruction 4 of S-6 (as applicable): |
|
No info blank cell |
No info blank cell |
No info blank cell |
EX-99.C1 ACCT CONSNT |
|
No info blank cell |
No info blank cell |
No info blank cell |
EX-99.C2 EVAL CONSNT |
|
No info blank cell |
No info blank cell |
No info blank cell |
EX-99.C3 RTG AGY OPN |
|
No info blank cell |
No info blank cell |
No info blank cell |
EX-99.C4 TAX OPINION |
|
No info blank cell |
No info blank cell |
No info blank cell |
EX-99.C5 REV RULING |
|
No info blank cell |
No info blank cell |
No info blank cell |
EX-99.C6 OTHER OPIN |
Notes: (1) The content of this exhibit shall be supplied separately as confidential information pursuant to rule 45a-1 (in paper format).
(2) You may include up to fourteen characters after the decimal point in the document type value.
3.5. Document Type Values for Exhibits Filed with Form N-CSR:
- EX-99.CERT
- EX-99.906CERT
- EX-99.CODE ETH
- EX-99.Rule23C1
- EX-99.IND PUB ACCT
3.6. Document Type Values for Exhibits Filed with Form ABS-EE:
| Document Type | Description | File name Extension |
|---|---|---|
|
EX-102 |
Asset Data File |
*.xml |
|
EX-103 |
Asset Related Document |
*.xml |
Note: Refer to the “EDGAR ABS XML Technical Specification” document available on the SEC’s public website (https://www.sec.gov/edgar/filer/technical-specifications/#abs) for more information on ABS Asset Data Files. Each element listed in the Element/Attribute Name column in section 3.4 (Mapping of ABS Schemas to Asset Data Types) of “EDGAR ABS XML Technical Specification” document corresponds to an Item number of Schedule AL – Asset-Level Information (17 CFR 229.1125). Schedule AL contains the complete title and description of each of the disclosure requirements and filers should refer to Schedule AL for a full description of the information that must be provided in any ABS Asset Data File.
3.7. Document Type Values for Exhibits Filed with Municipal Advisor Forms:
- EX-99.31 MA-NR
- EX-99.34 OPIN COUNSL
- EX-99.32 APP CRT DOC
- EX-99.33 APP REG DOC
3.8. Document Type Values for Exhibits Filed with Regulation A Submission Form Types:
| 1-A and DOS | 1-K | 1-SA | 1-U |
|---|---|---|---|
|
EX1A-1 UNDR AGMT |
EX1K-1 UNDR AGMT |
EX1SA-1 UNDR AGMT |
EX1U-1 UNDR AGMT |
|
EX1A-2A CHARTER |
EX1K2A CHARTER |
EX1SA-2A CHARTER |
EX1U-2A CHARTER |
|
EX1A-2B BYLAWS |
EX1K-2B BYLAWS |
EX1SA-2B BYLAWS |
EX1U-2B BYLAWS |
|
EX1A-3 HLDRS RTS |
EX1K-3 HLDRS RTS |
EX1SA-3 HLDRS RTS |
EX1U-3 HLDRS RTS |
|
EX1A-4 SUBS AGMT |
EX1K-4 SUBS AGMT |
EX1SA-4 SUBS AGMT |
EX1U-4 SUBS AGMT |
|
EX1A-5 VOTG TRST |
EX1K-5 VOTG TRST |
EX1SA-5 VOTG TRST |
EX1U-5 VOTG TRST |
|
EX1A-6 MAT CTRCT |
EX1K-6 MAT CTRCT |
EX1SA-6 MAT CTRCT |
EX1U-6 MAT CTRCT |
|
EX1A-7 ACQ AGMT |
EX1K-7 ACQ AGMT |
EX1SA-7 ACQ AGMT |
EX1U-7 ACQ AGMT |
|
EX1A-8 ESCW AGMT |
EX1K-8 ESCW AGMT |
EX1SA-8 ESCW AGMT |
EX1U-8 ESCW AGMT |
|
EX1A-9 ACCT LTR |
EX1K-9 ACCT LTR |
EX1SA-9 ACCT LTR |
EX1U-9 ACCT LTR |
|
EX1A-10 PWR ATTY |
EX1K-10 PWR ATTY |
EX1SA-10 PWR ATTY |
EX1U-10 PWR ATTY |
|
EX1A-11 CONSENT |
EX1K-11 CONSENT |
EX1SA-11 CONSENT |
EX1U-11 CONSENT |
|
EX1A-12 OPN CNSL |
EX1K-12 OPN CNSL |
EX1SA-12 OPN CNSL |
EX1U-12 OPN CNSL |
|
EX1A-13 TST WTRS |
EX1K-13 TST WTRS |
EX1SA-13 TST WTRS |
EX1U-13 TST WTRS |
|
EX1A-14 CNSNT SV |
EX1K-14 CNSNT SV |
EX1SA-14 CNSNT SV |
EX1U-14 CNSNT SV |
|
ADD EXHB |
ADD EXHB |
ADD EXHB |
ADD EXHB |
|
EX1A-17 GNTR/ISSR |
EX1K-17 GNTR/ISSR |
EX1SA-17 GNTR/ISSR |
EX1U-17 GNTR/ISSR |
|
EX-96* |
*EX-96 is only applicable for 1-A, 1-A/A, and 1-A POS.
3.9. Document Type Values for Exhibits Filed with Form C
- EX-99
3.10. Document Type Values for Exhibits Filed with Form Funding Portal
- EX-99.32 APP CRT DOC
- EX-99.33 APP REG DOC
- EX-99.34 OPIN COUNSL
- EX-99.35 OTHER
Note: Multiple attachments of the same document type may be attached to a single submission.
3.11. Document Type Values for Exhibits Filed with Form SDR:
| Form SDR Item | Document Type | SDR | SDR/A | SDR-A | SDR-W | File name Extension |
|---|---|---|---|---|---|---|
|
Item 14 (Exhibit A) |
EX-99.A SDR AGRMNT |
Optional |
Optional |
Optional |
Optional |
*.txt, *.htm |
|
Item 14 (Exhibit A) |
EX-99.A SDR SUMMARY |
Required |
Optional |
Required |
Optional |
*.xml |
|
Item 15 (Exhibit B) |
EX-99.B SDR |
Required |
Optional |
Required |
Optional |
*.xml |
|
Item 16 (Exhibit C) |
EX-99.C SDR |
Required |
Optional |
Required |
Optional |
*.xml |
|
Item 17 (Exhibit D) |
EX-99.D SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 18 (Exhibit E) |
EX-99.E SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 19 (Exhibit F) |
EX-99.F SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 20 (Exhibit G) |
EX-99.G SDR |
Required |
Optional |
Required |
Optional |
*.xml |
|
Item 21 (Exhibit H) |
EX-99.H SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 22 (Exhibit I) |
EX-99.I SDR CNTRCT |
Optional |
Optional |
Optional |
Optional |
*.txt, *.htm |
|
Item 22 (Exhibit I) |
EX-99.I SDR SUMMARY |
Required |
Optional |
Required |
Optional |
*.xml |
|
Item 23 (Exhibit J) |
EX-99.J SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 24 (Exhibit K) |
EX-99.K SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 24 (Exhibit K) |
EX-99.K SDR.INS |
Required |
Optional |
Required |
Optional |
*.xml |
|
Item 24 (Exhibit K) |
EX-99.K SDR.PRE |
Required |
Optional |
Required |
Optional |
*.xml |
|
Item 24 (Exhibit K) |
EX-99.K SDR.LAB |
Optional |
Optional |
Optional |
Optional |
*.xml |
|
Item 24 (Exhibit K) |
EX-99.K SDR.CAL |
Optional |
Optional |
Optional |
Optional |
*.xml |
|
Item 24 (Exhibit K) |
EX-99.K SDR.DEF |
Optional |
Optional |
Optional |
Optional |
*.xml |
|
Item 25 (Exhibit L) |
EX-99.L SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 25 (Exhibit L) |
EX-99.L SDR.INS |
Required |
Optional |
Required |
Optional |
*.xml |
|
Item 25 (Exhibit L) |
EX-99.L SDR.SCH |
Required |
Optional |
Required |
Optional |
*.xsd |
|
Item 25 (Exhibit L) |
EX-99.L SDR.PRE |
Required |
Optional |
Required |
Optional |
*.xml |
|
Item 25 (Exhibit L) |
EX-99.L SDR.LAB |
Optional |
Optional |
Optional |
Optional |
*.xml |
|
Item 25 (Exhibit L) |
EX-99.L SDR.CAL |
Optional |
Optional |
Optional |
Optional |
*.xml |
|
Item 25 (Exhibit L) |
EX-99.L SDR.DEF |
Optional |
Optional |
Optional |
Optional |
*.xml |
|
Item 26 (Exhibit M) |
EX-99.M SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 27 (Exhibit N) |
EX-99.N SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 28 (Exhibit O) |
EX-99.O SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 29 (Exhibit P) |
EX-99.P SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 30 (Exhibit Q) |
EX-99.Q SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 31 (Exhibit R) |
EX-99.R SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 32 (Exhibit S) |
EX-99.S SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 33 (Exhibit T) |
EX-99.T SDR |
Required |
Optional |
Required |
Optional |
*.xml |
|
Item 34 (Exhibit U) |
EX-99.U SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 35 (Exhibit V) |
EX-99.V SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 36 (Exhibit W) |
EX-99.W SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 37 (Exhibit X) |
EX-99.X SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 38 (Exhibit Y) |
EX-99.Y SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 39 (Exhibit Z) |
EX-99.Z SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 40 (Exhibit AA) |
EX-99.AA SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 41 (Exhibit BB) |
EX-99.BB SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 42 (Exhibit CC) |
EX-99.CC SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 43 (Exhibit DD) |
EX-99.DD SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 44 (Exhibit EE) |
EX-99.EE SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 45 (Exhibit FF) |
EX-99.FF SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 46 (Exhibit GG) |
EX-99.GG SDR |
Required |
Optional |
Required |
Optional |
*.txt, *.htm |
|
Item 47 (Exhibit HH) |
EX-99.HH SDR |
Optional |
Optional |
Optional |
Optional |
*.txt, *.htm |
Note: Refer to the “EDGAR SDR XML Technical Specification” document available on the SEC’s public website (https://www.sec.gov/info/edgar/specifications/edgar-form-sdr-tech-specs) for information on preparing exhibits A, B, C, G, I, and T in XML format. For information on preparing exhibits in ASCII and HTML format, refer to Section 5.2.1, “ASCII Documents” and Section 5.2.2, “HTML” of Chapter 5 of Volume II of the EDGAR Filer Manual.
3.12. Document Type Values for Exhibits Filed with SBS Entity Forms
- EX-99.32 APP CRT DOC
- EX-99.33 APP REG DOC
- EX-99.34 OPIN COUNSL
- EX-99.35 OTHER
- EX-99.36 Form 7-R
- GRAPHIC
Note: Multiple attachments of the same document type may be attached.
3.13. Document Type Values for Document Attachments Filed with Form 17-H
All document attachments filed with Form 17-H are confidential and will not be disseminated. All documents beginning with “17H.*” can be attached for each Material Associated Person being reported on the 17-H submission. For more information on Material Associated Persons, see Section 8.2.24, “Completing a Form 17-H Submission.”
| Document Type Name | Description | Required | File name extension |
|---|---|---|---|
|
ORGCHART |
Organizational Chart |
Required if “No material changes have occurred since last filed” is not selected. Always required for 17HACON filings, even if “No material changes have occurred since last filed” is selected. Otherwise, ORGCHART is Optional. |
*.txt, *.htm, *.pdf, *.gif, *jpg |
|
RISKMGMT |
Risk Management |
Required if “No material changes have occurred since last filed” is not selected. Otherwise, RISKMGMT is Optional. |
*.txt, *.htm, *.pdf |
|
LEGALPROC |
Legal Proceedings |
Required if “No material changes have occurred since last filed” is not selected. Otherwise, LEGALPROC is Optional. |
*.txt, *.htm, *.pdf |
|
FINSTMT |
Financial Statements |
Required |
*.txt, *.htm, *.pdf |
|
OTHERCON |
Other |
Optional |
*.txt, *.htm, *.pdf |
|
CORRESP |
Correspondence |
Optional |
*.txt, *.htm, *.pdf |
|
COVER |
Cover |
Optional |
*.txt, *.htm, *.pdf |
|
GRAPHIC |
Graphic |
Optional |
*.gif, *.jpg |
|
17H-AGGR COMM DELTA |
Aggregate Securities and Commodities Positions - Summary of delta or similar analysis |
Optional |
*.txt, *.htm, |
|
17H-FWDS US TR / MBS |
U.S. Treasury and mortgage-backed securities - per counterparty breakdown |
Optional |
*.txt, *.htm, |
|
17H-FWDS OTHER |
Other forwards - per counterparty breakdown |
Optional |
*.txt, *.htm, |
|
17H-INT RT SWP US |
Interest Rate Swaps - U.S. dollar denominated swaps - per counterparty breakdown |
Optional |
*.txt, *.htm, |
|
17H-INT RT SWP C CUR |
Interest Rate Swaps - Cross currency swaps - per counterparty breakdown |
Optional |
*.txt, *.htm, |
|
17H-FRGN SWP |
Foreign exchange - Swaps - per counterparty breakdown |
Optional |
*.txt, *.htm, |
|
17H-FRGN NOTC |
Foreign exchange - Notional or contractual amounts of commitments to purchase foreign currencies and U.S. dollar exchange - per counterparty breakdown |
Optional |
*.txt, *.htm, |
|
17H-SWAP OTHER |
All other swap agreements (specify type) - schedule |
Optional |
*.txt, *.htm, |
|
17H-SWAP OTHER PCB |
All other swap agreements - per counterparty breakdown |
Optional |
*.txt, *.htm, |
|
17H-COMD FWDS |
Commodities - per counterparty breakdown |
Optional |
*.txt, *.htm, |
|
17H-DELTA |
Summary of delta or similar analysis |
Optional |
*.txt, *.htm, |
|
17H-RISK CONC 105 |
Listing, by amount, of significant concentrations of credit risk as defined in Statement of Financial Accounting Standards No. 105 |
Optional |
*.txt, *.htm, |
|
17H-RE GEOG |
Real Estate - listing by geographic region |
Optional |
*.txt, *.htm, |
|
17H-RISK SINGLE |
Information regarding risk concentration to a single borrower, location or property in the investment or loan portfolio |
Optional if at least one value is provided in Part II.V.1.(a) to (e) or Part II.V.2.(a) to (e). Otherwise, 17H-RISK SINGLE is not allowed. |
*.txt, *.htm, |
|
17H-ADDTL ANSWRS |
Material Associated Person - Additional space for answers |
Optional |
*.txt, *.htm, |
Note: PDF attachments are Official Documents and do not require a related *.txt or *.htm attachment.
3.14. Document Type Values for Exhibit Filed with Form NRSRO and Rule 17g-3 Reports
NRSRO-UPD – Form NRSRO Update of Registration (Public)
| Item | Document Type Value | File name Extension |
|---|---|---|
|
Form NRSRO |
N/A |
|
|
Exhibit 2 to Form NRSRO |
EX-99.E2 NRSRO |
|
|
Exhibit 3 to Form NRSRO |
EX-99.E3 NRSRO |
|
|
Exhibit 4 to Form NRSRO |
EX-99.E4 NRSRO |
|
|
Exhibit 5 to Form NRSRO |
EX-99.E5 NRSRO |
|
|
Exhibit 6 to Form NRSRO |
EX-99.E6 NRSRO |
|
|
Exhibit 7 to Form NRSRO |
EX-99.E7 NRSRO |
|
|
Exhibit 8 to Form NRSRO |
EX-99.E8 NRSRO |
|
|
Exhibit 9 to Form NRSRO |
EX-99.E9 NRSRO |
|
NRSRO-CE – Form NRSRO Annual Certification (Public) and NRSRO-CE/A – Amended Form NRSRO Annual Certification (Public)
| Item | Document Type Value | File name Extension |
|---|---|---|
|
Form NRSRO |
N/A |
|
|
Exhibit 1 to Form NRSRO |
EX-99.E1 NRSRO |
|
|
Exhibit 2 to Form NRSRO |
EX-99.E2 NRSRO |
|
|
Exhibit 3 to Form NRSRO |
EX-99.E3 NRSRO |
|
|
Exhibit 4 to Form NRSRO |
EX-99.E4 NRSRO |
|
|
Exhibit 5 to Form NRSRO |
EX-99.E5 NRSRO |
|
|
Exhibit 6 to Form NRSRO |
EX-99.E6 NRSRO |
|
|
Exhibit 7 to Form NRSRO |
EX-99.E7 NRSRO |
|
|
Exhibit 8 to Form NRSRO |
EX-99.E8 NRSRO |
|
|
Exhibit 9 to Form NRSRO |
EX-99.E9 NRSRO |
|
NRSRO-FR – Annual Financial/Other Reports Required by Rule 17g-3 (Non-Public) and NRSRO-FR/A – Amended Annual Financial/Other Reports Required by Rule 17g-3 (Non-Public)
| Item | Document Type Value | File name Extension |
|---|---|---|
|
Rule 17g-3(a)(1) Report |
EX-99.Ra1 NRSRO |
|
|
Rule 17g-3(a)(2) Report |
EX-99.Ra2 NRSRO |
|
|
Rule 17g-3(a)(3) Report |
EX-99.Ra3 NRSRO |
|
|
Rule 17g-3(a)(4) Report |
EX-99.Ra4 NRSRO |
|
|
Rule 17g-3(a)(5) Report |
EX-99.Ra5 NRSRO |
|
|
Rule 17g-3(a)(6) Report |
EX-99.Ra6 NRSRO |
|
|
Rule 17g-3(a)(6) Signed Statement |
EX-99.Ra6S NRSRO |
|
|
Rule 17g-3(a)(7) Report |
EX-99.Ra7 NRSRO |
|
|
Rule 17g-3(a)(7) Signed Statement |
EX-99.Ra7S NRSRO |
|
|
Rule 17g-3(a)(8) Report |
EX-99.Ra8 NRSRO |
|
3.15. Document Type Values for Exhibit Filed with Form ATS-N
All document attachments filed with Form ATS-N can be in ASCII, HTML, or PDF format. For Form ATS-N submissions, you must either include the exhibit (ATS-N EX-1 SCHD A BD, ATS-N EX-2 SCHD B BD, ATS-N EX-4 AGG STATS, or ATS-N EX-5 CATG MTRC), or select the corresponding check box certifying that the information requested for the specific exhibit is available at the website of the NMS Stock ATS and is accurate as of the date of the filing.
ATS-N EX-3 REDLINE is required for the Form ATS-N Amendments only.
Note: Multiple attachments of the same document type may be attached.
3.16. Fee Bearing Submission Types in which the EX-FILING FEES document is applicable
| Submission Type | EX-FILING FEES | Submission Type | EX-FILING FEES | |
|---|---|---|---|---|
|
F-1 |
Required |
S-3ASR |
Required |
|
|
F-1/A |
Optional |
S-3D |
Required |
|
|
F-1MEF |
Required |
S-3MEF |
Required |
|
|
F-10 |
Required |
S-4 |
Required |
|
|
F-10/A |
Optional |
S-4/A |
Optional |
|
|
F-10EF |
Required |
S-4EF |
Required |
|
|
F-3 |
Required |
S-4MEF |
Required |
|
|
F-3/A |
Optional |
S-8 |
Required |
|
|
F-3ASR |
Required |
SC 13E1 |
Required |
|
|
F-3D |
Required |
SC 13E1/A |
Optional |
|
|
F-3MEF |
Required |
SC 13E3 |
Required |
|
|
F-4 |
Required |
SC 13E3/A |
Optional |
|
|
F-4/A |
Optional |
SC TO-I |
Required |
|
|
F-4MEF |
Required |
SC TO-I/A |
Optional |
|
|
N-14 8C |
Required |
SC TO-T |
Required |
|
|
N-14 8C/A |
Optional |
SC TO-T/A |
Optional |
|
|
N-14MEF |
Required |
SC13E4F |
Required |
|
|
N-2 |
Required |
SC13E4F/A |
Optional |
|
|
N-2/A |
Optional |
SC14D1F |
Required |
|
|
N-2 POSASR |
Optional |
SC14D1F/A |
Optional |
|
|
N-2ASR |
Required |
SF-1 |
Required |
|
|
N-2MEF |
Required |
SF-1/A |
Optional |
|
|
POS AM |
Optional |
SF-1MEF |
Required |
|
|
POSASR |
Optional |
SF-3 |
Required |
|
|
PREM14A |
Optional |
SF-3/A |
Optional |
|
|
PREM14C |
Optional |
SF-3MEF |
Required |
|
|
PRER14A |
Optional |
424B1 |
Optional |
|
|
PRER14C |
Optional |
424B2 |
Optional |
|
|
S-1 |
Required |
424B3 |
Optional |
|
|
S-1/A |
Optional |
424B4 |
Optional |
|
|
S-1MEF |
Required |
424B5 |
Optional |
|
|
S-11 |
Required |
424B7 |
Optional |
|
|
S-11/A |
Optional |
424B8 |
Optional |
|
|
S-11MEF |
Required |
424H |
Optional |
|
|
S-3 |
Required |
424H/A |
Optional |
|
|
S-3/A |
Optional |
424I |
Required |
4. Relationship
The following values are valid for the RELATIONSHIP data field to represent the terms described below. The RELATIONSHIP data field is acceptable only with the 144 submission types (and amendments to these submissions) used for reporting stock ownership. If the Person for whose Account the Securities are to be sold is a relative or other family member of an Officer, Director or 10% shareholder, indicate both that the Person is an immediate family member, and the family member’s relationship to the issuer.
| DESCRIPTION | VALUE |
|---|---|
|
Owner of more than 10% of Subject Company |
10% Stockholder |
|
Director of Subject Company |
Director |
|
Officer of Subject Company |
Officer |
|
Member of the immediate family of any of the foregoing (indicate the family member’s relationship to the issuer – Officer, Director or 10% Holder) |
Member of the immediate family of any of the foregoing |
|
Provide any other relationship not mentioned above |
Text up to 50 characters |
5. Period
The following table lists some common submission form types where the PERIOD field allows a future date.
Common submission form types that allow a future date in the PERIOD field:
| Submission Form Type | Submission Form Type | Submission Form Type | Submission Form Type |
|---|---|---|---|
|
6-K |
6-K/A |
DEF 14A |
DEF 14C |
|
DEFN14A |
N-23C-2 |
N-23C-2/A |
N-23C3A |
|
N-23C3A/A |
N-23C3B |
N-23C3B/A |
N-23C3C |
|
N-23C3C/A |
PREM14C |
PRE 14A |
PRE 14C |
|
PREM14A |
PREN14A |
8-K |
8-K/A |
|
8-K12B |
8-K12B/A |
8-K12G3 |
8-K12G3/A |
|
8-K15D5 |
8-K15D5/A |
No info blank cell |
No info blank cell |
Note: For submission form type 8-K and its variants, the future date entered for the PERIOD field can be up to the next business date from the date of submission, provided the time of filing is between 5:31 P.M. and 10:00 P.M. Eastern Time.
The following table lists some common submission form types where the PERIOD field cannot contain a future date.
Common submission form types that cannot contain a future date in the PERIOD field:
| Submission Form Type | Submission Form Type | Submission Form Type | Submission Form Type |
|---|---|---|---|
|
10-D* |
10-D/A* |
10-K |
10-K/A |
|
10-KT |
10-KT/A |
10-Q |
10-Q/A |
|
10-QT |
10-QT/A |
11-K |
11-K/A |
|
11-KT |
11-KT/A |
13F-HR |
13F-HR/A |
|
13F-NT |
13F-NT/A |
13F-CTR |
13F-CTR/A |
|
18-K |
18-K/A |
20-F |
20-F/A |
|
24F-2NT |
24F-2NT/A |
40-F |
40-F/A |
|
ANNLRPT |
ANNLRPT/A |
ARS |
ARS/A |
|
N-27D-1 |
N-27D-1/A |
N-PX-NT |
N-PX-NT/A |
|
N-PX-VR |
N-PX-VR/A |
N-PX-CR |
N-PX-CR/A |
* The PERIOD field for a 10-D and 10-D/A can contain a future date if part of a combined submission. The 10-D and 10-D/A submissions will use the ABS-EE END PERIOD field, which can contain a future date. If the Forms 10-D and 10-D/A are submitted without Forms ABS-EE and ABS-EE/A, then the PERIOD field cannot contain a future date.
6. Date of Status
You CANNOT use a future status date within the following submission types:
| Submission form types that do not allow a future status date: |
|---|
|
13H-I |
|
13H-R |
|
13H-T |