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How Do I...Understand Messages Reported by EDGAR
Oct. 10, 2023
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EDGAR generates and sends either acceptance or suspense messages to you after your submission has been received. Either type of message may contain notices of discrepancies or inconsistencies in the submission. Those notices are reported as warnings or errors. Errors cause a submission to be suspended, but warnings do not.
After EDGAR generates a suspense message, you must correct and/or resubmit the submission before we can accept it.
Find the guidance below:
- Examples of acceptance and suspense messages
- Explanation of error messages
- Alphabetical listing of error/warning messages, with explanations and suggested solutions.
Notes:
- In some cases, EDGAR may replace an unrecognizable character in your submission with a circumflex (^).
- Some discrepancies may generate either a warning or an error message depending upon the tag or value involved.
- If you use the submission or document validation option to check a filing before submitting it to us, you will receive the same similar messages as those received from EDGAR.
- The term “tag” and the term “field” can be used interchangeably.
Examples of Acceptance and Suspense Messages
Example acceptance message:
FROM: EDGAR POSTMASTER [EDGARPOST1]
TO: jsmith@xyz.com
DATE: 10-Jan-2003 10:48
SUBJECT: ACCEPTED FORM TYPE 10-K (1010101010-99-010051)
MSG ID: 97349-56392
THE FOLLOWING SUBMISSION HAS BEEN ACCEPTED BY THE U.S. SECURITIES AND EXCHANGE COMMISSION:
COMPANY: HI TECH PHARMACAL CO INC
FORM TYPE: 4 NUMBER OF DOCUMENTS: 3
RECEIVED DATE: 10-Jan-2003 10:48 ACCEPTED DATE: 10-Jan-2003 10:48
FILING DATE: 10-Jan-2003 10:48
TEST FILING: NO CONFIRMING COPY: NO
ACCESSION NUMBER: 1010101010-03-010051
FILE NUMBER(S):
1. 000-20424
THE PASSWORD FOR LOGIN CIK 1010101010 WILL EXPIRE 31-DEC-2003
PLEASE REFER TO THE ACCESSION NUMBER LISTED ABOVE FOR FUTURE INQUIRIES.
REPORTING-OWNER(S):
1. CIK: 0000887497
OWNER: BLACK, JOE
FORM TYPE: 4
FILE NUMBER(S):
1. 000-20424
ISSUER:
2. CIK: 0001186838
COMPANY: HI TECH PHARMACAL CO INC
------------------------------ NOTICE -------------------------------
{Adhoc Notification message}
Example suspense message:
FROM: EDGAR POSTMASTER [EDGARPOST1]
TO: TESTER01
DATE: 8-JAN-2003 10:54
SUBJECT: SUSPENDED FORM TYPE 4(0000950136-03-000028)
MSG ID: 13359-36894
THE FOLLOWING SUBMISSION HAS BEEN SUSPENDED BY THE U.S. SECURITIES AND
EXCHANGE COMMISSION:
FORM TYPE: 4 NUMBER OF DOCUMENTS: 1
RECEIVED DATE: 8-JAN 2003 10:18 SUSPENDED DATE: 8-JAN-2003 10:19
TEST FILING: NO CONFIRMING COPY: NO
ACCESSION NUMBER: 0000950136-03-000028
FILE NUMBER(S):
1. NONE.
THE PASSWORD FOR LOGIN CIK 0000123567 WILL EXPIRE 01-FEB-2003 00:00.
THIS SUBMISSION MUST BE RE-TRANSMITTED IN ITS ENTIRETY.
ERR: TAG_VALUE_MISSING_OR_INVALID
MSG: Value for Issuer CIK is missing or invalid 0101010101.
LOC: LINE NUMBER: 0
------------------------------ NOTICE ---------------------------------
{Adhoc Notification message}
Explanation of Error Messages
EDGAR will list each error in the order in which it was encountered in processing. Some error conditions may generate more than one error.
You will receive an error message, via the email address you have provided, in the following format:
Tag Description
ERR: DUPLICATE_FILER
(This is EDGAR’s internal error message name for the error condition.)
MSG: FILER_CIK (VALUE) IS DUPLICATED
(This message describes the error.)
Note: If the same error occurs repeatedly in a filing, not all of the errors will be reported. For example, if the filing has exceeded the reporting limit for the number of invalid characters in a filing, only the first 10 occurrences will be reported.
LOC: This portion of the message helps you identify the line number associated with the error. The position of the error (character count) helps you move directly to the error location so that you may easily repair the error.
For example, the LOC section of the error message could be:
LINE NUMBER: 30
The “ERR” or “WRN” and “MSG” sections of an error-check message are repeated in the List of Errors. We have included the following two additional information categories in this list:
DESCRIPTION: This is a more detailed description of the problem that caused the error and may explain why the filing was not accepted.
SOLUTION: This section of the message makes some suggestions for correcting the error.
Note: Some error messages can be used for more than one tag field or error. In each error message that can apply to multiple tags, the term <tag> or field is used.
An example of an error message that could be used for more than one tag could be:
ERR: REQUIRED_TAG_MISSING
MSG: Required <CIK> tag is missing.
When you find “REQUIRED_TAG_MISSING” in the List of Errors below, the message reads:
MSG: Required <value> tag is missing.
Since many tags are required for acceptance, not every possible message is listed here.
Similarly, a tag’s value may be noted in the error message received from EDGAR. In the listing of errors in the manual, however, the message will have the tag value in parentheses (value). The Internet error message will show the actual value that was inserted. For example, if the correct CIK is 0000456789 and you entered 0000466789 after the <CIK> tag, the error message will read:
ERR: INCONSISTENT_TAG_VALUE
MSG: <CCC> value is inconsistent with <CIK> (0000466789).
For the previous error, the message in the List of Errors below will be:
MSG: <TAG> value is inconsistent <CIK> (value).
Although EDGAR has been designed to find as many errors as possible, certain types of submission errors will halt processing so that subsequent errors cannot be detected. For example, when the system does not recognize a submission type, the filing requirements cannot be checked. Under such conditions, you will receive the message, “May contain other errors.”
List of Errors and Warnings
A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z
Note: Errors [ERR] will cause a filing to be suspended; warnings [WRN] will not.
A
ERR: ABS_ASSET_DOC_VALIDATION
MSG: The ABS-EE Exhibit EX-103 document (filename) was removed because it references one of the defined EX-102
schemas. Please remove the EX-102 schema reference in the EX-103 XML.
DEFINITION: The data file associated with the ABS-EE EX-103 failed schema validation because the schema conforms with a defined EX-102 schema for an asset class.
SOLUTION: Please remove the EX-102 schema reference in the EX-103 XML file and resubmit the filing.
ERR: ABS_ASSET_DOC_VALIDATION
MSG: The ABS-EE Exhibit EX-102 document (filename) must have a .xml file extension.
DEFINITION: The ABS-EE Exhibit EX-102 document provided for the filer-constructed ABS-EE or ABS-EE/A submission does not have a .xml file extension.
SOLUTION: Re-attach an ABS-EE Exhibit EX-102 document with a .xml file extension to the filer-constructed ABS-EE or ABS-EE/A submission.
ERR: ABS_ASSET_DOC_VALIDATION
MSG: The ABS-EE Exhibit EX-102 document (filename) failed validation: (validation error).
DEFINITION: The data file associated with the ABS-EE EX-102 failed validation for one of two reasons: 1. The file does not conform to the specified asset class schema that you selected. 2. The file fails any data validation, such as providing a coded response that is specified in the asset class schema.
SOLUTION: Correct the data value and/or schema violation issues in the EX-102 and resubmit the filing.
ERR: ACC_ERR_TIMELINESS_RULE15
MSG: The filing has been suspended because the filer has been deregistered for more than 400 calendar days.
DEFINITION: Submissions from filers will be suspended if the received date is more than 400 calendar days after a filer is deregistered.
SOLUTION: Contact the Office of Filer Support for more information.
ERR: ACC_NO_FILE_NUM_WITH_CORRECT_PREFIX_NEW_SUSPEND
MSG: There is no registration statement on file with a file number of ‘001’ or ‘814’. Please check the company’s filing history on sec.gov.
DEFINITION: You submitted a CERT submission for a Registrant CIK that does not have a previous 001- or 814- file number.
SOLUTION: Use the correct Registrant CIK and resubmit the CERT submission.
ERR: ACTIVATE_CLASSES
MSG: CIK (value) attempting to activate series (value).
DEFINITION: CIK (value) is attempting to activate series (value) and is not permitted to do so.
SOLUTION: Company must be an investment management company of type N-1A, N-3, N-4 or N-6. Contact the Office of Filer Support for more information.
ERR: ACTIVATE_SERIES
MSG: CIK (value) attempting to activate series (value).
DEFINITION: CIK (value) is attempting to activate series (value) and is not permitted to do so.
SOLUTION: Company must be an investment management company of N-1A, N-3, N-4 or N-6. Contact the Office of Filer Support for more information.
ERR: ACTIVE_CONTENT_NOT_ALLOWED
MSG: Active content found within HTML document (DOCUMENT_TYPE): (value).
DEFINITION: A script, or other active content, was embedded in an HTML document that was attached to the EDGAR filing.
SOLUTION: Remove any scripts from HTML document(s) before submitting the filing to EDGAR.
ERR: ALREADY_DISSEMINATED
MSG: Accession Number (value) is associated with an effective initial Form ATS-N, which cannot be withdrawn.
DEFINITION: You cannot withdraw a disseminated initial Form ATS-N filing for an NMS Stock ATS, regardless of whether the NMS Stock ATS is a legacy or non-legacy filer.
SOLUTION: Submit the correct filing.
B
ERR: BEGIN_TAG_MISSING
MSG: In (value): the (value) end tag has no corresponding begin tag.
DEFINITION: Your submission document has a beginning tag missing, i.e., <MODULE> or <HTML>.
SOLUTION: Insert the missing tag, enclose the document, and retransmit your submission.
C
ERR: CANNOT_VALIDATE_DOCUMENT
MSG: Document (value) has a (value) of (value), so it will not be validated.
DEFINITION: Your submission document cannot be validated because it is a graphic.
SOLUTION: Clear the check box corresponding to the submission document and revalidate your submission.
ERR: CHANGE_TO_NON_SERIES_CLASS_FUND
MSG: CIK (value) with existing active series is changing to non-S/C Fund (value).
DEFINITION: CIK (value) has existing active series and is attempting to change its investment company type to one of the following: N-1, N-2, N-5, S-1, S-3, or S-6.
SOLUTION: Using the EDGAR Filing Website, deactivate all series and classes before attempting to change investment company type.
ERR: CHANGE_TO_SERIES_CLASS_FUND
MSG: CIK (value) with existing series is changing to S/C Fund (value).
DEFINITION: CIK (value) has existing series and is attempting to change its investment company type to one of the following: N-1A, N-3, N-4, or N-6.
SOLUTION: Contact the Office of Filer Support for more information.
ERR: CIK_DEPOSITOR_MISMATCH
MSG: Depositor CIK (value) provided for CIK (value) is not the parent of that CIK.
DEFINITION: The provided depositor is not associated with the filer.
SOLUTION: Correct the submission file and resubmit.
ERR: CIK_FILE_NUMBER_ACT_33_34_MISMATCH_SUSPEND
MSG: File Number (value) either does not belong to CIK (value) or is not a 1933 or 1934 file number.
DEFINITION: The filing is SUSPENDED for one of two reasons. The file number provided does not match an existing file number assigned to the filer CIK. Or, the file number provided is not a 1933 or 1934 Act file number.
SOLUTION: Enter a valid file number and resubmit the filing.
ERR: CIK_FILE_NUMBER_MISMATCH_BLOCK
MSG: File Number (value) provided for CIK (value) does not belong to that CIK.
DEFINITION: A provided file number is not associated with the correct filer.
SOLUTION: Correct the filing and resubmit.
ERR: CIK_INVALID_RANGE
MSG: The CIK value (value) provided is invalid. Please provide a valid CIK for the filing.
DEFINITION: The CIK value is invalid for: Securitizer CIK, Depositor CIK, Issuing Entity CIK, or Underwriter CIK.
SOLUTION: Correct the filing and resubmit.
ERR: CIK_IRS_NUMBER_MISMATCH
MSG: IRS Number (value) provided for CIK (value) is incorrect.
DEFINITION: The IRS Number specified for the filer is incorrect.
SOLUTION: Correct the filing and resubmit.
ERR: CIK_REF_429_MISMATCH
MSG: Ref429 File Number (value) provided for CIK (value) does not belong to that CIK.
DEFINITION: A Reference429 file number is not associated with the correct filer.
SOLUTION: Correct the filing and resubmit.
ERR: CIK_REF_462B_MISMATCH
MSG: Ref462B File Number (value) provided for CIK (value) does not belong to that CIK.
DEFINITION: A Reference462B file number is not associated with the correct filer.
SOLUTION: Correct the filing and resubmit.
D
ERR: DOC_NAME_TYPE_MISMATCH
MSG: Document (value) cannot have a type of (value).
DEFINITION: One of the documents in your submission has a missing file name type, incorrect extension, invalid Type 1 module or segment, or incorrect file type.
SOLUTION: Correct the submission document and retransmit.
ERR: DOCUMENT_DELETED
MSG: The PDF document (value) was removed from the submission since it contains invalid content.
DEFINITION: The unofficial PDF document contains an invalid tag and was removed from the submission.
SOLUTION: The submission will not be suspended if this is the only error.
ERR: DUPLICATE_FILING
MSG: Duplicate filing
DEFINITION: You have submitted a duplicate filing. This error may require our intervention for proper resolution.
SOLUTION: Verify period of report and make correction, if necessary. If you accidentally submitted a duplicate filing that was suspended, no further action is needed. EDGAR will delete a suspended submission after six (6) business days. If necessary, contact us for help with resolving this problem. If you believe your filing is not a duplicate, call your subject matter division, Corporation Finance, or Investment Management.
ERR: DUPLICATE_FOOTNOTE_ID
MSG: Footnote ID of “(value)” is used to identify more than one footnote in the <footnotes> section.
DEFINITION: Attempted to create more than one footnote with the same ID.
SOLUTION: Remove the duplicate ID and resubmit.
ERR: DUPLICATE_FOOTNOTE_REFERENCE
MSG: The (value) references footnote (value) more than once.
DEFINITION: An entry in either the Derivative or Non-Derivative table references the same footnote ID more than once.
SOLUTION: Remove the duplicate reference and resubmit.
ERR: DUPLICATE_MODSEG_REFERENCE
MSG: In (value): the reference to the (value) named (value) is specified more than once.
DEFINITION: Your submission references the same module or segment twice.
SOLUTION: Correct the Type 2 module or segment document reference and retransmit your submission.
ERR: DUPLICATE_MODULE_NAME
MSG: Attempt to re-use module name (value).
DEFINITION: You attempted to Add, Delete, or Replace the module more than once in a single submission, or attempted to add a module that already exists.
SOLUTION: Either rename a module that you wish to add or, if this is a second attempt to add or replace a module, check with Filer Support to verify if the module has already been received, replaced, or added. If so, no further action is required.
ERR: DUPLICATE_MODULE_RESOLUTION
MSG: Type 2 MODULE reference (value) is to a file named (value). Another document, module, or segment in this submission has this same file name.
DEFINITION: A module submission has the same name as another submission document.
SOLUTION: Rename the module file and retransmit.
ERR: DUPLICATE_SEGMENT_NAME
MSG: Attempt to re-use segment name (value).
DEFINITION: You attempted to use duplicate segment names. This error can occur because: there are duplicate segment names within one segment submission; you attempted to use a segment name defined in a previous submission. Note: Segment names expire upon use or after six (6) days from entry date.
SOLUTION: Define a unique segment name and re-submit.
ERR: DUPLICATE_SEGMENT_RESOLUTION
MSG: Type 2 Segment reference (value) is to a file named (value). Another document or module in this submission has this same file name.
DEFINITION: A segment submission has the same name as another submission document.
SOLUTION: Rename the segment file and retransmit.
ERR: DUPLICATE_TAG_VALUE
MSG: Class (id value) has a Class Name of (value) which is duplicated.
DEFINITION: Class name is a duplicate Class name for the Series.
SOLUTION: Retrieve and review the information in a new session and resubmit with another value.
ERR: DUPLICATE_TAG_VALUE
MSG: Class (id value) has a Ticker Symbol of (value) which is duplicated.
DEFINITION: Ticker symbol is a duplicate for the CIK.
SOLUTION: Retrieve and review the information in a new session and resubmit with another value.
ERR: DUPLICATE_TAG_VALUE
MSG: Series (id value) has a Series Name of (value) which is duplicated.
DEFINITION: Series name is a duplicate Series name for the CIK.
SOLUTION: Retrieve and review the information in a new session and resubmit with another value.
ERR: DUPLICATE_TAG_VALUE
MSG: (Value) tag is duplicated.
DEFINITION: The same tag value occurs more than once in the list of tag values. For example, an SRO value of AMEX is provided twice.
SOLUTION: Remove the duplicate tag value.
E
ERR: EDGARLINK_DOCUMENT_ERROR
MSG: The document (value) contains (value) error(s).
DEFINITION: Your submission contains errors.
SOLUTION: Resolve the issues within the attached documents, and then reattach the files to the submission.
ERR: EMPTY_DOCUMENT
MSG: Document (value) in Submission of type (value) is empty.
DEFINITION: The document indicated contains only white space.
SOLUTION: Open the template that was submitted and view the attached documents.
ERR: END_TAG_MISSING
MSG: In (value): the (value) begin tag has no corresponding end tag.
DEFINITION: Your submission document has an end tag missing, i.e., </MODULE> or </HTML>.
SOLUTION: Insert the missing tag, enclose the document, and retransmit your submission.
ERR: ERROR_CONDITION
MSG: An SD or SD/A submission without an EX-1.01 attachment is invalid when Item 1.02 is specified.
DEFINITION: You have specified Item 1.02 on a Form SD or SD/A submission, but the submission is missing an attached document with the EX-1.01 document type.
SOLUTION: Attach exhibit EX-1.01 attachment in ASCII or HTML format and resubmit.
ERR: ERROR_CONDITION
MSG: Exhibit type (value) cannot be attached to submission form type (value).
DEFINITION: Your submission has been made using EX-95 attachment that is not valid for submission types other than (10-K, 10-K/A, 10-KT, 10-KT/A, 10-Q, 10-Q/A, 10-QT, 10-QT/A, 20-F, 20-F/A, 40-F, and 40-F/A).
SOLUTION: Remove the exhibit EX-95 attachment.
ERR: ERROR_CONDITION
MSG: An NRSRO-CE or NRSRO-CE/A submission without an EX-99.E1 NRSRO attachment is invalid.
DEFINITION: Your NRSRO-CE or NRSRO-CE/A submission must have an EX-99.E1 NRSRO document attached.
SOLUTION: Attach an EX-99.E1 NRSRO attachment in PDF format and resubmit.
ERR: ERROR_CONDITION
MSG: An NRSRO-FR or NRSRO-FR/A submission without an EX-99.Ra1 NRSRO attachment is invalid.
DEFINITION: Your NRSRO-FR or NRSRO-FR/A submission must have an EX-99.Ra1 NRSRO document attached.
SOLUTION: Attach an EX-99.Ra1 NRSRO attachment in PDF format and resubmit.
F
ERR: FEE_DATA_ANALYSIS
MSG: This filing has a fee data error.
DEFINITION: An analyst is suspending this submission from the SEC Workstation due to invalid fee data.
SOLUTION: N/A.
ERR: FEE_DUE_AND_PAID_MISMATCH
MSG: Amount of fee being paid (value) is less than the amount of fee owed (value).
DEFINITION: Your account does not have enough money to cover the fee bearing submission.
SOLUTION: Check with U.S. Bank and deposit the missing amount. If the fee is offset, check your calculations and retransmit your submission.
ERR: FILE_NUM_EXISTS
MSG: The CIK <actual CIK value> already has a File Number that has the same base File Number as the Filer. You cannot create a new File Number. Please refile and enter the file number in the Co-Reg File Number field.
DEFINITION: You cannot enter “NEW” for Co-Reg File Number. The Co-Reg already has a File Number that has the same base File Number as the filer.
SOLUTION: Correct the provided Co-Reg File Number and refile.
ERR: FILE_NUM_MISMATCH
MSG: Original File Number: (value) does not match provided File Number: (value).
DEFINITION: A provided value for the file number belongs to the CIK, but was not in the completed filing related to the accession number provided.
SOLUTION: Correct the provided file number to match the file number on the completed filing related to the provided accession number and resubmit.
ERR: FILE_NUM_PREFIX_ALREADY_USED
MSG: CIK (value) already has a file number with a prefix of (value).
DEFINITION: The filing is being BLOCKED because the filer has previously submitted a filing that received a file number with the reported prefix.
SOLUTION: Correct the filing and resubmit.
ERR: FILED_ITEM_101_102
MSG: No previous ABS-15G submission is found for Item 1.01 or Item 1.02, and the Securitizer {CIK} has a “025-” file number.
DEFINITION: The system will determine if a previous ABS-15G was filed by the Securitizer for Item 1.01 or Item 1.02. If no previous submission is found, and the Securitizer has a “025-” file number, the system will block the Filing for review.
SOLUTION: After review, the SEC user will have the option to unblock or suspend the submission.
ERR: FILING_IS_ATSN_W_C
MSG: Accession Number (value) is associated with a Notice of Cessation or a Withdrawal, which cannot be amended.
DEFINITION: Neither an ATS-N-C nor an ATS-N-W can be amended for an NMS Stock ATS.
SOLUTION: Submit the correct filing.
ERR: FILING_OFA_UNDER_REVIEW
MSG: Accession Number (value) is associated with a Material Amendment that is currently under Commission review, which cannot be amended with an Order Display and Fair Access Amendment.
DEFINITION: An Order Display and Fair Access Amendment cannot amend an ATS-N/MA filing for an NMS Stock ATS that is currently under Commission review.
SOLUTION: Submit the correct filing.
ERR: FILING_WITHDRAWN
MSG: Accession Number (value) is associated with a withdrawn ATS-N filing, which cannot be amended.
DEFINITION: A withdrawn Form ATS-N filing for an NMS Stock ATS cannot be amended.
SOLUTION: Submit the correct filing.
ERR: FORM_DATA_VALIDATION
MSG: A value of Yes for the “Has the Securitizer already been assigned a file number with a “025-” prefix?” question is only valid if the answer to the “Does Securitizer have a CIK?” question is also a Yes.
DEFINITION: You provided a value of Yes to the question “Has the Securitizer already been assigned a file number with a “025-” prefix?” but did not provide a value of Yes to the question “Does Securitizer have a CIK?” on an ABS-15G or ABS-15G/A submission form type.
SOLUTION: Ensure that your response to the question “Has the Securitizer already been assigned a file number with a “025-” prefix?” is Yes only if the response to the question “Does Securitizer have a CIK?” is also a Yes, and then resubmit the ABS-15G or ABS-15G/A submission.
ERR: FORM_DATA_VALIDATION
MSG: Name must exactly match the name provided in the Company Information Database for CIK (value).
DEFINITION: You have entered a company name in the “List of Other Managers Reporting for this Manager” and/or “List of Other Included Managers” that do not match the company name stored in the EDGAR database for the corresponding CIK.
SOLUTION: Correct the company name to exactly match the name provided in the company information database for the CIK and resubmit the filing.
ERR: FORM_DATA_VALIDATION
MSG: A value for Depositor CIK, Sponsor CIK, and ABS Asset Class must be provided when the SIC Code of the Primary Filer CIK is equal to 6189.
DEFINITION: You have not provided a value for Depositor CIK, Sponsor CIK, and/or ABS Asset Class, but the SIC code associated to the Primary Filer CIK is 6189 (Asset-Backed Securities).
SOLUTION: Provide a value for Depositor CIK, Sponsor CIK, and ABS Asset Class for the following submission form types: 8-K, 8-K/A, 10-K, 10-K/A, 10-KT, 10-KT/A, 424B1, 424B2, 424B3, 424B4, 424B5, 424B7, and 424B8. (To view the SIC code, navigate to the Company Information screen on the EDGAR Filing Website or the EDGAR Online Forms Management Website.)
ERR: FORM_DATA_VALIDATION
MSG: A value for Depositor CIK, Sponsor CIK, and ABS Asset Class must be provided when Item 6 is provided.
DEFINITION: You have provided Item 6 in the 8-K or 8-K/A submission, but have not provided a value for Depositor CIK, Sponsor CIK, and/or ABS Asset Class.
SOLUTION: Provide a value for Depositor CIK, Sponsor CIK, and ABS Asset Class.
ERR: FORM_DATA_VALIDATION
MSG: A value for Depositor CIK, Sponsor CIK, and ABS Asset Class must be provided when EX-36 is provided.
DEFINITION: You have attached EX-36 to the 8-K or 8-K/A submission, but have not provided a value for Depositor CIK, Sponsor CIK, and/or ABS Asset Class.
SOLUTION: Provide a value for Depositor CIK, Sponsor CIK, and ABS Asset Class.
ERR: FORM_DATA_VALIDATION
MSG: Providing a value for ABS Sub Asset Class is not permitted if none of the values for ABS Asset Class is “Resecuritization.”
DEFINITION: You have provided a value for ABS Sub Asset Class, but “Resecuritization” was not provided as a value for ABS Asset Class.
SOLUTION: Provide a value for ABS Sub Asset Class only if you supplied “Resecuritization” as an ABS Asset Class value and then resubmit the filing.
ERR: FORM_DATA_VALIDATION
MSG: A value for Filer Investment Company Type, Series ID, and Class (Contracts) ID is required if a value is provided for any of these fields.
DEFINITION: You have provided a value for “Filer Investment Company Type,” “Series ID,” or “Class (Contracts) ID,” but not for all three.
SOLUTION: Provide values for “Filer Investment Company Type,” “Series ID,” and “Class (Contracts) ID,” if a value is provided for any of these fields.
ERR: FORM_DATA_VALIDATION
MSG: Value for the Series ID field is missing or invalid.
DEFINITION: You selected the “Existing” option and provided a value for the Class ID, but did not provide a value for Series ID on an N-1A submission form type.
SOLUTION: Select the “Existing” option, and provide values for Series ID and the corresponding Class ID and then resubmit the N-1A filing.
ERR: FORM_DATA_VALIDATION
MSG: Value for the Class (Contract) ID field is missing or invalid.
DEFINITION: You selected the “Existing” option and provided a value for the Series ID, but did not provide a value for Class ID on an N-1A submission form type.
SOLUTION: Select the “Existing” option, and provide values for Class ID and the corresponding Series ID and then resubmit the N-1A filing.
ERR: FORM_DATA_VALIDATION
MSG: Either adding new or existing Series/Classes (Contracts) data must be specified when submission type is N-1A.
DEFINITION: You did not provide a Series ID and the corresponding Class ID under either the "Existing" or "Adding New" option on an N-1A submission form type.
SOLUTION: Provide both Series and Class IDs under either the “Existing” or the “Adding New” option.
ERR: FORM_DATA_VALIDATION
MSG: Primary Filer CCC of (value) value is inconsistent with CIK value of (value).
DEFINITION: The CCC does not belong to the CIK when the filer is registered as a user/entity.
SOLUTION: Ensure that the CIK and CCC go together, and resubmit.
ERR: FORM_DATA_VALIDATION
MSG: The CIK (value) is invalid because there are no active series/classes associated with it in the submission.
DEFINITION: The CIK has no series/class IDs associated with it.
SOLUTION: Create at least one series and corresponding class ID, which must be associated with the CIK, and resubmit.
ERR: FORM_DATA_VALIDATION
MSG: Class ID (value) is invalid because it does not exist in the database for Filer CIK or Co-Registrant CIK.
DEFINITION: The Filer CIK or Co-Registrant CIK does not have that class ID associated with it. This results in a suspended submission.
SOLUTION: Provide a class ID associated with the CIK, and resubmit.
ERR: FORM_DATA_VALIDATION
MSG: Error – Prior employment history must be entered in reverse chronological order.
DEFINITION: The prior employment history is not in reverse chronological order for submission form type MA-I or MA-I/A.
SOLUTION: Enter the prior employment history entries in reverse chronological order for submission form type MA-I or MA-I/A and resubmit.
ERR: FORM_DATA_VALIDATION
MSG: Error – Prior employment history must not contain any gaps greater than three months.
DEFINITION: The prior employment history contains gaps greater than three months for submission form type MA-I or MA-I/A.
SOLUTION: Provide an employment history without gaps greater than three months for submission form type MA-I or MA-I/A and resubmit.
ERR: FORM_DATA_VALIDATION
MSG: Error – the set of dates provided for prior employment history must cover a period of at least ten years.
DEFINITION: The prior employment history is less than ten years for submission form type MA-I or MA-I/A.
SOLUTION: Provide an employment history that covers at least ten years for submission form type MA-I or MA-I/A and resubmit.
ERR: FORM_DATA_VALIDATION
MSG: Error – Prior residential history must be entered in reverse chronological order.
DEFINITION: The prior residential history is not in reverse chronological order for submission form type MA-I or MA-I/A.
SOLUTION: Enter the prior residential history entries in reverse chronological order for submission form type MA-I or MA-I/A and resubmit.
ERR: FORM_DATA_VALIDATION
MSG: Error – Prior residential history must not contain any gaps greater than three months.
DEFINITION: The prior residential history cannot contain gaps greater than three months for submission form type MA-I or MA-I/A.
SOLUTION: Provide a residential history without gaps greater than three months for submission form type MA-I or MA-I/A and resubmit.
ERR: FORM_DATA_VALIDATION
MSG: Error – the set of dates provided for prior residential history must cover a period of at least five years.
DEFINITION: The prior residential history is less than five years for submission form type MA-I or MA-I/A.
SOLUTION: Provide residential history entries that cover at least five years for submission form type MA-I or MA-I/A and resubmit.
MSG: Error – the set of dates provided for prior residential history must cover a period of at least five years.
DEFINITION: The prior residential history is less than five years for submission form type MA-I or MA-I/A.
SOLUTION: Provide residential history entries that cover at least five years for submission form type MA-I or MA-I/A and resubmit.
ERR: FORM_DATA_VALIDATION
MSG: Form MA-W only allows for SEC file numbers with an 867- prefix and the following format: 867-XXXXX. Please ensure that the 867- number entered corresponds with the filer’s CIK number.
DEFINITION: A submission form type MA-W can only be submitted with a file number that is in the following format: 867-XXXXX. That file number must also belong to that filer CIK.
SOLUTION: Provide a file number that is in an 867-XXXXX format, ensure that the file number belongs to the filer CIK, and resubmit.
ERR: FT_EXHIBIT_DISALLOWED
MSG: An EX-FILING FEES exhibit is not applicable for a 40 Act selection and/or when selecting "Yes" to "Is Fund 24F-2 Eligible?". Please remove the filing fee exhibit from the submission and resubmit the filing.
DEFINITION: You have attached an EX-FILING FEES exhibit document that is not applicable for a 40 Act selection and/or selected "Yes" to "Is Fund 24F-2 Eligible?".
SOLUTION: Remove the filing fee exhibit from the N-2, N-2/A, N-2ASR, N-2 POSASR, N-2MEF, N-14 8C, N-14 8C/A, or N-14MEF filing and resubmit the filing.
ERR: FT_EXHIBIT_REQUIRED
MSG: An EX-FILING FEES exhibit is required as part of the (value) submission. Please attach the filing fee exhibit to the submission and resubmit the filing.
DEFINITION: Your submission must have an EX-FILING FEES exhibit document attached.
SOLUTION: Attach the filing fee exhibit to the submission and resubmit the filing.
G
ERR: GENERIC_MODULE_SEG_ERROR_CONDITION
MSG: The submission contains an invalid type for a Module or Segment reference.
DEFINITION: You have referenced SDR-CR, SDR-CR/A, SDR-FR, or SDR-FR/A as a Module or Segment in an SDR-CCO or SDR-CCO/A submission.
SOLUTION: Remove the reference and resubmit.
H
ERR: HTML_DOCUMENT_TOO_BIG
MSG: Document size exceeds the maximum size limit of 25 MB allowed for this submission type.
DEFINITION: The size of your attached HTML document exceeds the maximum size limit of 25 MB allowed for this submission type.
SOLUTION: Split your attachment into multiple smaller attachments (not exceeding 25 MB) and resubmit.
I
ERR: ILLEGAL_LINK_TO_PRIVATE_DOCUMENT
MSG: In (value): contains an illegal link to the private document (value).
DEFINITION: You have a Private document that has a link from a Public HTML document. All link references from within an HTML document must match the designated File names of the referenced documents. Private documents may not be linked. Any link within an HTML document that does not meet this standard will cause EDGAR to issue this error.
SOLUTION: Please name all of your attached documents that are referenced by links within an HTML document. Do not link to Private documents. You must use only SEC-approved File names for your referenced documents
ERR: ILLEGAL_MODSEG_REFERENCE
MSG: In (value): Submission Type (value) does not support the inclusion of a Type 1 (value) reference within an ASCII document. This document references a (value) named (value).
DEFINITION: Your submission references a module or segment that does not exist, or the module or segment name does not conform.
SOLUTION: Verify module or segment on EDGAR. Correct the reference and retransmit the master module or segment.
ERR: INCONSISTENT_EXEMPTION_CHECK
MSG: You have selected Rule 506(b) in Item 6, Federal Exemption(s) and Exclusion(s) Claimed. No more than 35 non-accredited investors are permitted in Rule 506(b) offerings.
DEFINITION: You have entered more than 35 non-accredited investors in Item 14. No more than 35 non-accredited investors are permitted in Rule 506(b) offerings.
SOLUTION: Correct the number of non-accredited investors to be less than or equal to 35.
ERR: INCONSISTENT_TAG_VALUE
MSG: The (value) is inconsistent with (value) (value).
DEFINITION: Either the CIK or the CCC is invalid.
SOLUTION: Check your records and correct the inconsistent value.
ERR: INEFFECTIVE_ATSN
MSG: Accession Number (value) is associated with an ineffective Form ATS-N filing, which cannot be amended.
DEFINITION: An ineffective Form ATS-N filing for an NMS Stock ATS cannot be amended.
SOLUTION: Submit the correct filing.
ERR: INITIAL_NOT_FOUN
MSG: The initial (value) submission for CIK (value) was not found.
DEFINITION: The correct previous filing was not found.
SOLUTION: Submit the correct filing.
ERR: INITIAL_NOT_FOUND
MSG: No previous 486APOS or 486BPOS submission was found for CIK (value). Submission 486BXT will be allowed only if the filer had a previous live, accepted 486APOS or 486BPOS submission.
DEFINITION: A previous live, accepted 486APOS or 486BPOS submission was not found.
SOLUTION: Submit either a 486APOS or 486BPOS live submission, and have it accepted before submitting a 486BXT submission.
ERR: INITIAL_NOT_FOUND
MSG: The filing has been suspended because there is not currently an active Security-based Swap Dealer and Major Security-based Swap Participant Registration (i.e. no SBSE submission has been accepted).
DEFINITION: Submission form type SBSE/A cannot be submitted without an active SBSE registration.
SOLUTION: Please make sure an initial SBSE registration was submitted.
ERR: INITIAL_NOT_FOUND
MSG: The filing has been suspended because there is not currently an active Security-based Swap Dealer and Major Security-based Swap Participant Registration (i.e. no SBSE-A submission has been accepted).
DEFINITION: Submission form type SBSE-A/A cannot be submitted without active SBSE-A registration.
SOLUTION: Please make sure an initial SBSE-A registration was submitted.
ERR: INITIAL_NOT_FOUND
MSG: The filing has been suspended because there is not currently an active Security-based Swap Dealer and Major Security-based Swap Participant Registration (i.e. no SBSE-BD submission has been accepted).
DEFINITION: Submission form type SBSE-BD/A cannot be submitted without an active SBSE-BD registration.
SOLUTION: Please make sure an initial SBSE-BD registration was submitted.
ERR: INITIAL_NOT_FOUND
MSG: The filing has been suspended because there is not currently an active Security-based Swap Dealer and Major Security-based Swap Participant Registration (i.e. no SBSE, SBSE-A, or SBSE-BD submission has been accepted).
DEFINITION: Submission form type SBSE-W cannot be submitted without an active SBSE, SBSE-A, or SBSE-BD registration.
SOLUTION: Please make sure an initial SBSE, SBSE-A, or SBSE-BD registration was submitted.
ERR: INSUFFICIENT_FEE_FUNDS
MSG: This filing has insufficient fee funds.
DEFINITION: You sent insufficient fee funds.
SOLUTION: Check the amount required. If necessary, send additional funds, or contact Filer Support if your calculations do not agree with ours. Once the problem is fixed, re-submit the filing.
ERR: INSUFFICIENT_FEE_FUNDS
MSG: This filing has insufficient fee funds. No funds have been debited from the specified account.
DEFINITION: This fee bearing filing does not have the correct funds.
SOLUTION: Check the last fee deposit within 24 hours of transmission.
ERR: INVALID_ACCOUNT
MSG: This filing has an invalid fee account number.
DEFINITION: An analyst is suspending this submission from the SEC Workstation due to an invalid account number.
SOLUTION: N/A.
ERR: INVALID_ASCII_TAG
MSG: In (value): found an invalid ASCII tag (value).
DEFINITION: Your submission document contains invalid ASCII characters.
SOLUTION: Remove the invalid character, enclose, and retransmit your submission.
ERR: INVALID_CHARACTER
MSG: In (value): found an invalid ASCII code (value).
DEFINITION: Your submission contains an invalid ASCII character.
SOLUTION: If you receive many messages regarding invalid characters, you may have submitted a word processing document that you did not first convert to ASCII or HTML. In this case, convert the filing to ASCII or HTML and submit the ASCII or HTML version. If you receive such messages after having submitted an ASCII or HTML graphic version of the filing, your word processing software may have made an incomplete translation to ASCII or HTML. You must remove the additional codes individually. The software's “search and replace” feature may help you to locate errors. If you receive only a few such messages, remove the invalid character(s) individually and resubmit the filing. If you cannot “see” the error, it may be a code that cannot be displayed on your PC screen. You may be able to correct the filing by deleting and inserting a space at the location indicated. If you receive only a few such messages and correction of this document would represent an unreasonable burden, call Filer Support to explore whether replacement of the invalid characters with a circumflex (^) destroys the readability of the document.
ERR: INVALID_DIGITAL_SIGNATURE
MSG: Submission (value) contains invalid Digital Signature.
DEFINITION: Submission contains invalid Digital Signature.
SOLUTION: Check to make sure you are using the correct, up-to-date signature file.
ERR: INVALID_EFFECTIVENESS_DATE
MSG: Effectiveness Date (value) is out of range. It must fall between (value) and (value), inclusive.
DEFINITION: The filing is SUSPENDED because the specified Effectiveness Date is out of range. The valid format for this tag value can be one of the following: mm-dd-yyyy, mm/dd/yyyy, mm dd yyyy, dd mmm yy, mmm dd yy. Note: Two digit year values (yy) may be substituted for the four digit year values (yyyy).
SOLUTION: Correct the filing and resubmit.
ERR: INVALID_EXTERNAL_REFERENCE
MSG: In (value): improper external reference (value).
DEFINITION: An invalid external reference was embedded in an HTML document that was attached to your EDGAR filing. You may only reference documents that are also contained within your submission or you may reference a previously submitted filing. (The SEC’s Public Website provides the ability to search the historical EDGAR filings for filings of interest). Module and Segment documents cannot contain HTML external (graphic) references. Also, attached documents cannot have duplicate names.
SOLUTION: Remove or correct any external graphic references from the HTML document(s) before submitting your filing to EDGAR.
ERR: INVALID_FDS_DOCUMENT
MSG: Financial Data Schedule (value) could not be processed and was excluded from the submission.
DEFINITION: The EDGAR system no longer accepts EX-27 Financial Data Schedule documents. When received, such a document is removed from the submission.
SOLUTION: Do not attempt to submit EX-27 FDS documents.
ERR: INVALID_FEE_ACCOUNT_NUMBER
MSG: This filing has an invalid fee account number.
DEFINITION: An analyst is blocking this submission from the SEC Workstation due to an invalid account number.
SOLUTION: N/A.
ERR: INVALID_FEE_DATA
MSG: The waiver amount is greater than the fee due.
DEFINITION: Fee data is incomplete. This error may occur as a result of other errors.
SOLUTION: Correct all errors and resubmit.
ERR: INVALID_FEE_DATA
MSG: This filing has invalid fee data.
DEFINITION: An analyst is suspending this submission from the SEC Workstation due to invalid fee data.
SOLUTION: N/A.
ERR: INVALID_FEE_OFFERING_DATA
MSG: This filing has invalid fee offering data.
DEFINITION: An analyst is suspending this submission from the SEC Workstation due to invalid offering data.
SOLUTION: N/A.
ERR: INVALID_FILE_NUM_PREFIX_BLOCK
MSG: The File Number (value) provided for CIK (value) does not have a valid prefix of (value).
DEFINITION: Only a certain set of file number prefixes are valid for the submission. The file number provided for the specified filer does not have one of these valid suffixes.
SOLUTION: Correct the filing and resubmit.
ERR: INVALID_FILE_NUMBER
MSG: Reporting file number (value) does not match filing’s file number (value).
DEFINITION: XML submission’s file number does not match filer file number in EDGAR.
SOLUTION: Correct file number for filer and resubmit. Contact the Office of Filer Support for more information.
ERR: INVALID_FILE_NUMBER
MSG: The File Number (value) provided for (value) is invalid.
DEFINITION: Reporting file number is not valid for selected regulatory agency.
SOLUTION: Enter valid file number and select appropriate regulatory agency. Transfer agents file numbers assigned by the SEC must start with a “084” prefix. FDIC regulated file numbers must start with “085” and the sequence must be between 0 and 4999. BGFRS regulated file numbers must start with “085” and the sequence must be between 5000 and 9999. OCC regulated file numbers must start with “085” and the sequence must be between 10000 and 19999. Contact the Office of Filer Support for more information.
ERR: INVALID_FISCAL_YEAR_TAG
MSG: Fiscal Year is invalid when Item 5.03 not specified.
DEFINITION: The submission file has a data value for the Fiscal Year field, but does not specify Item 5.03 as one of the Items. To update the Fiscal Year, the filer must specify Item 5.03.
SOLUTION: Correct the filing and resubmit.
ERR: INVALID_FOOTNOTE_ID
MSG: Footnote ID of “(value)” in (value) is invalid. Correct format is an “F” followed by an integer from 1 to 99.
DEFINITION: A provided footnote ID does not conform to the proper format.
SOLUTION: Correct the footnote ID and resubmit.
ERR: INVALID_FOOTNOTE_REFERENCE
MSG: The (value) references Footnote (value), which does not exist.
DEFINITION: An element references a non-existent footnote.
SOLUTION: Repair the footnote discrepancy and resubmit.
ERR: INVALID_FORM_VERSION
MSG: Submission (value) contains invalid Form Version.
DEFINITION: The form version provided for the submission type is invalid.
SOLUTION: Correct the form version and resubmit.
ERR: INVALID_HTML_TAG
MSG: An invalid HTML tag was found within the HTML document (DOCUMENT_TYPE): (VALUE).
DEFINITION: All tags within an HTML document must conform to the HTML 3.2 tag subset that is acceptable by EDGAR. Any tag within an HTML document that does not conform to this standard will cause EDGAR to issue this error.
SOLUTION: Within an HTML document, you must use only the SEC-approved set of HTML 3.2 tags.
ERR: INVALID_NESTED_TAG
MSG: In (value): the (value) tag must be nested inside a (value) tag nest.
DEFINITION: Your submission document contains nested tags that are not structured correctly, i.e., Type 1 Module nested tags.
SOLUTION: Correct the nested tag structure, enclose the document, and retransmit your submission.
ERR: INVALID_OBJECT_COUNT
MSG: Invalid number of correctly specified (value) objects. Provided: (value); Minimum Allowed: (value); Maximum Allowed: (value).
DEFINITION: The number of occurrences for a particular XML element is outside its allowable range. For example, you can have from 1 to 10 <reportingOwner> elements. If you have none or more than 10, you will get this error.
SOLUTION: Repair the discrepancy and resubmit.
ERR: INVALID_OBJECT_COUNT
MSG: Exceeded the maximum number of permissible Accession Numbers. No more than 999 Accession Numbers are permitted within a filing.
DEFINITION: A filer-constructed NPORT-EX or NPORT-EX/A submission contains more than 999 Accession Numbers.
SOLUTION: Repair the discrepancy and resubmit.
ERR: INVALID_OFFERING_AMOUNT
MSG: Total offering amount of (value) is invalid. Must be greater than zero.
DEFINITION: The offering amount is invalid.
SOLUTION: Correct the offering data and resubmit.
ERR: INVALID_OFFERING_DATA
MSG: This filing has invalid fee offering data.
DEFINITION: An analyst is suspending this submission from the SEC Workstation due to invalid offering data.
SOLUTION: N/A.
ERR: INVALID_OFFSET_DATA
MSG: This filing has invalid fee offset data.
DEFINITION: To specify an offset, the filer must provide a CIK, File Number, Form Type, and Offset Filing Date. If any of these are missing or invalid, EDGAR cannot query the database for an offset amount. Also, if the query can be made but no offset matches the criteria, EDGAR will generate this error.
SOLUTION: Correct the offset data and resubmit.
ERR: INVALID_PERCENTAGE_TAG
MSG: The percentages listed for Items 5(d)(i) through 5(d)(vi) must add up to (value) if the value provided in Item 5(a) is (value). [Value for (value) is missing or invalid (value).]
DEFINITION: The TA-2 or TA-2/A filing was suspended for one of two reasons. The total percentage for Items 5(d)(i) through 5(d)(vi) did not add up to 0% when a value of zero was entered for Item 5(a). Or, the total percentage for Items 5(d)(i) through 5(d)(vi) did not add up to 100% when a value greater than zero was entered for Item 5(a).
SOLUTION: If your response for Item 2(a) is “Some” or “None” and the value for Item 5(a) is: equal to zero, then the total percentage for Items 5(d)(i) to 5(d)(vi) must be equal to 0%. greater than zero, then the total percentage for Items 5d(i) to 5d(vi) must be equal to 100%. Correct the error and resubmit the filing.
ERR: INVALID_PDF_ENCRYPTION
MSG: A PDF document cannot be encrypted or password protected.
DEFINITION: A PDF document attached to a submission cannot be encrypted or password protected.
SOLUTION: You must remove the encryption and/or the password protection from attached PDF documents in the submitted filing.
ERR: INVALID_PDF_CONTENTS
MSG: The PDF Document (value) in submission type (value) contains invalid content.
DEFINITION: The PDF document attached to a submission contains invalid content.
SOLUTION: You must remove the invalid content from the attached PDF document in the submitted filing.
ERR: INVALID_PDF_TAG
MSG: In (value): found an invalid PDF tag (value).
DEFINITION: No PDF tags that support active content, external references, or scripts are allowed in unofficial PDF attachments. EDGAR will remove the unofficial document from the filing before dissemination.
SOLUTION: Remove the non-supported tags and associated content.
ERR: INVALID_PRIOR_TO_DATE
MSG: The date provided on Form (value) is prior to (value).
DEFINITION: The date provided must be after the filing date of the corresponding filing.
SOLUTION: Update the date field to after the date of the most recent previous filing.
ERR: INVALID_REF_462B_PREFIX
MSG: Ref462B File Number (value) does not have a valid prefix of (value).
DEFINITION: A provided Reference 462B file number has an invalid prefix.
SOLUTION: Correct the filing and resubmit.
ERR: INVALID_REFERENCE
MSG: (Value) is an invalid reference. (value)
DEFINITION: Submission references data in another submission which is invalid.
SOLUTION: Correct the reference and resubmit.
ERR: INVALID_REPORTING_FILE_NUMBER
MSG: The Reporting File Number (value) for CIK (value) does not have a valid prefix of (value).
DEFINITION: The filing is being BLOCKED because the assignment of file numbers depends on the filer having a Reporting File Number with an appropriate prefix.
SOLUTION: Contact us if you require additional information needed to resolve this problem.
ERR: INVALID_SERIAL_CO_NAME_TAG
MSG: Serial Company Name is invalid when Serial Flag not set.
DEFINITION: The submission file has a data value for the Serial Company Name field, but not for the Serial Flag. To create a serial company, the filer must provide both the Serial Company Name and the Serial Flag.
SOLUTION: Correct the filing and resubmit.
ERR: INVALID_SUBJ_COMP_FILE_NUMBER
MSG: The provided File Number (value) for Subject Company (value) does not match the File Number (value) of the company’s latest S-4 filing.
DEFINITION: The provided File Number (value) for Subject Company (value) does not match the File Number (value) of the company's latest S-4 filing.
SOLUTION: Correct the filing and resubmit.
ERR: INVALID_SUBMISSION
MSG: Cannot find corresponding electronic (value) filing.
DEFINITION: Transfer Agent file number for engaged service company or transfer agent engaging registrant as a service company not found.
SOLUTION: All Transfer Agent file numbers for engaged service company or Transfer Agent engaging registrant as a service company must exist in the EDGAR system. Correct file number or contact the Office of Filer Support for more information.
ERR: INVALID_SUBMISSION
MSG: The prefix and base file number must match for all issuers on the submission.
DEFINITION: You have provided a prefix and/or base file number that does not match with the prefix and file number provided for the primary issuer or a co-issuer.
SOLUTION: Except for “New” co-issuers, verify that you provided the same prefix and base file number for the primary issuer and all co-issuer file numbers on the submission. (The file number prefix may contain 1-3 digits, the sequence or base may contain 1-8 digits, and the optional suffix may contain 1-4 characters.) Correct the submission file and resubmit.
ERR: INVALID_SUBMISSION
MSG: Submission form type (value) may not be submitted as an accepted base filing does not exist for the entity.
DEFINITION: You submitted a 1-K/A, 1-SA/A, 1-U/A, or 1-Z/A filing, but a corresponding base submission does not exist for the entity.
SOLUTION: When submitting a 1-K/A, 1-SA/A, 1-U/A, or 1-Z/A filing, ensure that a base submission exists for the entity. (For example, the base submission for submission form type 1-Z/A is 1-Z.)
ERR: INVALID_SUBMISSION
MSG: Submission form type (value) may not be submitted as a qualified (value) filing does not exist for the entity.
DEFINITION: You submitted a 253G1, 253G2, 253G3, 253G4 or 1-Z filing, but a disseminated Notice of Qualification and/or an accepted 1-A, 1-A/A, or 1-A POS submission does not exist for the primary registrant CIK.
SOLUTION: When submitting a 253G1, 253G2, 253G3, 253G4 or 1-Z, ensure that a disseminated Notice of Qualification and/or an accepted 1-A, 1-A/A, or 1-A POS submission exists for the primary registrant CIK.
ERR: INVALID_SUBMISSION
MSG: Submission form type (value) may not be submitted as a qualified Tier 2 (value) filing does not exist for the entity.
DEFINITION: You submitted a 1-K, 1-SA, or 1-U filing, but a disseminated Notice of Qualification and an accepted 1-A, 1-A/A, or 1-A POS submission where Tier 2 has been selected in Item 4 does not exist for the primary registrant CIK.
SOLUTION: When submitting a 1-K, 1-SA, or 1-U filing, ensure that a disseminated Notice of Qualification and an accepted 1-A, 1-A/A, or 1-A POS submission where Tier 2 has been selected in Item 4 exists for the primary registrant CIK.
ERR: INVALID_SUBMISSION
MSG: This company is subject to an outstanding 12J order. An exchange act report is not allowed to be filed.
DEFINITION: The company’s security registration has been revoked. Submission of the following form types and their variants will be prevented in EDGAR if the company status is “Revoked”: 10-K, 10-D, 10-Q, 11-K, 20-F, 40-F, ARS, 8-K, and 6-K.
SOLUTION: Contact the Office of Filer Support for more information.
ERR: INVALID_SUBMISSION_TYPE
MSG: Receipt Server does not process XML submission of type: (value).
DEFINITION: This error is generated for an unrecognized form type.
SOLUTION: Check the form type you submitted to ensure it was correct.
ERR: INVALID_TAG
MSG: (Value) tag is not valid for confirming copy submissions.
DEFINITION: The submission file has a data value in a field (XML tag) that is not valid for confirming copy submissions.
SOLUTION: Delete the field that is not valid for a confirming copy submission and resubmit.
ERR: INVALID_TAG
MSG: (Value) must be specified when (value).
DEFINITION: (Value) must be specified when the indicated condition is present.
SOLUTION: Correct the submission file and resubmit.
ERR: INVALID_TAG
MSG: (Value) is invalid when (value) not specified.
DEFINITION: The submission is invalid due to the filer not specifying required information.
SOLUTION: The filer must correct the issue by providing the valid value and resubmit the submission.
ERR: INVALID_TAG_WHEN_ARGUMENT
MSG: Investment Company Type [ICT] (value) for Target CIK (value) is invalid because it does not match the Filer Investment Company Type on the Main Page.
DEFINITION: Target CIK matches the Filer CIK but the ICT for Target CIK does not match the ICT for Filer CIK.
SOLUTION: Correct the ICT for Target CIK and perform submission validation again.
ERR: INVALID_TAG_WHEN_ARGUMENT
MSG: Investment Company Type [ICT] (value) for Acquiring CIK (value) is invalid because it does not match the Filer Investment Company Type on the Main Page.
DEFINITION: Acquiring CIK matches the Filer CIK but the ICT for Acquiring CIK does not match the ICT for Filer CIK.
SOLUTION: Correct the ICT for Acquiring CIK and perform submission validation again.
ERR: INVALID_TAG_WHEN_ARGUMENT
MSG: Investment Company Type [ICT] (value) for Target CIK (value) is invalid because it does not match the Subject-Company Investment Company Type on the Main Page.
DEFINITION: Target CIK matches the Subject-Company but the ICT for Target CIK does not match the ICT for the Subject-Company.
SOLUTION: Correct the ICT for Target CIK and perform submission validation again.
ERR: INVALID_TAG_WHEN_ARGUMENT
MSG: Investment Company Type [ICT] (value) for Acquiring CIK (value) is invalid because it does not match the Subject-Company Investment Company Type on the Main Page.
DEFINITION: Acquiring CIK matches the Subject-Company but the ICT for Acquiring CIK does not match the ICT for the Subject-Company.
SOLUTION: Correct the ICT for Acquiring CIK and perform submission validation again.
ERR: INVALID_TAG_WHEN_ARGUMENT
MSG: Series ID (value) is invalid because it does not exist in the database for Filer CIK or Co-Registrant CIK.
DEFINITION: Series ID on the submission does not belong to the Filer CIK, when the Filer CIK has an Investment Company Type of N-1A or N-3.
SOLUTION: Correct the submission and resubmit.
ERR: INVALID_TAG_WHEN_ARGUMENT
MSG: Series ID (value) is invalid because the series status is not active.
DEFINITION: Series ID on the submission is inactive for a Filer CIK with an Investment Company Type of N-1A or N-3.
SOLUTION: Correct the submission and resubmit.
ERR: INVALID_TAG_WHEN_SPECIFIED
MSG: (Value) is invalid when (value) is specified.
DEFINITION: The submission file contains a (value/tag) that is invalid when the indicated (value/tag) is specified.
SOLUTION: Correct the submission file and resubmit.
ERR: INVALID_TAG_WHEN_SPECIFIED
MSG: (Value) is invalid when (value) is specified.
DEFINITION: XML submission contained non-blank tag (value) despite condition in (value) not met.
SOLUTION: Conditional sections in certain forms can only contain data if those sections meet the dynamic conditions set within each form. For example, if a field must be provided only when the previous answer was “Yes” then no data can be provided when the answer is “No”. Contact the Office of Filer Support for more information.
ERR: INVALID_TAG_WHEN_SPECIFIED
MSG: Providing an Issuing Entity CIK is not valid for Item 2.01 – Unregistered Entity or Item 2.02 – Unregistered Entity.
DEFINITION: On an ABS-15G or ABS-15G/A submission, you have selected either Item 2.01 – Unregistered Entity or Item 2.02 – Unregistered Entity for Rule 15Ga-2, and provided an Issuing Entity CIK.
SOLUTION: Remove the Issuing Entity CIK and resubmit the ABS-15G or 15-G/A submission.
ERR: INVALID_TAG_WHEN_SPECIFIED
MSG: Providing an Issuing Entity Name is not valid for Item 2.01 – Registered Entity or Item 2.02 – Registered Entity.
DEFINITION: On an ABS-15G or ABS-15G/A submission, you have selected either Item 2.01 – Registered Entity or Item 2.02 – Registered Entity for Rule 15Ga-2, and provided an Issuing Entity Name.
SOLUTION: Remove the Issuing Entity Name and resubmit the ABS-15G or 15-G/A submission.
ERR: INVALID_UNOFFICIAL_PDF
MSG: An unofficial PDF document (value) must follow an official ASCII or HTML version associated with an official document.
DEFINITION: A PDF document attached to a submission is considered unofficial and may only be included as a supplemental, duplicate attachment of another document within the filing. An official ASCII or HTML version of the document must precede the PDF version within the filing. A PDF document cannot be submitted without an official ASCII or HTML version accompanying it.
SOLUTION: You must include an official ASCII version of the document in the submitted filing and attach it before the unofficial PDF version.
ERR: ITEM_INVALID
MSG: (value) submission made with Item (value) is invalid.
DEFINITION: Your submission has been made using an Item that is not valid with that submission type.
SOLUTION: Remove the Item from the submission.
ERR: ITEM_NOT_EFFECTIVE
MSG: Item (value) is not yet effective.
DEFINITION: Your submission has been made using an Item that is yet not effective.
SOLUTION: Remove the Item from the submission or resubmit the submission after the Item becomes effective.
L
ERR: LATE_SUBMISSION
MSG: EDGAR did not receive the Submission (value) on-time. Accordingly, the extension of time allowed by Rule 12b-25 is not available. The Submission (value) has been accepted but re-classified as (value).
DEFINITION: The filing is of type NT 15D2, NT 10-K, NT 10-Q, NT 10-D, NT 11-K, NT 20-F, or NT-NCSR. You must file each of these filing types within a certain time period based on an associated registration statement's effectiveness date, fiscal year end, quarter end, or reporting period. If you file late, the filing type will be re-classified as NTN15D2, NTN 10K, NTN 10Q, NTN 10D, NTN 11K, NTN 20F, or NTFNCSR as appropriate.
SOLUTION: No action is required.
M
ERR: MA_FILING_UNDER_REVIEW
MSG: Accession Number (value) is associated with a Form ATS-N Material Amendment that is currently under Commission review, which cannot be amended with a Material Amendment.
DEFINITION: A Material Amendment cannot amend another Material Amendment for an NMS Stock ATS that is currently under Commission review.
SOLUTION: Submit the correct filing.
ERR: MISSING_FILE_NUMBER
MSG: No File Number provided for CIK (value).
DEFINITION: A mandatory File Number value was not provided.
SOLUTION: Correct the filing and resubmit.
ERR: MISSING_REQUIRED_FEE_DATA
MSG: This filing has missing required fee data.
DEFINITION: Data on which the fee is calculated is incomplete.
SOLUTION: Verify that all required information is present. This error message usually occurs with other error messages. Correct all errors and resubmit.
ERR: MISSING_REQUIRED_OFFERING_DATA
MSG: This filing has missing required offering data.
DEFINITION: The offering data is incomplete.
SOLUTION: Verify that all required offering information is present. This error message usually occurs with other error messages. Correct all errors and resubmit.
ERR: MODULE_CCC_INVALID
MSG: (Value) is inconsistent with (value) (value).
DEFINITION: The referenced module has an invalid CIK/CCC combination.
SOLUTION: Correct the CIK/CCC combination for the module reference and retransmit the submission.
ERR: MODULE_CCC_INVALID
MSG: In (value): reference to module (value) with CIK of (value) has an invalid CCC value.
DEFINITION: A document contains a Type 1 module reference with an invalid CIK/CCC combination.
SOLUTION: Correct the CIK/CCC combination for the module reference in the attached document and retransmit the submission.
ERR: MODULE_CIK_INVALID
MSG: (Value) value is inconsistent with (value) (value).
DEFINITION: The referenced module has an invalid CIK.
SOLUTION: Correct the CIK for the module reference and retransmit your submission.
ERR: MODULE_CIK_INVALID
MSG: In (value): reference to module (value) has an invalid CIK of (value).
DEFINITION: A document contains a Type 1 module reference with an invalid CIK.
SOLUTION: Correct the CIK for the module reference in the attached document and retransmit the submission.
ERR: MODULE_DIR_LIMIT_EXCEEDED
MSG: Adding (value) modules totaling (value) bytes to the (value) modules totaling (value) bytes that already exist for CIK (value) would exceed directory limit of (value) bytes per CIK.
DEFINITION: The size of your module exceeds the amount of storage you are allowed to store in EDGAR, 1 MB.
SOLUTION: Log in to the Filing website, remove some of your old modules, and retransmit your new modules.
ERR: MODULE_DOCUMENT_TOO_BIG
MSG: Module (value) is (value) bytes, which exceeds the module document size limit of (value) bytes.
DEFINITION: The size of your module exceeds the amount of storage you are allowed to store in EDGAR, 1 MB.
SOLUTION: Edit the module document so that its size is less than 1 MB and retransmit your new module.
ERR: MODULE_NOT_FOUND
MSG: Referenced module (value) does not exist for CIK (value).
DEFINITION: The referenced module is not in the database.
SOLUTION: Verify that you entered the reference exactly as it was named when it was submitted. Either correct the module name or resubmit the module.
ERR: MODULE_NOT_FOUND
MSG: In (value): referenced module (value) does not exist for CIK (value).
DEFINITION: The referenced module is not owned by the referenced CIK.
SOLUTION: Correct the module and retransmit the module and your submission.
ERR: MODULE_REF_DOC_TYPE_ERROR
MSG: Module (value), which is really (value), is of the same type (value) as the submission but is not a PDF document.
DEFINITION: A module reference, which is made via the module’s nickname, is actually to a non-PDF file that is of the same type as the submission. That is, an attempt was made to use a module as the submission’s primary document. EDGAR does not support this capability.
SOLUTION: Correct the module document and/or the submission and resubmit.
ERR: MODULE_REFERENCE_ERROR
MSG: In (value): illegal reference to module (value). This is really a reference to the file (value), which is neither an ASCII nor a HTML module.
DEFINITION: The referenced module is not an ASCII or HTML module.
SOLUTION: Create and retransmit the module and your submission.
ERR: MODULE_REFERENCE_ERROR
MSG: In (value): a MODULE reference is improperly specified. (value)
DEFINITION: Your submission document contains an improper Type 1 module reference.
SOLUTION: Correct the module reference, enclose the document, and retransmit your submission.
ERR: MODULE_REFERENCE_TYPE_ERROR
MSG: Type (value) module (value) is invalid in context. Type (value) is permissible.
DEFINITION: A module reference was encountered in the wrong context. Modules are of two types: 1. Type 1 consists of a partial document. 2. Type 2 consists of one whole document. Type 1 modules must be referenced only from within the body portion of a document. Type 2 modules must be referenced on the Module/Segment List Page.
SOLUTION: Check the type of module being referenced and the location of the reference. If necessary, correct the reference location.
ERR: MULTIPLE_HTML_TAG_NESTS
MSG: In (value): a single HTML document may not contain multiple <HTML> tags.
DEFINITION: Your submission document contains more than one <HTML> </HTML> tag combination.
SOLUTION: Remove the additional HTML tags, enclose the document, and retransmit your submission.
N
ERR: NATIONAL_EXCHANGE_CIK
MSG: Filed by CIK <CIK> is not a National Exchange. This entity is invalid for submission type <25-NSE / 25-NSE/A>.
DEFINITION: This error appears for a Form 25-NSE electronic submission if the filed by CIK is not one of the national exchange CIKs.
SOLUTION: Use the correct filed by CIK and resubmit.
ERR: NATIONAL_EXCHANGE_CIK
MSG: Registrant CIK <CIK> is a National Exchange. This entity is invalid for submission type <25 / 25/A>.
DEFINITION: This error appears for a Form 25 electronic submission if one of the primary registrant or co-registrant CIKs are one of the national exchange CIKs.
SOLUTION: Use the correct registrant CIK and resubmit.
ERR: NESTED_TABLES_NOT_ALLOWED
MSG: In (value): nested tables are not allowed.
DEFINITION: Your HTML submission document contains a nested table.
SOLUTION: Correct the HTML submission document, enclose the document, and retransmit your submission.
ERR: NEW_COMPANY_NAME
MSG: Filer (value) attempted to change the company name to (value).
DEFINITION: This message is associated with our processing of the filing and we will have to intervene to ensure proper resolution.
SOLUTION: This message indicates a need for us to take action to address the name change. It is included as a message back to the filer that the name change was not performed because other errors have been found.
ERR: NO_ACCEPTED_INITIAL_FILING_EXISTS
MSG: Initial filing of CIK (value) not present for filing period.
DEFINITION: Initial filing of [CIK] not present for filing period.
SOLUTION: Company must file 13F-NT, 13F-HR or 13F-CTR to file 13F-NT/A, 13F-HR/A or 13F-CTR/A for any period end date. Contact the Office of Filer Support for more information WARNING DESCRIPTION WRN: NO_ACCEPTED_PREVIOUS_FILING_EXISTS
MSG: Warning: The Period Date you specified does not match a Period Date on a previous (value) or (value) filing. DEFINITION OF WARNING: Previous live accepted filing, for either an original (e.g. 8-K) or its amendment (e.g. 8-K/A), not found for the Filer CIK for the provided filing period.
SOLUTION: Verify that the provided period is correct and resubmit, if necessary.
ERR: NO_FILE_NUM_WITH_CORRECT_PREFIX
MSG: CIK (value) has no previous file number with a prefix of (value).
DEFINITION: The filing is being BLOCKED because the assignment of a file number to the filing depends on the existence of a previous filing with a file number having the specified prefix for the specified filer.
SOLUTION: Correct the filing and resubmit.
ERR: NO_REPORTING_FILE_NUMBER
MSG: CIK (value) does not have a Reporting File Number, so a file number cannot be assigned to the filing.
DEFINITION: The specified filer does not yet have a Reporting File Number.
SOLUTION: Correct the filing and resubmit.
ERR: NO_REPORTING_OWNER_RELATIONSHIP
MSG: Reporting Owner (value) must have at least one Relationship value specified.
DEFINITION: A Reporting Owner must have at least one Relationship (Director, Officer, 10 percent Owner, or Other) specified.
SOLUTION: Specify at least one relationship for the Reporting Owner and resubmit.
ERR: NO_FILE_NUMBER_FOUND
MSG: No File Number found for CIK (value). So a file number cannot be assigned to the filing.
DEFINITION: A file number was not found for the provided Primary Filer CIK.
SOLUTION: Verify that the provided Primary Filer CIK is correct, and resubmit the filing.
ERR: NO_VALID_DOCUMENT
MSG: (Value) submission does not include a valid document specification.
DEFINITION: Your submission is missing a valid document.
SOLUTION: Check submission document’s validity and retransmit.
ERR: NO_VALID_PRIMARY_DOCUMENT
MSG: Submission does not have a valid primary document.
DEFINITION: The primary submission document is not valid.
SOLUTION: Correct the submission document and retransmit your submission.
ERR: NONCONFORMING_XML_FILE
MSG: Receipt Server encountered a nonconforming XML submission file. The XML Parser treats this as a FATAL error. The submission cannot be processed.
DEFINITION: The XML submission file contains an error that prevents the XML parser from completing.
SOLUTION: Fix the submission file and resubmit.
ERR: NONCONFORMING_XML_FILE
MSG: Receipt Server encountered a nonconforming XML primary document: (value). The XML Parser treats this as a FATAL error. Processing halted at this point.
DEFINITION: The XML primary document contains an error that prevents the XML parser from completing.
SOLUTION: Fix the primary document and resubmit.
ERR: NONE_NOT_ALLOWED_WITH_OTHER_SROS
MSG: NONE is not allowed when a value is provided for SROs.
DEFINITION: The SRO tag value is invalid, because NONE was specified. For example, an SRO value of AMEX and NONE was provided.
SOLUTION: Remove the tag value of NONE and resubmit the N-2ASR or N-2 POSASR filing. Or if NONE is correct, then remove the other SRO tags and resubmit the filing.
ERR: NOT_FOUND_REF_FILE_NUMBER
MSG: Reference file number (value) is not found in EDGAR.
DEFINITION: XML submission contains file number reference to another transfer agent starting with “084” that does not exist in EDGAR.
SOLUTION: Correct referenced SEC file number and resubmit. Contact the Office of Filer Support for more information.
ERR: NOT_WORLD_BANK_CIK
MSG: CIK (value) is not a World Bank CIK.
DEFINITION: Only the World Bank may submit this submission type. We maintain the specific list of CIKs that are valid for this submission type. Any CIKs that are not on the list may not submit these submission types.
SOLUTION: If the CIK you supplied is incorrect, correct it. Otherwise, do not file this submission type. Contact us for additional information.
P
ERR: PREV_WAS_NOT_WITHDRAWL
MSG: The filing has been suspended as the filer already has an active Security-based Swap Dealer and Major Security-based Swap Participant Registration (i.e. the most recent previous filing is not an SBSE-W for the registration).
DEFINITION: An active SBSE, SBSE-A, or SBSE-BD registration was found. The most recent previous filing is not an SBSE-W for the registration.
SOLUTION: Please submit SBSE-W to withdraw from your existing registration before submitting a new SBSE, SBSE-A, or SBSE-BD.
ERR: PREV_WAS_WITHDRAWL
MSG: The filing has been suspended because there is not currently an active Security-based Swap Dealer and Major Security-based Swap Participant Registration (i.e. the most recent previous submission for this entity is an SBSE-W).
DEFINITION: An active SBSE, SBSE-A, SBSE-BD registration was not found. The most recent previous submission for this entity is an SBSE-W.
SOLUTION: Submit an SBSE, SBSE-A, or SBSE-BD registration before submitting an amendment (SBSE/A, SBSE-A/A, or SBSE-BD/A).
ERR: PREVIOUSLY_ACCEPTED_FILING_EXISTS
MSG: Already have a previously accepted (value) filing for CIK (value).
DEFINITION: A filer of a 18-12B, 20FR12B, 40FR12B, 8-A12B, 8-K12B submission has already had a 40-8F variant submission accepted by EDGAR. This submission is blocked for OFIS review.
SOLUTION: OFIS will review this BLOCK situation to resolve the issue.
ERR: PRIMARY_REGISTRANT_CANNOT_BE_INDIVIDUAL
MSG: The CIK has been registered as an individual. Individuals cannot submit Form C.
DEFINITION: The issuer is registered as an “Individual” and is not permitted to submit Form C.
SOLUTION: Resubmit the filing using a CIK with the “Company” Applicant Type.
R
ERR: REGISTRANT_CIK_INVALID
MSG: The CIK number of the Registrant must match the Filer CIK provided in the header.
DEFINITION: The CIK entered in the header does not match the CIK listed in the “Information about the Registrant” section.
SOLUTION: Ensure that the CIK number of the Registrant matches the Filer CIK provided in the header and resubmit the N-CEN or N-CEN/A filing.
ERR: RECENT_SUBMISSION_INVALID
MSG: The most recent (value) variant submission found for CIK (value) is (value).
DEFINITION: The most recent variant submission does not allow certain variant submissions to be submitted.
SOLUTION: Submit the correct variant filing.
ERR: REGULATED_ENTITY_CIK
MSG: (value) CIK (value) belongs to a Regulated Entity. This entity cannot file electronically.
DEFINITION: For an electronic submission, the primary filer or a co-registrant is a Regulated Entity. This is not permitted.
SOLUTION: Resubmit the electronic submission with CIKs that do not belong to Regulated Entities.
ERR: RELATED_SUBMISSION_SUSPENDED
MSG: Related submission (value) suspended.
DEFINITION: This error appears for an 8-K electronic submission with Item Submission Type specified. On the 8-K submission, the 8-K is acceptable, but the associated Item submission is suspended. For the Item submission, the Item submission is acceptable, but the 8-K is suspended.
SOLUTION: Correct the problem that caused the related submission to suspend. Resubmit the electronic 8-K submission with the Item Submission Type specification.
ERR: REQUIRED_TAG_MISSING
MSG: Required (value) tag is missing.
DEFINITION: The indicated tag was not found, but is required for acceptance.
SOLUTION: Add the required tag.
S
ERR: SEGMENT_EXPIRED_ERROR
MSG: Referenced segment (value) is expired for CIK (value).
DEFINITION: You must reference a segment within six days after you submit it. If you attempt to reference the segment after six (6) days have elapsed, EDGAR will issue this error.
SOLUTION: Re-submit the segment and the filing, or remove the segment reference and re-submit the filing.
ERR: SEGMENT_EXPIRED_ERROR
MSG: In (value): referenced segment (value) for CIK (value) is expired.
DEFINITION: The referenced segment does not exist because it has been more than six (6) business days since you transmitted it.
SOLUTION: Retransmit the segment and your submission.
ERR: SEGMENT_NOT_FOUND
MSG: Referenced segment (value) does not exist for CIK (value).
DEFINITION: The filing contains a reference to a segment that does not presently exist in EDGAR for the referencing CIK.
SOLUTION: Check the name of the segment in reference for accuracy. Correct if necessary, or submit the missing segment and re-submit the filing.
ERR: SEGMENT_NOT_FOUND
MSG: In (value): referenced segment (value) does not exist for CIK (value).
DEFINITION: The referenced segment is not owned by the referenced CIK.
SOLUTION: Correct the segment and retransmit the segment and your submission.
ERR: SEGMENT_REF_DOC_TYPE_ERROR
MSG: Segment (value), which is really (value), is of the same type (value) as the submission but is not a PDF document.
DEFINITION: A segment reference, which is made via the segment’s nickname, is actually to a non-PDF file that is of the same type as the submission. That is, an attempt was made to use a segment as the submission’s primary document. EDGAR does not support this capability.
SOLUTION: Correct the segment document and/or the submission and resubmit.
ERR: SEGMENT_REFERENCE_ERROR
MSG: In (value): illegal reference to segment (value). This is really a reference to the file (value), which is neither an ASCII nor a HTML segment.
DEFINITION: The referenced segment is not an ASCII or HTML segment.
SOLUTION: Create and retransmit the segment and your submission.
ERR: SEGMENT_REFERENCE_ERROR
MSG: In (value): a SEGMENT reference is improperly specified. (value)
DEFINITION: Your submission document contains an improper Type 1 segment reference.
SOLUTION: Correct the segment reference, enclose the document, and retransmit your submission.
ERR: SEGMENT_REFERENCE_TYPE_ERROR
MSG: Type (value) segment (value) is invalid in context. Type (value) is permissible.
DEFINITION: A segment reference was encountered in the wrong context. Segments are of two types: 1. Type 1 consists of a partial document. 2. Type 2 consists of one whole document. You must reference Type 1 segments only from within the body portion of a document. You must reference Type 2 segments on the Module/Segment List Page.
SOLUTION: Check the type of segment being referenced and the location of the reference. If necessary, correct the reference location.
ERR: SEGMENT_USED_ERROR
MSG: In (value): referenced segment (value) for CIK (value) has already been used.
DEFINITION: You have referenced a segment twice.
SOLUTION: Correct the segment reference and retransmit your submission.
ERR: SEGMENT_USED_ERROR
MSG: Referenced segment (value) previously used by CIK (value).
DEFINITION: The filing contains a reference to a segment that has already been used by the referencing CIK. A segment may only be used once, even within a single filing. Used segments are deleted from EDGAR.
SOLUTION: Check the name of the referenced segment for accuracy. Correct if necessary and re-submit. If the segment name is correct in the reference but the segment was submitted and refused because of the duplicate name, either wait until the next day to re-submit the segment and filing, or change the name of the segment and submit the segment and the filing with the reference name changed as well.
ERR: SERIAL_CO_NAME_NOT_CONFORMED
MSG: Serial Company Name (value) is not conformed.
DEFINITION: Serial Company Name does not meet the conformance standards listed in How Do I Understand EDGARLink Online Submission Types guide on SEC.gov.
SOLUTION: Conform the Serial Company Name and resubmit.
ERR: SM_BUSINESS_ERROR_CHECK
MSG: Submission indicates that the company with CIK (value) is both a Smaller Reporting Company and a Registered Investment Company/BDC (Reporting file number (value)). Cannot be both a Smaller Reporting Company and a Registered Investment Company/BDC. Resubmit the electronic submission and choose either a Smaller Reporting Company or a Registered Investment Company/BDC.
DEFINITION: Submission indicates that the company is both a Smaller Reporting Company and a Registered Investment Company/BDC.
SOLUTION: Resubmit the electronic submission and choose either a Smaller Reporting Company or a Registered Investment Company/BDC.
ERR: SUBMISSION_SUSPEND
MSG: The submission was suspended for the following reason: (value).
DEFINITION: Value is the suspend reason selected for suspended submission.
SOLUTION: Contact the Office of Filer Support for more information.
T
ERR: TAG_VALUE_MISSING_OR_INVALID
MSG: The Start Period ((value)) must be before End Period ((value)) in the EX-102 attachment with file name (value).
DEFINITION: The Start Period value in the EX-102 attachment with file name (value) must be before the corresponding End Period value.
SOLUTION: Provide a Start Period that is before the End Period in the EX-102 attachment, and resubmit.
ERR: TAG_VALUE_MISSING_OR_INVALID
MSG: Value for (value) is missing or invalid (value).
DEFINITION: The value for the (value) specified is incorrect or missing. Common occurrences of this error include incorrect coding or omitting the value for the <TYPE>, <CIK>, <FILE-NUMBER>, <PERIOD>, or <ACT> tags when these tags are required for the filing. This error will appear as a warning when the value following an optional tag is missing or invalid or when the value following a tag within a document is missing or invalid.
SOLUTION: Insert or correct the tag value. You must re-submit the corrected filing in its entirety.
ERR: TAG_VALUE_MISSING_OR_INVALID
MSG: Value for (value) is missing or invalid (value).
DEFINITION: XML submission contained blank or invalid tag (value).
SOLUTION: Enter a valid value for the required field. (Field may be conditionally required based on a previous answer.) Contact the Office of Filer Support for more information.
ERR: TEXT_EXCEEDS_132_CHARACTERS
MSG: In (value): a text line exceeds 132 characters.
DEFINITION: Your submission document contains a table wider than 132 characters.
SOLUTION: Reduce the width of the table, enclose, and retransmit your submission.
ERR: TEXT_EXCEEDS_80_CHARACTERS
MSG: In (value): a text line exceeds 80 characters.
DEFINITION: Your submission document contains text that is wider than 80 characters.
SOLUTION: Reduce the width of your document, enclose, and retransmit your submission.
ERR: TOO FEW S AND/OR C_TAGS
MSG: In (value): a TABLE section has less than two <S> and/or <C> tags.
DEFINITION: Your HTML submission document has a table that is incorrectly designed.
SOLUTION: Correct the table structure, enclose the document, and retransmit your submission.
ERR: TOO_MANY_DOCUMENTS
MSG: (Value) submission has (value) (value) documents exceeding the allowable limit of (value).
DEFINITION: Submission contains too many documents of a particular type.
SOLUTION: Remove the extra documents from the submission and resubmit.
ERR: TOO_MANY_ITEMS
MSG: (Value) submission has (value) items, exceeding the allowable limit of (value).
DEFINITION: A submission of the specified type contains too many “item” references.
SOLUTION: Remove the excess “items” and resubmit.
ERR: TOO_MANY_MODULES
MSG: Module (value) cannot be accepted because (value) modules for CIK (value) already exist. Prior to re-submitting module (value) delete at least one of the following (value) modules (value).
DEFINITION: The number of modules already submitted by the filer, when combined with the number of new modules coming in with this submission, exceeds the current maximum of ten modules per CIK.
SOLUTION: Delete existing modules or remove modules from the incoming submission to get the total number below ten.
ERR: TOO_MANY_SERIAL_CO_NAMES
MSG: (Value) submission has (value) Serial Company Names, exceeding the allowable limit of (value).
DEFINITION: A submission of the specified type contains too many “Serial Company Name” references.
SOLUTION: Remove the excess “Serial Company Names” and resubmit. WARNING DESCRIPTION WRN: TOTAL_SECURITIES_WARNING
MSG: Only $10 million of securities is permitted to be offered within a 12-month period under Rule 504. DEFINITION OF WARNING: You have entered a value greater than $10 million for a Total Offering Amount in Item 13 when one or more Rule 504 offerings are selected in Item 6.
SOLUTION: Correct the Total Offering Amount in Item 13 to be less than or equal to $10 million when one or more Rule 504 offerings are selected in Item 6.
ERR: TRAINING_CIK
MSG: Value for (value) is assigned to Training Agent (value).
DEFINITION: The submission was designated as live but one of the registrants is a Training Agent.
SOLUTION: Change the submission to test or remove the Training Agent as a registrant and then resubmit.
U
ERR: UNRECOGNIZED_XML_FILE
MSG: Receipt Server could not determine submission type of XML file: (value).
DEFINITION: Submission type element could not be located in the XML file.
SOLUTION: Fix the file and resubmit. This is most likely the case of a non-XML file being named with an ‘.xml’ extension.
ERR: UNREFERENCED_FOOTNOTE
MSG: Footnote (value) is never referenced.
DEFINITION: An XML document contains a field that references a footnote that is not included in the document.
SOLUTION: Repair the footnote discrepancy and resubmit.
ERR: UNREFERENCED_GRAPHIC_DOCUMENT
MSG: In (value): this graphic document must be referenced by an HTML <IMG> link.
DEFINITION: A graphics (.jpg or .gif) document included in the submission as either a document or a referenced module or segment must be referenced via an HTML link.
SOLUTION: Either reference the graphic document via an HTML link or remove the graphics document from the submission and resubmit.
ERR: UNRESOLVED_HTML_LINK
MSG: In (value): contains an unresolved link to (value).
DEFINITION: All link references from within an HTML document must match the designated File names of the referenced documents. Any link within an HTML document that does not meet this standard will cause EDGAR to issue this error.
SOLUTION: Please name all of your attached documents that are referenced by links within an HTML document. You must use only SEC-approved File names for your referenced documents.
ERR: UNSUPPORTED_PDF
MSG: Online submission of type (value) does not allow the inclusion of a PDF document. The document (value) was removed from the submission.
DEFINITION: The Online submission types do not allow the inclusion of PDF documents.
SOLUTION: Do not include PDF documents in future submissions of Online types.
W
ERR: WDRWNG_ATSN_WITHDRAWAL
MSG: Accession Number (value) is associated with an ATS-N withdrawal filing, which cannot be withdrawn.
DEFINITION: An ATS-N-W cannot withdraw another ATS-N-W.
SOLUTION: Submit the correct filing.
ERR: WDRWNG_INEFFECTIVE
MSG: Accession Number (value) is associated with an ineffective Form ATS-N filing, which cannot be withdrawn.
DEFINITION: You cannot withdraw an ineffective Form ATS-N filing for an NMS Stock ATS.
SOLUTION: Submit the correct filing.
ERR: WDRWNG_LEGACY_UNDER_REVIEW
MSG: Accession Number (value) is associated with an initial Form ATS-N for a legacy NMS Stock ATS that is under review.
DEFINITION: You cannot withdraw an initial ATS-N filing that is currently under Commission review because you are identified as a legacy NMS Stock ATS on that initial ATS-N filing.
SOLUTION: Submit the correct filing.
ERR: WDRWNG_POST_REVIEW
MSG: The Commission review period for the Form ATS-N filing associated with Accession Number (value) has expired. This filing cannot be withdrawn.
DEFINITION: You cannot withdraw a Form ATS-N Amendment filing for an NMS Stock ATS after the Commission review period has expired.
SOLUTION: Submit the correct filing.
ERR: WDRWNG_WITHDRAWN
MSG: Accession Number (value) is associated with a Form ATS-N filing that has been previously withdrawn.
DEFINITION: You cannot withdraw a Form ATS-N filing for an NMS Stock ATS that has already been withdrawn.
SOLUTION: Submit the correct filing.
ERR: WITHDRAWAL_AFTER_CESSATION
MSG: A Withdrawal filing cannot be submitted for an ATS-N Cessation (value) after the date of Cessation.
DEFINITION: The filing date of the ATS-N-W is on or after the date of Cessation.
SOLUTION: Submit the correct filing.
ERR: WKSI_ERR_MSG
MSG: Only a Well-Known Seasoned Issuer (WKSI) may submit an N-2ASR filing.
DEFINITION: You have either not provided a response or provided No as a response for “Is Filer a Well-Known Seasoned Issuer?” on an N-2ASR submission.
SOLUTION: Provide Yes as a response to “Is Filer a Well-Known Seasoned Issuer?” when submitting an N-2ASR submission.
ERR: WKSI_ERR_MSG
MSG: Only a Well-Known Seasoned Issuer (WKSI) may use “Pay As You Go”.
DEFINITION: On an N-2 POSASR submission, you have chosen the “Pay as You Go” option but have not provided a response or provided No as a response to “Is Filer a Well-Known Seasoned Issuer?”.
SOLUTION: Provide Yes as a response to “Is Filer a Well-Known Seasoned Issuer?” when selecting the “Pay As You Go” option on an N-2 POSASR submission.
X
ERR: XML_SCHEMA_VIOLATION
MSG: File contains an XML Schema Violation: (value).
DEFINITION: The XML submission file or primary document does not conform to the applicable XML SCHEMA definition.
SOLUTION: Correct the SCHEMA violation and resubmit.
ERR: XML_SCHEMA_VIOLATION
MSG: File contains an XML Schema Violation: Error Message: cvc-datatype-valid.1.1 error at (line number) for string value ‘(value)’ does not match pattern for DOCUMENT_NAME_TYPE in namespace http://www.sec.gov/edgar/common
DEFINITION: The file name does not follow the EDGAR file naming convention outlined in Chapter 5 of Volume II of the EDGAR Filer Manual.
SOLUTION: Correct the file name and resubmit.
ERR: XML_SCHEMA_VIOLATION
MSG: File contains an XML Schema Violation: Element Name: MoneyMarketFundCategory Multiple values for moneyMarketFundCategory may only be selected if they are “Exempt Government” and “Treasury”, or “Exempt Government” and “Government/Agency.”
DEFINITION: The filer has selected multiple values for Item A.10, and the combination of selections is not the following on an N-MFP2 or N-MFP2/A filing: “Exempt Government” and “Treasury” or “Exempt Government” and “Government/Agency.”
SOLUTION: Resubmit the N-MFP2 or N-MFP2/A filing with the correct combination of selections on Item A.10.