Overview
Filing Manager automates the submission of 13G and Form SHO (13f-2) straight from our platform, using the SEC’s new API endpoints.
How to Set Up Your User Permissions in EDGAR Next
In order for the Filing Manager to submit your filings via the new API endpoints, you must hold the Technical Administrator role in FundApps and a User or Account Administrator role in EDGAR Next.
Each role holds different functions; you can read more about them here.
User: This role can submit filings and manage its own user tokens; it will be assigned a User API token.
Account Administrator: This role can perform every necessary action except manage filer API tokens; it will be assigned a User API token.
Technical Administrator: This role can only manage filer API tokens; it will be assigned a Filer API token.
The SEC requires both the User API token and the Filer API Token to validate and allow the filing to be submitted.
Where Do I Find My API Tokens?
User or Admin API token:
Log in to the new EDGAR Next portal.
In the dashboard, click MY USER API TOKEN.
Click CREATE USER API TOKEN.
Technical Administrator token:
Log in to the new EDGAR Next portal.
In the dashboard, click MY ACCOUNTS.
Click on the entity (Filer Name) you want to submit filings for.
Click MANAGE FILER API TOKEN.
Click CREATE NEW FILER API TOKEN.
Filing Manager Workflow
Users will select United States - SEC from the Regulator dropdown in Filing Manager.
Upload your 13G or Form SHO XMLs.
If multiple reports are uploaded at the same time, Filing Manager will allocate each report to the appropriate sub-screen to facilitate the check process before submission.
Input the appropriate SEC API tokens in the Filing Manager settings. Make sure this is added under the SEC section.
Once filings are ready to be submitted, click Send.
Filing Manager will update the status of the filing according to the SEC's response:
“Filed” means the SEC accepted the filing, and more information can be retrieved from the audit trail.
“Rejected by Regulator” means the SEC has suspended the filing. The submission message will explain why, and more information can be retrieved from the audit trail.
“Error” means an error occurred, and more information will be shown in the Submission message explaining what action must be taken.
FAQ
Q: Do I have to input my API keys every time I need to file a report?
A: The API tokens have different expiry dates. The USER API TOKEN will expire one month after creation, whilst the FILER API TOKEN will expire one year after creation. You might need to update your keys depending on the time you’re filing. You can see the expiry date for each token in the smaller text below the input box in your Filing Manager SEC settings.
Q: Does Filing Manager SEC submit the forms using its own CIK code?
A: No. Filing Manager SEC uses the end user CIK/API Token information, just like all the other integrations in Filing Manager, we are automating the process for you and filing the report on your behalf using your credentials. For all purposes and intent this will work as if the user is filing the position with the SEC, not FundApps.
Q: What types of forms can I file using FM SEC?
A: 13G, 13G amendments, FormSHO and FormSHO amendments.
Q: What happens if I upload the wrong file?
A: If the file uploaded is not one of the supported files, the user will receive an error pop-up. If the uploaded file is incorrect, users can click Clear at the top of the grid to remove the wrong Unactioned file(s). This action will remove all Unactioned files.
Q: What does the column Live or Test mean?
A: The SEC allows users to test a submission file if they wish to validate it beforehand. This means we will be using the test path, and the position will not be considered as “Filed” by the SEC. The user can change this flag in the file itself under the <liveTestFlag>TEST</liveTestFlag> section of the XML file. This column indicates if the file uploaded had the Test or Live flag saved. “Live” means the user is pushing a live filing to the SEC, which can be filed/rejected according to the SEC's rules.
Q: What happens if EDGAR rejects a filing?
A: Users can check the audit trail by selecting the vertical three-dot menu icon to check the reasoning for the rejection and take action to correct their filings before attempting a new submission.
Q: How does the user know if the filings were accepted?
A: The Filing Manager will update the status to Filed and display the SEC's confirmation message in the audit trail (vertical three-dot menu icon).