Navigating EDGAR Filings with Virtual Notary Services
The Electronic Data Gathering, Analysis, and Retrieval system, commonly known as EDGAR, stands as the cornerstone for document submissions under various U.S. securities laws. Operated by the Securities and Exchange Commission (SEC), EDGAR plays a pivotal role in enhancing the efficiency, transparency, and fairness of the securities markets. EDGAR is instrumental for investors, corporations, and the U.S. economy. Its database, enriched with millions of filings, supports 40,000 new filers each year, offering a treasure trove of information on company financials, mutual funds, ETFs, and individual filings at no cost.
For those new to EDGAR, the system is not only accessible but comes with extensive resources aimed at facilitating a smooth filing process. This includes guidance on obtaining EDGAR access, website support, and dedicated telephone support for filers. The EDGAR Business Office (EBO) oversees the governance, strategic planning, and support for both filers and SEC staff, ensuring that EDGAR remains a reliable resource for all its users. For more information about EDGAR and how to use it, please visit https://www.sec.gov/edgar/quickedgar
Forms Available for Filing on EDGAR
EDGAR supports filings under several acts, with forms including 10-Ks, 10-Qs, 8-Ks, S-1s, and Form Ds among others. These documents play a critical role in maintaining transparency and compliance within the securities market. To see all forms please click here https://www.sec.gov/forms
Notarization Requirements
A unique aspect of submitting certain documents through EDGAR is the need for notarization, critical for verifying document authenticity. Notarization is required for a variety of documents, ensuring that submissions meet legal standards, starting with the initial Uniform Application for Access Codes a/k/a FORM ID. If you wish to be an electronic filer, you must complete the application online, download it to PDF and provide it to the virtual notary.
The FORM ID can be accessed by clicking this link: https://www.filermanagement.edgarfiling.sec.gov/filermgmt/selectFormId.html
Please note that this application is to be used if you as an individual, another individual whom you represent, or a company that you represent is new to filing electronically with the SEC.
Once you have acquired access to the EDGAR portal, you will be able to submit your filings. Below you will find a list of forms that require notarization, and can be notarized remotely:
- Application For, and Amendments to Application for, Registration as A National Securities Exchange or Exemption from Registration Pursuant to Section 5 of the Exchange Act.
- Form And Amendments for Notice of Registration as a National Securities Exchange for The Sole Purpose of Trading Security Futures Products Pursuant to Section 6(G) of the Exchange Act.
- Initial Operation Report, Amendment to Initial Operation Report and Cessation of Operations Report for Alternative Trading Systems.
- Quarterly Report of Alternative Trading System Activities.
- Uniform Application for Broker-Dealer Registration.
- Form For Notice of Registration as A Broker-Dealer for The Purpose of Trading Security Futures Products Pursuant to Section 15(B)(11) of the Securities Exchange Act Of 1934.
- Uniform Request for Broker-Dealer Withdrawal.
- Designation of U.S. Agent For Service of Process for Non-Residents.
- Application For Registration as a Municipal Securities Dealer Pursuant to Rule 15ba2-1 Under the Securities Exchange Act Of 1934 or Amendment to such Application.
- Initial Operation Report, Amendment to Initial Operation Report and Quarterly Report for Pilot Trading Systems Operated by Selfregulatory Organizations.
- Annual Reports Form X-17a-5 Part III – Oath or Affirmation regarding:
- Statement of financial condition.
- Notes to consolidated statement of financial condition.
- Statement of income (loss) or, if there is other comprehensive income in the period(s) presented, a statement of comprehensive income (as defined in § 210.1-02 of Regulation S-X).
- Statement of cash flows.
- Statement of changes in stockholders’ or partners’ or sole proprietor’s equity.
- Statement of changes in liabilities subordinated to claims of creditors.
- Notes to consolidated financial statements.
- Computation of net capital under 17 CFR 240.15c3-1 or 17 CFR 240.18a-1, as applicable.
- Computation of tangible net worth under 17 CFR 240.18a-2.
- Computation for determination of customer reserve requirements pursuant to Exhibit A to 17 CFR 240.15c3-3.
- Computation for determination of security-based swap reserve requirements pursuant to Exhibit B to 17 CFR 240.15c3-3 or Exhibit A to 17 CFR 240.18a-4, as applicable.
- Computation for Determination of PAB Requirements under Exhibit A to § 240.15c3-3.
- Information relating to possession or control requirements for customers under 17 CFR 240.15c3-3.
- Information relating to possession or control requirements for security-based swap customers under 17 CFR24 0.15c3-3(p)(2) or 17 CFR 240.18a-4, as applicable.
- Reconciliations, including appropriate explanations, of the FOCUS Report with computation of net capital or tangible net worth under 17 CFR 240.15c3-1, 17 CFR 240.18a-1, or 17 CFR 240.18a-2, as applicable, and the reserve requirements under 17 CFR 240.15c3-3 or 17 CFR 240.18a-4, as applicable, if material differences exist, or a statement that no material differences exist.
- Summary of financial data for subsidiaries not consolidated in the statement of financial condition.
- Oath or affirmation in accordance with 17 CFR 240.17a-5, 17 CFR 240.17a-12, or 17 CFR 240.18a-7, as applicable.
- Compliance report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- Exemption report in accordance with 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- Independent public accountant’s report based on an examination of the statement of financial condition.
- Independent public accountant’s report based on an examination of the financial report or financial statements under 17 CFR 240.17a-5, 17 CFR 240.18a-7, or 17 CFR 240.17a-12, as applicable.
- Independent public accountant’s report based on an examination of certain statements in the compliance report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- Independent public accountant’s report based on a review of the exemption report under 17 CFR 240.17a-5 or 17 CFR 240.18a-7, as applicable.
- Supplemental reports on applying agreed-upon procedures, in accordance with 17 CFR 240.15c3-1e or 17 CFR 240.17a-12, as applicable.
- Report describing any material inadequacies found to exist or found to have existed since the date of the previous audit, or a statement that no material inadequacies exist, under 17 CFR 240.17a-12(k).
To download any of the above forms, please click here https://www.sec.gov/forms
Seeking Virtual Notary Services?
For international clients needing to notarize and submit SEC forms via EDGAR, Online Notary NJ and Online Notary Tenn provide private secured virtual notary sessions. Our services facilitate the notarization process, adhering to SEC requirements without geographical constraints.
EDGAR is indispensable for participants in the U.S. securities markets, offering access to a wealth of financial and operational data. Understanding how to navigate and utilize EDGAR is crucial, especially for those requiring notarization for the documents outlined. Online Notary NJ and Online Notary Tenn stand ready to assist international filers, and national filers traveling abroad, streamlining the submission process with professional and secured virtual notary services.
