How to Have a Great Filing - SEC

Do you know what to do prior to filing? Use these EDGAR and XBRL checklists to ensure a smooth filing. Test file early!

EDGAR Checklist

Things to check in the last days before you file:

  • Make sure you have your CIK Confirmation Code (CCC).

  • Make sure you have your SEC password, and that it has not expired.

  • Make sure your exhibits are in separate files, that they are listed in the Exhibit Index section of the document, and that the Exhibit Index is hyperlinked.

  • Make sure your Exhibit Index comes before the final signature in your document.

  • Validate the project, preview the EDGAR, and make formatting changes (see Document, Project, and Section Validation for more information on validation).

  • Paginate after validation, but before beginning the filing process. This will potentially save you from needing to re-paginate if there are significant changes required as part of the validation. Pagination affects page breaks and hyperlinks.

  • Do an initial run through of the Filing Wizard steps (do not complete live filing at this time).

  • Back up Filing Documents.

  • Make sure your images follow the SEC guidelines and are part of your project. See the SEC Image File Name and Type Requirements and Restrictions section in the Using Images article for more information.

Things to check in the last hours before you file:

  • Finish making any changes to documents at least a couple hours before planned filing time.

  • Verify that the signature date is correct on the signature page.

  • Verify that the quarter-end and signature dates are updated in the certification exhibits.

  • Validate the project one last time, preview the EDGAR, and make formatting changes.

  • Ensure that pagination is up to date on all of your documents. A yellow circle at the upper left corner of any of your filing documents means that document needs to be paginated again.

  • Go through the Filing Wizard and test file one last time (at least a couple hours before planned filing time).

  • Back up Filing Documents.

XBRL Review Checklist

See the instructions below to access the XBRL Review Checklist.

  1. Go to the XBRL Example Documents in Wdesk.

    • If you are not currently logged in to Wdesk, you will be prompted to enter your user id and password.

    • If you are currently logged in, you will be redirected to the site. It will open in a separate browser tab or window and will not affect your current Wdesk session.

    NOTE: Although you need to provide your user credentials, you are signed in to the example site as an anonymous user with read-only permissions. You will not be able to edit or create documents on this site.

  2. Click Files from the Home menu.

  3. Select the XBRL Review Checklist.

  4. Now you can export the document to create your own copy and import it into your account. You also have the option to save it as an Excel file.

The XBRL Review Checklist is a great resource to help you have a successful filing. The topics below contain links to other Help articles and videos to explore topics in greater length to supplement the XBRL Review Checklist.

Things to check in the last days before you file:

  • Continue to monitor any changes to EDGAR for corresponding changes to XBRL.

  • Continue to update XBRL as necessary, clearing validation messages at the project level.

  • After any XBRL update, perform a quick check of SEC Viewer.

Potential Filing Disruptions

Document validation, clearing XBRL-related validation messages, and test filing will get you a long way towards a successful filing, but there are factors outside your control that can prevent the submission. To mitigate risks of filing delays, review the Filing - Prepare for the Unexpected article. Your Customer Success Manager is also available to help you prepare a backup plan.