Funds - Grouping Series/Class IDs

The SEC requires Series and Class information for every filing. Wdesk keeps track of this information for you and makes it easy to organize.

Preparing Your Filing

In the Projects panel, select the Filing tab. Make sure you've completed the first steps on the Submission Checklist, then click the Start button in the step Prepare Filing Submission.

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The Prepare Filing Submission wizard is displayed. Make sure your CIK, CCC, and other information is all correct on the Filer window, then click Next.

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The next window will be specific to your form, in this example 485BPOS. Choose the correct ACT, then select the right Effectiveness Date.

For Investment Company Type, choose N-1A Filer (Mutual Fund) from the drop-down box. You will notice a new option appear on the left hand side menu for Existing Series/Classes.

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In the Existing Series/Class window, you can click the Refresh CIK button to compare your information to the SEC website.

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When you do this, you'll be asked to confirm. Click OK to proceed.

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Connecting to the SEC Website

Wdesk connects to the SEC website and loads information from it, based on the information you've already given it. There you can view Series and Class information on the Library tab in multiple ways. The Class column will tell you how many classes are in each Series, and you can click the arrow next to a Series number to expand and view Class information.

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Select the Series you wish to add to your filing and click the Add Selected button. You can choose as many Series as you want, click the Select All box, or multiple, non-contiguous Series.

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The Series information is added to the Filing With SEC box. If a Series was added in error, you can click the X next to it, and it will be removed, or click the Remove All button to clear the box and start over.

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If you wish to view a fund on the SEC website, select it, and then click View fund on the SEC website. A new browser window will open, and the fund will be displayed on the SEC website.

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In addition to the Library tab, you can click on the Individual tab, where you can add individual series and classes that you want in your filing which won't be saved in the Library.

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You can also click the Previous tab to view previous filing information and add it to your current filing.

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The investment company could add new Series and Classes of funds from time to time. You can update your information in the New Series/Class window manually.

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Submitting Your Filing

After all of your Series/Class information has been added or updated and you've finished, a Submission Summary will be displayed on the Filing tab of the Projects panel, so you can confirm everything before submitting.

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