Preparing for an SEC filing? Don’t forget your CIK codes.

With all the work that surrounds preparing to file with the SEC (whether you are making a Regulation A or a Regulation CF filing) it can be easy to overlook one of the simplest things you need in order to file. A CIK code is your company’s distinct fingerprint on the SEC’s filing site EDGAR, and it will be the public number used to track your filings. You or a filing agent will need to use your CIK code to log into the EDGAR system from your first to final filing and any amendments and correspondence that come in between. This is also where your company’s basic information that is presented to the public, such as your primary address, FEIN and telephone number will live. You can update this information at any time after you’ve generated your code along with its connected passwords.

To apply for the CIK you’ll need to fill out Form ID and manually sign and have the form notarized. This notarized copy will need to be uploaded along with your online application. You can then visit the EDGAR Filer Management site here to begin the application.  Click “Press Here to Begin”. When the new page opens click “Apply for EDGAR Access (New)” on the top left hand side of the screen. This will then prompt an electronic version of Form ID for you to fill in. Once you have filled in your information click “Continue” and you will be prompted to upload the notarized copy, which should be uploaded as a pdf. During this process you will also be prompted to enter a passphrase. Be sure to write down this passphrase as you will need it to generate another code called a CCC which goes hand in hand with your CIK for accessing and filing on EDGAR. The CCC is basically the non-public version of your CIK. Once you have completed the application you will need to wait on the email confirmation that your Form ID has been accepted and your new CIK will be included on the email.

The final step will be generating the CCC code mentioned above. Once you have received your CIK from the SEC return to the Filer Management site here and click “Generate Access Codes (New/Replacement)”. Enter your CIK and your saved passphrase to generate your CCC, password and PMAC (which allows you to change your password if ever needed).

Submitting the application, receiving your CIK and generating your codes should take only 1 or 2 business days. Any questions about the process can be answered on the Form ID instructions found here.

 Happy filings!

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