The SEC will be closed on Monday, January 16, 2012  in observance of Martin Luther King Day. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system. Filings submitted after 5:30 pm EST, Friday January 13, 2012, will be disseminated Tuesday January 17, 2012 at 6:00 am and receive a January 17, 2012 filing date.

The following Form Types are exceptions and are accepted by EDGAR until 10:00 p.m. ET Friday, January 13, 2012, receiving a same day filing date.

• Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
• CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at http://www.secfile.net/SEC_calendar.htm

Happy New Year from all of us at Securex!

The SEC will be closed on Monday, January 2, 2012 for the New Year. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system. Filings submitted after 5:30 pm EST, Friday December 30, 2011 will be disseminated Tuesday January 3, 2012 at 6:00 am and receive a January 3, 2012 filing date.

The following Form Types are exceptions and are accepted by EDGAR until 10:00 p.m. ET Friday, Friday December 30, 2011, receiving a same day filing date.

• Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
• CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at http://www.secfile.net/SEC_calendar.htm

Happy Holidays from all of us at Securex!

The SEC will be closed on Monday, December 26, 2011 for the Christmas holiday. With the EDGAR system closed, filers will not be permitted to submit filings to the EDGAR system. Filings submitted after 5:30 pm EST, Friday December 23 will be disseminated Tuesday December 27, 2011 at 6:00 am and receive a December 27, 2011 filing date.

The following Form Types are exceptions and are accepted by EDGAR until 10:00 p.m. ET Friday, December 23, 2011, receiving a same day filing date.

• Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)
• CORRESP filings (not immediately disseminated to the public)

If a filing due date falls on a weekend or SEC holiday, the filing due date will fall on the following business day pursuant to Securities Exchange Act of 1934 Rule 0-3 (a).

A detailed list of upcoming SEC/EDGAR holidays is available on our website at http://www.secfile.net/SEC_calendar.htm

Included in the EDGAR Filer Manual (Volume I) General Information (Version 11) which was updated on November 21, 2011, the SEC lists changes to submission form types 13F-HR, 13F-NT and their amendments. Valid period dates have been updated to include March 31, June 30, September 30, or December 31.

The SEC has added an additional Applicant Type, ‘Municipal Advisor’, when completing the process to apply for SEC EDGAR Filer Access.  Filers may prepare and submit their Form ID applications directly through the Online EDGAR Filing website (https://www.filermanagement.edgarfiling.sec.gov/).  As always, Securex is here to assist you in successfully meeting your filing requirements. Feel free to contact the  Securex EDGAR filing team if you have any questions or if you require assistance with your filings. For Municipal Advisors that require assistance with the Form ID process please download our SEC Form ID Worksheet (Word format) www.secfile.net/forms/securex_form_id_worksheet.doc  and contact us at 877-SEC-FILE (877-732-3453).

The Securities and Exchange Commission (SEC) recently adopted a new rule (Rule 13h-1) which requires filing of Form 13H.  This new rule is of interest to investment advisers because it requires “large traders” to register by filing new Form 13H with the SEC.  Once firms initial Form 13H is filed, the SEC will assign each large trader an identification number (LTID), which the large trader must then provide to its registered broker-dealers.  Rule 13h-1 becomes effective October 3, 2011, and large traders will have until December 1, 2011, to file Form 13H.

The final rule is available at: http://www.sec.gov/rules/final/2011/34-64976.pdf

Securex, as a full service financial printer and SEC filing agent, is able to assist your firm with filing Form 13H with the SEC. Please contact us at 877-SEC-FILE for assistance.

We often receive questions about EDGAR filing deadlines and the cut off to receive same day date stamps on filings. The following is a summary of general EDGAR hours of operation:

The EDGAR system hours of operation for submitting files are 6:00 a.m. to 10:00 p.m. Eastern Time, weekdays, excluding Federal Holidays.  EDGAR filings must occur by 5:30 p.m. ET (when the SEC officially ends its business day) to receive the same-day filing date. Filings submitted between 5:30 p.m and 10 p.m. will receive the next business day’s date.

Three types of filings are not subject to the 5:30 p.m. cutoff and will receive a filing date identical to the received date up to 10 p.m.  These three exceptions are:

• Section 16 beneficial ownership reports on Forms 3, 4 and 5; and
• correspondence filings (e.g., comment response letters and requests for acceleration of effectiveness).

A list of common SEC filing deadlines is available at www.secfile.net/SEC_calendar.htm

Marketforms.com is the newest EDGAR related service offered by Securex to assist public company executives and shareholders with their SEC reporting requirements. Using a secure, web-based solution, clients are now able to complete, review and file Section 16 report (Forms 3, 4 and 5) securely online in minutes all within an environment that is familiar and easy to navigate.

Marketforms.com is the easiest way to file your Section 16 filings. We are the only solution in the industry that looks like the actual SEC filing so whether you are a first time filer or an experienced filing agent, our site is simple and easy to use while ensuring you submit EDGAR compliant data.

Our features include:

Real-time EDGAR validation: We tell you if a non-Edgar compliant entry has been made as soon as its entered with our patent pending real time validation engine.

Advanced footnote manager: Footnotes can be complicated. Not if you’re using marketforms.com. Our footnote manager makes adding, editing, deleting and re-ordering your footnotes a breeze.

Time saving clone feature: Do you have multiple derivative or non-derivative entries that are similar? Simply enter the first one, click on “Clone Row” and we’ll copy that row as many times as you require. Then simply edit the fields that haV changed. Simple and fast.

Dashboard: Our dashboard lets you view of all of your outstanding filings making it easy for you to know whether your filing is EDGAR compliant and even simpler for you to edit, download, Test or Live file your submissions.

No contracts:

We offer two forms of pricing. No contracts to sign, no minimums. Cancel at any time.

Visit www.marketforms.com for more information or to schedule a live demo.

Additional information available at: www.secfile.net/section16.htm

The SEC recently made changes to the Draft EDGAR Filing Manual(Version 14) to update the filer manual to reflect changes scheduled to take effect on April 12, 2010.

Some of the changes include:

• Submission form type 13F-HR/A will be suspended for any period end date where the filer has not submitted a 13F-HR initial filing for that period end date.
• Submission form type 13F-NT/A will be suspended for any period end date where the filer has not submitted a 13F-NT initial filing for that period end date.
• The EDGAR Interactive Data/XBRL validations will be extended to all EX-101 attachments regardless of the taxonomy used.
• The 2008 Mutual Fund Risk/Return Summary Taxonomy will be updated to the 2010 Mutual Fund Risk/Return Summary Taxonomy.
• Filings containing EX-101.INS XBRL document will undergo the following additional validations:
  • No more than one EX-101.INS XBRL document should be attached in a submission.
  • EX-101.INS XBRL documents should not contain non-empty facts for DocumentFiscalYearFocus and DocumentFiscalPeriodFocus in the required context, for the EDGAR form types specified in Section 6.5.21.
  • EX-101.INS XBRL documents should not contain HTML attributes “cite” “char” and “charoff” in the text blocks and footnotes.
• Form D validation and processing will be updated to allow filers to indicate if they have solicited sales in foreign countries and to disseminate state and country description in addition to the state and country code.
• The EDGARLite templates for Forms TA-1 and TA-2 are being updated to change the OMB expiration date to be “April 30, 2012” and “June 30, 2012” respectively.

The filer manual is also being revised to address minor changes previously made in EDGAR. On February 8, 2010, EDGAR Release 10.0 introduced the following changes:

• Submission form types 10KSB and 10KSB/A were removed from the EDGARLink Template 3.
• An effective date of February 28, 2010 was set for the use of 8-K Item 5.07 (Submission of Matters to a Vote of Security Holders) on submission form types 8-K, 8-K/A, 8-K12B, 8-K12B/A, 8-K12G3, 8-K12G3/A, 8-K15D5, and 8-K15D5/A (See Release No. 33-9089).

Download the DRAFT EDGAR Filing Manual (Volume II) EDGAR Filing (Version 14)