Application for EDGAR Access

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APPENDIX A—FORM ID
FORM ID
APPLICATION FOR EDGAR ACCESS
Persons who respond to the collection of information contained in this form are not required to
respond unless the form displays a current valid OMB control number.
IMPORTANT INFORMATION
Complete Form ID by reference to:
•
•
•

Rules 10 and 11 of Regulation S-T, 17 CFR 232.10 and 232.11;
The requirements set forth in of Volume I of the EDGAR Filer Manual; and
The Form ID General Instructions on this interface.

On Form ID, the applicant must authorize two (2) individuals as account administrators; except
an applicant that is an individual or single-member company must authorize one (1) individual as
account administrator.
•
•

The first account administrator listed on Form ID will be considered the applicant’s EDGAR
point of contact (“EDGAR POC”) should the Form ID application be granted.
SEC staff will attempt to contact the EDGAR POC first but may contact other account
administrators if the EDGAR POC is not available.

Information submitted on Form ID may become public.
•
•

Do not enter personal contact information on Form ID that you do not wish to become
public.
Your Form ID application may be rejected if you submit unsolicited sensitive personally
identifiable information on the form or in any attachments.

Misstatements or omissions of fact in connection with an application for EDGAR access and/or
in a submission on EDGAR may constitute a criminal violation under 18 U.S.C. 1001 and 1030
and/or a violation of other criminal and civil laws. If the SEC has reason to believe that an
application for EDGAR access and/or a submission on EDGAR is misleading, manipulative,
and/or unauthorized, the SEC may prevent acceptance or dissemination of the
application/submission and/or prevent future submissions or otherwise remove a filer’s access to
EDGAR pursuant to Rule 15 of Regulation S-T, 17 CFR 232.15.
If your Form ID application is granted, be aware that EDGAR filers must comply with the rules
and regulations governing access to the EDGAR system set forth in Regulation S-T and the
EDGAR Filer Manual, including but not limited to the following:
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•
•
•

Filers must only provide access to EDGAR to persons or entities authorized by the filer to
take action on behalf of the filer.
Immediately upon determining that a person or entity is no longer authorized to take action
on the filer’s behalf, filers must remove the EDGAR access of that person or entity.
Filers must inform the SEC immediately upon receiving information of any unauthorized
activity in the filer’s EDGAR account. Filers should contact EDGAR Filer Support at (202)
551-8900.

Privacy Act Statement
AUTHORITIES: The information is sought pursuant to 15 U.S.C. 77a et seq., 15 U.S.C. 77aaa et
seq., 78a et seq., 80a-1 et seq., and 17 CFR 232.10.
PURPOSE: The information solicited on this form will be used to determine whether to allow
applicants to make filings on EDGAR, and, where access is granted, to establish and maintain
the filer's EDGAR account
ROUTINE USES: Uses for the information collected can be found in the System of Records
Notice SEC-33: General Information Technology Records. See
https://www.sec.gov/about/privacy/sorn/sec33_sec_general_information_technology_records.pdf.
DISCLOSURE: Providing this information is voluntary. Failure to provide the information
requested on this form, however, may affect the determination whether to allow applicants to
make filings on EDGAR.
PART 1 – APPLICATION FOR EDGAR ACCESS
(To be completed by all applicants)
Is this application for a new EDGAR account or for access to an existing EDGAR account?
□ New EDGAR account (new EDGAR account number, known as a Central Index Key (CIK),
will be issued)
□ Existing EDGAR account (applicant currently has an EDGAR account and Central Index Key
(CIK))
Enter existing CIK account number
__________________________________________________
Indicate the reason the applicant is seeking access to an existing EDGAR account.
□ Broker-dealer or “paper filer” seeks electronic access for the first time in order to file
electronically on EDGAR
□ Filer lost electronic access to its existing CIK account
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□ Applicant is the legal successor of the filer named on the existing CIK account but
did not receive access from that filer
Applicant information
Is the applicant a company or an individual?
Only apply as an individual if you seek an EDGAR account for yourself as a natural person.
All others should apply as a company.
□ Applicant is a company
Enter company’s full legal name: __________________________
Conformed name___________________________ (the name that will appear on public
EDGAR)
□ Applicant is an individual
Enter individual’s full legal name, including middle name:
First name___________________________________________________________
Middle name _________________________________________________________
□ No middle name
Last name ____________________________________________________________
Suffix _______________________________________________________________
Conformed name_______________________________________________________
Applicant type
Select one (1) most relevant applicant type.
Select “Filer” if none of the other applicant types listed below apply.
□ Filer
□ Filing Agent
The “filing agent” applicant type should be selected ONLY if the applicant is engaged in
the business of making submissions to EDGAR on behalf of filers and does not intend to
make live filings on its own behalf on EDGAR. A filing agent that wishes to make live
filings on its own behalf should select the “filer” applicant type.
□ Funding Portal
□ Institutional Investment Manager (Form 13F Filer)
□ Investment Company, Business Development Company or Insurance Company Separate
Account
□ Large Trader
□ Municipal Advisor
□ Nationally Recognized Statistical Rating Organization
□ Non-Investment Company Applicant under the Investment Company Act of 1940
□ Security-Based Swap Data Repository
□ Security-Based Swap Dealer and Major Security-Based Swap Participant
□ Security-Based Swap Execution Facility
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□ Transfer Agent
A “transfer agent” CIK may only be used for submitting transfer agent filings on
EDGAR.
□ Training Agent
A “training agent” CIK may only be used for submitting test filings on EDGAR. This
applicant type is typically selected by a filing agent or third-party EDGAR software
provider that needs a dedicated EDGAR CIK for testing their script or software
configuration interface with EDGAR.
ONLY FOR NON-PUBLIC DRAFT REGISTRATION/OFFERING STATEMENTS
(DRS/DOS)
If a company is applying for EDGAR access to submit non-public draft registration/offering
statements on submission types DRS or DOS, select Yes.
□ Yes
Selecting “Yes” will prevent the new CIK number and EDGAR account information from being
made publicly available on SEC.gov until a public filing is made.
This option is only available for companies who plan to submit submission types DRS or DOS.

Applicant’s mailing address and preferred contact information
The applicant may list its own information, or information for its registered agent, law firm, or
filing agent (collectively, “third-party service provider”) in this section.
□ Address is for a non-U.S. location (do not select if address is for U.S. territory)
Street address (line 1) ______________________
Street address (line 2) (optional) ___________________________
City_________________________________
State/U.S. Territory __________________________
Zip/Postal code (optional for non-U.S. locations)_____________________________
Province/Country _____________________________
Telephone number (optional)_____________________
Violations of Federal or state securities laws
Has the applicant (company or individual) been criminally convicted as a result of a Federal or
state securities law violation, or civilly or administratively enjoined, barred, suspended, or
banned in any capacity (e.g., officer or director bar, prohibition from associating with brokers,
dealers, investment advisers, and/or other securities entities, or bar from participation in certain
industries), as a result of a Federal or state securities law violation?
□ Yes
□ No
If you indicate “Yes,” the SEC staff may contact you to determine your eligibility for EDGAR
access.
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PART 2 – COMPANY APPLICANT INFORMATION
(To be completed only by applicants who are not natural persons)
Company business information
Company's Tax or Federal Identification Number (do not enter Social Security Number)
________
Legal Entity Identifier (LEI), if any _____________
Legal name _________________
Doing business as name, if different from legal name ______________________
U.S. state of incorporation ________
If foreign issuer, country of incorporation _____________
Foreign issuer name, if different than English name used in U.S. _________________ (enter
only English characters)
Fiscal year end (mm/dd) _________________________
Company’s primary website, if any ___________________
Is the company in good standing in its state or country of incorporation? Generally, this means a
company is legally authorized to do business in that state or country and has filed all required
reports and paid all related fees to the relevant jurisdiction.
□ Yes
□ No
Company’s primary business information
This must be the applicant company’s primary business information, or that of the company’s
registered agent. Do not enter the address of the company’s law firm or filing agent.
You must enter the actual physical address; P.O. boxes are not acceptable.
□ Primary business information is the same as the mailing address and preferred contact
information in Part 1. If this box is selected, the relevant information will be added below.
□ Address is for a non-U.S. location (do not select if address is for U.S. territory)
Street address (line 1) ______________________
Street address (line 2) (optional) _____________________________
City _________________________________________
State/U.S. Territory __________________________________
Zip/Postal code (optional for non-U.S. locations) ______________________________________
Province/Country ______________________________________
Telephone number ______________________________

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Single-Member Company? You should select “Yes” if the company only has a single individual
who acts as the sole equity holder, director, and officer (or, in the case of an entity without
directors and officers, holds position(s) performing similar activities as a director and officer).
□ Yes
□ No
PART 3 – PROSPECTIVE ACCOUNT ADMINISTRATOR INFORMATION
(To be completed by all applicants)
Account administrators are individuals authorized by the applicant to manage the
applicant’s EDGAR account on EDGAR should the Form ID application be granted.
Prospective Account Administrator 1
The first account administrator listed on Form ID will be considered the applicant’s EDGAR point of
contact (“EDGAR POC”) if the Form ID application is granted.
SEC staff will attempt to contact the EDGAR POC first but may contact other account administrators if
the EDGAR POC is not available.

Enter full legal name, including middle name
First name _____________________________
Middle name ____________________________
□ No middle name
Last name ______________________________
Suffix _________________________________
Business title/position ____________________
Is Prospective Account Administrator 1 the applicant (for an individual applicant), or an
employee of the applicant or its affiliate (for a company applicant)?
□ Yes
□ No
Provide the full legal name of the prospective account administrator’s employer and the
employer’s CIK, if any. In addition, you must attach to your submission a notarized
power of attorney authorizing the individual as an account administrator to manage the
applicant’s EDGAR account, as set forth more fully in Part 6 of this form.
Employer (full legal name) _______________________________________
CIK of employer (if any) ___________________
Business address and contact information
□ Contact information is the same as the mailing address and preferred contact information
in Part 1. If this option is selected, the relevant information will be added below.
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□ Contact information is the same as the primary business information in Part 2. If this
option is selected, the relevant information will be added below.
□ New information added below
□ Address is for a non-U.S. location (do not select if address is for U.S. territory)
Street address (line 1) ______________________
Street address (line 2) (optional) _____________________________
City _____________________________________
State/U.S. Territory ______________________________
Zip/Postal code (optional for non-U.S. locations)______________________________________
Province/Country __________________________________
Email______________________________
Telephone number __________________________
Violations of Federal or state securities laws
Has the individual being authorized as Prospective Account Administrator 1 been criminally
convicted as a result of a Federal or state securities law violation, or civilly or administratively
enjoined, barred, suspended, or banned in any capacity (e.g., officer or director bar, prohibition
from associating with brokers, dealers, investment advisers, and/or other securities entities, or
bar from participation in certain industries), as a result of a Federal or state securities law
violation?
□ Yes
□ No
If you indicate “Yes,” the SEC staff may contact you to determine your eligibility for EDGAR
access.
__________________________
Prospective Account Administrator 2
Enter full legal name, including middle name
First name _________________________________________________
Middle name _________________________________________________
□ No middle name
Last name ________________________________________________
Suffix _________________________________
Business title/position ____________________________
Is Prospective Account Administrator 2 the applicant (for an individual applicant), or an
employee of the applicant or its affiliate (for a company applicant)?
□ Yes
□ No

Provide the full legal name of the prospective account administrator’s employer and the
employer’s CIK, if any. In addition, you must attach to your submission a notarized
power of attorney authorizing the individual as an account administrator to manage the
applicant’s EDGAR account, as set forth more fully in Part 6 of this form.
Employer (full legal name) ______________________________________
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CIK of employer (if any) _________________
Business address and contact information
□ Contact information is the same as the mailing address and preferred contact information
in Part 1. If this option is selected, the relevant information will be added below.
□ Contact information is the same as the primary business information in Part 2. If this
option is selected, the relevant information will be added below.
□ New information added below
□ Address is for a non-U.S. location (do not select if address is for U.S. territory)
Street address (line 1) ______________________
Street address (line 2) (optional) _____________________________
City ____________________________
State/U.S. Territory _____________________
Zip/Postal code ____________________________(optional for non-U.S. locations)
Province/Country ________________________
Email ___________________
Telephone number ______________
Violations of Federal or state securities laws
Has the individual being authorized as Prospective Account Administrator 2 been criminally
convicted as a result of a Federal or state securities law violation, or civilly or administratively
enjoined, barred, suspended, or banned in any capacity (e.g., officer or director bar, prohibition
from associating with brokers, dealers, investment advisers, and/or other securities entities, or
bar from participation in certain industries), as a result of a Federal or state securities law
violation?
□ Yes
□ No
If you indicate “Yes,” the SEC staff may contact you to determine your eligibility for EDGAR
access.
PART 4 – BILLING INFORMATION
(To be completed only by company applicants and filing agents)
Billing contact for SEC fee account and billing
Enter full legal name, including middle name
First name ________________________________
Middle name _____________________________
□ No middle name
Last name ________________________________
Suffix _________________________________
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Business title/position _______________________
Employer _________________________________
Billing business address and contact information
□ Contact information is the same as the mailing address and preferred contact information
in Part 1. If this option is selected, the relevant information will be added below.
□ Contact information is the same as the primary business information in Part 2. If this
option is selected, the relevant information will be added below.
□ New information added below
□ Address is for a non-U.S. location (do not select if address is for U.S. territory)
Street address (line 1) ______________________
Street address (line 2) (optional) _____________________________
City ____________________________________
State/U.S. Territory______________________________
Zip/Postal code (optional for non-U.S. locations)_____________________________________
Province/Country _________________________________
Email ___________________________
Telephone number ________________________
Violations of Federal or state securities laws
Has the billing contact been criminally convicted as a result of a Federal or state securities law
violation, or civilly or administratively enjoined, barred, suspended, or banned in any capacity
(e.g., officer or director bar, prohibition from associating with brokers, dealers, investment
advisers, and/or other securities entities, or bar from participation in certain industries), as a
result of a Federal or state securities law violation?
□ Yes
□ No
If you indicate “Yes,” the SEC staff may contact you to determine your eligibility for EDGAR
access.

PART 5 – SIGNATURE
(To be completed by all applicants)
An authorized individual of the applicant must sign Form ID.
Refer to the EDGAR Filer Manual, Volume I for the definition of authorized
individual and additional relevant information.
By signing Form ID, the authorized individual authorizes the prospective account
administrator(s) listed on Form ID to manage the filer’s EDGAR account on EDGAR on
the filer’s behalf.
Enter full legal name, including middle name
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First name ___________________________________________
Middle name _________________________________________
□ No middle name
Last name ___________________________________________
Suffix _________________________________
Business title/position __________________________________
Employer_____________________________________________
Business address and contact information
□ Contact information is the same as the mailing address and preferred contact information
in Part 1. If this option is selected, the relevant information will be added below.
□ Contact information is the same as the primary business information in Part 2. If this
option is selected, the relevant information will be added below.
□ New information added below
□ Address is for a non-U.S. location (do not select if address is for U.S. territory)
Street address (line 1) ______________________
Street address (line 2) (optional) _____________________________
City ____________________________________
State/U.S. Territory _____________________________
Zip/Postal code (optional for non-U.S.
locations)____________________________________Province/Country___________________
______________
Email___________________________
Telephone number ________________________
Violations of Federal or state securities laws
Has the authorized individual signing this application been criminally convicted as a result of a
Federal or state securities law violation, or civilly or administratively enjoined, barred,
suspended, or banned in any capacity (e.g., officer or director bar, prohibition from associating
with brokers, dealers, investment advisers, and/or other securities entities, or bar from
participation in certain industries), as a result of a Federal or state securities law violation?
□ Yes
□ No
If you indicate “Yes,” the SEC staff may contact you to determine your eligibility for EDGAR
access.
Authorized individual
signature___________________________________________________
[Notary seal]
Date_______________________________________________________________________
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Is Form ID being signed pursuant to a Power of Attorney?
□ Yes
□ No
Person signing Power of Attorney, if application is made pursuant to a Power of
Attorney. Refer to the EDGAR Filer Manual, Volume I for more information.
Enter full legal name, including middle name
First name ___________________
Middle name _________________
□ No middle name
Last name ___________________
Suffix _________________________________
Business title/position ________________________________
Employer__________________________________________
Person signing Power of Attorney business address and contact information
□ Contact information is the same as the mailing address and preferred contact information
in Part 1. If this option is selected, the relevant information will be added below.
□ Contact information is the same as the primary business information in Part 2. If this
option is selected, the relevant information will be added below.
□ New information added below
□ Address is for a non-U.S. location (do not select if address is for U.S. territory)
Street address (line 1) ______________________
Street address (line 2) (optional) _____________________________
City ____________________________________ ____________
State/U.S. Territory ____________________________
Zip/Postal code (optional for non-U.S. locations)____________________________________
Province/Country__________________________________
Email ___________________________
Telephone number ________________________
Violations of Federal or state securities laws
Has the person who signed the Power of Attorney been criminally convicted as a result of a
Federal or state securities law violation, or civilly or administratively enjoined, barred,
suspended, or banned in any capacity (e.g., officer or director bar, prohibition from associating
with brokers, dealers, investment advisers, and/or other securities entities, or bar from
participation in certain industries), as a result of a Federal or state securities law violation?
□ Yes
□ No
If you indicate “Yes,” the SEC staff may contact you to determine your eligibility for EDGAR
access.
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PART 6 – DOCUMENTS
(To be completed by all applicants)
All filers must upload a notarized Form ID authentication document to EDGAR as a PDF
attachment submitted with your Form ID.
See the EDGAR Filer Manual, Volume I, for more information about the notarized
authentication document.
Other documents to be uploaded in certain circumstances:
• Prospective account administrator(s) not employed by the applicant, including filing
agents and other third parties acting on behalf of the applicant:
 Must upload to EDGAR a notarized Power of Attorney clearly indicating that an
authorized individual of the applicant, as defined in the EDGAR Filer Manual,
Volume I, gives the individual(s) named as a prospective account administrator(s) the
authority to act as the applicant’s account administrator(s) and manage the applicant’s
EDGAR account.
Applicants for access to an existing CIK account:
 Must upload to EDGAR documents that clearly establish the applicant’s authority
over the company or individual whose name currently is listed in EDGAR on the
existing CIK account.

•

GENERAL INSTRUCTIONS
All companies and individuals seeking access to file on EDGAR must refer to Rules 10 and
11 of Regulation S-T, Volume I of the EDGAR Filer Manual, and these instructions.
All applicants must:
(1) Complete and submit Form ID in electronic format on the EDGAR Filer
Management website; and
(2) Create a copy of the completed, electronically submitted Form ID; have an
authorized individual of the filer sign it in the “Form ID: Notarized Authentication”
part in the presence of an official notary public; and upload that authenticating
document to the EDGAR Filer Management website.
Before beginning: Form ID must be completed and submitted by an individual authorized by
the applicant to do so.
•
•

An account administrator is a person authorized by the filer to manage the filer’s
EDGAR account on EDGAR on behalf of the filer.
Each applicant must identify one or more prospective account administrator(s) that the
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•

applicant authorizes on Form ID. If the Form ID application is granted, the prospective
account administrator(s) listed on Form ID will become the initial account
administrators of the applicant.
Account administrators must create individual account credentials in the manner
specified in the EDGAR Filer Manual. When entering email addresses for individuals
on Form ID, note that email addresses may be visible to other persons with access to the
EDGAR Filer Management dashboard. Accordingly, individuals should enter email
addresses that they intend to use for EDGAR and other business purposes, which may
be different from the email address that they use for personal purposes. Email addresses
that individuals provide to Login.gov for individual account credentials should match
the email addresses they provide on Form ID.

The “EDGAR Filer Manual Volume I: General Information” contains additional requirements
regarding how to file electronically, including how to obtain individual account credentials,
authorize account administrators, and use the CIK and CCC.
Note that information submitted on Form ID may become public. Do not include
personally identifiable information, such as personal addresses and contact
information that the applicant does not wish to become public.
Misstatements or omissions of fact in connection with an application for EDGAR
access and/or in a submission on EDGAR may constitute a criminal violation under 18
U.S.C. sections 1001 and 1030 and/or a violation of other criminal and civil laws. If the
SEC has reason to believe that an application for EDGAR access and/or a submission
on EDGAR is misleading, manipulative, and/or unauthorized, the SEC may prevent
acceptance or dissemination of the application/submission and/or prevent future
submissions or otherwise remove a filer’s access to EDGAR pursuant to Rule 15 of
Regulation S-T, 17 CFR 232.15.
Complete all items that are relevant to the application. If an item does not apply to the
application, leave that item blank.
For assistance with procedural and technical questions about electronic filing or substantive
questions, see the “EDGAR Filer Manual Volume II: Section 2.3.4 (Getting Help with
EDGAR).
PART 1 — APPLICATION FOR EDGAR ACCESS
(To be completed by all applicants)
Indicate whether EDGAR access is being requested for a new CIK account or an existing CIK
account. If access is being requested for an existing CIK account, indicate the basis for the
request—whether the applicant is a broker-dealer or “paper filer” who wants to start filing
electronically on EDGAR, lost electronic access to their CIK account, or is the legal successor of
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the filer named on the existing CIK account but did not receive access from that filer. A filer
that has lost electronic access because it failed to satisfy annual confirmation requirements or
because its account administrators are no longer available should select the “lost electronic
access” option.
If the applicant is applying for access to an existing CIK account, some of the filer’s currently
publicly available corporate and contact information will be prepopulated into Form ID. That
information can be updated on Form ID, but doing so will not update the filer’s information in
EDGAR (other than the filer’s account administrator information). Changes to the filer’s
corporate and contact information must be made in EDGAR after the applicant’s Form ID
application is granted. However, filers who are broker-dealers that obtained an EDGAR account
by submitting a Form BD to FINRA would need to update their information with FINRA
directly. Broker-dealers that have made a full withdrawal of their registration, by submitting a
Form BDW that has been accepted, should apply for a new EDGAR account instead of applying
for access to the existing EDGAR account associated with the withdrawn registration.
Applicants should identify themselves as individuals or companies.
Provide the applicant’s full legal name in English. Note that the applicant’s name will be
automatically conformed following submission to meet EDGAR standards. Specifically:
1. Leading and trailing blank spaces will be removed. Any embedded sequences of two or
more spaces will be replaced with a single space.
2. For companies, the following words will be removed if they are the first word of the
name:

A
An
The

3. For companies, the following text substitutions will be applied to all words except the
first:
Original Text
Conformed Text
Company
Co
Corporation
Corp
Incorporated
Inc
Incorporation
Inc
And
&
4. For companies, the following substitution will be applied if the word is neither the first
in the name, nor is immediately followed by the word “Partnership”:
Original Text
Conformed Text
Limited
Ltd
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5. For individuals, the name components (“Last,” “First,” “Middle,” and “Suffix”) will be
combined left-to-right (separated by spaces) into a single field and truncated at 150
characters.
6. For individuals with a suffix, the following text substitutions will be applied:
Original Text
Conformed Text
Junior
JR
Senior
SR
Select one (1) applicant type to indicate whether the applicant will send electronic submissions
as one of the listed filer types.
Indicate whether the filer is applying for EDGAR access to submit non-public draft
registration or offering statements on submission type DRS or DOS. If so, the applicant’s new
CIK number and EDGAR contact information will not be listed on the public EDGAR
company database until the applicant makes a public filing.
Provide the preferred mailing address and contact information for the applicant. A company
applicant should provide information for the department, unit, or group most directly responsible
for the filer’s EDGAR submissions. This may be the applicant’s registered agent, law firm, or
filing agent. In that case, identify them in the mailing address and contact information, but do not
include any specific individuals by name or any personally identifiable information that you do
not want to make publicly available because the mailing address and contact information will
generally be publicly available.
Indicate whether the applicant has been criminally convicted as a result of a Federal or state
securities law violation, or civilly or administratively enjoined, barred, suspended, or banned in
any capacity (e.g., officer or director bar, prohibition from associating with brokers, dealers,
investment advisers, and/or other securities entities, or bar from participation in certain
industries), as a result of a Federal or state securities law violation.
PART 2 —COMPANY INFORMATION
(To be completed only by applicants who are not natural persons)
Provide the applicant’s tax or Federal identification number, the number issued by the
Internal Revenue Service. (This does not apply to individuals. Accordingly, do not enter a
Social Security number.) If an investment company applicant is organized as a series
company, the investment company may use the tax or Federal identification number of any
one of its constituent series. Applicants that have applied for but not yet received their tax
or Federal identification number and foreign applicants that do not have a tax or Federal
identification number must include all zeroes.
Provide the applicant’s legal entity identifier (LEI), if any.
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Indicate whether applicant is in good standing in its state or country of incorporation.
Generally, this means a company is legally authorized to do business in that state or
country and has filed all required reports and paid all related fees to the relevant
jurisdiction.
Provide the filer’s state of incorporation and fiscal year end. Select “none” for state of
incorporation and “N/A” for fiscal year end if the filer has not incorporated. Foreign filers
should also include their country of organization. If the filer’s fiscal year does not end on
the same date each year (e.g., falls on last Saturday in December), the filer must enter the
date the current fiscal year will end.
Provide the company’s primary website, if any.
Provide the applicant company’s primary business information or that of the company’s
registered agent. Do not enter the address of the company’s law firm or filing agent.
Indicate whether the filer is a single-member company. This refers to a company that only
has a single individual who acts as the sole equity holder, director, and officer (or, in the
case of an entity without directors and officers, holds position(s) performing similar
activities as a director and officer).
PART 3 — PROSPECTIVE ACCOUNT ADMINISTRATOR INFORMATION
(To be completed by all applicants)
Identify the individuals being authorized as prospective account administrator(s) who will
manage the filer’s EDGAR account on the filer’s behalf, should the Form ID application be
granted, including the account administrator(s) business title(s)/position(s), address(es), and
contact information. Individual filers and single-member companies must authorize at least one
prospective account administrator. All other filers must authorize two prospective account
administrators on Form ID. Additional account administrators may be added through the Filer
Management dashboard, should the Form ID application be granted.
For each individual being authorized as a prospective account administrator, indicate whether
the individual has been criminally convicted as a result of a Federal or state securities law
violation, or civilly or administratively enjoined, barred, suspended, or banned in any capacity
(e.g., officer or director bar, prohibition from associating with brokers, dealers, investment
advisers, and/or other securities entities, or bar from participation in certain industries), as a
result of a Federal or state securities law violation.
If an individual being authorized as a prospective account administrator is not the applicant (in
the case of an individual applicant), or an employee of the applicant or its affiliate (in the case
of a company applicant), disclose that fact and provide the name and CIK (if any) of the
prospective account administrator’s employer. In addition, a notarized power of attorney
authorizing the prospective account administrator must be attached in Part 6.
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For more information on account administrators, see Rules 10 and 11 of Regulation S-T and
Volume I of the EDGAR Filer Manual.
PART 4 — BILLING INFORMATION
(To be completed only by company applicants and filing agents)
Billing information is used if questions arise related to account and billing matters, such as:
1.
2.
3.

Accounts activity statements
Account receivable letters
Refund questions

Identify the individual who should receive account information and/or billing invoices from the
SEC and include their email address. Ensure the accuracy of the email address and maintain an
accurate, active email address in the EDGAR Filing website. EDGAR will send communications
to the email address if there are questions pertaining to the account and billing information, and
failure to maintain an accurate, active email address could result in failure to receive EDGAR
account statements.
Indicate whether the billing contact has been criminally convicted as a result of a Federal or
state securities law violation, or civilly or administratively enjoined, barred, suspended, or
banned in any capacity (e.g., officer or director bar, prohibition from associating with brokers,
dealers, investment advisers, and/or other securities entities, or bar from participation in certain
industries), as a result of a Federal or state securities law violation.
PART 5 — SIGNATURE
(To be completed by all applicants)
If the applicant is not a natural person, indicate the capacity in which the authorized
individual signs the Form ID on behalf of the applicant (business title/position). The
authorized individual must be an individual with the authority to legally bind the applicant,
or an individual with a power of attorney from an individual with the authority to legally
bind the applicant for purposes of Form ID.
If the applicant is an individual, the applicant must sign the Form ID and should list their
business title/position as “applicant,” unless the applicant executes a notarized power of attorney
authorizing a third-party individual to sign the Form ID on the applicant’s behalf.
Indicate whether the authorized individual signing the Form ID has been criminally convicted as
a result of a Federal or state securities law violation, or civilly or administratively enjoined,
barred, suspended, or banned in any capacity (e.g., officer or director bar, prohibition from
associating with brokers, dealers, investment advisers, and/or other securities entities, or bar
from participation in certain industries), as a result of a Federal or state securities law violation.
Indicate whether Form ID is being signed pursuant to a power of attorney.
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If another person signs on behalf of the applicant, confirm in writing the authority of that
person to sign by attaching a notarized power of attorney to the Form ID. For more
information on the documentation needed to confirm the authority of a person signing the Form
ID on behalf of the applicant, see Volume I of the EDGAR Filer Manual.
•

•

If relevant, provide the name, address, and contact information for the person signing
the power of attorney. Indicate whether the person signing the power of attorney has
been criminally convicted as a result of a Federal or state securities law violation, or
civilly or administratively enjoined, barred, suspended, or banned in any capacity (e.g.,
officer or director bar, prohibition from associating with brokers, dealers, investment
advisers, and/or other securities entities, or bar from participation in certain industries),
as a result of a Federal or state securities law violation.
For Form IDs signed in connection with a power of attorney document, the person
signing the power of attorney should indicate in the business title/position field: “By
POA from [(a) name of the authorized individual signing the power of attorney (if
opening an account for a natural person); or (b) name and business title/position of the
authorized individual signing the power of attorney (if opening an account for a
company)].” For example, a filing agent signing Form ID pursuant to a power of
attorney from Roger Smith, the Chief Executive Officer of the applicant, could provide
in the business title/position field: “By POA from Roger Smith, CEO.”

The applicant must upload a notarized copy of Form ID and any other required attachments to
the electronic Form ID filing. The Form ID authenticating document must be attached to the
electronic Form ID filing in PDF format. PDF attachments cannot: (i) be blank; (ii) be imageonly; or (iii) contain active contents (Actions, embedded JavaScript, etc.), external references
(Destinations, Hyperlinks, etc.), passwords, or document security controls.
PART 6 — DOCUMENTS
(To be completed by all applicants)
Attach the mandatory notarized authenticating document in PDF format (Form ID authenticating
document). The mandatory Form ID authenticating document must include the following
information:
•
•
•
•

Signature of Authorized Individual
Printed Name of Signature
Title of Person Signing
Notary Signature and Seal

Other documents to be provided with the Form ID must be attached in this part as well,
including power of attorney documents. If an account administrator is not an employee of the
applicant or its affiliates, or if the individual signing Form ID is doing so pursuant to a power
of attorney, a notarized power of attorney must be attached. Do not upload documents
containing potentially sensitive personally identifiable information, such as birth certificates,
driver’s licenses, or passports. Applicants seeking access to an existing CIK must upload
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documents that clearly establish their authority over the company or individual whose name is
currently listed in EDGAR on the existing CIK account. For more information on documents
that may need to be submitted with the Form ID application, see Volume I, section 3, of the
EDGAR Filer Manual.

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