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SEC Ownership Filings course - Table of Contents

    How to use this course

Course Introduction
    Course Objectives

Section 1 - Introduction to Ownership Processing
    Section Objectives
  Introduction and Background
    Electronic Ownership Filings - Background
    Recent Rules and Regulations
    What is Ownership Processing?
  The OnlineForms Website
    Preparing to access the OnlineForms website
    File Form Id Application
    Filing Form ID Application
    Receipt of CIK
    Access Codes
    Generating Access Codes
    Accessing the OnlineForms website
    Accessing the OnlineForms Website
    Reasons Why Access to EDGAR may be denied
    The EDGAR OnlineForms menu
  Forms 3, 4, and 5
    Ownership Forms and Insider Transactions
    Form Types
    Special Processing of Ownership Submission Types
    Ownership Filing Format
    Methods of Submitting Ownership Filings
    Online Forms Procedure
    A Closer Look at Ownership Forms
    Important Notes to Consider When Preparing a Submission
  Section 1 Quiz

Section 2 - Online Ownership Submissions
    Section Objectives
  Getting Started
    Pre-Submission Work Checklist
  Carrying out a Submission
    Select Ownership Submission Form Type
    Assemble Top Part of the Form
    Assemble Middle Part of Form
    Assemble Bottom Part of Form
    More about Footnotes
    The Footnotes Page
    Add and Edit Footnotes
    Verify and Edit Form
    Verify and Edit Form
    Insider Confirmation/Correction
    Edit Mailing Address
    Attachments
    Upload an Attachment
    Transmit Submission
    Print and Transmit Submission
    Accession Number and Submission Acknowledgement
  Forms 4 and 5
  Section 2 - Quiz

Section 3 - Attachments to Submissions
    Section Objectives
  Types of Attachments
  HTML Attachments
    What is HTML?
    Preparing HTML Documents for submission
    Validating an HTML document
    More on Attaching HTML and Graphics
    Paper Exhibits
  Section 3 Quiz

Section 4 - Filer-prepared XML Submissions
    Section Objectives
  Introduction
    Background
    What is XML?
    What is Ownership XML?
    Why file in XML?
    How to make an XML file
    Transmitting Filer-prepared Ownership XML Submissions
    Transmit Ownership XML as a Test Submission
    Transmit as a LIVE Submission
    Transmission Results
    Retrieving and Editing Data
    Access Retrieve/Edit Company and Submission Data page
    Retrieving Submission Information
    Retrieve Submission Information
  Section 4 - Quiz

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