How to EDGAR and File your Documents Resources

How to EDGARize and File Your Documents

EDGAR Filing with M2 Compliance is easy, affordable and secure. Our system is designed to ensure you have accurate accountability of all your filings. We guarantee that your filing will be completed on schedule and in compliance with SEC regulations or its free.

We strive to provide our clients with the best possible service. To accomplish this we have a simple process to EDGARize your document and transmit it quickly and securely to the SEC.

Below is a brief summary of the steps involved in EDGARizing, proofing and filing your EDGAR project using the M2 Compliance EDGAR Filing Service Bureau .

Send Documents

Email your documents to our filing department as an attachment. Please include the following information in your email along with any special instructions so that we may process your request as quickly as possible:

• Subject: Filers name and SEC Form type.
• Telephone: contact information for filer.
• Filer codes: CIK and CCC codes (if not currently on file with M2)
• SROS: Stock Exchange used for trading
• Filing date: Date you must file with the SEC
• Service required: Conversion time (Regular 24hrs, 12hr, 6hr)

Form 13D, 13G, 3, 4 and 5 require the following additional information:Subject Company CIK, Name, IRS Number and SROS .

If you are a new M2 client, please contact us

SEC Filing Fees

When filing fees are required, they must be paid in advance of the filing in accordance with the SEC provisions of the Lockbox Rule (Rule 3a). You can use our fee calculator to determine the amount you will owe.

Review

Once the document is converted to the requested EDGAR format, a proof will be returned via email to the EDGAR contact on file for review within the specified time. Review your EDGARized document and notify M2 Compliance of any changes or additions that are required. All edits should be communicated via email.

Approval

Once we receive your approval of the final EDGARized document, we will Test File the project to ensure it’s ready to be filed. The EDGAR project will then be LIVE Filed with the SEC according to your instructions

Confirmation

Upon receipt of confirmation from the SEC, we independently confirm the acceptance and forward the confirmation notice to you by email or fax.

Archive

All original documents, EDGARized projects and SEC correspondence will be archived in our database for a minimum of 2 years and available to you free of charge upon request. All databases are backed up on a daily and weekly basis with hard copies of all back-ups stored offsite.

Additional Information

• Graphics for HTML files must be saved as .GIF or .JPEG formats including any graphics generated in Excel or Word. If a graphic or financial table is embedded in a document, the original file must be sent as a separate file in addition to your EDGAR document. We will not convert or reformat your graphics including the alteration of quality or resolution.
• Due to the limitations of HTML programming, please keep in mind that although we strive to match the converted document as closely with the original as possible it can never look exactly like the original document.
• Financial tables that are embedded in a document require additional processing. M2 Compliance requires that you send the original financial table (i.e. Excel file) in addition to your EDGAR document.
• The current EDGAR system hours of operation for submitting EDGARized documents electronically are 6:00am – 10:00pm Eastern Time, weekdays, excluding Federal holidays.Files submitted and accepted by EDGAR before 5:30pm Eastern Time will have the current business day’s date. Section 16 filings as well as certain other filings will have the current business day’s date if submitted and accepted by 10:00pm Eastern.