SEC Credentials Checklist

Checklist Paper And Pen.If you’re involved in the SEC filing process at a public company, you know that accuracy and time management are critical.  The last thing you want to happen when you’re down to the wire is the inability to file on time simply because you’ve misplaced your filing credentials! Be sure you have all of the credentials on this list handy to eliminate any unnecessary fire drills when you’re up against the clock.

Central Index Key 

Your Central Index Key (CIK) is a number given to your company by the SEC. This figure is used to identify the filings of your company and is typically 10 digits in length. You will need a CIK whether your organization self-files or if you utilize a filing agent.

CIK Confirmation Code

Unlike your public CIK code, your organization will also be given a confidential CIK Confirmation Code (CCC). Your CCC is noted as part of a submission and will be needed for each of the multi-registrants. Frequently, third-party filing agents, if used, maintain the CCC for you and use this code as part of their filing service on your behalf. For those that self-file, either the Corporate Secretary or Legal department of your company likely maintains this information.

Password

Your password is generated by the SEC and expires once a year. Only one password is needed, even for multi-registrants.

PMAC

A company’s Password Modification Access Code,or PMAC, is used to reset a password. This unique code is intended only to authorize a password change and should not be shared.

Passphrase

Passphrase, not to be confused with password, is chosen by the filer. This can be used to reset your CCC and/or password if forgotten, and can also be used repeatedly, even for multi-registrants. A password is needed for self-filers, while those that use a filing agent may not need one. Information on changing your CCC or password can only be done using your existing CCC and password credentials.

Also, keep in mind that on the SEC’s website you can leverage the filer management webpage to update or modify your credentials. Depending on the code you wish to change, filers may be prompted for a notarized signature faxed back to the SEC before a new code can be issued.

And before you hunker down, be sure you have all the resources in our 10-K Survival Kit!