SEC and EDGAR filing issues FAQsPinned
Below are some commonly asked questions about submitting a filing to the SEC EDGAR site. To stay apprised of any filing issues or announcements, we encourage you to bookmark the EDGAR News & Announcements page and subscribe to our Workiva Status page. Please reach out to our Workiva Customer Support team should you have any issues.
My filing posted multiple times. How do I get that resolved?
A: Contact the SEC at 202-551-8900. The EDGAR - How Do I page also provides a detailed process to get the duplicate filings removed.
My live filing is just spinning. Should I refresh?
A: No, you should let it continue. If you refresh, the system may submit a second live filing, which would result in a duplicate filing being posted. You can, however, close out of your browser or log out.
Can I live file if my test filing wasn't accepted yet?
A: You can always go directly to live filing and skip over test filing. However, if you do not have an accepted test filing or a response from the SEC, there are risks involved, such as un noticed errors, potential rejection of the live filing, etc.
I have an email from the SEC accepting my test filing but Workiva still shows my filing spinning, can I live file?
A: Yes. If there are no errors on your test file, you should be okay to attempt to live file.
I was supposed to live file yesterday, do I need to update my filing date to today or can I leave it as yesterday, since the selected filing date has passed?
A: You will need to change the date to the current date to live file and request a filing date adjustment from the SEC https://www.sec.gov/edgar/filer-information/how-do-i. Sometimes, the SEC will backdate en masse, but there is no guarantee they will do this. You will want to work with the SEC directly on adjusting the date if need be.
Why was another filing service able to submit a filing but Workiva will not complete?
A: Filing issues seen in the past have appeared to be related to the processing of filings that had been received. This occurs on the SEC's server side. This behavior has not been consistent, and some filers (including those using Workiva) were able to complete their filings. The SEC has multiple servers and some servers may send filings through while others may not.
To validate if the issue is intermittent you can view the latest filings to determine if others have successfully posting.
I've submitted a test and/or live filing and received accession numbers, but I'm still seeing "Awaiting Response" in Workiva. How long will it take to be confirmed so they can preview before live filing?
A: The delay seen in Workiva stems from a poor response from the SEC's servers. Those servers are working through a large backlog of filings and it will take time to process. Unfortunately, we don’t have a timeline for how long this process takes, but we are in process of updating the Workiva platform to better clear up those “Awaiting Response” messages.
Where can I validate the issue is stemming from an SEC issue or outage?
A: You can visit the SEC Announcements Page which will often have a delayed posting from the time of the actual issue being identified.
Should I directly change dates within our filing document?
A: You should consult your legal counsel to determine any changes with your document filing date.
When should I call the SEC?
A: You should call for specific questions related to your filing, to backdate filings, or questions around late submissions. For these cases, call (202) 551-8900 and choose option 3. For filing fee questions, call the SEC Fee Unit at 202-551-8989.
How will I get updated when the issue is resolved? Do I need to call or email Support to check?
A: You can check and subscribe to the Workiva Status page for updates and resolution. If you have already made a report with Workiva Customer Support or your CSM, you will receive an email once the incident is resolved from Workiva Support.
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