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SEC acceptance of filings

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  • Mike

    Thanks for the question, Randy. This is one that we get quite often so I am happy to elaborate a little on the interplay between Wdesk and the SEC.

    After you click the Test or Live file button, the application submits your filing package and at this point your filing is being handled by the SEC’s servers and you should receive an SEC assigned accession number for the filing. At this point your filing package is being processed by the SEC and will eventually be posted. In Wdesk, you could safely close your browser and the filing would still continue.

    In terms of time, this step usually takes only a minute or two but it can take as long as 20 to 40 minutes (or even longer) depending on the size of your filing package, if XBRL is included and the number of filings being processed at that time. As you might expect, the closer you are to the SEC's filing deadlines, the number of filings being processed increases and delays are more likely to occur during these times. 

    It is important to note as well that as soon as the SEC assigns the accession number, Wdesk itself no longer in control of the filing and any delays at this point are on the SEC’s end. Your accession number is visible within Wdesk and is found right below the filing steps.

    Lastly, the Edgar Filing Manual, Vol. II, Sec. 8.6.3, states that if you have received an SEC assigned accession number, it means your filing has been 'transmitted'. They further add that to check your submissions status, you can contact EDGAR Filer Support through email or perform a submission query at EDGAR Online (note that Wdesk automatically performs this query for you as it checks on the status from the SEC as well).

    You can also view EDGAR’s latest filings, which is a real-time view of filings processed and accepted by the SEC. You can further filter it see only 10-Q filings or your own company’s filings as well.

    So generally speaking, to make sure your filing goes as swimmingly as possible we recommend test filing early and for live filings to be mindful of the peak filing dates when the SEC servers will be most busy.

    I hope this helps. Let me know if you have any questions. Here's to another smooth and successful filing in Wdesk. Cheers!

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