EDGARization and EDGAR Filing Services

EDGAR, Electronic Data Gathering Analysis and Retrieval system, performs automated collection, validation, indexing, acceptance, and forwarding of submissions by companies and others who are required by law to file forms with the U.S. Securities and Exchange Commission (SEC). Its primary purpose:

• Increase the efficiency and fairness of the securities market for the benefit of investors, corporations, and the economy
• Accelerates the receipt, acceptance, dissemination, and analysis of time-sensitive corporate information filed with the agency
• Converts parent documents in MS Word, MS Excel, PDF, Word Perfect, etc. into an acceptable SEC EDGAR ASCII or HTML format
• Once EDGARized, the documents can be submitted to SEC via the EDGAR system

What We Offer:

• CAE Solutions offers Conversion, Proofing and Filing services to Investment Management Companies, Public Corporations and Individuals with SEC filing requirements
• Supports all EDGAR Form types, including 485APOS, 485BPOS, 497, N-CSR, N-CSRS, NSAR for Investment Management Companies, 10Q, 10QSB, 10K, 10KSB, 6K, 8K, 13F, 20F for Corporations and Section 16 Filings for Individuals
• Converts documents into an acceptable HTML (version 3.2) EDGAR format and returns a PDF file of the EDGAR submission document for proofing
• Client reviews for accuracy, submits any changes and gives consent to file
• CAE will file the document with the SEC and the client receives confirmation of filing directly from the SEC via E-Mail

What we have done:

• Perform pre-filing conversion, processing and EDGAR filing activities for many prominent clients
• Created a web based software solution that manages the workflow of creating the document with Author, Reviewer and Approver controls, and files automatically with EDGAR with a click of the mouse
• Performed Reverse Conversion on EDGAR filings to capture the content, to facilitate preparation of new documents, going forward, by editing this content
• CAE does not take EDGAR conversion and filing as routine production work. CAE has developed the required specialized accuracy it requires

We consider ourselves among the best in this very narrow specialized field.

EDGAR has been accepting HTML documents as the official filings since 1998, but surprisingly even today no more than 60% filings are in HTML format. It is not considered the format of choice due primarily to difficulty in creating HTML format as opposed to ASCII. Over the years CAE has developed many software tools to help create, convert and file in HTML 3.2 EDGAR format.