3. INDEX TO FORMS - SEC

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December 2020 3-1EDGAR Filer Manual (Volume II) TO FORMSAs a filer, you will first need to determine whether you must meet your filing obligation via EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for Electronic Filings, outline which filings are mandated as electronic. This means that they must be filed on EDGAR unless there is a case for Temporary or Continuing Hardship. (The rules for each form and hardship exemptions may differ, so please see the regulation for specific information.) Once you determine the form you need to file is electronic, then you need to identify the submission type to use. For each submission type, there are specific tools that you can use. As the EDGAR system has evolved using new technologies, tools have been added, changed, and sometimes updated. There is no longer a single tool for preparing an EDGAR submission. Your guide to the tools is this INDEX . The first INDEX allows you to lookup EDGAR electronic submission types easily if all you know is the submission form type.

filed on EDGAR unless there is a case for Temporary or Continuing Hardship. (The rules for ... the Trust Indenture Act EDGARLink Online EDGARLink Online XML Technical Specification 4, 4/A Statement of changes in beneficial ownership of securities Online Forms EDGAR Ownership

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