How to Digitize Your Documents into the SEC’s EDGAR© System and Submit Them

Submitting documents through Capital First Group to the U.S. Securities and Exchange Commission’s Electronic Data Gathering, Analysis, and Retrieval system (EDGAR©) is straightforward, cost-effective, and completely secure. Our platform is designed to ensure full traceability of responsibility for every filing you make. We guarantee that your documents will be filed on time and in strict compliance with the SEC’s requirements—or you owe us nothing.

We strive to deliver the highest quality service to our clients. To that end, we have established a simple, streamlined process for digitizing your documents, entering them into EDGAR©, and quickly and securely transmitting them to the SEC.

Below is a brief overview of the steps involved in using Capital First Group’s EDGAR© filing service to digitize, proof, and submit your EDGAR© project:

  1. Send Us Your Documents
    Email your documents as attachments to our filings department. Please include the following information—and any special instructions—in your message so we can process your request without delay:

    • Subject: Filer’s name and SEC form type

    • Phone: Filer’s contact number

    • Filer Codes: Central Index Key (CIK) and Company Code (CCC), if Capital First Group has not filed for you before

    • Exchange: The securities exchange on which you trade

    • Filing Date: The date by which you must submit to the SEC

    • Service Level: Conversion turnaround (standard 24 hours, 12 hours, or 6 hours)

    • Additional for Forms 13D, 13G, 3, 4, and 5: Target company’s CIK, name, IRS number, and exchange

    If you are a new client of Capital First Group, please let us know so we can set you up in our system.

  2. SEC Filing Fees
    Certain filings require payment of SEC filing fees according to the form’s schedule. You can choose “Filing Fee Filer” on our fee-payment options tab. Use our fee calculator to determine the exact amount due.

  3. Proofing
    Once your documents have been converted to EDGAR© format, we will email the proof to your designated EDGAR© contact. You must review and confirm the digitized filing within the allotted timeframe, noting any changes or additions needed. You may submit edits in one of three ways:

    • Email: Send a marked-up file with tracked changes

    • Fax: Use the toll-free fax number shown in the email body and on the PDF cover sheet

    • Phone: Reserved for urgent matters only

  4. Approval and Test Submission
    After we receive your approval of the final, digitized EDGAR© file, we will perform a test submission to ensure it can be formally filed. Once testing is successful, we will, at your instruction, formally submit the project to the SEC’s EDGAR© system.

    Important: To guarantee timely filing, we require written authorization at least one hour before the intended formal submission time. We accept authorization via email.

  5. Confirmation
    When the SEC confirms acceptance of your submission, we verify receipt on our end and forward the SEC’s acceptance notification to you by email.

  6. Archiving
    We retain all original documents, digitized EDGAR© projects, and correspondence with the SEC in our database for a minimum of two years, accessible to you at no charge. Our databases are backed up daily and weekly, with hard-copy backups stored off-site.

Additional Information

  • All graphics in HTML files must be saved as .GIF or .JPEG, including any generated in Excel or Word. If your filing contains embedded graphics or financial tables, you must also send the original files separately; we do not convert or reformat graphics or alter their quality or resolution.

  • Due to HTML programming limitations, converted files may not appear identical to the original, despite our best efforts.

  • Embedded financial tables require special handling. Capital First Group requires you to send the original spreadsheets (e.g., Excel files) along with your EDGAR© filing.

  • EDGAR© accepts electronic filings Monday through Friday, 6:00 AM–10:00 PM Eastern Time, excluding federal holidays. Filings submitted and accepted before 5:30 PM ET will display the current business day as the filing date. Filings accepted by 10:00 PM ET for certain form types (e.g., Form 16) will also show the current business day as the filing date.