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Answers to Frequently Asked Questions (FAQs)

Q:	How can I start receiving e-mail notices of new filings?
A:	1:  If you have not signed up for our service, you must first Sign Up as a New User. 2:  Once signed up, if you are not signed in, you must Sign In with your e-mail address. 3:  Once signed in, search (from either our Home page or our Search page) for the U.S. or Canadian company, institution or individual that you want to receive new-filing notifications for.  On the search-results page, find the name of the U.S.-filing (  ) or Canadian-filing (  ) registrant that you are interested in, and click on it so that you go to their Registrant page. 4:  In the Filings section of their Registrant page, there is a checkbox next to “E-Mail” which you toggle to turn on, or off, new-filing notifications for all filings involving that single registrant.  For example, click here to see the checkbox in the Filings section of Microsoft’s Registrant page. 5:  Repeat steps 3 and 4 for each registrant you are interested in. 6:  If you want notifications for particular Filing-Types for all registrants, request them by going to your User Info page and clicking on the New-Filing E-Mail Notification (by Filing-Types) link. Note:  Your e-mail reader / system / service must be configured to accept mail from “SEC Info” (sender “Anonymous” @ domain “secinfo.com”, via server “po.secinfo.com”).  If you use a mail forwarder, it must support the Sender Policy Framework (SPF), a spam-prevention standard used by Google, the SEC and us, among others, or Microsoft’s Sender ID, a similar protocol used by eBay, PayPal and us, among others.  We do not yet use Yahoo!’s DomainKeys / DKIM.

Q:	How can I stop receiving e-mail notices of new filings?
A:	The bottom of each notice contains a link that you can click on which will do one of three things: 1:  Take you to our Not Found page, if your e-mail reader truncated or broke the link in the e-mail notice.  In this case, you will have to manually copy & paste all of it into your browser. 2:  Automatically turn off all new-filing notifications, if you have never signed up for our service (but someone else in your organization requested that you receive the new-filing notifications). 3:  Take you to your New-Filing E-Mail Notification (by Registrants) page, where you can manually turn them off for each registrant.  This page, for users who have signed up, requires that you be signed in.  You can also get to this page at any time while you are signed in by going to your User Info page and clicking on the New-Filing E-Mail Notification (by Registrants) link.  If you are getting all notices related to one or more specific Filing-Types, then you must click on the New-Filing E-Mail Notification (by Filing-Types) link and turn them off on that page.

Q:	My e-mail address has changed.  How can I update it for signing in here?
A:	Sign In with your old e-mail address.  Then, click on your name or User Info at the top.  On your User Information page, click on “Change Your User Information”, and update it.

Q:	Can a company put a direct link on their site to their info on your site?
A:	Yes, please do so.  Just follow these simple steps: 1:  Sign In to our service and find the Registrant page for your company. 2:  When you get to your company’s Registrant page, note the URL in the Address/Location line of your Web browser.  (Using Microsoft as an example, the URL for its Registrant page is: http://www.secinfo.com/$/SEC/Registrant.asp?CIK=789019.) 3:  Copy the URL for your Registrant page (with your SEC/CSA CIK number) and paste it into a link at your site.  The link will look something like this (using Microsoft as an example): <A HRef="http://www.secinfo.com/$/SEC/Registrant.asp?CIK=789019"> SEC Info</A> In lieu of just SEC Info as your link text, you can say whatever you want for users to click on, provided that somewhere in the link text it says “SEC Info” and/or “www.secinfo.com”.  Alternatively, you could use our logo, in place of the “SEC Info” text, with this image link: <A HRef="http://www.secinfo.com/$/SEC/Registrant.asp?CIK=789019"> <Img Alt="SEC Info" Width=115 Height=42 Border=0 Src="http://www.secinfo.com/Images/SECinfo.115x42.gif"></A>

Q:	Who must use EDGAR/SEDAR to file with the SEC/CSA?
A:	Beginning in 1996, all U.S. companies that report to the SEC are subject to the SEC’s EDGAR electronic filing requirements.  Beginning in 1997, all Canadian companies that report to the CSA are subject to the CSA’s SEDAR electronic filing requirements.  Not only the company’s own filings, but also most third-party filings with respect to that registrant, have to be filed electronically.  Only a few specific filings (such as Form 144 in the U.S.) are exempt from mandated electronic filing.  We only publish filings that are made electronically.

Q:	Why can’t I find foreign companies traded on NASDAQ in the database?
A:	Foreign private issuers and foreign governments are not mandated to file on EDGAR, but may do so voluntarily, provided that the form/Filing-Type is available on EDGAR.

Q:	How can I correct or delete information that is in your database?
A:	Corrections:  If it’s a correction to your general Filer information, such as your name / address / phone, or some filing-specific piece of information (a filing descriptor), you or your Filing Agent must, under securities laws, directly contact EDGAR Filer Support (at 1-202-551-8900) and/or the SEDAR Help Desk (at 1-800-219-5381) and ask the SEC/CSA to correct the information in their official databases.  We cannot, pursuant to SEC/CSA rules and regulations, change their databases for you.  If the SEC/CSA corrects a filing descriptor, such as a “filed as of” or an “effectiveness” date, we will note that at the top of each document and exhibit in the filing.  We faithfully publish everything that has been made public from their databases, so any data correction that is made by the SEC/CSA will automatically get reflected in our database, whether or not you requested the correction.  (A data “Correction” is different than a filing “Deletion”.) Deletions:  SEC filings are forever in the “public domain” once they are filed and disseminated, whether via paper or electronically, even if the SEC subsequently deletes them from its own Web site.  More precisely, it is the information in them that is forever in the public domain.  For many reasons, ranging from public policy to practical considerations, there is no Federal or state law, rule or regulation that does or even could mandate the absolute deletion of SEC filings or any of their contents.  Since filings are basically collections of information, where the filing’s computer file is just the delivery package, any effort to delete that delivery package is meaningless after the information in it has been sliced & diced and copied into various formats and representations by us and others and made public.  As such, an EDGAR deletion notice is informational only, simply communicating that the SEC does not consider the filing valid from a securities-law perspective, so some sites ignore it and others don’t.  The SEC makes clear the concept of “Filer beware” with respect to this — ask any Filing Agent.  It is also important to recognize that the EDGAR system operates independently of and separately from all Web sites, whether it’s the SEC’s own site or ours or any others (including search engines), so each site has to establish its own policy with respect to deletions.  Our policy is that any deletion designation made by the EDGAR system will be noted in, but not reflected in, our database, and noted at the top of each document and exhibit in the filing.  Therefore, our site may be the only functional one that provides a complete history of everything that has been filed.  As a technical matter, deleting something from our system would “break” it, resulting in broken links and “not found” errors, so we don’t delete anything because of our unique cross-linking complexity.  Even if we could delete a filing’s computer file just like the SEC site and other simple sites do, copies of it would still be in the caches of the dozens of search engines that archive our site.  (We can’t do filing “Deletions”, but we can do text “Redactions”.) Redactions:  We cannot delete information, as stated above, but we may redact (“black out”) text in certain situations.  If an SEC filing contains sensitive or personal information, such as Social Security Numbers (see below), we may redact that information for a fee.  We charge for this service because it involves a lot of work.  Our price to modify an individual document or exhibit is usually $100 for a single change, and we may make a large number of changes to an individual document or exhibit for as little as $2 per change (beyond the initial $100-per-document/exhibit minimum).  The price to be negotiated will depend upon the amount of work involved.  We will change all of the basic and alternative formats that we have for each document or exhibit (besides the .html file, there may be .txt, .pdf, .rtf, .doc, .csv, .xls, .xml, .xbrl, .sgml, et al. files), plus any relevant database entries and internal search engine indexes.  Redactions will only be made for the Filer or its/his/her agent (officer, attorney or Filing Agent), because other parties have no “legal standing” to affect changes to a Filer’s filings, even if they are referenced therein.  Any changes we make will automatically get propagated to the dozens of search engines that index our site.  We can also update the original filing at the SEC for you, usually for an additional $250, by getting it deleted there and re-filing a version of it that is the same except for the redacted text.  To make a redaction request, please use our Redaction Request page, not the form up above. Social Security Numbers (SS#s):  SEC filings and their contents, including SS#s, are governed by Federal securities laws in effect when the filings are placed in the public domain per SEC rules and regulations (see Deletions above).  But even though various SEC forms mandated, encouraged or allowed the disclosure of SS#s, we began redacting them upon request in June 2006, a full year before the SEC changed its system.  SS#s in filings made after June 2007 were and are now automatically redacted by the SEC, but only if they’re formatted in the hyphenated 3-2-4 style (###-##-####) and not as just digits.  (We are proud to note that when the SEC updated its system, it copied our redaction procedure of replacing SS#s with “###-##-####”.)  So, if you have found an SS# on our site, it is because the SEC form or document that was filed before June 2007 either required or allowed the disclosure of the SS# at the time it was filed.  Although some States have recently passed laws with respect to SS#s, those laws always defer to relevant Federal laws so that there is no ambiguity.  Our site therefore renders the SEC filings exactly as they were filed, in conformance with Federal laws and the original intent of the Filer or Filing Agent, unless we have received a subsequent Redaction Request (see Redactions above). SS#s and Search Engines:  If you found an SS# on our site by using a search engine, it is probably also on 20± other sites that subscribe to the SEC’s filing dissemination system, but you may not realize it nor find those other sites.  The reason you may have found the SS# only on our site and not on those other sites is because the search engines index our site much more than they do those sites, due to the billions of unique links that our software has added to the documents.  Those links make us the best SEC filing research site, and as a side effect allow the search engines to “dig deeper” when indexing us.  For example, click on these links to compare how many pages Google has indexed from these sites:  SEC Info, EDGAR Online, 10-K Wizard and the SEC.  Redacting an SS# from our site will cause it to automatically be removed from the search engines.