compliance

EDGAR/SEDAR Resources

You have to pull together content and data from multiple sources. You have your own style. For you, it's about being more than SEC compliant; it's your corporate brand/identity. You could use some extra firepower and guidance through the filing process.

Full service compliance from Bowne means 24-hour access to all of our resources—composing, printing, filing and distribution. We'll assign a project manager who will personally oversee your entire documentation process and coordinate among all the various levels within your organization. From customer service to filing, print, and electronic distribution – we're ready to serve you, every step of the way.

Full Service Filing Option for Section 16

Section 16 Filings via Microsoft Excel® Template
If you prefer Bowne's Full Service Section 16 filing solution instead of our self-filing, Web-based option, BowneFile16 , please complete the templates provided below to file Section 16 documents with the Securities and Exchange Commission via Bowne. We'll take care of the rest for you.

Section 16 Templates

Please validate your templates before returning them to Bowne. (Note: If you have trouble with the validation, please just save your file and forward it to your local Bowne representative; we will take care of the validation.)

Forms 3, 4, 5 (Microsoft Excel® file)
View SEC instructions, access foreign country codes

Please note: This Excel® file contains macros that allow you to easily print the forms. We strongly recommend you Enable Macros when opening the file. For Microsoft Internet Explorer® users, to save the form directly to your computer without viewing it in your browser, right-click on the form title and select Save Target As. Choose the file location and select Save.

MSXML 4.0 Service Pack 2
MSXML 4.0 Service pack 2 is required in order to generate an HTML proof. It is NOT necessary in order to validate your XML document.

Form 144 Templates

Form 144 (Microsoft Excel® file)
Notice of Proposed Sale of Securities (View SEC instructions) PDF

  1. Download the template by clicking on the Form 144 link above.
  2. Complete the form.
  3. Send the form to your local Bowne office for processing and live filing.

EDGAR access codes

All reporting individuals (executive officers, directors and 10% owners) must have their own EDGAR access codes (CIK, CCC, etc.). Before you apply for new codes, it's always a good idea to Search the SEC database for filing codes that may already exist for the insider by entering the reporting person's last name in the "Company Name" field.

For those reporting individuals without a CIK:

  • Log in to the SEC web site here and complete the electronic Form ID (to access the paper Form ID, click here).
  • Click on "Apply for EDGAR Access (New)" and enter the requested information.
  • At the point you are asked to create a Passphrase, be sure you write it down.
  • Once you have submitted the electronic application, you must create and FAX the SEC a notarized "authenticating document" that consists of the same information you placed on the electronic Form ID.
  • Fax the completed form to the SEC at 202-504-2474 or 703-914-4240.
  • The SEC will send you an e-mail that your application has been approved.
  • Once you have this approval notice, return to SEC Web site and proceed to the "Generate Access Codes (New or Replacement)" section of the Web site.

Resources

Sarbanes-Oxley Information
Find out the latest developments and impact of the Sarbanes-Oxley Act of 2002, with commentary, analysis and additional resources.

Learn more.
For more information, please contact your local Bowne Customer Service Representative or find the Bowne office near you.

Securities and compliance resources

Find up-to-date legal and regulatory developments and expert analysis at SecuritiesConnect—Bowne's industry-leading, online resource for securities and compliance-related information.

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