SEC filing-review comment case

ScreenSEC › SEC Workflows › SEC filing-review comment case·step 1

Complete the Identity fields. Each value is validated against the schema before the next step unlocks.

• SEC filer (required)

  entityId

  Select the entity that received the SEC staff letter. Use its lowercase-with-dashes id, e.g. acme-corp-hq.

• Filer CIK (required)

  issuerCik

  Enter filer cik.

ScreenSEC › SEC Workflows › SEC filing-review comment case·step 2

Complete the Intake fields. Each value is validated against the schema before the next step unlocks.

• SEC reviewing division (required)

  reviewingDivision

  Enter sec reviewing division.

• Reviewing office named in the staff letter (required)

  staffOfficeName

  Enter reviewing office named in the staff letter.

• Staff letter received at (required)

  staffLetterReceivedAt

  Enter staff letter received at.

• Immutable staff letter artifact ID (required)

  staffLetterArtifactId

  Enter immutable staff letter artifact id.

• Staff contact details artifact ID (required)

  staffContactArtifactId

  Use the office and staff contacts stated in the letter.

ScreenSEC › SEC Workflows › SEC filing-review comment case·step 3

Complete the Filing fields. Each value is validated against the schema before the next step unlocks.

• Reviewed filing form (required)

  referencedFilingForm

  10-K, 10-Q, S-1.

• Reviewed filing accession number (required)

  referencedFilingAccessionNumber

  Enter reviewed filing accession number.

• Reviewed filing filed at (required)

  referencedFilingFiledAt

  Enter reviewed filing filed at.

• Review scope stated or identified (required)

  reviewScope

  Enter review scope stated or identified.

ScreenSEC › SEC Workflows › SEC filing-review comment case·step 4

Complete the Issues fields. Each value is validated against the schema before the next step unlocks.

• The staff letter states a response date (required)

  responseDeadlineProvided

  Enter the staff letter states a response date.

• Response due atoptional

  responseDueAt

  Enter response due at.

• Number of numbered staff comments (required)

  commentCount

  Enter number of numbered staff comments.

• Numbered comment inventory artifact ID (required)

  commentInventoryArtifactId

  Map each staff comment to its owner, evidence, response, and disclosure action.

• Staff requested supplemental information (required)

  supplementalInformationRequested

  Enter staff requested supplemental information.

• Supplemental-information plan artifact IDoptional

  supplementalInformationPlanArtifactId

  Enter supplemental-information plan artifact id.

ScreenSEC › SEC Workflows › SEC filing-review comment case·step 5

Complete the Response fields. Each value is validated against the schema before the next step unlocks.

• Approved disclosure response (required)

  disclosureResponse

  Enter approved disclosure response.

• Disclosure response evidence artifact ID (required)

  disclosureResponseArtifactId

  Enter disclosure response evidence artifact id.

• Related filing-amendment workflow record IDoptional

  relatedAmendmentWorkflowId

  Enter related filing-amendment workflow record id.

• Clarification was requested from SEC staff (required)

  clarificationRequested

  Enter clarification was requested from sec staff.

• Staff clarification communication artifact IDoptional

  staffCommunicationArtifactId

  Enter staff clarification communication artifact id.

• Staff reconsideration was requested (required)

  reconsiderationRequested

  Enter staff reconsideration was requested.

• Reconsideration request and outcome artifact IDoptional

  reconsiderationArtifactId

  Enter reconsideration request and outcome artifact id.

ScreenSEC › SEC Workflows › SEC filing-review comment case·step 6

Complete the Confidentiality fields. Each value is validated against the schema before the next step unlocks.

• Rule 83 confidential treatment will be requested (required)

  rule83ConfidentialTreatmentRequested

  Enter rule 83 confidential treatment will be requested.

• Rule 83 redaction and separate-submission plan artifact IDoptional

  rule83PlanArtifactId

  Enter rule 83 redaction and separate-submission plan artifact id.

ScreenSEC › SEC Workflows › SEC filing-review comment case·step 7

Complete the Review fields. Each value is validated against the schema before the next step unlocks.

• Comment-by-comment response strategy artifact ID (required)

  responseStrategyArtifactId

  Enter comment-by-comment response strategy artifact id.

• Legal review artifact ID (required)

  legalReviewArtifactId

  Enter legal review artifact id.

• Accounting review is required (required)

  accountingReviewRequired

  Enter accounting review is required.

• Accounting review artifact IDoptional

  accountingReviewArtifactId

  Enter accounting review artifact id.

ScreenSEC › SEC Workflows › SEC filing-review comment case·step 8

Complete the Resolution fields. Each value is validated against the schema before the next step unlocks.

• Current filing-review case status (required)

  caseStatus

  Enter current filing-review case status.

• Accepted or pending CORRESP submission record IDoptional

  responseSubmissionRecordId

  Enter accepted or pending corresp submission record id.

• Division review-completion letter artifact IDoptional

  closingLetterArtifactId

  Enter division review-completion letter artifact id.

ScreenSEC › SEC Workflows › SEC filing-review comment case·step 9

Complete the Governance fields. Each value is validated against the schema before the next step unlocks.

• Accountable response lead (required)

  accountableLeadName

  Enter accountable response lead.

• Response governance approval artifact ID (required)

  governanceApprovalArtifactId

  Enter response governance approval artifact id.