A TEST filing is not an official submission and is not disseminated. Typically, a TEST filing is done in advance of the LIVE filing, to ensure that the submission does not contain errors. We recommend that all projects are TEST filed at least twice – once well in advance of the LIVE filing, to allow time to fix any errors, and again just before the LIVE filing.
Submit Test to SEC
1. Open the project and go to the Transmit to SEC page, then Transmit to SEC tab. Click on the Submit TEST button.
2. Confirm that you want to submit a TEST filing for the displayed project by clicking OK. The submission process will begin and can take anywhere from a few seconds to a couple of minutes to complete, depending on the size and type of documents being transmitted.
3. When the project has been received by the SEC, a Submission Result message will appear. That message will include the Accession Number, which is a unique identifier assigned by the SEC.
The assignment of an Accession Number does not mean that the filing is accepted, only that it is received by the SEC.
Submission Result and Status
4. Click OK to close the Submission Result message. When the Submission Result message closes, you will be directed to the Submission History tab and will see a table showing all submissions of the project to the SEC. The most recent submission will be at the top of the table.
5. Initially the SEC Status will not be known. The status in the last column of the Submission History table will be “Submitted (Get Status).” To retrieve the status, click on the “Get Status” link.
6. If the status is available, it will be revealed in a Submission Status message. The status will either be ACCEPTED or SUSPENDED. If the status is not yet available, it means the SEC has not finished processing the submission. Continue to click the “Get Status” link periodically until the SEC Status is revealed.
7. Close the Submission Status message. If the status is retrieved, the status of ACCEPTED or SUSPENDED will be displayed in the Status column of the Submission History table.
8. To view the SEC Filing Status Notification, click on the ACCEPTED or SUSPENDED link in the Status column of the Submission History table. The notification will open in a separate tab of your browser.
9. Review the TEST Filing Status Notification carefully, looking for all error and warning messages.
- If the SEC status is SUSPENDED, fix the cause of the errors and TEST file again.
- If the SEC status is ACCEPTED but with Warnings, try to fix the cause of the warnings and TEST file again.
- If you need guidance in fixing errors or warnings, request assistance from RDG Filings. Not all warnings must be resolved in order to successfully TEST file. The SEC‘s filer support website provides a comprehensive list of errors and warnings along with recommended solutions.
When to Live File
Once you have a clean TEST filing you are ready to LIVE file. If changes to the documents or EDGAR Submission data occur after your successful TEST filing, it’s good practice to submit another TEST filing before submitting your LIVE filing.
Now you are ready to Proceed with Live Filing.