If you need to prepare files for production to the Securities and Exchange Commission, Indexed I/O has you covered. This article walks you through start to finish the settings you should choose when exporting your data for such a production.
If you have any questions during the process or would like to set up a free training, contact us at "Support@Indexed.io". You can review the full set of SEC specifications here.
Once you've processed and reviewed your data, you'll need to customize your export settings. Complete step 1 like normal by selecting the data you want to export, and then move on to step 2 after checking the box that you've reviewed your settings.
On step 2, select output options for TIFFs, NATIVES (always) and TEXT.
Next, select "SEC" under load files, then hit next.
On step 3 you'll choose your bates numbering scheme. Enter the prefix you want, then remove the delimiter value since the SEC requires no spaces or special characters in bates numbers.
Move to step 4 and review your settings, then hit start to kick off your export.
The SEC also requires a cover letter to be included with each production which should include the following information:
a. Case number, case name and requesting SEC staff member name
b. A list of each piece of media included in the production with its unique production volume number
c. A list of custodians, identifying the Bates range for each custodian
d. The time zone in which the emails were standardized during conversion
An example cover letters can be downloaded from the attachments of this article.