Due to the increase in the number and type of people that use the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system to submit filings, on September 1, 2011, the SEC amended the Form ID to include additional applicant types in order to facilitate processing of the form. The new applicant types include:

  • people who currently file on EDGAR but who are not separately listed on Form ID
  • people who currently file forms with the Commission on paper but who may be required to file on EDGAR in the future
  • people who will be required to meet certain new filing obligations under the Securities Exchange Act of 1934, including provisions added by the Dodd-Frank Act

New applicant types and definitions being added to the Form ID include “large trader,” “clearing agency,” municipal advisor,” and “nationally recognized statistical rating organization.” These amendments will allow the Form ID to be assigned for processing based on the type of applicant, including by routing Form ID filings to the appropriate internal office or division.