Adding Series and Class (Contracts) Information – Overview

Note: Using series and class identifiers becomes mandatory on February 6, 2006. After that time, the website can only be used to update current information and will no longer accept registrations. If a company fails to register and obtain identifiers prior to the effectiveness date, they will be unable to file until they submit a registration statement (485A/B) to request the identifiers.

Navigating to the Series and Classes (Contracts) Information Page

You can get to the Series and Classes (Contracts) Information page to enter series and classes (contracts) information from the Retrieve/Edit Company and Submission Data page, on the EDGAR Filing website(
( These steps will get you to the page:


  1. Login to EDGAR
  2. Click on Retrieve/Edit Data under the category “Information Exchange” on the EDGAR menu on the left side of the EDGAR Welcome page.
  3. The Retrieve/Edit Data page appears and prompts you for your CIK and CCC information. This CIK is the one with which the series and classes (contracts) entered later will be associated. Steps:
  • Enter your CIK in the CIK field and press Tab
  • Enter your CCC in the CCC field.
  • Click on the Continue button
  1. The Retrieve/Edit Company and Submission Data page appears. Click on the Enter Series and Classes (Contracts) Information option to get to the page that supports the entry of series and class data.

Enter Series and Classes (Contracts) Information Page


Only S/C Funds will need to enter series and class (contract) information. S/C Funds are filers whose last registration statement and/or post-effective amendment filing was on one of the following forms:

  • Form N-1A
  • Form N-3-
  • Form N-4
  • Form N-6


If your investment company is already known in EDGAR as one of the above, EDGAR will display the Series and Classes (Contracts) Information page on which you can begin to enter information. If the EDGAR system does not recognize the CIK as an S/c Funds type, a preliminary page will appear to in which to verify that the filer needs to enter Series and Class (Contracts) information. That screen is shown on the next page.

Click on the Continue If CIK Meets the Above Criteria button and the Series and Classes (Contracts) Information page will appear, where you can modify your company type as shown on the following page

To update your company type, click the Modify Company Type button to edit the Investment Company type as shown on the next page:

Series and Classes (Contracts) Information Page Overview

The Series and Classes (Contracts) Information page is the central page you will use to build the data for series and classes (contracts) and to obtain your identifiers. Most buttons on this page will cause subsequent pages to be displayed to collect information. As the information is collected, you will return to this page where the new information is
displayed. The page has two sections:

    • The first section is used to display and, if necessary, modify your Investment Company Type
    • The second section is used to collect new and changed series and class (contract) information.

The second section of the Series and Classes (Contracts) Information page provides the following functions:


  • Viewing entered series and class (contract) information
  • Adding new series or class (contract) information
  • Modifying series and class (contract) information
  • Deleting series and class (contract) information (un-submitted items only)
  • Printing the page
  • Verifying/submitting series and class (contract) information


When you are beginning to enter your series and class (contract) data, there will be little or no information in this second section. After all the information has been collected, you can have it verified and submitted by pressing the Verify/Submit Changesbutton

The following are samples of the acceptance messages returned by the EDGAR system after adding series and class (contract) information in the filing database. The Form Type is SCUPDAT which means series-class update and is generated by the EDGAR filing system.