2017 Merrill Digital Compliance Calendar

SEC and EDGAR filling deadlines including federal holidays.*

*All calendars based on 12/31 FYE

Filing Deadlines SEC/Federal Holidays
  • SEC rules used to identify domestic and foreign compliance deadlines
    Form 10-K Due 60 days following the end of the fiscal year. SEC Rule 33-8644
    NT 10-K Due on the business day after the 10-K due date.
    Late 10-K After filing a NT 10-K, the deadline for the 10-K is extended 15 calendar days.
    Proxy
    Statement
    or 10-K/A
    Proxy due dates can differ greatly, though most are filed in the spring. If your Form 10-K incorporates by reference information into Part III from the proxy statement, you must file the proxy statement no later than 120 days after the fiscal-year end. If you cannot file the proxy statement within that 120-day period, you can file an amended 10-K to include the Part III information; however, that amended 10-K must be filed no later than 120 days after the fiscal-year end.
    Form 10-Q Due 40 days following the end of each fiscal quarter.
    NT 10-Q Due on the business day after the 10-Q due date.
    Late 10-Q After filing a NT 10-Q, the deadline for the 10-Q is extended five calendar days.
    Form 11-K Due 180 days after the end of the retirement plan year. May file in paper or EDGAR.
    NT 11-K Due on the business day after the 11-K due date.
    Late 11-K After filing a NT 11-K, the deadline for the 11-K is extended 15 calendar days.
    Form 13F Due 45 days following the end of each fiscal quarter from institutional investment managers.
    Schedule 13G Due 45 days following the end of the calendar year.
    Form SD (conflict minerals) Due no later than May 31st of each year.
    Ownership Reports
    Form 3 An insider of an issuer that is registering equity securities for the first time under Section 12 of the Exchange Act must file this Form no later than the effective date of the registration statement.
    If the issuer is already registered under Section 12, the insider must file a Form 3 within ten days of becoming an officer, director, or beneficial owner.
    Form 4 Due by the end of the second day after the transaction. Must file in EDGAR.

    If transaction handled by third party who exercises the option on behalf of the filer, the third party has three days to notify the filer of the transaction. The filer then must file by the end of the second day after notification.
    Form 5 Due 45 days after the end of the issuer's/subject company's fiscal year. Must file in EDGAR.
    Foreign Forms
    Form 20-F Due within four months after the end of the fiscal year covered by the report.
    NT 20-F Due on the business day after the 20-F due date.
    Late 20-F After filing a NT 20-F, the deadline for the 20-F is extended 15 calendar days.

  • Filing Guidelines

    For domestic and foreign compliance deadlines, the Securities and Exchange Commission experiences very high-volume filing periods. Most companies have a fiscal year that matches the calendar year, creating a lot of EDGAR filing activity at the same time each quarter. For your convenience, we have identified these SEC compliance deadlines and SEC holidays by filing type above. It is important to submit your EDGAR documents to Merrill as soon as possible during these high-volume periods. This minimizes the need for last-minute conversions and edits, which can jeopardize your filing timeliness.

  • Hours of Operation

    The EDGAR system hours of operation for submitting files are 6:00 a.m. to 10:00 p.m. Eastern Time, weekdays, excluding Federal Holidays.  Files submitted after 5:30 p.m. Eastern (with the exception of Section 16 filings) will receive the next business day's filing date.

  • Holidays and Weekends

    If a filing due date falls on a weekend or SEC holiday, the filing is due on the following business day.

Filing Deadlines SEC/Federal Holidays
  • SEC rules used to identify domestic and foreign compliance deadlines
    Form 10-K Due 60 days following the end of the fiscal year. SEC Rule 33-8644
    NT 10-K Due on the business day after the 10-K due date.
    Late 10-K After filing a NT 10-K, the deadline for the 10-K is extended 15 calendar days.
    Proxy
    Statement
    or 10-K/A
    Proxy due dates can differ greatly, though most are filed in the spring. If your Form 10-K incorporates by reference information into Part III from the proxy statement, you must file the proxy statement no later than 120 days after the fiscal-year end. If you cannot file the proxy statement within that 120-day period, you can file an amended 10-K to include the Part III information; however, that amended 10-K must be filed no later than 120 days after the fiscal-year end.
    Form 10-Q Due 40 days following the end of each fiscal quarter.
    NT 10-Q Due on the business day after the 10-Q due date.
    Late 10-Q After filing a NT 10-Q, the deadline for the 10-Q is extended five calendar days.
    Form 11-K Due 180 days after the end of the retirement plan year. May file in paper or EDGAR.
    NT 11-K Due on the business day after the 11-K due date.
    Late 11-K After filing a NT 11-K, the deadline for the 11-K is extended 15 calendar days.
    Form 13F Due 45 days following the end of each fiscal quarter from institutional investment managers.
    Schedule 13G Due 45 days following the end of the calendar year.
    Form SD (conflict minerals) Due no later than May 31st of each year.
    Ownership Reports
    Form3 An insider of an issuer that is registering equity securities for the first time under Section 12 of the Exchange Act must file this Form no later than the effective date of the registration statement.
    If the issuer is already registered under Section 12, the insider must file a Form 3 within ten days of becoming an officer, director, or beneficial owner.
    Form 4 Due by the end of the second day after the transaction. Must file in EDGAR.

    If transaction handled by third party who exercises the option on behalf of the filer, the third party has three days to notify the filer of the transaction. The filer then must file by the end of the second day after notification.
    Form 5 Due 45 days after the end of the issuer's/subject company's fiscal year. Must file in EDGAR.
    Foreign Forms
    Form 20-F Due within four months after the end of the fiscal year covered by the report.
    NT 20-F Due on the business day after the 20-F due date.
    Late 20-F After filing a NT 20-F, the deadline for the 20-F is extended 15 calendar days.

  • Filing Guidelines

    For domestic and foreign compliance deadlines, the Securities and Exchange Commission experiences very high-volume filing periods. Most companies have a fiscal year that matches the calendar year, creating a lot of EDGAR filing activity at the same time each quarter. For your convenience, we have identified these SEC compliance deadlines and SEC holidays by filing type above. It is important to submit your EDGAR documents to Merrill as soon as possible during these high-volume periods. This minimizes the need for last-minute conversions and edits, which can jeopardize your filing timeliness.

  • Hours of Operation

    The EDGAR system hours of operation for submitting files are 6:00 a.m. to 10:00 p.m. Eastern Time, weekdays, excluding Federal Holidays.  Files submitted after 5:30 p.m. Eastern (with the exception of Section 16 filings) will receive the next business day's filing date.

  • Holidays and Weekends

    If a filing due date falls on a weekend or SEC holiday, the filing is due on the following business day.

Filing Deadlines SEC/Federal Holidays
  • SEC rules used to identify domestic and foreign compliance deadlines
    Form 10-K Due 90 days following the end of the fiscal year.
    NT 10-K Due on the business day after the 10-K due date.
    Late 10-K After filing a NT 10-K, the deadline for the 10-K is extended 15 calendar days.
    Proxy
    Statement
    or 10-K/A
    Proxy due dates can differ greatly, though most are filed in the spring. If your Form 10-K incorporates by reference information into Part III from the proxy statement, you must file the proxy statement no later than 120 days after the fiscal-year end. If you cannot file the proxy statement within that 120-day period, you can file an amended 10-K to include the Part III information; however, that amended 10-K must be filed no later than 120 days after the fiscal-year end.
    Form 10-Q Due 45 days following the end of each fiscal quarter.
    NT 10-Q Due on the business day after the 10-Q due date.
    Late 10-Q After filing a NT 10-Q, the deadline for the 10-Q is extended five calendar days.
    Form 11-K Due 180 days after the end of the retirement plan year. May file in paper or EDGAR.
    NT 11-K Due on the business day after the 11-K due date.
    Late 11-K After filing a NT 11-K, the deadline for the 11-K is extended 15 calendar days.
    Form 13F Due 45 days following the end of each fiscal quarter from institutional investment managers.
    Schedule 13G Due 45 days following the end of the calendar year.
    Form SD(conflict minerals) Due no later than May31st each year.
    Ownership Reports
    Form 3 An insider of an issuer that is registering equity securities for the first time under Section 12 of the Exchange Act must file this Form no later than the effective date of the registration statement.
    If the issuer is already registered under Section 12, the insider must file a Form 3 within ten days of becoming an officer, director, or beneficial owner.
    Form 4 Due by the end of the second day after the transaction. Must file in EDGAR.

    If transaction handled by third party who exercises the option on behalf of the filer, the third party has three days to notify the filer of the transaction. The filer then must file by the end of the second day after notification.
    Form 5 Due 45 days after the end of the issuer's/subject company's fiscal year. Must file in EDGAR.
    Foreign Forms
    Form 20-F A foreign private issuer must file its annual report on this Form within four months after the end of the fiscal year covered by the report.
    NT 20-F Due on the business day after the 20-F due date.
    Late 20-F After filing a NT 20-F, the deadline for the 20-F is extended 15 calendar days.

  • Filing Guidelines

    For domestic and foreign compliance deadlines, the Securities and Exchange Commission experiences very high-volume filing periods. Most companies have a fiscal year that matches the calendar year, creating a lot of EDGAR filing activity at the same time each quarter. For your convenience, we have identified these SEC compliance deadlines and SEC holidays by filing type above. It is important to submit your EDGAR documents to Merrill as soon as possible during these high-volume periods. This minimizes the need for last-minute conversions and edits, which can jeopardize your filing timeliness.

  • Hours of Operation

    The EDGAR system hours of operation for submitting files are 6:00 a.m. to 10:00 p.m. Eastern Time, weekdays, excluding Federal Holidays.  Files submitted after 5:30 p.m. Eastern (with the exception of Section 16 filings) will receive the next business day's filing date.

  • Holidays and Weekends

    If a filing due date falls on a weekend or SEC holiday, the filing is due on the following business day.

Filing Deadlines SEC/Federal Holidays
  • SEC rules used to identify domestic and foreign compliance deadlines
    N-30D & NCSR Due to be printed and mailed 60 days following the end of each half-year by investment companies. The EDGAR filing is due ten days after the actual mailing date.
    N-Q Due 60 days following the end of the first and third quarter by investment companies.
    NT NCSR Due on the business day after the NCSR due date.
    Late NCSR After filing a NT NCSR, the deadline for the NCSR is extended 15 calendar days.
    Schedule 13G Due 45 days following the end of the calendar year.
    Form 13-F Due 45 days following the end of each fiscal quarter from institutional investment managers.
    Form 13D Due 10 days after the acquisition of more than 5% beneficial ownership.
    Form N-MFP Due5 business days after the last day of each month.
    Form N-SAR
    NSAR-B Due from mutual funds 60 days after the end of the fiscal year.
    NSAR-A Due from mutual funds 60 days after the first half of the fiscal year.
    NSAR-U Due from Unit Investment Trusts 60 days after the end of the fiscal year.
    NT NSAR Due on the business day after the N-SAR due date.
    Late NSAR After filing a NT NSAR, the deadline for the N-SAR is extended 15 calendar days.
    Form 24F-2 Due 90 days following the end of the fiscal year by investment companies.
    N-PX Due no later than August 31 of each year.

  • Filing Guidelines

    For domestic and foreign compliance deadlines, the Securities and Exchange Commission experiences very high-volume filing periods. Most companies have a fiscal year that matches the calendar year, creating a lot of EDGAR filing activity at the same time each quarter. For your convenience, we have identified these SEC compliance deadlines and SEC holidays by filing type above. It is important to submit your EDGAR documents to Merrill as soon as possible during these high-volume periods. This minimizes the need for last-minute conversions and edits, which can jeopardize your filing timeliness.

  • Hours of Operation

    The EDGAR system hours of operation for submitting files are 6:00 a.m. to 10:00 p.m. Eastern Time, weekdays, excluding Federal Holidays.  Files submitted after 5:30 p.m. Eastern (with the exception of Section 16 filings) will receive the next business day's filing date.

  • Holidays and Weekends

    If a filing due date falls on a weekend or SEC holiday, the filing is due on the following business day.

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