We are working on a comprehensive API. If you would like to know more, email [email protected].
Registration of a security-based swap execution facility, its amendments and withdrawal.
25 filings with an XML document, 180 fields defined by the SEC, every one of them available as filed.
| Form type | Filings on EDGAR | With an XML document | First XML filing | Latest |
|---|---|---|---|---|
| SBSEF | 9 | 9 | 2024-07-26 | 2024-10-01 |
| SBSEF/A | 15 | 15 | 2024-08-12 | 2025-01-28 |
| SBSEF-W | 1 | 1 | 2024-10-08 | 2024-10-08 |
Counted from our copy of EDGAR on 2026-10-14. Filings before a form's XML start date were filed as text or HTML and are available as documents, not as fields.
Every filing of this form for a company or a person, newest first, in one call. Pass any CIK on the filing (the issuer, or a reporting person or filer); amendments are included unless amendments=false.
GET https://beatandraise.com/api/v1/form-data?cik=<CIK>&form=SBSEF&format=json
GET https://beatandraise.com/api/v1/form-data?cik=<CIK>&form=SBSEF&format=xml
&from=YYYY-MM-DD &to=YYYY-MM-DD &amendments=false &compact=true &limit= &cursor=format=json: every element as SEC names it, values exactly as filed, including fields the SEC's own viewer does not show.format=xml: the document as filed, with its SHA-256, for clients that parse XML themselves.The JSON is not a selection of fields. It is the whole document, converted so it can be turned back into the original XML with nothing lost: every element, every attribute, every value and the order they came in. We check that for every document we store; one that does not rebuild exactly is not stored.
@name keys (@xsi:nil included); text next to child elements is #text.#order: the child element names in document order. JSON objects have no order, and some forms depend on it (a Form 4's Table I lists transactions and holdings “in any order”). compact=true drops it when you do not need the XML back.A Python function that rebuilds the XML from our JSON: sec_json_to_xml.py.
SEC's own sample from the technical specification (fictitious data). The JSON below is what the API returns for it, produced by the same code that stores every filing.
XML as filed: SBSEF_V_sample.xml
<?xml version="1.0" ?><edgarSubmission xmlns="http://www.sec.gov/edgar/sbsefwvfiler">
<headerData>
<submissionType>SBSEF-V</submissionType>
<filerInfo>
<filer>
<filerCredentials>
<cik>9999999999</cik>
<ccc>test#1</ccc>
</filerCredentials>
</filer>
<liveTestFlag>LIVE</liveTestFlag>
<contact>
<contactName>John Doe</contactName>
<contactPhoneNumber>555-555-5555</contactPhoneNumber>
<contactEmailAddress>[email protected]</contactEmailAddress>
</contact>
<flags>
<overrideInternetFlag>false</overrideInternetFlag>
</flags>
</filerInfo>
</headerData>
<formData>
<effectiveDateInfo>
<effectiveDate>05/24/2025</effectiveDate>
</effectiveDateInfo>
<signatureInfo>
<signatureDate>05/01/2024</signatureDate>
<signatureApplicantName>John Doe</signatureApplicantName>
<signatureAuthorizedPerson>John Doe</signatureAuthorizedPerson>
<signatureTitle>Manager</signatureTitle>
</signatureInfo>
</formData>
</edgarSubmission>JSON from the API (format=json)
{
"#order": [
"headerData",
"formData"
],
"formData": {
"#order": [
"effectiveDateInfo",
"signatureInfo"
],
"effectiveDateInfo": {
"effectiveDate": "05/24/2025"
},
"signatureInfo": {
"#order": [
"signatureDate",
"signatureApplicantName",
"signatureAuthorizedPerson",
"signatureTitle"
],
"signatureApplicantName": "John Doe",
"signatureAuthorizedPerson": "John Doe",
"signatureDate": "05/01/2024",
"signatureTitle": "Manager"
}
},
"headerData": {
"#order": [
"submissionType",
"filerInfo"
],
"filerInfo": {
"#order": [
"filer",
"liveTestFlag",
"contact",
"flags"
],
"contact": {
"#order": [
"contactName",
"contactPhoneNumber",
"contactEmailAddress"
],
"contactEmailAddress": "[email protected]",
"contactName": "John Doe",
"contactPhoneNumber": "555-555-5555"
},
"filer": {
"filerCredentials": {
"#order": [
"cik",
"ccc"
],
"ccc": "test#1",
"cik": "9999999999"
}
},
"flags": {
"overrideInternetFlag": "false"
},
"liveTestFlag": "LIVE"
},
"submissionType": "SBSEF-V"
}
}Every element and attribute in the SEC's schema for this form, in schema order, indented by depth. Names are the SEC's and are the keys in the JSON.
| Field (path) | Type | Occurs | Allowed values | SEC's description |
|---|---|---|---|---|
| edgarSubmission | (group) | 1..1 | ||
| schemaVersion | SCHEMA_VERSION_TYPE | 0..1 | length=5 | |
| headerData | (group: HEADER_DATA) | 1..1 | These elements are part of the HEADER_DATA_TYPE group | |
| submissionType | SUBMISSION_TYPE | 1..1 | one of: SBSEF-W, SBSEF-V | |
| filerInfo | (group: FILER_INFO_TYPE) | 1..1 | These elements are part of the FILER_INFO_TYPE group | |
| filer | (group: FILER_TYPE) | 1..1 | These elements are part of the FILER_TYPE group | |
| filerCredentials | (group: FILER_CREDENTIALS_TYPE) | 1..1 | These elements are part of the FILER_CREDENTIALS_TYPE group | |
| cik | CIK_TYPE | 1..1 | pattern=\d{1,10} | |
| ccc | CCC_TYPE | 1..1 | length=8 | |
| liveTestFlag | LIVE_TEST_TYPE | 1..1 | one of: LIVE, TEST | |
| contact | (group: CONTACT_TYPE) | 1..1 | These elements are part of the CONTACT_TYPE group | |
| contactName | ENTITY_NAME_TYPE | 1..1 | minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+) | |
| contactPhoneNumber | EDGAR_PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\s#(),.\-]{1,20} | |
| contactEmailAddress | INTERNET_ADDRESS_TYPE | 1..1 | maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?) | |
| flags | (group: FLAGS_TYPE) | 0..1 | These elements are part of the FLAGS_TYPE group | |
| overrideInternetFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| notifications | (group: NOTIFICATIONS_TYPE) | 0..1 | These elements are part of the NOTIFICATIONS_TYPE group | |
| notificationEmailAddress | INTERNET_ADDRESS_TYPE | 0..3 | maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?) | |
| formData | (group: FORM_DATA) | 1..1 | These elements are part of the FORM_DATA_TYPE group | |
| effectiveDateInfo | (group: EFFECTIVE_INFO_TYPE) | 0..1 | These elements are part of the EFFECTIVE_INFO_TYPE group | |
| effectiveDate | DATE_TYPE2 | 0..1 | pattern=\d{1,2}/\d{1,2}/\d{4} | |
| signatureInfo | (group: SIGNATURE_INFO_TYPE) | 1..1 | These elements are part of the SIGNATURE_INFO_TYPE group | |
| signatureDate | DATE_TYPE2 | 1..1 | pattern=\d{1,2}/\d{1,2}/\d{4} | |
| signatureApplicantName | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| signatureAuthorizedPerson | STRING_255_TYPE | 1..1 | maxLength=255 | |
| signatureTitle | STRING_255_TYPE | 1..1 | maxLength=255 |
| Field (path) | Type | Occurs | Allowed values | SEC's description |
|---|---|---|---|---|
| edgarSubmission | (group) | 1..1 | ||
| schemaVersion | SCHEMA_VERSION_TYPE | 0..1 | length=5 | |
| headerData | (group: HEADER_DATA) | 1..1 | These elements are part of the HEADER_DATA_TYPE group | |
| submissionType | SUBMISSION_TYPE | 1..1 | one of: SBSEF, SBSEF/A | |
| filerInfo | (group: FILER_INFO_TYPE) | 1..1 | These elements are part of the FILER_INFO_TYPE group | |
| filer | (group: FILER_TYPE) | 1..1 | These elements are part of the FILER_TYPE group | |
| filerCredentials | (group: FILER_CREDENTIALS_TYPE) | 1..1 | These elements are part of the FILER_CREDENTIALS_TYPE group | |
| cik | CIK_TYPE | 1..1 | pattern=\d{1,10} | |
| ccc | CCC_TYPE | 1..1 | length=8 | |
| flags | (group: FLAGS_TYPE) | 0..1 | These elements are part of the FLAGS_TYPE group | |
| overrideInternetFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| contact | (group: CONTACT_TYPE) | 0..1 | These elements are part of the CONTACT_TYPE group | |
| contactName | ENTITY_NAME_TYPE | 1..1 | minLength=1; maxLength=150; pattern=([A-Za-z0-9\s!\\#$(),.:;=@'\-{}|/&]+) | |
| contactPhoneNumber | EDGAR_PHONE_TYPE | 1..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\s#(),.\-]{1,20} | |
| contactEmailAddress | INTERNET_ADDRESS_TYPE | 1..1 | maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?) | |
| notifications | (group: NOTIFICATIONS_TYPE) | 0..1 | These elements are part of the NOTIFICATIONS_TYPE group | |
| notificationEmailAddress | INTERNET_ADDRESS_TYPE | 0..3 | maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?) | |
| liveTestFlag | LIVE_TEST_TYPE | 1..1 | one of: LIVE, TEST | |
| formData | (group: FORM_DATA) | 0..1 | These elements are part of the FORM_DATA_TYPE group | |
| principalInfo | (group: PRINCIPAL_INFO_TYPE) | 0..1 | These elements are part of the PRINCIPAL_INFO_TYPE group principalConfFlag will determine if the variables in this type will be confidential | |
| applicantName | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| street1 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 0..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 0..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| amendedItemsList | STRING_256_TYPE | 0..1 | minLength=1; maxLength=256 | |
| principalConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| generalInfo | (group: GENERAL_INFO_TYPE) | 0..1 | These elements are part of the GENERAL_INFO_TYPE group | |
| businessInfo | (group: BUSINESS_INFO_TYPE) | 0..1 | These elements are part of the BUSINESS_INFO_TYPE group | |
| businessName | (group: BUSINESS_NAME_TYPE) | 0..1 | These elements are part of the BUSINESS_NAME_TYPE group. nameOnBusinessConfFlag will determine if the variables in this type will be confidential | |
| nameOnBusiness | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| nameOnBusinessConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| previousBusinessName | (group: PREVIOUS_BUSINESS_NAME_TYPE) | 0..1 | These elements are part of the PREVIOUS_BUSINESS_NAME_TYPE group previousBusinessNameConfFlag will determine if the variables in this type will be confidential | |
| previousBusinessName | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| previousBusinessNameConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| contactInfo | (group: CONTACT_INFO_GENERAL_INFO_TYPE) | 0..1 | These elements are part of the CONTACT_INFO_GENERAL_INFO_TYPE group | |
| mailingAddress | (group: MAILING_ADDRESS_TYPE) | 0..1 | These elements are part of the MAILING_ADDRESS_TYPE group | |
| street1 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 0..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 0..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| phone | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| faxNumber | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| webAddress | WEBSITE_URL_TYPE | 0..1 | minLength=1; maxLength=150 | |
| emailAddress | INTERNET_ADDRESS_TYPE | 0..1 | maxLength=80; minLength=4; pattern=([a-zA-Z0-9_\-\.]+)@((\[[0-9]{1,3}\.[0-9]{1,3}\.[0-9]{1,3}\.)|(([a-zA-Z0-9\-]+\.)+))([a-zA-Z]{2,7}|[0-9]{1,3})(\]?) | |
| contactInfoConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| officeInfo | (group: OFFICE_INFO_TYPE) | 0..1 | These elements are part of the OFFICE_INFO_TYPE group officeConfFlag will determine if the variables in this type will be confidential | |
| office | (group: OFFICE_TYPE) | 0..15 | These elements are part of the OFFICE_TYPE group | |
| officeName | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| street1 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 0..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 0..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| officeConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| successor | (group: SUCCESSOR_TYPE) | 0..1 | These elements are part of the SUCCESSOR_TYPE group generalInfoSuccessorConfidentialFlag will determine if the variables in this type will be confidential | |
| generalInfoSuccessorNotApplicableFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| successionDate | DATE_TYPE2 | 0..1 | pattern=\d{1,2}/\d{1,2}/\d{4} | |
| predecessorName | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| street1 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 0..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 0..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| businessPhone | PHONE_TYPE | 0..1 | minLength=1; maxLength=20; pattern=[a-zA-Z0-9\-]{1,20} | |
| webAddress | WEBSITE_URL_TYPE | 0..1 | minLength=1; maxLength=150 | |
| generalInfoSuccessorConfidentialFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| applicantCategory | (group: APPLICANT_CATEGORY_TYPE) | 0..1 | These elements are part of the APPLICANT_CATEGORY_TYPE group applicantTypeConfFlag will determine if the variables in this type will be confidential | |
| applicantType | APPLICANT_TYPE | 0..1 | one of: Corporation, Partnership, Limited Liability Company, Other Form of Organization | |
| applicantTypeOtherDesc | STRING_256_0_TYPE | 0..1 | minLength=0; maxLength=256 | |
| applicantTypeConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| businessOrgInfo | (group: BUSINESS_ORG_INFO_TYPE) | 0..1 | These elements are part of the BUSINESS_ORG_INFO_TYPE group dateOfIncorporationOrFormationConfFlag and stateOfIncorporationOrJurisdictionOfOrganizationConfFlag will determine if the variables in this type will be confidential | |
| dateOfIncorporationOrFormation | DATE_TYPE2 | 0..1 | pattern=\d{1,2}/\d{1,2}/\d{4} | |
| stateOfIncorporationOrJurisdictionOfOrganization | STATE_COUNTRY_CODE | 0..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| dateOfIncorporationOrFormationConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| stateOfIncorporationOrJurisdictionOfOrganizationConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| consentName | (group: CONSENT_NAME_TYPE) | 0..1 | These elements are part of the CONSENT_NAME_TYPE group consentNameConfFlag will determine if the variables in this type will be confidential | |
| personNameOrOfficerTitle | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| applicantNameOrApplcblEntity | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| consentNameConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| consentAddress | (group: CONSENT_ADDRESS_TYPE) | 0..1 | These elements are part of the CONSENT_ADDRESS_TYPE group consentAddressConfFlag will determine if the variables in this type will be confidential | |
| street1 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| stateCountry | STATE_COUNTRY_CODE | 0..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 0..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| consentAddressConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| signatureInfo | (group: SIGNATURE_INFO_TYPE) | 0..1 | These elements are part of the SIGNATURE_INFO_TYPE group signatureConfFlag will determine if the variables in this type will be confidential | |
| signatureDate | DATE_TYPE2 | 0..1 | pattern=\d{1,2}/\d{1,2}/\d{4} | |
| signatureApplicantName | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| signatureAuthorizedPerson | STRING_255_TYPE | 0..1 | maxLength=255 | |
| signatureTitle | STRING_255_TYPE | 0..1 | maxLength=255 | |
| signatureConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| exhibitA | (group: EXHIBIT_A_TYPE) | 0..1 | This is the root element for an sbsef exhibit A. | |
| exhibitAInfo | (group: EXHIBIT_A_INFO) | 0..50 | These elements part of the repeatable EXHIBIT_A_INFO group ownershipNameConfFlag percentageOwnershipConfFlag addressConfFlag agreementDescriptionConfFlag will determine if the variables in this type will be confidential | |
| ownershipName | STRING_150_TYPE | 1..1 | minLength=1; maxLength=150 | |
| percentageOwnership | DECIMAL_TYPE1_4_FIXED | 0..1 | totalDigits=5; fractionDigits=4; pattern=[01]?\.\d{4} | |
| address | (group: BUSINESS_ADDRESS_TYPE) | 1..1 | These elements are part of the BUSINESS_ADDRESS_TYPE group businessAddressConfFlag will determine if the variables in this type will be confidential | |
| street1 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| street2 | STREET_TYPE | 0..1 | minLength=1; maxLength=40 | |
| city | STRING_30_TYPE | 0..1 | minLength=1; maxLength=30 | |
| stateOrCountry | STATE_COUNTRY_CODE | 0..1 | one of 331 codes (AL, AK, AZ, AR, CA, …; full list in the XSD) | |
| zipCode | ZIP_TYPE | 0..1 | minLength=1; maxLength=10; pattern=[0-9A-Za-z #\-]* | |
| businessAddressConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| agreementDescription | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| ownershipNameConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| percentageOwnershipConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| addressConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| agreementDescriptionConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| questionApplicableFlag | TRUE_FALSE_TYPE | 1..1 | pattern=true; pattern=false | |
| exhibitB | (group: EXHIBIT_B_TYPE) | 0..1 | This is the root element for an sbsef exhibit B. | |
| exhibitBInfo | (group: EXHIBIT_B_INFO) | 1..50 | These elements are part of the EXHIBIT_B_INFO nameTitleConfFlag dateConfFlag positionLengthConfFlag businessAccountExperienceConfFlag businessAffiliatesConfFlag directorCommitteesConfFlag disciplinaryActionConfFlag will determine if the variables in this type will be confidential | |
| name | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| title | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| nameTitleConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| commencementDate | DATE_TYPE2 | 0..1 | pattern=\d{1,2}/\d{1,2}/\d{4} | |
| terminationDate | DATE_TYPE2 | 0..1 | pattern=\d{1,2}/\d{1,2}/\d{4} | |
| dateConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| positionLength | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| positionLengthConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| businessAccountExperience | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| businessAccountExperienceConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| businessAffiliates | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| businessAffiliatesConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| directorCommittees | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| directorCommitteesConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| hasDisciplinaryAction | YES_NO_TYPE | 0..1 | one of: Y, N | |
| disciplinaryActionReason | STRING_10K_0_TYPE | 0..1 | minLength=0; maxLength=10000 | |
| disciplinaryActionConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| exhibitG | (group: EXHIBIT_G_TYPE) | 0..1 | This is the root element for sbsef exhibit G. | |
| exhibitGInfo | (group: EXHIBIT_G_INFO_TYPE) | 0..50 | These elements are part of the EXHIBIT_G_INFO additionalInformationConfFlag will determine if the variables in this type will be confidential | |
| additionalInformation | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| additionalInformationConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| exhibitM | (group: EXHIBIT_M_INFO_TYPE) | 0..1 | These elements are part of the EXHIBIT_M_INFO additionalInformationConfFlag will determine if the variables in this type will be confidential | |
| additionalInformation | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| additionalInformationConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| exhibitN | (group: EXHIBIT_N_TYPE) | 0..1 | This is the root element for sbsef exhibit N. | |
| exhibitNInfo | (group: EXHIBIT_N_INFO_TYPE) | 0..50 | These elements are part of the EXHIBIT_N_INFO additionalInformationConfFlag will determine if the variables in this type will be confidential | |
| additionalInformation | STRING_10K_TYPE | 0..1 | minLength=1; maxLength=10000 | |
| additionalInformationConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| exhibitT | (group: EXHIBIT_T_TYPE) | 0..1 | This is the root element for an sbsef exhibit T. | |
| exhibitTInfo | (group: EXHIBIT_T_INFO) | 0..50 | These elements are part of the EXHIBIT_T_INFO | |
| clearingAgencyName | STRING_150_TYPE | 0..1 | minLength=1; maxLength=150 | |
| nameConfFlag | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| isGuaranteeingTrades | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false | |
| documents | (group: CONFIDENTIAL_DOCUMENTS_TYPE) | 0..1 | ||
| document | (group: CONFIDENTIAL_DOCUMENT_TYPE) | 0..n | Document names must be lower case and no longer than thirty-two (32) characters in length. The names must start with a letter (a-z) and may contain numbers (0-9) with no spaces. Document names may contain one period (.), one hyphen (-), and one underscore (_) character and must end with *.htm, *.txt, *.pdf, *.fil, *.jpg, *.gif, *.xml or *.xsd extensions. | |
| conformedName | DOCUMENT_NAME_TYPE | 0..1 | minLength=1; maxLength=32; pattern=([a-zA-Z0-9]+[\w\._\-]*)([\.](([hH][tT][mM])|([tT][xX][tT])|([pP][dD][fF])|([xX][mM][lL])|([jJ][pP][gG])|([gG][iI][fF])|([fF][iI][lL])|([xX][sS][dD]))) | |
| conformedDocumentType | SUB_DOCUMENT_TYPE | 0..1 | SUBMISSION_TYPE (one of 445 codes (10-12B, 10-12B/A, 10-12G, 10-12G/A, 10-D, …; full list in the XSD)) or DOCUMENT_TYPE (BASE_DOCUMENT_TYPE (one of 398 codes (CORRESP, COVER, EU-1, EX-1, EX-1.01, …; full list in the XSD)) or OPEN_DOCUMENT_TYPE (minLength=4; maxLength=128)) | |
| description | DOCUMENT_DESCRIPTION_TYPE | 0..1 | maxLength=255; minLength=1; pattern=[A-Za-z0-9!#-$%():;'@\*\+\-/=\?\^_~{|},. \\\s<>&"\[\]]{1,255} | |
| contents | DOCUMENT_MIME_BLOCK_TYPE | 0..1 | minLength=1 | |
| confidentiality | TRUE_FALSE_TYPE | 0..1 | pattern=true; pattern=false |
Field list generated from the SEC's EDGAR XML technical specification (Version 1.1 (March 2025)): https://www.sec.gov/files/edgar/filer-information/specifications/sbsef-tech-spec-1.zip. “Occurs” is min..max (n = unbounded). Nothing on this page is investment advice.
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