The GoFiler Suite: Choosing the Right Compliance Software

Novaworks has provided software for SEC compliance to a wide range of clients for over a decade. From large financial printers to smaller filing agents, from public corporations to mutual funds and individual registrants, the GoFiler Suite has a solution to fit your reporting needs.

 

Filing Agent

Law Firm

Financial Printer

Public Corporation

Reporting Owner

Mutual Fund Municipal Advisor Broker-dealer Large Trader Security-based Swap Data Repository Transfer Agent Exempt Corporation
GoFiler Online


Use a web portal to create, edit, and file various EDGAR forms:

  • Section 16: 3, 3/A, 4, 4/A, 5, 5/A
  • Regulation Crowdfunding: C, C/A, C/A-W, C-AR, C-AR/A, C-AR-W, C-AR-W/A, C-TR, C-TR-W, C-U, C-U-W, C-W
  • Regulation D: D, D/A
  • Institutional Manager: 13F-HR, 13F-HR/A, 13F-NT, 13F-NT/A
  • Municipal Adviser: MA, MA/A, MA-A, MA-I, MA-I/A, MA-W
  • Transfer Agent: TA-1, TA-1/A, TA-2, TA-2/A, TA-W
  • Funds: N-CEN, N-CEN/A, N-MFP2, N-MFP2/A
  • NMS Stock ATS: ATS-N, ATS-N-C, ATS-N-W, ATS-N/CA, ATS-N/MA, ATS-N/OFA, ATS-N/UA
  • Other EDGAR forms: 144, 144/A, 12b-25 extensions, 24F-2NT, 24F-2NT/A

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GoFiler


Three tiers of features to provide tools for every EDGAR form type:

  • All EDGARLink Online Forms (such as 10-Q, 10-K, S-1, etc. as well as EDGAR XML forms like 24F-2NT)
  • HTML Conversion from Word, Excel, PowerPoint, Adobe InDesign and PDF
  • XBRL Support for US GAAP, Risk/Return and IFRS
  • Section 16: 3, 3/A, 4, 4/A, 5, 5/A
  • Regulation A: 1-A, 1-A/A, 1-A-W, 1-A-W/A, 1-A POS, 1-K, 1-K/A, 1-SA,1-SA/A, 1-U, 1-U/A, 1-Z, 1-Z/A, 1-Z-W, 1-Z-W/A, 253G1, 253G2, 253G3, 253G4, DOS, DOS/A, DOSLTR
  • Regulation Crowdfunding: C, C/A, C/A-W, C-AR, C-AR/A, C-AR-W, C-AR-W/A, C-TR, C-TR-W, C-U, C-U-W, C-W
  • Regulation D: D, D/A
  • Large Trader: 13H, 13H-A, 13H-Q, 13H-I, 13H-T, 13H-R
  • Institutional Manager: 13F-HR, 13F-HR/A, 13F-NT, 13F-NT/A
  • Municipal Adviser: MA, MA/A, MA-A, MA-I, MA-I/A, MA-W
  • Security-based Swap Data Repository: SDR, SDR/A, SDR-A, SDR-W
  • Broker-dealer: 17HACON, 17HACON/A, 17HQCON, 17HQCON/A, X-17A-5, X-17A-5/A
  • Transfer Agent: TA-1, TA-1/A, TA-2, TA-2/A, TA-W
  • Funds: NPORT-NP, NPORT-NP/A, NPORT-P, NPORT-P/A, N-CEN, N-CEN/A, NT N-CEN, NT N-CEN/A, N-MFP2, N-MFP2/A
  • NMS Stock ATS: ATS-N, ATS-N-C, ATS-N-W, ATS-N/CA, ATS-N/MA, ATS-N/OFA, ATS-N/UA
  • XML Exhibits: ABS-EE, SDR

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Go13


Create, edit and file 13F and 13H variants with additional support for SC 13D and SC 13G:

  • Forms SC 13G, SC 13G/A, SC 13D, SC 13D/A
  • Forms 13F-HR, 13F-HR/A, 13F-NT, 13F-NT/A
  • Forms 13H, 13H-A, 13H-Q, 13H-I, 13H-T, 13H-R

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Go16


Tools for creating ownership documents and filings Section 16 forms to EDGAR:

  • Forms 3, 3/A, 4, 4/A, 5, 5/A

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GoFormD


Create and file notices of exempt offerings under Regulation D

  • Forms D, D/A

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GoMA


Create and file disclosures for municipal advisors:

  • Forms MA, MA/A, MA-A, MA-I, MA-I/A, MA-W

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GoXBRL


Create and edit XBRL reports with support for the following taxonomies:

  • US GAAP (2009-2017)
  • Risk/Return 2010, 2012
  • IFRS 2016
  • RXD 2013
  • With additional support for user created taxonomies

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