Form CERT Filings

What Is SEC Form CERT?

SEC Form CERT is a filing used by a national securities exchange to certify securities for listing. It is submitted through EDGAR as the “CERT” submission type and reflects the exchange’s certification for listing approval.

This form is typically filed by an exchange in connection with a listing action involving an issuer’s securities, such as when a security is approved for listing on an exchange. It serves as a formal record within EDGAR that the exchange has provided the required certification for the listing approval.

Form CERT supports transparency by documenting the exchange’s approval certification in the SEC’s public filing system. It is not a periodic issuer reporting form, and it is generally filed on an event-driven basis tied to the exchange’s approval and related listing process.

Key elements typically found in SEC Form CERT include:

• Name of the issuer and identifying security information
• Name of the national securities exchange submitting the certification
• Description of the securities approved for listing
• Date of the exchange’s approval and certification context
• Exchange certification details as submitted through EDGAR
• Relevant signatures or authorization information, as applicable

SEC Form CERT Filing Deadlines

SEC Form CERT does not follow a recurring reporting calendar and is generally filed in connection with an exchange’s listing approval process. Timing is event-driven based on the exchange’s approval and submission procedures.

Key Things to Know About Form CERT Filing Rules

• Exchange-Submitted Filing: SEC Form CERT is submitted by a national securities exchange to certify approval of securities for listing.
• Event-Driven Timing: Form CERT is filed as needed based on an exchange’s listing approval actions rather than on a periodic reporting schedule.
• EDGAR Submission Type “CERT”: The filing appears in EDGAR under the CERT submission type and is reflected as a certification by an exchange approving securities for listing.
• Not an Issuer Periodic Report: Form CERT is not an issuer’s ongoing disclosure report (such as a 10-K or 10-Q) and is typically associated with the exchange’s listing certification record.
• Tracking and Visibility: Filings can be tracked alongside other EDGAR submission types using the SEC’s EDGAR search tools and form indexes for filing categories and submission activity.

To monitor exchange-related submission activity and certification filings, you can track Form CERT and other EDGAR submission types through the SEC’s filing search, review the CERT form type within the latest EDGAR filings, and follow issuer filing histories where CERT appears among exchange-submitted records.

Investors and analysts often review resources such as the SEC filers database to identify companies whose securities are listed and reporting through EDGAR