INFORMATION REQUIRED OF INSTITUTIONAL INVESTMENT MANAGERS
PURSUANT TO SECTION 13(f) OF
THE SECURITIES EXCHANGE ACT OF 1934 AND RULES THEREUNDER

HELP & USER GUIDE

Copyright © 1997-2006 Advisor Consultant Network, Inc.

INTRODUCTION

ACN/Form 13F is a software program which contains the filing material the SEC provides to institutional investors who are required on a quarterly basis to submit their holdings of 13F securities. ACN has taken the SEC material and converted it into a software program to facilitate the handling, storing and submitting Form 13F to the SEC and the EDGAR System.ACN has endeavored to duplicate the material in the forms and instructions to the best of its abilities but does not guarantee the accuracy of its output. The Securities and Exchange Commission reserves all rights to the forms, rules and interpretations.

While ACN is a registered "filing agent" with the EDGAR System, this product is independent of SEC collaboration. This information is provided as an introduction to the federal securities laws pertaining to investment firms and qualifying entities who are required to file the Form 13F. This software and its contents are only intended to highlight and summarize some of the significant provisions. It should NOT be relied on in lieu of reference to the actual statutes, rules, regulations and interpretations.

BACKGROUND

In 1975, Congress passed Section 13(f) of the Securities Exchange Act of 1934 to allow public access regarding the securities holdings of institutional investors in order to increase investor confidence in the integrity of the United States securities markets. Institutional investment managers that use the United States mail (or other means of interstate commerce) in the course of their business and that exercise investment discretion over $100 million or more in Section 13(f) securities must file Form 13F.The SEC publishes an official list of 13(f) securities at the end of each calendar quarter.

Generally, the list includes exchange traded or NASDAQ quoted stocks, equity options and warrants, shares of closed-end investment companies, and certain convertible debt securities. Shares of open-ended investment companies are not included. An institutional investment manager is an entity that either invests in, or buys and sells, securities for its own account. It is also a natural person or entity that exercises investment discretion over the account of any other natural person or entity. For example, banks, insurance companies, investment advisors, broker-dealers and large internally managed endowments, foundations and pension funds are considered institutional investment managers.

 

TABLE OF CONTENTS

	OVERVIEW
		ACN & SEC Support Documents
		EDGAR Forms
		ACN Sample Specs
	GETTING STARTED
	DIRECTORY STRUCTURE & SUPPORT FILES
	FILLING OUT FORM 13F
		Cover Page - Exhibit B
		Summary Page -
		Information Table -
		Navigation & Search Menu Bar
	MENU OPTIONS
		File
		Edit
		Insert
		Records
		Window
		Help
	COMMANDS / FUNCTIONS
		New Period
		Import File
		Zoom Table
		Refresh Table
		Official 13F List
		Eliminate Minimum Requirements
		Use Official Names
		Combine Securities
		"Include" Column
		Create 13F Report
		EDGARLink Template
		Print Form ET
		Search Official List
		ACN Online Help
	SUBMITTING 13(f) REPORT TO EDGAR
		Step 1	Start SEC EDGAR Submission
		Step 2	Fill out EDGARLink template
		Step 3	Validate the Template
		Step 4	Save and Name EDGAR template
		Step 5	Connect to EDGAR website
		Step 6	Transmit File
		Step 7	Confirmation / Accession Number
		Step 8	Exit
	HELPFUL TIPS
		Importing Spreadsheet
		Spreadsheet Format
		Edit Report - Information Table
		Review 13f Text Report
	PROTECTED FORMS - Form ET, ID, SE & TH
	PRINTING
	VIEWING FORMS
	SYSTEM REQUIREMENTS
	UNINSTALL

OVERVIEW (Return to TOC)  

This program contains the Form 13F in a template format along with a database engine used for importing, exporting and storing your firm's record of 13F securities. The software provides an interface for filing the form with EDGAR, the SEC's Electronic Data Gathering, Analysis and Retrieval system. Form 13F is used by institutional investment managers who have discretion on $100 million or more in equity holdings and who are required to file this information with the SEC. When you start the program you are taken to the Form 13F template or Main Menu containing the Cover Page, Summary Page and Information Table. Behind the template is a MS^TM Access Runtime database for storing the form and holdings reports. Along with the template and database engine there are numerous related forms and support documents. The following details those files:

ACN & SEC Support Documents: Instructions for completing the forms.

F13Help – ACN instructions for working with program.
F13FAQ – Frequently Asked Questions Page - SEC website
          ( http://www.sec.gov/divisions/investment/13ffaq.htm )
F13Instructions – SEC instructions for filing Form 13F (EDGAR Manual, Appendix H)
Form 13F – SEC Form 13F in PDF format downloaded from EDGAR.
Readme File – ACN support documents, file structure for spreadsheet imports, firm information.
Subtemplate3.xfd – EDGARLink template required for submitting Form 13F.

EDGAR Forms: Forms used for communicating with EDGAR

Form ID – Application for Access Codes
Form ET – Transmittal Form for Diskettes
Form SE – Submission of Paper Format Exhibits
Form TH – Temporary Hardship Exemption

ACN Sample Specs: Spreadsheet layouts for complying with EDGAR submissions.

SunGard Systems File	Sample SunGardSpec.atd
MS Excel Spreadsheet File	Sample Excel97Spec.xls
Comma Delimited Text File	Sample CommaDelimitedTextSpec.csv
Advent Axys Export File	Sample AxysSpec.csv
AxysSpecText.txt	Sample AxysSpecText.txt
EDGAR Fixed Format Text File	Sample EDGARFixedSpec.txt

Unique Features with ACN / Form 13F v 4.0:

Official List of 13F Securities: The software comes with the Official List of 13F Securities. Updates are provided on a quarterly basis. This function offers you the ability to filter your holdings list against the Official List and search the Official List for individual securities.

ACN Online Help: A button or link on the Main Page offers online access to the ACN Form 13F Help document maintained on the ACN web site.

Eliminate Minimum Requirements:  The program will search your current holdings file and determine which holdings you are permitted to eliminate (10,000 shares AND less than $200,000 in value) according to the SEC rules.

Use Official Names: This function allows you to substitute the Official List names and descriptions by matching CUSIPs and assures the format of the the file (i.e. column width)  is in accordance to the EDGAR specifications.

Combined Securities: After you have imported your 13(f) holdings into the Form 13F database you are given the option of merging or combining all similar CUSIP numbers into one entry compiling totals in each field where necessary. (See Combine Securities Section.)

Show Excluded Holdings: This function allows you to view those names that are or will be excluded from your 13F Report if you select the Eliminate Minimum Requirements button or Official 13F List button.

Standard Features:

Database Engine: The Form 13F template has a database engine that permits the user to store the 13F reports in one easy, accessible format. 13F security holdings can be imported, edited and saved in this format for compliance, research or other needs. The information contained in the Cover Page and Summary Page sections are saved in the template when you select New Period. Only the date, file name and securities holdings will change with each new report. The database engine will automatically calculate the number of entries and the total value of your holdings.

Import Function: Import a spreadsheet file into the Information Table and edit your holdings in the database. You have the ability to import more than one file and the program will compile all similar CUSIP numbers that have the same security description and investment discretion. (See Import File section.)

EDGARLink: Selecting the EDGARLink Template button will open the Subtemplate3 that is included with this program. The Subtemplate3.xfd file is a template formatted in XFDL language used for submitting forms via the Internet to the EDGAR website. Fill out the template, import or enclose the ACN Form 13F Report, save and send the template to EDGAR.

GETTING STARTED (Return to TOC)

We strongly recommend that you become familiar with Form 13(f) filing requirements as referenced in the SEC Instructions file and in particular the Frequently Asked Questions page. You will need to Fax or mail to EDGAR a completed Form ID in order to obtain your CIK, CCC and Password before submitting a test or actual filing report to EDGAR.

Start Program: - To start the program double click on the ACN Form 13F icon on your desktop screen or select Start, Programs, Form 13F, ACN Form 13F.

Related Files: The program contains various files associated with submitting the Form 13F. These files are either text files explaining how to fill out the forms or templates/forms required by EDGAR.

Text Files: MSWord documents associated your Form 13F. To access these files select Start, Programs, ACN Form 13F and select the file you need - F13HELP, F13FAQ, F13INSTR.

F13 HELP - Help/User Guidelines for working with the ACN software.
F13 FAQ - Frequently Asked Questions Page - SEC website for Form 13F
F13 INTRUCTIONS -SEC and EDGAR detailed instructions for filing Form 13F.
Form 13F - Form 13F and instructions in PDF format downloaded from EDGAR.

Templates: EDGAR forms for submitting information other than online formatted as MSWord templates - Form ET, Form ID, Form SE and Form TH. The templates are installed in the ACN\Form13F\Help directory.

DIRECTORY STRUCTURE & SUPPORT FILES (Return to TOC)

The installation script sets up an ACN default directory (Exhibit A) that contains some of the files used for running and working with the ACN / Form 13F program. A few files installed in the ACN directory are worth mentioning here: the ACNForm13F.mde file is the Access Runtime engine; the ACNFormsData.mdb is the database that you will use to save your imported records; the Readme.txt has additional technical specifications; and the Uninstall.exe is used for uninstalling the program.

In the ACN\Form 13F\SampleSpecs directory are spreadsheet layout files or templates for importing a comma delimited file (.csv), an MS Excel file (.xls), a SunGard Systems file (.atd), and Advent Axys export files. These files are formatted specifically for each layout in order for the file to be imported properly into the Information Table. (If you experience a problem importing a file into the Information Table, copy and paste your holdings into the sample file, select Save As, name it and try importing the new file.)

IMPORTANT: Do not move OR change the ImportSpecs files. Running the ACN / Form 13F program is dependent upon these files. Use the Sample Specs files when researching a format problem or copying these files.

Exhibit A

The ACN directory has two sub-directories:

Backup directory is used when you install upgrades and want to save the old files.
Form 13F directory contains five sub-directories:

· Help directory contains the Help, FAQ, and Instruction files as well as EDGAR forms.
· ImportFiles directory for you to save and store your original 13F spreadsheet holdings files, i.e., your SunGard or Excel files. These are the files you will import or save from some other source, location or program, edit if necessary, and import into the Information Table.
· ImportSpecs is a directory that is crucial to running the program. Do not move these files.
· SampleSpecs directory contains spreadsheet templates that your imported files need to conform to in order to accepted by the ACN 13F database.
· Submissions directory is used to save a copy of the actual Form 13F Report test file you create with this software. Also included is the EDGARLink template for submitting the report via the Internet - Subtemplate3.xfd.

FILLING OUT FORM 13F (Return to TOC)

Cover Page

Start the ACN / Form 13F program and you will be prompted to fill in a date (MM/DD/YYYY - Month, Day, Year) for the period for which you will be creating a report (Exhibit B). By pressing the tab key, arrow key or using your mouse move the cursor to the next field in order to begin filling in information.

The fields are labeled as follows:

· Report for the Calendar Year or Quarter Ended. (December 31, 2002 or 12/31/2002)
· Check for Amendment / Amendment Number
· Type of Amendment - Restatement or Addition
· Name and Address of investment manager
· 13F File Number ( 028 -. . . . . . ) EDGAR assigns this number after your first submission.
· Individual, Title and Phone Number of person submitting report
· Signature/Typed Name of Individual along with City, State and Date
· Report Type - Holdings Report, Notice, or Combination Report.
· List of Other Managers Reporting for This Manager - Number and Name

Summary Page

The Summary Page includes the number of Other Mangers included in the Report, the number of entries or security positions to be submitted in the final 13F Report and the total value of those holdings. The Summary Page totals are automatically calculated based upon the table you imported and subsequently edited and or altered by selecting one of the Information Table functions (i.e., Use Official List, Eliminate Minimum Requirements, etc.)

Exhibit C - Summary Page

Information Table

Import a file by selecting the Import File button (See Import File directions under the Commands/Functions section below.)

Exhibit D - Information Table

Navigation & Search Menu Bar

At the bottom of the ACN Form 13F Template or Main Menu you will always have access to search the Official List of 13F Securities or to access to the ACN 13F Help file for working with the software are three tools for working with the program. 

The Search Official List button opens a menu to search the Official List of 13F Securities database. 
The ACN Online Help button opens the ACN Form 13F software Help file located on the ACN web site. A copy of this file is also installed with the program under the ACN/Form13F/Help folder.
The Navigation Bar helps identify the current record you have open or will move you forward or backward to additional records.

Exhibit E

MENU OPTIONS (Return to TOC)

Form 13F Menu Options

The Menu Options are similar to most Windows formatted programs. The Menu Options gives you the ability to work with the Access Runtime Database used for holding your Form 13F securities holdings. Not all options are available and/or turned on with the Access Runtime engine.

File
	Close
	Page Setup
	Print Preview
	Print
	Send
	Exit
Edit
	Cut
	Copy
	Paste
	Paste Special - (Non functional with Access Runtime)
	Paste Append - (Non functional with Access Runtime)
	Delete
	Delete Record
	Select Record
	Select All Records - (Non functional with Access Runtime)
	Find - (Non functional with Access Runtime)
	Replace - (Non functional with Access Runtime)
	Go To
Insert
	New Record - creates new record / same as New Period button.
Records
	Apply Filter/Sort (Non functional with Access Runtime)
	Remove Filter/Sort (Non functional with Access Runtime)
	Save Record
	Refresh (Non functional with Access Runtime)
Window
	Tile Horizontally - (Non functional with Access Runtime)
	Tile Vertically - (Non functional with Access Runtime)
	Cascade - (Non functional with Access Runtime)
	Arrange Icons - (Non functional with Access Runtime)
Help -    This option refers to a full version of MS Access and is not functional in this version. Reference the ACN Online Help button or the F13 Help file (F13help.htm installed with this program) for information regarding this software, the FAQ file for information regarding the EDGAR System and the SEC Instructions for completing the form.   (Files located in ACN/Form13F/Help folder.)

COMMANDS / FUNCTIONS (Return to TOC)

New Period

The New Period button (Exhibit F) creates a new record.  The information contained in the template fields are repeated/saved in the new period or record.  You are prompted to enter a date for that period or record.  If you have information in the Form 13F template the old information will used for the new period other than four fields that need updating - the quarter end date, the signatory date, the type of report and . 

You have the option of pressing the arrow keys, forward or backward, to go to another record.  You can create a blank template by using the arrow key when you are on your last record.  Note that at the bottom of your screen each record or period is numbered.

Exhibit F

Import File

To add a holdings file (spreadsheet) to a record press the Import File button and locate the file you wish to import.  In order to import a file into the ACN Form 13F database your file must agree with the import requirements or format layout of any one of the six options: Sungard (atd), Advent Axys Text (txt), Advent Axys CSV(csv), EDGAR Fixed Format (txt), Comma Delimited (csv), Excel (xls).The default setting is the Sungard (.atd) file. Press the down arrow for additional choices. Browse and select your file and press Open. Your holdings list will import into the Information Table.If you try to import your holdings file and receive an error message " Action Failed" , this would indicate that the format of the file you are trying to import is incorrect. The file you import must conform to the column specifications specified by EDGAR and layout in the SampleSpecs files located in the ACN\Form13F\SampleSpecs directory. The specifications are contained in the Readme.txt file and the 13F Instructions file, EDGAR Manual, Appendix H (13Finstr.doc). See the Helpful Tips section near the bottom of this file.

You may import more than one file into your record.  The database is designed to sort or alphabetize all the holdings in the list. If when you import your holdings list you only see empty rows it is possible your file contained these empty rows and by default they will appear to the top. Remove or eliminate these rows by selecting/highlighting the rows and select Edit, Delete.

Zoom Table

Press the Zoom Table button to enlarge the holdings table.  When opened, press the Close button on the Menu Bar or the lower "X"  button in the upper right hand corner of the screen to return to 13F template.  In order to update your record you must press the Refresh Table button.

Press the Refresh Table button whenever you change or edit your holdings list.

Refresh Table

Press the Refresh Table button whenever you change or edit your holdings list. If you add a new holdings position or you change the value of a position the Refresh button with alpha sort your list or show changes to the Information Table. This is very important when editing your holdings using the Include column and editing your list from the Show Excluded Holdings page.

Exhibit G

Editing Functions

Official 13F List - Filters your holdings file that you import into the program against the Off-cial List of 13F Securities file by CUSIP eliminating all CUSIP not associated with the Official List.

Eliminate Minimum Requirements - Eliminates all security positions that fall below the minimum requirements for submitting a security position on the 13F Report. (10,000 shares AND $200,000 in value)

Use Official Names - Substitutes the Official Name and Description (Issuer Name and Class) for each CUSIP that the program matches to the Official List of 13F Securities. This option does not eliminate any positions.

Combined Like Securities - The program will combine all like positions according to CUSIP, Issuer Name and Class.

Show Excluded Holdings - This options allows you to view and in some cases edit the items that have been excluded form your preliminary report due to one of the above options you have selected.

"Include" Column -We have added an extra column to the ACN Information Table which shows on the screen view only. The very first column header reads "Include". This column will only appear on the template and not on the Form 13F text report. This column or check box is available if you wish to override the standard functions. For example, if you see that by selecting the Official 13F List option you have excluded a position that you want to add back to the report, click on the check box and the position will be included in the final report. CAUTION: By selecting or editing your holdings file with the Include option will slow down your ability to move from one record to the next as it requires a recalculation of the entire database.

Create 13F Report

Exhibit H

If you selected Online transmission you are ready to submit your report and import the text file into the EDGARLink software template. If you selected Diskette you need to fill out the following fields:

· Sender's Name - Name of individual submitting Form ET
· Description of the medium you are submitting the report on.
· Single or Double Sided Diskette
· Density
· Number of Diskettes
· Brand Name
· Model Number
· Operating System

EDGARLink Template

Exhibit I

Select the Print Form ET button (Exhibit J) and a print preview of the form will appear. On the Toolbar Menu of the print preview screen there are three options available: Print, Page Setup and Close. To print a copy of the form select Print. If you need to fill in more information and/or return to the main Form 13F template page select Close. To reduce the screen display click on the print preview display. (Note: You also have the option of opening and completing the Form ET template in MSWord - ACN\Form13F\Help.)

Exhibit J - (Form ID - PDF)

Search Official List

The Search Official List button opens the Official List of 13F Securities in order to search the database for Issuer Name and CUSIP. 

ACN Online Help

The ACN Online Help button opens the Help file located on the ACN web site. The online help guide will offer us the ability to update the Help file as needed. A copy of the Help file is also installed with the program under the ACN/Form13F/Help directory.

SUBMITTING 13F REPORT TO EDGAR (Return to TOC)

Step 1 -  Start EDGAR Submission

Open the EDGARLink Template by pressing the EDGARLink Template button (Exhibit I) or select Start, Programs, ACN Form 13F - EDGARLink Template (The template - subtemplate3.xfd - is installed in the ACN\Form13F\Submissions directory.) For technical support contact EDGAR Filer Support Branch at (202) 942-8900.

Exhibit K

Step 2. - Fill out EDGARLink template.

A. Main Page (Exhibit K)

1. Submission File Type - 13F-HR, 13F-HR/A, 13F-NT, 13F-NT/A (for choices press the down arrow - ▼)
2. Filer CIK and Filer CCC
3. Live or Test Filing - check box
4. Copy Return - check box
5. Submission Contact: Name and Phone Number

B. Notification Page (Exhibit L)

1. Enter e-mail addresses for those you wish to receive the SEC notification report. Press the ADD button to enter additional addresses.
2. Documents Page (Exhibit M)
3. File Name - lower case, begin with alpha letter, not limited to 8 characters.
4. Type - (for choices press the down arrow - ▼)
5. Description - not a required field
6. Validation Check Box - Make sure to check this box in order to validate the template once you have completed entering all your data. (Does not appear in Exhibit M)

Exhibit L

C. Documents Page (Import 13F Report)

1. Add Document - select Add Document button and a drop down menu appears (Exhibit N)
2. Select Enclose/Attach - import the 13F Report (*.txt) you created with the ACN software.
3. Select Done and return to Main Page.

Exhibit M

 

Exhibit N

Step 3 - Validate the Template

Select the Submission Validation button after filling in the required fields and the EDGARLink software will verify that the 13F Report and the EDGARLink template are properly completed.

Step 4 - Save and Name EDGAR template.

Select the Save icon (third icon from the left on the Main Page Menu Bar). Give the file a new name and the blank template (Subtemplate3.xfd) will be maintained. File name must begin with an alpha character and cannot contain upper case letters. There is no limit on the number of characters in this file name. By default you will save this template in the ACN\Form13F\Submissions directory.

Exhibit O

Step 5 - Connect to EDGAR website

Press the EDGAR Web Site button on the Main Page or access the secure EDGAR website at https://www.edgarfiling.sec.gov/  Enter your CIK number and Password to login to the site. Once connected follow the instructions for filing a live or test file.

Step 6 - Transmit File

If you know the path and file name enter it in the field or select Browse and locate the file on your system. (The default setting for the EDGAR templates that you save is C:\\ACN\Form13F\Submissions.). Select the file you wish to submit and send it.

Step 7 - Confirmation / Accession Number

When the transmission is complete you will be given an accession number, date and time confirming your transmission. Copy and paste this screen and or the number for your future reference. When referencing your submission if you have a problem EDGAR support will ask for this number.

Step 8 - Exit

HELPFUL TIPS (Return to TOC)

Importing Spreadsheet

Review your holdings file before you import your 13F holdings into the template. Reference the sample Form 13F layout located at the end of the Instruction File (F13Instr.doc). The layout file comes from the EDGAR Filer Manual.

1. Delete extra rows containing miscellaneous data or column totals.
2. Cells in the Issuer (Column 1) and CUSIP (Column 3) should be formatted as text.
3. Value Column (Column 4) must be rounded to nearest thousandth.
4. Columns with numbers cannot contain decimals or commas.
5. Check to see that all data fits within the specific columns. Reasonable abbreviations are acceptable for the Issuer description.
6. Column widths are spelled out in the readme.txt file located in the main ACN directory.

The default setting for File Type is SunGard -.atd file. Press the down arrow and select the file type which your holdings file was created in or saved as. If you receive an Action Failed Error Message, save your file as a comma delimited / text file (.csv) or copy and paste your holdings into one of the sample files and import it as that file type.

Spreadsheet Format

Depending upon your file format of your holdings file you may have the option to set the cell format for those columns that require numbers only (columns 4, 5, 10, 11, 12). Select Numbers with no decimals or commas.

Edit Report - Information Table

Verify that all required fields in the ACN Form 13F Template contain the necessary information.

You have the option of editing the Information Table as it appears on the screen in the existing table or you can edit the Submission File in a text editor, i.e. Notepad, WordPad.

Caution: If you edit the data in the text editor and later go back and press the Create 13F Report button again it will overwrite your editing and accept only what is in the 13F template. To avoid, rename your tile each time you press Create 13F Report.

At the end of each record there is an empty row to add new holdings. As you add information to this row a new blank row is automatically added. Add your information and select the Refresh Table button in order to sort or alphabetize the new holding(s). To move your cursor to the last row use either the scroll bar on the bottom and right sides of the information table or select Edit and Go To.

You may enlarge the Information Table by pressing the Zoom Table button and edit the table in this view although you must press the Refresh Table button to save your updates.

Review the 13F text file (13F Report) before submitting the report to EDGAR.

This is the actual report that you will submit to EDGAR. By default the file is saved/stored in the ACN\Form13F\Submissions directory. Verify the following:1. Check to see that all data fits within the specific columns.
2. Edit rows or data where one column extends into the next column. (The column width is spelled out in the readme.txt file located in the main ACN directory.)
3. CUSIP Column (Column 3) contains only numbers and letters.
4. Remove commas or decimals in columns containing numbers.

PROTECTED FORMS (Return to TOC)

Forms ET, ID, SE and TH are templates installed in the ACN\Form13F\Help directory. The templates, as well as a saved copy, are protected documents. Protected documents allow access to only the form fields in the template. You cannot alter the text of the form, only the fields where you need to enter your information to complete the form. To open a blank form, double click on the file form Windows Explorer. This will result in opening a copy of the template as a document and will keep the template blank for further use.

Warning: MS WordÔ does not save data you entered after you unprotect and protect or lock a form. Before you try this, experiment with a new form or backup your work.

TO UNPROTECT A DOCUMENT

1. Click on Tools.
2. Select Unprotect Document.
3. Enter Password if required.

TO PROTECT A DOCUMENT

1. Click on Tools
2. Select Protect Document.
3. Select Forms (Make sure you select Forms)
4. Enter Password if you desire.
5. Click on File/Save.

PRINTING (Return to TOC)

Form 13F Report

Select File, Print from the main menu of the Form 13F template screen. The template and information table is wider in most cases than a normal page so the template and table will require more than one standard page. Select Print Preview to see how it will print. Click on the screen to minimize and maximize the view. 

Form ET, ID, SE, TH

There are four MSWord templates installed with the program. These forms are required forms to be used under certain circumstances in order to communicate with EDGAR. To open a blank form, double click on the file form Windows Explorer. This will result in opening a copy of the template as a document and will keep the template blank for further use. Fill in the form and save it to a location of your choice. Select File, Print for a printed copy.

We have also provided links to these files in a PDF format. Right click to download the files  - Form ET, Form ID, Form SE, Form TH

VIEWING FORMS (Return to TOC)

The files are saved with the Zoom setting at 80%. If you prefer to see the document at 100%, or any other Zoom setting, follow these steps:

1. Click on View and select Zoom 
or click on the Zoom Control button on the Menu Toolbar
2. Adjust the Percent setting to your personal preference
3. Click on OK 

SYSTEM REQUIREMENTS (Return to TOC)

UNINSTALL (Return to TOC)

To uninstall the program you will want to save the ACNFormsData.mdb file and the Submissions directory if you plan on working with these records again. Move the files to a directory other than the ACN directory. In the ACN directory there is a file Uninstall.exe. Double-click on this file and a wizard will walk you through the uninstall process. 

 

Thank You for Your Support.

Please visit the ACN website (http://www.netacn.net) to review our products, services and resources for investment firms
or
if you are already there, select one of the links / buttons on the header of this page.Please call or email us with your questions or suggestions.

Advisor Consultant Network, Inc.
216-522-1908 - info@netacn.net
www.netacn.net

Updated: January 2007

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