For documents filed on the EDGAR database of the SEC, are there signed
copies needed? If so, where are the signed copies held?  If someone's
name is on a filing as a signatory, yet never saw, approved, or signed
the document, I assume that's criminal behaviour on the side of the
person doing the filing?

Hi, Edgreen ~

In answer to your question, "For documents filed on the EDGAR database
of the SEC, are there signed copies needed?"

The answer is "no", although a copy of those documents, in the exact
contact the text document is filed, may accompany the document in
Acrobat's .pdf format.

As for signatures, look at this recently filed form with EDGAR -

 - http://www.sec.gov/Archives/edgar/data/1204603/000120460303000001/edgar.htm

If you scroll down the page, you will see that it indicates the
original has been signed and it is indicated on the signature line
preceded with "/s/" (as in, /s/ John Doe).


Filing false documents with the SEC is a crime - under federal
securities laws, Section 17(a) of the Securities Act of 1933
("Securities Act") and Section 10(b) of the Securities Exchange Act of
1934 ("Exchange Act") and Rule 10b-5 thereunder.

When someone's alleged signature is on a document he "never saw,
approved, or signed" is forgery. If the signature is on a document
filed with the SEC, it is considered filing a false document under the
above Acts.

Search terms used -

 - SEC
 - SEC Edgar filing requirements
 - SEC signature requirements + EDGAR filing
 - SEC false document filing

Hope this helps,
Serenata

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Request for Answer Clarification by edgreen321-ga on 23 Mar 2003 17:07 PST

Thanks! That helps a lot.  

I understand that on EDGAR, it says "SIGNED" but only a digital copy
is required.  However, is the filer, or anyone, supposed to have a
signed copy?  I.e. "the original has been signed" - what does that
mean? Where does the original exist? Or does it? Can files only be
Digital?

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Clarification of Answer by serenata-ga on 23 Mar 2003 18:08 PST

Hi again Edgreen ~

Yes, the original must be in the possession of the filer and
accessible for any who may ever question any of the information
contained in the documents filed using EDGAR.

Have a nice day,
Serenata