When individuals or companies file disclosures with the U.S. Securities and Exchange Commission, they must use an identifier that allows the SEC to organize their disclosures. This SEC ID is called a CIK number. The Central Index Key is a 10-digit code that applies to companies, individuals, or other entities. Organizations must know their CIK number to access public filings in the EDGAR database. With this information, you will know what a CIK number is, whether you need one, how to obtain one, and how to find it.
Who Needs a CIK Number?
As a general rule, any person or entity that files SEC disclosures through the EDGAR filing system needs a CIK number. This includes public companies on the stock exchanges, mutual funds, investment firms, or registrants filing under Regulation A or Regulation D. Individuals may also need to use a CIK number for filings. Insiders who own shares in a firm must file disclosures, such as SEC Forms 3, 4 and 5, and they will use a CIK number as part of the filing.
How to Obtain a CIK Number
Getting a CIK number starts with a Form ID filing through the SEC EDGAR system. This form requires you to identify as an individual or company and specify an applicant type. Input the information about the person or company name seeking access and provide a notarized authenticating document as specified by the form. On average, the SEC needs at least six business days to review and approve the request. At that point, the SEC will issue a CIK number and associated credentials, such as a CIK confirmation code.
Where to Find a CIK Number
SEC CIK numbers are public information, which means they are easy to find. On the SEC website, look for the “Search Filings” tab. In the dropdown box, click on “CIK Lookup.” There, you can search for the person or company by name. Note that names do not always show up the way you expect, as they may be abbreviated or represented in the database differently. If you know the company’s ticker symbol, you can search using that term as well.
How CIK Numbers Are Used in SEC Filings
The CIK number acts as a reference that links all SEC filings of the same individual or company. It is a critical tool for verifying transparency of financial data, including tracking regulatory compliance, creating audit trails, and providing proper public disclosure. Since the CIK is the key component linking all relevant filings, it must be accurate with each filing. Inaccurate numbers in filings can lead to delayed processing or rejected filings.
CIK Number vs. Other SEC Identifiers
The CIK number is different from other identifying numbers, such as IRS EIN, CRD, LEI, or CUSIP. The IRS EIN is used for tax filings. CRD numbers come from FINRA for broker-dealers. LEIs are global identifiers used in financial regulation. CUSIP refers to numbers issued by the Committee on Uniform Securities Identification Procedures. By comparison, CIK numbers apply only to EDGAR filings.
Managing and Updating Your CIK Information
Before you make a regular filing, you should confirm that you have active credentials. Although finding a company’s CIK number is a matter of public access, you will need to request access if you need to recover your EDGAR credentials. Use the EDGAR Filer website to log in with EDGAR access codes, or request a token sent to the email on the entity’s registration. This will allow you to reset the password. If you need to change entity name or structure, you should do that through updated filings.
For expert assistance in managing your EDGAR filings, see how DFIN can help.