Submitting N-MFP Filings to the SEC and ICI

Intro

You can submit filing data prepared using Arc Suite directly to the SEC, and distribute it to the ICI, using the “Filing Manager” page. You can also review a history of previous filings via this page.

Generally, you should only submit filings to the ICI after a successful LIVE filing to the SEC has occurred. If you attempt to submit a filing to the ICI prior to a successful LIVE filing to the SEC, a warning message will display. Clicking “Accept” to this message will submit the filing to the ICI.

Certain functionality in this application area requires you to have one or more . For more information about any given right (i.e., what functionality it governs, etc.), please see the “Available User Rights” topic.

Tasks

    1. Expand the ArcFiling “File” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

      3. Click the “Filings Workspace” at lower-left of the screen.
        “Filings Workspace” tab
      4. Click the “File” menu.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    2. Click the “Filing Manager” item.

      “Filing Manager” page

    3. Set for the filing(s) to be submitted/distributed.
      1. Specify the type of data via the “Filing Type” drop-down list.

      2. Use the “Project” drop-down list to indicate the project in which the filing data was created/managed.

      3. Set the revision number of the data using the “Revision” drop-down list.

      4. Specify the legal entity associated with the complex for the selected project via the “Legal Entity” drop-down list.

    4. Select the check box next to each fund whose data you would like to process.

      You can use the “Select all” or “Clear all” links to quickly select/clear the check boxes.

    5. Click the “Submit” at lower-right of the tab to initiate the filing submission process.
      “Submit Filing” dialogue (“SEC” recipient selection)

      1. Specify the .

        1. “SEC” (default)

          1. You can flag the selected filing(s) as an amendment to a previous filing by selecting the “Amendment” check box option.
          2. Enter your CIK Confirmation Code in the “CCC” text box.

        2. “ICI”

          • The “ICI” option is only available after a (“Live” or “Test”) with the SEC.
            “Filing Manager” page, “Funds” tab (successful filing indication)

          • Selecting as the “Recipient” will cause all other (SEC-specific) elements on the dialogue to be disabled.
            “Submit Filing” dialogue (“ICI” recipient selection)

      2. Indicate the of the filing(s).

        1. “Test” (default)

          1. Selecting this option will mark the filing as “test” for the SEC’s purposes.

        2. “Live”

          1. Selecting this option will mark the filing as “live” for the SEC’s purposes.

        The “Filing Mode” value is specified via the “NMFPFilingMode” setting on the “System” page. The filing mode determines the available submissions options and results, as detailed below:

        • When the filing mode is “Simulation”, the submitted filing(s) will be sent to the SEC Simulator, either as a “Test” or “Live” submission type, as specified by you.
        • When the filing mode is “SEC - Test”, the submitted filing(s) will be sent to the SEC as a “Test” submission type (the “Live” option is disabled in this case).
        • When the filing mode is “SEC - Live”, the submitted filing(s) will be sent to the SEC, either as a “Test” or “Live” submission type, as specified by you.

      3. Click the “Accept” at lower-right of the dialogue.
        • If you selected “SEC” as the “Recipient”, you can see the results of the submission of each selected fund by clicking the “Output Queue” button at upper-right of the Arc Suite interface.

        • If you selected “ICI” as the “Recipient”, the filing is submitted directly to the ICI, where it will be immediately processed by ICI internal applications. You will not be able to access submissions made to the ICI.

          • The file(s) will be in the SEC-specified XML format, using a standard ICI naming convention, as outlined below:

            Initial Submission: “N_CIK_SeriesID_MM_YYYYI.xml”

            Amended Submission: “N_CIK_SeriesID_MM_YYYYA.xml”

            Where:

            • “N” is always present as the leading character of every file name
            • “CIK” is the SEC CIK.
            • “SeriesID” is the SEC Series identifier.
            • “MM” is the numeric expression of the month and year that defines the time period covered by the XML data contained in the file. It is not the month and year during which the file was submitted.
            • “YYYY” is the four-digit year that defines, along with the month, the time period covered by the XML data contained in the file.
            • “I” or “A” is a one-character tag that identifies the type of submitted data. The letter “I” is the default and stands for Initial submission, “A” indicates the submission is being Amended.
          • The file(s) will be transmitted to the ICI using SFTP, at sftp.ici.org. Log-in credentials for this location will be managed within ArcFiling by the Arc Suite team.
          • The “CCC” value will be stripped out of the XML prior to transmission (i.e., <ccc>12345678</ccc> will be replaced with <ccc>XXXXXXXX</ccc>). This will not have an effect on stored XML previously filed with the SEC.

    You can sort, group and filter information in a grid through in order to find what you’re looking for more easily.
    (sample grid)

    1. Filtering: You can filter the items presented in a grid by using the “Filter” at the top of any column.
      1. To remove any particular column filter, click the “Filter” button at the top of that column, and then click the “Clear Filter” button on the filter criteria dialogue that displays.

      2. To remove all column filters for the grid at once, click the “Clear all filters” button at upper-left of the grid.

        The “Clear all filters” button is not available on all Arc Suite grids.

        • The “Clear all filters” button is not available on all Arc Suite grids.
        • Column filtering only affects the rows that have been loaded in the grid. If grid pagination functionality is enabled for the “Holdings” tab of the “Fund Holdings” page (via the “FundHoldingsGridPagination” system setting), be sure all available rows have been loaded if you expect column filtering to affect all securities in the data set.
    2. Sorting: You can sort items in a grid by clicking any column header. Once sorted, the column header will change color and indicate whether the list is sorted in ascending or descending order.

    3. Grouping: In some grids, the items can be grouped in the display by selecting a column header, and then dragging it into the of a grid.
      1. To expand or collapse a grouping, click the buttons, respectively, at left of the grouping row in the grid.

      2. To remove a grouping, hover your cursor over the grouping box, and then click the “Remove” that displays on its right.
        Application grid grouping removal
    4. Grid Splitting: Grids feature a vertical splitter bar, which you can grab and move over the line dividing any two columns. As you scroll horizontally to see more columns of data, the columns to the left of the splitter bar are “frozen” in view.

    5. Pagination: Some grids feature a “Rows Per Page” spinner control at lower-left, which you can use to specify the maximum number of records/rows to display in the grid at once. If the number of records in the database meeting the specified criteria exceeds the specified “Rows Per Page” value, a set of navigation controls at lower-right of the grid is enabled to allow access to the records in successive grid “pages”.

      If grid pagination functionality is enabled for the “Holdings” tab of the “Fund Holdings” page (via the “FundHoldingsGridPagination” system setting), the value specified for the associated “FundHoldingsGridPageSize” setting will determine the upper limit of the “Rows Per Page” spinner control, as well as how many rows are loaded at once to the grid.

    1. Expand the ArcFiling “File” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

      3. Click the “Filings Workspace” at lower-left of the screen.
        “Filings Workspace” tab
      4. Click the “File” menu.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    2. Click the “Filing Manager” item.

      “Filing Manager” page
    3. Click the “History”
      “Filing Manager” page, “History” tab

    4. Review the of each fund’s filing(s), as required.

      Status values you may see displayed are as follows:

      • “Failed” - Displayed when the attempt to submit the fund as part of the batch via the “Filing Manger” page returned a filing failure indication from the SEC.
      • “Filed Successfully” - Displayed when XML for the fund was submitted as part of the batch via the “Filing Manager” page and a filing success indication was returned from the SEC.

    You can sort, group and filter information in a grid through in order to find what you’re looking for more easily.
    (sample grid)

    1. Filtering: You can filter the items presented in a grid by using the “Filter” at the top of any column.
      1. To remove any particular column filter, click the “Filter” button at the top of that column, and then click the “Clear Filter” button on the filter criteria dialogue that displays.

      2. To remove all column filters for the grid at once, click the “Clear all filters” button at upper-left of the grid.

        The “Clear all filters” button is not available on all Arc Suite grids.

        • The “Clear all filters” button is not available on all Arc Suite grids.
        • Column filtering only affects the rows that have been loaded in the grid. If grid pagination functionality is enabled for the “Holdings” tab of the “Fund Holdings” page (via the “FundHoldingsGridPagination” system setting), be sure all available rows have been loaded if you expect column filtering to affect all securities in the data set.
    2. Sorting: You can sort items in a grid by clicking any column header. Once sorted, the column header will change color and indicate whether the list is sorted in ascending or descending order.

    3. Grouping: In some grids, the items can be grouped in the display by selecting a column header, and then dragging it into the of a grid.
      1. To expand or collapse a grouping, click the buttons, respectively, at left of the grouping row in the grid.

      2. To remove a grouping, hover your cursor over the grouping box, and then click the “Remove” that displays on its right.
        Application grid grouping removal
    4. Grid Splitting: Grids feature a vertical splitter bar, which you can grab and move over the line dividing any two columns. As you scroll horizontally to see more columns of data, the columns to the left of the splitter bar are “frozen” in view.

    5. Pagination: Some grids feature a “Rows Per Page” spinner control at lower-left, which you can use to specify the maximum number of records/rows to display in the grid at once. If the number of records in the database meeting the specified criteria exceeds the specified “Rows Per Page” value, a set of navigation controls at lower-right of the grid is enabled to allow access to the records in successive grid “pages”.

      If grid pagination functionality is enabled for the “Holdings” tab of the “Fund Holdings” page (via the “FundHoldingsGridPagination” system setting), the value specified for the associated “FundHoldingsGridPageSize” setting will determine the upper limit of the “Rows Per Page” spinner control, as well as how many rows are loaded at once to the grid.

    1. Expand the ArcFiling “N-MFP” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

      3. Click the “Filings Workspace” at lower-left of the screen.
        “Filings Workspace” tab

      4. Click the “N-MFP” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    2. Expand the ArcReporting “Document Assembly” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcReporting” from the .
        Landing page components list (ArcReporting)

      3. Click the “Reporting Workspace” at lower-left of the screen.
        “Reporting Workspace” tab

      4. Click the “Document Assembly” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    3. Click the “N-MFP Project” item.

      “Project” page
      1. If more than one project is available for the selected account period and fund, use the “Project” drop-down list at upper-left of the page to specify the project you’d like to view.

      2. If more than one language is defined for the selected project’s template, and the “Separate outputs for each language” option is selected for the template, use the “Language” drop-down list at upper-left of the page to specify the language whose captions/content you’d like to view.

        If the project template’s “Multi-Language Behavior” setting is set to “Use translated content from import file”, each non-default language in the drop-down list will display an icon at its right () to denote the ability to import translated content for that language.

    4. Select the “Statement” (topmost) node in the tree structure at left of the page (or the specific chapter or section for which you wish to generate output).

    5. Click the “Output Management” tab.

      “Output Management” tab (project node selected)

    6. If the project’s template allows for the use of predefined renditions to produce output, you may specify the desired rendition in the “Output Rendition” .
      • Available selections include all renditions designated as “active” in association with the assigned style sheet, via the Renditions library.
      • All other controls on the tab will be disabled when an “Output Rendition” is specified, and the output options and other settings defined in the rendition will be used for output.
      • If the specified rendition selection represents an “Output Document Type” of “EDGAR (HTML)”, “Source” and “Revision cycle” controls display beneath the “Output Rendition” drop-down list.
      • If the specified rendition selection represents any “Output Blackline Type”, “From revision” and “To revision” controls display beneath the “Output Rendition” drop-down list.

    7. If you’re not using a predefined rendition for output, sSpecify the “Output Document Type(s)” you wish to generate by selecting the appropriate .
      • Available document types for output will vary, depending on the settings specified for the project’s template via the “Output Management” tab of the “Project Templates” page.
      • If “N-MFP (XML)” is specified as one of the output types, an N-MFP Review Report is also generated by default. This report allows for the review of N-MFP data in a “friendly” Excel format prior to submission of the XML filing to the SEC, and can be viewed/saved via the revisions grid in the lower portion of the tab, or via the Output Queue.
      • If “EDGAR (HTML)” is specified as the output type, “Source” and “Revision cycle” controls display and all other options on the tab are disabled except the “Publish” button.

      You can use the “Select all” or “Clear all” links to quickly select/clear the check boxes.

    8. If you’re not using a predefined rendition for output, and if your project’s template allows for PDF document output, you may specify one or more in the corresponding sections of the tab.

      1. For project-level output, you may select the “PDF to PDF Compare” and designate revision versions to compare. This type of comparison will highlight changes to the entire document, including the movement of content from one place to another, and differences in header or footer text.
        “PDF to PDF Compare” option for project-level PDF document output
        • This option is only available for project-level PDF document output.
        • The “From revision” drop-down list value defaults to the highest “Revision” value currently displayed in the revision grid for the current project.
        • The “To revision” drop-down list value defaults to the lowest “Revision” value currently displayed in the revision grid for the current project.
        • In order for any two revision versions to be compared and blacklined, PDF output must have been previously generated for each.

      2. You may specify any “Output Blackline Types” you wish to generate by selecting the appropriate and designating the revision versions to compare. Output blacklining deals only with differences in document values (e.g., information involved in SEC audits); not with changes that may exist in document headers and footers, etc..
        “Output Blackline Types” for PDF document output
        • The “From revision” drop-down list value defaults to the highest “Revision” value currently displayed in the revision grid for the current project (or for the selected chapter/section in the current project).

        • The “To revision” drop-down list value defaults to the lowest “Revision” value currently displayed in the revision grid for the current project (or for the selected chapter/section in the current project).

          • By selecting the “Other” option button, you can opt to blackline against any revision in any project associated with the complex of the current project, for a specified account period.
        • In order for any two revision versions to be compared and blacklined, PDF output must have been previously generated for each.

        You can use the “Select all” or “Clear all” links to quickly select/clear the check boxes.

    9. If you’re not using a predefined rendition for output, and if your project’s template allows for at least one type of document output (any), you may produce via the corresponding section of the tab.
      “Output Validation Reports” (project node selected)
      1. You may select the “Missing Output Settings Report (Excel)” check box to generate a report that lists line items in the current project’s financial and/or portfolio statements for which no output settings are specified.

      2. You may select the “Project Output Validation Report (Excel)” check box to generate a report that lists line items of type “Total” and “TotalCalcSheetSection” in the current project’s financial and/or portfolio statements whose respective output values do not equal the system’s corresponding calculated values.

        1. For financial statements using custom “Project Output Validation Report Settings”, the report also lists lines specified as a “Statement total to check”. The values compared in this case are those of the designated “Statement total to check” line and the calculated result of its corresponding “Statement items to sum” lines.

          • If a given “Project Output Validation Report Settings” section is blank, it is ignored.
          • If a given “Project Output Validation Report Settings” section has a “Statement total to check” specified, but no “Statement items to sum” values, it is not ignored; the report logic can’t find items to sum, an error is displayed in the report.
          • If a “Project Output Validation Report Settings” section has “Statement items to sum” values, but no “Statement total to check” specified, it is ignored.
      • Validation reports are only available for project-level output.
      • All report requests will only return to the Output Queue; the requests will not be stored as part of the project on the “Output Management” tab.
      • You may generate an output validation report whether or not any “Output Document Types” check boxes are selected.

    10. If you’re not using a predefined rendition for output, and if your project’s template allows for PDF and/or Word document output, you may specify one or more in the corresponding section of the tab.
      “Output Options” for PDF and/or Word document output
      1. For PDF document output, you may select the “Include Bannerline” check box in order to display bannerline information in the resulting output document(s).
      2. For PDF document output, you may select the “Hide Bleeds” check box in order to produce an output document that does not contain visible bleeds.

      3. For PDF and/or Word document output, you may select the “Highlight Variable Data Points” check box in order to display variable data points in a red font color in the resulting output document(s).

        A variable data point is content that is added to a project component by either of the following means:

        • This feature does not currently support variable data points within tabular data templates.
        • This feature will only highlight variable data point text in red if the associated output template has been configured to do so. It is advised that you speak to your local DFIN representative to ensure these updates have been made prior to attempting to use the functionality.

      4. For PDF and/or Word document output, you may select the “Generate Translation XML (simple)” check box in order to generate an XML file (in addition to the PDF and/or Word output) that can be downloaded via the revision grid and be used for content translation purposes. Once the resulting file has been edited, you can re-imported it via the “Administration” tab for a given language.

        For information on how to import translated content, see the “Submitting N-MFP Filings to the SEC and ICI” task.

    11. Click the “Publish” button at left of the tab.

    12. Click the “OK” button.

    You can also generate a single chapter or section (or multiple chapters/sections) within a project to PDF or Word format by right-clicking a chapter or section in the tree view and selecting the “Generate Output for Chapter(s)” or “Generate Output for Section(s)” option, respectively, from the context menu that displays.

    • All multi-chapter/multi-section document print requests will return to the “Output Queue” and will be stored in association with the project on the “Output Management” tab with an “Output Type” of either “PDF (Multi-Chapter)”, “Word (Multi-Chapter)”, “PDF (Multi-Section)” or “Word (Multi-Section)”, dependent on the “Output Document Type” specified.
    • All single-chapter/section document print requests will return to the “Output Queue” and will be stored in association with that specific chapter on the “Output Management” tab with an “Output Type” of either “PDF” or “Word”, dependent on the “Output Document Type” specified.

    1. To view project output or a report returned from the document processing service, or the status of filings submitted to the SEC, open the Output Queue by clicking the “Output Queue” button at far upper-right of the screen.

      “Output Queue” pane

    2. Filter the list of items in the queue, if desired, through use of the “Show previous” and/or “Status” .

      1. Show previous: Allows requests to be filtered according to those submitted within a specified time period.

        • 24 hours (default selection)
        • Week
        • Month
        • 6 Months
        • Year

      2. Status: Filters requests according to their processing status.

        • <All> (default selection)
        • Requested
        • Success
        • Failed
        • Success with warnings

    3. Click the “View Output” at right of the document you wish to view to open or save it.
      “File Download” dialogue (output file)
      1. Click “Open” to view the document with your computer’s registered application for the file type.
      2. Click “Save” to save the document to a local or network drive, for viewing by you or others at a later time.

    4. Click the “View Message” at right of the document whose output message you wish to view.
      “Message” dialogue
      1. You can select the text of the message by striking “Ctrl + a” on your keyboard, and then copy it to your Windows keyboard by striking “Ctrl + c”.
      2. Click the “Cancel” button at lower-right of the dialogue to close it.

    5. Click the “Save Output” at right of a document if you simply wish to save it.
      “Save Output Queue” dialogue
      1. Click the “Accept” button at lower-right of the dialogue once the document has downloaded in order to save it to a local or network drive, for viewing by you or others at a later time.
      2. Click the “Cancel” button at lower-right of the dialogue to close it without saving the document.

    1. Expand the ArcFiling “N-MFP” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

      3. Click the “Filings Workspace” at lower-left of the screen.
        “Filings Workspace” tab

      4. Click the “N-MFP” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    2. Click the “N-MFP Project” item.

      “Project” page
      1. If more than one project is available for the selected account period and fund, use the “Project” drop-down list at upper-left of the page to specify the project you’d like to view.

      2. If more than one language is defined for the selected project’s template, and the “Separate outputs for each language” option is selected for the template, use the “Language” drop-down list at upper-left of the page to specify the language whose captions/content you’d like to view.

        If the project template’s “Multi-Language Behavior” setting is set to “Use translated content from import file”, each non-default language in the drop-down list will display an icon at its right () to denote the ability to import translated content for that language.

    3. Click the “Output Management” tab.

      “Project” page, “Output Management” tab (project output options)

    4. Specify “N-MFP (XML)” as the .

      You may also specify one or more additional output document types, if desired, by selecting the appropriate check box(es).Available document types for output will vary, depending on the settings specified for the project’s template via the “Output Management” tab of the “Project Templates” page.

    5. Click the “Publish” button at left of the tab.

    6. Click the “OK” button.

    7. You can view/save the resulting Excel N-MFP Review Report via the revisions grid in the lower portion of the tab, or via the Output Queue.

    1. Expand the ArcFiling “N-MFP” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

      3. Click the “Filings Workspace” at lower-left of the screen.
        “Filings Workspace” tab

      4. Click the “N-MFP” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    2. Expand the ArcReporting “Document Assembly” .

      1. Click the “Home” button at the top of the application window to return to the landing page.

      2. Select “ArcReporting” from the .
        Landing page components list (ArcReporting)

      3. Click the “Reporting Workspace” at lower-left of the screen.
        “Reporting Workspace” tab

      4. Click the “Document Assembly” menu to view available items.

        If the “Account Period”, “Complex” and “Fund” relevant to the data you wish to view are not currently selected, choose them using the either selection button at upper-left of the screen or the selection bar across the top of the window.

        •

          1. Click the “[Select Date]” text or “»” symbol.

            Selection bar: date selection component

          2. Click the “[Select Complex]” text or “»” symbol.

            Selection bar: complex selection component

            If only one complex is available based on the specified date, the complex is automatically chosen.

          3. Click the “[Select Group]” text or “»” symbol.

            Selection bar: fund group selection component

            Alternatively, you can specify “All Fund Groups”, which automatically fills in “All Funds” in the step below. Some pages in Arc Suite (e.g., “Fund Holdings”), allow you to view information for more than one fund simultaneously. If a page does not support multiple fund display, then no information displays when “All Fund Groups » All Funds” is specified.

            Selection bar: “All Fund Groups” selection option

            If only one fund group is available based on the specified complex, the group is automatically chosen.

          4. Click the “[Select Fund]” text or “»” symbol.

            Selection bar: fund selection component

            Alternatively, you can specify “All Funds”.

            Selection bar: “All Funds” selection option

            If only one fund is available based on the specified group, the fund is automatically chosen.

          When all elements of the fund selection bar are specified, you have several options available in terms of viewing different sets of data for open pages.

          Selection bar: selection complete
          • Change the specified date. The list of dates is filtered for active projects for the specified fund. Changing the date refreshes the data for all open pages.
          • Change the complex. Changing the complex resets the group, and you’ll need to return to Step 3 above.
          • Change the group. Changing the group resets the fund, and you’ll need to return to Step 4 above.
          • Change the fund. Changing the fund refreshes the data for all open pages.
          • Reset the fund selection bar. Click the “Reset” button at any time to return to Step 1 above.

        •

          1. Click the selection button at upper-left of the window.

            Selection button

            If an account period has already been specified via the fund selection bar (see above), the list under the fund selection button automatically expands that date.

            Selection button auto-expansion by selected date
          2. Click the arrow at left of the desired account period to display the available complex(es) and associated fund group(s) and fund(s).
          3. Specify the “Complex”, “Fund Group” and “Fund” relevant to the project you wish to view.

    3. Click the “N-MFP Project” item.

      “Project” page
      1. If more than one project is available for the selected account period and fund, use the “Project” drop-down list at upper-left of the page to specify the project you’d like to view.

      2. If more than one language is defined for the selected project’s template, and the “Separate outputs for each language” option is selected for the template, use the “Language” drop-down list at upper-left of the page to specify the language whose captions/content you’d like to view.

        If the project template’s “Multi-Language Behavior” setting is set to “Use translated content from import file”, each non-default language in the drop-down list will display an icon at its right () to denote the ability to import translated content for that language.

    4. Click the item in the tree structure at left (i.e., the project node or a chapter or section node) whose revision(s) you wish to view.

    5. Click the “Output Management” to view the output revision(s) for the selected tree view node.
      “Project” page, “Output Management” revisions grid

      1. Click the “View/Save output file” at left of the document you wish to view or save to do so.
        “File Download” dialogue (Revision file)
        1. Click “Open” to view the document with your computer’s registered application for the file type.
        2. Click “Save” to save the document to a local or network drive, for viewing by you or others at a later time.
      2. For documents of output type “N-MFP (XML)”, click the “View message” button/image at right of the row to view the message returned following submission.

      3. If the “Generate Translation XML (simple)” output option was selected for a given document of type “PDF” or “Word”, you can click the “View/Save TranslationXML” at right of the row to view or save that output.
        “File Download” dialogue (Translation XML file)
        1. Click “Open” to view the document with your computer’s registered application for the file type.
        2. Click “Save” to save the document to a local or network drive, for viewing by you or others at a later time.

      4. To delete any given output revision, select the row in the grid that represents it, and then click the “Remove item from grid” at lower-left of the grid.
        • The button is only enabled when a row is selected (highlighted) in the revision grid that has not been protected from deletion, either by means of the “Prevent revision deletion” button, the “Flag revision as final” button, or by means of its rendition definition (as applicable).
        • Output revisions of type “N-MFP (XML)” that have been successfully filed with the SEC and/or the ICI cannot be deleted.
        • Output revisions that have been designated as either the “From revision” or “To revision” for blackline cannot be deleted.

      5. To add a comment in association with any given output revision, select the row in the grid that represents it, and then click the “Edit selected record” at lower-left of the grid.

        If the project’s template has a “Default Language” specified (i.e., it is not set to “[none]”), revisions generated in a language other than the baseline (default) language will display that language name in the “Comments” column of the grid.
        “Revision Comments” dialogue
        1. Enter your comment in the “New Comments” field.

        2. Click the “Accept” button at lower-right of the dialogue.

      6. To prevent manual or automated deletion of any given output revision, select the row in the grid that represents it, and then click the “Prevent revision deletion” at lower-left of the grid.

        Use the button to toggle the deletion protection on or off for any given revision in the grid.

        The button is only enabled when a row is selected (highlighted) in the revision grid that has not been flagged as the final revision.

      7. To specify that a given output revision be the final revision for the current project, select the row in the grid that represents it, and then click the “Flag revision as final” at lower-left of the grid.

        Use the button to toggle the final revision status on or off for the selected revision in the grid.

        • The button is only displayed when the project (topmost) node of the tree view is selected (i.e., this functionality does not apply to chapter- or section-level revisions).
        • The button is only enabled when a row representing output of document type “PDF” is selected (highlighted) in the revision grid.
        • Setting an output revision of type “EDGAR (HTML)” as final causes it to be included in the EDGAR filing.
        • Setting an output revision as final also automatically prevents it from being deleted.

        • If any other row in the grid had previously been flagged as the final revision, that designation is removed from that row as it is applied to the current row (i.e., only one revision may be flagged as the final revision).