Attach evidence and submit a filing for review

Who can perform the task

Administrators and preparers can add supported evidence and submit while the filing is in draft or changes requested.

Before you begin

Resolve or explain findings according to policy, complete applicability decisions, reconcile source data, and identify a reviewer with complete review access. Remove secrets and unrelated personal data from attachments. Attachments are limited to 25 MB and to supported PDF, PNG, JPEG, ZIP/ASIC, CSV, JSON, text, XML/XBRL, XLSX, and ODS files. Production verifies the extension and file signature and completes an anti-malware scan before retaining the attachment. A scanner outage fails closed.

Quick path

1. Attach only the evidence needed for the reviewer and confirm that it contains no unnecessary secrets.
2. Review outstanding validation findings, comments, and the audit history.
3. Resolve blockers or document the approved disposition for remaining findings.
4. Select Submit for review and confirm the assigned reviewer.
5. Verify that the filing is read-only for preparers and shows the expected review status.

Detailed guidance

1. Add supporting evidence in the filing’s attachment area and describe what it supports.
2. Review the validation summary and navigate to remaining findings.
3. Expand Review and audit.
4. Select the reviewer.
5. Review Filing health. Confirm the filing identity, data completeness, validation, evidence, review progress, export readiness, and every named blocker. Assessment incomplete means the recorded information is not yet sufficient to assess one or more areas.
6. Select Submit for review.

Expected result

The status becomes Ready for review, the assigned reviewer is recorded, and preparation controls are restricted until a reviewer requests changes or an administrator performs an authorized workflow action.

Assignment is verified before the filing is handed off.

How to verify

Refresh the filing and check status, reviewer, comments, attachments, findings, and the submission audit event. Ask the reviewer to open the filing in their own account. If a blocker remains, use Open next action and confirm that it opens the relevant table or workflow control.

Common problems

Submit is disabled until a reviewer is assigned. A reviewer with a restrictive allowlist must cover every selected review table. Do not upload an authority receipt as ordinary source evidence when the product provides a dedicated receipt record.

Audit and data consequences

Submission freezes the preparation handoff state; it does not submit anything to an authority. Attachments become part of the filing evidence set and may contain sensitive information, so follow retention policy.

Regulatory limitations

Internal review readiness is not regulatory completeness. Disclose known unsupported validations and jurisdiction limitations to the reviewer. The Filing Health percentage is preparation information. Submission, receipt, and authority acceptance remain separate lifecycle states.