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Draft EDGAR Filer Manual (Volume I) General Information (Version 24)
Implementation Date: December 14, 2015
This draft Filer Manual, posted before Commission approval of potential regulatory changes in this release, is provided as a service to our filing community to assist filers, agents, and software developers in their preparation of responses to potential changes the staff anticipates. Since this is a draft manual, the SEC retains the right to change any part of the manual before the new system release is made final. In addition, the final EDGAR Filer Manual (Volume I) (Version 24) is subject to Commission approval and may be revised before approval or not approved at all. Similarly, the posting of the draft manual does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the draft manual. The changes outlined in this draft manual, if approved, are scheduled to take effect on December 14, 2015 for non-rule based changes or on the rule effective date for changes related to SEC rules. See SEC Final Rules posted on the SEC's Public Website for information on the rule effective date. The final version of the manual will be made available, if approved by the Commission, on or about December 14, 2015, on the SEC's Public Website.
EDGAR Updates
On December 14, 2015, EDGAR Release 15.4 will introduce the following changes:
- Broker-dealers will now be able to submit Form X-17A-5 Part III in electronic format using the following submission form types:
- X-17A-5 (Annual Reports)
- X-17A-5/A (Amendment to Annual Reports)
These submission form types can be accessed by clicking the "File X-17A-5 Part III" link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for X-17A-5 and X-17A-5/A by following the "EDGAR Form X-17A-5 XML Technical Specification" document located on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml). Form X-17A-5 Part III will continue to be accepted in paper format.
Submission form types X-17A-5 and X-17A-5/A will include the "Request Confidentiality" check box to allow applicants to request confidential treatment for each attached document that is not required to be made public. EDGAR will not disseminate the attached documents of the submission that are designated as confidential.
- Pursuant to the Regulation Crowdfunding rule, EDGAR will be updated to include the following new submission form types:
- C: Offering Statement
- C-W: Offering Statement Withdrawal
- C-U: Progress Update
- C-U-W: Progress Update Withdrawal
- C/A: Amendment to Offering Statement
- C/A-W: Amendment to Offering Statement Withdrawal
- C-AR: Annual Report
- C-AR-W: Annual Report Withdrawal
- C-AR/A: Amendment to Annual Report
- C-AR/A-W: Amendment to Annual Report Withdrawal
- C-TR: Termination of Reporting
- C-TR-W: Termination of Reporting Withdrawal
Issuers can access these submission form types from the "Regulation Crowdfunding" link on the EDGAR Filing Website. Additionally, issuers may construct XML submissions for these submission form types by following the "EDGAR Form C XML Technical Specification" document located on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml). See Release No. 33-9974 for the effective date.
- The SEC has adopted amendments to the rules that govern money market mutual funds (or "money market funds") under the Investment Company Act of 1940 ("Investment Company Act" or "Act"). These updates include the following changes to Form N-MFP:
- EDGAR has been updated to include two new submission types N-MFP1 and N-MFP1/A to incorporate the amendments to Form N-MFP adopted by the Commission on July 23, 2014.
- These two new submission types will be accepted from the EDGAR Filing Website via filer-constructed XML submissions, as described in the Form N-MFP1 XML Technical Specification available on the SEC's Public Website.
- EDGAR will only accept TEST submissions for submission form types N-MFP1 and N-MFP1/A until April 14, 2016.
- Beginning April 14, 2016 submission form types N-MFP1 and N-MFP1/A will be accepted as LIVE submissions.
- Filers will be prevented from submitting existing submission form type N-MFP beginning April 14, 2016.
- EDGAR will be updated to automatically disseminate money market fund information upon acceptance of the N-MFP1 and N-MFP1/A submissions.
See Final Rule 33-9616, "Money Market Fund Reform; Amendments to Form PF" for more information.
- EDGAR will be updated to disseminate raw and rendered XBRL documents. The rendered XBRL documents will be displayed as human-readable documents.
- EDGAR will be updated to accept negative values for the following fields in Item 1 of submission form types 1-A, 1-A/A, 1-A POS, DOS, and DOS/A:
- Total Assets
- Total Stockholders' Equity
- Total Liabilities and Equity
On January 25, 2016, EDGAR Release 16.0.1 will introduce the following changes:
- Filers will now be able to select the new "Funding Portal" Applicant Type when completing the process to apply for EDGAR access (New) on the EDGAR Filer Management Website.
- Pursuant to the Regulation Crowdfunding rule, Funding Portals will be able to register with the Commission, amend their registration and withdraw from their registration, using the following new submission form types:
- CFPORTAL - Form Funding Portal: Initial application of funding portal
- CFPORTAL/A - Form Funding Portal/A: Amendment to registration, including a successor registration
- CFPORTAL-W - Form Funding Portal-W: Withdrawal of the funding portal's registration
These submission form types can be accessed by clicking the "Regulation Crowdfunding" link on the EDGAR Filing Website. Additionally, filers may construct XML submissions for CFPORTAL, CFPORTAL/A, and CFPORTAL-W by following the "EDGAR Form CFPORTAL XML Technical Specification" document located on the SEC's Public Website (http://www.sec.gov/info/edgar.shtml). See Release No. 33-9974 for the effective date.
http://www.sec.gov/info/edgar/edmanuals-vol1-24_d.htm
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