DRAFT EDGARLink Online XML Technical Specification (Version 15)

Implementation Date: May 11, 2015

This draft EDGARLink Online XML Technical Specification, 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 technical specification, the SEC retains the right to change any part of the technical specification before the new system release is made final. In addition, the final EDGARLink Online XML Technical Specification is subject to Commission approval and may be revised before approval or not approved at all. Similarly, the posting of the draft technical specification does not indicate Commission approval of any pending proposed changes relating to the potential changes reflected in the draft technical specification. The changes outlined in this draft technical specification, if approved, are scheduled to take effect on the Rule Effective date. See SEC Final Rules posted on the SEC's Public Website for information on the Rule Effective date. The final version of the technical specification will be made available if approved by the Commission on or about May 11, 2015, on the SEC's Public Website.

This specification provides a basis for creating XML submissions without the use of the EDGAR OnlineForms/XML Website. The expectation is that software developers, working on behalf of filers, will construct software that will generate an XML ELO submission that can be successfully parsed by the EDGAR system.

The ELO Submissions should conform to the EDGARLink Online XML Technical Specification, namely, the XML schemas. Refer to XML schemas for detailed information on the common XML constructs of the EDGAR Filing submissions. For specific information about the data content of the ELO submission types, refer to the EDGAR Filer Manual Volume II available on the SEC's Public Website (http://www.sec.gov).

• The new submission form types, 1-A-W, 1-A-W/A, 253G1, 253G2, 253G3, 253G4, 1-U, 1-U/A, 1-SA, 1-SA/A, 1-Z-W, and 1-Z-W/A were added as EDGARLink Online Form Submissions.
• A new element type "SUCCESSOR_TYPE" was added to the common XML Schema (eis_Common.xsd) for submission form types 1-U, 1-U/A, 1-SA, and 1-SA/A.
• A new element "successorCompany" was added to the CoReg XML Schema (eis_CoReg.xsd) for submission form types 1-U, 1-U/A, 1-SA, and 1-SA/A.
• The following new Exhibit types were added as new exhibit document types to the EDGAR filing common XML Schema (eis_Common.xsd) to support 1-U and 1-U/A EDGARLink Online Form Submissions -
  • EX1U-1 UNDR AGMT
  • EX1U-2A CHARTER
  • EX1U-2B BYLAWS
  • EX1U-3 HLDRS RTS
  • EX1U-4 SUBS AGMT
  • EX1U-5 VOTG TRST
  • EX1U-6 MAT CTRCT
  • EX1U-7 ACQ AGMT
  • EX1U-8 ESCW AGMT
  • EX1U-9 ACCT LTR
  • EX1U-10 PWR ATTY
  • EX1U-11 CONSENT
  • EX1U-12 OPN CNSL
  • EX1U-13 TST WTRS
  • EX1U-14 CNSNT SV
  • EX1U-15 ADD EXHB
• The following new Exhibit types were added as new exhibit document types to the EDGAR filing common XML Schema (eis_Common.xsd) to support 1-SA and 1-SA EDGARLink Online Form Submissions -
  • EX1SA-1 UNDR AGMT
  • EX1SA-2A CHARTER
  • EX1SA-2B BYLAWS
  • EX1SA-3 HLDRS RTS
  • EX1SA-4 SUBS AGMT
  • EX1SA-5 VOTG TRST
  • EX1SA-6 MAT CTRCT
  • EX1SA-7 ACQ AGMT
  • EX1SA-8 ESCW AGMT
  • EX1SA-9 ACCT LTR
  • EX1SA-10 PWR ATTY
  • EX1SA-11 CONSENT
  • EX1SA-12 OPN CNSL
  • EX1SA-13 TST WTRS
  • EX1SA-14 CNSNT SV
  • EX1SA-15 ADD EXHB

• Download the DRAFT EDGARLink Online XML Technical Specification (Version 15) (compressed folder)

http://www.sec.gov/info/edgar/specifications/edgarlinkonlinexml15_d.htm