Draft EDGAR Filer Manual (Volume I) General Information (Version 34)

Implementation Date: September 2019

This is a DRAFT of the EDGAR^® Filer Manual (Volume I) (Version 34). The Securities and Exchange Commission (“SEC” or “Commission”) has not approved, may approve or disapprove, or may revise any of the changes noted herein. The draft is being provided to the filing community to solicit input and assist filers in preparing for the potential changes to the EDGAR system that are outlined in the draft Filer Manual and which are scheduled to be deployed in EDGAR Release 19.3 on September 30, 2019. The posting of the draft manual does not indicate Commission approval of any proposed changes relating to the EDGAR system as reflected in the draft manual.

Non-rule based changes that are outlined in the draft EDGAR Filer Manual are scheduled to take effect on September 30, 2019. For rule-based changes, please consult the effective dates of the associated rule. Please refer to www.sec.gov to access SEC Final Rules.

The final version of the EDGAR Filer Manual will be made available, if approved by the Commission, on or about September 30, 2019, at sec.gov.

EDGAR Updates

On September 30, 2019, the following changes will be made to the EDGAR Filer Manual as part of EDGAR Release 19.3:

• New exhibit EX-96 (Mining Disclosure) will be made available for submission form types S-1, S-1/A, S-3, S-3/A, S-4, S-4/A, S-4 POS, POS AM, F-1, F-1/A, F-3, F-3/A, F-4, F-4/A, F-4 POS, 10-12B, 10-12B/A, 10-12G, 10-12G/A, 10-K, 10-K/A, 20-F, 20-F/A, 20FR12B, 20FR12B/A, 20FR12G, 20FR12G/A, 1-A, 1-A/A, and 1-A POS. This change allows filers to provide disclosure about their mining properties in accordance with Commission Release 33-10570. Filers can attach EX-96 in official HTML, ASCII, or PDF format. See Chapter 5 (Constructing Attached Documents and Document Types), Chapter 8 (Preparing and Transmitting Online Submissions), and Appendix E (Automated Conformance Rules for EDGAR Data Fields) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."

  For more information, see the "EDGARLink Online XML Technical Specification" and the “Reg A XML Technical Specification” documents available at sec.gov (https://www.sec.gov/info/edgar/tech-specs).

• In Commission Release 34-84858, Rule of Practice 194 was adopted, which, among other things, excludes associated persons that are not natural persons from the statutory disqualification prohibition in Exchange Act Section 15F(b)(6) (see Rule of Practice 194(c)), removes Rule 15Fb6–1, and removes Schedule C and any reference to it from submission form types SBSE, SBSE/A, SBSE-A, SBSE-A/A, SBSE-BD, and SBSE-BD/A. See Chapter 8 (Preparing and Transmitting Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."

  For more information, see the "SBS Entity Forms XML Technical Specification” document available at sec.gov (https://www.sec.gov/info/edgar/tech-specs).

• Filers will be required to provide twelve character passwords instead of eight character passwords when logging into both the EDGAR Filing Website and the EDGAR Online Forms Management Website. Filers who do not update their password to twelve characters will be prompted to update it each time they log in. See Chapter 3 (Becoming an EDGAR Filer) and Chapter 4 (Generating Access Codes) of the “EDGAR Filer Manual, Volume I: General Information.” See Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions) and Chapter 8 (Preparing and Transmitting Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."
• The EDGAR Filing Website and the EDGAR Online Forms Website home pages will be updated to include a “Last Account Activity” heading. This will display the date, time, and whether the last login attempt was successful or not. Filers will also have the ability to review account activity for the last 30 calendar days on both the EDGAR Filing Website and the EDGAR Online Forms Management Website by using the “Login History” link. See Chapter 4 (Generating EDGAR Access Codes) of the “EDGAR Filer Manual, Volume I: General Information.” See Chapter 7 (Preparing and Transmitting EDGARLink Online Submissions) and Chapter 8 (Preparing and Transmitting Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."
• Submission form types N-CEN and N-CEN/A will be updated to prevent filers from reporting duplicate series and class IDs. See Chapter 8 (Preparing and Transmitting Online Submissions) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”
• Submission form types ATS-N/UA and ATS-N/CA will be updated to allow filers to report a change in their Market Participant Identification or MPID value. See Chapter 8 (Preparing and Transmitting Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."

  For more information, see the "EDGAR Form ATS-N XML Technical Specification" document available at sec.gov (https://www.sec.gov/info/edgar/tech-specs).

• EDGAR will accept submission form types 24F-2NT, 24F-2NT/A, N-CR, N-CR/A, N-CSR, N-CSR/A, N-CSRS, N-CSRS/A, N-PX, N-PX/A, N-PX-FM, N-PX-FM/A, N-PX-NT, N-PX-NT/A, N-PX-VR, N-PX-VR/A, N-PX-CR, N-PX-CR/A, N-Q, N-Q/A, N-CEN, N-CEN/A, N-LIQUID, N-LIQUID/A, N-MFP2, N-MFP2/A, NPORT-EX, NPORT-EX/A, NPORT-NP, NPORT-NP/A, NPORT-P, NPORT-P/A, N-30D, N-30D/A, and N-30B-2 from deregistered investment companies for 400 calendar days from the time the investment company was deregistered. After 400 calendar days, these submissions will be suspended. See Appendix A (Messages Reported by EDGAR) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."
• EDGAR will no longer provide support for the IFRS-2017 and DEI-2014 taxonomies. Please see https://www.sec.gov/info/edgar/edgartaxonomies.shtml for a complete list of supported standard taxonomies.
• Changes to the print function for submission form types 3, 3/A, 4, 4/A, 5, and 5/A. See Chapter 8 (Preparing and Transmitting Online Submissions) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."
• Increasing the length of characters allowed for security titles. See Chapter 6 (Interactive Data) of the "EDGAR Filer Manual, Volume II: EDGAR Filing."
• Changes to the Inline XBRL validations of filer naming conventions. See Chapter 6 (Interactive Data) of the “EDGAR Filer Manual, Volume II: EDGAR Filing.”

• Download the Draft EDGAR Filer Manual (Volume I) EDGAR Filing (Version 34)